Opinion ID: 702298
Heading Depth: 3
Heading Rank: 2

Heading: Denial of the Closure Motions

Text: 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.