Lead Opinion
On appellant’s motion, and with the government’s agreement that it would be appropriate, a division of this court has recalled its prior mandate remanding the case to the trial court for a new trial on appellant’s insanity defense, and a hearing on claims that the government withheld Brady
I
Appellant was indicted on July 1, 1975, for first-degree murder while armed, first-degree murder, and carrying a pistol without a license. Appellant’s first trial ended in a mistrial on the murder charges, and his conviction of the weapons charge was reversed because his constitutional right to a public trial had been abridged. Kleinbart v. United States (Kleinbart I),
II
In Griffith v. Kentucky, supra, a case involving the retroactive application of the Batson
Appellant’s request pursuant to Super.Ct.Crim.lt. 43(a) to be present at bench conferences during voir dire implicated rights guaranteed under the Fifth and Sixth Amendments. See Beard, supra,
Further, where a constitutional deprivation is involved, the government has the burden of proving the harmlessness of the error beyond a reasonable doubt. Chapman v. California,
We conclude that the constitutional error alleged here was not harmless beyond a reasonable doubt. Appellant, who exercised his Sixth Amendment right to conduct his own defense at trial, see Faretta v. California,
It is not enough that appellant’s stand-by counsel could convey the information from the bench voir dire to him. This court, sitting en banc, has concluded that “[n]o matter how extensive or involved were prior discussions with his lawyer, what may be irrelevant when heard or seen by his lawyer may tap a memory or association of the defendant’s which in turn may be of use to his defense.” Boone v. United States, supra,
Finally, although on occasion it has been argued, as the dissent argues here, that the presence of an accused at bench voir dire would cause some discomfort to prospective jurors, and might actually work to the disadvantage of the accused, this concern is not controlling. The constitutional right of an accused to be present at trial is so precious a national heritage that it can only be waived or outweighed by misconduct so grave on the part of the accused that it threatens the endurance of the heritage itself. Illinois v. Allen,
REVERSED AND REMANDED.
Notes
. Brady v. Maryland,
. At oral argument, appellant’s counsel apprised the court that a trial was still pending on the insanity defense. The Brady issue has been resolved by the trial court. The trial court found that the government violated appellant’s Brady rights by not delivering materials to him, but this violation was not of such magnitude as to undermine the verdict or justify reversal.
. Superior Court Criminal Rule 43(a) provides in relevant part: “PRESENCE REQUIRED. The defendant shall be present at the arraignment, at the time of the plea, at every stage of the trial including the impaneling of the jury ..." (emphasis in original).
. Batson v. Kentucky,
. In his dissent, Judge Gallagher states:
Even if this case involves a "constitutional rule” in constitutional adjudication, it is quite a different thing to say that the Supreme Court decision in Griffith, requiring retroactive application of new constitutional rules to nonfinal cases, should be applied to this case ... where his conviction occurred some thirteen years ago, long before our first announcement of the rule requirement relating to jury selection took place in Robinson v. United States, [supra ].
Infra at 1241-1242. Judge Gallagher fails to recognize that this is a nonfinal case (i.e., a separate trial on appellant’s insanity defense is still pending). It is the finality of the decision which dictates the bounds of retroactive application of constitutional rules, not the accrued time since conviction. Indeed, the very controversy which the Court in Griffith was resolving involved the status of prisoners convicted before its holding. That is why the Court carefully delineated the classes of cases which were to receive the benefit of retroactive application (¿a, cases pending on direct review or nonfinal cases) and specifically provided that no exceptions were to be made because the new rule constituted a clear break with the past. The Court noted that “[t]he fact that the new rule may constitute a clear break with the past has no bearing on the ‘actual inequity that results’ when only one of many similarly situated defendants receives the benefit of the new rule." Id.
. Moreover, the entire voir dire was conducted at the bench, outside appellant’s presence. The case is thus distinguished from those cited in the dissent, in each of which only a portion of voir dire was conducted at the bench, and only two jurors so questioned were impaneled. See Gary v. United States,
. While appellant lists four sitting jurors, the record indicates that one of these jurors was excused. It is interesting to note that this juror's wife was a victim of a robbery.
. Notably, in Allen, the Supreme Court entertained the challenge to the constitutional right to be present at trial some thirteen years after the trial began.
Dissenting Opinion
dissenting:
I do not agree that we are required to grant appellant a new trial in this case, based on this record.
On July 1, 1975, appellant was indicted for first-degree murder while armed, first-degree murder, and carrying a pistol without a license. At his first trial, a jury was unable to reach a verdict on the two murder charges and a mistrial was declared. The jury found him guilty of carrying a pistol without a license, but this conviction was reversed on appeal because his constitutional right to a public trial was violated. Kleinbart v. United States (Kleinbart I),
Appellant raised twelve issues on his second direct appeal, Kleinbart II, supra,
On remand, the trial court found that the government violated appellant’s rights under Brady by withholding information and materials from him, but that this violation was not so prejudicial to him as to require a new trial. However, thеre are still proceedings pending in the trial court on appellant’s insanity defense. See ante, note 2.
At this late date, seven years after remand, this court now returns this case to the trial court for “a new trial,” some twelve years after appellant’s first trial and some thirteen years after the charged offenses occurred, and after all these various prior appeals and procedural motions have been decided. The majority says this is required under Griffith v. Kentucky,
Griffith involved a case on direct review of a conviction where the issue was whether the court should apply retroactively a recently declared constitutional rule on thе matter of jury selection, viz., Batson v. Kentucky,
Even if this case involves a “constitutional rule” in constitutional adjudication, it is quite a different thing to say that the Supreme Court decision in Griffith, requiring retroaсtive application of new constitutional rules to nonfinal cases, should be applied to this case — which is now before us for the fifth time, where all remand issues except the insanity question have been resolved against him, so that there would be no new trial on the merits unless so ordered here, and where his conviction occurred some thirteen years ago, long before our first announcement of the rule requirement relating to jury selection took place in Robinson v. United States, supra.
The right involved here (to be present at the bench during voir dire of prospective jurors) is a right we are told, and we know as a matter оf common knowledge in the courthouse, that is rarely invoked because the defendant’s presence at the bench inhibits eliciting candid answers from the prospective jurors.
In sending this case back for a new trial after all these many years, it stands to reason that, in all probability, it may not be susceptible of proof as a matter of reality (missing witnesses, memory problems, etc.) and the prosecution may have to be dismissed. Even if these problems do not eventuate, counsel for appellant, ironically enough, has in effect told this court in oral argument that in all likelihood he would advise appellant against appearing at the bench during voir dire for the reasons he gave this court. See supra note 2. Yet, exercise of this right is the specific basis of this court's remand.
The court now reverses appellant’s conviction and remands for a new trial because the failure to participate at the bench during voir dire of prospective jurors “ ‘deprive^] the proceeding of fundamental fairness’ ” in violation of the due process clause of the Fifth Amendment. The majority’s presumptive analysis appears to contravene the case law on which it relies, for even if we conclude that the trial court’s denial of appellant’s request to be present at the bench during a voir dire questioning of prospective jurors constitutes a violation of our mandate in Robinson and Boone,
In determining whether the denial of a criminal defendant’s request to be present at bench conferences to hear and observe voir dire questioning of prospective jurors was harmless beyond a reasonable doubt, this court has considered various factors, including (1) the extent of appellant’s exclusion from the jury selection process, (2) the number of prospective jurors questioned by voir dire who ultimately served on the jury panel, and (3) whether the defendant had exhausted all of his peremptory strikes. See Gary, supra,
In cases involving strikingly similar facts, which addressed the propriety of the voir dire рrocedure conducted in trials commenced after the Robinson rule was announced, we found the error of excluding a defendant from bench conferences at voir dire questioning to be harmless beyond a reasonable doubt. See Gary, supra,
In the trial of this case, there were several eyewitnesses who saw appellant shoot and kill his victim at the corner of 8th and M Streets, N.W. Kleinbart II, supra,
Notwithstanding this evaluation, this case predictably may be utilized for the proposition that a prisoner who shows that he was deprived of the same right is entitled to release by collateral attack. If after these thirteen years of appeals and procedural motions this defendant is to obtain a new trial, there would appear to be little reason to distinguish in the future between direct appeal and collateral review;
Interestingly, in an opinion subsequent to Griffith, supra, the Supreme Court stated:
We have already endorsed Justice Harlan’s retroactivity analysis for cases pending on direct appeal, see Griffith v. Kentucky, 479 U.S. [314],107 S.Ct. 708 , 713 [93 L.Ed.2d 649 ] (1987); United States v. Johnson,457 U.S. 537 [102 S.Ct. 2579 ,73 L.Ed.2d 202 ] (1982), and we have noted, as Justice Harlan did, [Mackey v. United States,401 U.S. 667 , 682-87,91 S.Ct. 1160 , 1174-77,28 L.Ed.2d 404 (1969) (Harlan, J., concurring in part and dissenting in part)]; Desist v. United States,394 U.S. 244 , 260 [89 S.Ct. 1030 , 1039,22 L.Ed.2d 248 ] (1969) (Harlan, J., dissenting), the important distinction between direct review and collateral review. Compare Allen v. Hardy,478 U.S. 255 ,106 S.Ct. 2878 [92 L.Ed.2d 199 ] (1986) (holding that Batson v. Kentucky,476 U.S. 79 [106 S.Ct. 1712 ,90 L.Ed.2d 69 ] (1986) does not apply retroactively to cases on collateral review), with Griffith, supra, 479 U.S. at [323], 107 S.Ct. at [714] (holding that Batson does apply retroactively to cases pending on direct review); see e.g., Pennsylvania v. Finley,481 U.S. 551 ,107 S.Ct. 1990 , [1993,95 L.Ed.2d 537 ] (1987) (right to appointed counsel on direct appeal not applicable in collateral proceedings).
Yates, supra,
Apparently, this case is now at the stage in the trial court where all that remains is a determination, somehow, of the defendant’s mental condition (sanity) at the time the offense was committed thirteen years ago. If he is declared to have been sane at the time he killed his victim, his judgment of conviction would be entered. If he is declared to have been insane, he would be found to be not guilty by reason of insanity. But, then, along comes the court’s opinion in this case and a new trial must commence, assuming the government is able to produce sufficient evidence to go to trial. And, in a final touch of irony, even if there is a new trial, counsel for appellant has effectively told this court he would not want the defendant to approach the bench during any voir dire of prospective jurors because he considers this declared right as agаinst the defendant’s self-interest. See supra, note 2. Yet, that is the sole basis of this reversal.
I do not see a persuasive case here for ordering a new trial. I would conclude the
. Batson v. Kentucky, supra, is a case where the prosecutor used peremptory challenges for the purpose of preventing black citizens from sitting on a jury, in violation of the Fourteenth Amendment.
. In this case, experienced counsel for appellant told the court in oral argument his perceptions about the right of the defendant to be present at the bench during voir dire of prospective jurors:
It's my policy, and my personal practice ... and I’ve tried over 300 cases in this jurisdiction ... I do not like the defendant to accompany me to voir dire with the jurors because when the defendant is present [at the bench] you get less than candid answers from jurors, because this is the man they have to try and sit in judgment on. And I do not like the defendant to accompany me on bench conferences throughout the course of the trial, and the reason for that is purely one of personal preference, personal selection.
(Emphasis added.) See also United States v. Washington,
As Justice Holmes observed long ago, the life of the law is experience. We have here the experience on this issue.
. Boone v. United States,
. Cf. Beard v. United States,
. In Griffith, supra, Justice White, in dissent, demonstrated the problems created by distinguishing direct appeals from collateral review of criminal convictions. Justice White stated:
The distinction between direct review and collateral attack may bear some relationship to the recency of the crime; thus, to the extent that the difficulties presented by a new trial may be more severe when the underlying offense is more remote in time, it may be that new trials wоuld tend to be somewhat more burdensome in habeas cases than in cases involving reversals on direct appeal. However, this relationship is by no means direct, for the speed with which cases progress through the criminal justice system may vary widely. Thus, if the Court is truly concerned with treating like cases alike, it could accomplish its purpose far more precisely by applying new constitutional rules only to conduct of appropriately recent vintage. I assume, however, that no one would argue for an explicit “5-year rule” for example.
Of course, it will be less burdensome in the aggregatе to apply [Batson ] only to cases pending when [Batson ] was decided than to give it full retroactive effect; by the same token, it would be less burdensome to apply [Boston] retroactively to all cases involving defendants whose last names begin with the letter "S” than to make the decision fully retroactive. The majority obviously would not countenance the latter course, but its failure to identify any truly relevant distinction between cases on direct appeal and cases raising collateral challenges makes the rule it announces equally indefensible. Shea v. Louisiana, supra, 470 U.S. [51] at 64 n. 1, 105 S.Ct. [1065] at 1072, n. 1 [84 L.Ed.2d 38 ] (White, J., dissenting).
Griffith, supra,
The logic of Justice White is applicable here, for the majority "fail[s] to identify any truly relevant distinction between [this case] and cases raising collateral challenges...." Id.; cf. Allen v. Hardy,
