The People &c.,
Respondent,
v.
Arthur Mills,
Appellant.
2003 NY Int. 121
Defendant Arthur Mills was indicted in March 2000 for
murder in the second degree (Penal Law § 125.25 [2] [depraved
indifference murder]) in connection with his role in the 1978
drowning death of 12-year-old Raymond Umber. Although the
drowning at Oneida Lake was originally determined to be an
accident, a police investigation was instigated after defendant's
wife and his brother each came forward and gave statements to the
In a pre-trial motion, defendant requested that relevant lesser included offenses be submitted to the jury.[1] Noting that such motions are customarily addressed at the close of evidence, County Court nonetheless granted defendant's request to the extent that the trial evidence would support any lesser included charges. Because murder in the second degree (a class A-1 felony)( see CPL 30.10 [2][a]) has no statute of limitations, the court recognized that the passage of time between the crime and the indictment -- more than 20 years -- would become an issue only if defendant sought to have a lesser included offense that was subject to a limitations period submitted to the jury. The court therefore expressly conditioned its willingness to consider defendant's request to charge any lesser included offenses supported by the evidence upon defendant's understanding that, if convicted of any lesser included offense, he has waived his objection on statute of limitations grounds.
At the charge conference, defense counsel asked that
The trial court later denied defendant's motion to set aside the jury verdict and sentenced defendant to 1 and 1/3 to 4 years. Defendant has completed his term of incarceration and is presently under parole supervision.
On defendant's appeal, a divided Appellate Division
Although the lesser included offense was charged to the jury at defendant's request, he now asks this Court to vacate the verdict. Defendant asserts that his conviction should be reversed and the indictment dismissed because the second-degree murder indictment was not supported by legally sufficient evidence. He contends that the prosecution overcharged him with depraved indifference murder in order to secure an indictment from the grand jury as a means of circumventing the five-year statute of limitations applicable to lesser degrees of homicide ( see CPL 30.10 [2][a]; CPL 30.10 [2][b]).
The People respond that defendant's demand that the
trial court provide the jury with the option of convicting him of
criminally negligent homicide, while purporting to reserve his
statute of limitations defense to that charge, placed the court
in an untenable position given its statutory obligations under
CPL 300.50 (2). The People emphasize that defendant obtained a
substantial benefit by insisting on the charge-down -- reducing
his potential sentence exposure from 15 years to life to 1 to 4
years in prison ( see CPL 70.00) -- and he should not be heard to
New York courts have long recognized that the statute of limitations defense is not jurisdictional and can be forfeited or waived by a defendant ( see People v Kohut, , 30 NY2d 183, 191 [1972]; People v Blake, 193 NY 616 [1908], affg 121 App Div 613, 616-617 [1st Dept 1907]; People v Dickson, 133 AD2d 492, 495 [3d Dept 1987]; People v Brady, 257 App Div 1000, 1000 [2d Dept 1939]). Lesser included offenses may be submitted as an alternative to the greatest offense in the indictment if there is a reasonable view of the evidence which would support a finding that the defendant committed such lesser offense but did not commit the greater. * * * Any error respecting such submission, however, is waived by the defendant unless he objects thereto before the jury retires to deliberate (CPL 300.50 [1]; see People v Ford, , 62 NY2d 275, 283 [1984]). "[B]y affirmatively requesting that the trial court submit the lesser charge to the jury, defendant waive[s] his right to challenge the submission of the lesser charge on appeal" ( People v Richardson, , 88 NY2d 1049, 1051 [1996], citing People v Ford, 62 NY2d at 283).
We hold that where an indictment is based on legally
sufficient evidence defendant's statute of limitations defense is
forfeited or waived by his request to charge the lesser included
offense. This rule eliminates the danger of prosecutorial
overcharging to circumvent the statute of limitations. Here the
A person is guilty of depraved indifference murder when [u]nder circumstances evincing a depraved indifference to human life, he recklessly engages in conduct which creates a grave risk of death to another person, and thereby causes the death of another person (Penal Law § 125.25 [2]). Legally sufficient evidence is defined as competent evidence which, if accepted as true, would establish every element of an offense charged (CPL 70.10 [1]). In the context of grand jury proceedings, legal sufficiency means prima facie proof of the crimes charged, not proof beyond a reasonable doubt ( People v Bello, , 92 NY2d 523, 526 [1998]; see People v Mayo, , 36 NY2d 1002, 1004 1975]). Courts assessing the sufficiency of the evidence before a grand jury must evaluate whether the evidence, viewed most favorably to the People, if unexplained and uncontradicted -- and deferring all questions as to the weight or quality of the evidence -- would warrant conviction ( People v Carroll, , 93 NY2d 564, 568 [1999]; see People v Swamp, , 84 NY2d 725, 730 [1995]).
Defendant's brother, the primary witness who appeared
before the grand jury to relate the events surrounding Raymond
Umber's death, testified that on the afternoon of July 7, 1978 he
(then age 16) had accompanied defendant (then age 17) and three
friends to the Sylvan Beach pier to go swimming. In order to
access the pier, the group had to climb over a fence separating
According to defendant's brother, when he and the
others in the group saw or heard defendant push Umber into the
water, they yelled for him to help him, and then [defendant]
went to me, he was swimming like in an under-water motion, and
then he told us to run and we just took off. Based on this
gesture, the group was under the impression [the victim] was
swimming, and, therefore, none of them attempted to help Umber
or sought any assistance for him. As they were running to a
friend's home, defendant shook his head, indicating to his
brother that the victim was not, in fact, swimming, as
defendant's earlier gesture had led him to believe. When the
group arrived at the house, defendant's brother inquired if Umber
was swimming, and defendant responded no. Defendant then
threatened that if any of them reported the incident they would
all go to jail because they were present at the scene.
This evidence, viewed in the light most favorable to the People, satisfies the threshold legal sufficiency standard ( see People v Bello, 92 NY2d at 526). Defendant's act of pushing the young victim with enough force to cause him to hit his head on the concrete pier and then fall into the water and defendant's abandonment of the submerged victim, paired with the testimony that defendant misled his friends regarding the victim's peril, discouraged them from offering assistance and subsequently threatened his friends into remaining silent once they learned the truth, establish a prima facie case of depraved indifference murder ( see People v Kibbe, , 35 NY2d 407 [1974], writ granted with conditions sub nom Henderson v Kibbe, 534 F2d 493, revd 431 US 145).[3] Thus, defendant has failed to substantiate his allegation that the indictment was improperly obtained.
Defendant also contends that the trial court erred in
admitting the testimony of his wife over his objection that his
CPLR 4502 (b) provides that a husband or wife may not be required, or without consent of the other if living, to disclose a confidential communication made by one to the other during marriage. The privilege, which is [d]esigned to protect and strengthen the marital bond, * * * encompasses only those statements that are 'confidential,' that are induced by the marital relation and prompted by the affection, confidence and loyalty engendered by such relationship ( Poppe v Poppe, , 3 NY2d 312, 315, rearg denied , 3 NY2d 941 [1957]; see Matter of Vanderbilt [Rosner-Hickey], , 57 NY2d 66, 73 1982]). Communications or threats made during the course of physical abuse are not entitled to be cloaked in the privilege because the maker of the statement is not relying upon any confidential relationship to preserve the secrecy of his acts and words ( People v Dudley, , 24 NY2d 410, 415 [1969]; see People v Patterson, , 39 NY2d 288, 304 [1976], affd 432 US 197 1977]; People v Edwards, 151 AD2d 987, 987 [4th Dept 1989], lv denied , 74 NY2d 808).
Here, there is ample record support for the undisturbed
finding of the trial court that defendant's statements to his
wife were not confidential. Defendant's wife gave a statement to
the police in which she described how defendant was choking and
threatening her while he told her about the crime. During this
Accordingly, the order of the Appellate Division should be affirmed.
People v Arthur Mills No. 121 SMITH, J., (dissenting):
Because defendant did not waive or forfeit his right to a defense based upon the statute of limitations, I dissent and would vacate defendant's conviction.
Defendant was indicted for depraved indifference murder in violation of Penal Law § 125.25(2). He was found not guilty of that charge, however, and was convicted on the charge of criminally negligent homicide (Penal Law § 125.10). Defendant was sentenced to 1 1/3 to 4 years in prison and he has served that sentence. The evidence was that in 1978, defendant, then 17 years old, pushed a boy 12 years old into water and cement in an area where the two boys and others had been swimming. The charges were not brought until 21 years later when the defendant's brother, angered that defendant was having an affair with the brother's wife, went to the police and an investigation resulted.
Defendant was convicted not of depraved indifference
murder, but of criminally negligent homicide. Prior to trial,
On this appeal the prosecution contends that when the defendant requested the charge of criminally negligent homicide, he waived the defense of the statute of limitations. Defendant, however, specifically refused to waive the statute of limitations. Thus, no waiver with respect to the statute of limitations occurred. Moreover, there was no forfeiture, that is, a loss of a statutory right to assert the bar of the statute of limitations, merely by a request to charge a lesser included offense.[5]
If there was a reasonable view of the evidence that
defendant committed the lesser crime, he was entitled to the
instruction on criminally negligent homicide. CPL 2)
states that if the defendant requests a charge on a lesser
It is clear that the evidence before the grand jury was
I agree with the majority that there is no validity to the defendant's contention that his wife could not testify against him because of the marital privilege. Defendant's confession to his wife was made during the course of his abuse of and threats to his wife. Therefore, the marital privilege did not apply.
Accordingly, I would reverse the conviction of the defendant.
1 CPL 300.50 provides, in part, that the trial court may submit lesser included offenses as an alternative to the highest offense in the indictment where there is a reasonable view of the evidence which would support a finding that the defendant committed such lesser offense but did not commit the greater (CPL 300.50 [1]). The statute further establishes that [i]f the court is authorized by subdivision one to submit a lesser included offense and is requested by either party to do so, it must do so. In the absence of such a request, the court's failure to submit such offense does not constitute error (CPL 300.50 [2]).
2 Defendant's pre-trial motion included manslaughter, which is subject to a five-year statute of limitations, among the lesser included offenses he might request. At the close of proof, however, defense counsel requested only that criminally negligent homicide be submitted to the jury. Of course, the People could not have requested that the jury be charged with respect to any of the lesser included offenses, including second- degree manslaughter, because they were time-barred.
3 Although depraved indifference murder often involves acts
directed at a number of victims ( see e.g. People v Russell, , 91 NY2d 280 [1998]; People v Gomez, , 65 NY2d 9 [1985]; People v
Fenner, , 61 NY2d 971 [1984]), we note that Penal Law § 125.25 2)
encompasses depraved indifference murder of a single victim ( see
e.g. People v Best, , 85 NY2d 826 [1995]; People v Kibbe, , 35 NY2d 407,
4 Neither the trial court nor the People noted or argued that the lesser included offense to depraved indifference murder (Penal Law § 125.25 [2]) was manslaughter in the second degree (Penal Law § 125.15 [1]) rather than criminally negligent homicide (Penal Law § 125.10). Penal Law § 125.25 (2) states, A person is guilty of murder in the second degree when: (2)Under circumstances evincing a depraved indifference to human life, he recklessly engages in conduct which creates a grave risk of death to another person, and thereby causes the death of another person. Penal Law § 125.15(1), a lesser included offense of depraved indifference murder, states, A person is guilty of manslaughter in the second degree when: (1) He recklessly causes the death of another person. Penal Law § 125.10, a lesser included offense of manslaughter second degree, states, A person is guilty of criminally negligent homicide when, with criminal negligence, he causes the death of another person.
5 Arguably, the trial court should have refused to give the charge on criminally negligent homicide without first giving a charge on manslaughter in the second degree. The court charged the jury that for it to convict defendant of murder in the second degree, the People had to prove that defendant engaged in reckless conduct indicating a depraved indifference to human life. A charge on the lesser included offense of manslaughter in the second degree would require the People to prove that defendant recklessly caused the death of another person. If the jury found the defendant not guilty of both murder in the second degree and manslaughter in the second degree, the charge of criminally negligent homicide would have been appropriate.