People v. Evans, 94 N.Y.2d 500 (2000)
A Sandoval ruling, which determines the extent to which a prosecutor can cross-examine a defendant about prior bad acts, is an evidentiary ruling based on the trial court’s discretion and is not binding on a successor judge in a retrial under the law of the case doctrine.
Summary
Following a hung jury, the defendant was retried for armed robbery. At the first trial, the judge issued a Sandoval ruling precluding the prosecution from cross-examining the defendant about his extensive criminal record. At the retrial, a different judge ruled that the prosecution could inquire about three felony convictions and one misdemeanor. The defendant argued that the law of the case doctrine bound the second judge to the first judge’s Sandoval ruling. The New York Court of Appeals held that a Sandoval ruling is an evidentiary ruling based on the trial court’s discretion, and thus, the law of the case doctrine did not require the successor judge to adhere to the original Sandoval ruling. This determination turned on the discretionary, evidentiary nature of Sandoval hearings, distinguishing them from suppression hearings which involve determinations of law and fact.
Facts
The defendant was accused of armed robbery. Prior to the first trial, Justice Leff conducted a Sandoval hearing regarding the admissibility of the defendant’s prior convictions for impeachment purposes. The defendant’s record included a youthful offender adjudication, eight misdemeanor convictions (primarily drug-related), and three felony convictions (drug and weapons charges). Justice Leff precluded the prosecution from inquiring into any of the defendant’s prior criminal history. The first trial resulted in a hung jury. Before the retrial, Justice Figueroa determined that the prosecution could inquire into the three felony convictions and one misdemeanor conviction. The defendant did not testify at the second trial. The jury convicted him.
Procedural History
The first trial ended in a hung jury, and a retrial was ordered. Prior to the second trial, the defendant argued that the Sandoval ruling from the first trial was binding under the law of the case doctrine. Justice Figueroa disagreed and made a new Sandoval ruling. The defendant was convicted. The Appellate Division affirmed the conviction. The New York Court of Appeals granted leave to appeal.
Issue(s)
Whether the law of the case doctrine requires a successor trial judge to adhere to a Sandoval ruling made at a prior trial that ended in a hung jury.
Holding
No, because a Sandoval ruling is an evidentiary ruling based on the trial court’s discretion and does not bind a successor judge in a retrial under the law of the case doctrine.
Court’s Reasoning
The Court of Appeals distinguished the law of the case doctrine from res judicata (claim preclusion) and collateral estoppel (issue preclusion), noting that the law of the case addresses judicial determinations made during a single litigation before final judgment. Unlike res judicata and collateral estoppel, the law of the case is a judicially crafted policy that “expresses the practice of courts generally to refuse to reopen what has been decided, [and is] not a limit to their power.” The Court highlighted that a Sandoval determination is an evidentiary ruling based on the court’s discretion in controlling cross-examination and impeachment. This contrasts with a CPL article 710 suppression hearing, which involves mixed questions of law and fact and requires the court to make findings of fact and conclusions of law. The Court noted that while Sandoval determinations are typically made before trial, this timing does not change their character as evidentiary rulings. The Court emphasized the ad hoc discretionary nature of Sandoval rulings, quoting “the nature and extent of cross-examination have always been subject to the sound discretion of the Trial Judge,” (People v Sandoval, 34 N.Y.2d 371, 374, 376). Because Justice Leff’s original Sandoval ruling was solely an exercise of discretion, Justice Figueroa was not bound by it and could exercise his own discretion in deciding whether to revisit the issue. The Court’s distinction is crucial for guiding trial judges, indicating that routine evidentiary rulings are not binding in retrials, allowing flexibility, while determinations of law are more likely to be binding. This helps ensure fairness while preventing unnecessary relitigation of settled legal issues.