Opinion ID: 361134
Heading Depth: 2
Heading Rank: 1

Heading: Was it error to exclude the defendant?

Text: 16 The Allen standard is notably couched in general terms. It announces no Per se rule of excludable conduct. It remits us to a careful examination of the record. But in looking at the unique facts of this case, we must do so in light of Allen and its progeny. 17 In Allen, the defendant continued to talk after he had been replaced by appointed counsel, threatened to make a corpse of the judge, threw the papers of his file on the floor, declared that he would prevent any trial whatsoever, and responded to questions with vile and abusive language. The decision of the trial court to exclude him was sustained. 18 In United States v. Ives, 504 F.2d 935 (9th Cir. 1974), the leading case applying Allen in this circuit, the defendant refused to answer questions, argued with the judge, struck defense counsel on several occasions, shouted from his cell beneath the courtroom, and physically attacked the United States attorneys. His exclusion was likewise sustained. 19 Most recently, in United States v. Kizer, 569 F.2d 504 (9th Cir. 1978), the defendant interrupted the prosecuting attorney's closing argument, demanded discharge of her attorney and a new trial, and continued to argue with the judge after her motions were denied. This court upheld the order to remove her. 20 These decisions give some idea of the nature of misconduct which heretofore has justified exclusion of the defendant. They therefore provide a useful comparison for each of the trial court's rulings in the case at hand. 21
22 a) Events. 23 At an appearance on January 11, 1973, two months before trial, appellant interrupted the remarks of other parties several times and changed the subject to inquire of motions he had filed. The trial judge clearly warned him that unruly or disruptive behavior at trial would forfeit his right to conduct his defense and to stay in the courtroom. Tr. Jan. 11, pp. 20, 28, 31. 24 These warnings were forcefully repeated on the first day of trial, March 6, 1973, when it was finally determined that appellant would represent himself. 3 Shortly afterwards, during the selection of jurors, the defendant raised several matters out of turn, and once interrupted the judge as he was talking to him. When he interrupted the judge two more times in quick succession, and insisted that witnesses leave immediately before the jury entered, the court stopped and issued an extended warning that it, not the defendant, would preside in the courtroom. During this warning the defendant interrupted the judge and inquired, Are you looking for excuses, Your Honor, to take me out of the court? The rest of the day passed without further serious incident, although the defendant was variously guilty of interrupting, asking repetitive questions, and arguing his case or with the witnesses. On each occasion he was admonished. Tr. Mar. 6, pp. 3, 4, 9, 10, 68, 71, 76, 125, 129, 133, 180-1, 184, 196. 25 On March 7, the second day of trial, the defendant's participation was limited to cross-examination of prosecution witnesses. From time to time he became argumentative and had to be admonished. On one occasion he entered into an irrelevant dialogue with a witness. Tr. Mar. 7, pp. 24, 46, 63, 68, 74, 77, 115-6, 193. 26 On March 8, the third day of trial, the court took up several housekeeping matters before calling in the jury for resumption of the testimony. The defendant learned that the witnesses he had planned to call first would not be available until later. The court denied his motion for a continuance until they arrived. Next, copies of proposed instructions were distributed early, to give the parties extra time for study. The court denied the defendant's immediate motion to dispense with instructions, prompting him to complain that I can't have my trial and my rights at the same time. Thereupon co-defendant Bojorquez moved that new counsel be assigned to him, saying his present attorney had failed to make objections on his behalf. The court denied this request as well and was proceeding to explain the limited role of standby counsel when defendant interrupted to provoke an increasingly heated dialogue. 4 After arguing with the judge, appellant raised a clenched fist, and finally taunted the court to expel him. The court obliged. Tr. Mar. 8, pp. 2-5. 27 b) Analysis. 28 In judging whether the preceding events constituted sufficient grounds for concluding that the trial could not have proceeded fairly and efficiently so long as appellant was present in the courtroom, we are mindful that we are engaged, to some extent, in second guessing. Deference would be owed in any event to the decision of the judge in whose hands the actual responsibility for courtroom conduct is placed. Discretion attends his position. See Allen, supra, 397 U.S. at 343, 90 S.Ct. 1057; Kizer, supra, 569 F.2d at 507; Ives, supra, 504 F.2d at 942. Still further deference is due in this case, however, because we view the evidence from a cold record. 29 (T)he appellate court is not in as good a position as the trial judge to determine the effect a defendant's disruptive conduct may have had on the proceedings. Even though facial expressions, gestures and other nonverbal conduct are often tremendously significant, they cannot be transcribed by the court reporter. 30 Id. We must, and do, give great deference to the decision of the trial judge. 31 We sustain the removal order of March 8. Defendant's behavior was seriously disruptive. Baiting the trial judge to remove him was a direct challenge to the court's authority which left the court little choice in establishing its credibility. The display of a clenched fist, either as a sign of disrespect or as a gesture of intimidation, would shatter the courtroom's atmosphere of careful inquiry. These acts transcended the defendant's role as his own attorney. Fair warning of the consequences of misbehavior had been given. Allen, supra, 397 U.S. at 343, 90 S.Ct. 1057; Ives, supra, 504 F.2d at 942. The appropriate assurance that the defendant could return as soon as he agreed to conduct himself in an orderly manner was also extended. Id. 397 U.S. at 343, 90 S.Ct. 1057; Tr. Mar. 8, pp. 6, 58. The defendant was therefore properly expelled. 32
33 a) Events. 34 The defendant was returned to the courtroom later the same day, in time to begin the presentation of his case in chief. The court advised him at length to question as a lawyer would, not to argue with witnesses, and, especially, not to interrupt the court or to argue with it except on strictly legal matters. The defendant promised to conduct himself in a proper manner. He spent the remainder of the day examining his first two witnesses with only occasional lapses. Tr. Mar. 8, pp. 61-3, 95-6, 122-3. 35 On March 9, the fourth day of trial, the defendant continued to present his case through the testimony of fellow inmates. While questioning his first witness he once strayed into irrelevant matters; later he interrupted the cross-examination and had to be admonished. Interruptions of the prosecutor continued during cross-examination of the next witness. The second time this happened the court excused the jury and warned appellant, The next time you will have to go and Mr. Wildermuth (standby counsel) is going to be in your place. The defendant interrupted the court twice during the warning itself. He was allowed to put on his next witness, however, before the court stood in early recess until March 13. Tr. Mar. 9, pp. 19-20, 23, 49-51. 36 March 13, the fifth day of trial, opened with the examination of Dr. Glenn Walker. Dr. Walker was present as a result of last-minute efforts to obtain an expert who would testify to the effects of tear gas, which had been employed against the defendant during the incident of October 8, 1972. Earlier in the trial, the defendant had apparently been extremely upset to learn that he had missed his opportunity to subpoena witnesses he wanted while he was in prison. Tr. Mar. 6, pp. 67-71, 146-148. 37 Now he claimed to be disappointed that his witness was not an eye specialist but a general practitioner. That dismay increased when, after some initially favorable testimony, Dr. Walker examined a cartridge of the tear gas used in the prison and declared it to be one of the milder forms. An escalating exchange with the court then took place. 5 To save his argument, the defendant asked that he be shot with tear gas in front of the jury. He interrupted the court when it advised him to ask questions and to defer other matters until the recess, then complained that (the jury) never hear what's going on. When he continued to argue about the function of the jury, the jury was excused and he was ordered removed from the courtroom. Appellant still objected after this order, and in the end the trial judge was forced to leave the room to end the tirade. Tr. Mar. 13, pp. 8-9, 12-16. 38 b) Analysis. 39 Our review of these events may begin with the observation that there is no difference in kind between the misconduct of the defendant after he returned on March 8 until he was expelled on March 13, and his misconduct on March 6 and 7. In both periods we are looking at an inartful and inept examiner, occasionally irrelevant, often repetitious, and most serious seemingly incapable of letting others finish speaking when what they said went against him. But, appellant was not expelled on March 6 or 7. 40 We find no sign in these proceedings to compare with the earlier baiting and raised fist, or, much less, with the verbal and physical assaults of the defendants in Allen and Ives, which would indicate an opposition to the concept of a trial itself. Indeed, the evidence of the defendant's attitude runs strongly in the other direction. Before his second expulsion, the defendant had frequently apologized for his errors, Tr. Mar. 6, pp. 120, 177; Tr. Mar. 7, p. 193; Tr. Mar. 6, p. 184; Tr. Mar. 9, pp. 50-51. And the court had agreed that they were not intentional. Tr. Mar. 6, p. 184. Twice the defendant had volunteered to take responsibility for his co-defendant's conduct. Tr. Mar. 6, pp. 131, 168. He had not seized every occasion, although he had seized many, to raise an objection or to insist on his rights. Tr. Mar. 6, pp. 56, 87, 88, 150. When ejected, his vigorous and truthful protestations that he had not been violent show he held a real (if imperfect) vision of conduct befitting an accused, which he had meant to follow. Tr. Mar. 8, pp. 5-6; Tr. Mar. 13, pp. 15, 31. The very fact that the trial had managed to progress for five days is final evidence that appellant was not opposed to the process. 41 The defendant in Kizer, supra, also was guilty simply of interruptions and arguing, yet was removed. That case is distinguishable. There, the defendant was not in the position of representing herself so it was clear that her mere presence would be disruptive. Here, appellant's behavior was exhibited as he was playing the attorney's role. In light of all the evidence, including both the limited nature of his misconduct and the evidence as to his intent, it is impossible to tell if the arguing and the interruptions would have persisted, had that role been withdrawn and assigned to another person. 42 We find error in the second expulsion of the defendant, therefore, even when we accord the trial judge the full measure of deference due his position and superior acquaintance with the facts. We emphasize that we do not hold that the trial court could take no action under the circumstances. We do hold that the action it took was excessive. Where constitutional rights of the accused are at stake, including the right to be present, a trial court must look for corrective measures that do least injury to these rights consistent with the preservation of an orderly court atmosphere. 43
44 a) Events. 45 The examination of Dr. Walker on the morning of March 13 was completed by appellant's standby counsel. When he had finished appellant was brought back again and warned that he would be sent from the courtroom only so many times. Tr. Mar. 13, pp. 31-33. Appellant then promised to remain as a proper Indian. Id., p. 33. He was allowed to continue with his case despite interrupting the prosecutor soon afterwards and objecting to a court ruling in a disrespectful manner. Id., pp. 36, 37. With a few exceptions, Id., pp. 48, 49, 51, all went well until the examination of Dale Brandfast and Arthur Gomes. These men were respectively the assistant superintendent and superintendent of the Florence prison. Whether by design or by instinct, the defendant sought to use their presence on the stand to try the prison system as a whole, including his treatment thereunder. Consequently he became increasingly argumentative, Id., pp. 86, 87, 89, 93-96 and 102, repetitious, Id., p. 95, irrelevant, Id., pp. 96, 97, and hostile to objections of the prosecution to these traits of his inquiry, Id., pp. 85, 90. Having admonished the defendant repeatedly, the court finally excused the jury and warned him not to argue with the witness. In the ensuing conversation appellant refused to give the court a straight answer, interrupted the court as it was advising him, indicated that his own perceived harassment in prison justified the scope of his examination, and in a disrespectful manner agreed to follow the court's instructions. 6 At this point the court ordered that he be taken from the courtroom. 46 b) Analysis. 47 These events need not delay us long, for they raise no novel issue. The later record on March 13 illustrates the same propensities and the same deficiencies that the defendant showed on March 6 and 7 and before his second exit. Without condoning appellant's behavior in the least, we again find no sign that it was Not associated with the speaking role he chose to play; hence, that there is no sufficient showing he could not have remained peacefully in the courtroom if relieved of that role. 48
49 On the morning of March 14 the defendant was brought back to determine if he wished to testify. He was not readmitted for the purpose of self-representation. Assurances of good behavior were neither sought nor extended. When the defendant did not respond directly to its repeated inquiries, Tr. Mar. 14, pp. 2-6, the court ordered that he be permanently removed until sentencing, Id., pp. 6-8, stating that its order was based on the defendant's Past conduct, Id., pp. 7, 8. Thus, properly considered, the fourth expulsion was but an extension of the third. The error of the previous day was not only continued, but enhanced.B. Was the exclusion harmless error? 50 1. Contribution to the verdict. 51 Appellee argues that even if the later exclusions were error, the error was harmless. He points out first that appellant was not left unrepresented. Standby counsel stepped in to cross-examine the state's witnesses and to present a closing argument. The presence of counsel alone at trial can never be harmless Per se, however, Bustamonte, supra, 456 F.2d at 275. 52 Appellee next argues that the evidence of guilt was overwhelming by the time appellant was removed. This contention mistakes the evidence necessary to withstand an acquittal motion for the evidence necessary to establish guilt beyond a reasonable doubt. 53 As a result of his later removals, appellant missed part or all of the testimony of Dr. Walker, the expert he had called on the effects of tear gas; Arthur Gomes, who was to testify on the qualifications and experience of the prison staff; Dale Brandfast, who testified regarding the absence of the task force of prison guards who would normally have handled the October 8 disturbance; and Charles Teeples, a medical assistant at the prison who testified to the condition of the defendants directly following the incident. He was also not present during closing argument, instruction of the jury, the proof of his prior conviction, 7 and the return of verdict. 54 The statements of these witnesses went to the heart of two defensive theories: first, that the use of tear gas prevented any reconstruction of events free of reasonable doubt; second, that the use of unreasonable force by the guards warranted the prisoners in defending themselves. By his absence the defendant was prevented from assisting in the development of these theories. Likewise he could not be seen by the witnesses who testified against him, or by the jurors who decided his fate. He could not assist in preparation for the presentation of a closing argument. The combination of these circumstances leaves, in our mind, a reasonable doubt that appellant's exclusion contributed to the guilty verdict obtained. Therefore, we find the constitutional error complained of was not harmless. Chapman v. California, 386 U.S. 18, 24, 87 S.Ct. 824, 17 L.Ed.2d 705 (1967). 55 2. Denial of due process. 56 There is a second separate ground for our decision. The very absence of an accused, without good reason from so many stages of his trial calls for reversal. The defendant in this case could not hear the testimony of several witnesses. He could not observe the closing arguments of counsel, the jury instructions, of the trial to the court on the issue of his previous convictions. Most critically, he was forced to learn second-hand whether the jury had found him guilty or not. 8 The right of presence is extended not only to protect the integrity and reliability of the trial mechanism. As has been stated by the Fourth Circuit, the right of presence 57 (assures) nondisruptive defendants the opportunity to observe and, it is to be hoped, to understand all stages of the trial not involving purely legal matters generally incomprehensible to the layman, in order to prevent the loss of confidence in courts as instruments of justice which secret trials would engender. 58 United States v. Gregorio, 497 F.2d 1253, 1258 and n. 10, (4th Cir. 1974). Those events, then, infringe on a societal interest in seeing that the forms of trial are preserved, that due process is not entirely a matter of contingencies. The law requires that the defendant be present at his trial. We reverse to ensure that neither (life nor liberty) is taken except in the mode prescribed by law. Bustamonte, supra, 456 F.2d 274, Citing Hopt, supra, 110 U.S. at 579, 4 S.Ct. 202.