432 Mass. 593 | Mass. | 2000
On July 14, 2000, Karen H. Sharpe was shot to death in her home in Wenham. Two days later her husband, Richard J. Sharpe (Sharpe), was arrested in New Hampshire in connection with her death and was returned to the Commonwealth. He has now been indicted for murder in the first degree, and violation of a protective order, G. L. c. 209A. The death of Karen Sharpe, the police manhunt for, and the arrest of Sharpe were widely reported. In the wake of these events, The Boston Herald, Inc. (Boston Herald); The Essex County Newspapers, Inc. (Essex County Newspapers); and WHDH-TV, Inc. (WHDH-TV) (collectively, the media interveners) sought access to impounded documents in the Sharpes’ divorce action and a related abuse prevention injunctive action. A judge in the Probate and Family Court allowed their motions and unsealed all of the impounded records.
On July 31, 2000, and August 1, 2000, the media interveners filed in the Supreme Judicial Court for Suffolk County petitions pursuant to G. L. c. 211, § 3, seeking review of an order of a single justice of the Appeals Court impounding some but not all of the disputed documents. A single justice of this court vacated the order and effectively unsealed the court records.
We hold that in the specific circumstances of this case the public has a right of access to all of the judicial records of the relevant court proceedings in the Probate and Family Court; the continued impoundment of the documents is not necessary to protect Sharpe’s constitutional or other rights to a fair trial or to protect any privacy rights he may have.
I
To elucidate his claims, and those of the media interveners, we describe summarily the actions in the Probate and Family
On May 30, 2000, the judge extended the abuse prevention order, by agreement. On June 12, 2000, the judge again ordered that the protective order be continued. Two additional affidavits of Karen Sharpe, dated June 9 and June 12, 2000, respectively, were filed in support of the continued protective order. We need not describe here the contents of those affidavits, except to note that they contain, generally, allegations of Karen Sharpe that her husband had verbally and physically abused her on a number of occasions.
By June, 2000, there were multiple outstanding disputes between the Sharpes in their divorce action concerning discovery, temporary visitation agreements, financial disclosures, and related matters. On June 12, 2000, they filed in both the divorce action and in the abuse prevention action a stipulation that resolved those disputes. The judge thereupon entered several orders. First, as noted above, he extended indefinitely the abuse prevention order against Sharpe. Second, he appointed a guardian ad litem for the minor children. Third, with the agreement of Sharpe, he allowed a motion of Karen Sharpe filed in the divorce action to impound that case file.
On July 26, 2000, Sharpe sought review of that order pursuant to Rule 12 of the Uniform Rules on Impoundment Procedure
The three media interveners then filed in the county court the petitions described above.
n
We clarify first the status in this appeal of the various documents subject to the initial blanket impoundment order entered on June 12, 2000.
As noted above, on July 25, 2000, the Probate Court judge vacated the entire impoundment order. On Sharpe’s petition to the Appeals Court, the single justice again impounded three affidavits of Karen Sharpe; she affirmed the Probate Court judge in all other respects. Only the media interveners sought review of her order pursuant to G. L. c. 211, § 3, each specifying that
For his part Sharpe took no affirmative steps to seek review of any aspect of the order of the single justice of the Appeals Court; he did not file a petition before the single justice of this court, nor did he file a cross petition. In a memorandum in opposition to the petitions of the media interveners, he did argue that the June 12, 2000, blanket order of impoundment should be “reinstated.” But an aggrieved party “may not secure modification of a judgment unless [he] has filed a cross [petition].” Hartford Ins. Co. v. Hertz Corp., 410 Mass. 279, 288 (1991), and cases cited. See Aetna Cas. & Sur. Co. v. Continental Cas. Co., 413 Mass. 730, 734 (1992); 15 C.A. Wright, A.R. Miller & E.H. Cooper, Federal Practice and Procedure § 3904 (1995).
III
Because it is a recurring problem, we next discuss the correct procedure for litigants to follow when seeking appellate review, under the uniform rules on impoundment procedure, of trial court orders concerning impoundment, and we discuss the correct standards of review to be applied by an appellate court and a single justice at each stage of the process.
The uniform rules on impoundment procedure describe a procedure by which a judge in any department of the trial court
The uniform rules do not specify the standard of review that a single justice of either appellate court is to apply when considering a matter under rule 12. We think it fairly clear, however, that a single justice must determine whether the lower court judge abused his or her discretion or committed an error of law in issuing the order concerning impoundment. Both before and after the promulgation of the uniform rules, this court has recognized that judges have discretion to impound court files in appropriate circumstances, and the court has reviewed impoundment orders to determine whether they constitute an abuse of discretion or are legally erroneous. See, e.g., Newspapers of New England, Inc. v. Clerk-Magistrate of the Ware Div. of the Dist. Court Dep’t, 403 Mass. 628, 629, 637-638 (1988), cert. denied, 490 U.S. 1066 (1989); H.S. Gere & Sons v. Frey, 400 Mass. 326, 329 (1987); George W. Prescott Publ. Co. v. Register of Probate for Norfolk County, 395 Mass. 274, 277-282 (1985). See also Sanford v. Boston Herald-Traveler Corp., 318 Mass. 156, 158 (1945). Cf. Globe Newspaper Co. v. Commonwealth, 407 Mass. 879, 885-886 (1990). The single justice of the Appeals Court stated that the applicable standard of review was the abuse of discretion or error of law standard. None of the parties requested that she apply any other standard.
Once a single justice of an appellate court decides a matter pursuant to rule 12, the uniform rules make no provision for any further review. The rules thus do not authorize a party aggrieved by the single justice’s decision to appeal as a matter of right to the full appellate court. Because no other remedy is expressly provided, an appropriate course for an aggrieved party to pursue in a case such as this, where a single justice of
An aggrieved party to a G. L. c. 211, § 3, proceeding may then, of course, appeal to the full court, as Sharpe has done in this case.
Citing Commonwealth v. Ramos, 430 Mass. 545, 546 (2000),
In cases such as this — appeals from judgments entered pursuant to G. L. c. 211, § 3 — we have not applied the standard of review suggested by Sharpe. Indeed, the phraseology of that standard plainly indicates that it is suited to appellate court review of findings of fact and rulings of law made by judges in the trial court following evidentiary hearings. We decline to intermix that standard with the standard traditionally applied when we review judgments entered under G. L. c. 211, § 3: the abuse of discretion or clear error of law standard.
As our analysis below indicates, however, even under the traditional G. L. c. 211, § 3, standard the full court must independently review a single justice’s legal rulings to determine whether they are erroneous.
IV
We turn now to the substance of Sharpe’s claims. The uniform rules that now govern the impoundment of records in civil proceedings “incorporate many of the principles of our prior
The principle of publicity of judicial records is not, however, absolute. See Ottaway Newspapers, Inc. v. Appeals Court, supra at 548 (“how far a State is required to go in assisting the press [or others] to gather information [and] keep . . . files open” is unclear). See also Nixon v. Warner Communications, Inc., 435 U.S. 589, 598-599 (1978). Courts possess supervisory power over their records and files, and have properly denied public access where those records and files “might have become a vehicle for improper purposes.” Id. at 598.
Consistent with these principles, rule 7 of the uniform rules provides that a judge evaluating a motion to impound documents may enter an order of impoundment only if “good cause” to withhold documents from the public is shown. To determine whether good cause is shown, a judge must balance the rights of the parties based on the particular facts of each case.
We consider first the public right of access to judicial records of G. L. c. 209A proceedings.
In criminal cases we have used a two-part test to determine whether there is a constitutional right of access to judicial records: the proceedings must have “an historic tradition of openness,” and the public’s access must play “a significant positive role in the functioning of the particular process in question.” Newspapers of New England, Inc. v. Clerk-Magistrate of the Ware Div. of the Dist. Court Dep’t, supra at 635, quoting Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 8 (1986). The public interest in access to judicial records concerning domestic violence is at least as strong.
Affidavits filed in support of a domestic abuse protective order would also satisfy the second part of the test, for access to those records permits the public to assume a significant, positive role in the functioning of the judicial system. The media interveners properly note that it is of considerable importance for the public to be in a position to evaluate why an order may or may not have been successful in protecting a victim of domestic violence. Conversely, protective orders may impose significant restraints on defendants, and it is equally important that the public’s understanding of and confidence in the judiciary be facilitated by knowing the basis on which a judge acted in a particular case.
The presumption of public access to these affidavits also finds support in the statute itself. As the single justice noted, G. L. c. 209A contains two express provisions limiting public disclosure of identified portions of court documents: the impoundment of the address of the person seeking a protective order, on request, and the impoundment of the records of cases in which either the plaintiff or the defendant is a minor. See G. L. c. 209A, § 8. In 1999, the Legislature amended the existing law to add new provisions to protect applicants from disclosing to their abusers and the public their addresses and telephone numbers.
Against this “rigorous presumption of openness,” as she correctly termed it, the single justice first balanced Sharpe’s competing constitutional guarantee to a fair trial before an impartial jury. We see no error in her conclusion that his rights under the Sixth Amendment to the United States Constitution did not require impoundment of the affidavits.
In balancing the public’s right to inspect documents against a defendant’s rights guaranteed by the Sixth Amendment to a fair trial, a court may consider a variety of factors. These may include whether the information has already been disclosed, the nature of the documents under impoundment, or whether there are alternatives to withholding public access, such as a change of venue. See Commonwealth v. Colon-Cruz, 408 Mass. 533, 551 (1990); H.S. Gere & Sons v. Frey, supra at 330; George W. Prescott Publ. Co. v. Register of Probate for Norfolk County, supra at 278-279.
The public’s right of access is strong in this case. We have already explained that the public has a powerful interest in monitoring G. L. c. 209A proceedings and judicial resolution of claims of domestic abuse. Moreover, even a brief delay of disclosure of judicial records in those proceedings may infringe on those rights. “As a practical matter ... the element of time is not unimportant if press coverage is to fulfill its traditional function of bringing news to the public promptly.” Nebraska Press Ass’n v. Stuart, 427 U.S. 539, 561 (1976).
Sharpe’s right to a fair trial, on the other hand, is “undeni
The single justice properly pointed out that, to the extent the disclosure of the affidavits did create any additional media coverage, there are remedies available to the judge presiding over the criminal trial to minimize any prejudicial impact on Sharpe.
The judge at Sharpe’s criminal trial may also conduct an individual voir dire of prospective jurors concerning their exposure to pretrial publicity to ensure that each juror is able to render a fair and impartial verdict. See G. L. c. 234, § 28. See also Commonwealth v. Clark, ante 1, 6 (2000); Commonwealth v. James, supra at 776-777; Commonwealth v. Bianco, 388 Mass. 358, 368, S.C., 390 Mass. 254 (1983); Columbia Broadcasting Sys., Inc. v. United States Dist. Court, supra at 1179 (“Recent highly publicized cases indicate that even when exposed to heavy and widespread publicity, many, if not most, potential jurors are untainted by press coverage”). The trial judge may also give explicit jury instructions during the trial that command the jurors to accord weight only to the evidence admitted at trial. See Commonwealth v. Palmariello, 392 Mass. 126, 139-142 (1984). Sharpe points to no specific factors that compel the conclusion that these and other remedies available to the trial judge will be ineffective or inadequate.
The single justice also correctly concluded that any privacy rights that Sharpe might claim did not warrant impounding the
We may summarily dispose of Sharpe’s contention that unsealing the affidavits will damage the privacy rights of his children. The two minor children have not contested the termination of the impoundment order, and made no claim before the single justice that their privacy interests will be damaged by further media coverage of the case. To the extent their views have been communicated through counsel representing the estate of Karen Sharpe, they apparently support termination of the impoundment order. See note 10, supra.
We remand this case to the single justice of the county court with instructions that she remand this case to the Probate and Family Court where judgment shall enter.
So ordered.
We discuss in Part II, infra, which documents are at issue in this appeal.
Both the single justice of the Appeals Court and the single justice of this court entered a stay of their respective orders; all of the documents remain impounded pending this appeal.
Rule 1 of the Uniform Rules on Impoundment Procedure (West 2000) , provides that “ ‘impoundment’ shall mean the act of keeping some or all of the papers, documents, or exhibits, or portions thereof in a case separate and unavailable for public inspection.” Contrary to the requirements of Rule 2 of the Uniform Rules on Impoundment Procedure, Karen Sharpe’s motion for impoundment was not “accompanied by affidavit in support thereof.” See note 5, infra.
Rule 8 of the Uniform Rules on Impoundment Procedure provides in part: “An order of impoundment, whether ex parte or after notice, may be made only upon written findings” (emphasis added). The Uniform Rules on Impoundment Procedure contain procedures and requirements that must be followed if an order of impoundment is to issue. See H.S. Gere & Sons v. Frey, 400 Mass. 326, 332 (1987). We need not decide whether the failure to do so makes an impoundment order invalid, as the media interveners suggest, because the order underlying this appeal is the probate judge’s later order vacating impoundment.
It appears that the judge in the Probate and Family Court treated the two actions as one, at least for purposes of impoundment. Rule 9 of the Uniform Rules on Impoundment Procedure provides that “[ujpon entry of an order of impoundment, the clerk shall make a notation in the civil docket indicating what material has been impounded.” There is no impoundment order noted on the docket of the abuse prevention action, although the front of the docket is clearly marked, “Impounded.” See note 5, supra. In her order, the single justice of this court said that the Probate Court judge “ordered that the entire case file for both the divorce action and the abuse prevention action (except the docket entries) be impounded for one year.” We conclude, as did the single justice, that the entire case files of both actions were impounded on June 12, 2000.
Rule 10 of the Uniform Rules on Impoundment Procedure provides, in part, that “any interested third person . . . may, by motion supported by affidavit, seek to modify or terminate an order of impoundment” (emphasis added). Two of the media interveners, Essex County Newspapers and .WHDH-TV filed motions to vacate the impoundment order. The Boston Herald filed a motion to intervene and to vacate the order of impoundment, accompanied by an affidavit of its deputy managing editor, news. Rule 10 would seem to require the filing of a motion to intervene where, as here, someone not previously determined to be an interested person appears and seeks to modify or terminate the impoundment order.
No party has challenged the decision of the judge in the Probate and Family Court to close the hearing.
In the memorandum of decision accompanying his order the judge noted that, based on the stipulation presented to him on June 12, he had determined that good cause for impoundment had been shown at that time, and that it was in the best interest of the minor children (ages four and seven years) that the file be impounded for a period of one year. He further noted that, by July 25, 2000, much of the information that the parties sought to protect from public disclosure and from disclosure to their children had now been widely disclosed in the media, and that any “reasonable expectations of privacy possessed by most litigants in ordinary divorce proceedings” was surrendered once “their situation" became a matter of “legitimate public concern.” The judge found that “the public’s right to know, and the public’s right of access to this information clearly outweigh any reasonable expectation of privacy,” and that those public rights “clearly outweigh the interest which any party to this case or any other individual might have in protecting the impounded materials.”
Divorce counsel for Karen Sharpe was served and appeared, without objection, at the Probate and Family Court hearing and at the hearing before the single justice of the Appeals Court. See note 18, infra. Counsel apparently informed the single justice that the Sharpes’ minor children do not support continued impoundment of the documents. The estate of Karen Sharpe was permitted to intervene in the proceeding before the single justice of this court. See note 1, supra.
Rule 12 of the Uniform Rules on Impoundment Procedure provides: “An order impounding or refusing to impound material shall be subject to review by a single justice of an appellate court in accordance with provisions of law and consistent with the procedures established in rule 1:15 of the Rules of the Supreme Judicial Court.”
General Laws c. 231, § 118, first par., provides that “[a] party aggrieved by an interlocutory order of a trial court justice in the . . . probate and family court department may file, within thirty days of the entry of such order, a petition in the appropriate appellate court seeking relief from such order. A single justice of the appellate court may, in his discretion, grant the same relief as an appellate court is authorized to grant pending an appeal under [§ 117]. . . .” See note 18, infra.
Two of the media interveners, the Boston Herald and Essex County Newspapers, named the Appeals Court as the defendant, presumably because the case was then in that court. See Ottaway Newspapers, Inc. v. Appeals Court, 372 Mass. 539, 540 n.3 (1977). WHDH-TV named Sharpe as the petitioner and Karen Sharpe as the respondent. Rule 10 of the Uniform Rules on Impoundment Procedure provides that a motion to terminate an impoundment order “shall be served . . . upon all parties, all interested third persons who were notified pursuant to Rule 4 of these rules, and any other persons as ordered by the court.” The same persons should be named in any review of an impoundment order sought before a single justice of an appellate court, with the aggrieved party who seeks review named as the petitioner. See Rule 12 of the Uniform Rules on Impoundment Procedure.
The Boston Herald sought review of so much of the order of the Appeals Court that is “keeping [three] affidavits sealed,” and sought release of the “impounded affidavits.” Essex County Newspapers sought a ruling “that the subject papers should be available for public access and inspection.” WHDH-TV sought relief from the order “continuing the impoundment of three affidavits contained in the [Sharpe] divorce file.”
Following a hearing on August 2, 2000, before the single justice of this court, the Boston Herald filed a “statement” identifying “the documents which have been ordered to be sealed or unsealed” by the judge in the Probate and Family Court and the single justice of the Appeals Court, in which it again noted that Sharpe had not filed a petition for review of the order of the single justice of the Appeals Court unsealing the documents, see note 14, supra, adding that “no challenge to that portion of the order has been formally raised.” Sharpe still took no action seeking review of the order of the single justice of the Appeals Court.
In a letter to the single justice of this court Sharpe informed her that it would “be well within [her] discretion and authority to reinstate the original June 12 impoundment order.” The single justice correctly did not exercise any such discretion.
On appeal to the full court Sharpe asks us to “continue” the June 12 impoundment order “pending further review by the trial court hearing the criminal charges” against him. Alternatively, he asks that we insulate from public inspection any document that we determine there is ‘good cause’ to impound,” including “at least” the three affidavits filed by Karen Sharpe, affidavits of his own, and “any pleadings referencing those affidavits.”
As described in Part II of this opinion, Sharpe relied on both the uniform rules and G. L. c. 231, § 118, first par., as bases for proceeding before the single justice of the Appeals Court. The single justice noted in her memorandum and order that the divorce action was abated when Karen Sharpe died, and none of the- litigants before us has disputed that conclusion. See Ross v. Ross, 385 Mass. 30, 35 (1982); C.P. Kindregan & M.L. Inker, Family Law and Practice § 29.2, at 112 (2d ed. 1996). It is debatable, therefore, whether the probate judge’s order terminating impoundment was an interlocutory order that would be subject to review pursuant to G. L. c. 231, § 118, first par.
The, single justice of the Appeals Court made no mention of G. L. c. 231, § 118, first par., in her memorandum and order. She treated the matter before her strictly as a proceeding pursuant to rule 12. We, too, shall focus on rule 12. As will be seen from our analysis, infra, the applicable procedure and the standards of review are substantially the same regardless whether the matter proceeds pursuant to G. L. c. 231, § 118, first par., or rule 12.
In cases where the single justice has denied relief from an interlocutory order concerning impoundment in the trial court, see the requirements of S.J.C. Rule 2:21, 421 Mass. 1303 (1995).
The single justice of this court, whose decision we review, did not find any facts in the traditional sense, and the matter before her required no independent exercise of discretion. Cf. Commonwealth v. Hodge (No. 1), 380 Mass. 851, 853-857 (1980) (discussing single justice’s role in reviewing trial court order staying execution of sentence pending appeal in criminal case).
Such purposes include the use of court files as “reservoirs of libelous statements for press consumption,” as vehicles to “gratify private spite or promote public scandal [by publicizing] . . . the painful and sometimes disgusting details of a divorce case,” or as “sources of business information that might harm a litigant’s competitive standing” (citations omitted). Nixon v. Warner Communications, Inc., 435 U.S. 589, 598 (1978), quoting In re Caswell, 18 R.I. 835, 836 (1893).
The judge must take into account all relevant factors, “including, but not limited to, the nature of the parties and the controversy, the type of information and the privacy interests involved, the extent of community interest, and the reason for the request.” Rule 7 of the Uniform Rules on Impoundment Procedure.
Sharpe mischaracterizes the relationship of “good cause” to the balancing test by asserting that a judge must first determine whether there is good cause to impound the documents, and only then balance impoundment with any countervailing interests. It is “[tjhrough the balancing process” that a judge makes the determination of “good cause.” H.S. Gere & Sons v. Frey, supra at 329.
The Supreme Court of the United States has established a three-pronged test to determine whether an order of closure comports with the constitutional presumption of access to criminal proceedings and records. The burden falls on the party seeking closure to demonstrate that (1) there exists a substantial probability that permitting access to court records will prejudice his fair trial rights; (2) closure will be effective in protecting those rights, and that the order of closure is narrowly tailored to prevent potential prejudice; and (3) there are no reasonable alternatives to closure. See Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 14-15 (1986). The uniform rules require a judge to take into account essentially the same factors in the “good cause” analysis: the competing rights of the parties and alternatives to impoundment.
Sharpe suggests that rights of access to “pretrial documents in a divorce proceeding,” are limited because divorce proceedings are not “traditionally” open. See, e.g., George W. Prescott Publ. Co. v. Register of Probate for Norfolk County, 395 Mass. 274, 278 (1985). Accordingly, he asserts that Karen Sharpe’s affidavits, copies of which were filed in the divorce action, should not be open to public inspection. But the affidavits were filed by Karen Sharpe in support of her efforts to obtain relief under G. L. c. 209A, and the proper focus of our inquiry is the right of access to those proceedings.
The Supreme Court has explained that “in some civil cases the public interest in access, and the salutary effect of publicity, may be as strong as, or stronger than, in most criminal cases.” Gannett Co. v. DePasquale, 443 U.S. 368, 386-387 n.15 (1979). In light of this suggestion, a number of Federal courts have determined that the First Amendment to the United States Constitution affords the public the right to inspect documents in civil cases. See, e.g., Rushford v. New Yorker Magazine, Inc., 846 F.2d 249 (4th Cir. 1988); Westmoreland v. Columbia Broadcasting Sys., Inc., 752 F.2d 16 (2d
Statute 1999, c. 127, § 156, approved November 16, 1999, and by § 390 made effective July 1, 1999, added third paragraph to G. L. c. 209A, § 8. That paragraph provides: “The portions of records of cases arising out of an action brought by a plaintiff under the provisions of this chapter, which consist of such plaintiff’s current residential address, former residential address, residential telephone number and workplace name, address and telephone number, shall be kept confidential from the defendant and defendant’s att
“When the rights of the accused and those of the public come irreconcilably into conflict, the accused’s Sixth Amendment right to a fair trial must . . . take precedence over the public’s First Amendment right of access to pretrial proceedings.” In re Globe Newspaper Co., 729 F.2d 47, 53 (1st Cir. 1984).
Sharpe argues that the Supreme Court has “revisited” its position in Nebraska Press Ass’n v. Stuart, 427 U.S. 539, 561 (1976), because it later stated that “[n]o right ranks higher than the right of the accused to a fair trial.” Press-Enterprise Co. v. Superior Court, 464 U.S. 501, 508 (1984). The Court has not retracted the balancing test it espoused in Nebraska Press Ass’n v. Stuart, supra. It also noted in Press-Enterprise Co. v. Superior Court, supra, that “the primacy of the accused’s right [to a fair trial] is difficult to separate from the right of everyone in the community” to have access to criminal proceedings. Id. The Court has continued to balance the First Amendment right of access to pretrial proceedings against a defendant’s Sixth Amendment right to a fair trial even in cases not involving prior restraints on speech. See, e.g., Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 15 (1986) (“The First Amendment right of access cannot be overcome by the conclusory assertion that publicity might deprive the defendant of [the right to an impartial jury]”).
We have carefully examined both the allegations of the three affidavits and the media reports in the record, and agree with the single justice that the additional information in the affidavits is merely “a difference in degree.” For example, the media have already reported that (1) Sharpe subjected Karen Sharpe to “nearly three decades of emotional and physical abuse”; (2) Karen
The single justice said that she did not intimate whether such remedies might be appropriate. We reject Sharpe’s contention that an appellate court