WILLIAM H. STEELE, Chief Judge.
This criminal matter comes before the Court on non-party Gulf Publishing Company, Inc.'s "Motion to Obtain Citizens' Letters Concerning Sentencing" (doc. 19). The Motion, which is opposed by defendant, has been briefed and is ripe for disposition.
The defendant, James Michael Byrd, is the former Sheriff of Jackson County, Mississippi. In an Information (doc. 1) filed in this District Court on November 25, 2013, Byrd was charged with violating 18 U.S.C. § 1512(b)(3) by engaging in misleading conduct towards a Sheriff's Deputy with the intent to hinder, delay, and prevent communication to a federal law enforcement officer of information relating to the possible commission of federal offense in Mobile County, Alabama.
Byrd's sentencing hearing was set for March 11, 2014. During the interim, the U.S. Probation Office prepared a comprehensive Presentence Investigation Report (the "PSR") in Byrd's case, as it does in all criminal matters following conviction via guilty plea or jury verdict. The PSR was filed under seal with the Clerk of Court. (See doc. 13.) As the sentencing date drew near, the Court received numerous letters from members of the community, volunteering insights as to Byrd's history and characteristics, as well as input concerning sentencing (the "Sentencing Letters"). Pursuant to local practice, these unsolicited letters from third parties were not docketed in the court file and were not filed with the Clerk of Court; rather, they were housed with the original PSR in a separate sentencing folder maintained by the U.S. Probation Office. As it does in every case, the Court reviewed and considered the PSR and Sentencing Letters, as well as the defendant's sentencing memorandum and the entire court file, in preparation for Byrd's sentencing hearing.
At the March 11, 2014 sentencing hearing, counsel for both sides and Byrd himself urged the undersigned to accept the Government's sentencing recommendation. The Court indicated that it had considered all information in the PSR, then made the following statement:
(Doc. 18, at 5.) Later in the hearing, the Court characterized the Sentencing Letters as setting forth "the understanding of the writers with regard to your personality, most of which has been described in the letters as good." (Id. at 6-7.) The Court elaborated as follows:
(Id. at 7.) No other discussion of or reference to the Sentencing Letters appears in the sentencing hearing transcript.
Ultimately, and after expressly considering all the information before it, the arguments of counsel, and the U.S. Sentencing Guidelines, the Court adopted Government's sentencing recommendation. (Id.) Thus, Byrd was sentenced to a term of six months home confinement with electronic monitoring, followed by six months probation, as well as a $3,000 fine. (Doc. 16; doc. 18, at 7-8.) Judgment (doc. 16) was entered on March 12, 2014. Byrd did not appeal.
The day after Byrd's sentencing hearing, the undersigned's staff fielded a telephone call from a Mississippi attorney representing the Sun Herald newspaper in Harrison County, Mississippi. That attorney requested that this Court release the Sentencing Letters to his client because of the high degree of public interest in this case. Internal inquiries confirmed that this District Court has no established policies or procedures allowing for the routine release of Sentencing Letters to media outlets or other third parties upon such an informal request. Indeed, the Sun Herald's inquiry appeared to be one of first impression for the judges of this District Court. Because this request was new territory and the Court's preliminary research on the subject was inconclusive, the undersigned conveyed through chambers staff that the Sun Herald must file a motion and brief if it wished to pursue its request to access the letters.
On March 14, 2014, Gulf Publishing Company, Inc. ("Gulf Publishing"), publisher of the Sun Herald, filed in this criminal case a Motion to Obtain Citizens' Letters, with an accompanying memorandum of law. (See docs. 19, 19-1.) Byrd filed a response in opposition to the Motion (see doc. 21), and Gulf Publishing filed a reply in further support of its request (see doc. 22).
As an initial matter, there is some question as to the propriety of Gulf Publishing's appearance in this criminal matter. Gulf Publishing did not file its Motion until two days after entry of Judgment (doc. 16), and cited no statute, procedural rule, or other authority that would allow it to do so as a third party in Byrd's criminal case. Review of applicable case law suggests that the typical approach in these sorts of circumstances is that the news outlet, journalist or media company seeking disclosure of sentencing materials files a motion to intervene in the criminal action, prior to or contemporaneously with the motion for disclosure. See, e.g., United States v. Kravetz, 948 F.Supp.2d 89 (D.Mass.2013); United States v. Kushner, 349 F.Supp.2d 892 (D.N.J.2005); United States v. Lawrence, 167 F.Supp.2d 504 (N.D.N.Y.2001). That was not done here. The Court is left with no showing from Gulf Publishing as to why it contends its Motion is procedurally proper.
Courts have long honored a "common-law right of access to judicial proceedings." Chicago Tribune Co. v. Bridgestone/Firestone, Inc., 263 F.3d 1304, 1311 (11th Cir.2001); see also Siedle v. Putnam Investments, Inc., 147 F.3d 7, 9 (1st Cir. 1998) ("The common law presumes a right of public access to judicial records.").
An obvious preliminary question is whether the Sentencing Letters even qualify as judicial documents within the boundaries of the common-law right of access. In this context, "judicial documents" have been defined as "materials on which a court relies in determining the litigants' substantive rights," Anderson v. Cryovac, Inc., 805 F.2d 1, 13 (1st Cir.1986), as distinguished from those that implicate "the judge's role in management of the trial" and "play no role in the adjudication process," United States v. Kravetz, 706 F.3d 47, 54 (1st Cir.2013) (citations omitted). See Amodeo, 44 F.3d at 145 ("the item filed must be relevant to the performance of the judicial function and useful in the
To find that the Sentencing Letters generally are within the scope of the common-law right of access is not the end of the judicial inquiry. Rather, pursuant to Nixon and its progeny, the public's right of access must be balanced, in a case-specific manner, against opposing considerations such as privacy and confidentiality interests of both the defendant and third parties. See, e.g., United States v. Munir, 953 F.Supp.2d 470, 475 (E.D.N.Y.2013) ("Availability to the public of judicial documents under the common law must be balanced against countervailing factors such as the danger of impairing law enforcement or judicial efficiency and privacy interests of the defendant and innocent third parties.") (citation and internal quotation marks omitted); Gotti, 322 F.Supp.2d at 250 ("Under the ample flexibility afforded under the common law, the court will be able to appropriately accommodate and balance, in any given situation, the privacy interests of the letter writers and the public's entitlement to open sentencing proceedings.").
For purposes of this analysis, "the privacy interests of innocent third parties... should weigh heavily in a court's balancing equation." United States v. Madoff, 626 F.Supp.2d 420, 424 (S.D.N.Y. 2009) (citation omitted); see also Kushner, 349 F.Supp.2d at 901 (describing "a delicate balancing whereby privacy concerns and the avoidance of even the remotest chilling effect appear to be weighted quite heavily"). Although Gulf Publishing's filings scoff at the notion, there are sound (and even compelling) policy reasons why preserving the confidentiality of sentencing letters promotes the interests of justice. One court articulated a pitch-perfect synopsis of these concerns as follows:
Lawrence, 167 F.Supp.2d at 508. Other courts, including authority on which Gulf Publishing relies in its Motion, have made similar observations. See, e.g., Kravetz, 706 F.3d at 58 (recognizing "a legitimate concern that the routine disclosure of third-party letters may discourage valuable input from the community during the sentencing process," and suggesting that this concern must be weighed against the
The above-stated considerations loom large in the balancing equation. When imposing sentence in a criminal case, this Court is bound by statute to consider "the history and characteristics of the defendant." 18 U.S.C. § 3553(a)(1). Certainly, the U.S. Probation Office does yeoman's work conducting an in-depth investigation of the defendant's background, history and personal characteristics, then summarizing its findings in the PSR. In the undersigned's experience, however, letters submitted by family members, friends, co-workers, neighbors, professional colleagues, church members, and other citizens of the community are often quite helpful in deriving a more complete picture (both good and bad) of the defendant's personal characteristics. While Gulf Publishing is undoubtedly correct that no formal promises of secrecy or confidentiality were made to induce these individuals to come forward, common sense instructs that many of them would be far less likely to submit such letters and volunteer candid, valuable input into the sentencing process if they knew their words were accessible to the media and might be posted in print or online for public consumption and dissection. As such, the Court concludes that the privacy interests of the letter writers and the interests of the judicial system in obtaining honest, uncensored input on sentencing matters from members of the community militate strongly against disclosure of the Sentencing Letters in this case.
Balanced on the other side of the scale is the public's interest in access to these judicial documents, as discussed supra. "The weight of the presumption of access attached to a judicial document is determined by the role of the material at issue in the exercise of Article III judicial power and the resultant value of such information to those monitoring the federal courts," such that its weight "will fall somewhere on a continuum." Madoff, 626 F.Supp.2d at 424 (citation and internal quotation marks omitted); see also Gotti, 322 F.Supp.2d at 250 ("If the court gives little weight to the letters, the privacy rights of the writers should be accommodated; however, if the letters should have a significant impact on the court's sentence, the public is entitled to know this."). Gulf Publishing frames the interests favoring disclosure in the following terms: (i) by withholding these letters, "the public has been denied learning part of the basis for the Court's sentence passed upon the Sheriff" (doc. 19-1, at 1); and (ii) "the judicial system has an interest in upholding the public's confidence in its proceedings" (id. at 3). Under the specific circumstances of this case, neither argument is particularly convincing; thus, the weight of the presumption of access falls on the low end of the continuum here.
In sentencing Byrd, the Court did not rely extensively on the Sentencing Letters, and did not invoke the specifics of any particular letter. In other words, the contents of particular Sentencing Letters neither drove nor significantly impacted the sentencing decision in Byrd's case. Recall that, as part of the Plea Agreement, the Government made a specific sentencing
That's not to say, however, that the Sentencing Letters were irrelevant to the sentencing determination. To be sure, the Court did consider them. But what mattered was not the particular substance of letter X written by citizen Y; rather, the way the Sentencing Letters played into Byrd's sentencing determination was via general impressions about their quantity and tenor, which impressions were articulated on the record during the sentencing hearing. In particular, the Court indicated that "as many as 50 letters" had been received,
The value of the Sentencing Letters to this Court in sentencing Byrd was limited to these narrow insights, which have already been communicated to Gulf Publishing and the general public in open court. As such, movant's assertion that the letters should be disclosed because "the public has been denied learning part of the basis for the Court's sentence" is inaccurate. See, e.g., Kushner, 349 F.Supp.2d at 908 (describing weak public interest in disclosure of sentencing letters as to which the sentencing court relied only on their general nature and quantity, reasoning that the value of "public disclosure of those letters is minimal, because the press already realizes most, if not all, of the value of the letters to the public interest when the Court describes these during the sentencing proceedings"); Lawrence, 167 F.Supp.2d at 508 ("in imposing sentence in this case, the Court did not rely on the specific contents of any particular letter," but stated during the sentencing hearing that it "was impressed by the sheer quantity of letters supporting Defendant," such that letter writers' interest in confidentiality is not overcome "when the media and the public were thoroughly informed at the sentencing hearing of the nature and quantity of the letters").
Movant also suggests that the balancing test favors disclosure in order to protect the interest of the judicial system "in upholding the public's confidence in its proceedings." (Doc. 19-1, at 3.) That was a key consideration in United States v. Langston, 2008 WL 5156625 (N.D.Miss. Dec. 8, 2008), the centerpiece legal authority cited in Gulf Publishing's filings. Indeed, the Langston court found "a compelling reason to disclose the letters" in that case because the defendant had pleaded guilty to an offense that "caused considerable damage to the justice system in this state," such that "it is particularly important that these proceedings be open and transparent." Id. at *2.
One clarification bears noting. The case law rightfully places in a different category (for common-law balancing test purposes) any sentencing correspondence by public officials seeking to influence a sentencing decision. See Gotti, 322 F.Supp.2d at 251 ("Letters received from public officials seeking to use their offices to impact a sentence will invariably be disclosed."); see also Kushner, 349 F.Supp.2d at 906 ("The public has a strong interest in the use officials make of their positions of public trust.... Further, those officials' privacy interests are at best tenuous when they try to bring their public power to bear upon sentencing proceedings.") (citations omitted). Review of all letters in the sentencing file in this case reveals none from public officials, or anyone holding himself or herself out to be a public official. Rather, all of the letters purport to be from Byrd's friends, relatives, co-workers, ministers, church members, and other citizens of the community. There are thus no "public official" authors of the Sentencing Letters that might warrant disclosure of a subset of such letters to media outlets because of overriding public interest in knowing when public officials are attempting to bring their power to bear on sentencing proceedings.
In sum, as required by applicable law, the Court has carefully balanced all relevant interests and considerations in this case, including the common-law interest of the public in accessing the Sentencing Letters, the privacy interests of the letter writers, and the interest of the judicial system in not chilling the citizenry's willingness to submit such letters. Under the particular facts and circumstances presented here, and in light of the particular arguments and authorities presented by Gulf Publishing, the Court finds that the common-law balancing test tilts toward non-disclosure of the particular letters maintained in the sentencing file.
One might be tempted to characterize this Order as trivializing the common-law right of access to judicial documents. It does no such thing. The Court well understands and appreciates the importance of the public's right of access to judicial proceedings, and has routinely upheld that right (even in the face of strident objections by parties) in other cases. The public unquestionably has an important interest in accessing court filings. Generally speaking, people should know what is happening and why it is happening in our nation's courthouses. But that interest is neither absolute nor sacrosanct. There are competing considerations. Public broadcast of candid sentencing letters sent to a judge by members of the community and intended to be private can have unanticipated, harmful impacts on well-intentioned writers. It can also discourage letter writers from coming forward, thereby chilling the submission of presentence letters that courts routinely consider (along
The Court has balanced all of these competing circumstances based on the particular facts and circumstances presented here, as filtered through the lens of the relatively sparse authorities cited by the parties and identified in the Court's own research. In this case, the balance tips in favor of non-disclosure. No letters were submitted by persons holding themselves out as public officials seeking to use their public office to affect Byrd's sentence. No particular content in any particular letter influenced the undersigned's sentencing decision. What the Court did consider at sentencing was the overall number and nature of the letters, which it fairly summarized on the record during the sentencing hearing. Under these circumstances, the legitimate value to the public of further disclosure would be low,