Ellis v. United States

313 F.3d 636, 2002 WL 31857354
CourtCourt of Appeals for the First Circuit
DecidedDecember 23, 2002
Docket01-2055, 01-2067
StatusPublished
Cited by185 cases

This text of 313 F.3d 636 (Ellis v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the First Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ellis v. United States, 313 F.3d 636, 2002 WL 31857354 (1st Cir. 2002).

Opinion

SELYA, Circuit Judge.

These appeals, which have their genesis in an effort by the petitioner, Edward B. Ellis, to mount a collateral attack on his convictions for interstate transportation of a minor with intent to engage in criminal sexual activity, present challenging legal questions complicated by a strange procedural twist. That complication arose after the original trial judge denied Ellis’s section 2255 petition in part and then recused himself as to the unadjudicated portion of the petition. A limited order of reassignment followed. The transferee judge, acting partly on the basis of a previously unadjudicated claim and partly on the ba *639 sis of a previously adjudicated claim, proceeded to grant the petition.

The hybrid nature of this decision requires that we review its component parts separately. The first ground of decision involves the trial judge’s handling of a jury note. We agree with the transferee judge’s finding of error — the original trial judge used an incorrect procedure in dealing with the jury note — but we hold that this error was harmless under the circumstances. The second ground of decision involves whether the special seating arrangement afforded to the victim during her trial testimony offended the Confrontation Clause. We hold that under the law of the case doctrine the transferee judge should not have revisited the issue, but, rather, should have left intact the original judge’s finding that no constitutional violation had occurred.

In fight of these holdings, we discern no principled basis for habeas relief. Consequently, we reverse the order granting the petitioner a new trial and remand the case with directions to enter judgment for the United States.

I. BACKGROUND

In 1990, a jury convicted the petitioner on three counts of interstate transportation of a minor with intent to engage in criminal sexual activity. See 18 U.S.C. § 2423. The district court imposed a twenty-five year incarcerative term. On direct appeal, we affirmed the convictions and sentence. United States v. Ellis, 935 F.2d 385 (1st Cir.1991). We suggest that those who hunger for a more exegetic account of the crimes of conviction consult that opinion.

For present purposes, it suffices to say that the petitioner was found guilty of repeatedly abusing (in three different states) the youthful daughter of his live-in girlfriend. Id. at 388-89. The evidence adduced against him included the testimony of his victim, E.D. (who was nine years old at the time of trial). In a preliminary discussion, it was suggested, without objection from the petitioner’s counsel (Attorney Goldings), that E.D. testify while seated “in such a way that she does not look at [the petitioner].”

Notwithstanding his initial acquiescence, Goldings objected to the special seating arrangement when E.D. was called as a witness. Judge Freedman overruled the objection. During her testimony, E.D. sat in a chair facing the jurors but facing away from the petitioner. The parties disagree both as to the exact angle between E.D. and the petitioner and as to how much of E.D.’s face the petitioner could see during her testimony. It is clear, however, that E.D., while testifying, could only have made eye contact with the petitioner by looking over her right shoulder. It is equally clear that she did not avail herself of this opportunity.

On direct appeal, the petitioner unsuccessfully challenged the sufficiency of the evidence, various evidentiary rulings, the jury instructions, and the length of the sentence. Id. at 389-97. He did not advance any claim related either to the handling of the jury note (discussed infra) or to the special seating arrangement.

In 1997, the petitioner moved pro se to vacate his sentence. See 28 U.S.C. § 2255. In that petition, he maintained that Gold-ings had rendered ineffective assistance of counsel (including a failure to present certain exculpatory evidence and impedance of his right to testify); charged Goldings with having concealed a conflict of interest; lodged a Confrontation Clause challenge to the special seating arrangement; complained of prosecutorial misbehavior; and accused Judge Freedman of judicial bias and misconduct. He also filed two mo *640 tions: one seeking the appointment of counsel and the other asking Judge Freedman to step aside.

Judge Freedman denied the motion for appointment of counsel out of hand. As for the recusal motion, he did not disqualify himself generally, but, rather, proceeded to resolve four of the petitioner’s five claims. Specifically, he denied the cognate ineffective assistance of counsel claims insofar as those claims touched upon the failure to present evidence and the supposed interference with the petitioner’s right to testify; found no cognizable conflict of interest; and ruled that the assertions of prosecutorial misconduct were overblown. Given the present posture of the case, we need not discuss any of these rulings.

Judge Freedman’s disposition of the Confrontation Clause claim requires some elaboration. For purposes of that analysis, Judge Freedman accepted, without deciding, that Goldings’s failure to pursue the claim on direct appeal established ineffective assistance of counsel (and, therefore, established “cause” necessary to overcome the applicable procedural bar). Judge Freedman then discussed the relevant Supreme Court precedents and explained that, as the trial judge, he had made an individualized determination that a special accommodation was needed because E.D. would have to testify regarding the “heinous acts” of sexual abuse that she had endured at the hands of someone who lived with her and who had threatened to kill her and her family members. Since these facts supported the use of the special seating arrangement, Judge Freedman concluded that an appeal from the court’s decision to employ the special seating arrangement would have been futile, and, therefore, that Goldings’s failure to challenge the arrangement on appeal was harmless. Accordingly, he denied both the Confrontation Clause claim and the related ineffective assistance of counsel claim. See Lockhart v. Fretwell, 506 U.S. 364, 369-70, 113 S.Ct. 838, 122 L.Ed.2d 180 (1993) (outlining applicable prejudice requirement); Strickland v. Washington, 466 U.S. 668, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (same).

Having adjudicated these four sets of claims, Judge Freedman stopped short of resolving the whole of the petition. Instead, he recused himself as to the fifth claim (the accusation of judicial bias and misconduct). See Murchu v. United States, 926 F.2d 50, 53 n. 3 (1st Cir.1991) (suggesting “that the district judge should have recused himself as to those portions of [a] section 2255 motion which alleged judicial misconduct”).

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Bluebook (online)
313 F.3d 636, 2002 WL 31857354, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ellis-v-united-states-ca1-2002.