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12-1234-cr

United States Court of Appeals


for the Second Circuit
MARTIN LSTR!
"efendant-Appellant!
#$
UNIT" STATS %& AMRICA!
Respondent-Appellee.
%n Appeal fro' the United States "istrict Court
for the Northern "istrict of Ne( )or*
+RI& &%R "&N"ANT-A,,LLANT
Jerehme Bamberger
205 State Street
1
Brooklyn, NY
ISSUES PRESENTED
1 !hether the tr"al #o$rt%& rea&on"ng a& to the ne#e&&"ty 'or #lo&$re o' hal' o' the voir dire to all
&(e#tator&, "n#l$)"ng the )e'en)ant*& +"'e an) mother, &at"&'"e& the #r"ter"a 'or #on&t"t$t"onal
#o$rtroom #lo&$re la") o$t by the S$(reme ,o$rt "n Waller v. Georgia, -./ US 01 2113-4
2 I' not, +hether the )e'en)ant +a& )e(r"5e) o' the (rote#t"on& #on'erre) $(on h"m by h"& .th
6men)ment r"ght to a ($bl"# tr"al, ren)er"ng th"& #o$rt%& 7tr"5"al"ty )o#tr"ne8 "na((l"#able
2
ST6TE9ENT :; ;6,TS
:n J$ne 10, 2012, the voir dire 'or 9art"n <e&ter%& tr"al on RI,: 6#t #harge& +a& &#he)$le) to
beg"n Se5eral (anel& o' (ro&(e#t"5e =$ror& +ere (re&ent "n the #o$rt ho$&e an) the =$)ge ant"#"(ate) a
lengthy =$ry &ele#t"on 2J6> 14 Shortly a'ter a )e($ty +a& )"&(at#he) to br"ng "n the (otent"al =$ror&, the
#o$rt "n?$"re) a'ter the ")ent"t"e& o' the &(e#tator& (re&ent, an) &tate) that they +o$l) ha5e to lea5e the
#o$rtroom 7to a##ommo)ate the =$ry (anel&8 2J6> 24 :n#e the #o$rt +a& "n'orme) that the &(e#tator&
+ere 9r <e&ter%& 'am"ly an) 'r"en)&, "t a&&erte) "t& rea&on& 'or the #lo&$re o' the voir dire> '"r&t, #on#ern
that there +o$l) be "n&$''"#"ent &eat& 'or the (ro&(e#t"5e =$ror&, an) &e#on), a )e&"re to a5o") any
"m(ro(er #onta#t bet+een (otent"al =$ror& an) the ($bl"# The #o$rt al&o note) "t& bel"e' that the
(re&en#e o' 9r <e&ter%& 'am"ly an) 'r"en)& #o$l) "nt"m")ate the (otent"al =$ror& or other+"&e re)$#e the
#an)or +"th +h"#h the =$ror "nter5"e+& +ere #on)$#te) The tr"al =$)ge a))e) that the latter #on#ern
+a& (art"ally '$ele) by the )e'en)ant%& allege) a&&o#"at"on +"th 7organ"@e) #r"me8 2J6> 24
De'en&e #o$n&el ob=e#te) that &$#h a #lo&$re +a& a 5"olat"on o' 9r <e&ter%& .th 6men)ment
r"ght to a ($bl"# tr"al an) S$(reme ,o$rt (re#e)ent
1
The tr"al =$)ge re&(on)e) that 9r <e&ter%& S"Ath
6men)ment r"ght +a& not ab&ol$te, an) em(ha&"@e) her obl"gat"on to en&$re that (ro&(e#t"5e =$ror& )")
not 'eel "nt"m")ate) an) +ere not eA(o&e) to "m(ro(er #omm$n"#at"on& 'rom &(e#tator& 2J6> 04 The
=$)ge eA(re&&e) a #on#ern 'or the eA(e)"en#e o' the (ro#ee)"ng&, an) regret that &he ha) not 'o$n) a
larger #o$rtroom "n +h"#h to #on)$#t the tr"al She al&o re'eren#e) 7$n'ort$nate eA(er"en#e& on th"&
'ront "n (r"or #a&e& that "n5ol5e) organ"@e) #r"me8 2J6> 04
In re&(on&e to the #o$rt%& "n5"tat"on that he 7&$gge&t a more rea&onable arrangement,8 )e'en&e
#o$n&el re"terate) h"& ob=e#t"on to the eA#l$&"on o' 9r <e&ter%& 'am"ly an) 'r"en)& ,o$n&el ob&er5e)
that there +a& no e5")en#e that 9r <e&ter%& 'am"ly an) 'r"en)& +o$l) engage "n any k"n) o' "m(ro(er
1
Presley v. Georgia, 553 US 201 220104
0
beha5"or an) ment"one) that mak"ng room 'or (ro&(e#t"5e =$ror& +a& an "n&$''"#"ent rea&on to eA#l$)e
the ($bl"# 'rom voir dire $n)er the S$(reme ,o$rt%& lan)mark #a&e regar)"ng .th 6men)ment
l"m"tat"on& on #o$rtroom #lo&$re, Waller v. Georgia 2J6> -4
2
;"nally, )e'en&e #o$n&el (ro(o&e) that the
#o$rt &et a&")e &eat& 'or a 'e+ a)$lt &(e#tator& , b$t the #o$rt )e#l"ne) to allo+ any o' 9r <e&ter%&
'am"ly an) 'r"en)& to rema"n 2J6> -4 The ($bl"# +a& or)ere) to lea5e the #o$rtroom 'or an
"n)eterm"nate amo$nt o' t"me 2J6> 54
Be'ore the #o$rt%& or)er ha) been '$lly eAe#$te), 9r <e&ter%& +"'e 9ar"e (et"t"one) the #o$rt
that &he an) 9r <e&ter%& mother, El"@abeth, be allo+e) to &tay She (rom"&e) that they +o$l) be 5ery
?$"et, an) e5en o''ere) to &tan) "n the ba#k o' the #o$rtroom Re(eat"ng "t& #on#ern that 9r <e&ter%&
+"'e or mother m"ght #omm$n"#ate +"th the (ro&(e#t"5e =$ror& "n &ome +ay, an) a&&$r"ng them that
they +o$l) be allo+e) to ret$rn 7&hortly,8 the #o$rt e=e#te) them both There +ere no member& o' the
($bl"# (re&ent a& the (otent"al =$ror& +ere e&#orte) "nto the #o$rtroom on the morn"ng o' J$ne 10th 2J6>
54
:n the a'ternoon o' J$ne 15th, the #o$rtroom +a& reo(ene) to &(e#tator& The #o$rt e&t"mate)
that a((roA"mately hal' o' =$ry &ele#t"on ha) alrea)y taken (la#e, an) &tate) that a r$&h tran&#r"(t o' the
#lo&e) (ort"on o' the (ro#ee)"ng& +o$l) be a5a"lable 9r <e&ter%& +"'e, mother an) other 'am"ly
member& atten)e) the a'ternoon &e&&"on o' the voir dire, a& +ell a& the rema"n)er o' the (ro#ee)"ng&
aga"n&t the"r relat"5e 2J6> .4
2
Waller v. Georgia, -./ US 01 2113-4
-
6RBU9ENT
I TCE ,:URT DI:<6TED 96RTIN <ESTER%S SIETC 69END9ENT RIBCT T: 6
PUB<I, TRI6< !CEN IT ,<:SED TCE D:IR DIRE PR:,EEDINB T: 6<<
SPE,T6T:RS, IN,<UDINB TCE DE;END6NT%S ;69I<Y 6ND ;RIENDS, !ITC:UT
;IRST 96FINB 6DEGU6TE ;INDINBS REB6RDINB TCE INTERESTS 6T ST6FE :R
6<TERN6TIDES T: ,<:SURE
The #lo&$re o' the voir dire "n th"& #a&e +a& a #lear 5"olat"on o' the )e'en)ant%& S"Ath
6men)ment r"ght to a ($bl"# tr"al be#a$&e the =$)ge 'a"le) to a)e?$ately a))re&& the (er?$"&"te& &et o$t
by the S$(reme ,o$rt "n Waller v. Georgia, -./ US 01 2113-4 The S"Ath 6men)ment to the
,on&t"t$t"on &tate& that 7H"In all #r"m"nal (ro&e#$t"on&, the a##$&e) &hall en=oy the r"ght to a &(ee)y an)
($bl"# tr"al 8 U.S. Const. Amend. VI In Presley v. Georgia, 553 US 201, 210 220104, the S$(reme
,o$rt #lar"'"e) that th"& r"ght "& not ab&ol$te +here there "& a 7#om(ell"ng "ntere&t8 to the #ontrary, an)
#on#l$&"5ely eAten)e) the ($bl"# tr"al r"ght to voir dire (ro#ee)"ng& The Waller 'a#tor& are> 7the (arty
&eek"ng to #lo&e the H(ro#ee)"ngI m$&t a)5an#e an o5err")"ng "ntere&t that "& l"kely to be (re=$)"#e), the
#lo&$re m$&t be no broa)er than ne#e&&ary to (rote#t that "ntere&t, the tr"al #o$rt m$&t #on&")er
rea&onable alternat"5e& to #lo&"ng the (ro#ee)"ng, an) "t m$&t make '"n)"ng& a)e?$ate to &$((ort the
#lo&$re8 Waller, -./ US at -3. The "n&tant tr"al #o$rt =$&t"'"e) "t& eA#l$&"on o' all &(e#tator&,
"n#l$)"ng 9r <e&ter%& +"'e an) mother, 'rom hal' o' the voir dire ($rely on the ba&"& o' a general"@e)
#on#ern 'or e''"#"en#y, 'ear o' #ontam"nat"on o' the =$ry (ool, an) the (otent"al 'or =$ror "nt"m")at"on
The #o$rt%& 'a"l$re to el$#")ate an o5err")"ng "ntere&t or make (art"#$lar"@e) '"n)"ng& to &$((ort "t&
or)er are am(le gro$n)& 'or 5a#at"ng 9r <e&ter%& #on5"#t"on an) grant"ng h"m a ne+ tr"al
The legal &tan)ar)& go5ern"ng the "&&$e o' #o$rtroom #lo&$re )er"5e 'rom the S"Ath 6men)ment
to the ,on&t"t$t"on, +h"#h en&$re& a 'a"r tr"al to all #r"m"nal )e'en)ant& by g$arantee"ng that 7H"In all
#r"m"nal (ro&e#$t"on&, the a##$&e) &hall en=oy the r"ght to a &(ee)y an) ($bl"# tr"al 8 U.S. Const.
Amend. VI In Presley, the S$(reme ,o$rt #on#l$&"5ely eAten)e) the S"Ath 6men)ment ($bl"# tr"al
g$arantee to voir dire (ro#ee)"ng& Presley, 553 US at 212 The S$(reme ,o$rt al&o #lar"'"e) "n that
5
#a&e that 7HtIhe r"ght to an o(en tr"al may g"5e +ay "n #erta"n #a&e& to other r"ght& or "ntere&t&, &$#h a&
the )e'en)ant%& r"ght to a 'a"r tr"al or the go5ernment%& "ntere&t "n "nh"b"t"ng )"&#lo&$re o' &en&"t"5e
"n'ormat"on8 Id. at 210, 2#"tat"on om"tte)4 In Waller, the S$(reme ,o$rt 'o$n) that 7the (arty
&eek"ng to #lo&e the H(ro#ee)"ngI m$&t a)5an#e an o5err")"ng "ntere&t that "& l"kely to be (re=$)"#e), the
#lo&$re m$&t be no broa)er than ne#e&&ary to (rote#t that "ntere&t, the tr"al #o$rt m$&t #on&")er
rea&onable alternat"5e& to #lo&"ng the (ro#ee)"ng, an) "t m$&t make '"n)"ng& a)e?$ate to &$((ort the
#lo&$re8 Waller, -./ US at -3 Th"& #o$rt%& g$")"ng (r"n#"(le 'or Waller ?$e&t"on& "& that 7a
#o$rtroom #lo&$re "& (erm"&&"ble &o long a& there "& a (o&"t"5e an) (ro(ort"onal relat"on&h"( bet+een 214
the eAtent o' the #lo&$re, an) 224 the 7gra5"ty8 o' the "ntere&t that a&&erte)ly =$&t"'"e& the #lo&$re,
)"&#o$nte) by the (robab"l"ty o' the "ntere&t be"ng harme) "' the #o$rtroom "& not #lo&e)8 Bowden v.
Keane, 20/ ;0) 125, 121 22) ,"r 20014
6 TCE ,:URT*S ,:N,ERNS 6B:UT EEPEDIEN,E, I9PR:PER ,:99UNI,6TI:N
6ND TCE 6SS:,I6TI:N :; TCE DE;END6NT !ITC :RB6NIJED ,RI9E DID N:T
RISE T: TCE <EDE< :; :DERRIDINB INTERESTS
The '"r&t (rong o' the Waller te&t "& the ")ent"'"#at"on o' an 7o5err")"ng "ntere&t8 +h"#h +o$l) be
(re=$)"#e) +"tho$t #lo&$re Waller, -./ US at -3 In Ayala v. Specard, 101 ;0) .2, /0 22) ,"r
111/42"n ban#4, th"& #o$rt +rote that 7the &en&"ble #o$r&e "& 'or the tr"al =$)ge to re#ogn"@e that o(en
tr"al& are &trongly 'a5ore), to re?$"re (er&$a&"5e e5")en#e o' &er"o$& r"&k to an "m(ortant "ntere&t "n
or)er"ng any #lo&$re, an) to real"@e that the more eAten&"5e "& the #lo&$re re?$e&te), the greater m$&t be
the gra5"ty o' the re?$"re) "ntere&t 8 In that #a&e, (rote#t"ng the ")ent"ty o' an $n)er#o5er nar#ot"#&
agent )$r"ng tr"al te&t"mony, 'or the ($r(o&e& o' h"& #ont"n$e) e''e#t"5ene&& an) &a'ety, +a& 'o$n) to be
an o5err")"ng "ntere&t Id. at /2 Co+e5er, th"& #o$rt ha& hel) that la#k o' &(a#e an) 'ear& o' =$ry (ool
#ontam"nat"on are "n&$''"#"ent to =$&t"'y voir dire #lo&$re United States v. G!pta, .11 ;0) .32, .3/
22) ,"r 201242"n ban#4
6ltho$gh the tr"al #o$rt%& #on#ern 'or 9r <e&ter%& S"Ath 6men)ment r"ght to a ($bl"#
.
tr"al "& e5")ent 'rom the re#or), "t 'a"le) to ")ent"'y any #on#ern +h"#h ?$al"'"e) a& an
7o5err")"ng "ntere&t8 The tr"al #o$rt here ")ent"'"e) three "ntere&t& +h"#h mot"5ate) "t& #lo&$re
o' the #o$rtroom to &(e#tator&> (otent"al =$ror "nt"m")at"on, (re#l$&"on o' "m(ro(er
#omm$n"#at"on&, an) eA(e)"en#y o' the (ro#ee)"ng&
!"tho$t '$rther '"n)"ng&, none o' the&e #on#ern& r"&e to the le5el o' an 7o5err")"ng
"ntere&t8 It "& #on#e"5able that the )e'en)ant%& allege) a&&o#"at"on +"th 7organ"@e) #r"me,8
2J6>2, -4, #o$l) 'orm the ba&"& 'or eA#l$)"ng h"& a&&o#"ate&, b$t +"tho$t at lea&t a m"n"mal
"n?$"ry "nto the a#t$al )"&(o&"t"on& o' the (otent"al =$ror& 2&$#h a& that 'o$n) "n Woods4 the tr"al
#o$rt #annot #la"m to ha5e ha) a#t$al kno+le)ge that "t& "ntere&t "n #an)or 'rom (ro&(e#t"5e
=$ror& +a& threatene) Woods v. K!"lmann, 1// ;2) /-, // 22) ,"r 111242te&t"mony 'rom
+"tne&& that &he +o$l) 'eel "nt"m")ate) by &(e#tator&* (re&en#e &$''"#"ent to =$&t"'y #lo&$re4 In
G!#man, 30 ;0) at //5, th"& #o$rt hel) that the 7'a#t that the tr"al #o$rt rel"e) on the
$n&$b&tant"ate) &tatement& o' the (ro&e#$tor Hthat the +"tne&& K'elt "nt"m")ate)*I rather than
#on)$#t"ng an "n?$"ry o' the (ro&e#$t"on +"tne&& on +ho&e behal' the #lo&$re re?$e&t +a&
ma)e8 +a& the ba&"& o' '"n)"ng a 75"olat"on o' the '"r&t Waller #r"ter"on 8 Cere, the tr"al
=$)ge ma)e no e''ort to "n?$"re beyon) her o+n (re#on#e"5e) not"on& o' the venire%& (o&&"ble
"nt"m")at"on The #o$rt%& '"n)"ng& on th"& (o"nt &eem to be e5en le&& &$b&tant"ate) than the
(ro&e#$tor%& #la"m "n G!#man
S"m"larly, the tr"al #o$rt &eem& to ha5e ha) no 'a#t$al ba&"& 'or "t& 'ear that "na((ro(r"ate
#omm$n"#at"on +o$l) o##$r, (art"#$larly a'ter 9r <e&ter%& +"'e an) mother (rom"&e) to be
75ery ?$"et,8 2J6> 54 Th"& #o$rt 'o$n) "n Gi$$ons v. Savage, 555 ;0) 112, 11/ 22) ,"r 20014,
that 7HaIb&ent &ome "n)"#at"on that the )e'en)ant%& mother m"ght #omm$n"#ate "m(ro(erly +"th
member& o' the venire, the mere 'a#t that &ome m"ght be "n #lo&e (roA"m"ty to her )") not ra"&e
a mean"ng'$l r"&k 8 The re#or) re'le#t& no "n)"#at"on that e"ther 9r <e&ter%& +"'e or
/
mother +o$l) ha5e been )"&r$(t"5e "n any +ay
B TCE ,<:SURE !6S BR:6DER TC6N NE,ESS6RY BE,6USE TCE ,:URT ,:U<D C6DE
PR:DIDED SP6,E ;:R TCE DE;END6NT%S !I;E 6ND 9:TCER
The &e#on) (rong o' the Waller te&t "& #lo&ely t"e) to the '"r&t> the &#o(e o' the #lo&$re m$&t be
7no broa)er8 than "& re?$"re) to (rote#t the "ntere&t the #o$rt ")ent"'"e& "n the '"r&t (rong Waller, -./
US at -3 In Bowden th"& #o$rt eA(la"ne) that 7there +"ll not al+ay& be a mean"ng'$l analyt"#
)"&t"n#t"on bet+een the '"r&t an) &e#on) (rong& o' the Waller te&t8 be#a$&e 7"n many #a&e& there +"ll be
an a((ro(r"ately (ro(ort"onal relat"on&h"( bet+een the &#o(e o' a #lo&$re an) the r"&k that =$&t"'"e& the
#lo&$re precisely $eca!se the #lo&$re "& a& narro+ly ta"lore) a& rea&onably (o&&"ble8 Bowden, 20/ ;0)
at 100 n2 In #a&e& +here there "& no o5err")"ng "ntere&t, 7there H#anI be no #om(l"an#e +"th the
&e#on) re?$"rement that the #lo&$re be no broa)er than ne#e&&ary to (rote#t the "ntere&t8 G!#man v.
Sc!lly, 30 ;0) //2, //. 22) ,"r 111.42"nternal #"tat"on om"tte)4
!h"le "t #an be #on#e)e) that &ome alternat"5e& to #om(lete #lo&$re o' the #o$rtroom
)$r"ng hal' o' the voir dire (ro#ee)"ng +o$l) ha5e &lo+e) =$ry &ele#t"on to &ome eAtent, the
#o$rt%& "ntere&t& #o$l) ha5e been a##ommo)ate) +"tho$t #om(lete #lo&$re 6ltho$gh the #o$rt
)oe& ha5e an "ntere&t "n (re5ent"ng 7m"ngl"ng8 an) (romot"ng e''"#"en#y, 7HtIhe eA#l$&"on o'
#o$rtroom ob&er5er&, e&(e#"ally a )e'en)ant%& 'am"ly member&, e5en 'rom (art o' a #r"m"nal
tr"al, "& not a &te( to be taken l"ghtly8 G!#man, 30 ;0) at //. In Gi$$ons, th"& #o$rt +rote
that 7e5en "' ma"nta"n"ng )"&tan#e bet+een the )e'en)ant%& mother an) the (ro&(e#t"5e =$ror&
amo$nt& to an o5err")"ng "ntere&t L , HtIhe #o$rt%& r$l"ng to ban all &(e#tator& +a& broa)er than
ne#e&&ary to (re&er5e that &e(arat"on 8
0
Gi$$ons, 555 ;0) at 11/ So "t "& "n the "n&tant
0
Th"& (a&&age to$#he& on another m"nor (o"nt> altho$gh th"& #o$rt ha& hel) that (ro#ee)"ng& hel) be'ore
7re(re&entat"5e& o' the #omm$n"ty,8 &$#h a& =$ror& or, (re&$mably, a venire (anel, are not 7#om(letely #lo&e),8 Waller%&
man)ate that the #lo&$re be 7no broa)er than ne#e&&ary8 re?$"re) the tr"al #o$rt to make any (o&&"ble a##ommo)at"on& (r"or
to e=e#t"ng the )e'en)ant%& 'am"ly Brown v. K!"lmann, 1-2 ;0) 521, 50. 22) ,"r 11134 ;$rther, "n Gi$$ons th"& #o$rt
'o$n) that the #lo&$re o' a voir dire 7to all &(e#tator&8 meant that 7the #o$rtroom +a& #lo&e) +"th"n the mean"ng o' the S"Ath
6men)ment8 Gi$$ons, 555 ;0) at 11/
3
#a&e
, TCE ,:URT ;6I<ED T: ENTER ITS ,:NSIDER6TI:N :; RE6S:N6B<E 6<TERN6TIDES
T: ,<:SURE INT: TCE RE,:RD !CEN IT SU996RI<Y DIS9ISSED 6<TERN6TIDES
PR:P:SED BY DE;ENSE ,:UNSE< 6ND TCE DE;END6NT%S ;69I<Y
The th"r) Waller 'a#tor, the #on&")erat"on o' rea&onable alternat"5e& to #lo&$re, ha& been a
)"5"&"5e &$b=e#t 'or th"& #o$rt In Ayala v. Specard, 101 ;0) at .-, th"& #o$rt #on#l$)e) that tr"al
#o$rt& are not obl"gate) to #on&")er any (art"#$lar alternat"5e& to #lo&$re $nle&& they are (ro(o&e) by
)e'en&e #o$n&el The S$(reme ,o$rt o5ert$rne) th"& r$le +hen "t note) that 7HtIr"al #o$rt& are
obl"gate) to take e5ery rea&onable mea&$re to a##ommo)ate ($bl"# atten)an#e at #r"m"nal tr"al&8
Presley, 553 US at 215
E5en "' the tr"al #o$rt%& obl"gat"on to #on&")er alternat"5e& to the total eA#l$&"on o'
&(e#tator& is re&tr"#te) to tho&e eA(l"#"tly bro$ght to "t& attent"on, "t& )"&#$&&"on o' the "&&$e )")
not a))re&& the th"r) Waller 'a#tor a)e?$ately E5en #re)"t"ng the tr"al #o$rt%& #on#ern 'or
eA(e)"en#e a& an 7o5err")"ng "ntere&t,8 "t& eA#l$&"on o' 9r <e&ter%& +"'e an) mother 5"olate)
"t& )$ty to 7a##e(t HanI alternat"5e +hen "t +o$l) be rea&onable to )o &o an) $nrea&onable not
to )o &o8 Gi$$ons, 555 ;0) at 113 The tr"al =$)ge o''ere) no '"n)"ng& a& to +hy the
)e'en)ant%& +"'e an) mother #o$l) not &tan) at the ba#k o' the room, ?$"et an) at an a)e?$ate
)"&tan#e 'rom the venire M &he &"m(ly re(eate) her or)er 'or them to lea5e 2J6> 54 In a))"t"on,
"' the S$(reme ,o$rt*& man)ate that tr"al #o$rt& #on&")er alternat"5e& s!a sponte hol)& "n th"&
#a&e, Presley, 553 US at 210, the tr"al =$)ge o$ght to ha5e #on&")ere) the alternat"5e
a)5an#e) "n Gi$$ons> allo+"ng at lea&t 9r <e&ter%& mother to 7&"t "n the +ell o' the #o$rtroom,
)"re#tly beh"n) #o$n&el8 +a& +ell +"th"n the tr"al #o$rt%& )"&#ret"on Gi$$ons, 555 ;0) at 11-
D TCE ,:URT ;6I<ED T: S6TIS;Y TCE ;:URTC WA%%&' ;6,T:R !CEN IT DID N:T
96FE 6NY P6RTI,U<6RIJED ;INDINBS T: SUPP:RT ITS DETER9IN6TI:NS :N TCE
:TCER WA%%&' ;6,T:RS
The 'o$rth an) '"nal Waller 'a#tor man)ate& that the #o$rt 7make '"n)"ng& a)e?$ate to
1
&$((ort the #lo&$re8 !aller, -./ US at -3 The '"n)"ng&* a)e?$a#y "& (re)"#ate) on +hether
the they &(e#"'"#ally &$((ort the nat$re an) &#o(e o' the #lo&$re or)ere) In Waller, Id., the
State*& arg$ment that 7(r"5a#y "ntere&t&8 =$&t"'"e) the #lo&$re o' a hear"ng "n +h"#h re#or)e)
#on5er&at"on& +ere to be (laye) 'a"le) be#a$&e "t )") not &(e#"'y 7+ho&e (r"5a#y "ntere&t&
m"ght be "n'r"nge), ho+ they +o$l) be "n'r"nge), +hat (ort"on& o' the ta(e& m"ght "n'r"nge
them, an) +hat (ort"on o' the e5")en#e #on&"&te) o' the ta(e&8 In G!#man, th"& #o$rt 'o$n) a
(ro&e#$tor%& #la"m that a +"tne&& 'eare) te&t"'y"ng be'ore #erta"n &(e#tator& +a& "n&$''"#"ent to
&$((ort the &(e#tator&% eA#l$&"on G!#man, 30 ;0) at //. In &nglis" v. Art!#, 1.- ;0) 105,
101N10 22) ,"r 11134, th"& #o$rt hel) that )e&("te a #lo&$re hear"ng )$r"ng +h"#h "t #on&")ere)
ea#h o' the Waller 'a#tor&, the lo+er #o$rt 'a"le) to make (art"#$lar"@e) '"n)"ng& +h"#h
&$((orte) bann"ng the )e'en)ant%& 'am"ly 'rom 5"e+"ng key +"tne&& te&t"mony
Un)er th"& ,o$rt%& (re#e)ent, the tr"al #o$rt 'a"le) to &$((ort "t& or)er to #lo&e the
#o$rtroom to all &(e#tator& +"th a)e?$ate '"n)"ng& o' 'a#t In or)er to &$b&tant"ate "t& #la"m
that the 7nat$re o' the #harge& at "&&$e8 +ere gro$n)& 'or #lo&$re, the tr"al #o$rt +o$l) ha5e
nee)e) to enter "nto the re#or) &tatement& 'rom (ro&(e#t"5e =$ror& +h"#h re'le#te) a 'ear o' the
)e'en)ant%& a&&o#"ate& or the (otent"al 'or "m(ro(er #omm$n"#at"on Bowden, 20/ ;0) at 123
2$n)er#o5er nar#ot"#& )ete#t"5e%& hear"ng te&t"mony that he ha) been 7threatene) by )r$g
)ealer& +ho &$&(e#te) he +a& a (ol"#e o''"#er8 &$((orte) #lo&$re o' that )ete#t"5e%& tr"al
te&t"mony4O &nglis", 1.- ;0) at 10/, 2'a#t that 7tr"al #o$rt a&ke) the (ro&e#$tor abo$t (o&&"bly
allo+"ng H)e'en)ant%&I 'am"ly member& to rema"n "n the #o$rtroom L Hb$tI 'a"le) to $&e the
#ollo?$y to =$&t"'y the eA#l$&"on8 gro$n)& 'or grant"ng ne+ tr"al4

The tr"al #o$rt )") not
&ol"#"t &tatement& 'rom anyone "n the =$ry (ool regar)"ng the (o&&"b"l"ty that they +o$l) be
"nt"m")ate) by the (re&en#e o' 9r <e&ter*& 'am"ly an) 'r"en)& Th"& #o$rt ha& been ?$"te #lear
that a 7#on#l$&ory =$&t"'"#at"on,8 &$#h a& the tr"al =$)ge%& re'eren#e "n th"& #a&e that
10
7$n'ort$nate eA(er"en#e& L "n (r"or #a&e& that "n5ol5e) organ"@e) #r"me,8 "& "n&$''"#"ent to
&$((ort e5en (art"al #lo&$re G!#man, 30 ;0) at //.
;"nally, "n G!pta, .11 ;0) at .3/, th"& #o$rt a''"rme) that both 7the large n$mber o' =$ror& an)
the nee) to (rote#t the (anel 'rom hear"ng anyth"ng abo$t the #a&e 'rom any member o' the ($bl"#
(re&ent8 #annot be =$&t"'"#at"on& 'or #lo&$re, regar)le&& o' the ?$al"ty o' the #o$rt%& '"n)"ng& It "& #lear
'rom the #o$rt%& m"n"mal )"&#$&&"on o' "t& rea&on"ng (r"or to or)er"ng the &(e#tator& eA#l$)e) 'rom hal'
o' the voir dire that "t 'a"le) to meet the Waller 'a#tor&
II TCE DE;END6NT !6S DEPRIDED :; CIS SIETC 69END9ENT PR:TE,TI:NS
BE,6USE TCE PUB<I, !6S INTENTI:N6<<Y EE,<UDED, !ITC:UT
JUSTI;I,6TI:N, ;R:9 6 SUBST6NTIDE P:RTI:N :; TCE ,:URTR::9 DURINB
C6<; :; CIS V(I' )I'& PR:,EEDINB
The #lo&$re or)ere) by the tr"al =$)ge +a& not tr"5"al be#a$&e "t )e(r"5e) 9r <e&ter o' S"Ath
6men)ment (rote#t"on& In a l"ne o' #a&e& beg"nn"ng +"th Peterson v. Williams, 35 ;0) 01 22) ,"r
111.4, th"& #o$rt e&tabl"&he) a 7tr"5"al"ty &tan)ar)8 'or re5"e+ o' $n=$&t"'"e) #o$rtroom #lo&$re& The
&tan)ar) #on&")er& 7+hether the a#t"on& o' the #o$rt an) the e''e#t that they ha) on the #on)$#t o' the
tr"al )e(r"5e) the )e'en)ant M +hether other+"&e "nno#ent or g$"lty M o' the (rote#t"on& #on'erre) by the
S"Ath 6men)ment8 Id. at -2 Cere, the tr"al =$)ge "n&"&te) on the remo5al o' all &(e#tator&, "n#l$)"ng
the )e'en)ant%& +"'e an) mother, 'rom the #o$rtroom 'or a((roA"mately hal' o' the =$ry &ele#t"on
(ro#e&& Th"& "& a &"gn"'"#antly greater "n'r"ngement on .
th
6men)ment 5al$e& than "n Peterson, Id. at
--, +here $n=$&t"'"e) #lo&$re +a& 'o$n) tr"5"al )$e to the br"e', "n#om(lete an) "na)5ertent nat$re o'
the eA#l$&"on The )el"berate, (rolonge) an) &+ee("ng nat$re o' the #o$rtroom #lo&$re )$r"ng hal' o'
9r <e&ter%& voir dire "n)"#ate& that the tr"5"al"ty )o#tr"ne "& not a((l"#able "n the "n&tant #a&e
In *ar$oro!g" v. Keane, 101 ;0) 31-, 31/ 22) ,"r 111.4, th"& #o$rt eA(la"n& that the
S$(reme ,o$rt ha& 7)"&t"ng$"&he) bet+een t+o #la&&e& o' #on&t"t$t"onal error&> the 5a&t ma=or"ty,
)enom"nate) Ktr"al error&,* +h"#h are &$b=e#t to harmle&& error re5"e+, an) a 5ery l"m"te) #la&& o' error&,
11
#alle) K&tr$#t$ral,* +h"#h re?$"re a$tomat"# re5er&al L Hbe#a$&eI they '$n)amentally $n)erm"ne the
'a"rne&& or the 5al")"ty o' the tr"al 8 In Waller, the S$(reme ,o$rt make& #lear that $n=$&t"'"e)
#o$rtroom #lo&$re "& a &tr$#t$ral )e'e#t not &$b=e#t to harmle&& error analy&"& Waller, -./ US at -1
The tr"5"al"ty )o#tr"ne (re&ent& an alternat"5e to the harmle&& error analy&"& by 7#on#l$)H"ngI that the
error +a& not &"gn"'"#ant eno$gh to r"&e to the le5el o' a #on&t"t$t"onal 5"olat"on8 Carson v. +isc"er,
-21 ;0) 30, 1- 22) ,"r 20054 Th"& #o$rt ha& 7re(eate)ly em(ha&"@e) L the Htr"5"al"tyI )o#tr"ne%&
narro+ a((l"#at"on8 G!pta, .11 ;0) at .33 2#"tat"on om"tte)4
6& a ba&"& 'or )eterm"n"ng +hether a )e'en)ant ha& been )e(r"5e) o' h"& ($bl"# tr"al (rote#t"on&,
Peterson en$merate& 'o$r 75al$e& '$rthere) by the ($bl"# tr"al g$arantee L > 14 to en&$re a 'a"r tr"alO 24
to rem"n) the (ro&e#$tor an) =$)ge o' the"r re&(on&"b"l"ty to the a##$&e) an) the "m(ortan#e o' the"r
'$n#t"on&O 04 to en#o$rage +"tne&&e& to #ome 'or+ar)O an) -4 to )"&#o$rage (er=$ry8 Peterson, 35 ;0)
at -0 In Gi$$ons th"& #o$rt note) that 7HtIhe th"r) an) 'o$rth 5al$e& L art"#$late) "n Peterson are not
"m(l"#ate) by voir dire be#a$&e no +"tne&&e& te&t"'"e)8 Gi$$ons, 555 ;0) at 121
The tr"5"al"ty analy&"& "& hol"&t"# an) 'a#tN&(e#"'"# ;or "n&tan#e, the Peterson hol)"ng +a&
#on'"ne) to 7the #onteAt o' HthatI #a&e, +here the #lo&$re +a& 14 eAtremely &hort, 24 'ollo+e) by a
hel('$l &$mmat"on, an) 04 ent"rely "na)5ertent 8 Peterson, 35 ;0) at -- The 'a#t$al #onteAt may
ren)er a #lo&$re tr"5"al "' 7the o(enne&& o' the (ro#ee)"ng "t&el', regar)le&& o' +hat a#t$ally tran&("re&,
that "m(art& the a((earan#e o' 'a"rne&& &o e&&ent"al to ($bl"# #on'")en#e "n the &y&tem a& a +hole8 "&
(re&er5e) G!pta, .11 ;0) at .31 2#"tat"on om"tte)42"nternal ?$otat"on mark& om"tte)4
The eA#l$&"on o' the 9r <e&ter*& +"'e an) mother "& the mo&t #om(ell"ng e5")en#e that th"&
#lo&$re +a& not tr"5"al In G!#man, 30 ;0) at //5, th"& #o$rt )e#l"ne) to a((ly the tr"5"al"ty )o#tr"ne,
an) &tate) that tr"al #o$rt& are 7obl"ge) to g"5e &"gn"'"#ant +e"ght8 to the 'a#t tho&e eA#l$)e) "n#l$)e
)e'en)ant*& 'am"ly The arb"trary )eterm"nat"on that the tr"al #o$rt ma)e "n th"& #a&e, $n&$((orte) by
'a#t$al '"n)"ng& an) "n the 'a#e o' &e5eral rea&onable alternat"5e&, #om(rom"&e) the (ro#ee)"ng&*
12
a((earan#e o' 'a"rne&&, a Peterson 5al$e +h"#h "& reem(ha&"@e) "n G!pta I' a #lo&$re or)er ma)e on
&$#h "n&$''"#"ent gro$n)& "& allo+e) to &tan), th"& #o$rt +"ll be &en)"ng the me&&age that lo+er #o$rt&
may 'a5or e''"#"en#y an) (er&onal "nt$"t"on o5er 7the"r re&(on&"b"l"ty to the a##$&e) an) the "m(ortan#e
o' the"r '$n#t"on& 8 Peterson, 35 ;0) at -0
;$rthermore, the )$rat"on o' the #lo&$re "n the "n&tant #a&e +a& &"gn"'"#antly longer than the one
a'ternoon o$t o' 7&e5eral )ay&,8 a& "n Gi$$ons, an) "t goe& +ell beyon) the t+enty m"n$te #lo&$re that
'orme) the ba&"& o' the tr"5"al"ty )o#tr"ne "n Peterson Gi$$ons, 555 ;0) at 11-O Peterson, 35 ;0) at
-1 6ltho$gh "t +a& not a& eAten&"5e a& the #lo&$re hel) nonNtr"5"al "n G!pta, eA#l$&"on o' the ($bl"#
'rom hal' o' the voir dire &$rely meant that more than the mere 'ormal"t"e& an) nonN($bl"# (erem(tory
#hallenge& &eale) "n ,orales v. United States, .05 ;0) 01, -- 22) ,"r 20114, +ere h"))en 'rom the
($bl"# here In a))"t"on, th"& #o$rt ma)e m$#h o' the "na)5ertent nat$re o' the #lo&$re "n Peterson, 35
;0) at --, +h"le the #lo&$re "n the "n&tant #a&e +a& "n)"&($tably "ntent"onal
;"nally, the 7r$&h tran&#r"(t8 o''ere) by the #o$rt "n the "n&tant #a&e #o$l) be analog"@e) the
7hel('$l &$mmat"on8 "n Peterson, an) the #o$rt "n Brown l"&te) 7the tran&#r"(t +h"#h +a& a5a"lable to
the ($bl"#8 a& a 'a#tor "n "t& '"n)"ng o' tr"5"al"ty there Brown, 1-2 ;0) at 50. Co+e5er, there "& no
rea&on to bel"e5e that the r$&h tran&#r"(t alone #$re& the (ro#e)$ral )e'e#t& "n th"& #a&e, &"n#e "n
Peterson th"& #o$rt 7H)")I not e5en hol) that the #omb"nat"on o' all three ne#e&&ar"ly #om(el& a '"n)"ng
o' #on&t"t$t"onal"ty8 Peterson, 35 ;0) at -- B"5en that the #o$rt%& #lo&$re or)er "n th"& #a&e +a&
&"gn"'"#antly more eAten&"5e than "n #a&e& l"ke ,orales an) Peterson, "t "& a((ro(r"ate to grant the
)e'en)ant 5a#at$r o' #on5"#t"on an) a ne+ tr"al
10
,:N,<USI:N
;or the 'orego"ng rea&on&, the )e'en)ant*& =$)gment o' #on5"#t"on &ho$l) be re5er&e) an) a ne+
tr"al grante)
Re&(e#t'$lly &$bm"tte),
J$l"$& ,ren&ha+
1-

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