Opinion ID: 397156
Heading Depth: 2
Heading Rank: 2

Heading: Allegation of a Contaminated Jury

Text: 66 In a tape-recorded conversation between Fisher and a government agent, Fisher, who was charged with bribing a juror, claimed that the bribed juror had discussed the case with other jurors. Fisher, in that recorded conversation, however, stated that the bribed juror had not mentioned the bribe to the other jurors. The trial court determined that no other jurors were affected or tainted. After the court held an evidentiary hearing on the alleged bribery of the juror, it discharged that juror. Additionally, when the court released the jurors from sequestration, it asked the jurors collectively whether they had discussed the case among themselves. They responded negatively. 67 Appellants accuse the court of selective belief, i. e., of believing Fisher's statement that a juror was bribed, but not believing his statement that the bribed juror had discussed the case with the other jurors. They also urge that the court committed reversible error by failing to voir dire the remaining jurors at the time the bribed juror was discharged. Appellants claim that the trial court's conclusion that no other jurors were tainted by the bribed juror is not supported by the record. The Government responds that given the extent to which the bribery plot was infiltrated by government agents it is beyond doubt that the other jurors were unaffected. 25 The Government also notes that the trial court twice asked the jurors whether they had discussed the case among themselves and that they responded negatively. 68 It is well settled in this Circuit that the procedure to be used in investigating incidents of jury tampering and the decisions whether to hold a hearing and whether to grant a mistrial rest in the sound discretion of the trial court. United States v. Buchanan, 633 F.2d 423, 427 (5th Cir. 1980), cert. denied, --- U.S. ----, 101 S.Ct. 1984, 68 L.Ed.2d 301 (1981); United States v. Chiantese, 582 F.2d 974, 978 (5th Cir. 1978), cert. denied, 441 U.S. 922, 99 S.Ct. 2030, 60 L.Ed.2d 395 (1979); United States v. Khoury, 539 F.2d 441, 443 (5th Cir. 1976), cert. denied, 429 U.S. 1040, 97 S.Ct. 739, 50 L.Ed.2d 752 (1977); Tillman v. United States, 406 F.2d 930, 937-38 (5th Cir.), vacated on other grounds, 395 U.S. 830, 89 S.Ct. 2143, 23 L.Ed.2d 742 (1969). The trial court retains such discretion even though this Court has required affirmative proof of the harmlessness of private communications outside the jury room. United States v. Khoury, supra, 539 F.2d at 443. 69 When juror misconduct concerns influences from outside sources, the complete failure of the trial court to hold a hearing constitutes an abuse of discretion and is reversible error because a presumption of prejudice arises when the trial court learns of such influences. United States v. Chiantese, supra, 582 F.2d at 979. Any off-the-record contact with a jury is presumptively prejudicial and the Government bears a heavy burden of proving that such a contact did not affect the jury; if the Government cannot meet this burden, a new trial is required. United States v. Forrest, 620 F.2d 446, 457 (5th Cir. 1980). 70 Significantly, this Court has not adopted a rigid per se rule automatically requiring the reversal of a conviction in cases concerning juror misconduct. See United States v. Betner, 489 F.2d 116, 119 (5th Cir. 1974). We do require that the trial court determine whether the jury misconduct occurred and whether or not it was clearly prejudicial. Id.; United States v. McKinney, 429 F.2d 1019, 1026 (5th Cir. 1970). 71 In United States v. Forrest, supra, 620 F.2d 446, a juror was contacted by a relative who sought to influence the juror in defendants' favor. The juror informed the court that no other jurors were aware of the tampering attempt. However, this Court reasoned that, because that juror would probably claim that she complied with the trial court's instructions to the jurors not to discuss the case among themselves, only the other jurors could be relied upon to state whether any of them had discussed the case with the tainted juror. Id. at 457. The Court was concerned about the serious questions of prejudice raised by the tampering and the possibility that the tainted juror had commented on the merits of the case in the presence of other jurors. 26 Id. 72 Stating that a party claiming that an improperly influenced jury returned a verdict against him must be given an opportunity to prove that claim, citing Remmer v. United States, 350 U.S. 377, 76 S.Ct. 425, 100 L.Ed. 435 (1956), 27 the Forrest Court remanded the case for a hearing to determine whether the other jurors knew about the tampering or whether any prejudicial material reached the jury. 620 F.2d at 458. The Court directed that on remand the trial court should question the jurors pursuant to the two-step test adopted in United States v. Herring, supra, 568 F.2d 1099. 28 Id. See United States v. Capo, supra, 595 F.2d 1086. The Court held that it could not conclude that a new trial was warranted, citing United States v. Allison, supra, 481 F.2d 468. A new trial would be required, stated the Court, only if it were determined on remand that the jury was contacted impermissibly and that the Government failed to satisfy its burden of proving the contact was not prejudicial. 620 F.2d at 459. The Forrest Court declined to affirm the convictions because the record was silent about what knowledge the other jurors may have had. 73 We have carefully studied the record and conclude that the district court committed no reversible error in the procedure used in determining that no other jurors were tainted. After holding a hearing in which it determined that a juror had been tampered with, the court discharged that juror. On that same day the jury began its one-week period of sequestration. Some counsel requested that the court voir dire the other jurors individually to determine the extent of their conversations with the juror who had been removed. However, the court decided to question the jurors collectively or generally because as the court observed it did not want to arouse the suspicions of the jurors about the reason for the removal of the discharged juror. The court stated that it did not want to create the impression that one juror had been removed because someone had contacted her about the case. 74 When the jury was released from sequestration, the court twice asked the jurors collectively whether they had discussed the case among themselves and each time they responded negatively. The court rejected Meinster's counsel's suggestion that the jurors be questioned individually. We conclude that the jurors' collective assurances that they had not discussed the case among themselves were adequate to negate the possibility of prejudice. Because the jurors were questioned by the court concerning their discussions inter se of the case, a remand for the purpose of questioning the jurors, as in United States v. Forrest, supra, is not required. IV. RECUSAL OF THE TRIAL JUDGE 75 Appellants allege that the trial judge's participation in ex parte proceedings with government attorneys, in which proceedings or meetings the judge was kept informed about a collateral government investigation into alleged plans of certain defendants to disrupt the trial, coupled with certain comments that he made during a mid-trial bond revocation hearing, demonstrated a bias against the defendants. Appellants urge that the judge should therefore have been disqualified from presiding at trial. They assert that the government engaged in overreaching in its collateral investigations of the alleged plans to disrupt the trial and that it impermissibly contacted the trial judge ex parte. They further complain that the trial judge improperly participated in those collateral investigations. 76 Appellants first complain about two episodes of ex parte contacts that occurred early in the proceedings. 29 In the first, pretrial episode government attorneys unconnected to the prosecutors in this case 30 disclosed to the trial judge that a government informant had learned through conversations with Platshorn and Meinster that they planned to obtain false passports and flee the country at the start of trial. The court was also told that the informant had learned that Platshorn and Meinster had plans to eliminate witnesses. The court revoked the appearance bonds of those two appellants. Government attorneys on a separate occasion contacted the trial judge and disclosed that a second government agent had learned from a conversation with Platshorn and Meinster that they had a plan to intimidate or eliminate witnesses. In response to these revelations the court ordered that electronic security screening devices be placed outside the courtroom. 31 77 Shortly after the bonds of Platshorn and Meinster were revoked, a full adversarial hearing on the revocation order was held. The court made detailed findings and determined that the bond revocations were justified. Meinster and Platshorn then moved for the judge's recusal on the ground that he had developed a personal bias against them as a result of the ex parte government revelations. The court denied the motion, stating that personal extrajudicial bias could not arise from the proper presentation of evidence in a motion for bond revocation. 78 The third episode of ex parte contacts concerned the alleged conspiracy to obstruct justice. 32 In early November, four weeks before the obstruction indictment was returned, Strike Force attorneys informed the trial judge in his chambers that certain defendants had plotted to disrupt the trial proceedings, intimidate witnesses, and attempt to kill the judge himself. 33 The Strike Force attorneys informed the court about the investigation of the obstruction conspiracy and the court told the attorneys that insofar as it was concerned the government could continue its investigation. 34 After the obstruction of justice indictment was returned on December 6, 1979, the court held a bond revocation hearing and revoked the bonds of Fisher, Grant and Myers, who were still free on bail. Appellants again unsuccessfully filed a motion seeking recusal of the trial judge. 79 Appellants contend that the trial judge allowed his partiality to be seriously questioned by receiving, in ex parte meetings with government attorneys, information concerning the government's collateral investigation of the alleged plots to disrupt the trial and, further, by sanctioning and participating in those investigations. Appellants maintain that, as a result of the trial judge's involvement in the investigation, an involvement which they claim demonstrated the judge's commingling of judicial and prosecutorial roles, the judge should have recused himself. 80 Appellants also charge that recusal of the trial judge was required because several of his comments from the bench demonstrated his bias and prejudice against the defendants. The judge, outside the presence of the jury, made several references to threats against his life and to the thorough security measures that were taken to protect him. 81 Appellants' attempts to obtain recusal of the trial judge were made pursuant to two statutes which govern recusal of federal district judges on the grounds of bias, prejudice, or lack of impartiality. 28 U.S.C.A. §§ 144 and 455. 35 In Davis v. Board of School Comm'rs of Mobile County, 517 F.2d 1044 (5th Cir. 1975), cert. denied, 425 U.S. 944, 96 S.Ct. 1685, 48 L.Ed.2d 188 (1976), this Court held that the purpose of both disqualification statutes is to guard against personal, extrajudicial bias or the appearance of partiality arising out of such bias. 82 Construing §§ 144 and 455 in pari materia we believe that the test is the same under both. We thus hold that an appellate court, in passing on questions of disqualification of the type here presented, should determine the disqualification on the basis of conduct which shows bias or prejudice or lack of impartiality ... (,) conduct extra-judicial in nature as distinguished from conduct within a judicial context. This means that we give §§ 144 and 455 the same meaning legally for these purposes, whether for purposes of bias and prejudice or when the impartiality of the judge might reasonably be questioned. 83 Id. at 1052, quoted in In re Corrugated Container Antitrust Litigation, 614 F.2d 958, 965 (5th Cir. 1980), cert. denied, 449 U.S. 888, 101 S.Ct. 244, 66 L.Ed.2d 114 (1980). 36 84 It is well settled that under either Section 144 or Section 455 an allegation of bias sufficient to require disqualification must demonstrate that the bias is personal as distinguished from judicial in nature. 37 The alleged bias and prejudice, in order to be personal and therefore disqualifying, must stem from an extrajudicial source and result in an opinion on the merits on some basis other than what the judge learned from his participation in the case. United States v. Grinnell Corp., 384 U.S. 563, 583, 86 S.Ct. 1698, 1710, 16 L.Ed.2d 778 (1966). 38 Thus, a motion for recusal may not ordinarily be predicated upon the judge's rulings in the same or a related case. 39 An exception to the general rule that the disqualifying bias must stem from extrajudicial sources is the situation in which such pervasive bias and prejudice is shown by otherwise judicial conduct as would constitute bias against a party. Davis v. Board of School Comm'rs, supra, 517 F.2d at 1051. 40 85 Appellants contend that the trial judge was improperly involved in the collateral investigation of the alleged plans to disrupt the trial. We conclude that the judge did not act improperly. The Strike Force attorneys contacted the trial judge in his capacity as presiding judge in those proceedings and the ex parte revelations made by those attorneys were made for two indisputably proper purposes. First, the information conveyed by the attorneys concerning plans by several defendants to disrupt the proceedings was necessary in order to enable the judge to perform his continuing duty to conduct an orderly trial and to take appropriate measures designed to protect the participants therein. Second, the information concerning the plans of certain defendants to flee from the country was highly relevant to the court's determination on bond revocation. In United States v. Jackson, 430 F.2d 1113 (9th Cir. 1970), the court held that ex parte communication of information concerning threats to witnesses was not a basis for disqualification: 86 The trial judge was informed of the alleged threats to witnesses during his participation in the case because he was presiding over the criminal proceedings lodged against appellants. The fact that the trial judge issued an order revoking appellants' bail bonds is not a disqualifying fact under these circumstances. United States v. Grinnell Corp., 384 U.S. 563, 86 S.Ct. 1698, 16 L.Ed.2d 778 (1966). Nor is the fact that the trial judge so acted after receiving information from the United States Attorney not made known to appellants in open court. 87 Id. at 1115 (citation and footnote omitted). 88 The trial court in this case was not impermissibly involved in the government's investigation. Although the court was advised that such an investigation was being undertaken, it did not direct the investigation. 41 Government investigations of possible efforts by criminal defendants to disrupt the judicial proceedings are proper. See Hoffa v. United States, 385 U.S. 293, 87 S.Ct. 408, 17 L.Ed.2d 374 (1966); see also Osborn v. United States, 385 U.S. 323, 87 S.Ct. 429, 17 L.Ed.2d 394 (1966) (judicial approval of use of government informant equipped with concealed recording device to investigate misconduct of defense attorney held constitutional). 89 We turn next to appellants' contention that several comments of the trial judge reflected his personal bias. 42 Meinster stresses that the judge indiscriminately referred to the defendants as attempting to disrupt the trial and destroy the integrity of the jury, without distinguishing between the particular charges against particular defendants. However, the record reveals that the trial judge had been informed, from extensive tape recordings and testimony, of numerous statements made by defendants Myers, Grant, Fisher and Platshorn's wife to government informants that they had plans to disrupt the trial. 43 90 The comments made by the trial judge had a judicial, rather than a personal, origin. In United States v. Archbold-Newball, supra, 554 F.2d at 681-82, this Court held that a trial judge's statement at a bond revocation hearing, based on knowledge acquired in three prior trials, that these three individuals were members of a conspiracy that I can only describe as a large-scale conspiracy composed of the most vicious individuals that this court has ever seen was neither personal nor extrajudicial. The comments of the trial judge in the present case were based on information learned in ancillary proceedings which were inseparable from this case, i. e., ex parte meetings in which the judge was warned of threats to disrupt the proceedings and, allegedly, to kill him. The mere fact that some of the remarks made by the judge were not necessary for the resolution of the matter entertained at the hearing at which they were uttered does not convert them into expressions of personal bias. 91 Furthermore, the comments, which were made in a judicial setting and did not stem from an extrajudicial source, do not reflect the pervasive bias and prejudice that must be shown in order for a judge to be disqualified for remarks or behavior which takes place in a judicial context. Phillips v. Joint Legislative Comm., supra, 637 F.2d at 1020 n.7; In re Corrugated Container Antitrust Litigation, supra, 614 F.2d at 965; Whitehurst v. Wright, supra, 592 F.2d at 838; Davis v. Board of School Comm'rs, supra, 517 F.2d at 1051.