United States v. Klee

Decision Date01 May 1974
Docket NumberNo. 73-2741.,73-2741.
Citation494 F.2d 394
PartiesUNITED STATES of America, Plaintiff-Appellee, v. Oscar H. KLEE, Defendant-Appellant.
CourtU.S. Court of Appeals — Ninth Circuit

David J. Cooper (argued), Jonathan Newman, San Francisco, Cal., Joseph D. Allen, Ukiah, Cal., for defendant-appellant.

Martin A. Schainbaum, Asst. U.S. Atty. (argued), James L. Browning, Jr., U.S. Atty., San Francisco, Cal., for plaintiff-appellee.

Before KOELSCH and DUNIWAY, Circuit Judges, and THOMPSON,* District Judge.

OPINION

DUNIWAY, Circuit Judge:

Klee was found guilty by a jury under three counts of an indictment charging willful failure to file federal income tax returns for the years 1966, 1967, and 1968, in violation of 26 U.S.C. § 7203. On appeal he alleges that nine errors were committed during his trial. Most of them do not merit discussion.

1. Instruction defining "willfully."

Klee asserts that the trial court incorrectly instructed the jury on the meaning of the term "willfully" as used in 26 U.S.C. § 7203.1 He asserts that the jury should have been instructed that the term "willfully" requires the government to prove "an intent to defraud the government, or to conceal from the government facts relevant to a determination of the accused's tax liability." The law is to the contrary. United States v. Andros, 9 Cir., 1973, 484 F. 2d 531, 534. Klee attempts to rely upon United States v. Bishop, 1973, 412 U.S. 346, 93 S.Ct. 2008, 36 L.Ed.2d 941, yet nothing in that opinion undermines the validity of the instruction given by the trial judge here. The court's instruction is in substantial compliance with the Bishop Court's requirement. See 412 U.S. at 360-361, 93 S.Ct. 2008.

2. Juror Misconduct.

When the morning recess occurred during the selection of the jury, the court admonished the jurors:

"Don\'t discuss the case among yourselves, and don\'t allow anyone to approach you and address you concerning the case. Do not form or express any opinion on the case until it is finally submitted to you by the Court for your decision."

A similar admonition was given at the end of the first day of trial. Thereafter, when a recess was taken, the court usually reminded the jury of his admonition, without repeating it.

In support of a motion for a new trial, Klee presented an affidavit of one of the jurors which says that eleven of the fourteen jurors (including alternates) discussed the case during recesses and that nine of the jurors expressed premature opinions about Klee's guilt. If the affidavit is true, the jurors disregarded the court's admonition.

While we are aware that most judges give similar admonitions to juries, we have never had occasion to pass upon either the propriety of or the necessity for such an admonition. The circuits are not in agreement on the question. See, e. g., Winebrenner v. United States, 8 Cir., 1945, 147 F.2d 322; 23A C.J.S. Criminal Law § 1361 (1961). But cf. United States v. Carter, 10 Cir., 1970, 430 F.2d 1278, 1279; Rotolo v. United States, 5 Cir., 1968, 404 F.2d 316, 317; United States v. Viale, 2 Cir., 1963, 312 F.2d 595, 602. Judge Woodrough, dissenting in Winebrenner, supra, said:

"No normal honest Americans ever worked together in a common inquiry for any length of time with their mouths sealed up like automatons or oysters."

We think that there is a good deal in what he says. The important thing is not that jurors keep silent with each other about the case but that each juror keep an open mind until the case has been submitted to the jury. Be that as it may, we need not reach the problem of the propriety of the admonition here.

This is not a case that involves "any private communication, contact, or tampering, directly or indirectly, with a juror during a trial about the matter pending before the jury." Remmer v. United States, 1954, 347 U.S. 227, 229, 74 S.Ct. 450, 451, 98 L.Ed. 654, nor does it involve the influence of the press upon the jury. Silverthorne v. United States, 9 Cir., 1968, 400 F.2d 627.

What is involved here is the premature discussion among the jurors themselves about the case. Assuming that there was juror misconduct, it is still true that not every incident of juror misconduct requires a new trial. United States v. Goliday, 9 Cir., 1972, 468 F.2d 170, 171; United States v. Collier, 7 Cir., 1966, 362 F.2d 135, 137-138; United States v. Bando, 2 Cir., 1957, 244 F.2d 833, 848-849; Cavness v. United States, 9 Cir., 1951, 187 F.2d 719, 723. The test is whether or not the misconduct has prejudiced the defendant to the extent that he has not received a fair trial. Cavness v. United States, supra, 187 F.2d at 723.

The juror's affidavit here does not assert that any of the jurors relied upon any evidence outside of the record in reaching their verdict, nor does it assert that any of the jurors actually decided upon the defendant's guilt before the case was submitted to them. The trial judge carefully examined the affidavit's allegations and ruled that even if everything in the affidavit were true a new trial was not required. Though the judge expressed his disapproval of such juror conduct, he commented that "the question is whether such conduct prejudiced defendant's right to a fair trial by an impartial jury." He correctly observed that "the only genuine issue in dispute was defendant's state of mind. On this point the jury demonstrated its open-mindedness by requesting re-reading of the instructions on willfulness before bringing in its verdict." The trial judge therefore held that "under all these circumstances the Court finds that the affidavit does not present any questions which requires further inquiry and does not justify a new trial."

When a wise and experienced judge, who presided at the trial and observed the jury, comes to such a conclusion, it is not for us to upset it. The trial judge "was in a better position than we are to determine whether what happened was prejudicial." United States v. Goliday, supra, 468 F.2d at 172, cf. United States v. Noah, 9 Cir., 1973, 475 F.2d 688, 692. It was not error to deny the motion for a new trial.

3. Klee's motion to appear pro se and through counsel.

The denial of Klee's motion was not error. He had two competent counsel. He does not like the income tax law, or his obligation to file income tax returns. His obvious motive was to be able to spout his notions to the jury without having to take the witness stand. The constitution guarantees Klee the effective assistance of counsel; it does not give him absolute discretion to dictate the form of that representation. Klee does not assert that he was denied effective representation. What Klee wanted was equal status with his attorneys and full rights of participation at every stage of the proceedings. The trial court offered him the opportunity to participate at various stages of the trial but in...

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