YOUNG, C.J.
We granted defendant's application for leave to appeal to determine whether defendant is entitled to a new trial because the circuit court closed the courtroom during voir dire in violation of defendant's constitutional rights.
On the night of June 14, 2002, defendant, Joseph Lashawn Vaughn, parked his car on a Detroit street so that it partially blocked the driveway of Emmitt Smith, a retired police officer. Smith and a neighbor went over to the car, which defendant had exited, and began talking to a woman in the passenger seat of the car. Defendant then emerged from a nearby alley and began shooting at Smith and the neighbor. In response, Smith returned fire, although defendant ran from the scene. Police traced the parked vehicle to defendant.
Defendant was arrested and charged with possession of a firearm by a felon
Although the record is unclear regarding how many people were subject to the court's order, it is uncontested that the circuit court did not provide a reason for this closure. It is also uncontested that neither defendant nor his counsel objected to closure of the courtroom.
At the conclusion of defendant's trial, the jury found defendant guilty of felon-in-possession, felony-firearm, and two counts of assault with intent to commit great bodily harm less than murder.
The Court of Appeals unanimously affirmed defendant's convictions.
The Court of Appeals also determined that defendant was not entitled to relief on the basis of ineffective assistance of counsel because he could not show "that his trial counsel's decision not to object fell below an objective standard of reasonableness under prevailing professional norms...."
This Court granted defendant's application for leave to appeal, limited to the following issues:
Defendant claims that the circuit court violated his constitutional right to a public trial when it closed the courtroom during voir dire.
The right to a public trial "has its roots in our English common law heritage."
Although the Sixth Amendment right "is the right of the accused," a member
A defendant's Sixth Amendment right to a public trial is limited, and there are circumstances that allow the closure of a courtroom during any stage of a criminal proceeding, even over a defendant's objection:
If there is a timely assertion of the Sixth Amendment public trial right, the remedy for a violation must be "appropriate to the violation," although "the defendant should not be required to prove specific prejudice in order to obtain relief...."
Although the existence of the Sixth Amendment right to a public trial during voir dire is not questioned, neither this Court nor the Supreme Court of the United States has squarely considered whether the right can be forfeited or waived by a defendant's failure to assert the right in a timely fashion. We turn now to this question.
This Court "has long recognized the importance of preserving issues for appellate review."
Thus, the failure to assert a constitutional right ordinarily constitutes a forfeiture of that right.
Both parties assert that this Court should not follow the Carines forfeiture rule when examining a defendant's Sixth Amendment right to a public trial. We turn first to defendant's claim that his Sixth Amendment public trial right is not a forfeitable right, but instead can only be abandoned with his personal and informed waiver of the right.
"What suffices for waiver depends on the nature of the right at issue."
We likewise decline to create such an exception for the right to a public trial. While certain constitutional rights are preserved absent a personal waiver,
Defendant also claims that a Sixth Amendment public trial right should be excepted from our traditional preservation rules because "the whole body politic," not just a criminal defendant, "suffers an actual injury" in the denial of the public trial right.
Defendant's argument is problematic because it conflates his Sixth Amendment right to a public trial with the related, but distinct, First Amendment right that the public enjoys. It is true that a defendant cannot waive a public trial "in absolute derogation of the public interest."
This Court's decision in Detroit Free Press failed to recognize the distinction between the separate but related First and Sixth Amendment rights. Detroit Free Press acknowledged that "[f]rom a literal standpoint, the Sixth Amendment provides the right to a public trial to `the accused,'"
United States Supreme Court caselaw undermines the Detroit Free Press analysis to the extent that Detroit Free Press rooted the public's right to public trial proceedings in the Sixth Amendment instead of the First Amendment.
Alternatively, the prosecution and the Attorney General (acting as amicus curiae) claim, and the Court of Appeals held, that a defendant's Sixth Amendment right to a public trial is not self-executing and, therefore, the failure to assert the right at the time of closure results in the waiver of that right.
Although Levine examined a defendant's right to open criminal contempt proceedings under the Due Process Clause of the Fifth Amendment,
We decline to follow the dictum of the Supreme Court of the United States because it conflates the concepts of waiver and forfeiture that we have historically recognized in Michigan. Both this Court and the Supreme Court of the United States have distinguished the failure to assert a right — forfeiture — from the affirmative waiver of a right.
The prosecution and the Attorney General claim that we should adopt an exception to this traditional definition of "forfeiture" because any result other than a waiver will encourage defense counsel to withhold objection as an appellate parachute. However, this argument fails to take into consideration the heightened standard of review already applied to forfeited claims of error. Carines requires a defendant who has forfeited his claim of error to prove (1) that the error occurred, (2) that the error was "plain," (3) that the error affected substantial rights, and (4) that the error either resulted in the conviction of an actually innocent defendant or seriously affected the fairness, integrity, or public reputation of judicial proceedings.
As stated, in order to receive relief on his forfeited claim of constitutional error, defendant must establish (1) that the error occurred, (2) that the error was "plain," (3) that the error affected substantial rights, and (4) that the error either resulted in the conviction of an actually innocent defendant or seriously affected the fairness, integrity, or public reputation of judicial proceedings.
The first two prongs of the analysis are straightforward. In this case, the circuit court ordered the courtroom closed before voir dire. The Supreme Court of the United States has stated that "`the party seeking to close the hearing must advance an overriding interest that is likely to be prejudiced....'"
The third Carines prong requires a defendant to show that the error "affected substantial rights."
While the Supreme Court of the United States has specifically reserved judgment
Nevertheless, even if defendant can show that the error satisfied the first three Carines requirements, we "must exercise... discretion" and only grant defendant a new trial if the error "resulted in the conviction of an actually innocent defendant" or seriously affected the fairness, integrity, or public reputation of judicial proceedings.
The United States Court of Appeals for the Second Circuit has recognized that "it does not follow that every temporary instance of unjustified exclusion of the public — no matter how brief or trivial, and no matter how inconsequential the proceedings that occurred during an unjustified closure — would require that a conviction be overturned."
In reviewing the closure of a courtroom during the first day of jury selection, the Second Circuit determined that the third and fourth protected values were "not implicated by voir dire because no witnesses testified."
A review of the circuit court transcript during defendant's voir dire shows that both parties engaged in a vigorous voir dire process, that there were no objections to either party's peremptory challenges of potential jurors, and that each party expressed satisfaction with the ultimate jury chosen. Moreover, because "the venire is drawn from the public itself," individual veniremembers "remain public witnesses during much of the voir dire proceedings, listening to the court's questions and observing the conduct of counsel, until such time as they are chosen for the jury, disqualified, or excused."
The Sixth Amendment also guarantees a criminal defendant's right "to have the Assistance of Counsel for his defence."
In Strickland v. Washington, the Supreme Court of the United States stated that in order to receive a new trial on the basis of ineffective assistance of counsel, a defendant must establish that "counsel's representation fell below an objective standard of reasonableness"
Defense counsel should be "strongly presumed to have rendered adequate assistance and made all significant decisions in the exercise of reasonable professional judgment."
The Court of Appeals panel did just that in reviewing defendant's claim. The panel reasoned that "[d]efendant's trial counsel might have reasonably concluded that proceeding with a jury voir dire that was closed to the public benefitted defendant" because "[r]easonable trial counsel might conclude that the potential jurors will be more forthcoming in their responses when the courtroom is closed, that the proceedings will be less likely to be tainted by outside influences, or might simply find the procedure preferable because it will expedite the proceedings."
The Court of Appeals' conclusion is consistent with the conclusion of the United States Court of Appeals for the First Circuit that when analyzing an ineffective assistance of counsel claim, "the strategic advantage that [defendant] received from the individual voir dire taking place in private cannot be ignored."
Even if defendant had shown that counsel's performance was objectively unreasonable, defendant cannot show that he is entitled to relief on the second Strickland prong, which requires this Court to determine whether "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different."
Defendant claims that a structural error automatically satisfies the second Strickland prong. However, Strickland and a companion case, United States v. Cronic, articulated only a narrow class of situations in which prejudice is presumed for ineffective assistance purposes: "when counsel was either totally absent, or prevented from assisting the accused during a critical stage of the proceeding"
Although this Court has not yet ruled on the issue, the United States Court of Appeals for the Eleventh Circuit and the Georgia and Utah Supreme Courts have held that an ineffective assistance of counsel claim premised on a structural public trial right violation still requires a defendant to demonstrate actual prejudice.
The Eleventh Circuit elaborated on the concept of prejudice in applying that requirement to the case before it, which involved an ineffective assistance of counsel claim premised on the failure to object when the trial judge closed the courtroom for the victim's testimony:
However, the United States Courts of Appeals for the First and Eighth Circuits have ruled that a structural error automatically satisfies the Strickland prejudice prong.
We conclude that the Eleventh Circuit's reasoning and conclusion is more persuasive. Without distinguishing a properly preserved structural error for which reversal is required from an error claimed as ineffective assistance of counsel, counsel can harbor error as an appellate parachute by failing to object to the closure of trial, thereby depriving the trial court of the opportunity to correct the error at the time it occurs. Further, because this is not one of the three circumstances in which the Supreme Court of the United States has held that trial counsel's ineffective assistance automatically results in Strickland prejudice, we conclude that an ineffective assistance of counsel claim premised on either counsel's waiver of or failure to object to the Sixth Amendment right to a public trial requires a showing of actual prejudice before the defendant is entitled to relief.
In this case, defendant does not claim that the courtroom's closure during voir dire affected the voir dire process and tainted the ultimate jury chosen. To the contrary, defense counsel actively participated in the voir dire process and expressed satisfaction with the composition of the jury and, thus, we must presume that the resulting jury was a fair and neutral fact-finder. Because defendant cannot show that "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different,"
While a criminal defendant has the constitutional right to a public trial, that right is forfeited when no objection is made at the time of the courtroom's closure to members of the public. As a forfeited claim of constitutional error, the defendant can obtain relief if he shows that the court's exclusion of members of the public during voir dire was "a plain error that affected substantial rights" and that he either "is actually innocent or the error seriously affected the fairness, integrity, or public reputation of judicial proceedings."
MARKMAN, MARY BETH KELLY, and ZAHRA, JJ., concurred with YOUNG, C.J.
CAVANAGH, J. (concurring).
I concur in the majority's result only. I agree with the majority's conclusion that a violation of the right to a public trial, including the right to public voir dire, is structural error. Neder v. United States, 527 U.S. 1, 8, 119 S.Ct. 1827, 144 L.Ed.2d 35 (1999); Waller v. Georgia, 467 U.S. 39, 49-50, 104 S.Ct. 2210, 81 L.Ed.2d 31 (1984); Presley v. Georgia, 558 U.S. 209, 130 S.Ct. 721, 724, 175 L.Ed.2d 675 (2010).
Although I agree with the majority that a structural error occurred in this case, I do not agree with the majority that Johnson v. United States, 520 U.S. 461, 117 S.Ct. 1544, 137 L.Ed.2d 718 (1997), definitively established that some structural errors may be subject to a forfeiture analysis. Johnson applied plain-error review to the petitioner's argument that a structural error had occurred; however, Johnson reserved judgment on whether the error at issue was actually structural in nature. Id. at 468-469, 117 S.Ct. 1544. Moreover, Neder, 527 U.S. at 8-10, 119 S.Ct. 1827, interpreted Johnson as holding that the error was not structural. Thus, I disagree with the majority that, by arguing in favor of automatic reversal, defendant in this case seeks an "exception" to the general rules for issue preservation. Ante at 297-98.
Additionally, the majority misapplies this Court's opinion in People v. Duncan, 462 Mich. 47, 610 N.W.2d 551 (2000), in analyzing whether the structural error in this case requires automatic reversal. I
In my view, Duncan accurately explains the "intrinsically harmful" nature of most structural errors and, accordingly, whenever a structural error occurs, I believe the potential need for automatic reversal should be given close consideration, even if the error is unpreserved. The majority concedes that Duncan held that "`[s]tructural errors ... are intrinsically harmful,'" but the majority claims that "this statement is consistent with applying our forfeiture rules...." Ante at 298 n. 42. However, the majority ignores that Duncan also explained that intrinsically harmful structural errors "require automatic reversal" when such an error "renders unfair or unreliable the determining of guilt or innocence." Duncan, 462 Mich. at 51, 610 N.W.2d 551 (emphasis added). Similarly, the United States Supreme Court has explained that, although rare, some errors are structural "and thus require[] automatic reversal." Washington v. Recuenco, 548 U.S. 212, 218, 126 S.Ct. 2546, 165 L.Ed.2d 466 (2006).
As the majority explains, denial of the right to public voir dire is a structural error, but the United States Supreme Court has not "squarely considered whether the right [to public voir dire] can be forfeited...." Ante at 296. Thus, today we are faced with an issue of first impression in our state and one that has not yet
Considerable tension exists in the available caselaw regarding whether the denial of the right to a public trial requires automatic reversal. For example, several opinions from the United States Supreme Court appear to indicate that denial of the right to a public trial is structural error requiring automatic reversal. See, e.g., Washington, 548 U.S. at 218, 126 S.Ct. 2546 (offering "denial of public trial" as an example of "an error [that] is structural, and thus requires automatic reversal"), citing Waller, 467 U.S. 39, 104 S.Ct. 2210; and Neder, 527 U.S. at 8, 119 S.Ct. 1827 (same). On the other hand, as the majority explains, several opinions that consider more directly the issue of an unpreserved claim of the denial of the right to public voir dire have applied plain-error review. See, e.g., Barrows v. United States, 15 A.3d 673 (D.C., 2011). And in United States v. Agosto-Vega, 617 F.3d 541, 547-548 (C.A.1, 2010), the court addressed a preserved claim of the denial of the right to public voir dire and held that a new trial was required. What is particularly notable about Agosto-Vega is that the court did not engage in a harmless-error analysis but instead apparently took the view that denial of the right to public voir dire falls into the class of errors that defy harmless-error analysis. Id.; see Arizona v. Fulminante, 499 U.S. 279, 309-310, 111 S.Ct. 1246, 113 L.Ed.2d 302 (1991) (explaining that some errors "defy analysis by `harmless-error' standards"). Agosto-Vega's approach seems to be supported by United States v. Gonzalez-Lopez, 548 U.S. 140, 148-149, 126 S.Ct. 2557, 165 L.Ed.2d 409 (2006), in which the United States Supreme Court identified the denial of the right to a public trial as a "structural defect" that "def[ies] analysis by `harmless-error' standards" because a structural defect affects the "framework within which the trial proceeds" and is "not simply an error in the trial process itself." (Citation and quotation marks omitted.) Accordingly, I find it difficult to square the notion that the denial of public voir dire defies harmless-error standards and is thus subject to automatic reversal when preserved because the resulting harm is "necessarily unquantifiable and indeterminate," Sullivan v. Louisiana, 508 U.S. 275, 282, 113 S.Ct. 2078, 124 L.Ed.2d 182 (1993), but the same error is nevertheless subject to plain-error analysis when unpreserved.
As for the majority's application of the Carines plain-error factors, I agree that the first two prongs — that an error occurred and the error was plain — are clearly established in this case. As for the third prong, which requires a showing that the error "affected substantial rights," Carines, 460 Mich. at 763, 597 N.W.2d 130, I believe that Duncan does more than merely "suggest" that plain structural error is prejudicial. Although "this Court and the United States Supreme Court have left open the possibility that there is a category of errors for which the third prong of the plain-error standard is automatically met," People v. Shafier, 483 Mich. 205, 220 n. 15, 768 N.W.2d 305 (2009), denial of the right to a public trial is an error that must be presumed prejudicial because "a requirement that prejudice be shown `would in most cases deprive [the defendant] of the [public-trial] guarantee, for it would be difficult to envisage a case in which he would have evidence available of specific injury,'" Waller, 467 U.S. at 49 n. 9, 104 S.Ct. 2210, quoting United States ex rel. Bennett v. Rundle, 419 F.2d 599, 608 (C.A.3, 1969) (alterations in original). Accordingly, "the defendant should not be required to prove specific prejudice in order to obtain relief for a violation of the public-trial guarantee." Waller, 467 U.S. at 49, 104 S.Ct. 2210.
Thus, although the majority correctly rejects the prosecution's argument that the right to public voir dire is subject to waiver, by considering the presence of the venire, the majority's analysis risks essentially adopting the very rule that it purports to reject because a defendant will never be able satisfy the requirements to overcome forfeiture under the plain-error analysis.
The majority contends that my concerns are merely overwrought hand wringing because, under the majority's approach, the venire's presence is not "dispositive." Ante at 305 n. 102 (emphasis omitted). However, by considering the venire's presence at all, the majority places a heavy thumb on the delicate scales of justice. Indeed, because the venire will always be present during voir dire, the majority's approach will always
I agree with the majority, however, that concerns regarding the fairness, integrity, and public reputation of the voir dire process under the facts of this particular case are lessened by the fact that the circuit court transcript reveals that "there were no objections to either party's peremptory challenges of potential jurors, and that each party expressed satisfaction with the ultimate jury chosen." Ante at 305. "The purpose of voir dire is to elicit enough information for development of a rational basis for excluding those who are not impartial from the jury.... It is the only mechanism, and the only safeguard a defendant has, for ensuring the right to an impartial jury." People v. Tyburski, 445 Mich. 606, 618, 518 N.W.2d 441 (1994) (lead opinion by MALLETT, J.). The public's involvement in the voir dire process assists in effectuating the purpose of voir dire, in part, because it allows the public to see that the defendant "is fairly dealt with and not unjustly condemned" via selection of an unbiased jury. Waller, 467 U.S. at 46, 104 S.Ct. 2210 (citations and quotation marks omitted). Moreover, "the presence of interested spectators may keep [the defendant's] triers keenly alive to a sense of their responsibility and to the importance of their functions...." Id. (citations and quotation marks omitted). Although the transcript showing "a vigorous voir dire process," ante at 305, does not satisfy these goals as well as the actual presence of observers, it does at least provide some assurance that the voir dire process served its purpose. Accordingly, when weighing the fourth plain-error prong in relation to the improper denial of the right to public voir dire, a court should rely most heavily on evidence indicating whether the purpose of voir dire was satisfied. If relevant evidence is not available, or if the court is left with serious concerns regarding whether the voir dire process served its purpose, the court should not hesitate to conclude that the fairness, integrity, or public reputation of judicial proceedings were seriously affected and that a new trial is required.
MARILYN KELLY and HATHAWAY, JJ., concurred with CAVANAGH, J.
Defendant suggested at oral argument that the right to a public trial under the Michigan Constitution is broader than the right to a public trial under the United States Constitution because judges in Michigan are elected, rather than appointed. Compare Const. 1963, art. 6, §§ 2, 8, 11, and 16 (concerning the election of Supreme Court justices, Court of Appeals judges, circuit judges, and probate judges, respectively) with U.S. Const., art. II, § 2 (concerning the executive appointment of federal judges). "Our goal in construing our Constitution is to discern the original meaning attributed to the words of a constitutional provision by its ratifiers," the people, who "are understood to have accepted the words employed in a constitutional provision in the sense most obvious to the common understanding and to have `ratified the instrument in the belief that that was the sense designed to be conveyed.'" People v. Nutt, 469 Mich. 565, 573-574, 677 N.W.2d 1 (2004), quoting 1 Cooley, Constitutional Limitations (6th ed.), p 81. In determining whether the Michigan Constitution affords more expansive rights than the Constitution of the United States for identically worded phrases and provisions, we have observed that "an expansion of the Michigan Constitution beyond federal protections for identically worded phrases and provisions" is appropriate only when "such protections [are] deeply rooted in the document." People v. Pickens, 446 Mich. 298, 316, 521 N.W.2d 797 (1994). Of course, the interpretation of federal provisions by the Supreme Court of the United States is relevant to applying similarly worded provisions in the Michigan Constitution, but only to the extent that we believe the Supreme Court's interpretation accurately conveys the original meaning of the Michigan Constitution. See Harvey v. Michigan, 469 Mich. 1, 6 n. 3, 664 N.W.2d 767 (2003).
Defendant points to language in a previous opinion of this Court suggesting that the elective nature of judicial office "adds a dimension to the societal interests involved" in the public's "concern" over criminal proceedings. Detroit Free Press v. Recorder's Court Judge, 409 Mich. 364, 386, 294 N.W.2d 827 (1980). While there are societal interests in the fact that the people of Michigan have retained the right to elect their judicial officers, we reject the notion that these societal interests confer any greater, or lesser, constitutional protections than those guaranteed by the federal constitution. Indeed, the public interest in having criminal proceedings open is universal and simply does not depend on any particular judicial selection process. Whether judges are elected or appointed, the right to a public trial exists "as a safeguard against any attempt to employ our courts as instruments of persecution." Oliver, 333 U.S. at 270, 68 S.Ct. 499 (emphasis added). Thus, defendant has not shown that an expansion of a defendant's protections beyond the rights accorded him under the Sixth Amendment is "deeply rooted" in article 1, § 20 to such an extent that the people ratifying the 1963 Michigan Constitution understood the Michigan Constitution to afford greater protections than the Sixth Amendment. Nor has defendant shown that the drafters of the 1963 Michigan Constitution had, or conveyed to the ratifiers, any intent to expand the protections of article 1, § 20 beyond those of the Sixth Amendment. Accordingly, we decline to hold that the right to a public trial is more expansive under the Michigan Constitution than it is under the United States Constitution.
While the concurring justice recognizes that a structural error may "defy analysis by `harmless-error' standards," United States v. Gonzalez-Lopez, 548 U.S. 140, 148-149, 126 S.Ct. 2557, 165 L.Ed.2d 409 (2006) (citation and quotation marks omitted), he fails to take into account that the caselaw of the Supreme Court of the United States has expressly distinguished plain-error analysis from harmless-error analysis. For instance, the Court has repeatedly withheld judgment on whether a structural error automatically satisfies the third prong of plain-error analysis, Puckett v. United States, 556 U.S. 129, 140, 129 S.Ct. 1423, 173 L.Ed.2d 266 (2009), implying that structural errors do not entirely defy plain-error analysis, even if they do defy harmless-error analysis. Nor does this Court's opinion in People v. Duncan, 462 Mich. 47, 610 N.W.2d 551 (2000), compel the rule that the concurring justice would adopt. While Duncan acknowledged that "[s]tructural errors... are intrinsically harmful," id. at 51, 610 N.W.2d 551, this statement is consistent with applying our forfeiture rules because we explicitly follow Duncan when applying the third Carines prong, as discussed later in this opinion, and Duncan does not expressly state that structural errors defy application of plain-error analysis.
Another possible way to view the difficult issue presented by unpreserved structural errors may be to conclude that structural errors require automatic reversal because even if the plain-error analysis is applied, all four prongs will always be satisfied when the error is structural. See, e.g., United States v. Recio, 371 F.3d 1093, 1103 n. 7 (C.A.9, 2004) ("[I]t is difficult to imagine a case where structural error will not satisfy [the] fourth requirement [of the plain-error analysis]."); United States v. Rodriguez, 406 F.3d 1261, 1266 (C.A.11, 2005) (Carnes, J., concurring) ("Because structural error, where it exists, renders a criminal punishment fundamentally unfair, it would be difficult to justify a conclusion that an error that is structural does not `seriously affect[] the fairness, integrity or public reputation of judicial proceedings.'") (citation omitted). But other courts that have applied plain-error analysis to structural errors have concluded that not all structural errors satisfy the fourth prong of the analysis. See, e.g., United States v. Vazquez, 271 F.3d 93, 100 (C.A.3, 2001); United States v. David, 83 F.3d 638, 647-648 (C.A.4, 1996).