Court Opinion

ID: 9484440
Source: CourtListenerOpinion
Date Created: 2023-08-05 09:53:47.692645+00
Date Added: 2024-06-11T17:50:15.010339
License: Public Domain

McKAY, Chief Judge,
dissenting:
I respectfully dissent. While I recognize that the trial court was faced with a difficult situation, and acted with commendable motives, I conclude that its statements regarding Ms. Scott’s testimony went further than is permitted under Webb v. Texas, 409 U.S. 95, 93 S.Ct. 351, 34 L.Ed.2d 330 (1972).1
I
Judges have a legitimate, interest in ensuring that all witnesses are aware of both the nature of the perjury laws and their Fifth Amendment right against self-incrimination, whether or not the witness is represented. See, e.g., United States v. Arthur, 949 F.2d 211, 215 (6th Cir.1991). Nevertheless, there is an inherent tension between this interest and the rights of the defendant under Webb. As the Seventh Circuit has stated in the context of prosecutors (rather than judges):
Situations [in which defense witnesses may expose themselves to prosecution] call upon prosecutors to walk a narrow path. On the one hand, Webb cautions that “[substantial government interference with a defense witness’ free and unhampered choice to testify violates due process.” United States v. Goodwin, 625 F.2d 693, 703 (5th Cir.1980). On the other hand, ethical duties require prosecutors to warn unrepresented witnesses of the risk that the testimony they are about to give may be used against them. United States v. Jackson, 935 F.2d 832, 846-47 (7th Cir.1991) (other citations omitted). I believe that judges must walk' the same narrow path.2
*684Because Webb does not, on its face, suggest a simple test for distinguishing proper concern from improper intimidation, I look to the decisions of other circuits since Webb to discern a pattern. On the one hand, they have established that merely informing the witness of her rights is not error. See Jackson, 935 F.2d at 847 (no error where the prosecutor, in the presence of the judge and defense attorneys, “simply presented [the witness] with the fact[]” that he was the target of an FBI investigation concerning possible subjects of his testimony); United States v. Harlin, 539 F.2d 679, 681 (9th Cir.) (a mere warning of the consequences of perjury does not violate Webb; a violation occurs only if the admonition is coercive and indicates the court’s expectation of perjury), cert. denied, 429 U.S. 942, 97 S.Ct. 362, 50 L.Ed.2d 313 (1976); United States v. Nunn, 525 F.2d 958, 960 (5th Cir.1976) (no error where the trial court .explained the perjury laws to a witness who claimed ignorance of them and who subsequently declined to testify); United States v. Gloria, 494 F.2d 477, 485 (5th Cir.) (no error where the judge and the prosecutor “merely advised [the witness] of the possibility of prosecution if his testimony materially differed from his prior plea”), cert. denied, 419 U.S. 995, 95 S.Ct. 306, 42 L.Ed.2d 267 (1974).
On the other hand, judges and prosecutors may not recommend a particular choice to the witness, see Arthur, 949 F.2d at 215-16 (district court may not “actively encourage[ ] a witness not to testify or badger[ ] a witness into remaining silent”; the lower court erred by telling the witness, “I think it’s not in your best interest to testify.”), or intimidate a witness with threats or statements that they expect perjury. See Anderson v. Warden, Maryland Penitentiary, 696 F.2d 296, 299 (4th Cir.1982) (en banc) (habeas granted where the state judge “openly and successfully pressed defendant’s two key witnesses to change their testimony”), cert. denied, 462 U.S. 1111, 103 S.Ct. 2463, 77 L.Ed.2d 1340 (1983); United States v. Morrison, 535 F.2d 223, 228 (3d Cir.1976) (reversal after the prosecutor repeatedly threatened a defense witness with perjury and drug charges if she testified); Berg v. Morris, 483 F.Supp. 179, 183-84 (E.D.Cal.1980) (habeas granted where state judge clearly indicated his disbelief of the witness’s testimony and threatened the witness with perjury charges and parole revocation). If judges and prosecutors do instruct a witness on his rights, they “can do no more than to advise the witness of the risks he may bring upon himself, presenting this advice in a manner calculated to engender informed and uncoerced decisionmaking on the part of the witness.” Jackson, 935 F.2d at 847.
The majority cites United States v. Simmons, 670 F.2d 365 (D.C.Cir.1982), for the proposition that courts have more leeway when they have reason to believe that the witness is lying. See Maj.Op. at 680-81; Simmons, 670 F.2d at 368. The dissent of Justice Blackmun, however, makes clear that the trial court in Webb may have had ample reason to believe that the witness was lying. See Webb, 409 U.S. at 99, 93 S.Ct. at 354 (Blackmun, J., dissenting). Nevertheless, the Supreme Court summarily reversed, id. at 98, 93 S.Ct at 353, without permitting either oral argument or inquiry on remand concerning the evidence of perjury, as Justice Blackmun suggested. Id. at 98-99, 93 *685S.Ct. at 353-54. Under Webb, then, a reason to believe the witness is lying is not relevant to the issue of constitutional error.
Against this backdrop, the parameters of the discretion of judges and prosecutors in Webb-type situations become more clear. Both judges and prosecutors have an entirely proper interest in ensuring that witnesses are fully aware of their rights and of the legal consequences of their testimony. Where, as in this case, the potential witness both is young and has a close relationship with the defendant, the court has particularly wide discretion in ensuring that the witness has made a truly informed decision, with full advice from competent counsel. Nevertheless, the decision to testify remains up to the witness, and the role of advisor rests with her counsel.
Trial courts are placed in a difficult position when a witness makes a decision to testify which, while fully informed, is also very likely to lead to some form of criminal liability. Despite the natural desire to dissuade the witness from a decision she might bitterly regret in the future, the court must not attempt to influence her decision. The court’s role is limited to being a neutral source of information — not of advice or advocacy. Its instructions must be calculated merely to inform — not to persuade, threaten, or coerce. Elaborations beyond that risk running afoul of Webb.
The record in this case clearly shows that the trial court went beyond these limits. Faced with a young woman who wished to contradict her trial testimony with an implausible story of coercion by an FBI agent, the court explicitly stated that it believed she would perjure herself in a lost cause. (See II R. at 14) (“[Hjere I am letting this young lady perjure herself, looking at ten years, all for nothing.”) While the court acted in good faith and with commendable motives, its desire to see Ms. Scott not testify as proffered was plain. On the face of its statements, it is apparent that the court was attempting to dissuade Ms. Scott from testifying. Webb does not permit such action, however well-intentioned.
The majority’s quotation of United States v. Blackwell, 694 F.2d 1325 (D.C.Cir.1982), Maj.Op. at 680-81, only underlines the Webb violation present in this case. The trial court in Blackwell, as shown by the quotation, merely inquired whether the witness was aware of her rights. At no time did the trial court in Blackwell suggests its own opinion as to whether the witness should testify. The trial court in this case went well beyond these limits, and openly sought to persúade the witness to change her mind.
In addition, I cannot agree with the suggestion in the special concurrence that Webb is not applicable in this post-conviction context. As an initial matter, Webb is about the fundamental right of a defendant to present witnesses on his behalf, which was enshrined in our Compulsory Process Clause. I am aware of no authority that stands for the proposition that a defendant has a lesser compulsory process right in a post-conviction proceeding. Further, while the special concurrence is correct in pointing out that a defendant seeking a new trial based on recanted testimony faces a formidable burden, that principle applies to the trial court’s ultimate weighing of the evidence — not to the dimensions of the defendant’s compulsory process rights. Finally, I cannot agree that the fact that the witness was represented by counsel militates against finding a Webb violation. Where the witness is represented, the trial court has less reason to fear that the witness will act in ignorance of the legal consequences of her testimony. Indeed, in this case the witness’s counsel assured the court that the witness had made a fully informed decision to testify. That should have been the end of the matter. I therefore conclude that the actions of the trial court constituted a prima facie violation of Webb.3
*686II
Having found a Webb violation in this instance, I turn to causation, i.e. whether there is “some plausible nexus between the challenged governmental conduct and the absence of certain testimony.” United States v. Hoffman, 832 F.2d 1299, 1303 (1st Cir.1987). This requirement exists because “had the witness been unwilling to testify in [defendant’s] behalf all along, the judge’s comments, though wrong, could not have been a causative factor.” Id. The majority argues that causation is not made out because the witness invoked her Fifth Amendment privilege two weeks after the initial hearing, before another judge. I cannot agree.
I believe that the First Circuit was correct in holding that to establish a Webb violation, there must be “some contested act or omission [which] (1) can be attributed to the sovereign and (2) causes the loss or erosion of testimony which is both (3) material to the case and (4) favorable to the accused.” Id. Based on the trial transcripts and the proffered affidavits, there can be no issue of (1), (3), or (4). I therefore focus on prong (2), whether the first district judge’s actions can fairly be said to have caused the witness to decide not to testify.
In Webb, as in this ease, the witness was actually in court and on the stand when the admonition was given. Webb, 409 U.S. at 95, 93 S.Ct. at 351. The Supreme Court stated, “The fact that [the witness] was willing to come to court to testify in the petitioner’s behalf, refusing to do so only after the judge’s lengthy and intimidating warning, strongly suggests that the judge’s comments were the cause of [the witness’s] refusal to testify.” Id. at 97, 93 S.Ct. at 353. Consequently, the Court summarily reversed without considering the issue of causation further. Id. at 98, 93 S.Ct. at 353.
The facts in this case in several ways are even more clear than in Webb. The witness was not only in court but had begun to testify. She had given two prior sworn statements in favor of the defense, as well as a taped interview, and her attorney represented that she had discussed the matter thoroughly with both her attorney and her family. While the subsequent refusal to testify was both at a later date and before a different judge, I do not view these distinctions as sufficient to distinguish Webb. The record contains no evidence suggesting that other intervening factors influenced the witness’s decision not to testify. Further, since the first district judge only partially recused himself from the case, any possible retrial might have found the witness testifying before him again.
The standard of causation in Webb cases is a light one. The conduct in question need only substantially interfere with the witness’s decision to testify. See United States v. Crawford, 707 F.2d 447, 449 (10th Cir.1983). Should that occur, there is no error only if “the witness [had] been unwilling to testify all along.” Hoffman, 832 F.2d at 1303. I therefore believe that, as a matter of law, there is a “plausible nexus between the challenged governmental conduct and the absence of [the] testimony.” Id. At a minimum, there is an issue of fact which requires a reversal and a remand for a hearing on the issue of causation.
I would reverse the judgment of the district court.

. I agree with the conclusion in part IV of the majority opinion that Defendant’s other claims of error are without merit.

. While Webb itself speaks only of judges, courts have looked to Webb in addressing witness intimidation by many different types of state actors. Thus, we applied Webb to prosecutors, see United States v. Crawford, 707 F.2d 447, 449 (10th Cir.1983), and have phrased the test as whether there is "substantial governmental interference with a defense witness’s decision to testify.” Id. (emphasis added). Other courts have jointly analyzed whether “[t]he conduct of the judge and *684the prosecutor [violated] Webb," United States v. Blackwell, 694 F.2d 1325, 1335 (D.C.Cir.1982), and have applied Webb and its progeny to such diverse state actors as FBI agents, United States v. Hammond, 598 F.2d 1008, 1012-13 (5th Cir.1979), IRS agents, United States v. Heller, 830 F.2d 150, 152, 154 (11th Cir.1987), prison officials, see United States v. Goodwin, 625 F.2d 693, 702-03 (5th Cir.1980) (directing the trial court, on remand, to investigate a possible due process violation resulting from prison officials intimidating inmate-witnesses), and even agents of a different sovereign, United States v. Smith, 577 F.Supp. 1232, 1235-36 (S.D.Ohio 1983) (intimidation by state police officer in a federal case).
There is no discernible difference in the standards applied to these different officials. Frequently, courts intermingle citations to cases involving judges, prosecutors, and other officials in the case law. See, e.g., Heller, 830 F.2d at 152; United States v. Risken, 788 F.2d 1361, 1370-71 (8th Cir.), cert. denied, 479 U.S. 923, 107 S.Ct. 329, 93 L.Ed.2d 302 (1986); Blackwell, 694 F.2d at 1333-34; Hammond, 598 F.2d at 1012. Thus, in determining whether the present record shows a Webb violation, I look beyond cases of judicial intimidation to precedent involving prosecutors and other government officials.

. Defendant’s counsel did not object to the court’s colloquy with Ms. Scott at the time it occurred, other than to point out the mistaken quotation of the perjury statute. Ordinarily this would require me to review only for plain error. The Supreme Court, however, has ruled that there is no need for a contemporaneous objection. "The suggestion that the petitioner or his counsel should have interrupted the judge in the middle of his remarks to object is, on this record, not a basis to ground a waiver of the petitioner’s rights.’’ Webb, 409 U.S. at 97, 93 S.Ct. at 353. The similarity of the facts of this case to those in *686Webb constrain me to reach the same conclusion here. Contra Blackwell, 694 F.2d at 1340.
This case is slightly more complex given the overlapping of the trial court’s decision to recuse itself and its admonitions to Ms. Scott. However, I am satisfied that the recusal did not actually take effect until the adjournment of the hearing, so the admonitions were delivered by the court in its official capacity.