Opinion ID: 730837
Heading Depth: 2
Heading Rank: 1

Heading: Does Harmless Error Analysis Apply?

Text: 19 In Arizona v. Fulminante, 499 U.S. 279, 307-10, 111 S.Ct. 1246, 1263-65, 113 L.Ed.2d 302 (1991), in an opinion by Chief Justice Rehnquist, the Supreme Court distinguished between two classes of constitutional errors: the vast majority, denominated trial errors, which are subject to harmless error review, and a very limited class of errors, called structural, which require automatic reversal regardless whether the error had any appreciable effect on the outcome of the trial. See also Rose v. Clark, 478 U.S. 570, 578, 106 S.Ct. 3101, 3106, 92 L.Ed.2d 460 (1986) (noting that some constitutional violations are not subject to harmless error review but emphasizing that they are the exception and not the rule). The Court explained that structural errors are those errors which transcend[ ] the criminal process, affecting the framework within which the trial proceeds. Fulminante, 499 U.S. at 309-11, 111 S.Ct. at 1265; see also Rose, 478 U.S. at 577, 106 S.Ct. at 3106 (explaining that some errors are not subject to harmless error review because they necessarily render a trial fundamentally unfair); Vasquez v. Hillery, 474 U.S. 254, 263-64, 106 S.Ct. 617, 623, 88 L.Ed.2d 598 (1986) (errors which undermine[ ] the structural integrity of the criminal tribunal are not subject to harmless error review). Errors are properly categorized as structural only if they so fundamentally undermine the fairness or the validity of the trial that they require voiding its result regardless of identifiable prejudice. See Fulminante, 499 U.S. at 309-10, 111 S.Ct. at 1265. To illustrate the distinction between the two categories of errors, the Court pointed to numerous cases in which it had found constitutional violations subject to harmless error review, and contrasted those cases with the few examples of violations, such as the total deprivation of the right to counsel and trial by a biased judge, which it had found to require automatic reversal. Fulminante, 499 U.S. at 306-10, 111 S.Ct. at 1263-65 (citing Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963) and Tumey v. Ohio, 273 U.S. 510, 47 S.Ct. 437, 71 L.Ed. 749 (1927) as examples of structural errors). 20 To determine whether Yarborough's exclusion from the hearing is structural or trial error, we begin by examining Chief Justice Rehnquist's analysis of the taxonomy in Fulminante. We do not understand Fulminante 's list of examples of violations that have been held exempt from harmless error review to mean that any violation of the same constitutional right is a structural defect, regardless whether the error is significant or trivial. Nor does the fact that the Supreme Court has applied harmless error analysis to one level of violation of a particular right necessarily mean that even the most egregious violations of that right would also require demonstrated prejudice. Unless the Supreme Court has held otherwise, errors of a quality that undermines the structural integrity and fairness of the proceeding might be deemed structural, notwithstanding that less significant violations of the same constitutional right have been subjected to harmless error analysis. To determine whether an error is properly categorized as structural, we must look not only at the right violated, but also at the particular nature, context, and significance of the violation. See Hegler v. Borg, 50 F.3d 1472, 1476 (9th Cir.1995). 21 The examples cited by the Supreme Court in Fulminante support this understanding. Fulminante distinguishes between errors of sufficient magnitude or significance that they call into question the validity of the proceeding and are therefore deemed structural, and trivial violations of the same rights which are not. Thus, Fulminante lists the total deprivation of the right to counsel as a structural error, 499 U.S. at 309, 111 S.Ct. at 1265 (citing Gideon ), but at the same time notes that a less significant denial of the right to counsel (at a preliminary hearing) has been held to be subject to harmless error review. 499 U.S. at 307, 111 S.Ct. at 1263 (citing Coleman v. Alabama, 399 U.S. 1, 10-11, 90 S.Ct. 1999, 2003-04, 26 L.Ed.2d 387 (1970)). Similarly, Fulminante cited Rushen v. Spain, 464 U.S. 114, 104 S.Ct. 453, 78 L.Ed.2d 267 (1983), as an example of a presence violation subject to harmless error review. 499 U.S. at 307, 111 S.Ct. at 1263. In Rushen, a defendant's absence from two conversations between the trial judge and a juror was held to be harmless error. 464 U.S at 120-21, 104 S.Ct. at 456-57. That very opinion, however, makes clear that in egregious circumstances a violation of the right of presence might be exempt from harmless error review. 1 See Rushen, 464 U.S. at 117 n. 2, 104 S.Ct. at 455 n. 2 (explaining that violations of the right to be present during all critical stages of the proceedings are, as with most [violations of] constitutional rights, ... subject to harmless-error analysis, unless the deprivation, by its very nature, cannot be harmless ) (emphasis added) (internal citations omitted). We therefore do not read Rushen as supporting the proposition that unjustified exclusion of the defendant from the entire trial would be subject to harmless error review. 22 We turn to the question whether holding a brief hearing in the defendant's absence to determine whether a witness should be disqualified because he heard another witness's testimony constitutes structural error. The Supreme Court has listed violations of the Confrontation Clause as trial error subject to harmless error review. See Fulminante, 499 U.S. at 307, 111 S.Ct. at 1263 (citing cases). Similarly, Rushen and Fulminante make clear that absence of the defendant from a peripheral proceeding of secondary importance is subject to harmless error review. See Fulminante, 499 U.S. at 307, 111 S.Ct. at 1263 (citing Rushen and listing violations of the defendant's right to be present at trial as trial error subject to harmless error review); Rushen, 464 U.S. at 117-19 & n. 2, 104 S.Ct. at 454-56 & n. 2. See also United States v. Fontanez, 878 F.2d 33, 37-38 (2d Cir.1989) (subjecting presence violations to harmless error analysis where defendant was absent during read back of jury instructions and giving of modified Allen charge, but finding that error was not harmless); United States v. Toliver, 541 F.2d 958, 964-66 (2d Cir.1976) (finding that defendant's absence during the testimony of two witnesses was harmless). 23 Nonetheless, as the Ninth Circuit observed: 24 Fulminante and Rushen require us to consider the nature of a presence error in the context of the specific proceeding from which the defendant was excluded. In the usual case, such an error will be susceptible to harmless error analysis, but a defendant's absence from certain stages of a criminal proceeding may so undermine the integrity of the trial process that the error will necessarily fall within that category of cases requiring automatic reversal. 25 Hegler, 50 F.3d at 1476. 26 This is not a case in which the defendant's absence undermined the fundamental integrity of the criminal process. In this case, as in Rushen, the proceeding held in the defendant's absence was of minimal importance. The hearing was extremely brief and was not even a part of the trial proper. Garvin's testimony, as explained below, was of little significance. Furthermore, there is no legal right to the disqualification of a witness based on the witness's presence in the courtroom during the testimony of another witness. See People v. Cody, 182 A.D.2d 1089, 1089, 583 N.Y.S.2d 77, 77 (4th Dep't 1992); People v. Rivera, 182 A.D.2d 1092, 1093, 583 N.Y.S.2d 78, 78 (4th Dep't 1992); People v. Lloyde, 106 A.D.2d 405, 405, 482 N.Y.S.2d 326, 326 (2d Dep't 1984); People v. Gifford, 2 A.D.2d 634, 634, 151 N.Y.S.2d 980, 981 (3d Dep't 1956). 27 The absence of the defendant from a hearing under these circumstances does not call into question the fundamental fairness of the trial. It did not affect[ ] the [structural] framework within which the trial proceeds. Fulminante, 499 U.S. at 310, 111 S.Ct. at 1265. If this incident was error, it was of such minimal importance to the fair structure of the criminal proceeding that it cannot fall within Fulminante 's classification of structural errors. It is therefore subject to harmless error analysis. Fulminante, 499 U.S. at 310, 111 S.Ct. at 1265.II. Was This Harmless? 28 On collateral attack, federal courts reviewing claims, other than those of structural error, ask whether the alleged error had substantial and injurious effect or influence in determining the jury's verdict. Brecht v. Abrahamson, 507 U.S. 619, 623, 113 S.Ct. 1710, 1714, 123 L.Ed.2d 353 (1993) (quoting Kotteakos v. United States, 328 U.S. 750, 776, 66 S.Ct. 1239, 1253, 90 L.Ed. 1557 (1946)). We conclude that Yarborough's absence from this hearing had no such effect or influence. The hearing was devoted to the issue whether Garvin would be permitted to testify. As it turned out, Garvin's testimony was of virtually no significance in the trial. It would have made no difference whether he testified or not. This is so not only because Garvin's testimony was merely corroborative of what other prosecution witnesses established, but more importantly because in nearly all respects Garvin's testimony was expressly conceded by the defendant himself. 29 Garvin's testimony was that he had seen Yarborough fighting with Duncan, the murder victim. The fight had subsided and Garvin had walked away. Garvin heard shots but did not see who had done the shooting. Yarborough's testimony was quite similar. He acknowledged that he had been involved in the fight and had punched a black male. He, like Garvin, testified that soon after the fight subsided, he heard shots fired. Thus both the prosecution's and the defendant's evidence showed that Yarborough had initially been involved in the fight but then had distanced himself from Duncan before the shooting occurred. Beyond that, Garvin furnished no incriminating testimony. The only significant differences between the prosecution's evidence and Yarborough's related to events that occurred after the fight Garvin observed. In view of the fact that Yarborough admitted what Garvin testified to, it made no difference whether Garvin testified or not, and Yarborough's presence at the hearing seeking to bar Garvin's testimony could have had no practical effect on the result of the trial. 30 Furthermore, the identification of Yarborough as the killer, without reference to the testimony given by Garvin, who did not purport to have seen the killing, was overwhelming. The police officers, Torres, Majett, and Malone, all testified that they saw Yarborough fire three shots into the group. They testified that Yarborough turned toward them with the gun in hand, and then immediately turned around and began to run away. Torres briefly chased Yarborough, then caught and arrested him. In addition, Torres and Malone saw Yarborough throw the gun over a fence. The gun was promptly recovered and identified ballistically as the murder weapon. Finally, all these witnesses, including Yarborough, testified that Yarborough was wearing a long coat at the time. 2 31 Given the lack of significance of Garvin's testimony (virtually all of which Yarborough admitted), and the overwhelming evidence of Yarborough's guilt, independent of Garvin's testimony, it made no difference whether Yarborough's counsel succeeded at the robing room conference in disqualifying Garvin as a witness. If it was error to conduct the hearing without the defendant being present (and we make no such ruling), the error was certainly harmless. It had no substantial or injurious effect or influence on Yarborough's case.