These appeals, which have their genesis in an effort by the petitioner, Edward B. Ellis, to mount a collateral attack on his convictions for interstate transportation of a minor with intent to engage in criminal sexual activity, present challenging legal questions complicated by a strange procedural twist. That complication arose after the original trial judge denied Ellis’s section 2255 petition in part and then recused himself as to the unadjudicated portion of the petition. A limited order of reassignment followed. The transferee judge, acting partly on the basis of a previously unadjudicated claim and partly on the ba *639 sis of a previously adjudicated claim, proceeded to grant the petition.
The hybrid nature of this decision requires that we review its component parts separately. The first ground of decision involves the trial judge’s handling of a jury note. We agree with the transferee judge’s finding of error — the original trial judge used an incorrect procedure in dealing with the jury note — but we hold that this error was harmless under the circumstances. The second ground of decision involves whether the special seating arrangement afforded to the victim during her trial testimony offended the Confrontation Clause. We hold that under the law of the case doctrine the transferee judge should not have revisited the issue, but, rather, should have left intact the original judge’s finding that no constitutional violation had occurred.
In fight of these holdings, we discern no principled basis for habeas relief. Consequently, we reverse the order granting the petitioner a new trial and remand the case with directions to enter judgment for the United States.
I. BACKGROUND
In 1990, a jury convicted the petitioner on three counts of interstate transportation of a minor with intent to engage in criminal sexual activity.
See
18 U.S.C. § 2423. The district court imposed a twenty-five year incarcerative term. On direct appeal, we affirmed the convictions and sentence.
United States v. Ellis,
For present purposes, it suffices to say that the petitioner was found guilty of repeatedly abusing (in three different states) the youthful daughter of his live-in girlfriend. Id. at 388-89. The evidence adduced against him included the testimony of his victim, E.D. (who was nine years old at the time of trial). In a preliminary discussion, it was suggested, without objection from the petitioner’s counsel (Attorney Goldings), that E.D. testify while seated “in such a way that she does not look at [the petitioner].”
Notwithstanding his initial acquiescence, Goldings objected to the special seating arrangement when E.D. was called as a witness. Judge Freedman overruled the objection. During her testimony, E.D. sat in a chair facing the jurors but facing away from the petitioner. The parties disagree both as to the exact angle between E.D. and the petitioner and as to how much of E.D.’s face the petitioner could see during her testimony. It is clear, however, that E.D., while testifying, could only have made eye contact with the petitioner by looking over her right shoulder. It is equally clear that she did not avail herself of this opportunity.
On direct appeal, the petitioner unsuccessfully challenged the sufficiency of the evidence, various evidentiary rulings, the jury instructions, and the length of the sentence. Id. at 389-97. He did not advance any claim related either to the handling of the jury note (discussed infra) or to the special seating arrangement.
In 1997, the petitioner moved pro se to vacate his sentence. See 28 U.S.C. § 2255. In that petition, he maintained that Gold-ings had rendered ineffective assistance of counsel (including a failure to present certain exculpatory evidence and impedance of his right to testify); charged Goldings with having concealed a conflict of interest; lodged a Confrontation Clause challenge to the special seating arrangement; complained of prosecutorial misbehavior; and accused Judge Freedman of judicial bias and misconduct. He also filed two mo *640 tions: one seeking the appointment of counsel and the other asking Judge Freedman to step aside.
Judge Freedman denied the motion for appointment of counsel out of hand. As for the recusal motion, he did not disqualify himself generally, but, rather, proceeded to resolve four of the petitioner’s five claims. Specifically, he denied the cognate ineffective assistance of counsel claims insofar as those claims touched upon the failure to present evidence and the supposed interference with the petitioner’s right to testify; found no cognizable conflict of interest; and ruled that the assertions of prosecutorial misconduct were overblown. Given the present posture of the case, we need not discuss any of these rulings.
Judge Freedman’s disposition of the Confrontation Clause claim requires some elaboration. For purposes of that analysis, Judge Freedman accepted, without deciding, that Goldings’s failure to pursue the claim on direct appeal established ineffective assistance of counsel (and, therefore, established “cause” necessary to overcome the applicable procedural bar). Judge Freedman then discussed the relevant Supreme Court precedents and explained that, as the trial judge, he had made an individualized determination that a special accommodation was needed because E.D. would have to testify regarding the “heinous acts” of sexual abuse that she had endured at the hands of someone who lived with her and who had threatened to kill her and her family members. Since these facts supported the use of the special seating arrangement, Judge Freedman concluded that an appeal from the court’s decision to employ the special seating arrangement would have been futile, and, therefore, that Goldings’s failure to challenge the arrangement on appeal was harmless. Accordingly, he denied both the Confrontation Clause claim and the related ineffective assistance of counsel claim.
See Lockhart v. Fretwell,
Having adjudicated these four sets of claims, Judge Freedman stopped short of resolving the whole of the petition. Instead, he recused himself as to the fifth claim (the accusation of judicial bias and misconduct).
See Murchu v. United States,
The chief judge subsequently assigned the case to Judge Keeton. Judge Keeton appointed counsel to represent the petitioner and gave both parties leave to file supplementary memoranda on the allegations of judicial bias and misconduct concerning (1) the court’s decision to allow a special seating arrangement; (2) certain comments and gestures supposedly made by Judge Freedman during E.D.’s testimony; and (3) Judge Freedman’s handling of a note from the deliberating jury.
Following a hearing, Judge Keeton unequivocally rejected the petitioner’s claims of judicial bias (finding, inter alia, that bias played no role in the establishment of the special seating arrangement, and that Judge Freedman had made no untoward comments or gestures during the trial). He concluded, however, that Judge Freed *641 man’s exchange of notes with the jury deprived the petitioner of the assistance of counsel at a critical stage of the case (and, thus, violated the Sixth Amendment). 1 Judge Keeton then opted to revisit the petitioner’s already adjudicated Confrontation Clause claim. Deeming his predecessor’s findings inadequate and the petitioner’s view of E.D. during trial too constrained, Judge Keeton reversed the earlier ruling and declared unconstitutional the use of the special seating arrangement. Based on this pair of conclusions, Judge Keeton granted the section 2255 petition, set aside the convictions, and ordered a new trial.
The government thereupon filed these appeals. We treat them as one: they have been consolidated, and it would serve no useful purpose to dwell upon the technical considerations that prompted the government to file two appeals instead of one.
II. DISCUSSION
Under 28 U.S.C. § 2255, a convict in federal custody may ask the sentencing court to vacate, set aside, or correct his sentence on the ground that the court had imposed the sentence in violation of federal law (including, of course, the Constitution).
Brackett v. United States,
When an appeal is taken from an order under 28 U.S.C. § 2255, we examine the district court’s legal conclusions de novo and scrutinize its findings of fact for clear error.
Familia-Consoro v. United States,
Only the jury note and seating arrangement claims are in issue here. The petitioner has neither prosecuted a cross-appeal nor otherwise challenged Judge Freedman’s disposition of his other section 2255 claims. This narrowed scope of review, together with the absence of a cross-appeal, dictates that we focus on the rulings of the successor judge. We proceed in two steps. First, we discuss Judge Keeton’s assessment of the jury note claim. We then consider his assessment of the Confrontation Clause claim (concentrating, for reasons that will soon become apparent, on his authority to revisit Judge Freedman’s earlier adjudication of that claim).
We preface our analysis with an acknowledgment that one court has flatly rejected the concept of partial recusal.
See United States v. Feldman,
Although limited orders of reassignment may — as in this case — be necessary and proper, they place unaccustomed restraints on the transferee judge. When a court assumes jurisdiction for a limited purpose, it ordinarily should confine itself to that purpose.
Cf. United States v. Erwin,
A. The Jury Note.
Judge Keeton’s first ground of decision arises out of the petitioner’s allegation that, three and one-half hours after jury deliberations had begun, the jurors sent Judge Freedman a note asking: “Does it have to be unanimous to be not guilty on a[sic] indictment if the vote come [sic] out uneven?” Without consulting either side, the judge sent back a written response stating: “The verdict on all counts must be unanimous. All 12 jur[ors] must agree.” Approximately thirty minutes later, the jury found the petitioner guilty on all charges.
Although Judge Keeton discerned no evidence of judicial bias or partiality in Judge Freedman’s conduct, he concluded that his predecessor had erred in handling the jury note and that the ex parte exchange between judge and jury had deprived the petitioner of his Sixth Amendment right to the assistance of counsel at a critical stage in the proceedings. He found this error prejudicial, stating: “Given the timing and substance of the ex parte communication, I conclude that it is likely that the trial judge’s response had substantial and injurious effect or influence in determining the jury’s verdict.” In this regard, he theorized that the jury could have misunderstood the comment that “[t]he verdict on all counts must be unanimous” to preclude a partial verdict, an ambiguity that consultation with counsel could have prevented.
We agree with Judge Keeton that Judge Freedman erred by failing to consult the parties before responding substantively to the deliberating jury’s request for a supplementary instruction.
*643
See Rogers v. United States,
Judge Keeton found cause sufficient to excuse the procedural default. We assume, for argument’s sake, the supportability of that finding. After all, the notes were not indexed on the district court’s docket sheet, and the petitioner says that he did not learn of them until 1995 (when a friend discovered them in the case file). Thus, this ground of appeal arguably was unavailable to the petitioner at the time of his direct appeal.
Cf. Satterwhite v. Texas,
The question reduces, therefore, to whether any cognizable prejudice resulted from the error. Quoting
Brecht v. Abrahamson,
The Supreme Court recently has emphasized how seldom circumstances arise that justify a court in presuming prejudice (and, concomitantly, in forgoing particularized inquiry into whether a denial of counsel undermined the reliability of a judgment).
See Mickens v. Taylor,
Here, the petitioner does not posit that he lacked the effective assistance of counsel throughout the proceedings but only at a specific point in the trial (when the jury sent the note in question and the judge responded). This is a difference “not of degree but of kind” in terms of whether the court’s error can be deemed per se prejudicial.
Cone,
Clarifying that there is no presumption of prejudice does not doom the petitioner’s quest. It simply means that the trial court’s mishandling of the jury note does not lead automatically to the vacation of his convictions. We still must decide whether the error affected his substantial rights.
Although we have left open the proper standard for gauging harmlessness when such a claim of error is raised on direct appeal,
see, e.g., Parent,
Having established the ground rules, we return to the particulars of the case at hand. Judge Keeton identified the correct test for gauging prejudice in this type of situation. In our view, however, he misapplied the test in hypothesizing that the phrase, “The verdict on all counts must be unanimous,” was “subject to interpretation” in an incorrect way (i.e., that the jurors must reach unanimous agreement on all counts combined, rather than on each count separately) and that it was “likely” to have influenced the verdict. When the Brecht standard is properly applied in the context of this case, the record reflects that the government has carried the devoir of persuasion.
The impetus for the standard articulated in
Brecht
is that the bar should be held fairly high on post-conviction review. Such proceedings are meant to afford relief only to those who have been grievously wronged, not to those who show merely a possibility — even a reasonable possibility— of harm.
See Brecht,
The bottom line is that a court cannot grant collateral relief on “mere speculation that the defendant was prejudiced by trial error; the court must find that the defendant was actually prejudiced by the error.”
Calderon v. Coleman,
A jury instruction cannot be read in a vacuum, but, rather, must be taken in light of the charge as a whole.
See Cupp v. Naughten,
Nor does the timing of the verdict counsel persuasively in favor of a different conclusion. In some cases, a time line permits a reasonable inference that the error “had a causal effect on a verdict returned within minutes of the court’s action.”
Curtis,
We are fortified in our conclusion that the error was benign by the strength of the prosecution’s case. The government adduced more than adequate evidence to support the jury’s verdict on all three counts. As we stated on direct review, the evidence of the petitioner’s guilt “was overwhelming.”
Ellis,
To sum up, the petitioner’s argument that the supplemental instruction tipped the scales is woven from gossamer strands of speculation and surmise. Notwithstanding the error, we remain confident of the integrity of the verdict — especially in view of the apparent clarity of the charge as a whole and the robust evidence of the petitioner’s guilt. Consequently, we find no actual prejudice.
See Calderon,
B. The Confrontation Clause Claim.
While the resolution of the jury note claim was plainly within the transferee judge’s adjudicatory purview, the Confrontation Clause claim arguably was not. We briefly recapitulate the relevant facts (which are uncontradicted). After resolving the majority of the petitioner’s section 2255 claims (including the Confrontation Clause claim), Judge Freedman granted in part the petitioner’s motion to recuse and transferred the case so that another judge could hear and determine the fifth claim for relief (alleging judicial bias and misconduct). The successor judge resolved all the transferred claims against the petitioner (save only for the jury note claim, discussed supra). Yet, notwithstanding the limited scope of the transfer order, he ventured into other areas. Once there, he reconsidered, and overruled, his predecessor’s prior adjudication of the Confrontation Clause claim. The government says that Judge Keeton exceeded his authority in revisiting that claim. The petitioner demurs.
This conundrum implicates the law of the case doctrine. This doctrine has two branches. One branch involves the so-called mandate rule (which, with only a few exceptions, forbids, among other things, a lower court from relitigating issues that were decided by a higher court, whether explicitly or by reasonable implication, at an earlier stage of the same case).
See, e.g., United States v. Bell,
The presumption, of course, is that a successor judge should respect the law of the case. The orderly functioning of the judicial process requires that judges of coordinate jurisdiction honor one another’s orders and revisit them only in special circumstances.
See Stevenson v. Four Winds Travel, Inc.,
These concerns are heightened in the federal habeas context. In the first place, the presumption against reconsideration is even stronger when the challenge arises on collateral attack of a criminal conviction (and, therefore, implicates society’s reasonable reliance on the finality of a criminal conviction).
See Strickland,
Even so, there are times when the law of the case may give way. The question of what circumstances justify revisiting a ruling previously made in the same proceeding by a judge of coordinate jurisdiction is case-specific.
Christianson,
First, reconsideration is proper if the initial ruling was made on an inadequate record or was designed to be preliminary or tentative.
E.g., Peterson v. Lindner,
We employ this framework in assessing Judge Keeton’s decision to revisit Judge Freedman’s adjudication of the petitioner’s Confrontation Clause claim. In so doing, we recognize the desirability of according the successor judge a modicum of flexibility. Thus, we review a successor judge’s decision to reconsider a coordinate judge’s earlier ruling for abuse of discretion.
Delta Sav. Bank v. United States,
Judge Keeton did not say why he opted to reopen the Confrontation Clause issue. It is apparent, however, that the first three conditions that might justify reconsideration are plainly absent here. Judge Freedman made his Confrontation Clause ruling based on full briefing, oral argument, and an examination of the record as a whole (the same record that was before Judge Keeton). In addition, he had the advantage of having presided over the trial and having witnessed the child’s testimony at first hand. His rescript, filed on March 2, 1998, gives no indication that his Confrontation Clause ruling was meant to be tentative or preliminary. To the contrary, he instructed Judge Keeton to enter it as part of the final judgment upon completion of the proceedings, thereby signaling that he intended his ruling to be definitive. Finally, the petitioner neither presented new facts before Judge Keeton nor identified any intervening change in the law.
In short, the record fails to suggest any reason why Judge Keeton should have revisited Judge Freedman’s Confrontation Clause ruling unless he discerned a manifest injustice. That standard is difficult to achieve: a finding of manifest injustice requires a definite and firm conviction that a prior ruling on a material matter is unreasonable or obviously wrong.
5
See Arizona,
We have examined the record with great care. Fairly viewed, the special seating arrangement devised by Judge Freedman for the victim’s testimony was not obviously outside the compass of Supreme Court precedent. Because the record does not support a finding of manifest injustice, Judge Keeton was bound to defer to Judge Freedman’s ruling on that issue. His failure to do so constitutes an abuse of discretion.
To begin, it is important to set the stage (and, thus, establish the appropriate frame of reference). The petitioner concedes that he failed to advance, on direct appeal, his claim that the special seating arrangement violated the Confrontation Clause. Accordingly, the claim is procedurally defaulted. In order to have succeeded on a collateral attack, therefore, he had to have shown both cause and prejudice.
See McCleskey v. Zant,
Next, we knit the cause and prejudice standard and the manifest injustice standard together. Judge Freedman found no error in the use of the special seating arrangement (and, thus, no prejudice). In order to revisit and reverse that ruling, Judge Keeton had to determine that Judge Freedman’s finding was manifestly unjust (that is, that the finding was unreasonable or obviously wrong). It is that determination, necessarily implicit in Judge Keeton’s actions, that we must review.
Our inquiry is channeled by a pair of Supreme Court opinions. Two years before the petitioner’s conviction, the Court held unconstitutional, as violative of a defendant’s Sixth Amendment right to confrontation, an Iowa statute that allowed the placement of an opaque screen between a defendant charged with sexual assault and his minor victims (there, two thirteen-year-old girls).
Coy v. Iowa,
Six weeks after the jury convicted the petitioner, the Supreme Court decided
Maryland v. Craig,
In addressing the section 2255 petition, Judge Freedman reviewed these precedents. He concluded that the special seating arrangement used in the petitioner’s trial passed constitutional muster. Based on his supportable findings anent the need for special treatment of the child witness, this conclusion is neither unreasonable nor obviously wrong.
In his post-conviction rescript, Judge Freedman carefully documented the considerations that had prompted him to resort to a modified seating arrangement. 7 He found that, given the nature of E.D.’s testimony, the child — who was nine years old at the time of trial — likely would have difficulty testifying in a public forum, and that she might reasonably fear testifying in front of the petitioner.
The petitioner asserts that Judge Freedman’s findings are inadequate to meet the
Craig
criteria. While this is a close question, we think that the findings suffice to withstand a claim of manifest injustice. In the first place, the less the intrusion on Sixth Amendment rights, the less detail is required in a trial court’s findings.
See California v. Lord,
In our view, the adequacy of Judge Freedman’s findings is buttressed by the hallmarks of testimonial reliability made manifest by the record.
See Craig,
Despite these circumstances, the petitioner argues that
Coy
demands a different result. We do not agree. The seating arrangement there was statutorily driven, not custom-tailored to fit the exigencies of a particular case. Moreover, it involved an opaque physical barrier. In contrast, no physical barrier separated E.D. from the petitioner during the instant trial. Many courts have found the absence of such a barrier to be of decretory significance in rejecting Confrontation Clause challenges.
See, e.g., N. Dakota v. Miller,
Nor are these the only bases for distinction. Unlike in
Coy,
the record here contains no evidence suggesting that what the petitioner actually saw of E.D.’s face at
*652
trial was substantially less than what he would have seen had she testified from the witness stand (and, indeed, Judge Freedman’s description of the courtroom layout makes clear that E.D. would not have had to face the petitioner directly even if she had testified from the witness stand). The significance of this circumstance is reinforced by Judge Freedman’s specific finding that the petitioner had a sufficient view of E.D.’s “demeanor.” This finding is not clearly erroneous, and, thus, deserves our respect.
See Familia-Consoro,
In a further effort to denigrate the use of the special seating arrangement, the petitioner notes the lack of eye contact between him and E.D. We agree that the opportunity for eye contact, whether or not the witness chooses to act on it, is an important integer in the Sixth Amendment calculus.
Coy,
We summarize succinctly. Although the lack of eye contact weighs in the petitioner’s favor, all the other Confrontation Clause safeguards were present here. Mindful, as we are, that trial judges have some leeway to move a witness around a courtroom as long as those shifts retain an unobstructed line of sight between the defendant and the witness,
cf. Coy,
In a further attempt to justify reconsideration, the petitioner submits that Judge Freedman erroneously denied him the assistance of counsel for his section 2255 petition. He argues, in effect, that his “inartful” pro se presentation before Judge Freedman may have influenced the court’s rulings, freeing the successor judge to review them de novo. That argument is unavailing. A convicted criminal has no constitutional right to counsel with respect to habeas proceedings.
Pennsylvania v. Finley,
We need go no further. Finding no manifest injustice, we are constrained to hold that Judge Keeton abused his discretion in redeciding and countermanding Judge Freedman’s previous adjudication of the Confrontation Clause claim.
III. CONCLUSION
Although it is true that the law must always be vigilant to protect the rights of those who are convicted of serious crimes, our system of justice guarantees a fair trial, not a perfect one.
See United States v. Hasting,
Reversed.
Notes
. Although the handling of the jury note reflects error, not misconduct, this is an essentially semantic difference for purposes of the case at bar. What matters is that, under the limited order of reassignment, the jury note claim was properly within Judge Keeton’s adjudicatory purview.
. There is arguably a further exception for evidence showing actual innocence,
see Bousley,
. The petitioner's argument is not bolstered by his reliance on
French v. Jones,
. To be sure, one court has used the more rigorous "harmless beyond a reasonable doubt” standard in circumstances similar to those presented in this case.
See Starr v. Lockhart,
. A finding of manifest injustice also requires a finding of prejudice.
Dobbs v. Zant,
. Because the quantum and kind of prejudice that must be shown in connection with an ineffective assistance of counsel claim is identical to that necessary to relieve a habeas petitioner from the effects of a procedural default,
see Prou v. United States,
. Although Judge Freedman and the parties discussed E.D.'s seating arrangement at a conference in advance of the criminal trial, the judge neither conducted a hearing on the matter nor made contemporaneous findings as to the effect of the petitioner’s presence on E.D. Since the petitioner did not request a hearing and did not object to the lack of contemporaneous findings, we accept Judge Freedman’s later statement of his reasons in lieu of contemporaneous findings.
Cf. California v. Sharp, 29
Cal.App.4th 1772,
. To be sure, Judge Freedman's findings fell short of an express determination that E.D. ran a serious risk of trauma from testifying in front of the defendant — a type of determination suggested by
Craig,
. We are aware that the Massachusetts Supreme Judicial Court has found the lack of eye contact fatal under an analogous — but differently worded — provision of the Massachusetts Declaration of Rights.
See Massachusetts v. Amirault,
. The fact that Judge Keeton appointed counsel to handle the remainder of the petitioner's claims is not dispositive. While such an appointment was within Judge Keeton's discretion, it does not follow that Judge Freedman's contrary decision constituted an abuse of discretion. This variation merely serves to illustrate what every lawyer already knows: that two judges can decide discretionary matters differently without either judge abusing his or her discretion.
See, e.g., United States v. Nickens,
