Opinion ID: 592297
Heading Depth: 1
Heading Rank: 3

Heading: exclusion of defendant from the trial court's ex parte

Text: 8 INTERVIEW OF JUROR. 9 During defense counsel's closing argument, a juror became ill and had to be excused. Santiago initially objected to using the only alternate juror because during voir dire she allegedly had heard another prospective juror comment that the entrapment defense was ridiculous. Based on his concern that counsel's presence during an examination of the juror could be counterproductive, 4 the district judge denied Santiago's attorney's request to voir dire the alternate juror, but allowed the parties an opportunity to submit proposed questions. 10 The district judge then questioned the alternate juror on the record in his chambers outside the presence of the defendant and the attorneys. After satisfying himself that the juror could render an unbiased verdict, the judge allowed the juror to leave his chambers, invited the attorneys into chambers and had the court reporter read back to them his examination of the juror. Santiago's attorney then stated: 11 Your Honor, I'm inclined to say that the matter is resolved. However, I would ask--my client is aware of the situation and it's going to be my advice to him, frankly, that we should let it go, but I would like an opportunity to discuss it with him. 12 JUDGE: Oh, sure. Take a few minutes.... 13 COUNSEL: We're satisfied, Judge. (Tr. Vol. IV, p. 409). 14 On this appeal, Santiago argues that his exclusion from the trial judge's ex parte interview of the juror violated his rights under the Constitution and Fed.R.Crim.P. 43 to be present at all stages of the trial. 15 We first must determine the appropriate standard of review. We agree with the parties that whether a defendant has a right to be present at a particular stage of his or her trial is a legal issue subject to de novo review. See Larson v. Tansy, 911 F.2d 392, 394 (10th Cir.1990). Santiago maintains that, because he sufficiently objected to the procedure the district court used to interview the juror, our review whether any error was harmless also is plenary. His only objection at trial, however, was unrelated to the issue here appealed, and we do not equate counsel's denied request to be present during the examination as a contemporaneous objection to the procedure the trial court invoked or as an objection to his client's exclusion while the juror was questioned. See United States v. McDonald, 933 F.2d 1519, 1524 (10th Cir.), cert. denied, --- U.S. ----, 112 S.Ct. 270, 116 L.Ed.2d 222 (1991) (denial of motion for mistrial based on trial judge's ex parte contact with juror not equivalent to contemporaneous objection; plain error review applicable). We therefore review for plain error only. 5 However, we apply the plain error rule less rigidly when reviewing potential constitutional error. United States v. Jefferson, 925 F.2d 1242, 1254 (10th Cir.1991). 16 To a large extent, a defendant's constitutional right to be present at trial proceedings is rooted in the Confrontation Clause of the Sixth Amendment. United States v. Gagnon, 470 U.S. 522, 526, 105 S.Ct. 1482, 1484, 84 L.Ed.2d 486 (1985) (citing Illinois v. Allen, 397 U.S. 337, 90 S.Ct. 1057, 25 L.Ed.2d 353 (1970)). In proceedings not involving confrontation of witnesses or evidence offered against a defendant, however, he has a right under the Fifth Amendment Due Process Clause to be present whenever his presence has a relation, reasonably substantial, to the fullness of his opportunity to defend against the charge. Id. 470 U.S. at 526, 105 S.Ct. at 1484 (quoting Snyder v. Massachusetts, 291 U.S. 97, 105-06, 54 S.Ct. 330, 332, 78 L.Ed. 674 (1934)); Kentucky v. Stincer, 482 U.S. 730, 745, 107 S.Ct. 2658, 2667, 96 L.Ed.2d 631 (1987) (same). 17 A defendant does not have a constitutional right to be present at every interaction between the trial judge and a juror. Gagnon, 470 U.S. at 526, 105 S.Ct. at 1484 (citing Rushen v. Spain, 464 U.S. 114, 125-26, 104 S.Ct. 453, 459-60, 78 L.Ed.2d 267 (1983)). Nor does due process require the defendant's presence when [his or her] presence would be useless, or the benefit but a shadow. Stincer, 482 U.S. at 745, 107 S.Ct. at 2667 (quoting Snyder, 291 U.S. at 105-06, 54 S.Ct. at 332). Rather the constitutional right to be present exists  'to the extent that a fair and just hearing would be thwarted by his absence,'  and to that extent only. Id. (same). 18 In United States v. Bradshaw, 787 F.2d 1385, 1389 (10th Cir.1986), we concluded that, in determining how to handle allegations of juror bias, a district court is necessarily vested with broad discretion. We there observed: 19 An important part of the district judge's broad discretion centers on his response to allegations of juror bias or misconduct. For example, it is within the trial court's discretion to determine whether and when to hold an evidentiary hearing on such allegations. If the judge orders an investigative hearing, it is within his discretion to determine its extent and nature. Id. (quoting United States v. Hendrix, 549 F.2d 1225, 1227-28 (9th Cir.1977) cert. denied, 434 U.S. 818, 98 S.Ct. 58, 54 L.Ed.2d 74 (1977)). 20 We think it clear that Santiago's rights under the Fifth Amendment Due Process Clause were not violated by his exclusion from the trial judge's ex parte questioning of the juror on the record. It is the trial court's obligation to assure that juror bias has no effect on the outcome of the case. To the extent that the law in circumstances not here present requires it, or a trial judge invites it, parties or their counsel may assist the court in addressing allegations of juror bias. However, experience teaches that trial judges typically, and quite properly, act independently, at least initially, to investigate and address alleged juror bias or misconduct. 21 In the instant case, we find that the district judge's discussion, ex parte but on the record, with the juror was an appropriate exercise of his discretion and did not deprive the defendant of any constitutionally protected right. The presence of the appellant or his counsel was not required to ensure fundamental fairness or a reasonably substantial ... opportunity to defend against the charge. Snyder, 291 U.S. at 105-06, 54 S.Ct. at 332. As the record of the trial judge's brief interview with the juror demonstrates, Santiago could have done nothing had he been present, nor would he have gained anything by attending. His attorney was afforded the opportunity to submit questions for the judge to ask, was read the transcript of the examination and related the substance of it to his client. We further agree with the district court's view that the appellant's and his attorney's presence could have been counterproductive. In the circumstances of this case, due process was not violated by Santiago's exclusion from the judge's examination of the juror. 6 22 Nor do we find that the appellant was in any way prejudiced by his absence. Rule 43, Fed.R.Crim.P. requires that the defendant be present at every stage of the trial.... As we have stated, however, reversal based on a defendant's absence at a particular proceeding is not warranted if the record completely negatives any reasonable possibility of prejudice arising from such error. United States v. Jorgenson, 451 F.2d 516, 520-21 (10th Cir.1971) (quoting Jones v. United States, 299 F.2d 661, 662 (10th Cir.1962), cert. denied, 371 U.S. 931, 83 S.Ct. 294, 9 L.Ed.2d 239 (1962)). 23 Our holding in the particular circumstances of this case should not be read as a general endorsement of the practice of conducting judicial examinations of jurors for bias or misconduct without counsel and the parties present. There no doubt will be situations where fundamental fairness requires the presence of counsel and even their active participation in questioning the juror. There may even be cases where due process requires the presence of the defendant, although the possibility of juror intimidation would seem to render such instances rare in criminal cases. Nevertheless, it is clear that in the instant case the presence of the defendant and his counsel was not necessary and their absence did not deny the defendant due process. Any possible prejudice was obviated by the court reporter's reading the record of the entire juror interview to defense counsel who then related it to his client. Santiago himself was aware of the trial judge's procedure and neither he nor his counsel objected to it. Indeed, defense counsel at no time requested that his client be present during the juror's interview. After conferring with the defendant, defense counsel assured the trial judge that neither he nor his client had any objection to retaining the alternate juror. Accordingly, we find that no reversible error can be attributed to the defendant's absence while the judge questioned the juror. 24