Petition — Hendrix v. United States
Supreme Court brief1977
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76°1468 |.~ Fick
No. APR 9° 19ST!
AK, JR., CLERK
pat
in The Supreme Court of The United States
Ap?il Term, 1977
JOHN F. HENDRIX, SR..,
Petitioner,
vs.
UNITED STATES OF AMERICA,
Respondent.
PETITION FOR WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
Herman A. Hauslein
Charter Oil Building
110 W. “C’’ Street, Suite 700
San Diego, California 92101
Attorney for Petitioner
SUBJECT INDEX
CITATION TO OPINION BELOW
JURISDICTION
QUESTIONS PRESENTED
CONSTITUTIONAL PROVISIONS
AND RULES OF COURT INVOLVED
STATEMENT OF THE CASE
STATEMENT OF FACTS
REASONS FOR GRANTING THE
WRIT
CONCLUSION
CERTIFICATE OF SERVICE
APPENDIX "A” -~-OPINION, NINTH
CIRCUIT COURT OF APPEALS
13-26
CITATIONS
Cases:
Remmer v. United States, 347
U.S. 227 (1954)
United States v. Klee, 494
United States v. McKinney, 429
wF-2a IOIS (5th Cir. 1970)
Statutes:
Title 8, U.S.C. §1324
Title 8, U.S.C. §1324(a) (1)
Title 8, U.S.C. §1324(a) (2)
Title 8, U.S.C. §1324(a) (4)
Title 18, U.S.C. §371
Title 28, U.S.C. §1254(1)
Constitution:
United States Constitution,
Fifth Amendment
United States Constitution,
Sixth Amendment
Rules:
Federal Rules of Criminal Pro-
cedure, Rule 33
ii.
2,10,11
10
2,9,11
IN THE SUPREME COURT OF THE UNITED STATES
April Term, 1977
No.
JOHN F. HENDRIX, SR.,
Petitioner,
vs.
UNITED STATES OF AMERICA,
Respondent.
PETITION FOR WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
POR THE NINTH CIRCUIT
JOHN F. HENDRIX, SR., pravs that a
Writ of Certiorari issue to review the
Opinion of the United States Court of
Appeals for the Ninth Circuit entered in
the above case on January 17, 1977.
CITATION TO OPINION BELOW
The Opinion of the Court of Appeals
of January 17, 1977, is not reported at
this date, but is set forth verbatim in
Appendix "A" of this Petition.
l.
JURISDICTION
On January 17, 1977, the Court of
Appeals for the Ninth Circuit entered
judgment affirming the criminal conviction
of Petitioner of one count of conspiracy
to induce, smuggle, and transport aliens,
in violation of 18 U.S.C. §371 and 8 U.S.C.
§1324, and six counts of illegal transpor-
tation of aliens in violation of 8 U.S.C.
§1324(a)(2). The jurisdiction of this
Court is invoked under Title 28, U.S.C.,
§1254(1), and Rules 19(b) and 22(2) of
the Rules Of The Supreme Court.
QUESTIONS PRESENTED
Whether Petitioner's Fifth Amendment
and Sixth Amendment rights were violated
by the refusal of the trial court to con-
duct an investigation and to hold an
evidentiary hearing before denying Pet-
itioner's Motion For New Trial based upon
a pre-existing bias toward conviction of
criminal defendants by one of the jurors
in Petitioner's case.
Resolution of the conflict between
the decision rendered by the Ninth Circuit
in Petitioner's case and the decision ren-
dered by the Fifth Circuit in United States
Vv. Mokaney : 429 F.2d 1019 (1970), with
e decision rendered by this Court in
Remmer v. United States, 347 U.S. 227.
a
——— ee
CONSTITUTIONAL PROVISIONS AND
RULES OF COURT INVOLVED
Amendment Five of the Constitution
of the United States:
“No person shall be held to answer
for a capital, or otherwise infam-
ous crime, unless on a presentment or
indictment of a Grand Jury, except
in cases arising in the land or
naval forces, or in the Militia,
when in actual service in time of
War or public danger; nor shall
any person be subject for the same
offense to be twice put in jeopardy
of life or limb; nor shall be com-
pelled in any criminal case to be
a witness against himself, nor be
deprived of life, liberty, or prop-
erty without due process of law;
nor shall private property be taken
for public use, without just compen-
sation.
Amendment Six of the Constitution
of the United States:
“In all criminal prosecutions, the
accused shall enjoy the right to
a speedy trial, by an impartial
jury of the State and district
wherein the crime shall have been
committed, which district shall
have been previously ascertained
by law, and to be informed of the
nature and cause of the accusation;
to be confronted with the witnesses
against him; to have compulsory
process for obtaining witnesses
in his favor; and to have the
assistance of counsel for his
defense.
Rule 33 of the Federal Rules of
Criminal Procedure--New Trial:
"The court on motion of a defendant
may grant a new trial to him if
required in the interest of justice.
If trial was by the court without
a jury the court on motion of a
defendant for a new trial may vacate
the judgment if entered, take addi-
tional testimony and direct the
entry of a new judgment. A motion
for a new trial based on the ground
of newly discovered evidence may
be made only before or within two
years after final judgment, but if
an appeal is pending the court may
grant the motion only on remand of
the case. A motion for a new
trial based on any other grounds
shall be made within 7 days after
verdict or finding of guilty or
within such further time as the
court may fix during the 7 day
period.”
STATEMENT OF THE CASE
On August 27, 1975, an indictment
was filed in the United States District
Court for the Southern District of
California against the Petitioner, JOHN
F. HENDRIX, SR., and co-defendant, FELIPE
LUIS-JIMENEZ, and others unknown, char-
ging Petitioner with one count of con-
spiring to induce, smuggle, and trans-
port aliens in violation of Title 18,
U.S.C §371 and Title 8, U.S.C. §1324,
four counts of inducing illegal entry
of aliens in violation of Title 8, U.S.C.
§1324(a) (4), four counts of smuggling
aliens in violation of Title 8, U.S.C.
§1324(a) (1), and six counts of transpor-
—
ting aliens in violation of Title 8,
U.S.C. §1324(a) (2).
Pursuant to the indictment of con-
spriing to induce, smuggle, and transport
aliens, in violation of Title 18, U.S.C.
§371 and Title 8, U.S.C. §1324, an overt
act was alleged as follows:
"On or about August 19, 1975,
defendant, JOHN F. HENDRIX, SR.
drove a vehicle in the Southern
District of California."
On November 18 and 19, 1975,
defendant was tried before the Honorable
Leland C. Nielsen and a jury. On Novem-
ber 20, 1975, the jury returned a verdict
in the Petitioner's case of Guilty of
violation of one count of Title 16, U.S.C.
§371 and Title 8, U.S.C. §1324, Not
Guilty of violation of four counts of
Title 8, U.S.C. §1324(a) (4), Not Guilty
of violation of four counts of Title 8,
U.S.C. §1324(a) (1), and Guilty of viola-
tion of six counts of violation of Title
8, U.S.C. §1324(a) (2).
On November 25, 1975, pursuant to
Rule 33 of the Federal Rules of Criminal
Procedure, counsel for Petitioner filed
Notice Of Motion And Motion For New Trial
with supporting Affidavits and Memorandum
Of Points And Authorities on behalf of
the Petitioner, based upon statements
made by one of the jurors indicating a
bias in favor of conviction of defendants
in criminal cases and a dissatisfaction
with the decisions of the Judges of the
United States District Court in criminal
cases. The Government filed no pleadings
of any nature in response to the Motion,
5.
and on December 8, 1975, the Motion was
heard and denied by the Court without
conducting any investigation or eviden-
tiary hearing (R. 127-137). (All page
references designated with an R. are to
the Clerk's Record dated April 30, 1976.)
The matter was referred to the
Probation Department for a pre-sentence
investigation, and on January 5, 1976,
THOMPSON, initiated a conversation with
MRS. HENDRIX and MRS KING, and inquired
if MRS. HENDRIX and MRS.KING were members
of the jury panel. MRS. HENDRIX replied
that she was not a member of the panel,
that her husband was a defendant today.
MRS. KING replied that she was not a
member of the panel, that her son-in-
law was a defendant today. DONNIS J.
THOMPSON then made the following state-
Petitioner was sentenced to pay a fine | ment to MRS. HENDRIX and MRS. KING
of $1,500.00 ($250.00 fine on each count
of violation of Title 8, U.S.C. §1324(a)
(2)) and imposition of sentence was
suspended and the Petitioner was placed
on probation for three years for viola-
"Well, I really shouldn't be
| serving today because my husband
is on vacation, and he asked me
tion of Title 18, U.S.C. §371 and Title to get excused so I can join him,
8, U.S.C. §1324. because I have served on jury duty
several times. But we just had
a case where a police woman was
tried for selling narcotics and
that damn Judge let her go. And
she was absolutely guilty. And
I am here to see that they put
some of these people away. These
Judges are absolutely too lenient
and they are letting too many
people run around.”
Notice of Appeal was timely filed
on January 5, 1976. The Appeal was
argued before the United States Court of
Appeals for the Ninth Circuit and on
January 17, 1977, the Court of Appeals
affirmed the decision of the District
Court. See Appendix "A", infra.
On March 28, 1977, the Court of
Appeals entered its order denying Peti-
tioner's Request For Rehearing and this
Petition follows:
Thereafter, shortly after 9:00 A.M.,
court convened and DONNIS J. THOMPSON
was selected and sworn as one of the
jurors in Mr. Hendrix's case.
STATEMENT OF FACTS
On November 18, 1975, at the con-
clusion of the first day of the trial of
Mr. Hendrix's case, at approximately
4:30 P.M., Mrs. Hendrix and Mrs. King
informed Mr. Hendrix's counsel of the
statements made to them by juror, Donnis
J. Thompson at approximately 9:00 A.M.
that morning.
The Petitioner, JOHN F. HENDRIX, SR.,
appeared for trial on November 18, 1975
accompanied by his wife, COLLEEN JOY '
HENDRIX, and his mother-in-law, GLADYS M. |
KING. At approximately 9:00 A.M., prior
to the commencement of court, one of the
members of the jury panel, DONNIS J. |
|
On November 19, 1975, prior to the
commencement of the second day of trial,
Mr. Hendrix's counsel informed the court
of the statements made by juror Donnis
J. Thompson to Mrs. Hendrix and Mrs. King
and requested the court to conduct an
investigation to determine if the juror
should be replaced. The court informed
Mr. Hendrix's counsel that there were no
alternates and rejected counsel's request
for the court to conduct an investigation
or to allow Mrs. Hendrix to state for the
record at that time the statements made
to her by the juror and restricted counsel's
request,to have the court determine any
bias or prejudice on the part of the juror,
to the filing of an Affidavit by Mrs.
Hendrix (T. 179-180). (All page refer-
ences designated with a T. are to the
Reporter's Transcript dated November 18, |
1975.)
Thereafter, on November 25, 1975,
the Petitioner timely filed a Notice Of
Motion And Motion For New Trial with
Affidavits of Mrs. Hendrix and Mrs. King
and a Memorandum Of Points And Authori-
ties In Support thereof.
The Government filed no pleadings of
any nature in response to the Motion and
on December 8, 1975, the Motion was heard
and denied by the United States District
Court without an investigation or eviden-
tiary hearing in the mitter
REASONS FOR GRANTING THE WRIT
The decision rendered by the Ninth
Circuit, in its Opinion entered January 17,
1977, is in conflict with the decision
rendered by the United States Court of
Appeals for the Fifth Circuit in United
States v. McKinney, 429 F.2d at 1025-26
(5th Cir. 1970), regarding the duty of
the trial judge to conduct a full investi-
gation to ascertain whether the alleged
jury misconduct actually occurred, and if
it occurred, to determine whether or not
it was prejudicial.
The Ninth Circuit, in its Opinion,
at Footnote 2, sets forth the rules adop-
ted by the Fifth Circuit in United States
v. McKinney, supra as follows:
"When jury misconduct is alleged
in the defendant's notion tar nae
trial, the trial judge has a duty
to take the following actions:
he must conduct a full investigation
to ascertain whether the alleged
jury misconduct actually occurred;
if it occurred, he must determine
whether or not it was prejudicial;
unless he concludes that it was
clearly not prejudicial, he must
grant the motion for new trial;
if he concludes that it did not
occur or that it was clearly not
prejudicial, he must spell out
his findings with adequate speci-
ficity for meaningful appellate
review.
Id. at 1026 (emphasis added) ."
The Ninth Circuit refused to follow
the rules adopted by the Fifth Circuit
regarding the duty of the trial judge to
conduct a full investigation to ascertain
whether the alleged jury misconduct actual-
ly occurred, and if it occurred, whether
or not it was prejudicial. At Footnote
9.
3, the Ninth Circuit states:
"We decline to adopt the McKinney
rules to the extent that they de-
prive the trial court of its
discretion and flexibility to
respond to a broad range of alle-
gations of juror misconduct and
bias. We believe that a trial
court, in responding to such
charges, should be able to
discriminate on the basis of
their content, their source, and
the nature of the alleged mis-
conduct. Indeed, when we recently
reviewed a trial court's response
to allegations of juror misconduct,
we emphasized that not all types of
misconduct carry the same risk of
prejudice to the parties. United
States v. Klee, supra, 494 F.2d at
396."
The failure of the Ninth Circuit to
require any investigation or evidentiary
hearing by the trial court, upon Mr.
Hendrix's Motion For New Trial, is a
denial to Mr. Hendrix of his Constitutional
rights of due process of law and an impar-
tial jury guaranteed by the Fifth and
Sixth Amendments of the Constitution of
the United States.
The decision rendered by the Ninth
Circuit in Mr. Hendrix's case is in con-
flict with the decision of this Court in
Remmer v. United States, 347 U.S. 227
(1954). In Remmer, this Court sets forth
the rule that the trial court should not
decide and take final action ex parte
upon a defendant's motion for new trial
alleging juror misconduct, but should
10.
determine the circumstances in a hearing
with all interested parties permitted to
participate. The failure of the trial
court to conduct any investigation or to
hold an evidentiary hearing was tantamount
to an ex parte determination of Mr.
Hendrix's Motion For New Trial, even
though the Order Denying Motion For New
Trial was made on December 8, 1975 at
a “hearing” on Mr. Hendrix's Motion.
(R. 137)
The brief submitted by Petitioner on
appeal to the Ninth Circuit contains an
exhaustive analysis of the decisions
rendered by the Circuit Courts inter-
preting Remmer v. United States. Addi-
tional legal discussion here is super-
fluous. The conflict between the decision
rendered by the Ninth Circuit in Petition-
er's case, where the trial court conduc-
ted no investigation and permitted no
evidentiary hearing, and the rules
adopted by the Fifth Circuit in McKinney
where it is mandatory upon the trial court
to conduct a full investigation to ascer-
tain whether alleged jury misconduct
occurred, is a denial of the Constitu-
tional rights of due process of law
and to an impartial jury by one Circuit
Court of Appeals and the absolute guar-
antee of those rights by the other Cir-
cuit Court of Appeals.
It is important that this Court
resolve the conflict between the Ninth
Circuit and the Fifth Circuit and the
rules of this Court in Remmer v. United
States and thereby rectify the clear
injustice that has prevented Petitioner
from obtaining his right to a trial
by an impartial jury.
ll.
CONCLUSION
For the foregoing reasons, this
Petition for Writ of Certiorari should
be granted to review the decision of the
United States Court of Appeals for the
Ninth Circuit in this case and to decide f
the questions presented herein.
Respectfully submitted,
Dated: Apr.20,1977 Ypmanl
/
HERMAN A. HAUSLEIN
Attorney for Petitioner
CERTIFICATE OF SERVICE
I hereby certify that three true
copies of the foregoing Petition were
mailed, postage prepaid, to the Office
of the Solicitor General of the United
States this 2lst day of April, 1977.
Morrnaull Hascrbern
HERMAN A. HAUSLEIN
12.
APPENDIX “A”
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
United States of America,
Plaintiff-Appellee,
vs.
John F. Hendrix, Sr.
Defendant-Appellant.
~—S ~_— ~~ rr IT TOT WM” i Trr hl Trl
NO. 76-1090 OPINION
(January 17, 1977]
Appeal from the United States District
Court
for the Southern District of California
Before: DUNIWAY, CARTER and WALLACE
Circuit Judges
WALLACE, Circuit Judge:
Hendrix appeals his conviction, after
a jury trial, of one count of conspiracy
to induce, smuggle and transport illegal
aliens in violation of 18 U.S. §371 and
8 U.S.C. §1324 and six counts of trans-
portation of illegal aliens in violation
of 8 U.S.C. §1324(a)(2). Hendrix raises
ll alleged errors, the most substantial
of which is that he was denied his Sixth
Amendment right to trial by an impartial
jury because one of the jurors was biased.
We affirm.
13.
Hendrix's two-day trial occurred on
November 18 and 19,, 1975. Prospective
jurors were examined and those chosen
for the panel were sworn during the
morning of November 18. When court
recessed that afternoon, the wife and
mother-in-law of Hendrix informed his
counsel that during the morning, prior
to the selection of the jury, Mrs.
Thompson, who was subsequently chosen
as a juror, allegedly made statements
revealing a bias against and a pre-
disposition to convict criminal defend-
ants. Before the trial recommenced on
the 19th, Hendrix's counsel informed the
court of Mrs. Thompson's alleged bias
and requested an investigation to deter-
mine if she should be removed from the
jury panel. The district judge denied
the request and directed counsel to file
affidavits.
Within a week after the conclusion
of the trial, affidavits of Mrs. Hendrix
and her mother were filed. Both stated
that Mrs. Thompson, on the morning of
November 18, made the following comment:
"Well, I really shouldn't be
serving here today because my
husband is on vacation, and he
asked me to get excused so I
could join him, because I have
served on jury duty several times.
But we just had a case where a
policewoman was tried for sell-
ing narcotics and the damn Judge
let her go. And she was absolu-
tely guilty. And I am here to
see that they put some of these
people away. These Judges are
absolutely too lenient and they
14.
are letting too many people run
around,
Approximately two weeks after the
affidavits were filed, the district court
heard arguments on Hendrix' motion for a
new trial based on the allegations. The
court determined that Mrs. Thompson's
comments were made before she was ques-
tioned under oath as a prospective juror,
during which time she stated “that she
wasn't prejudiced.” The court then
reviewed the affidavits, found them to
contain inadequate grounds for a new
trial and denied Hendrix’ motion.
The facts present two conceptually
distinct issues. First, did the district
judge commit reversible error in the
procedure he followed in responding to
the allegations of juror bias? Second,
as a matter of law, did the court incor-
rectly conclude that any bias, if present,
was nonprejudicial?
I.
It cannot be gainsaid that a fair
system for the administration of justice
must include the guarantee of “an impar-
tial jury” for the criminally accused.
U.S. Const. amend, VI. See generally
She rd v. Maxwell, 384 U.S. 333 (1966);
Irvin v. Dowd, 366 U.S. 717 (1961); Stone
Vv. United States, 113 F.2d 70, 77 (6t
ze. . If only one juror is unduly
biased or prejudiced or improperly influ-
enced, the criminal defendant is denied
his Sixth Amendment right to an impartial
panel. E.g., Tillman v. United States,
406 F.2d 930, 937 (5th Cir.), vacated on
other grounds, 395 U.S. 830 (1969); Stone
15.
v. United States, supra, 113 F.2d at 77.
The trial judge has both a great respon-
sibility and a wide discretion to give
meaning to this guarantee. E.a., Nebraska
Press Ass'n. v. Stuart, U.S. , 44
ee , : om cs (June 30, 1976);
. xwell, supra, 384 U.S. at
JeRes; United States v. Doe, 513 F.2d
709 (lst Cir. 1975); Tillman v. United
States, supra, 406 F.2d at 937; United
States v. ler, 381 F.2d 529, 539 (2a
Cir. 1967), cert denied, 392 U.S. 929
(1968); United States v. Flynn, 216 F.2d
354, 372 (2d. Cir, 195d), cert. denied,
348 U.S. 909 (1955).
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. See United States v.
Doe, supe. 513 F.2d at 712; Tillman v.
Unit tates, supra, 406 F.2d at 938.]/
asi l/ — by the Supreme Court in
e v. Hunter could be read as permittin
a trial judge no discretion in Gheenniaios
how to deal with allegation of juror
misconduct or bias:
And there have been instances where
a trial judge has discovered facts
during a trial which indicated that
one or more members of a jury might
be biased against the gavenaens”
or the defendant. It is settled
that the duty of the judge in this
event is to discharge the jury and
16.
direct a retrial.
Wade v. Hunter, 336 U.S. 684, 689 (1949)
(emphasis added; footnote omitted). Never~
theless, after carefully examining this
case and the development of the law
since it was decided, we are convinced
that the quoted language was not intended
as a limitation on a trial court's broad
discretion to deal with allegations of
jury misconduct.
First, Wade v. Hunter was concerned
with the scope and effect of the Double
Jeopardy Clause, particularly in the
context of a military court-martial.
The quoted language comes in a paragraph
listing the many ways in which a trial
might end prior to a verdict without
constituting former jeopardy. The Court
itself stated the purpose for making that
list:
What has been said is enough to show
that a defendant's valued right to
have his trial completed by a par-
ticular tribunal must in some
instances be subordinated to the
public's interest in fair trials
designed to end in just judgments.
Id. at 689.
The Court then stated that whether
"justice required that a particular
trial be discontinued is a question
that should be decided by persors
conversant with factors relevant to
the determination." Id. This requires
reliance on the trial court's “sound
discretion" and “conscientious exercise
of {its) discretion.” Id. at 690,
quoting United States v. Perez, 22 U.S.
(9 Wheat.) 579 (1824). The case read
in its entirety, therefore, indicates
no intention to limit a trial court's
discretion regarding threatment of alle-
gations of juror bias. On the contrary,
17.
that discretion is reemphasized.
Ban ——s a years since Wade v.
unter was ecided, the discretion of
the trial judge to deal with this kind
of problem has been repeatedly acknow-
ledged. E.g., United States v. Shanane
517 F.2d 1173 (8th Cir.), cert denied,
423 U.S. 893 (1975); United States ve.
Doe, 513 F.2d 709 (lst Cir. 1975);
Tillman v. United States, supra, 406 F.2d
at 937; United States v. Miller, supra
381 F.2d at 539; United States v. Flynn
supra, 216 F.2d at 372; cf. Richardson
vegupited States, 360 F.2d 366 (5th Cir.
As a matter of common sense, a trial }j
in making these decisions will aeoaneaeaie
be directed by the content of the alle-
gations, including the seriousness of
the alleged misconduct or bias, and the
an of the source. See United
ates v. McKinney, 429 F.2d 1019, 103
(Sth Cir. 1970) (Goodbold, J., aseskinal
cert. denied, 401 U.S. 922 (1971) 2,
2/ Although it had previous]
acknowledged the trial ohena*s +,
in dealing with allegation of juror mis-
conduct, see Tillman V. United States,
supra, 406 F.2d 937-38, the Fifth Circuit
in United States v. McKinney, supra, 429
F.2d at 1025-26, imposed rather rigid
rules on the trial court:
(W] hen jury misconduct is alleged
in the defendant's motion for
new trial, the trial judge has a
duty to take the following actions:
he must conduct a full investigation
to ascer cain whether the alleged
jury misconduct actually occurred;
18.
a a ne
2
if it occurred, he must determine
whether or not it was prejudicial;
unless he concludes that it was
clearly not prejudicial, he must
grant the motion for new trial; if
he concludes that it did not occur
or that it was clearly not preju-
dicial, he must spell out his fin-
dings with adequate specificity
for meaningful appellate review.
Id. at 206 (emphasis added)
Judge Godbold dissented, arguing
that the trial judge should be given
some leeway in responding to allegations
of juror misconduct. Id. at 1031-33.
He objected to binding the trial judge
“to respond in Pavlovian fashion." Id.
at 1031. In particular, he argued that
in determining whether and how to
investigate allegations, the trial judge
should be permitted to discriminate between
allegations on the basis of their source
(whether a “courthouse rumor, a report
from a court official, an affidavit of
a juror, [or] a sworn motion") and their
content. Id. at 1031-32.
Recently, the First Circuit expressly
adopted the McKinney rules, but in doing
so, it emasculated the "full hearing”
requirement by reemphasizing the trial
court's discretion "to determine the
extent and type of investigation.”
United States v. Doe, supra, 513 F.2d
at 7ll-1>. it also softened the "“ade-
quate specific findings" requirement by
stating that:
We would add that our interest is
more in substance than in form;
curative action taken by the trial
judge and reflected in the record
if it provides an adequate basis
for review will not be deemed in-
19.
sufficient because of the absence
of formal findings.
Id.at 712 n.3.
~ We decline to adopt the McKinney
rules to the extent that they deprive
the trial court of its discretion and
flexibility to respond to a broad range
of allegationsof juror misconduct and
bias. We believe that a trial court,
in responding to such charges, should
be able to discriminate on the basis
of their content, their source, and the
nature of the alleged misconduct. In-
deed, when we recently reviewed a trial
court's response toallegations of juror
misconduct, we emphasized that not all
types of misconduct carry the same risk
of prejudice to the parties. United
States v. Klee, supra, 494 F.2d at 396.
If an evidentiary hearing is held,
it has two purposes. The first is to
determine the truthfulness of the allega-
tions of juror misconduct or prejudice.
If the allegations are found to be true,
the inquiry does not end there, however,
because not every incident of juror mis-
conduct or bias requires a new trial.
United States v. Klee, 494 F.2d 394, 396
(9th Cir.), cert. denied, 419 U.S. 835
(1974); Cavness v. United States, 187 F.2d
719, 723 (9th Cir.), cert. denied, 341
U.S. 951 (1951); see United States v.
Shahane, 517 F.2d 1173 (8th Cir.), cert.
denied, 423 U.S. 893 (1975); United States
v. Goliday, 468 F.2d 170, 171-72 (9th
Cir.), cert. denied, 410 U.S. 934 (1973).
The court must determine if the bias or
prejudice amounted to a deprivation of
Fifth Amendment (due process) or Sixth
Amendment (impartial jury) guarantees.
"The test is whether or not the miscon-
<< <2 = come «
*
Re eee ee
-
: ee
duct has prejudiced the defendant to
the extent that he has not received a
fair trial." United States v. Klee,
supra, 494 F.2d at 396. See also Cavness
v. United States, supra, 187 F.2d at
In applying these principals of
law, we must constantly bear in mind
that reversal of the district court's
procedural decisions should occur only
if we find an abuse of discretion. See,
e.g., Tillman v. United States, supra,
406 F.2d 938; United States v. Miller,
supra, 381 F.2d at 539; United States
v. Flynn, supra, 216 F.2d at 372. As
re AR Mr. Justice) Harlan said
in United States v. Flynn, supra, 216
F.2d at 372: “All of these matters
[of juror bias and evidentiary hearings]
were for the trial Court's discretion,
which, unless we find it clearly abused,
we should not disturb." Thus, our task
is not to determine if the trial court
could have held a more extensive hearing
or whether we, had we been the trial
judge, would have taken a different
approach to the problem. Rather, our
review is limited to determining
whether the district judge, in view of
all the circumstances, so abused his
discretion that the defendant must be
deemed to have been deprived of his Fifth
or Sixth Amendment rights.
Applying this test, we conclude that
the rulings of the district judge per-
taining to the procedure followed should
be sustained. Given the content of the
allegations, including the seriousness
of the alleged bias, and their source,
we do not believe that the district
judge abused his discretion by not hold-
ing a more extensive hearing or by not
21.
conducting his investigation during or
immediately after the trial. In affirming
this aspect of the trial court's decision,
however, we do not mean to imply that
the approach taken to the problem was
ideal .3/
3/ Because of the importance of
securing and maintaining an impartial
jury, a district court could rarely if
ever be reversed for conducting too
extensive a hearing if the manner in
which the court conducts the hearing
does not itself prejudice a party. Cf.
United States v. Doe, supra, 513 F.2d
at 710-11.
In the present case, the district
judge could hav2 taken further steps
to determine whether the alleged state-
ment was true, and, if true, whether
Hendrix was actually prejudiced. He
could have questioned Mrs. Thompson
during or immediately after trial or
at the hearing on the motion for a new
trial.
Il.
Turning to the second issue--whether
the alleged bias was prejudicial--we
also affirm the decision of the trial
court. Mrs. Thompson's alleged statement4/
4/The record tends to indicate
that the trial judge took Mrs. Hendrix'
and her mother's affidavits at face
value and denied Hendrix’ new trial
motion on the ground that there was in-
adequate showing of prejudice.
22.
does not refer to Hendrix or to his
prosecution. Rather, she was speaking
of another, already-completed prosecution.
Also, her assertion that "she was here to
see that they put some of these people
away” is unclear because of the ambigu-
ity inherent in the word these. Hendrix
argues that she was referring to all crim-
inally accused. Taking the statement in
context, however, it appears much more
likely that she was referring to those
who are “absolutely guilty." Obviously,
a desire to convict the absolutely guilty
is not inconsistent with a juror's duties.
Further, Mrs. Thompson's statement
came, as the trial court determined,
before she was examined, and before she
asserted her ability to give Hendrix a
fair trial and swore to determine the
case impartially. As we have stated
before, jurors are presumed to have
performed their official duties faith-
fully. Cavness *. United States, supra,
187 F.2d at 723.
And we adhere to the view that
"When twelve jurors sit down to
deliberate upon their solemn duty
of pronouncing innocence or guilt
upon a fellow human each exposes
his own particular views of the
evidence to the sound judgment
of all with the result that tan-
gential views have little chance
of survival and practically none
of getting eleven approving votes.
Id., quoting Sue Hoo Chee v. United States,
163 F.2d 551, 553 (9th Cir. 1947).
Finally, the nature of the alleged
bias is different both in degree and
kind from that which courts have tradi-
tionally viewed as involving a high risk
23.
OOOO e§GCwoeeo
of prejudice.
"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,"...nor does it involve the
influence of the press upon the
jury.”
United States v. Klee, supra, 494 F.2d
at 396 (citations omitt . See also
oe eS erates v. Shahane, supra, 517 F.2d
at 1178-79.
On the basis of these considerations,
we are not convinced that Hendrix was
denied his right to a trial by an impartial
jury. Any juror misconduct or bias did
not prejudice Hendrix to the extent that
he did not receive a fair trial. United
States v. Klee, supra, 494 F.2d at 396.
Iil.
The remaining ten allegations of
error are without substantial merit and
can be readily resolved.
Six of the alleged errors arise from
Hendrix’ efforts--opposed by the govern-
ment and denied by the district court--
to discover and present as exculpatory
evidence a subsequent similar act pur-
portedly tending to show lack of knowledge
and criminal intent. Hendrix was convic-
ted for picking up and transporting in
his taxicab six illegal aliens on August
19, 1975. Two Border Patrol agents,
Burns and Eddington, were involved in
intercepting Hendrix and his passengers.
On September 6 and 7, 1975, Eddington
again stopped Hendrix' taxicab and removed
an illegal alien. This stop occurred in
the same area as the previous intercep-
tion, but Hendrix was not arrested. It
was this second incident and lack of
arrest that Hendrix desired to introduce
as a “subsequent similar act.”
There was no error. The probative
value of the proffered evidence was at
best minimal; the danger of confusion of
the issues, undue delay and waste of time
was great. The judge acted well within
his discretion in excluding the evidence.
Fed. R. of Evid. 403. Likewise, there
was no error in the government's and the
district court's response to Hendrix’
request for discovery of the subsequent
happening. Our review of the record
convinces us that the court's discovery
order was more than adequate, as was the
government's compliance. In any event,
Hendrix knew more about the incident than
did the government.
Hendrix's seventh allegation or error
is patently without merit. When stopped
by the Border Patrol agents, Hendrix
stated that he had received a radio message
dispatching him to the area to pick up
passengers he was then carrying. Hendrix
argues that he was prejudiced by the
“government's failure to obtain and pre-
serve all discoverable «vidence of taxi-
cab calls" to that area on the day in
question. Yet after his arrest, Hendrix
admitted that he received no radio dis-
patch and that his earlier story was a
lie. Hendrix could not be prejudiced
by the “government's failure to obtain
and preserve all discoverable evidence"
of a radio dispatch that never occurred.
Three of the claimed errors go to
the trial court's refusal to admit an
exhibit and the testimony of certain
witnesces called by the defense. In each
instance, however, the testimony or
evidence was immaterial, was presented
without proper foundation or violated the
best evidence rule.5/
5/Hendrix attempted to have a union
steward testify about the contents of
a memorandum from the Sheriff of San
Diego County to taxicab drivers contain-
ing instructions on picking up persons
of Mexican descent. It was this testi-
mony that was excluded under the best
evidence rule. However, Hendrix was
permitted to testify as to the contents
of the memorandum and, in this regard,
develop his defense fully. See United
States v. Holley, 493 F.2d 581, 583-84
(Sth Cir. 197d) Thus, even if exclusion
of the steward's testimony were erron-
eous, it was not prejudicial.
Hendrix has simply failed to carry his
burden of proving that these evidentiary
rulings were erroneous and so prejudicial
as to require reversal. See Hamli Vv.
United States, 418 U.S. 87, 127 eLLOF
AFFIRMED.
26.
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