Opinion ID: 1085401
Heading Depth: 3
Heading Rank: 3

Heading: Former Defense Attorney Testimony

Text: Nelson argues that in testifying about the circumstances surrounding his signing the factual basis, his former attorney violated the attorney-client privilege and Nelson’s Sixth Amendment right to counsel.3 “The application of the attorney-client privilege is a question of fact, to be determined in the light of the purpose of the privilege and guided by judicial precedents. The clearly erroneous standard of review applies to the district court’s factual findings. We review the application of the controlling law de novo.” United States v. Neal, 27 F.3d 1035, 1048 (5th Cir. 1994) (citation omitted) (internal quotation marks omitted). To assert the privilege, a party must show: (1) a confidential communication; (2) to a lawyer or subordinate; (3) for the primary purpose of securing a legal opinion, legal services, or assistance in the legal proceeding. United States v. Robinson, 121 F.3d 971, 974 (5th Cir. 1997). The privilege does not protect “everything that arises out of the existence of an attorney-client relationship,” United States v. Pipkins, 528 F.2d 559, 563 (5th Cir. 1976). An attorney-client communication is also protected under the Sixth Amendment “if it is intended to remain confidential and was made under such circumstances that it was reasonably expected and understood to be confidential.” United States v. Melvin, 650 F.2d 641, 645 (5th Cir. Unit B July 1981). 3 Nelson does not reiterate on appeal his separate objection at trial to this testimony under Federal Rule of Evidence 403. Cf. Old Chief v. United States, 519 U.S. 172 (1997). 16 Case: 12-30101 Document: 00512407432 Page: 17 Date Filed: 10/15/2013 No. 12-30101 The government called Nelson’s former attorney, Mary Pierson, to testify regarding the circumstances surrounding Nelson’s signing his plea agreement. The prosecutor told the district court that the purpose of the testimony was “to establish that the statement was voluntary[] . . . so that the jury doesn’t get the wrong idea. . . . This is the only way that we can establish the voluntariness of the statement.” Noting that it was the government’s burden to show voluntariness, the court allowed “limited inquiry of” Pierson. The government admitted the factual basis into evidence through Pierson’s testimony, and she read it aloud to the jury. Pierson confirmed the authenticity of the document and of Nelson’s signature. She stated that Nelson’s signature on the document indicated that she and Nelson had “read [the document] together, and he had read it, and he understood it and agreed with it.” She testified that before Nelson signed the document, they had a “lengthy discussion.” She did not discuss the details of the conversation. Pierson confirmed that Nelson came to her office of his own free will to sign the document and there were no government officials present. She stated that she was not aware of any coercion or threats made against Nelson and, when asked if Nelson signed the document “knowingly and voluntarily,” Pierson responded, “I believe so.” The government attempted to ask about specific facts referenced in the document, but the court sustained an objection by Nelson that “the document speaks for itself.”4 The government argues that Pierson’s testimony regarding the contents of the factual basis itself was not confidential and 4 We take this opportunity to observe that the opinion testimony of a witness with personal or expert knowledge, helpful and pertaining to a document, is not objectionable on the ground that the document “speaks for itself.” See Fed. R. Evid. 701, 702. Properly made, such an objection may pertain to the character and scope of testimony under Rules 403 and 611. The original writings rule, Rule 1002, however, should not be misunderstood as a “best evidence” device to exclude otherwise admissible opinion testimony interpreting a writing after it has been introduced into evidence. See Christopher B. Mueller & Laird C. Kirkpatrick, Evidence § 10.6, at 1158 (4th ed. 2009). 17 Case: 12-30101 Document: 00512407432 Page: 18 Date Filed: 10/15/2013 No. 12-30101 therefore not privileged. See Robinson, 121 F.3d at 976. Nelson, however, primarily challenges Pierson’s testimony regarding the circumstances of his signing the agreement. We have noted that “[t]he mere appearance of an attorney testifying against a former client[] . . . is distasteful and should only be used in rare instances.” United States v. Cochran, 546 F.2d 27, 29 n.5 (5th Cir. 1977). We have, nonetheless, allowed attorneys, in narrow circumstances, to testify about their former clients’ mental competence. See Clanton v. United States, 488 F.2d 1069, 1071 (5th Cir. 1974). We concluded that an attorney’s evaluation of his client’s mental competency during plea bargaining did not constitute private, confidential communications because the attorney was as “qualified as a layman to express a view as to his client’s mental competency.” Id. “Excluded from the privilege[] . . . are the physical characteristics of the client, such as his . . . demeanor, his bearing, his sobriety . . . . Such things are observable by anyone who talked with the client.” Id. (quoting United States v. Kendrick, 331 F.2d 110, 113–14 (4th Cir. 1964)) (internal quotation marks omitted); see also Malinauskas v. United States, 505 F.2d 649, 655 (5th Cir. 1974) (attorney-client privilege was not violated when a defendant’s former attorney testified that, “from his observations and discussions with [the defendant] he could find no indication that he was incompetent or under the influence of drugs”). Pierson’s testimony, however, was not confined to observations about Nelson’s demeanor that could have easily been made by a layperson; nor was it offered outside the presence of a trial jury on a narrow issue like competency or voluntariness.5 Instead, it was trial testimony that described a meeting held “for 5 See Fed. R. Evid. 104(a) (“The court must decide any preliminary question about whether a witness is qualified, a privilege exists, or evidence is admissible.”); see also Fed. R. Evid. 104(c) (“The court must conduct any hearing on a preliminary question so that the jury cannot hear it if: (1) the hearing involves the admissibility of a confession[] . . . .”). 18 Case: 12-30101 Document: 00512407432 Page: 19 Date Filed: 10/15/2013 No. 12-30101 the primary purpose of securing . . . a legal opinion” on whether to sign the agreement. See Robinson, 121 F.3d at 974. Called by the government, defense counsel Pierson testified that her former client in this case, Nelson, read the plea agreement admitting to federal criminal offense conduct with her, that he “understood” and “agreed with” it, and that he signed it only after a “lengthy discussion” with his experienced attorney. Such information reveals more than the plain fact of the voluntariness of Nelson’s signature on a guilty plea attestation and document inclusive of the offense’s factual basis, and we conclude that it is protected by the attorney-client privilege. See Fed. R. Evid. 501; see also Fed. R. Evid. 104(a), (c). Although Pierson’s testimony falls under the attorney-client privilege, we nonetheless conclude that its admission in this case was harmless error. See Robinson, 121 F.3d at 977; United States v. Jiminez-Lopez, 873 F.2d 769, 771 (5th Cir. 1989);. “Where objected to testimony is cumulative of other testimony that has not been objected to, the error that occurred is harmless.” United States v. Griffin, 324 F.3d 330, 348 (5th Cir. 2003). The prosecutor had Pierson read the stipulation aloud, but the district court already had ruled that the stipulation was admissible due to Nelson’s Rule 410 waiver. In fact, Nelson objected to the testimony in part because it was “cumulative and unnecessary,” considering the content of the stipulation would go before the jury either way. Pierson testified that Nelson signed the document knowingly and voluntarily, but Nelson explicitly abandoned his arguments on those issues at trial. The overriding content of Pierson’s testimony indicated that Nelson considered the contents of the factual basis and did not sign it unknowingly or involuntarily. Notably, Pierson herself, and then also the district court in rulings limiting government inquiry, restricted testimony to avoid conversation going to matters other than the knowing and voluntary signing of the factual basis. Viewing the 19 Case: 12-30101 Document: 00512407432 Page: 20 Date Filed: 10/15/2013 No. 12-30101 record “in its entirety,” we conclude that any error in admitting Pierson’s testimony was harmless. See Griffin, 324 F.3d at 348.