Lead Opinion
delivered the opinion of the court:
The question presented in this case is whether a trial judge’s absence from the courtroom during a portion of the cross-examination of a witness at a murder jury trial constitutes per se reversible error, or whether prejudice to defendant must be shown in order to warrant reversal. We hold that judicial absence during a felony trial constitutes per se reversible error.
Background
The record in the present case reveals that in December 1990, defendant, Israel Vargas, was tried and convicted by a jury in the circuit court of Cook County for first degree murder on an accountability theory. The State’s evidence at trial was essentially as follows. On January 17, 1990, at approximately 9:30 p.m., defendant, Raphael Padilla, and James Kallenborn, all members of the Satan Disciples street gang, discussed "putting a hit” on a member of the Vice Lords, a rival gang, in retaliation for a previous shooting incident between the two gangs. Later that evening, shortly before 10 p.m., the three men were walking along 63rd Street toward Artesian Avenue when they saw the victim, Alvin Gill, in front of a residence located on Artesian. Defendant, Padilla, and Kallenborn believed that the victim was a member of the Vice Lords because the bill of the victim’s cap was positioned off to the left, indicating to them that he was a member of a rival gang.
Upon seeing the victim, Padilla pulled out a gun and fired a shot at the victim. In
The trial judge’s absence in this case occurred as testimony was being elicited from Assistant State’s Attorney Michael Vittori. During the State’s direct examination of Vittori, Vittori read into evidence a handwritten statement taken by him from defendant wherein defendant describes, in detail, his involvement in the victim’s murder. Shortly after defendant’s attorney began his cross-examination of Vittori, the trial judge briefly excused himself from the courtroom. On this matter, the record reveals that the following occurred:
"THE COURT: Excuse me, Mr. Flanagan [defense counsel]. I have Judge Brady on the phone. You can continue. If you need me, let me know. (Judge exited.)
MR. FLANAGAN: Q. Now, your job as a State’s Attorney is to prosecute for the People of the State of Illinois, is that correct?
A. That is correct.
Q. And that is what you were doing January 18th of 1990, isn’t that right?
A. I was a prosecutor at that time, yes.
Q. And you were working in Felony Review?
A. That is correct.
Q. And I believe you told the ladies and gentlemen of the jury that when you work Felony Review you assist in the investigation of cases, isn’t that right?
A. Yes.
Q. And you gather evidence?
A. Yes. We talk to witnesses, we talk to defendants if they are willing to talk with us.
Q. And the purpose of that is ultimately to be used in court, isn’t that right?
A. Yes.
Q. That is what you told [defendant] when you spoke to him on January 18th, isn’t that right, anything that he’d say would be used in court, didn’t you tell him that?
A. That[’s] right. I did inform him of, yes.
Q. And that is part of your job, isn’t it?
A. Yes.
Q. So when you were talking to [defendant] you were acting as an attorney for the State of Illinois and not as his attorney?
A. Yes. That is what I told him.
Q. And your job as a State’s Attorney was to gather evidence to prosecute [defendant], isn’t that right?
A. No. We gather information—
MS. RODI [prosecutor]: Objection.
MR. FLANAGAN: Miss Court Reporter, could you make a note of where that is and then I can continue along another line.
Any objection counsel?
MS. RODI: No.
MR. FLANAGAN: Q. Now, in January of this year how long had you been working as a State’s Attorney?
A. In January of 1990 I had been working, it wasn’t four years yet because I started in June of 1986.
(Judge entered.)
MR. FLANAGAN: Judge, we did have an objection and it was one question ago. Maybe we could go back to that question. I would respectfully ask for your ruling.
THE COURT: You ask for what?
MR. FLANAGAN: Your ruling.
THE COURT: Well, what is the question?
MR. FLANAGAN: If the court reporter can read it back?
THE COURT: All right.
(The Court Reporter read the record.)
And there was an objection to that?
MR. FLANAGAN: Yes.
THE COURT: Overruled. He may answer.”
After Vittori’s testimony, the State rested its case in chief. The defense rested without presenting any evidence. Following closing arguments, the jury found defendant guilty
Defendant sought review of his conviction in the appellate court arguing, inter alia, that the trial judge’s absence during a portion of the cross-examination of Vittori was plain error which mandated a reversal of his conviction. The appellate court held that the trial judge’s absence was error, but determined that the error was harmless.
Analysis
The sole issue which defendant asks us to review is the correctness of the appellate court’s conclusion that the trial judge’s absence during Vittori’s cross-examination was harmless error. Defendant’s position on this issue is twofold. Defendant contends that a trial judge’s absence during the presentation of evidence at a felony criminal jury trial constitutes per se reversible error. In the alternative, defendant argues that even assuming that such absence does not amount to per se reversible error, reversal is still warranted because a trial judge’s absence is error and, in the present case, defendant suffered prejudice from that error.
Defendant’s contention that the trial judge’s absence in this case constitutes per se reversible error is based in large part on the defendant’s theory that a trial judge’s presence throughout the trial is necessary to preserve the integrity and reputation of the judicial process. Defendant argues that the judge’s presence is required to prevent inattentiveness on the part of jurors, improper conduct by the attorneys, and general disorderliness in the courtroom during a criminal jury trial, which have the potential of prejudicing defendant. Defendant further maintains that jurors expect that a judge will always be present during the course of the proceedings and that the judge’s absence may cause jurors to believe that evidence presented during the judge’s absence is, in the judge’s opinion, of lesser importance.
Defendant contends that even if the absence of the trial judge did not constitute per se reversible error, defendant’s conviction should be reversed because Vittori "was the single most important witness in this case, for he testified to a statement supposedly made to him by [defendant], and the State’s claim of accountability rested primarily on this statement.” Defendant argues that the judge’s decision to leave the courtroom in order to take a phone call during the cross-examination of Vittori prejudiced defendant by creating the impression that the judge did not consider the cross-examination to be significant. Defendant also claims that any inattention or distraction by the jurors which might have been caused by the judge’s absence during the cross-examination of this critical witness was likely to prejudice defendant.
The State initially counters that defendant has waived review of the trial judge’s absence. The State points out that defendant did not object to the judge’s absence at trial but instead proceeded, in the trial judge’s absence, to continue with the cross-examination of Vittori. The State also points out that defendant did not raise an objection to the trial judge’s absence in a post-trial motion. The State argues that these inactions, either individually or collectively, are sufficient to preclude our review of defendant’s challenge to the trial judge’s absence.
In the alternative, the State contends that even if defendant’s objection to the trial judge’s absence in the instant case is reviewable, the appellate court correctly held that such absence did not amount to reversible error. The State disagrees with defendant’s position that the trial judge’s absence constitutes per se reversible error in the present case. Instead, the State argues that the appellate court correctly interpreted the decisions of this court to conclude that a trial judge’s absence during a portion of a criminal jury trial, without a showing of prejudice to defendant, is harmless error. The State maintains that, in the present case, the trial judge’s absence from the bench was harmless error because defendant was actively proceeding with the cross-examination of Vittori in the trial judge’s absence, the trial judge was in effective control of the proceedings during his absence from the bench, and nothing
We begin our analysis by noting that the State is correct in its assertion that any error arising from defendant’s failure to object to the trial judge’s absence would generally be considered waived. Ordinarily, a defendant must object to alleged errors at trial and include the objection in a post-trial motion in order to preserve the issue for appellate review. People v. Enoch,
The waiver doctrine, however, is not absolute. Supreme Court Rule 615(a) provides that plain errors affecting substantial rights may be reviewed on appeal, though not objected to at trial and in a post-trial motion. 134 Ill. 2d R. 615(a). The purpose of the plain error rule is to afford certain protections to the accused by correcting serious injustices and to preserve the integrity and reputation of the judicial process. See People v. Young,
Although the evidence in the case sub judice is not closely balanced, we believe that the second prong of the plain error rule should be invoked to review the judge’s absence from the bench. The plain error rule permits a reviewing court "to take notice of errors appearing upon the record which deprive the accused of substantial means of enjoying a fair and impartial trial.” People v. Howell,
In our view, two policy concerns support the conclusion that the judge’s absence from the bench in the present case is reviewable under the plain error rule. First, a judge’s active presence on the bench during a criminal jury trial is an essential safeguard which aids in providing a defendant with a fair trial. Second, we believe that a judge’s absence from the bench might unduly influence the attitude of jurors so as to deny defendant an impartial trial. We discuss each of these points in turn.
During a criminal jury trial, a necessary function of the trial judge is to supervise the courtroom, rule on objections as they arise during the course of the proceedings, and deter any objectionable conduct to the detriment
"Even though the trial judge was within hearing of what was going on in the court room, he could not promptly have stopped the remarks of the prosecuting attorney on his own motion. It would be necessary first for him to return to the court room. *** The fact that the statement of the prosecutor was stricken out, on motion, after the judge returned to the court room could not take from the minds of the jurors the effect of the speech any more than the placing of a blotter upon an ink blot could remove entirely the effects of the blot of ink from a clean white sheet.” Chrfrikas,295 Ill. at 228-29 .
A judge’s absence from the bench during the course of the trial may create a negative impression in the minds of the jury to the detriment of the defendant. This court has explained that "Qjurors are ever watchful of the attitude of the trial judge and his influence upon them is necessarily and properly of great weight, thus his lightest word or intimation is received with deference and may prove controlling.” People v. Marino,
"It is impossible for us to say that no injury resulted to [defendant] from the substitution, in the manner heretofore indicated, of one judge for another during the trial of the cause. *** It cannot be known what impression this change may have made upon the minds of the jury to the prejudice of [defendant].” Durden,192 Ill. at 507 .
We are of the view that just as an unwarranted substitution of judges after most of the trial has transpired has the potential of affecting the jury’s impartiality to the detriment of the defendant, the sudden absence of the trial judge in the present case had similar potency. In this case, the presiding trial judge totally absented himself from the proceedings during the testimony of the final witness in defendant’s trial. As in Durden, we cannot say that the presiding judge’s sudden absence did not affect the impartiality of the jurors and thereby result in prejudice to defendant. Therefore, we are persuaded that the presiding trial judge’s total absence from a portion of the proceedings during defendant’s murder trial must be viewed as so detrimental to the integrity and reputation of the judicial process as to constitute
We have set forth above the policy reasons why we view the trial judge’s absence from the bench during defendant’s prosecution as plain error requiring relaxation of the waiver doctrine. For similar reasons of policy we also hold that the nature of the error — total judicial absence for a portion of a felony trial — is per se reversible because such error is inherently prejudicial, not only to defendant’s right to a fair trial but also to the integrity of the judicial process.
The appellate court relied on precedent from this court in support of its conclusion that error arising from the judge’s absence from the courtroom should be subject to harmless error analysis requiring a specific showing of prejudice to defendant. Accordingly, we examine the prior cases of this court, dating back to the nineteenth century, which have considered issues involving judges’ absences from court proceedings.
In reaching its conclusion that the trial judge’s absence in the present case was harmless error, the appellate court stated that- "in each case where the supreme court has had occasion to address the issue of a judge’s absence from the bench, the court, while specifically disapproving of the practice, has reversed only where the defendant suffered prejudice as a result of the judge’s absence.”
We disagree with the appellate court’s holding that Illinois precedent compels the conclusion that the trial judge’s absence during a portion of defense counsel’s cross-examination of Vittori amounted to harmless error. The appellate court misinterpreted this court’s decisions in Meredeth v. People,
In Meredeth, this court held that a judge’s absence from a murder trial during two successive days of closing argument was so fundamentally irregular and improper as to warrant automatic reversal of defendant’s conviction, notwithstanding evidence indicating
that the judge’s absence was by consent of defense counsel. Meredeth declined to view the judge’s absence during closing argument as harmless because "[i]f [the judge] could be absent during any part of the trial *** on the same principle his absence during the entire trial might be justified.” Meredeth,
Subsequently, in Thompson, this court again reversed a conviction because of the judge’s absence, and reiterated as conclusive the rule announced in Meredeth, that "the presence of the judge during the argument of a criminal case could not even be dispensed with by consent of the parties.” Thompson,
The
In the case at bar, the trial judge was completely absent for a portion of the trial proceedings and therefore the "constructive presence” approach of Schintz has no application. Nor do we find persuasive other cases, decided after Schintz, in which a harmless error standard of review was employed to excuse errors involving judicial absence. For example, in People v. Berkowitz,
We reaffirm the view of Meredeth, Thompson, and Durden that a presiding trial judge’s total absence from the proceedings is per se reversible error because the judge’s presence is vital to the preservation of the integrity of the justice system and the defendant’s right to a fair trial. These cases decline to search for or require a defendant to demonstrate actual prejudice arising from the trial judge’s disappearance during trial, but instead assume that such absence is inherently prejudicial. See, e.g., Meredeth,
We conclude that, because of the significant public and private interests involved in a criminal jury trial, a harmless error rule standard of reviewing a judge’s complete absence from the bench is ill-advisable in felony cases. A defendant’s liberty, as well as the State’s interest in convicting the guilty, are at stake in every criminal trial. A presiding judge’s supervision over every stage of the proceedings precludes speculation that jurors may perceive evidence received in the judge’s absence as less significant, and impresses upon jurors the importance of the interests of the State and the defendant. A rule that a trial judge’s absence from the proceedings is harmless would open the door to abuses which could hinder those interests and undermine public confidence in judicial proceedings. In our view, only a rule which requires reversal when a judge totally absents himself or herself from the proceedings will effectively remove any incentive which might otherwise exist for the judge to disregard the significant interests involved in a criminal trial. Therefore, we join hands with this court’s prior decisions which have observed that "the presence of the judge can not be dispensed with.” Thompson,
For the foregoing reasons, the judgments of the circuit and appellate courts are reversed and this cause is remanded to the circuit court for a new trial.
Appellate court judgment reversed; circuit court judgment reversed; cause remanded.
Dissenting Opinion
dissenting:
I agree that it is error for a trial judge to leave the bench during a felony trial without first calling a recess. I cannot agree, however, with the majority’s adoption of a rule which makes such an error per se reversible. In my view, reversal in this situation should be predicated on whether the defendant was prejudiced by the trial judge’s absence. I would find in this case that the trial judge’s absence from the bench caused no prejudice to the defendant and does not require reversal of his conviction.
The majority concludes that a rule of per se reversal is required by this court’s prior precedent. To the contrary, this court’s precedent clearly supports a rule that requires reversal only where the defendant has been prejudiced as a result of the judge’s absence.
In People v. Berkowitz,
On appeal, the defendant argued that the trial judge’s absence required reversal of his
The majority acknowledges the Berkowitz decision, but labels it "aberrant precedent” and declines to follow it. When this court’s prior precedent is objectively reviewed, however, it is apparent that Berkowitz may not be so easily disregarded. Berkowitz did not represent a dramatic change in this court’s precedent. This court in earlier cases had conducted prejudice evaluations when determining whether a trial judge’s absence required reversal. See Bolton,
In Meredeth, the trial judge was absent from the bench for almost two days during arguments in the defendant’s murder trial, and the judge’s place on the bench was occupied successively by two members of the bar. More importantly, order was not maintained in the courtroom. Specifically, the record showed that, during the trial, no bullet had been found in the body of the victim and defendant’s counsel based his argument on that fact. After the defense argument concluded, and while the trial judge was absent, a bystander in the courtroom discovered what appeared to be a bullet in a piece of the victim’s skull. It was established that, during the judge’s absence:
"evidence [was] allowed to be handled in the sight and nearly in the hearing of the jury, and that, when the shot was discovered in the skull, it was seized by the spectators, and passed from one excited group to another, and the party making the affidavit states he 'believes that their words, eyes, conversations and excited gesticulations exercised a great influence on the jury.’ ” Meredeth,84 Ill. at 481 .
Reversal in Meredeth was thus warranted by the prejudice the defendant suffered as a result of the trial judge’s absence from the proceedings.
Similarly, in Thompson, the circumstances of the trial judge’s absence supported a finding that the defendant had been prejudiced by the absence. In that case, the trial judge left the bench during closing arguments, during which time repeated objections were made by the defense. As a result of the judge’s absence, no rulings were ever obtained on these objections. This court determined that reversal of the defendant’s conviction was warranted by the judge’s absence. In reaching this holding, however, this court acknowledged that the circumstances of the judge’s absence will dictate whether reversal is warranted. Specifically, the court noted that a different result might have been reached had the judge, during his absence, remained in a position to pass upon questions raised during the arguments. Thompson,
The third case relied upon by the majority, Durden, addressed a situation entirely different from that presented here. In Durden, the alleged error was not the absence of the trial judge, but the substitution of a new judge in the trial judge’s place midway through the defendant’s trial. In that case, the trial judge vacated the bench (and, in fact, the county) during the defendant’s trial and took no further part in the proceedings until the hearing on a motion for a new trial. Another judge sat in the trial judge’s
Accordingly, in each case the majority cites as support for its holding that reversal is required regardless of prejudice, there was prejudice to the defendant, and it was that prejudice which justified reversal of the defendant’s conviction. Admittedly, some dicta in Meredeth could be read to suggest that the lack of prejudice would not preclude reversal. See Meredeth,
In sum, the majority’s attempt to justify a rule of per se reversal on the basis of this court’s past precedent is unavailing. Our precedent shows that reversal is appropriate only where the defendant has been prejudiced. Moreover, I believe that predicating reversal on a finding of prejudice is the better reasoned approach. Where a trial judge is temporarily absent from the bench but the circumstances demonstrate that no prejudice accrued to the defendant, no justification exists for reversing the defendant’s conviction and granting a new trial. The defendant has received a fair trial, and a new trial would unjustly reward the defendant and constitute an unnecessary waste of judicial resources. A scenario may easily be envisioned where a trial judge leaves the bench for only the slightest period of time, during which time only the most inconsequential of proceedings take place. One such situation could arise, for instance, where, during the judge’s absence, a witness is sworn and asked to state his or her name for the record. To suggest that a new trial is automatic in this scenario without any inquiry into whether the defendant was prejudiced by the judge’s absence is absurd. Yet, the majority’s rule, which deems prejudice to the defendant irrelevant, would seem to require such a holding.
I would therefore hold that a trial judge’s temporary absence from a felony trial may be considered harmless error where the defendant has not been prejudiced by the absence. Applying this standard, I would find the error in this case to be harmless. The circumstances of the trial judge’s absence here reveal that no prejudice to the defendant resulted. The trial judge’s absence occurred during the defendant’s cross-examination of the assistant State’s Attorney who took the defendant’s written confession. A total of 11 questions were asked of the witness during the judge’s absence. The text of this questioning is set out in the majority opinion. All of the questions sought to determine the witness’ job duties in the felony review unit of the State’s Attorney’s office and whether those duties included the gathering of evidence for criminal prosecutions. No objections were made by the State to any of the questions until the tenth question. The judge apparently returned to the courtroom moments later, after only one additional question had been asked. Upon his return, the judge immediately ruled on the objection, overruling it.
These facts show that the judge was not absent from the proceedings for a significant period of time. To the contrary, the judge was absent long enough only for 11 brief questions to be asked, which could not have been more than a few minutes. Also, the questions asked during the absence were merely background questions, and did not go
It is also significant that defense counsel made no complaint about the judge’s absence in the trial court nor otherwise made any record that anything prejudicial to the defendant had occurred during the judge’s absence. Obviously, defense counsel did not consider the judge’s absence to be a significant event. This circumstance should certainly be considered probative of whether anything occurred during the judge’s absence that adversely affected the defendant’s interests. Presumably, had the courtroom erupted into chaos during the judge’s absence, defense counsel would have noted it for the record. Moreover, as the majority concedes, the evidence in this case was not closely balanced.
In conclusion, the circumstances present in this case demonstrate that the defendant was not prejudiced by the trial judge’s brief absence. I would therefore affirm the defendant’s conviction.
For the foregoing reasons, I respectfully dissent.
JUSTICE NICKELS joins in this dissent.
