People v. Alvarez

51 A.D.3d 167, 854 N.Y.S.2d 70
Appellate Division of the Supreme Court of the State of New York·Decided March 27, 2008·Published·Cited by 18 cases

Opinion

OPINION OF THE COURT

Gonzalez, J.

[169] The primary issue on this appeal from defendant’s conviction of criminal sale of a controlled substance in the third degree is whether the trial court’s exclusion of defendant’s girlfriend from the courtroom during the trial testimony of two undercover police officers violated his Sixth Amendment right to a public trial. Two corollary issues are whether the court abused its discretion in reopening the Hinton hearing after it had initially ruled that the girlfriend would not be excluded, and whether the court properly allowed the officers to testify under assumed names. Defendant also claims error in the trial court’s denial of a jury charge on a lesser included offense.

We conclude that the court’s initial Hinton ruling declining to exclude the girlfriend during the undercovers’ testimony was erroneous, and that the court properly exercised its discretion in reopening the Hinton hearing to correct its error and to receive additional testimony regarding the particularized threat posed by the girlfriend. As defendant’s remaining arguments lack merit, we affirm defendant’s conviction.

Hinton Hearing

Prior to commencement of the trial, the People sought to exclude all members of the public from the courtroom during the testimony of two undercover officers, with the exception of defendant’s family members, and further requested that the officers be permitted to identify themselves during their testimony by their police department shield number. In arguing for closure, the prosecutor noted that defendant’s girlfriend lived in the area of the drug sale, which raised an “additional concern.”

The court ordered a Hinton hearing (People v Hinton, 31 NY2d 71 [1972], cert denied 410 US 911 [1973]), at which undercover officer (UC) #6813 testified that he was assigned to the 25th Precinct in Manhattan and had participated in approximately 250 narcotics purchases. He further testified that he intended to work as an undercover in the same neighborhood where the charged sale occurred during the week of the upcoming trial, and that he had also worked there during the previous week on a long-term investigation. He noted that several subjects of that investigation were still at large.

UC #6813 testified that on days he had to testify in court, he took precautions to protect his identity, such as using side entrances to the courthouse, appearing in plainclothes and never testifying under his own name. He stated that he had been threatened by subjects on multiple occasions, and believed that [170] testifying in his own name would jeopardize his and his family’s safety, noting that an old friend had once located him by an Internet search. On cross-examination, UC #6813 conceded that he had never been threatened by this defendant or anyone associated with him.

At the conclusion of the testimony, the prosecutor asked that the general public be excluded from the courtroom, but stated that he would not object to the presence of defendant’s family, unless those family members lived in the vicinity of the instant drug sale. The prosecutor noted that defendant’s girlfriend, who was present in the courtroom, lived with defendant in the neighborhood of the sale and “we do not want her to be identifying the undercovers when they’re out doing their job.”

In opposition, defense counsel argued that there was no evidence of any particularized threats from either defendant or anyone associated with him, even while he was out on bail. Counsel opposed the exclusion of defendant’s girlfriend, citing the lack of any evidence of a particularized threat involving her. Counsel further requested that if the undercover officer was permitted to testify anonymously, he do so under an assumed name, instead of a shield number.

In its initial Hinton ruling, the court partially granted the People’s application. It ruled that a sufficient showing had been made that “disclosure of the detective’s name and having him testify publicly as an undercover would likely prejudice his effectiveness and could very well jeopardize his family’s safety.” Therefore, the court announced that it would position a court officer outside the door to the courtroom, and in the event anyone wished to enter during the undercover’s testimony, the officer would advise the court, which would then make a ruling. However, the court denied the People’s request to exclude defendant’s girlfriend, stating that the People had failed to make the “stronger showing” that is required to exclude family members. Finally, the court ruled that the undercover would be permitted to testify under an assumed name.

The next day, the prosecutor moved to reopen the Hinton hearing with respect to the nonexclusion of the girlfriend. The prosecutor informed the court that he had become aware of “specific information” indicating that the girlfriend was involved in the drug trade. Specifically, UC #6813 had reported to him that during the drug transaction charged in this case, defendant had told the undercover that his girlfriend had obtained some cocaine and then “cut him out of the deal.” In [171] response to the court’s inquiry as to why this evidence was not presented at the initial Hinton hearing, the prosecutor responded that he did not realize its significance because defendant’s statement did not mention the girlfriend by name, and that he was “focusing on the statement as it relate[d] to the defendant and not focusing as to who the other person was.” In addition, the prosecutor submitted case law to the court, holding that the exclusion of family members was justified based on their residence in the area of the crime and the ongoing undercover operations.

Defense counsel objected to the reopening of the hearing, arguing that the People had ample opportunity at the first hearing to bring out this information, but failed to do so, and that they were merely requesting a “mulligan,” after the court had ruled in defendant’s favor. Counsel further noted that it was not clear from defendant’s alleged statement that he was referring to his present girlfriend, who was in court that day. The court ruled that the People had made a sufficient showing to reopen the hearing to accept further testimony on the issue of whether a particularized fear exists of testifying in the girlfriend’s presence.1

At the reopened Hinton hearing, UC #6813 testified that defendant had told him that he and his girlfriend had purchased cocaine in Washington Heights and that she had “cut him out of the deal.” UC #6813 understood this to mean that the girlfriend was involved in selling drugs. He further testified that because he understood that the girlfriend lived in the same area as the sale, an area where he continued to work as an undercover, he was concerned that she might be able to point him out as a police officer.

After the testimony, the prosecutor rested on the record and defense counsel argued that the court should “adhere to its original ruling.” Counsel noted that the additional evidence was equivocal at best, since it did not name the girlfriend and didn’t explicitly state that the girlfriend sold drugs. He also attacked the credibility of the evidence, noting that the undercover had never mentioned this alleged statement by defendant in his prior testimony or in the police reports.

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People v. Alvarez, 51 A.D.3d 167, 854 N.Y.S.2d 70 (N.Y. Ct. App. 2008).

51 A.D.3d 167 (People v. Alvarez) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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