Opinion ID: 317124
Heading Depth: 1
Heading Rank: 5

Heading: Miscellaneous Contentions by Walker

Text: 89 1. Pre-trial access to principal Government witnesses. Walker argues that the judgment against him must be reversed because he was denied pre-trial access to the principal Government witnesses, as guaranteed by the Sixth Amendment. The Government witnesses in question are Lannom and Wright. 90 Both sides have the right to interview witnesses before trial. Callahan v. United States, 371 F.2d 658, 660 (9th Cir. 1967). Exceptions to this rule are justifiable only by 'the clearest and most compelling considerations.' Dennis v. United States, 384 U.S. 855, 868-876, 86 S.Ct. 1840, 16 L.Ed.2d 973 (1966). 91 On May 15, 1969, more than five months prior to the commencement of the trial, Walker moved for permission to interview Lannom and Wright. These witnesses were then in protective seclusion. The Government opposed the motion on security grounds. The motion was denied without prejudice to renewal twenty-four hours before trial. Walker's counsel questioned Wright extensively and under oath on October 20, 1969, which was seven days before the trial commenced. Counsel made no request that Wright submit to additional interviews and apparently made no effort, after May, 1969, to interview Lannom. Walker did not move for a continuance, nor did he request that the Government call witnesses other than Lannom or Wright during the opening weeks of the trial. 92 In denying Walker's pre-trial motion, the pre-trial judge had more than the Government's assertion that there was a security problem. It was then known that Lannom and Wright had become Government informers after serving for a long time as leading figures in the Hernandez narcotics operation. The pre-trial judge could, and apparently did, take judicial notice of the personal danger a narcotics conspirator risks when he becomes a turncoat and Government informer. 12 93 Under the circumstances, we think the district court acted circumspectly in permitting Lannom and Wright to remain out of reach until shortly before the trial. In any event we are not convinced that Walker has been prejudiced. 94 2. Handwriting exemplars. Walker argues that the Government unfairly refused to provide handwriting samples from Lannom and Wright so that the authenticity of documentary evidence could be established or attacked. 95 This contention is factually unsound. Walker's counsel was informed that the samples had been marked for identification as exhibits and were available in the clerk's office. If Walker's counsel needed additional exemplars he should have requested them while cross-examining the witnesses. See Clark v. United States, 293 F. 301, 305 (5th Cir. 1923). 96 3. Denial of motion to depose foreign witnesses. Walker argues that he was hampered in testing the authenticity and probative value of business records taken from the Hernandez home (exhibit 401), because the court denied his motion, made under Rule 15(a), Fed.R.Crim.P., to depose the Hernandezes as foreign witnesses. 97 Walker concedes that the motion was addressed to the district court's discretion. Under Rule 15(a), the court may order such a deposition if it appears that the prospective witness may be unable to attend or prevented from attending the trial or hearing. Walker's motion was denied on the ground that there was no showing that the Hernandezes would be unable to appear at the trial. 98 Robert and Helen Hernandez were the first defendants named in the indictment under which Walker was prosecuted. Bench warrants were outstanding against them but could not be executed because the Hernandezes were in Mexico. In a sense, then, they were fugitives. It has been held that to allow the testimony of fugitives to be taken by deposition would amount to an injustice. United States v. Kelly, 349 F.2d 720, 769 (2d Cir. 1965); United States v. Rosenstein, 303 F.Supp. 210, 212 (S.D.N.Y.1969); United States v. Van Allen, 28 F.R.D. 329, 346 (S.D.N.Y.1961). We agree. We also think it quite unlikely that the Hernandezes would have provided any information helpful to Walker. The trial court did not abuse its discretion in this regard. 99 4. Denial of Walker's motion to exclude prior convictions. Walker had sustained prior convictions for a 1932 forgery, a 1940 marijuana offense, a 1944 Mann Act violation, a 1954 state marijuana possession offense and a 1958 federal narcotics conspiracy. On April 25, 1969, six months before the commencement of the trial, Walker filed a formal request that the Government inform the court whether the Government would rely on any prior convictions or prior acts for either impeachment purposes or to show intent or knowledge. In this document Walker also stated that if the Government intended t9 use such prior convictions, defendant requested a pre-trial hearing by the court on the propriety of such use. 100 This formal request did not recite any reason why prior convictions should not be used, nor was it supported by affidavit. On August 11, 1969, the pre-trial judge denied this motion without prejudice to renewal gefore the trial judge. 101 On October 27, 1969, the trial commenced. Two and a half weeks later, on November 13, 1969, Walker filed a motion, supported by several affidavits, that his prior convictions be excluded for either impeachment or for increasing the minimum mandatory sentence. The motion was based on the alternative grounds that impeachment by the use of his prior felony convictions would (1) violate the rule of Luck v. United States, 121 U.S.App.D.C. 151, 348 F.2d 763 (1965), and (2) be a violation of the Sixth Amendment in that it would permit impeachment or increased punishment on a prior conviction that is a result of an involuntary plea. 102 The trial court indicated that it believed the 1932 forgery conviction and the 1940 conviction for possession of marijuana were too remote, but ruled that the other three prior felony convictions (1944, 1954 and 1958) were not too remote and could be used for impeachment purposes. The trial court declined to rule on the validity of these three prior convictions. It did so on the ground that the court should have been asked to litigate the validity of these prior convictions prior to trial. 103 The affidavits filed in support of Walker's motion did not recite any reason why the 1944 prior conviction was invalid. As to the 1954 conviction, Walker alleged, in a supporting affidavit, that he pleaded guilty pursuant to a plea bargain his attorney had arranged, which bargain was kept by the state. Walker alleged that he entered into this plea bargain only on the promise that his wife would be released, and asserted he was innocent of the charge. 104 As to the 1958 conviction, Walker alleged in a supporting affidavit that the conviction was invalid because, during the course of the trial on that charge, his attorney entered into a plea bargain on his behalf which Walker accepted, but concerning which Walker was not adequately informed of his rights. 105 Walker argues that his own testimony was virtually indispensable in combatting that of the Government witness, Lannom. However, he contends, the likelihood that, if he did, the Government would bring before the jury evidence of his 1944, 1954 and 1958 convictions, prevented him from taking the witness stand. Since he did not testify the Government did not produce evidence concerning these convictions. 106 We turn first to the contention that the 1954 and 1958 convictions were invalid because pleas of guilty were not voluntarily and intelligently given. In its plurality opinion in Loper v. Beto, Corrections Director, 405 U.S. 473, 480-483, 92 S.Ct. 1014, 31 L.Ed.2d 374 (1972), the Supreme Court concluded that the use of convictions constitutionally invalid under Gideon v. Wainwright, 372 U.S. 355, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963) (deprived of assistance of counsel) to impeach a defendant's credibility deprives him of due process of law. We assume, for present purposes, that a deprivation of due process would similarly occur if the prior convictions were unconstitutionally invalid for any other reason, such as pleas of guilty which were not voluntarily and intelligently given. 13 107 However there are two reasons why, in our opinion, the trial court's refusal to rule on the validity of the 1954 and 1958 prior convictions is not reversible error. 108 One of these is the reason given by that court-- the request for such a ruling came too late. Walker sought this ruling in the midst of the trial. Had the trial court undertaken to litigate the validity of those prior convictions at that time, an extensive evidentiary hearing would have been required. This would have occasioned an intolerable interruption in what was, in any event, to be a long jury trial. Walker offers no reason why he could not have made his motion prior to the trial, after the trial judge had been assigned to the case. In our opinion, the motion was untimely. See United States v. Allison, 414 F.2d 407, 410 n. 5 (9th Cir. 1969). 109 The second reason why, in our opinion, the trial court's refusal to rule on the validity of the 1954 and 1958 convictions is not reversible error lies in the fact that Walker chose not to testify and these prior convictions were therefore never brought before the jury. This reason also calls for rejection of Walker's argument that the court should have ruled that the 1944, 1954 and 1958 convictions should be excluded under the rule of Luck v. United States, 121 U.S.App.D.C. 151, 348 F.2d 763 (D.C.Cir.1965). 14 110 In electing not to take the witness stand, Walker waived any objection regarding the admissibility of evidence concerning the 1944, 1954 and 1958 prior convictions. Had Walker taken the witness stand, and had this led the Government to produce evidence concerning the prior convictions, and had Walker objected thereto, he would have preserved the issue for appellate review. But here all he can complain of is the failure of the trial court to render an advisory opinion in advance of any evidentiary problem facing the court. 111 It would no doubt be helpful to defendants if they could obtain, in advance of trial, a complete outline of the ground rules which would be applied, and a trial court may, in its discretion, follow such a course. But appellate issues must be based upon actual trial incidents, for until then it cannot be certain what would have occurred. We cannot rule in a vacuum on the correctness of an advisory ruling, or on the failure of a trial court to give an advisory ruling, because at that stage in the proceedings any prejudice is problematical and purely speculative. 15 112 We think the rationale of Shorter v. United States, 412 F.2d 428 (9th Cir. 1969), applies here. In Shorter the defendant received an advisory opinion of the trial court to the effect that it would not apply the rule laid down in Luck, supra. The defendant then took the stand and offered evidence of the prior felonies himself, as part of his testimony. We concluded in Shorter that the defendant could not complain on appeal, for his actions were a matter of trial strategy. Cf., United States v. Haili, 443 F.2d 1295, 1298-1299 (9th Cir. 1971). 113 We conclude that there was no reversible error with regard to Walker's efforts to exclude evidence of the 1944, 1954 and 1958 prior convictions. 16 114 5. Instructions given and refused. While Walker complains of several instructions given, and the refusal to give requested instructions, we find only one such argument with sufficient merit to warrant discussion. 115 This pertains to an instruction given to the effect that (1) if there is one conspiracy and the defendant is a member, convict him; (2) if there is one conspiracy and the defendant is not a member, acquit him; (3) if the defendant is not a member of one conspiracy but is a member of another, acquit everybody. 116 Walker argues that this kind of instruction could misguide the jury into thinking that an aquittal of certain defendants might permit a finding of a single conspiracy among all other defendants. This kind of instruction has been condemned by the Second Circuit on the somewhat different ground that it is equivalent to an instruction that the jury could not acquit one defendant on the conspiracy count without also acquitting the other defendants on that count. See United States v. Kelly, 349 F.2d 720, 757 (2d Cir. 1965). 17 117 Defendant Murray requested an instruction of this nature. Defendant Roberts requested two instructions of this kind, but now complains that the instruction amounted to 'plain error.' Counsel for Walker and the other defendants expressly stipulated that any instruction offered on behalf of the individual defendants would be deemed to be offered on behalf of all defendants. It is true, however, that counsel for Walker objected to this instruction at the time the instructions were being settled. 118 In the context of this case we are unable to see how this instruction could have prejudiced Walker. Of all the defendants involved in these Group II appeals, the Government's evidentiary case against Walker was the strongest. Cf. Kelly, supra, 343 F.2d at 757. 119 We conclude that the instruction in question was harmless as to Walker. If defendants Murray and Roberts are deemed to have joined in this particular argument by Walker, they are precluded from prevailing, under the doctrine of invited error. 120 6. Other contentions by Walker. Walker has advanced several other arguments on this appeal. All have been examined, but we find none of them has sufficient merit to warrant discussion. 121 The judgments of conviction, and sentences, on count one of the indictment in these Group II appeals are affirmed. The judgments of conviction of defendants Roberts and Walker on count two are reversed.