People v. Rivera

258 A.D.2d 172, 691 N.Y.S.2d 4
Appellate Division of the Supreme Court of the State of New York·Decided April 22, 1999·Published·Cited by 16 cases

Opinions

OPINION OF THE COURT

Williams, J.

During the period from August to December 1995, the New York City Police Department ran an undercover drug investigation of the sale of “Good Job” brand heroin in the area of 136th Street and Amsterdam Avenue. The undercover officer acting as the drug purchaser made 13 purchases of “Good Job” in the course of the investigation. Each transaction was recorded on both videotape and audiotape. The operation resulted in the arrests in January 1996 of defendant and 11 of his cohorts on -a 15-count indictment charging them with criminal sale of a controlled substance and conspiracy; all but one of them was convicted.

The charges against defendant arose from a transaction which took place on December 5, 1995 at approximately 11:35 a.m. The undercover officer, wearing a transmitter which fed audio to the video camera recording the transaction, approached defendant who was standing in front of an apartment building at 508 West 136th Street. Defendant asked the undercover what he wanted, and the undercover replied that he wanted “50”. After reassuring defendant that he was not a [174]*174police officer, the undercover asked for one of the codefendants, Enrique Serra, with whom he had engaged in transactions before. “Good Job” was mentioned twice, at least once by defendant, and defendant then stated that he would have to contact Serra by beeper. Defendant then proceeded to the corner of 136th Street and Amsterdam Avenue to use the pay phone there. Upon his return, he advised the undercover officer that he had beeped Serra, who was on his way. After about five minutes, a gray van pulled in front of 508 West 136th Street. Serra and a man he introduced as his bodyguard emerged from the van, greeted the undercover, and began negotiating with him regarding a drug transaction. Defendant departed the scene soon after Serra arrived and was not present at the subsequent drug transaction, where the undercover purchased $5,000 worth of “Good Job”.

The evidence against defendant at trial consisted of the undercover’s testimony as stated above, followed by the December 5, 1995 videotape of that transaction. The videotape also included, subsequent to the transaction with the undercover, defendant apparently engaging in at least one more transaction as well as a conversation with Serra. Two codefendants testified that defendant acted as a “pitcher” for the “Good Job” brand and that they had observed him conduct sales.

At the point in the trial when the People indicated that they wished to use the December 5, 1995 tape, the defense requested an audibility hearing with defendant present at the hearing. The court granted the hearing, but excluded defendant and the five codefendants with whom he was tried, citing the problem of security logistics with the numerous defendants involved as well as his view that the audibility determination was purely legal, such that defendant’s presence was unnecessary. The tape had previously been provided to the defense and had been reviewed by defense counsel.

The court reviewed the tape, noted that its audibility was problematic, but nevertheless admitted it into evidence on the basis that the relevant dialogue was brief, that there were three to four interactions between the undercover and defendant, and that the defendant was “heard to speak words that are audible words that have some significance”. The court found that the “inaudible language does not permit the jury to speculate unfairly [as] to Mr. Rivera and in favor of the People’s case”. Counsel took no further objection to the court’s ruling that the defendant not be present nor did he advise that he had not reviewed the tape with defendant when it was in his [175]*175possession, defendant’s attorney being content to only object to the poor sound quality of the tape.

The major issues presented by this appeal are whether defendant’s absence from the audibility hearing constitutes reversible error, and whether it was an abuse of the trial court’s discretion to admit the partially inaudible videotape into evidence. Since defendant’s attorney had previously received the tape and had a chance to review the tape with defendant, excluding defendant from the audibility hearing was not error, inasmuch as the hearing was strictly confined to the tape’s audibility qualities, which admission was well within the discretion of the court. In addition, defendant was present in court when the tape was played and heard the testimony with regard to the tape. At no time did he offer an objection to what was contained in the tape.

A New York defendant’s right to be present at material stages of trial is grounded in the Confrontation and Due Process Clauses of the United States and New York Constitutions as well as in CPL 260.20 (People v Sprowal, 84 NY2d 113, 116-117). The constitutional guarantees extend to “core” proceedings, which, pursuant to the Confrontation Clause, have been defined as stages “where witnesses or evidence against [defendant] are being presented to the trier of fact”, and pursuant to the Due Process Clause, as stages where the defendant’s presence might impact his ability to defend himself at a critical stage of the criminal proceeding (supra, at 117; Kentucky v Stincer, 482 US 730, 744-746). The statutory guarantee is broader and encompasses the right to be “personally present during the trial of an indictment” (CPL 260.20). This right includes certain of the so-called “ancillary’ proceedings as well as all core proceedings (People v Morales, 80 NY2d 450, 455-457).

Ancillary proceedings that have been held to require the defendant’s presence include those wherein the defendant’s presence may be useful because he has special knowledge about the facts at issue or is capable of making a valuable contribution, such as Ventimiglia hearings (People v Spotford, 85 NY2d 593), Sandoval hearings (People v Dokes, 79 NY2d 656), or voir dire of prospective jurors (People v Sprowal, 84 NY2d 113, supra; People v Sloan, 79 NY2d 386). Proceedings where the issue is a legal one, such as bench conferences concerning the stipulation of the contents of a medical record or setting up the remainder of the trial schedule or a motion for a trial order of dismissal, do not require the defendant’s presence (People v [176]*176Velasco, 77 NY2d 469). The key concern under the statutory guarantee is “the effect that defendant’s absence might have on the opportunity to defend” (People v Morales, supra, at 456).

Although the matter presents an issue novel to New York appellate courts, an audibility hearing would appear to be an ancillary proceeding which often will not require the defendant’s presence. An audibility hearing addresses the preliminary issue of whether the utterances on a tape are sufficiently clear and understandable to be admissible into evidence at trial, a determination within the sound discretion of the court (see, People v Mitchell, 220 AD2d 813, lv denied 87 NY2d 905; People v Watson, 172 AD2d 882; United States v Bryant, 480 F2d 785 [2d Cir]; United States v Arango-Correa, 851 F2d 54 [2d Cir]; In re Audibility of Certain Recorded Conversations, 691 F Supp 588). The court’s discretion is broad in deciding audibility and such discretion includes who is to be present at the hearing and the procedure to be followed; under certain circumstances even counsel may be excluded.

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People v. Rivera, 258 A.D.2d 172, 691 N.Y.S.2d 4 (N.Y. Ct. App. 1999).

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