In the Matter of Kendall
Francois,
Appellant,
v.
Thomas J. Dolan, &c., et al.,
Respondents.
2000 NY Int. 64
The issue in this case is whether mandamus lies to compel County Court to entertain petitioner's offer to plead guilty to all counts of the indictment charging him with capital murder, before the filing by the District Attorney of a notice of intent to seek the death penalty and prior to the expiration of the statutory period within which such notice may be filed. We agree with the Appellate Division that mandamus does not lie in this case because petitioner had no unqualified statutory right, let alone the required "clear legal right" for mandamus, to plead guilty under these circumstances.
On October 8, 1998, a Dutchess County Grand Jury
On December 22, 1998, before the District Attorney
either filed a notice of intent to seek the death penalty or
announced his intention not to do so, this Court decided Matter
of Hynes v Tomei (, 92 NY2d 613, cert denied __US__). There we
considered a challenge, under United States v Jackson (390 US 570), to the constitutionality of the 1995 death penalty statute.
As we explained in Hynes, the specific defect the Supreme Court
identified in the Federal Kidnaping Act was that it "authorized
the death penalty only on the recommendation of a jury, while a
defendant convicted of the same offense on a guilty plea or by a
Judge escaped the threat of capital punishment" (id., at 621
We held in Matter of Hynes v Tomei that this State's capital punishment statute had a Jackson infirmity. We described the statutory scheme under which, when the District Attorney elects to seek the death penalty, a jury trial is provided for the guilt-adjudication stage and then, upon conviction, there is a mandated second "sentencing proceeding before a jury to determine whether the penalty imposed will be death or life imprisonment without parole (see, CPL 400.27)" (id., at 622). However, the statute permitted a guilty plea to first degree murder only "with both the permission of the court and the consent of the people when the agreed upon sentence is either life imprisonment without parole or a term of imprisonment for the Class A-I felony of murder in the first degree" (CPL 220.10[5][e]; 220.30[3][b][vii] [emphasis supplied]). Thus, we concluded in Matter of Hynes v Tomei that, just as under the Federal Kidnaping Act struck down in United States v Jackson, avoidance of the maximum penalty for conviction of the capital offense (here, murder in the first degree) could only be assured to defendants who plead guilty rather than assert innocence and go to trial before a jury.
Instead of invalidating the entire statute in Hynes,
however, we held that the death penalty legislation could be
On December 23, the day following the decision in Matter of Hynes v Tomei, still before a death penalty notice had been filed by the District Attorney in this case, petitioner made an uncalendared appearance before County Court, Dutchess County, in which he offered to plead guilty to the entire indictment. The District Attorney opposed acceptance of the plea and, the following day, filed the death penalty notice. County Court reserved decision on the guilty plea offer and later rendered a decision refusing to accept the plea.
Petitioner then brought before the Appellate Division
the instant CPLR article 78 proceeding, in the nature of
mandamus, for an order directing County Court to "entertain" his
plea of guilty to the entire indictment. The Appellate Division
dismissed the petition, holding that mandamus did not lie here
because petitioner "failed to demonstrate a clear legal right to
the relief sought" (__AD2d__, ___). We agree. The legislative
Petitioner's case for mandamus, requiring the trial court to entertain his guilty plea to the entire indictment, rests on CPL 220.10(2) and 220.60(2), general plea provisions of the Criminal Procedure Law. Petitioner argues that these sections, which were enacted before, and left in place by, the death penalty statute, in the absence of the stricken provisions, give all defendants, including those charged with capital murder, an absolute right to plead guilty to an entire indictment upon arraignment and at any time before verdict.
For several reasons we reject this argument and hold
that until the completion of the statutorily provided
deliberative process, either by the filing of a death penalty
notice, announcement of an intention not to seek that sanction,
or by the expiration of the statutory period to make that
decision, a capital defendant does not have an unqualified right
to plead guilty to the entire indictment. Thus, to the extent
that there is a conflict between sections 220.10(2) and
220.60(2), on the one hand, and the provision giving the District
Attorney the authority to decide whether to seek the death
Of foremost importance, if as petitioner contends, he
has an unqualified right to plead guilty to an entire capital
crime indictment, two critical powers conferred on the District
Attorney in the 1995 death penalty legislation could be
preempted. First, the defendant could thereby prevent the
prosecution from pursuing the death penalty even after a notice
of intent to seek the death penalty was filed under CPL
250.40(1). This is because there is no provision for impaneling
a jury for the required death penalty sentencing stage after a
guilty plea to capital murder (see, CPL 400.27; Matter of Hynes v
Tomei, 92 NY2d, at 629 n 7). Thus, the only legal sentence upon
a guilty plea would be either life imprisonment without parole or
a term of years in prison. In order to avoid this result, in
Matter of Hynes v Tomei, we construed the statute, as a whole,
not to permit a capital defendant to exercise an unqualified
right to plead guilty to murder in the first degree while a death
penalty notice was pending (see, Matter of Hynes v Tomei,
Second, in entering a plea to capital murder, a
defendant could preclude the District Attorney from even
exercising the statutory right to consider, over time (weighing
aggravating and mitigating factors), whether to seek the ultimate
sanction in a capital murder case. This implication is presented
Moreover, giving precedence to the subsequently
enacted, specific provision of section 250.40 over the earlier
Finally, we should not ignore the unintended and untoward effects of a contrary ruling. As this case illustrates, and County Court pointed out, it would inevitably result, in the most heinous or high profile cases, in an unseemly race to the courthouse between defense and prosecution to see whether a guilty plea or notice of intent to seek the death penalty will be filed first. The need for precipitous action to file a death penalty notice before the plea was offered would undeniably preclude the thorough, fully deliberative decision-making on whether to seek the death penalty that the Legislature contemplated, and one would hope a District Attorney would employ, in the exercise of that official's profound responsibilities conferred under the present death penalty statute. For all of these reasons, we hold that the Appellate Division properly dismissed the petition here.
Accordingly, the judgment of the Appellate Division should be affirmed, without costs.