People v. Hampton

27 Misc. 3d 492
CourtNew York Supreme Court
DecidedFebruary 17, 2010
StatusPublished
Cited by1 cases

This text of 27 Misc. 3d 492 (People v. Hampton) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Hampton, 27 Misc. 3d 492 (N.Y. Super. Ct. 2010).

Opinion

OPINION OF THE COURT

Daniel R. Palmieri, J.

This matter was assigned to me on or about January 22, 2010, after the judge to whom it had been assigned issued an order recusing himself from further proceedings.

The defendant’s motion pursuant to CPL 330.30 (1) to set aside the jury verdict of guilty and pursuant to Judiciary Law § 21, for a mistrial based upon the trial court’s recusal, is denied in its entirety.

It is first necessary that the court decide whether to order a mistrial based on the trial court’s sua sponte recusal from further presiding or deciding any postverdict applications. After the jury verdict in this case was announced and received, the trial judge issued an order of recusal based on reasons set forth therein. This same judge had presided during the entire trial, through verdict. There is no claim or allegation that the judge was aware of the grounds for the recusal until after the verdict, and when he did learn of the predicate facts, he immediately informed the attorneys and acted on his own.

The branch of this motion that is based upon Judiciary Law §21 seeks a mistrial based on such recusal because the original trial judge will not be able to decide this present motion to set aside the verdict, or to preside over any further proceedings. Judiciary Law § 21 provides:

“A judge other than a judge of the court of appeals, or of the appellate division of the supreme court, shall not decide or take part in the decision of a question, which was argued orally in the court, when he was not present and sitting therein as a judge.”

This statute, or its predecessors, has been in effect for over 100 years and stands for the proposition that the right to have a question determined by the justice who hears oral argument is so fundamental that it may not be waived. (Morris-Imhoff v State of New York, 22 Misc 3d 545 [Ct Cl 2008].)

Further, where the trial is without a jury, the requirement that the judge who hears the case also be the judge who renders [494]*494a decision makes eminent good sense, even in the absence of a statute. (See East Coast Med. Care, P.C. v State Farm Mut. Auto. Ins. Co., 11 Misc 3d 732 [Civ Ct, Kings County 2006].) In such cases it has been held that “[t]he right to have a decision made by the Trial Judge who presided over the entire matter is so basic and fundamental that it is not waived by the failure of counsel to object at the time of the [trial].” (Matter of Connelly-Logal v West, 272 AD2d 920 [4th Dept 2000]; see also State of New York v General Elec. Co., 215 AD2d 928 [3d Dept 1995]; People v Cameron, 194 AD2d 438 [1st Dept 1993]; People v Hooper, 22 AD2d 1006 [4th Dept 1964].)

It thus is clear that where a judge is acting as a finder of fact, such as in a hearing or a nonjury trial, or has heard the oral argument on a motion, that same judge should be the person who renders the decision or issues the verdict. Here, however, the finder of fact was a jury.

Our own Second Department has held that the trial judge’s role in a criminal jury case is restricted by statute to questions of law. Factual review is reserved exclusively to the jury and, on appeal, to the Appellate Division. The trial judge therefore has neither the duty nor the authority to evaluate witness credibility. In People v Thompson (222 AD2d 156, 159 [2d Dept 1996], affd 90 NY2d 615 [1997]), the judge who began the criminal trial was replaced in midtrial by another judge, and the appellate court held that absent demonstrable prejudice, substitution by a new trial judge who has reviewed and become thoroughly familiar with the trial record was proper. (Id. at 157.)

More recently, in People v Thomas (45 AD3d 483 [1st Dept 2007]), a judge became incapacitated during a criminal trial. The court held that in the absence of undue prejudice, she could be replaced by a substitute jurist who indicates on the record the requisite familiarity with the proceedings.

Similarly, it has been found that there is no Judiciary Law § 21 impediment to the determination of a post-trial motion, not argued orally, by a replacement judge from the same court and county, because the perspective of the trial judge was not essential to proper evaluation of such motion. (Bonasera v Town of Islip, 19 AD3d 525 [2d Dept 2005].) Indeed, absent from the Bonasera decision is the requirement that the replacement judge attest to her familiarity with the record. The court in Weiss v City of New York (277 AD2d 36 [1st Dept 2000]) also held that Judiciary Law § 21 does not prohibit a substitute judge from [495]*495deciding a matter where purely legal questions are at issue, all relevant argument is preserved in the record, and there is no requirement that credibility be assessed or that conflicting testimony be weighed (citing Plunkett v Emergency Med. Serv. of N.Y. City, 234 AD2d 162 [1st Dept 1996] [presiding judge died after submission of oral and written motions to set aside jury verdict but before decision thereon]).

The leading case in this area remains People v Thompson (90 NY2d 615 [1997], supra) where the trial judge became ill and thus was unable to complete the trial, and was replaced by another who familiarized himself with the record and denied a motion for a mistrial. Citing People v Vilardi (76 NY2d 67 [1990]), the Thompson court held that there is no state constitutional mandate for a jury trial before the same judge from start to finish (90 NY2d at 620-621), and noted that as the Federal Rules of Criminal Procedure provide guidelines for the substitution of a judge during a jury trial, there is no violation of due process under the Federal Constitution. Specifically addressing Judiciary Law § 21, the court found that the “provision does not prevent the substitution of a Judge in a jury trial since the ultimate determination of guilt or innocence belongs to the jury and not the Trial Judge.” {Id. at 621.)

This present motion made to set aside the verdict based on “a matter of law” does not require, as a basis for determination, that the court adopt or reject any evidence adduced at the trial. As is discussed in more detail below, a court addressing a motion under CPL 330.30 (1) has less authority than an intermediate appellate court, because it must deal solely with legal issues and is barred from making findings of fact or exercising discretion in the interests of justice. (Preiser, Practice Commentaries, McKinney’s Cons Laws of NY, Book 11 A, CPL 330.30, at 69 [2005 ed]; People v Sheltray, 244 AD2d 854 [4th Dept 1997], lv denied 91 NY2d 897 [1998]; People v Garcia, 237 AD2d 42, 48 [1st Dept 1998], revd on other grounds 93 NY2d 42 [1999]; People v Ponnapula, 229 AD2d 257 [1st Dept 1997].)

Because a decision on a motion to set aside a verdict is based entirely on legal principles, and this court has read and become familiar with the entire record of the trial that has been submitted by the parties, it finds that there are no grounds for a mistrial based upon a violation of Judiciary Law § 21. Accordingly, that branch of the motion which seeks a mistrial based upon the ground that this court is barred from deciding this motion is denied.

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Related

People v. Hampton
992 N.E.2d 1059 (New York Court of Appeals, 2013)

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Bluebook (online)
27 Misc. 3d 492, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-hampton-nysupct-2010.