Opinion ID: 322654
Heading Depth: 2
Heading Rank: 1

Heading: Was Plain Error Committed?

Text: 8 At no time during the trial or the instructions to the jury did King's trial counsel object to Waldorf's testimony relating to his guilty plea, nor did counsel request an instruction from the court. The failure properly to direct the trial court's attention to this matter so that it might recognize and cure the error, if any existed, permits us to reverse the conviction only if the error was so patent as to have seriously jeopardized the substantial rights of the accused. Fed.R.Crim.P. 52(b). Moreover, we note at the outset that 'the power to notice a plain error . . . is one that the courts exercise cautiously and only in exceptional circumstances.' 3 C. Wright, Federal Practice and Procedure 856, at 373. 9 The fact of Waldorf's guilty plea was first mentioned at the trial by the district judge. This occurred in connection with opening statements to the jury by King's counsel that he would show that Waldorf, a chief Gevernment witness, could not be believed because Waldorf was 'a convicted felon, who has got a record, as long as a man's arm . . ..' 4 Aware of defense counsels intentions, the prosecutor anticipated this argument by having Waldorf admit, on direct examination, all of his prior convictions, one of which was Waldorf's conviction for the fraud transaction presently in question. 5 Defense counsel did not object to this questioning, nor request a cautionary instruction. Waldorf's plea was not mentioned again by the prosecutor-- that is to say, the Government did not emphasize the plea, nor did the prosecution suggest that Waldorf's plea was relevant to the issue of King's guilt. The guilty plea was once more brought out, but by defense counsel in his cross-examination of Waldorf. 6 Finally, the court's instructions to the jury included the following comment on the convictions of Waldorf and Snyder: 7 10 I charge you that the evidence of prior convictions which was admitted in this case both as to Mr. Snyder and Mr. Waldorf is to be considered by you as reflecting upon their credibility as witnesses only. This does not disqualify them from testifying but it is a circumstance or circumstances which you have the right to consider in determining whether you believe them. 11 Appellant contends that the court's failure to specifically admonish the jury that a co-indictee's guilty plea may not be considered as substantive evidence of a defendant's guilt mandates reversal, particularly because such an instruction was not given at the time the plea was first brought to the jury's attention. King relies on United States v. Harrell, 5 Cir., 1969, 436 F.2d 606, on remand, 458 F.2d 655, cert. denied, 409 U.S. 846, 93 S.Ct. 49, 34 L.Ed.2d 86 (1972); United States v. Baete, 5 Cir., 1969, 414 F.2d 782, and on United States v. Davis, 5 Cir., 1973, 487 F.2d 112, cert. denied, 415 U.S. 981, 94 S.Ct. 1573, 39 L.Ed.2d 878. Harrell found plain error in a situation where a jury was allowed to hear of a witness' guilty plea without proper limiting instructions. Davis and Baete, though not finding plain error, emphasized that cautionary instructions are essential where the jury learns of a codefendant-witness' guilty plea. King's argument maintains, essentially, that the absence of an immediate cautionary instruction automatically requires reversal. 12 We recognize that there is potential prejudice inherent in a witness' statement that he was the defendant accomplice or co-conspirator, and that he has pled guilty to the crime for which the defendant is charged. One person's guilty plea or conviction may not be used as substantive evidence of the guilt of another. See, e.g., United States v. Baete, supra, 414 F.2d at 783; United States v. Crosby, 2 Cir., 1961, 294 F.2d 928, 948; Babb v. United States, 5 Cir., 1955, 218 F.2d 538, 541 & n. 9; LeRoy v. Government of Canal Zone, 5 Cir., 1936, 81 F.2d 914. The introduction of a codefendant's guilty plea is permissible, however, when its use is limited to proper evidentiary purposes such as to impeach trial testimony or to reflect on a witness' credibility. See United States v. Harrell, supra, 436 F.2d at 614 & n. 9. Nonetheless, this circuit has emphasized that cautionary instructions by the trial court are both essential and effective in avoiding prejudice where the fact of a coconspirator's guilty plea is brought out at a trial before a jury. United States v. Davis, supra, 487 F.2d at 120; United States v. Harrell, supra, 436 F.2d at 617; United States v. Baete, supra, 414 F.2d at 783-784. But, as our cases make clear, the lack of an instruction does not necessarily constitute reversible error. Our focus on review is fairness, and jury instructions are but one factor to be considered in determining whether the proceedings below unfairly prejudiced the substantial rights of the accused. 13 We have canvassed this circuit's cases on this issue of cautionary instructions and the guilty pleas of co-indictee-witnesses. 8 The vagaries of these cases emphasize that 'when an appellate court should take notice of an error not raised below must be made on the facts of the particular case, and there are no 'hard and fast classifications in either the application of the principle or the use of a descriptive title. 2 C. Wright, Federal Practice and Procedure 856, at 373, quoting Dupoint v. United States, 5 Cir., 1968, 388 F.2d 39, 45. Only Harrell has found plain error in the failure to give an unrequested instruction, and its conclusion was specifically predicated on finding that both 'aggravating circumstances' and the absence of any cautionary instructions were presented. 436 F.2d at 617. Most recently, in United States v. Richardson, 5 Cir., 1974, 504 F.2d 357, we noted that while 'our cases reflect a deep sensitivity to the possibilities of prejudice caused by allowing a jury in a criminal case to consider evidence of a co-defendant's guilty plea,' the absence of a cautionary instruction alone would not warrant a conclusion of plain error. Moreover, the Harrell court itself stated that 'our discussion of the prejudicial effect of permitting testimony as to (a witness') prior pleas of guilty should be clearly understood as limited to the facts before us.' 436 F.2d at 614. In United States v. Franicevich, 5 Cir., 1972, 465 F.2d 467, the court took this language at face value and limited Harrell to its facts, concluding that 'on this (plain error) point each case depends on its own particular facts and circumstances.' 465 F.2d at 472 n. 4. In United States v. Johnson, 5 Cir., 1972, 455 F.2d 311, the trial judge informed the jury of a coconspirator's guilty plea. Emphasizing the factual situation in which this occurred, the court affirmed the conviction without even citing Harrell. This circuit again refused to find reversible error in United States v. Cook, 5 Cir., 1972, 461 F.2d 906, cert. denied, 409 U.S. 949, 93 S.Ct. 269, 34 L.Ed.2d 219, where the defendant's attorney himself caused the evidence of the witness' guilty plea to be introduced into the case during attempts to impeach the credibility of the witness. 461 F.2d at 911. 14 Thus, a number of our cases-- in fact, all but one-- have declined to find plain error when the fact of a coconspirator's guilty plea was made known to the jury even though no cautionary instructions were given. In assessing King's assertion of plain error in this case, then, we must carefully examine all the facts and circumstances of the case in their proper context. The presence or absence of an instruction is an important factor, but it is also essential to consider other factors, such as whether there was a proper purpose in introducing the fact of the guilty plea, 9 whether the plea was improperly emphasized or used as substantive evidence of guilt, 10 whether the introduction of the plea was invited by defense counsel, 11 whether an objection was entered or an instruction requested, whether the defendant's failure to object to the testimony could have been the result of tactical consideration, 12 and whether, in light of all the evidence, the failure to give an instruction was harmless beyond a reasonable doubt. 13 15 Upon reviewing the record, we are firmly convinced that it presents no reversible error. Defense counsel's arguments to the jury and his references to Waldorf's criminal record 14 made it almost essential for the prosecution to bring out Waldorf's convictions on direct examination. Once Waldorf's background was injected into the case by defense counsel, his record could not be ignored by the Government. Nor could the Government have introduced all of Waldorf's convictions except the one which grew out of the scheme in question. To do so would have left the prosecution open to accusations of selective disclosure or misleading the jury. In this case the defense opened the door by first inviting the Government to introduce the evidence of Waldorf's plea, and then proceeding to bring out itself the evidence of Waldorf's plea. 15 In so doing, appellant waived his claim that the introduction of Waldorf's plea was erroneous, and cannot now be heard to seek reversal for want of an unrequested instruction. 16 Two factors reinforce our conclusion that no reversible error is here presented. First, even if Harrell and Davis confined us (though they do not) solely to examining the adequacy of cautionary instructions, the court's instruction was sufficient to avoid jury consideration of Waldorf's plea as relevant to King's guilt or innocence. Second, we do not believe the Government erred in bringing out Waldorf's plea as it did on direct examination under the facts of this case, where the testimony was restricted to informing the jury of a Government witness' prior criminal background. 17 A number of cases have held that when a party calls a witness with a criminal record, that record should be elicited on direct examination. 16 This has been held proper even when the witness' criminal record includes a conviction for or plea of guilty to the same charge for which the defendant is on trial. United States v. Freeman, 2 Cir., 1962, 302 F.2d 347, 350, cert. denied, 375 U.S. 958, 84 S.Ct. 448, 11 L.Ed.2d 316 (1963); Loraine v. United States, 9 Cir., 1968, 396 F.2d 335, 339, cert. denied, 393 U.S. 933, 89 S.Ct. 292, 21 L.Ed.2d 270. United States v. Rothman, 2 Cir., 1972, 463 F.2d 488, holds that where the prosecutor merely introduces the prior guilty plea of the witness on direct and neither stresses that plea nor intimates to the jury that the defendant's guilt can be inferred from the witness' guilty plea, the court's failure to give an unrequested cautionary instruction is not plain error. 463 F.2d at 490. We believe, as the court in Rothman indicated, that if the defense had requested a cautionary instruction, the trial court should have given it, but the failure to give such an instruction does not, of itself, constitute plain error where there is no request for an instruction. See United States v. King, 4 Cir., 1970, 420 F.2d 946, 947, cert. denied, 397 U.S. 1017, 90 S.Ct. 1253, 25 L.Ed.2d 432 (no plain error in failure to give unrequested cautionary instruction that codefendants' pleas of guilty were not to be considered as evidence of defendant's guilt); see also United States v. Kimbrew, 6 Cir., 1967, 380 F.2d 538, 540; Casados v. United States, 5 Cir., 1962, 300 F.2d 845, 848-849, cert. denied, 373 U.S. 938, 83 S.Ct. 1543, 10 L.Ed.2d 693 (1963). For all these reasons, we do not believe that plain error has been demonstrated, and reject King's first argument on appeal. 18