Opinion ID: 702298
Heading Depth: 2
Heading Rank: 2

Heading: Closure of Pretrial Hearings and Trial

Text: 22 In reviewing the district court's denial of Doe's closure motions, we examine the district court's findings of fact for clear error, its legal determinations de novo, and its ultimate decision to deny or grant a motion for closure for abuse of discretion, United States v. Lucas, 932 F.2d 1210, 1217 (8th Cir.1991), cert. denied, 502 U.S. 869, 929, 949, 991, 1100, 112 S.Ct. 199, 349, 399, 609, 1186, 116 L.Ed.2d 159, 288, 348, 632, 117 L.Ed.2d 429 (1991-92). However, because the district court's discretion is significantly circumscribed by constitutional principles set forth by the Supreme Court, this court's review is more rigorous than would be the case in other situations in which abuse-of-discretion review is conducted. United States v. Local 1804-1, Int'l Longshoremen's Ass'n, 44 F.3d 1091, 1096 (2d Cir.1995) (describing standard for civil contempt proceedings); Morgan v. Foretich, 528 A.2d 425, 427 n. 3 (D.C.1987) (describing the standard for reviewing closure motions).
23 The tradition of the public trial has roots deep in English history, originating in the Anglo-Saxon moots, see Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 565, 100 S.Ct. 2814, 2821, 65 L.Ed.2d 973 (1980) (plurality opinion); Gannett Co. v. DePasquale, 443 U.S. 368, 419, 99 S.Ct. 2898, 2925, 61 L.Ed.2d 608 (1979) (Blackmun, J., concurring in part and dissenting in part), and continuing unbroken in this nation from the colonial period to the present day, see Richmond Newspapers, 448 U.S. at 567-69, 100 S.Ct. at 2822-23. Celebrated by Hale, Blackstone, and Bentham, openness has come to be seen as an indispensable attribute of an Anglo-American trial, which assures the accused a fair trial and discourage[s] perjury, the misconduct of participants, and decisions based on secret bias or partiality. Id. at 569, 100 S.Ct. at 2823. 24 Beyond enhancing the fairness of the trial itself, openness has broader value in the general administration of justice. [T]he sure knowledge that anyone is free to attend gives assurance that established procedures are being followed and that deviations will become known, Press-Enterprise Co. v. Superior Court, 464 U.S. 501, 508, 104 S.Ct. 819, 823, 78 L.Ed.2d 629 (1984) (Press-Enterprise I ) (emphasis omitted), thereby contributing to the public's perception of fairness in the criminal justice system and heightening public respect for the judicial process. Globe Newspaper Co. v. Superior Court, 457 U.S. 596, 606, 102 S.Ct. 2613, 2620, 73 L.Ed.2d 248 (1982). Free access of the press and public to criminal proceedings informs the populace of the workings of government and fosters more robust democratic debate. Id. at 604-05, 102 S.Ct. at 2618-19. Finally, open trials serve a therapeutic function for the community, providing an outlet for public outrage at crimes and vindicat[ing] the concerns of the victims and the community in knowing that offenders are being brought to account for their criminal conduct by jurors fairly and openly selected. Press-Enterprise I, 464 U.S. at 509, 104 S.Ct. at 823. 25 The open trial, however, has at times proven to be a two-edged sword for defendants, many of whom have felt the cut of prejudicial publicity. The conflict between public access to criminal proceedings and a defendant's right to a fair trial is as old as the Republic. Nebraska Press Ass'n v. Stuart, 427 U.S. 539, 547, 96 S.Ct. 2791, 2797, 49 L.Ed.2d 683 (1976) (discussing problem of ensuring an unbiased jury). In Gannett, 443 U.S. at 379-81, 99 S.Ct. at 2905-06, the Supreme Court, striking the balance in favor of the criminal defendant, determined that the Sixth Amendment guarantee of a public trial was personal to the accused and did not grant the press and general public an independent right of access, at least to pretrial suppression hearings. 26 In later cases, however, the Court reached the question reserved in Gannett, id. at 392-93, 99 S.Ct. at 2911-12, whether the First Amendment (or, via incorporation, the Fourteenth Amendment) is an independent source of a right to access to criminal proceedings. The Court has clarified that the press and public have a qualified right of access under the First and Fourteenth Amendments to at least some criminal proceedings. Waller v. Georgia, 467 U.S. 39, 44-45, 104 S.Ct. 2210, 2214, 81 L.Ed.2d 31 (1984). That right was first recognized with regard to the actual trial, see Richmond Newspapers, 448 U.S. at 580, 100 S.Ct. at 2829 (plurality opinion of Burger, C.J.), at 585, 100 S.Ct. at 2831 (Brennan, J., concurring in the judgment), at 599, 100 S.Ct. at 2839 (Stewart, J., concurring in the judgment), at 604, 100 S.Ct. at 2842 (Blackmun, J., concurring in the judgment); Globe Newspaper, 457 U.S. at 603-04, 102 S.Ct. at 2618, including the selection of jurors, Press-Enterprise I, 464 U.S. at 508-510, 104 S.Ct. at 823-24, and later in regard to certain pretrial proceedings, see Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 8-10, 106 S.Ct. 2735, 2740-41, 92 L.Ed.2d 1 (1986) Press-Enterprise II) (In determining whether a public right of access attaches to a proceeding, courts consider whether the proceeding has historically been open and whether public access plays a significant positive role in the functioning of the particular process in question.) (finding that the right attaches to preliminary hearings under California law). See also United States v. Haller, 837 F.2d 84, 87 (2d Cir.1988) (right of access attaches to plea hearings and related documents); In re New York Times Co., 828 F.2d 110, 116 (2d Cir.1987) (In re New York Times I ) (motion papers submitted for suppression hearing), cert. denied, 485 U.S. 977, 108 S.Ct. 1272, 99 L.Ed.2d 483 (1988), opinion after remand, 834 F.2d 1152 (2d Cir.1987) (per curiam) (In re New York Times II ), cert. denied, 485 U.S. 977, 108 S.Ct. 1272, 99 L.Ed.2d 483 (1988); In re Herald Co., 734 F.2d 93, 99-101 (2d Cir.1984) (suppression hearing). 27 Because the right of access to criminal proceedings is not absolute, it may give way in certain cases to other rights or interests, such as the defendant's right to a fair trial or the government's interest in inhibiting disclosure of sensitive information. Waller, 467 U.S. at 45, 104 S.Ct. at 2215. Given the presumption of openness, Press-Enterprise I, 464 U.S. at 510, 104 S.Ct. at 824, proceedings cannot be closed unless specific, on the record findings are made demonstrating that 'closure is essential to preserve higher values and is narrowly tailored to serve that interest.'  Press-Enterprise II, 478 U.S. at 13-14, 106 S.Ct. at 2742-43 (quoting id.). Addressing a defendant's claim that his right to a fair trial would be compromised if a preliminary hearing were opened to the public, the Supreme Court in Press-Enterprise II formulated the following balancing test for determining whether closure is appropriate: 28 If the interest asserted is the right of the accused to a fair trial, the preliminary hearing shall be closed only if specific findings are made demonstrating that, first, there is a substantial probability that the defendant's right to a fair trial will be prejudiced by publicity that closure would prevent and, second, reasonable alternatives to closure cannot adequately protect the defendant's fair trial rights. 29 478 U.S. at 14, 106 S.Ct. at 2743. 30 In In re Herald, a case decided prior to Press-Enterprise II, we announced a substantially similar test, although its application extended to cases in which more than a fair trial was at stake. We recognized that a person's physical safety, among other things, could in certain instances justify a closure order. 2 In re Herald, 734 F.2d at 100. We held that closure 31 should be invoked only upon a showing of a significant risk of prejudice to the defendant's right to a fair trial or of danger to persons, property, or the integrity of significant activities entitled to confidentiality, such as ongoing undercover investigations or detection devices. Though we do not believe that closure must be found to be the least restrictive means possible to avoid the perceived risk, the trial judge must consider alternatives and reach a reasoned conclusion that closure is a preferable course to follow to safeguard the interests at issue. 32 Id. (citations omitted). 33 It is worthwhile for us to restate the broader test of In re Herald, which is applicable here, in the language used by the Supreme Court in Press-Enterprise II. Moreover, the test should account for the recognition by the Supreme Court and this court that, in addition to the interests noted in In re Herald, the privacy interests of individuals may also warrant closure orders in certain circumstances. See Globe Newspaper, 457 U.S. at 607-608, 102 S.Ct. at 2620-21 (physical and psychological welfare of minor victims of sex crimes); Haller, 837 F.2d at 88 (privacy interests of labor organization officers and employees investigated but not indicted by grand jury); In re New York Times II, 834 F.2d at 1154 (privacy interests of third parties whose conversations are intercepted by electronic surveillance). 34 There are four steps that a district court must follow in deciding a motion for closure. First, the district court must determine, in specific findings made on the record, if there is a substantial probability of prejudice to a compelling interest 3 of the defendant, government, or third party, see Press-Enterprise II, 478 U.S. at 9 n. 2, 13-14, 106 S.Ct. at 2741 n. 2, 2742-43, which closure would prevent, id. at 14, 106 S.Ct. at 2743. Compelling interests may include the defendant's right to a fair trial, In re Herald, 734 F.2d at 100; privacy interests of the defendant, victims or other persons, Globe Newspaper, 457 U.S. at 607, 102 S.Ct. at 2620; Haller, 837 F.2d at 88; In re New York Times II, 834 F.2d at 1154; the integrity of significant [government] activities entitled to confidentiality, such as ongoing undercover investigations or detection devices, In re Herald, 734 F.2d at 100; and danger to persons or property, id.; see also United States v. Raffoul, 826 F.2d 218, 226 (3d Cir.1987). Second, if a substantial probability of prejudice is found, the district court must consider whether reasonable alternatives to closure cannot adequately protect the compelling interest that would be prejudiced by public access. Press-Enterprise II, 478 U.S. at 14, 106 S.Ct. at 2743. Third, if such alternatives are found wanting, the district court should determine whether, under the circumstances of the case, the prejudice to the compelling interest override[s] the qualified First Amendment right of access, id. at 9, 106 S.Ct. at 2741. Fourth, if the court finds that closure is warranted, it should devise a closure order that, while not necessarily the least restrictive means available to protect the endangered interest, In re Herald, 734 F.2d at 100, is narrowly tailored to that purpose, Press-Enterprise I, 464 U.S. at 510, 104 S.Ct. at 824; Globe Newspaper, 457 U.S. at 606-07, 102 S.Ct. at 2619-20. 35 Doe claims that the district court applied the wrong legal standard in adjudicating his closure motions. In deciding Doe's pretrial closure motions, the district court quoted the Supreme Court's holding in Waller v. Georgia, supra, that a defendant seeking closure must  'advance an overriding interest that is likely to be prejudiced'  if closure is denied, and must show that the closure is  'no broader than necessary to protect that interest.'  See Waller, 467 U.S. at 48, 104 S.Ct. at 2216. Doe faults the district court for applying a test that the Supreme Court invoked for determining when a closure order imposed over the defendant's objection violates the defendant's Sixth Amendment right to a public trial, see 467 U.S. at 40-41, 104 S.Ct. at 2212, rather than the test applicable when the defendant waives that right and requests a closed trial. 36 The district court did not apply the wrong standard. The same test applies whether a closure motion is made by the government over the defendant's Sixth Amendment objection or made by the defendant over the First Amendment objection of the government or press. Waller, 467 U.S. at 47, 104 S.Ct. at 2216 (In sum, we hold that under the Sixth Amendment any closure of a suppression hearing over the objections of the accused must meet the tests set out in Press-Enterprise [I] and its predecessors.). The substantial probability of prejudice language in Press-Enterprise II represents a refinement of, not a departure from, the Waller and Press-Enterprise I standards. If a defendant objects to closure under the Sixth Amendment, that may affect the interests that the district court must balance. Cf. Waller, 467 U.S. at 47 n. 6, 104 S.Ct. at 2216 n. 6 (One of the reasons often advanced for closing a trial--avoiding tainting of the jury by pretrial publicity--is largely absent when a defendant makes an informed decision to object to the closing of the proceeding. (citation omitted)). Nevertheless, the same standard applies whether the defendant is seeking or objecting to closure. The district court essentially applied the standard that we have clarified from precedent above. 37 In denying Doe's subsequent motion to close part of the trial--namely, his testimony, the defense summation, and the jury charge--the district court did not state what standard it applied. There is nothing in the record to indicate that it did not apply the same standard it used in denying the pretrial motions. Therefore, we assume that the district court applied the Waller standard in deciding not to close the trial. The use of that standard was not erroneous, despite our holding in Woods v. Kuhlmann, 977 F.2d 74, 76 (2d Cir.1992), that a party seeking partial closure of a proceeding need only advance a substantial reason rather than an overriding interest. 38 The closure involved in Woods was minimal. In that case, to allay a government witness's fear of retaliation, the trial court excluded only members of defendant's family from the courtroom and only for the duration of the witness's testimony. Id. In reviewing that closure order, we adopted the substantial reason test out of concern that the overriding interest standard required under Waller to justify total closure of a proceeding was too stringent when only partial closure of the proceeding was at issue. Id. 39 We do not read Woods to require the same showing of prejudice whenever a party seeks an order short of total closure. The burden on the movant to show prejudice increases the more extensive the closure sought. When limited closure comparable to that in Woods is at issue, the prejudice asserted need only supply a substantial reason for closure. When the closure sought is total or nearly so, the district court must find the prejudice to be overriding. The partial closure sought by Doe was far more extensive than that in Woods. The district court found that closure would have to extend to at least the opening statements, the testimony of certain government witnesses and the defendant, the summations, and the jury charge--effectively the whole of the trial. Under these circumstances, the defendant must make a higher showing of prejudice to justify closure than was necessary in Woods; the defendant must show that prejudice to the compelling interest overrides the qualified First Amendment right of access, as required under Waller and the third prong of the general closure standard set forth above. 40 Accordingly, we hold that the district court did not apply an erroneous standard in deciding the motions for closure of both the pretrial hearings and the trial. We turn now to the district court's application of the law in denying Doe's closure motions.
41 As stated above, we reject Doe's contention that the district court should have applied to his closure motions a standard more lenient than the stringent one set forth in Press-Enterprise II and Waller v. Georgia. The district court brought the proper standard to bear on Doe's requests for closure; the question is whether the court abused its discretion in applying these standards en route to its denial of Doe's motions. 42 The district court did not explicitly address the question of substantial probability of danger to Doe. Nonetheless, the record shows that the court did advert to the possibility that Doe and his family might face retribution from the criminal syndicate. In its written order, in response to Doe's request for closure of pretrial hearings, the district court ordered that certain safeguards be taken to protect Doe and his family. Further, the district judge stated to Doe that [he] to a degree shared [Doe's] concern about safety, and that he did not want to minimize [Doe's] welfare ... [or] minimize his family's welfare. At the same time, however, the district court noted in several places that Doe had not alleged any direct threat, and appeared to give some weight to the absence of any such threat. 43 The government contends that Doe's showing of risk to the safety of his family or himself was necessarily insufficient because he did not allege that he or his family had received direct threats and did not provide any corroborating evidence, such as newspaper articles, that the syndicate had committed the slayings he said had occurred. The district court, however, did not so hold, nor do we. To be sure, where closure motions are at issue, the record must support an inference of a substantial probability of danger, see Vidal v. Williams, 31 F.3d 67, 69 (2d Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 778, 130 L.Ed.2d 672 (1995), and the stringent substantial probability test must be met, see Press-Enterprise II, 478 U.S. at 14, 106 S.Ct. at 2743 (comparing test to a less rigorous reasonable likelihood of substantial prejudice standard applied under California state law). This does not mean, however, that the production of evidence constituting a direct threat or corroborating an affiant's allegations is a strict condition precedent to a district court's granting of a closure motion. Cf. Lucas, 932 F.2d at 1217 (holding that an absence of threats against an undercover detective was relevant but not dispositive in determining whether the detective could testify behind a screen to protect her identity). 44 Indeed, in some circumstances it might be within a district court's discretion to grant closure without evidence of a direct threat or other evidence corroborating a defendant's subjective fears. The problem of retaliatory acts against those producing adverse testimony is especially acute in the context of criminal organizations, such as the one in which Doe allegedly participated. Hence, a district court in such a case might attribute the lack of a direct threat to the very confidentiality that the defendant or witness seeks to preserve. See United States v. De Los Santos, 810 F.2d 1326, 1334 (5th Cir.), cert. denied, 484 U.S. 978, 108 S.Ct. 490, 98 L.Ed.2d 488 (1987); United States v. Scarpelli, 713 F.Supp. 1144, 1145-46 n. 2 (N.D.Ill.1989) (closing a pretrial suppression hearing to protect the defendant from Godfather-style retribution). The district judge also might recognize that a direct threat may not always be forthcoming. In any event, the lack of a specific evidentiary configuration need not constrain the district court's discretion. 45 In circumstances where a conclusory or wholly implausible allegation of danger is presented, a district court may be justified in denying a closure motion without making any explicit findings of fact. Moreover, even when the affidavit is not implausible on its face, a district court has broad discretion as to how it determines whether the movant has shown a substantial probability of danger. A district court might decide the issue solely on the adequacy and credibility of the affidavit; alternatively, it might choose to hold a hearing so as to take contrary evidence from the government or any other party opposing the motion and to assess the credibility of the defendant with the aid of cross-examination. However the district court chooses to proceed, the burden of establishing a substantial probability of danger rests squarely on the shoulders of the movant. See United States v. Powers, 622 F.2d 317, 324-25 (8th Cir.), cert. denied, 449 U.S. 837, 101 S.Ct. 112, 66 L.Ed.2d 44 (1980). 46 Here, as noted above, the district court did not, in response to Doe's motion to close the trial, make any explicit factual findings within the framework of Press-Enterprise II. (In response to his motion to close pretrial hearings, the district court did not make a factual finding as to the extent of danger Doe faced, but did find that the alternative measures ordered adequately protected him until his informant status was disclosed at trial.) The basis for the district court's denial of appellant's motion to close the trial is not clear from the record. It is not even clear to us that the district court was aware of its discretion to close the trial in order to protect Doe. See Pretrial Conference, Tr. at 8 (I am not aware of any authority that exists given the present posture of this case requiring that the courtroom be closed or that the record be sealed.). Alternatively, the district court might have believed that the alternative measures it instituted in response to Doe's motion to close the pretrial hearing also sufficed to protect Doe and his family from whatever danger they faced during trial and in the event of an acquittal. 47 In any event, we think that Doe's affidavit is, on its face, not so incredible as to be the basis for summary denial of Doe's closure motion. Indeed, if the affidavit were credited by the district court and not rebutted by the government, the district court may deem it substantial enough to justify a determination that Doe faced a substantial probability of danger. On the limited record before us, however, we are reluctant to displace the district court as finder of fact by deciding whether Doe has established a substantial probability of danger. Accordingly, we must remand to the district court for a determination of this factual issue. 48 If a district court finds that there is a substantial probability of prejudice to a compelling interest of a defendant seeking closure, prior to ordering closure of the trial the court is required to consider reasonable alternatives to closure. Press-Enterprise II, 478 U.S. at 14, 106 S.Ct. at 2743. Since, as noted, we are unable definitively to ascertain the district court's views on the substantial probability question, we do not know whether the court thought that it had to address the issue of reasonable alternatives with respect to the trial. We cannot say for sure whether the district court contemplated that the protective measures it ordered in response to appellant's motion to close the pretrial hearing--the order to keep Doe safe and segregated in prison, and the permission to Doe to make one telephone call to his family abroad at government expense to alert them to any potential dangers--would also be sufficient for trial. 49 Should the district court reach the issue of reasonable alternatives to closure, it may well find that the risks faced by Doe in the trial context would be far greater than the risks corresponding to the pretrial hearing. For example, while the district court's order that Doe be kept safe and segregated while in prison might fully have protected Doe during the pretrial hearings, it would not protect Doe in the event he is acquitted following trial. Thus, if the district court does address reasonable alternatives, it will have an opportunity to consider the full spectrum of risks Doe might face--including possible post-acquittal risks. With those risks in mind, the district court can decide whether measures short of complete closure are adequate or, in balancing the remaining prejudice to Doe against the First Amendment right of access, whether nothing short of total closure will suffice. 50 Because of the sparseness of the record, we remand the case to the district court without relinquishing jurisdiction in order for the district court to make factual findings in light of this opinion. See United States v. Tarricone, 996 F.2d 1414, 1420 (2d Cir.1993). The district court should make its findings within ninety days of the issuance of this opinion and order. On remand, the district court has the full panoply of options available to it. It may simply amplify the reasons for its prior orders; it may in its discretion hold an evidentiary hearing on the substantial-probability-of-prejudice or reasonable-alternatives issues; or it may determine that its earlier orders denying closure were unwarranted. Should the district court decide upon the last of these options, this opinion and order shall operate as an automatic vacatur of Doe's conviction and the case shall be remanded for retrial, without prejudice to any future challenge that may be raised to any closure order on retrial or any appeal therefrom. Otherwise, we will decide the merits of this appeal on the basis of the district court's findings of fact. 51 Accordingly, the case is remanded and the mandate shall issue forthwith subject to the condition that the case will be returned to the panel in ninety days or upon the entry of findings by the district court, a copy of which will be filed with the clerk of this court, whichever occurs first. In the event that the district court orders a new trial the judgment is automatically vacated and the case remanded for all purposes.