Lead Opinion
OPINION
The question presented here is whether a criminal defendant’s right to be present in the courtroom at every critical stage of his or her trial, including during the impaneling of a jury, categorically mandates the defendant’s personal ability to hear each venireperson who is questioned at sidebar during voir dire proceedings conducted by the court, his counsel, and the prosecuting attorney as to substantive issues. We conclude that it does not based upon the principle that a defendant’s right to be present in the courtroom at every stage of his or her trial is not absolute, and that under certain circumstances, including where the defendant is physically present in the courtroom and is represented by counsel, the right to be present at every stage of trial is vindicated without the defendant’s being personally able to hear the questioning of each venireperson at sidebar. Because Appellant Christian Hunsberger was physically present in the courtroom during sidebar voir dire proceedings, was represented by counsel, and interacted with counsel during these proceedings, his claim that counsel was inef
On October 14, 2005, following an argument over noise coming from Carlucci’s Tomato Bistro, a restaurant/bar in Bucks County, Appellant fired two shots from his handgun at the proprietor of the establishment, Carlo Corsino, Jr. Both shots were fired at close range, with one hitting Mr. Corsino in the abdomen and the other going past his head. After the shooting, which took place on Appellant’s property, Mr. Corsino managed to cross the street and enter his restaurant/bar, where he waited for police and medical personnel to arrive. Appellant returned to his house, where state police soon arrested him and transported him to police barracks. Mr. Corsino’s abdominal injuries were life-threatening and required multiple surgeries.
At trial in May 2006, Appellant did not deny that he had shot Mr. Corsino, but, relying primarily on his own testimony, claimed that he had acted in self-defense. The jury found Appellant guilty of aggravated assault by causing serious bodily injury, by causing bodily injury with a deadly weapon, and by attempting to cause bodily injury with a deadly weapon; simple assault by causing bodily injury and by attempting to cause bodily injury; and recklessly endangering another person;
Subsequently, Appellant filed a petition for collateral relief pursuant to the Post-Conviction Relief Act (“PCRA”),
Our review of the entire voir dire proceedings reveals the following. The approximately sixty venirepersons were first asked to fill out a questionnaire. They then were questioned as a group in open court by the trial judge concerning any hardship or disability that might preclude jury service and concerning their ability to refrain from assigning determinative credi
Sixteen persons in the jury pool were individually questioned at sidebar, each person being asked only one or two questions. Among the types of inquiries were whether the prospective juror had a physical or psychological disability or used medication that affected the ability to concentrate, id. at 15, 19, 21; had been a victim of a crime, id. at 16-17, 26, 29; had been an eyewitness to a crime, id. at 21-22; had been charged with a crime, id. at 28, 29, 30-31; was more or less likely to believe the testimony of a police officer, id. at 18-19, 23-24, 32-33; believed that an innocent defendant should testify at trial, id. at 19-20; understood the concept that a defendant is innocent until proven guilty beyond a reasonable doubt, id. at 22; and could be fair and impartial, id. at 24-25, 25-27.
When the questioning at sidebar was completed, the jury selection process resumed in open court, and the prosecutor and defense counsel asked some additional questions of the jury pool as a group. The prosecutor related to the jury pool the allegation in the case, i.e., that the defendant had shot the victim following a neighborhood argument over noise from the victim’s restaurant; the prosecutor then asked whether, in light of this allegation, anyone in the jury pool could not be fair and impartial. Id. at 36. The prosecutor also asked whether anyone had read any press accounts of the case; whether anyone knew him, the victim, or the witnesses who would be called at trial; whether anyone owned a firearm; whether anyone had ever been shot; and whether anyone had had a negative experience with law enforcement or the district attorney’s office. Id. at 39-42. Defense counsel then questioned the jury pool as to whether anyone had had any contact with him or his law firm; whether anyone knew Appellant, his wife, or the defense’s expert witness; and whether anyone, or someone he or she was close to, had worked in law enforcement or the criminal justice system. Id. at 42-54.
Appellant took notes during jury selection in order to share information with his counsel about the prospective jurors. N.T. PCRA Hearing, 7/10/09, at 173-74. Appellant acknowledges that he and his counsel discussed which venirepersons to strike, that they worked together to pick the jury, and that Appellant had input into each strike. Id. at 176-77. At the end of this process, twelve jurors, only one of whom had been questioned individually at side bar, and two alternates were chosen to serve. At no time during the proceedings did defense counsel or Appellant object to any aspect of voir dire.
After his convictions, Appellant appealed his judgment of sentence to the Superior Court, alleging, inter alia, that the trial court had erred by excluding Appellant from the questioning of individual venire-persons at sidebar, in violation of his right to participate fully in jury selection. The Superior Court declined to grant relief, holding that the claim was waived because the certified record did not contain a tran
In Appellant’s PCRA petition, he raised the matter again, specifically alleging that his trial counsel was ineffective for failing to advise him of his right to participate in all aspects of jury selection, including the individual questioning at sidebar, in violation of the United States Constitution, the Pennsylvania Constitution, and Pennsylvania Rule of Criminal Procedure 602. The PCRA court denied relief, noting that the manner in which voir dire is conducted rests within the discretion of the trial court and that “the defendant’s presence [is] not required during the questioning of [a] juror when[, as here, the defendant is] represented by counsel;” and concluding that Appellant had not established prejudice. PCRA Court Opinion at 10-12. Appellant appealed the PCRA court’s order to the Superior Court, which also denied relief. The Superior Court held that Pennsylvania does not recognize a right of a defendant represented by counsel to be present at sidebar conferences. Thus, the Superior Court concluded, counsel was not ineffective for failing to advise Appellant of a right not recognized by Pennsylvania law.
Appellant sought allowance of appeal, which we granted on the following issue, as stated by Appellant:
Whether a panel of the Superior Court erred by holding that a criminal defendant in the Commonwealth of Pennsylvania does not have the right to be present for any questioning of prospective jurors on substantive issues when such questioning is done outside the hearing of the defendant in violation of a defendant’s constitutional and procedural rights?
Hunsberger,
This issue presents a question of law for which our standard of review is de novo and our scope is plenary. See Commonwealth v. Williams,
To prevail on a petition for PCRA relief, a petitioner must plead and prove, by a preponderance of the evidence, that his or her conviction or sentence resulted from one or more of the circumstances enumerated in 42 Pa.C.S. § 9543(a)(2). These circumstances include a violation of the Pennsylvania or United States Constitution or ineffectiveness of counsel, either of which “so undermined the truth-determining process that no reliable adjudication of guilt or innocence could have taken place.” 42 Pa.C.S. § 9543(a)(2)® and (ii).
With respect to claims of ineffective assistance of counsel, we presume that counsel is effective. Hutchinson, supra at 285. To prevail on an ineffectiveness claim, a petitioner must plead and prove, by a preponderance of the evidence, three elements: (1) the underlying legal claim has arguable merit; (2) counsel had no reasonable basis for his or her action or inaction; and (3) the petitioner suffered prejudice because of counsel’s action or
The legal principles relevant to Appellant’s underlying claim that his exclusion from a portion of the voir dire proceedings constituted a violation of his rights emanate from the Fifth, Sixth, and Fourteenth Amendments to the United States Constitution; from Article I Sections 6 and 9 of the Pennsylvania Constitution; and from Pennsylvania Rule of Criminal Procedure 602.
The High Court has explicitly affirmed that voir dire is a critical stage of the criminal proceeding, during which the defendant has a constitutional right to be present. Gomez v. United States,
The High Court has also stated
The mere occurrence of an ex parte conversation between a trial judge and a juror does not constitute a deprivation of any constitutional right. The defense has no constitutional right to be present at every interaction between a judge and a juror, nor is there a constitutional right to have a court reporter transcribe every such communication.
U.S. v. Gagnon,
Article I, § 9 of the Pennsylvania Constitution and Pennsylvania Rule of Criminal Procedure 602 guarantee the right of an accused to be present in the courtroom at every stage of a criminal trial. Commonwealth v. Rompilla,
However, like the U.S. Supreme Court, this Court has recognized that the right to be present in the courtroom during one’s trial is not absolute. This Court has stated that a “defendant’s presence in chambers and at sidebar is not required where he is represented by counsel.” Commonwealth v. Boyle,
A case factually analogous to the matter at hand, where the appellant claimed that the trial court had erred by failing to allow his presence at a bench conference with several potential jurors, was decided by the Eighth Circuit Court of Appeals wherein it stated,
During the voir dire, the trial judge asked potential jurors if any of them would like to speak with him privately. Six venirepersons accepted this invitation. [Defense] counsel was present during each venireperson’s conversation with the judge.... [Appellant] was not excluded from the courtroom, and his counsel was present at each bench discussion. [Appellant] voiced neither a desire to be present nor an objection to his absence from the bench conference. Moreover, [Appellant] does not contend that any of the six venirepersons were excluded from the jury panel for improper reasons. Accordingly, we find no violation of [Appellant’s] right to participate in his trial.
Other federal courts have observed that a defendant’s presence at voir dire is not a structural right whose violation constitutes per se error.
Based on the above case law, we conclude that although a defendant has the clear right to participate in the jury selection process, that right is not compromised where, as here, the defendant, who was in the courtroom, was not present at sidebar where his counsel was questioning several
Turning to the specifics of the instant case, Appellant is not entitled to relief on his ineffectiveness claim because he has not demonstrated that this claim is of arguable merit. As the PCRA court found and as the record supports, Appellant was actively involved in jury selection. During the sidebar questioning, Appellant did communicate with his counsel and told him that he knew one of the venirepersons. Appellant has acknowledged that he took notes during jury selection in order to share information with his counsel about the prospective jurors. Appellant further acknowledged that he and his counsel discussed which venirepersons to strike and worked together to pick the jury. Appellant’s testimony was largely consistent with defense counsel’s testimony that he and Appellant did jury selection together, with Appellant having input into each strike. From this testimony, the PCRA court properly concluded that Appellant was kept abreast of all aspects of jury selection, and was advised of the occurrences at sidebar. Although there was some discrepancy between the testimony of defense counsel and that of Appellant concerning whether they spoke following the questioning of each individual venire-person at sidebar, our review of the record supports the PCRA court’s conclusion that Appellant participated in jury selection, provided his input to the process, and consulted with counsel throughout the proceeding. PCRA Opinion at 11-12 (citing N.T. PCRA Hearing, 7/10/09, at 108-10, 173-174, 177).
Thus, we hold that under the circumstances of this case, the Superior Court did not err in its determination that Appellant did not have the right to be at sidebar for questioning of prospective jurors on substantive matters where such questioning was, in fact, done in his actual presence, but outside the range of his hearing, and where he otherwise participated with his counsel regarding the questioning of the prospective jurors. Because Appellant has failed to establish that he suffered from any violation of a right guaranteed to him, there is no arguable merit to his ineffectiveness claim. Accordingly, we affirm the order of the Superior Court.
Order of the Superior Court affirmed.
Notes
. Respectively 18 Pa.C.S. §§ 2702(a)(1); 2702(a)(4); 2701(a); 2705.
. Respectively, 18 Pa.C.S. §§ 901(a) and 2501(a); 2702(a)(1); 907.
.42 Pa.C.S. §§ 9541-46.
. Appellant’s additional assertion that he had a procedural right to be present throughout the jury selection proceedings under Federal Rule of Criminal Procedure 43(a) is baseless because the courts of this Commonwealth are not bound by federal procedural rules. See, e.g., Commonwealth ex rel. Sleighter v. Banmiller,
. At the time these cases were decided, the relevant rule was Rule 1117(a), which was renumbered to Rule 602 and amended on March 1, 2000. The amendments are not relevant to the question here presented.
. The U.S. Supreme Court has identified several circumstances in which prejudice resulting from a violation of the Sixth Amendment right to counsel is presumed. Bell v. Cone,
. Other jurisdictions that have considered a defendant's right to be present during voir dire, in the context of the questioning as to substantive matters of individual venireper-sons at sidebar, have held that the right is not absolute and that a showing of prejudice or non-harmless error is required in order for relief to be warranted. See, e.g., State v. W.A.,
. With respect to the one venireperson questioned at sidebar who was ultimately chosen as a juror, the PCRA court determined that Appellant had not provided any evidence that this juror was unable to be fair and impartial. Id. at 12-13. The entirety of the individual sidebar questioning of the venireperson actually chosen to serve on the jury was as follows:
Defense Counsel: How are you? You said you had a physical or psychological disability?
Juror: I suffer from anxiety also.
Defense Counsel: Does that affect your ability to concentrate for eight hours in a day?
Juror: No, no problem.
Defense Counsel: The other question I have, you checked off that you or someone close to you was an eyewitness to a crime?
Juror: I took it off, I saw it after the gentleman was shot. I wasn't an eyewitness to the shooting.
Defense Counsel: Do you think that would have — would affect your ability to judge fairly on a trial that is also a shooting trial?
Juror: What do you mean?
Defense Counsel: Would it affect your ability, what you saw, eyewitness, would that affect your ability to sit as a juror in a case that involves a shooting?
Juror: I don't think so.
N.T. Voir Dire, 5/8/06, at 21-22.
Concurrence Opinion
concurring.
I join the Majority Opinion in all but one respect. No reason was provided for the necessity for the sidebar during voir dire in this case, and so we are not presently
Concurrence Opinion
concurring.
The majority initially frames the question presented as whether a defendant’s personal ability to hear all voir dire is “categorically mandate[d].” Majority Opinion at 33. I agree that it is not. I have difficulty, however, to the extent that the majority’s holding is framed in terms which may be taken as an approval of the practice of “sidebar” voir dire. See Majority Opinion at 3£M0 (“[W]e conclude that although a defendant has the clear right to participate in the jury selection process, that right is not compromised where, as here, the defendant, who was in the courtroom, was not present at sidebar where his counsel was questioning several venireper-sons outside the range of his hearing.”).
In my view, sidebar voir dire is a problematic practice which should not be routinized and, where necessary, should be handled with special care by trial judges and counsel.
. As to the decisions pertaining to general sidebar conferences among a trial judge and counsel, I do not see the relevance here, since the practice of conducting voir dire out of the hearing of the defendant raises an entirely different set of concerns.
