United States v. Gupta
699 F.3d 682
| 2d Cir. | 2011Background
- Gupta was tried in 2008 with voir dire conducted in a courtroom that was intentionally closed to the public for the entire duration.
- The district court did not analyze the four Waller factors or make explicit closure findings before closing the courtroom.
- Affidavits and testimony on remand showed the deputy removed Gupta’s brother and his companion to accommodate a large venire, purportedly to protect the panel from outside influence.
- Gupta initially challenged the closure on remand; the district court adopted a Delaney affidavit and found reasons related to venire size and taint concerns.
- The panel was seated and the jury was sworn; no contemporaneous objection to the closure was raised during voir dire.
- On appeal, the Second Circuit vacated Gupta’s conviction, remanding for proceedings not inconsistent with its opinion and rejecting the triviality standard as a basis to affirm.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether the voir dire closure violated Gupta's public-trial right | Gupta | Gupta's public-trial right was violated | Yes; closure unjustified and violated the right |
| Whether Waller four-factor test was satisfied or applicable | Gupta | Gupta | District court failed to apply or make Waller findings; closure invalid |
| Whether the triviality standard can salvage the conviction | Gupta | Gupta | Not applicable; here the closure was not trivial |
| Whether Gupta forfeited the Sixth Amendment claim by failing to object contemporaneously | Gupta | Gupta | No forfeiture; cannot impute knowledge or penalize defense without evidence |
| Remedy for unjustified closure | Gupta | Gupta | Conviction vacated and case remanded for further proceedings |
Key Cases Cited
- Waller v. Georgia, 467 U.S. 39 (U.S. 1984) (establishes four-factor test for closing proceedings)
- Presley v. Georgia, 558 U.S. 209 (U.S. 2010) (applies Waller factors to voir dire closures)
- Gibbons v. Savage, 555 F.3d 112 (2d Cir. 2009) (reiterates Waller requirements and openness)
- Peterson v. Williams, 85 F.3d 39 (2d Cir. 1996) (articulates the triviality standard for unjustified closures)
- Carson v. Fischer, 421 F.3d 83 (2d Cir. 2005) (limits triviality standard to very narrow scenarios)