HEARST NEWSPAPERS, L.L.C., doing business as Houston Chronicle, Intervenor Plaintiff - Appellant v. UNITED STATES OF AMERICA, Plaintiff - Appellee v. OZIEL CARDENAS-GUILLEN, Defendant - Appellee v. HEARST NEWSPAPERS, L.L.C., doing business as Houston Chronicle, Intervenor - Appellant
No. 10-40221
United States Court of Appeals for the Fifth Circuit
May 17, 2011
REVISED JUNE 9, 2011
Before BARKSDALE, DENNIS, and HAYNES, Circuit Judges.
Filed May 17, 2011, Lyle W. Cayce, Clerk
DENNIS, Circuit Judge:
BACKGROUND
Oziel Cardenas-Guillen, the former leader of the Gulf Cartel, a notorious Mexican drug cartel, was arrested in Mexico in 2003. At the time, according to the government, Cardenas-Guillen was considered “one of the most wanted, feared, and violent drug traffickers in the world,” and was “widely believed to be partly responsible for the ongoing drug trafficking wars and ‘bloodbaths’ along the Mexican border, resulting in the deaths of approximately 2000 persons.” Even while incarcerated in Mexico, he “reportedly continued to coordinate the activities of his organization from jail.”
In 2007, the United States took custody of Cardenas-Guillen. He was charged, inter alia, with involvement in conspiracies to distribute large quantities of marijuana and cocaine, violating the continuing-criminal-enterprise statute,
The government moved to transfer the venue for the criminal trial from Brownsville, Texas, to another location. Among other reasons, the government cited concerns about being able to ensure the security of personnel and civilians, due to the proximity of Brownsville to the Mexican border. The government enclosed a letter from the United States Marshals Service explaining that Houston would be the best venue for holding the trial. Cardenas-Guillen did not
On October 30, 2009, the Chronicle sent a letter to the district court, making several requests. With regard to any future proceedings, the Chronicle requested that the district court give notice and an opportunity to be heard before closing such proceedings, and, if the court decided to close a proceeding, to narrowly tailor such a closure and support its decision with on-the-record findings. The Chronicle also requested that the court unseal any sealed documents or make on-the-record findings regarding why those documents remained under seal, and narrowly tailor any sealing. In response, the district court ordered the parties to explain why previously sealed documents should remain under seal. The parties conceded that some documents did not need to remain sealed, but argued that others should remain under seal until the conclusion of the case.
On February 9, 2010, the Chronicle moved to intervene and requested that any uncontested documents be unsealed immediately, that the docket be updated to provide some indication of documents that had been sealed, that the government‘s sealed memoranda be unsealed at least in redacted form so that the Chronicle could respond, and that the court narrowly tailor any sealing through redaction and enter specific findings as to documents that remained under seal. The Chronicle attached to the motion its letter of October 30, 2009. At some point, Cardenas-Guillen agreed to plead guilty to the charges against him, but this fact was not made public. On February 18, 2010, the government moved to close his sentencing hearing for reasons of public safety, and also moved to deprive the public of notice that the hearing was taking place. The
The court scheduled the sentencing for February 25, 2010. A local television station received word that the trial of Cardenas-Guillen would occur on that date and inquired of the court as to whether that information was correct. After consulting with the United States Marshals Service, the district court covertly rescheduled the sentencing hearing for February 24, 2010.
During the sentencing hearing on that day, a Chronicle reporter discovered a closed courtroom where the proceeding was being held and attempted to gain access. An attorney for the Chronicle joined the reporter and filed a handwritten motion requesting the district court to open the sentencing hearing and to give the Chronicle an opportunity to be heard before the closed hearing was completed. The district court was aware of the Chronicle‘s efforts to access the proceedings and stated during the hearing that “in spite of all the efforts to ensure that this hearing not be noticed by the media, I am told that there is a reporter from the Houston Chronicle who is, as I speak, drafting a motion regarding his request to be heard — or to be present during the — the hearing.” The district court declined to decide the motion at that time, and instead continued with the closed sentencing proceeding. Although the proceeding was sealed, the primary case agents and victims, as well as Cardenas-Guillen‘s wife and daughter, were permitted to be present. Later that same day, after the sentencing proceeding had been completed, the district court denied the Chronicle‘s motion as moot.
The government explains in its brief, and the district court docket confirms, that “[w]ithin hours of the sentencing hearing, the hearing was docketed.” Gov. Br. 11. In addition, “the recording of the hearing and the transcript of the hearing were [made] available to the public . . . .” Id. The docket also shows that the Chronicle ordered a copy of the transcript, which was completed on February 25, 2010, the day after the sentencing proceeding.
On February 26, 2010, two days after the sentencing hearing, the Chronicle filed a second motion to intervene. On that same date, the district court, inter alia, granted the motion to intervene and denied the Chronicle‘s
On March 2, 2010, the district court issued an order amending its February 24, 2010 order, to further explain the reasoning of its February 24, 2010 order. It also added that in denying the Chronicle‘s motion to open the sentencing proceeding and to be heard before the closure of the sentencing proceeding, it had considered the filings submitted by the government, as well as the Chronicle‘s February 9, 2010 motion to intervene.
The Chronicle timely appealed. On appeal, the Chronicle challenges (1) the district court‘s order of February 24, 2010 (as amended by the March 2, 2010 order), denying as moot the Chronicle‘s request to open the sentencing proceeding; (2) the district court‘s order of February 24, 2010 (as amended by the March 2, 2010 order), denying as moot the Chronicle‘s request for an opportunity to be heard prior to closure; and (3) the district court‘s order of February 26, 2010, denying the Chronicle‘s request for public notice of all future hearings and an opportunity to be heard if the court intended to close any future proceedings. The district court designated all three orders as final and immediately appealable.
We have appellate jurisdiction over the orders under the collateral order doctrine, which “establishe[s] that certain decisions of the district court are final in effect although they do not dispose of the litigation.” Davis v. E. Baton Rouge Parish Sch. Bd., 78 F.3d 920, 925 (5th Cir. 1996); see also
STANDARD OF REVIEW
On appeal, we are asked to determine whether the press and public have a First Amendment right of access to sentencing proceedings, and, if so, whether they are also entitled to receive notice and an opportunity to be heard prior to closure of sentencing proceedings. “Because this case involves constitutional and other legal questions, we review the district court‘s orders de novo.” United States v. Brown (In re Times Picayune Publ‘g. Corp.), 250 F.3d 907, 913 (5th Cir. 2001). “Specific factual findings of the district court on the issue are, of course, entitled to review under the clearly erroneous standard.” Id.
DISCUSSION
As an initial matter, we conclude that this court has jurisdiction over the case, because it falls within the exception to mootness for questions that are capable of repetition, yet evading review. We also conclude that the press and public, including the Chronicle, have a First Amendment right of access to sentencing proceedings. Finally, we conclude that the district court deprived the Chronicle of its First Amendment right of access, without due process, in refusing to give the press and public notice and an opportunity to be heard before sealing the sentencing proceeding.
A. Mootness
Despite the fact that Cardenas-Guillen‘s sentencing proceeding has already occurred, it is undisputed that this appeal is not moot. The issues in this case are not moot because they are “capable of repetition, yet evading review.” Press-Enterprise Co. v. Super. Ct. (Press-Enterprise II), 478 U.S. 1, 6 (1986);
B. The Chronicle‘s First Amendment right of access to the sentencing proceeding
The first question in this case is whether the press and public, including the Chronicle, have a First Amendment right of access to a sentencing proceeding. We conclude that they do. The Supreme Court has developed a two-part test for determining whether there is a First Amendment right of access to a particular criminal proceeding: (1) whether the proceeding has historically been open to the public and press; and (2) “whether public access plays a significant positive role in the functioning of the particular process in question.” Press-Enterprise II, 478 U.S. at 8-9; see also Press-Enterprise Co. v. Super. Ct. (Press-Enterprise I), 464 U.S. 501, 505-09 (1984). This test has been referred to as the “experience” and “logic” test. See Globe Newspaper Co., 457 U.S. at 606 (explaining that “the institutional value of the open criminal trial is recognized in both logic and experience“); see also Press-Enterprise II, 478 U.S. at 9 (summarizing the test as “considerations of experience and logic“).
Although neither the Supreme Court nor this court has specifically considered whether the First Amendment applies to a sentencing hearing, the Second, Fourth, Seventh, and Ninth Circuits have done so, and each has
We conclude, as have the other courts that have considered this question, that the public and press have a First Amendment right of access to sentencing proceedings. Indeed, we agree with the Second and Fourth Circuits that the Supreme Court‘s holdings in Globe Newspaper Co. and Richmond Newspapers, Inc. that there is a First Amendment right of access to a trial should, logically, already encompass sentencing hearings:
Sentencing may . . . be viewed as within the scope of the criminal trial itself. Sentencing can occur before the termination of the trial proceeding, and, even if it occurs in a separate hearing, it clearly
amounts to the culmination of the trial. Moreover, even if . . . sentencing hearings are not considered a part of the trial itself, they are surely as much an integral part of a criminal prosecution as are preliminary probable-cause hearings, suppression hearings, or bail hearings, all of which have been held to be subject to the public‘s First Amendment right of access.
Alcantara, 396 F.3d at 196-97 (quoting In re Washington Post Co., 807 F.2d at 389 (quotation marks omitted)). The First Amendment right of access to a sentencing proceeding is especially salient in this case, where, as in the vast majority of criminal cases, there was no trial, but only a guilty plea. Id. at 199 (“It makes little sense to recognize a right of public access to criminal courts and then limit that right to the trial phase of a criminal proceeding, something that occurs in only a small fraction of criminal cases.” (quoting In re Herald Co., 734 F.2d at 98 (quotation marks omitted))).
Moreover, applying the experience and logic test set out by the Supreme Court confirms that the public and press have a First Amendment right of access to sentencing proceedings. First, sentencing proceedings have historically been open to the press and public. Alcantara, 396 F.3d at 197 n.7 (listing numerous cases from the nineteenth century “describ[ing] sentencing proceedings held in open court” and citing secondary sources to explain that “[h]istorically, [s]entences were often imposed immediately after the jury returned a guilty verdict in open court“); In re Washington Post Co., 807 F.2d at 389 (“Sentencings have historically been open to the public . . . .“). As the Chronicle points out, “the United States has a rich and proud tradition of conducting public criminal trials and sentencing proceedings.” These include numerous high profile cases of defendants who were considered dangerous3: the open trial and sentencing proceeding held in the Southern District of Texas
Second, public access plays a “significant positive role,” Press-Enterprise II, 478 U.S. at 8-9, in a sentencing hearing. In particular, the Supreme Court has recognized several interrelated ways in which openness is beneficial in a criminal trial. See Richmond Newspapers, Inc., 448 U.S. at 593-97. The recognized benefits of having open trials also apply in the context of sentencing proceedings.
To begin with, “[t]he knowledge that every criminal trial is subject to contemporaneous review in the forum of public opinion is an effective restraint on possible abuse of judicial power . . . .” Richmond Newspapers, Inc., 448 U.S. at 596 (quoting In re Oliver, 333 U.S. 257, 270 (1948)) (quotation marks omitted); see also Globe Newspaper Co., 457 U.S. at 606 (“[I]n the broadest terms, public access to criminal trials permits the public to participate in and serve as a check upon the judicial process — an essential component in our structure of self-government.“). The need for such a restraint is also present in the sentencing context. “The presence of the public operates to check any temptation that might be felt by either the prosecutor or the court . . . to seek or impose an arbitrary or disproportionate sentence.” In re Washington Post Co., 807 F.2d at 389. Indeed, the fact that there is no jury at the sentencing proceeding, in contrast to jury trials, heightens the need for public access. Cf. Press-Enterprise II, 478 U.S. at 12-13 (“The absence of a jury, long recognized as ‘an inestimable safeguard against the corrupt or overzealous prosecutor and against the compliant, biased, or eccentric judge,’ . . . makes the importance of
Relatedly, openness in a trial builds public confidence in the criminal justice system because members of the public can observe whether justice is being carried out in adjudicating guilt or innocence. Richmond Newspapers, Inc., 448 U.S. at 595 (“Open trials assure the public that procedural rights are respected, and that justice is afforded equally. Closed trials breed suspicion of prejudice and arbitrariness, which in turn spawns disrespect for law.“). Likewise, openness in the sentencing context allows the public to observe whether the defendant is being justly sentenced, especially where the court, rather than a jury, is determining the sentence. Eppinger, 49 F.3d at 1253 (“The public must have the opportunity to observe and criticize the judiciary in the operation of its duties. In sentencing, unlike other aspects of criminal proceedings, it is the distinct province of the court to determine what constitutes [a] proper sentence.” (quoting United States v. Carpentier, 526 F. Supp. 292, 295 (E.D.N.Y. 1981))); In re Washington Post Co., 807 F.2d at 389.
Similarly, openness of a proceeding also promotes more accurate fact-finding, either because witnesses are more hesitant to commit perjury in a proceeding open to the public, or because “key witnesses unknown to the parties” may learn about a trial if it is public. Richmond Newspapers, Inc., 448 U.S. at 596-97. As there may well be witnesses and contested issues of fact in a sentencing proceeding, see Alcantara, 396 F.3d at 198 (explaining that in both trials and sentencing proceedings, “[t]he defendant . . . can present evidence, call witnesses, and cross-examine government witnesses“), this rationale applies in a sentencing proceeding as much as it applies in a trial.
Relatedly, the Supreme Court has explained that “[u]nderlying the First Amendment right of access to criminal trials is the common understanding that ‘a major purpose of that Amendment was to protect the free discussion of
Finally, there is a “community therapeutic value” to having an open proceeding, because of the concerns and emotions of members of the public who have been affected by a crime or crimes. Richmond Newspapers, Inc., 448 U.S. at 570. “When a shocking crime occurs, a community reaction of outrage and public protest often follows. Thereafter the open processes of justice serve an important prophylactic purpose, providing an outlet for community concern, hostility, and emotion.” Id. at 571 (citation omitted); see, e.g., Mark Eddy et al., Guilty on Every Count, Denver Post, June 3, 1997, available at http://extras.denverpost.com/bomb/bombv1.htm (describing the reaction of survivors of the 1995 Oklahoma City bombing upon hearing that the jury had found Timothy McVeigh guilty on all counts: “survivors rushed into the hall outside the courtroom where they cried, hugged and tried to console each other as this chapter in the bombing tragedy drew to a close“). This rationale applies as strongly in a sentencing proceeding as it does in a trial. Alcantara, 396 F.3d at 198; see, e.g., Benjamin Weiser, Mastermind Gets Life for Bombing of Trade Center, N.Y. Times, Jan. 9, 1998, available at 1998 WLNR 2795240 (“Several victims of the [1993 World Trade Center] blast attended the [sentencing proceeding of Ramzi Yousef]. One, Charles Maikish, a former [World] Trade Center official, nearly broke down as he addressed the court on behalf of the families, reading a list of the names of each victim who had died in the bombing.
In sum, we conclude, as have the other courts of appeals that have addressed this issue, that the press and public have a First Amendment right of access to sentencing proceedings.14
C. Notice and an opportunity to be heard
Because there is a First Amendment right of access to sentencing proceedings, there is a presumption that they should remain open, absent specific, substantive findings made by the district court that closure is necessary to protect higher values and is narrowly tailored to serve such goals:
[T]he presumption [of openness] may be overcome only by an overriding interest based on findings that closure is essential to preserve higher values and is narrowly tailored to serve that interest. The interest is to be articulated along with findings specific enough that a reviewing court can determine whether the closure order was properly entered.
Press-Enterprise II, 478 U.S. at 9-10 (quoting Press-Enterprise I, 464 U.S. at 510) (quotation marks omitted). In making its findings, the court must consider any “reasonable alternatives to closure.” Press-Enterprise II, 478 U.S. at 14 (citing Press-Enterprise I, 464 U.S. at 510; Richmond Newspapers, Inc., 448 U.S. at 581); see also Edwards, 823 F.2d at 119 (“Press [Enterprise] II requires, if
In this case, we do not reach the question of whether the district court‘s decision to close Cardenas-Guillen‘s sentencing proceeding was substantively correct. The Chronicle does not challenge this. Rather, the Chronicle is challenging the district court‘s refusal to follow two procedural requirements before closing the sentencing of Cardenas-Guillen: (1) to give public notice of contemplated closure of the proceeding, and (2) to give interested parties, such as the Chronicle, an opportunity to be heard before the sentencing proceeding was closed.
Those procedural requirements stem from the Supreme Court‘s dictate that trial courts should make determinations about closure “on a case-by-case basis.” Globe Newspaper Co., 457 U.S. at 609. The Court explained that “[o]f course, for a case-by-case approach to be meaningful, representatives of the press and general public ‘must be given an opportunity to be heard on the question of their exclusion.‘” Id. at 609 n.25 (quoting Gannett Co. v. DePasquale, 443 U.S. 368, 401 (1979) (Powell, J., concurring)); see also Edwards, 823 F.2d at 119 (“In requiring a case-by-case resolution of the issues concerning closure of presumptively open proceedings, the Globe Court noted that, for this approach to be effective, ‘the press and general public must be
The courts of appeals that have addressed the question of whether notice and an opportunity to be heard must be given before closure of a proceeding or sealing of documents to which there is a First Amendment right of access, have uniformly required adherence to such procedural safeguards. See, e.g., Alcantara, 396 F.3d at 200 (“[A] motion for courtroom closure should be docketed in the public docket files . . . . Entries on the docket should be made promptly, normally on the day the pertinent event occurs . . . . We think this type of general public notice suffices to afford an adequate opportunity for challenge to courtroom closure.” (quoting In re Herald Co., 734 F.2d at 102-03)); Phoenix Newspapers, Inc. v. U.S. Dist. Ct., 156 F.3d 940, 949 (9th Cir. 1998) (“[I]f a court contemplates sealing a document or transcript, it must provide sufficient notice to the public and press to afford them the opportunity to object or offer alternatives. If objections are made, a hearing on the objections must be held as soon as possible.“); Oregonian Publ‘g Co., 920 F.2d at 1466 (affirming previous holding that “those excluded from the proceeding must be afforded a reasonable opportunity to state their objections” (citing Brooklier, 685 F.2d at 1167-68; In re Washington Post Co., 807 F.2d at 390-91)); United States v. Valenti, 987 F.2d 708, 713 (11th Cir. 1993) (explaining that giving “notice and an opportunity to be heard on a proposed closure” is required prior to closing a “historically open process where public access plays a significant role“); Robinson, 935 F.2d at 289 (explaining that before a plea agreement is sealed, “(1) [t]he government must file a written motion to seal the plea agreement and notice of that motion must be entered in the public docket; [and] (2) [t]he trial court must promptly allow interested persons an opportunity to be heard before ruling on the motion and entering the sealing order“); In re Washington Post Co., 807 F.2d at 390 (holding that before making specific
These procedural requirements are essential to safeguarding the First Amendment right of access to sentencing proceedings. Given the weight of the right of access, we agree that courts must provide the press and public with notice and an opportunity to be heard before closing a sentencing proceeding,15 because “it seems entirely inadequate to leave the vindication of a First Amendment right to the fortuitous presence in the courtroom of a public spirited citizen willing to complain about closure . . . .” Alcantara, 396 F.3d at 199-200 (quoting In re Herald Co., 734 F.2d at 102); see also Criden, 675 F.2d at 559 (“The press should not be expected to ‘camp out’ in the hallway in order
All too often, parties to the litigation are either indifferent or antipathetic to disclosure requests. This is to be expected: it is not their charge to represent the rights of others. However, balancing interests cannot be performed in a vacuum. Thus, providing the public notice and an opportunity to be heard ensures that the trial court will have a true opportunity to weigh the legitimate concerns of all those affected by a closure decision.
The importance of these requirements, however, does not preclude a trial court from choosing among various options, given the circumstances and interests involved in a particular case, to determine how it will provide notice and an opportunity to be heard. For example, in giving the press and public notice that a proceeding may be closed, the trial court may choose to docket the motion. See, e.g., Alcantara, 396 F.3d at 200; Robinson, 935 F.2d at 288. The trial court may do that, or it may decide that security or other concerns warrant declining to reveal what kind of proceeding is going to be closed and simply place a notice on the docket that there is a motion to close a proceeding, leaving the parties to submit arguments regarding the various proceedings that could hypothetically be closed. Relatedly, the trial court may decide to disclose all, some, or none of what is contained in the motion to close. Cf. Robinson, 935 F.2d at 290 (“We fail to see anything in this case that would have precluded the government from filing a written motion to seal (notice of which would be entered on the public docket), with the plea agreement attached, and then asking the court to seal both the motion and the plea agreement pending final
Similarly, in giving interested members of the press and public an opportunity to be heard, the trial court can choose among various options to determine how to do so in a particular case. At the very least, the trial court can permit interested parties to submit briefs on whether a proceeding should be closed. In addition, the trial court may decide to hold a hearing at which parties can orally argue before the court. Finally, the trial court “may file its statement of the reasons for its decision under seal” if it deems that doing so is necessary. In re Washington Post Co., 807 F.2d at 391. This court can, of course, still review a sealed statement of reasons.
Of course, the fact that a trial court may choose among various options does not mean that it should automatically choose the most minimal options available. “[I]dentification of the specific dictates of due process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government‘s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.” Mathews v. Eldridge, 424 U.S. 319, 335 (1976). Trial courts should weigh these factors in relation to the unique facts of the case where closure is at issue. Cf. United States v. Abuhamra, 389 F.3d 309, 318-28 (2d Cir. 2004) (applying the Mathews v. Eldridge test by weighing the defendant‘s interest in having notice and an opportunity to be heard, as well as
The government does not dispute that notice and an opportunity to be heard should generally be afforded to the press and public before the closure of a proceeding to which a First Amendment right of access attaches. Instead, the government advances two alternative arguments: (1) that the security concerns of this case were such that the district court was excused from giving notice and an opportunity to be heard; and (2) in the alternative, that the district court essentially gave the Chronicle an opportunity to be heard because it took into account the Chronicle‘s February 9, 2010 motion to intervene and the Chronicle‘s October 30, 2009 letter, which was attached to the motion to intervene, when it closed the sentencing proceeding. We address each argument in turn.
First, we conclude that the security concerns raised by the government in this case did not justify the district court‘s decision not to give the press and public any notice or opportunity to be heard prior to closure. At the sentencing proceeding, the district court gave two rationales for its decision to seal the government‘s motion to close the sentencing proceeding: “failure to seal the United States’ motion to seal will result in a substantial probability that the lives and safety of persons will be placed in danger and that ongoing investigations will be jeopardized.” The government contends that holding a
Neither did the district court‘s concern about jeopardizing ongoing investigations preclude it from giving notice and an opportunity to be heard in this case. The district court noted at sentencing that pursuant to the government‘s request, it would not docket the proceeding or make the transcript available until the United States Marshals Service informed the district court “that the . . . possibility of substantial danger or substantial possibility of danger imminent — the public being placed in imminent danger has passed . . . .” And, as the government noted in its brief, the docket shows (1) that the proceeding was docketed within hours of the end of the hearing; (2) that the hearing and transcript were made available to the public; and (3) that the Chronicle ordered a copy of the transcript, which was completed by the next day. The fact that the government requested for the sentencing to occur, and that it did not object to the docketing of the proceeding within hours of the hearing and the release of the transcript the next day, shows that at some point
In sum, the government‘s contention that security concerns justified the lack of notice and an opportunity to be heard prior to closure of the sentencing proceedings is unpersuasive. The district court had multiple options available to it for providing notice and an opportunity to be heard prior to closure, while also accommodating the security concerns raised by the government.16
The government argues in the alternative that even if the district court was required to give notice and an opportunity to be heard before closing the sentencing proceeding, the district court essentially gave the Chronicle such an opportunity to be heard. Specifically, the government contends that the district court was aware of, and stated that it had considered, the Chronicle‘s February 9, 2010 motion to intervene and the letter from the Chronicle dated October 30, 2009, which was attached to the motion to intervene. Thus, the government concludes, the district court was not required to “hold a hearing and write redundant findings of fact that merely reiterate truisms.” Gov. Br. 25, 37 (quoting Edwards, 823 F.2d at 119 (quotation marks omitted)).
We conclude that the district court did not give the Chronicle notice and an opportunity to be heard before closing the sentencing proceeding. Thus, the district court deprived the Chronicle of its First Amendment right without following the proper procedures — i.e., without due process.
CONCLUSION
It is so ordered.