Lead Opinion
Fоur years after he was convicted of murder in the second degree, the defendant filed a motion for a new trial, claiming that his trial counsel had provided constitutionally ineffective assistance by failing to object to the closure of the courtroom during jury selection. The trial judge carefully considered the motion, conducting an evidentiary hearing that
Background. The judge’s findings, supplemented by uncontested facts contained in the docket and other court records, may be summarized as follows. On December 16, 2003, a Superior Court jury found the defendаnt guilty of murder in the second degree in the shooting death of Westley Vaananen. Shortly thereafter, the defendant moved to set aside the verdict pursuant to Mass.R.Crim.P. 25(b)(2),
In the fall of 2007, the defendant became aware of a new
The defendant’s trial was held over four weeks in November and December, 2003, in courtroom 12B in the East Cambridge courthouse of the Middlesex division of the Superior Court Department. Jury selection occurred over two days: Thursday, November 20, and Monday, November 24.
Courtroom security personnel excluded the defendant’s family pursuant to a procedure they employed when the number of prospective jurors left no room for family members or other spectators to be seated at the beginning of the selection process. The judge had not been requested to issue an order removing the public from the courtroom during jury selection and was not made aware that this procedure was being used. In courtroom 12B, only eighty people could be seated in the gallery. Additional jurors sometimes were placed in one of the two jury
As previously requested by the defendant and allowed by the judge, voir dire of prospective jurors included individual questioning at sidebar, as well as general questioning addressed to the venire as a whole. The defendant had waived his right to be present at sidebar during individual voir dire, and this waiver was confirmed by defense counsel at the inception of jury selection. However, as to the exclusion of the defendant’s family from the courtroom, nothing was stated on the trial record; there was neither objection nor explicit waiver by the defendant or his attorney.
Of particular relevance are the following findings which we recite verbatim from the judge’s decision.
“It is likely that, although [defense counsel] was acutely aware of the right to a public trial, he did not discuss that right with his client. The defendant did not discuss the fact that his family was asked to leave with his attorney, but claims to have been a little upset because he enjoyed the support that he received when his parents were in the courtroom. Although [defense counsel] does not have a specific recollection of the exclusion of the defendant’s family during the course of the jury selection process in this case, he testified that, as a matter of practice, he does not object to family members and supporters being asked to leave the courtroom. He understood that courtroom 12B was crowded and that there was effectively no place for the family to sit other than among the potential jurors and he did not want supporters intermixed with the jurors. He did not want the court officers who he perceived engaged in a difficult job, to be interfered with during the selection process, and he did not feel that the removal of a family or supporters was worthy of an objection. Indeed, he preferred the family and supporters not to be in the courtroom during the selection process because, among other reasons, he viewed it to be a distraction when a lot of other things were ongoing. In this particular case, he knew*550 that [the defendant’s mother] was an emotional individual and thought that it would be a distraction for hеr to be in the courtroom. Moreover, the defendant’s mother had been listed as [a] prospective witness and, therefore, would likely have been excluded pursuant to a sequestration order in any event. There is nothing in the record to indicate that at any time were any family members disruptive when they were inside the courtroom. Despite the fact that [defense counsel] had no specific recollection of the circumstances surrounding this case and courtroom closure, he had consciously decided priоr to this trial not to object to the removal of family members or supporters during the jury selection process in courtroom 12B.”
On the basis of the foregoing facts, the judge determined that there had been an impermissible courtroom closure; that, although no contemporaneous objection had been made, there was no waiver, because the defendant, personally, had not knowingly, intelligently, and voluntarily waived his right to a public trial; and that prejudice would be presumed because the error was structural. However, the judge ultimately concluded that the defendant was not entitled to relief for two reasons: first, because the public would have made no meaningful observations of the voir dire process, which was done largely at sidebar, and thus the closure made no material difference to the case; and second, because trial counsel’s failure to object was a tactical decision that was not “manifestly unreasonable.” As we explain below, these two reasons for denying relief are inconsistent with subsequently decided case law.
Discussion. Neither the defendant nor the Commonwealth challenges any of the judge’s factual findings. At issue is the application of the law to the facts found. We derive the template for analysis from Commonwealth v. Cohen (No. 1),
As Cohen illustrates, the analysis of a claim of violation of the right to public trial may be broken down into five steps. We address them in turn.
1. Was there a closure? First, it must be determined whether there was a closure in the constitutional sense. In this regard, it is the defendant who has the burden of demonstrating that members of the public were excluded. Cohen,
2. Was the closure full or partial? Next, it must be determined whether there was a full closure (applying to all members of the
Here, without having the benefit of Cohen, the judge did not explicitly determine whether the closure was full or partial. While it might be inferred from the judge’s decision that the size of the jury pool was so great that all spectators must have been required to leave the courtroom, we need not confront the issue because, even if the closure was partial, it did not pass muster at the next stage of analysis.
3. Did the closure satisfy the Waller factors? In this case, even if the closure was a partial one, it did not comport with the standards set out in Waller. Cohen suggests that in applying the first Waller factor, insufficient space may provide a “substantial reason” for a partial closure during jury selection, id. at 112; Alebord, supra at 436; however, Cohen also indicates that in order to satisfy the second Waller factor — that closure be no broader than necessary to protect the interest likely to be prejudiced — members of the public who wish to observe the proceedings must not be prevented from doing so as space becomes available. Id. at 113-114. See Owens v. United States,
4. Did the defendant waive his right to a public trial? As this court recently has stated, it is the Commonwealth’s burden to establish waiver. See Commonwealth v. Downey,
Of particular significance in this case, the judge found that defense counsel was “acutely aware” of the right to a public trial but consciously decided, prior to the defendant’s trial, that he would not object to the removal of family members or supporters during jury selection, based upon considered strategic reasons that the judge determined were not manifestly unreasonable. Still, as the judge also found, counsel did not discuss the right to a public trial with the defendant, and there was no conversation between them regarding the exclusion of the defendant’s family from the courtroom. On this state of affairs, the judge concluded that the defendant did not waive his public trial right at trial, reasoning that, even though defense counsel likely would have urged the defendant to do so, a defendant may validly waive his right to a public trial only if his waiver is
The judge’s analysis in this regard comports with decisions of this court articulating the principle that, although the defendant’s assent need not necessarily appear on the trial record, his knowing agreement is required for the valid waiver of the right to a public trial. Two of these cases were decided prior to the judge’s decision and were cited by him. See Commonwealth v. Adamides,
Despite these decisions, the Commonwealth contends that the defendant’s right to a public trial should be deemed waived when, as in this case, defense counsel was well aware of the defendant’s constitutional rights, but made a deliberate tactical choice not to object. According to the Commonwealth, the only recourse for a defendant in this position is through the rubric of ineffective assistance of counsel, pursuant to which relief must be denied if, as the judge determined here, counsel’s tactical choice was not manifestly unreasonable.
We have explained previously that, in contrast to some other courts, including the United States Court of Appeals for the First Circuit, see Owens,
5. To what relief is the defendant entitled? When there has been a violation of the defendant’s unwaived Sixth Amendment right to a public trial, the error is structural; prejudice need not be shown. Cohen,
Conclusion. For the foregoing reasons, the order denying the defendant’s motion for a new trial is reversed. The judgment is reversed, the verdict is set aside, and the case is remanded to the Superior Court for further proceedings.
So ordered.
Notes
The witnesses were a court officer assigned to the courtroom where the defendant’s case was tried; the defendant’s mother, father, and sister; the defendant’s trial counsel; and the defendant himself.
Of particular note, the judge’s decision predated the following cases addressing the issue of the right to a public trial: Presley v. Georgia,
As applicable to our courts through the Fourteenth Amendment to the United States Constitution. Commonwealth v. Stetson,
The case in question was either the decision of the United States Court of Appeals for the First Circuit in Owens v. United States,
Prospective jurors were not brought to that courthouse on Fridays.
Although a partial closure sometimes refers to the exclusion of the general public while allowing family, friends, and members of the press to remain, a partial closure also may occur when one or more family members or supporters is excluded. See Cohen,
The judge recognized this deficiency, explaining in his decision that “even if an initial overcrowdedness compelled closure of the courtroom, once prospective jurors began to leave the courtroom, any legitimate interest this [cjourt would have had in closing the courtroom dissipated.”
Cohen states that empaneling in the largest available court room and reserving space for the defendant’s family and the press are “meaningful steps in this direction,” but that other alternatives also should be examined.
In Alebord, supra, we recently considered a case where neither defense counsel nor the judge was aware that the defendant’s friend and two family members were excluded from the courtroom during jury empanelment in keeping with a policy similar to that at issue here. Citing Edward, we rejected the trial judge’s conclusion, on a motion for new triаl, that the defendant’s failure to object at trial to the closure, without more, constituted waiver. Id. at 438-439 (“Silence alone, however, is not sufficient to demonstrate a knowing waiver”). We remanded the case because “the judge’s factual findings [were] not sufficient to allow us to make a determination on our own whether there was such a [knowing] waiver.” Id. at 439. Here, by contrast, the judge’s findings are adequate for his decision and our review.
This court’s first articulation of the principle that a defendant’s waiver of the right to a public trial must be knowing, intelligent, and voluntary appeared in Commonwealth v. Adamides,
Regardless of any weakness in its underpinnings, however, the Adamides dictum took root. See Patry,
In Cohen,
We do not agree with the dissent that Cohen has weakened the principles articulated in Edward and that we therefore are free to disregard the explicit rejection by Edward of the ineffective assistance analysis utilized in Owens,
Concurrence Opinion
(concurring). I join the majority in this case because I agree that Commonwealth v. Edward,
Here, defense counsel made an informed, intelligent, deliberate, and strategic decision not to object to the exclusion of members of the defendant’s family during juror voir dire. He did so for several reasons: he did not wish to have the defendant’s family intermixed with prospective jurors, and he beliеved that the family members’ presence during jury selection could become an unwanted distraction. The defendant’s mother — who posed the additional problem of being emotionally volatile in the courtroom — was likely to be sequestered as a witness in any event. Whether defense counsel’s calculus was correct is beside the point; it was a conscious and reasonable tactical decision under the circumstances.
Counsel’s performance did not fall below what could be reasonably expected of a competent lawyer standing in his shoes and, as a result, I would conclude — were we not bound by Edward — that his decision not to object to the exclusion of the defendant’s family from the courtroom waived the defendant’s public trial right under the Sixth Amendment to the United States Constitution. See Levine v. United States,
Dissenting Opinion
(dissenting). I respectfully dissent. Recognizing that a trial is far more likely to be fair when the watchful eye of the public is present, the First and the Sixth Amendments to the United States Constitution implicitly and expressly, respectively,
However, the public trial right is not absolute, and in limited circumstances a court may bar spectators from certain portions of a criminal trial. Martin,
For these reasons, on the facts of this case, I disagree with my colleagues’ cоnclusion that we are bound by Edward to come to their stated result. Rather, I believe that the approach of the United States Court of Appeals for the First Circuit, see Owens,
