Source: https://openjurist.org/441/f2d/1046
Timestamp: 2019-04-18 15:07:35+00:00

Document:
Decided Jan. 18, 1971, Petition for Rehearing Denied March 23, 1971.
Mr. David A. Irwin, Washington, D.C. (appointed by this Court) for appellant.
Mr. Gregory C. Brady, Asst. U.S. Atty., with whom Messrs. Thomas A. Flannery, U.S. Atty., and John A. Terry, Asst. U.S. Atty., were on the brief, for appellee. Messrs. David G. Bress, U.S. Atty. at the time the record was filed, and Roger E. Zuckerman, Asst. U.S. Atty., also entered appearances for appellee.
Before FAHY, Senior Circuit Judge, and ROBINSON and WILKEY, Circuit judges.
Appellant was convicted of assault upon a police officer with a dangerous weapon,1 of carrying a dangerous weapon without a license,2 and of obtaining marihuana without payment of the necessary transfer tax.3 He was sentenced concurrently to two to six years for the assault, one to three years for carrying the dangerous weapon, and one to three years for the marihuana possession. The Government concedes that the latter conviction cannot stand in view of the intervening decision of the Supreme Court in Leary v. United States, 395 U.S. 6, 89 S.Ct. 1532, 23 L.Ed.2d 57 (1969). By reason of that decision, we reverse the conviction under the third count of the indictment. The validity of the convictions on the counts for assault and carrying a dangerous weapon without a license depends upon whether it was error for the court to permit the trial to proceed in part without defendant being present, and if so, whether the error requires reversal.4 We conclude that it was reversible error.
A. The jury retired for deliberations on its verdicts at 11:00 a.m. on the second day of the trial. The court recessed after advising defendant's counsel to remain 'available whenever the jury returns.' Neither court nor counsel, however, said anything to defendant about remaining available during the jury's deliberations. At 3 p.m. that afternoon the jury returned for further instructions, and in defendant's absence, but with his counsel presnet, the court repeated instructions which cover some 4 1/2 pages of the transcript. The jury then retired again. At 5:20 p.m. the court again reconvened in absence of defendnat but with his counsel attending. The court had received another note from the jury advising that it was deadlocked on two counts of the indictment and wished further instructions. The Court stated that it would excuse the jury until the following morning, at which time it would give the Allen charge.5 Upon reconvening at 10 a.m. the following morning, the Allen charge was given, defendant again not being present but with counsel still representing him. The jury retired, the court recessed until 11:40 a.m., and then, in the absence of defendant but with his counsel still attending, the jury returned its verdicts of guilty on the three counts. Defendant returned to court shortly thereafter and was committed by the court.
We consider the case without giving credence to defendant's claim that he called the judge's chambers, as to which the judge stated there was no record, or to defendant's claim that counsel advised him he could go home. We also accept counsel's statement that it was his practice to use his own judgment whether or not to poll a jury or to object to the Allen charge.
A. Rule 43, Fed.R.Crim.P., provides that the defendant 'shall be present' at every stage of the trial, including return of the verdict, but that his 'voluntary absence after the trial has been commenced in his presence shall not prevent continuing the trial to and including the return of the verdict.'7 The Rule is designed primarily to insure the defendant's presence, not to permit the trial to proceed in his absence. We have in two recent cases given content to the kind of voluntary absence which permits a trial to proceed. Cureton v. United States, 130 U.S.App.D.C. 22, 396 F.2d 671 (1968); United States v. McPherson, 137 U.S.App.D.C. 192, 421 F.2d 1127 (1969), the latter decided subsequently to the decision on the remand of this case. See also Cross v. United States, 117 U.S.App.D.C. 56, 325 F.2d 629 (1963).
There is no specific warning * * * delivered by the court, advising that if the defendant voluntarily absented himself he would be deemed to have waived his constitutional right to testify and to confront the witnesses against him so that the trial could continue without him.
137 U.S.App.D.C. at 195, 421 F.2d at 1130.
The constitutional question aside, we conclude that the absence in this case was not of the voluntary sort which under Rule 43 permitted the trial to continue as it did. There certainly was not an 'escape or absconding of the defendant,' or 'a deliberate failure to appear without a reason,' such as we referred to in Cross and Cureton. There was no evidence of a willful intention to interfere with the orderly processes of the court, or of a desire not to be present at times when he knew he should have been in court. The testimony had been completed, the case had been argued to the jury, and the jury had retired. Defendant returned the next morning, late it is true by an hour or an hour and a half, but he did arrive shortly after the verdicts were rendered.
In the above circumstances to have proceeded without him, with no previous advice that he need be continously available after the jury retired, was not authorized. Absence which enables a trial to proceed, though voluntary in the sense that it is willed by the defendant, must occur more advisedly than here appears. It is not at all clear that unless advised to remain available or of the possible consequences of not being present, defendant would understand that after the case had been submitted to the jury further proceedings could occur in open court prior to return of the verdicts, or that when reached he need be present at rendition of the verdicts. His leaving the courthouse when the jury retired, and his delay in returning the next morning, even if attributable to negligence, is not the kind of voluntary absence which, with no previous advice as to his obligation, permitted the court to proceed. The defendant cannot be charged with knowledge of the provision of Rule 43 that he 'shall be present.' A rule such as this, applicable to his personal conduct at trial, should be called to his attention by both court and counsel. Though the language 'defendant shall be present' be read to impose a duty upon him, the duty is one which should be known to him.
Rule 43, Fed.R.Crim.P., provides that the defendant's 'voluntary absence after the trial has been commenced in his presence shall not prevent continuing the trial to and including the return of the verdict.' This is interpreted by the majority primarily to ensure the defendant's presence, not to permit the trial to proceed in his absence, but I submit that the rule says pretty plainly that the trial can continue if the defendnat's absence is voluntary. The test therefore turns upon whether the defendant here absented himself voluntarily.
The appellant Wade absented himself after all the evidence was in, the jury instructed, and while the jury was deliberating. The majority opinion states, 'we cannot conclude on this record that defendant's absence was due to a desire not to be present at times when he knew he should be there.' On the record I think he had a clear and manifest desire not to be present, and that he knew that he should be there. One interesting set of facts not mentioned in the majority opinion is that this particular appellant was well on his way to being an old pro in the courtroom. The trial and conviction made the subject of this appeal began 11 May 1966. Prior thereto the appellant had received a March 1964 conviction for taking property without right, a June 1964 conviction for attempted unauthorized use of a vehicle, a December 1964 conviction for taking property without right, a March 1965 conviction for carrying a dangerous weapon, and an April 1965 conviction for receiving stolen property. I submit that this veteran of five very recent losing matches with the law-- we are not told in how many encounters he was victorious-- thus had enough previous experience to realize that while the jury was out he would only be sitting around the courtroom or the corridors, that there was nothing going to take place in which he could be of any help to his attorney, and so he simply went home. All of this is highly relevant to the voluntariness of appellant's action.
In United States v. McPherson1 we held that the defendant had not waived 'his constitutional right to testify and to confront the witnesses against him.' The defendant there was not apprised that the trial could be continued in his absence, and thus his absence might not be voluntary under Rule 43, in view of the fact that his absence resulted in his unknowingly foregoing clearly defined constitutional rights. McPherson absented himself while the prosecution case was being presented; furthermore, he was scheduled to be the only defense witness. Under those circumstances this court held that McPherson might not have made 'an intentional relinquishment or abandonment of' his right to testify or to confront the witnesses against him. We thus under the facts of McPherson applied as the test of voluntariness the standard required by Johnson v. Zerbst2 for the waiver of a constitutional right-- 'an intentional relinquishment or abandonment of a known right or privilege,' and remanded for a hearing to determine voluntariness.
But here the majority does not 'probe the question' whether appellant Wade's absence is to be tested by constitutional standards, merely saying that it 'was not of the voluntary sort which under Rule 43 permitted the trial to continue as it did.' Presumably then we are to judge Wade by a lesser standard, and the strict constitutional waiver standard of McPherson does not govern this case.
To my mind the circumstances here certainly would enable this court to 'conclude on this record that defendnat's absence was due to a desire not to be present at times when he knew he should be there.' The appellant's waiver here, as in contrast with McPherson, was simply of his right to be present in the courtroom while the jury deliberated and returned its verdict, not a waiver of a right to confront the witnesses or to testify himself. Given appellant Wade's demonstrated experience, he knew what he was relinquishing and he relinquished it intentionally, i.e., a true, knowing waiver. This case is thus not governed by McPherson; we can conclude on the facts of this case that appellant's absence was voluntary and under Rule 43 permitted the trial to continue as it did.
On either or both of these grounds, then, (1) that appellant did in fact voluntarily absent himself and that in so doing he knowingly waived his right to be present at the trial, or (2) that, even if his absence be deemed not voluntary under Rule 43, no one yet has been able specifically to suggest any prejudice resulting to the appellant from such action, I would affirm the convictions on counts one and two.
It is now practically 5:30 and I have conferred with both counsel and we have agreed that it would be well to excuse you at this time, to return tomorrow morning at 9:50, please, or 9:45, and at that time I will give you a further instruction as you have requested in the case.
The prisoner is entitled to an impartial jury * * * and his life or liberty may depend upon the aid which, by his personal presence, he may give to counsel and to the court and triers, in the selection of jurors. The necessities of the defense may not be met by the presence of his counsel only.
110 U.S. at 578, 4 S.Ct. at 204. The Court found that the defendant's absence violated constitutional safeguards. The decision seems to support the view that appellant's absence also raises a question of constitutional dimensions.
The reversal of the instant convictions-- because of an action taken by appellant himself, a chronic malefactor and veteran of numerous brushes with the law-- means that appellant will be retried sometime in 1971, approximately 5 1/2 years after the crime. And, of course, if conviction results, there may be new grounds for appeal.

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