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United States v. James Walter Scott
521 F.2d 1188
9th Cir.
1975
Check Treatment

*2 TRASK, Before BROWNING and Cir Judges WILLIAMS,* cuit District Judge

TRASK, Judge: Circuit Scott was after jury convicted trial in district court of failure to file income for years tax returns 1971 and 1972 in violation of 26 U.S.C. 7203. He was year § sentenced 1to on count, each the sentences to run concur- rently. This appeal is from the convic- tion and the trial court’s denial of for arrest judgment, motions and for Scott, a new trial. who is attor- ney, represented himself at trial but had post-trial for counsel his motions and on appeal. Appellant styles himself a “national tax resistance leader.”1 He admitted at trial that he had not filed the returns that, argued but since his failure was based on his constitutional beliefs reading Supreme various Court * Spencer Williams, organiza- Honorable was National Chairman of an He United States Committee,” Judge “Tax for Rebellion District the Northern tion called District Cal- ifornia, sitting by designation. resistance to the Internal which advocated refusing laws to file income Revenue by filing blank ones. tax returns arrest of for moved After Scott cases, within his failure not willful part trial based a new judgment meaning statute. agent. of the alleged activities presented for de- main issues are Two agent interfered claimed Scott The first involves by this court. cision his trial by burglarizing presence of to influence headquarters, attempting *3 at trial. group elevator at jury by riding on the imper- was whether second.is making prej- house with them and court singled prosecution for missibly out Scott, in engaging remarks about udicial government. surveillance, making a bomb electronic undercov- During the trial an much of adversely the court house to threat Revenue Service agent of the Internal er lying to and mis- jury, and influence the among group of fellow tax present was mo- This to his detriment. leading Scott prepara- were aiding resisters who those supported by affidavits of tion was agent, of Scott’s defense. tion at the trial. accompanied had Scott who Swan, Swanson, Jeff was an alias James however, affidavits, did not sub- These in the Illinois Tax Rebellion Com- officer allegations any in the above stantiate According to his affidavit mittee. manner, posed in rather were but direct to travel an- was invited to the trial agent speculation terms protester tax He other from Indiana. opportunity pur- might have had the given permission by his Internal was and instruc- copies cases loin Xerox in superior Service and arrived Revenue Only one con- by the defense. used tions Fresno, trial shortly after California that was positive statement tained attending began. His stated mission in agent had counseled Scott protesters was to meet tax the trial testify agent’s on his own behalf. sympathizers superiors to advise allegation countered each affidavit activity. illegal any planned violent or with a denial. The district the motion was in the courtroom Swanson court, ruling the affida- on the basis of meetings in a the trial and at held at his observations as the trial vits sessions. day each after the court motel motions. judge, denied the from the received instructions He had Appellant argues strenuously Internal Revenue Service counsel Chi- group among the presence of Swanson any way cago to interfere with assisting him his defense planning trial. Swanson Scott’s and re- proceeding the entire poisoned specifically denied in his affidavit outright and dismissal reversal quires any any at time offered advice to he had least, a new very a remand for or at the as or advisors to how he or Scott upon the he relies Specifically trial. they proceed should in the defense of fourth, amendments fifth and sixth He also specifically case. denied that his ar- predicates constitutional for engaged eavesdropping in electronic had guments. anyone any kind or had caused else to so, Looking attempted or that he had to influ- first at do fourth amendment, jurors any threats. we or made bomb note that was ence Swanson presented was no to the not a witness at There evidence trial and that no court, here, any nor infor- made that he district contention obtained evidentiary passed was to the documents material mation which except for incident. was introduced prosecution one whether reported prosecution helpful or harmful. There to the was therefore Swanson illegal search he had members for verbal evidence learned rule, party illegally exclusionary mate- within the had inserted no unlawful Scott’s presented seizure of documents rial into exhibit. This court and no violation of the fourth separate later the basis for criminal amend ment. Hoffa v. charges.

H91 acquainted with the 300-03, accused 87 S.Ct. and his L.Ed.2d 374 at- torney. He solicited the accused and his counsel to work for them in the does Neither the fact of Swan preparation of the case for trial. He during conversations presence son’s re attended conferences between counsel garding strategy violate for the accused and witnesses and law- rights. fourth amendment Swanson was yers. The court held that this invidious present because he was a member and intrusion denied the defendant of his of the Tax group official Rebellion right to effective assistance of counsel accepted as such albeit he was also an under the fifth and sixth amendments agent of the undercover Internal Reve prejudice actual need not be shown. In regard, nue Service. this the Su Coplon was a ease of intercepted tele- preme quoted approval Court phone conversations between Judith Co- Hoffa : plon and attorney her both before and *4 “ ‘The risk being overheard an during her trial on espionage charges. eavesdropper betrayed or by an in- The court held that a hearing should be former or deceived identity as to the conducted and that if the interceptions of one with whom one proba- deals is occurred a new trial should granted.2 bly inherent the conditions of hu- cases, In both these as well as in society. man It is the kind of risk we States, 345, O’Brien v. United 386 U.S. necessarily assume whenever we ” 1158, (1967), 87 18 S.Ct. L.Ed.2d 94 and 303, speak.’ 385 U.S. 87 S.Ct. at States, 26, Black v. United 385 U.S. 87 Quoting, Lopez v. States, United 190, 17 (1966), L.Ed.2d 26 S.Ct. there was 427, 465, 1381, 373 U.S. 83 S.Ct. 10 an interference with the confidential re- (1963) 462 L.Ed.2d (dissenting opinion). lationship between the accused and his We find no merit to the fourth amend- employed counsel regarding impend- ment claims. ing Here, trial and the trial itself. it, Other than to list contrary, appellant had waived or again particularize does not the basis right renounced his pre- counsel and upon which he claims the shelter of the for trial and tried the case pared without fifth amendment. He does assert that attorney. He apparently had enlisted urged him Swanson to take the witness assistance of a group of fellow tax stand and that the Internal Revenue help him in his own defense. resisters grossly Service so intruded in the de from the tax Others rebellion ranks who strategy fense conferences that the fifth joined appeared, meetings held sixth and amendments were violated. during the trial.3 principal upon cases relied are Cald States, Appellant well asserts that U.S.App.D.C. v. United 92 where 355, (1953), the sixth amendment to Coplon 205 F.2d 879 the Constitution v. States, 89 states that U.S.App.D.C. 103, United accused shall have 191 (1951). 749 “. . .to right F.2d In have the prose Caldwell the Assistance for cution had hired it means Bradley as an Counsel defense” not undercov agent. As counsel attorney er such he sense of an intimately became attorney) of them an 2. The court observed that sat at the evidence intro- counsel table with permission, against Scott with the court’s her to sustain her conviction but were duced permitted witnesses, eye properly objections to make was from documents or comments during Swanson, the trial. her and her own statements. obtained from treasurer of the Therefore, court, Committee, Illinois Tax Rebellion concluded the trial court attended Dobslaw, denying protester with one Bill for new trial err in the motion a tax did not Bend, theory during South based on Indiana. Swanson insofar as it was arrived protesters by wiretap- proof met government’s obtained other and was invited ping gatherings, to be at various arose from leads obtained in that man- informal meetings place discussions which 191 F.2d at 757. took ner. usually day. at the close of trial each 3. Affidavits Vaughn indicate Ellsworth, Kelley Miss Claire (none and William Drexler 1192 counsel, applies lawyer as between practice but, also, law admitted that if majority of the courts have refused an attorney, eschews have his apply per rule requiring se reversal Therefore, friends advise him. he ar- when the has had access gues that interference the relation- communications between a

ship between the accused defendant and his advis- g., and his counsel. E. United v. the same States ors carries sixth amendment Rosner, 1213, (2d 485 F.2d 1227-28 Cir. proscription interference between at- 1973), (without torney prejudice), cert. denied and client. No cases are cited for 950, 3080, 94 S.Ct. 417 41 L.Ed.2d proposition and we have found (1974); Brown, United 672 States v. none. On the 484 contrary, relationship 418, (5th 1973), F.2d 424-25 Cir. lawyer cert. carry and client between does 960, denied, 1490, 415 U.S. 94 rights S.Ct. responsibil- different set of (1974); Taglianetti L.Ed.2d 575 v. Unit ities than between an individual and 558, (1st ed 569-71 relationships his friends. Other Cir. recog- aff’d, 1968), law, nized either statutory law or law, also United common likewise See carry particular Rispo, v. (3d 460 F.2d rights responsibilities, States 975-77 g., e. husband wife; 1972); Bullock, Cir. patient; priest doctor and States (5th F.2d 59 Appellant’s confessor. Cir. upon United States reliance Alderisio, (10th 1970). bring Hoffa to F.2d 20 his friends within the But see Long, South Dakota v. 465 F.2d definition of “counsel” for sixth amend- 1972), denied, purposes cert. placed. is not well In *5 discussing Coplon (where L.Ed.2d 263 and Caldwell Rosner, The courts in intrusion Brown and attorney was between client) Taglianetti all Supreme the Hoffa considered the hypothesized Court O’Brien, Black, cases of there Court that could be Hoffa and gross- an intrusion so ly prejudicial they concluded that require that even a did not new trial se rule. impermissible. per agree. a We would be The Court con- tinued, however, by saying that the Hof- unique On the facts of this case remotely approach fa case did not such a that appellant we find preju suffered no situation. from the mere govern dice fact of the ment’s limited intrusion into the “This is so because of the clinching appellant group of Ap his basic fact friends. case that pellant’s defense this case petitioner’s none of the was an incriminating open book. filing He admitted not statements which Partin heard were returns and based made his defense on his own presence counsel, of novel theories of law. hearing counsel, example, For he of or in connection in claimed that any way sixteenth amendment legitimate authorizing prop the income tax was of the not Test prosecution. Fleet pe- ratified, erly that federal titioner’s reserve notes statements related to the legal are not tender and commission of therefore he did quite separate of- report income, not have to attempted them as bribery jurors— fense — that he did not and the have to file tax returns statements were made to Par- they if felt tin he would out of the incriminate presence law- him. advanced yers.” Scott these theories to U.S. at 87 S.Ct. at 416. support his defense specific of lack of There is certainly nothing in the willfully intent commit the offense of Court’s discussion that would failing indicate it to file income tax returns. He intended enlarge the sixth that, amend- since honestly thought claimed he protection ment pro to a se defendant that he was not legally bound file returns, friends. Even where it properly could not be convicted.4 It is year 4. For the 1969 Scott filed an individual date and a notation, handwritten pro- “Under address, containing only name, plead return test I the 5th Amendment to the U.S. controverted both Smith and Swan- envision, facts of this on the difficult case, addition, they son.5 In relate to matters preju- could have been how Scott that under careful consideration have lit- presence of the diced anything to tle if do with the is- basic among the friends the defense. agent Further, sues of the lawsuit. Failure tax to file there is no evidence in the years for the question returns to refute the affidavit of the record by the Indepen- admitted defendant. passed agent no information proof dent introduced that he had prosecution. the defense to the about earned substantial money sums of say is not to This corresponding years. The evidence private into the councils of a intrusion these actions willful was over- defendant, struggling oppose pro se whelming. Nothing gained by can be government during a for the reversing remanding. We are of the gaining or with the result of purpose opinion that neither the basic dictates of something advantages, to be play process fair due require a rever- regarded. It is inconceivable that lightly sal or a remand for evidentiary a full responsible attorneys or hearing. reading A of the reporter’s agencies stoop would to such clandestine transcript and the rest of the con- record and underhanded tactics in the trial of a court, vinces the trial us awith Such intrusions offend one’s lawsuit. very great amount patience and re- play proper of fair sense and subvert straint, accorded full fair and justice. without administration of Even trial. imposed restraint sixth enti Appellant’s claim that he is amendment, they may well constitute govern a new trial because the tled to process. due Such was denial agent advised him to take here. without is also merit. affida stand One Reading Kelley, supports Claire this vit, filed affidavits issue, parties upon this we allegation. critical affidavit of the con giving are convinced that court such advice. we the trial was denies Since *6 prejudiced by unimpressed unpersuaded Scott was not simply that clude stand, any such affi reprehensible activity was the conflict in the taking that the Smith, prej in engaged by special agent the Scott was not davits is irrelevant. Intelligence testimony the Inter his at trial did of the Division of udiced because Fresno, by position at or about nal Revenue Service than reiterate his no more dispute. The affi no He under his direction. there is conducted Swanson which the ambiguous of and indicated at davits are and his own defense charges directly opening in their state conjectural outset of the years 1970, 1971, Key Constitution.” For the Golden room in the Motel and removed by testimony, papers Scott his own admitted vital defense from a within briefcase to, that he filed During no returns the whatsoever. courtroom.” affidavit referred years $23,000 however, per gave copy he earned in those excess that Scott of states year. government’s requested On November the he wrote a let- to the instructions Bee, (Ellsworth) saying the ter editor of the to Fresno affiant who studied them and left things: among other attache them in his their conference opened he room. When his case in court agent earning am a “I successful insurance comments, missing. with his instructions average an income far above the worker. I Affiant that he has states since been told that pay income do not or taxes —state federal— leaving particular seen Swanson was that (cid:127) >» there, room no one else was where “when “I submit all income tax forms blank. usually open Affiant’s case was attache left is, absolutely I send That no information and because a troublesome lock.” combination money . . . .” asserted, loss, seriously handicapped is This it prosecu he had Scott because to borrow the example, 5. As an brief states: government’s requested copy tor’s in (sic) gave “The affidavits also sworn state- structions. they good that had to ments reason believe burglarized the conference that Swan constituting charged. He lit- the offense pay his not jury, that he did housetops. erally proclaimed it from the asserted, however, that since He taxes. practice to advocated his oth- proudly He ille- to be tax he considered income Nor can it be that Scott ers. said en- could not be His convicted.6 gal, prejudiced exposing his de- have been predicated on convinc- was tire defense jury to the when he took the meanor was tax jury the income ing attorney, stand. Scott acted his own in his ex- and this was reflected illegal jury presenting witnesses to the three witnesses amination cross-examining government witness- Likewise, for the Scott called defense. es. He allowed wide latitude previously written letters had story speeches told his court and own admitting Fresno Bee that he refused to cross-examining made while witnesses. to also urging others pay taxes during At all times the trial he was the part These letters were of the refuse.7 jury character principal before never record below. There was the defense. question but he committed the acts today), amI I will hands prove voluntarily relinquishes said never already “I have justice guilty. has to kind prove Any of tax must Government power. I I to you And will administered the individual prove willfulness. to himself. I they the way That is have solved I act this have willfully. problem. did not personally justice large degree enjoyed I it. I will tell I did what tax to a you why for the interpret at 21. is R.T. it not evil.” three I refused and do not why years. have past did and following and State taxes: Federal pay the Six- here attempt “I will prove Taxes, Social Per- Taxes, Income Insecurity tax, income Amendment, is the which teenth Excise Property Taxes, Tax, sonal Telephone and mine —Bill yours violates our — I Tax. work hard for Utility my money Rights .” . . . Rights, Constitutional government thieves it if the want they * * * * * * will have to work to steal it from me. harder am reason I’m is that I today “One here Mr. Ross mentioned in his letter a realistic of the Tax Rebellion Committee. chairman alternative, We have it. solution. brought out Government This government. answer is absolute minimum And I think well. He knows lawyer. recognizes the fact everyone Almost have we I’m is because reason here one overwhelming government and to- today extent, least some effective. been, out of Volumes of proportion. proof tally magazines in the “If read you people show that at least activ- 90% World Re- if News and read country, you original are not ities authorized con- anything nation- else that if read you port, which tract contract is the U. S. Constitu- millions' —I are know that there wide, you taught Tyrannical tion. must be just a am talk- mean few handfuls —I don’t lesson that we the are the mas- people income ing don’t pay millions who about ters and the servant. I have I am And been selected. tax. “Yours truly, They picked of selective prosecution. victim Jim Scott “/s/ I have been me because me out prosecute “Jim Scott” *7 to the I have had opportunity active. very Plaintiff’s Exhibit No. 51. and I’m radio, rallies, and at TV, talk on 23, “November 1971 I I feel that am glad I feel this way: because “Fresno Bee forefathers.” were our same as spirit Van Ness and Calavaras 22-23. at R.T. Fresno, Ca 5, 1971 7. “November “Editor: “This is a reply of the Mrs. P. Bee, “Editor H. of Reedley who whether letter wonders Ross’s or not I am interest an Stephen “I noted unem- 31, welfare ployed under date of October I am a printed recipient. that you successful nothing agent earning insurance exactly Mr. Ross learned has income far above average tax re- He still believes I past. worker. do not pay income lobbying taxes, State or via initiative Federal, form Social Insecurity used Tax, have been Federal These methods Excise Tax on the processes. telephone, City are we now? Tax Utility 50 and where years for the Personal past Tax. Property waiting justice, Mrs. P. H. reform, tax wants for tax are know how I do it. If you My is a of crimi- secret tax at the hands breaks combination of conviction equity, tax courage Histo- sufficient wait forever. will to act. First I demand you nal politicians again be free. I refuse allowing corrupt over and over that to be a tax-slave, ry proves (that have on our fruits of government my we labors is what to be confiscated

1195 didn’t file tax returns that of ac- recognize specter that We prosecuted? Government has not in the de- If interference government tive so, you I think should make it chilling one. known a criminal case is a fense to Mr. Couris so he could However, unique of this start indict- facts ing them. justice that the ends of conclude we requiring a new not be served would Well, your Honor, “MR. MATONIS: that possibility there no because my job it is not lawyer help by the al- prejudiced the defendant Government people cases of who interference. leged have not have or filed their income (Supp.). tax returns.” R.T. at 26 major assignment The second Thus, clearly distinguishable this case is error is that was discriminatorily Scott Steele, from United supra, States prosecution out for because singled of his where the court was convinced that opposition to the vocal income taxt In knowledge had actual prevail allegation order to in this appel other violators but compiled background must proving lant bear burden of reports prosecuted only those who prima facie requires least case. This public against had taken a compli- stand first demonstrate Here, ance with the census law. appel- similarly generally others situated have lant has demonstrated prosecuted not been for conduct similar government had an announced policy of for which prosecuted. to that he was vigorous enforcement of the tax law Secondly, appellant must show that his against public who those took a stand impermissible selection based on an filing against returns. There was no ev- race, ground religion such as or his exer presented idence right cise of his first amendment to free prosecute did not others who failed to Berrios, speech. United States v. file returns but who did not take a vocal (2d 1974); F.2d see Unit stand on the issue. It is not surprising Steele, ed States v. 461 F.2d 1148 government might prosecute Sacco, States cases in which the violations those of the (9th Cir.), denied, cert. appeared flagrant. laws tax most assigned Scott also as error Appellant fails in his claim of dis the refusal of the trial court to hold an criminatory prosecution because he had evidentiary hearing on his motions for a not demonstrated others similarly trial and judgment. new arrest of situated who have failed to file income decision whether to hold an evidentiary returns have not prosecuted. tax been hearing on a motion for a new trial

“THE COURT: you Let me ask within sound discretion of the trial you Do people judge. this: know other Thompson, who United States v. corrupt, squandering, government. criminal pay it. I cash for Whatever do and wherev- me, Thievery especially My nauseates very when I go I do it first class. life is er I Being employed, am the victim. self I good, many have but it me to see so saddens cowardly quivering, employer butchering genuinely fine Americans made victims and my by way pay by politicians check of deductions bloodsucking suckers bu- surrendering money governmental vul- The freedom from reaucrats. tyranny I submit tures. all income tax forms in that I can all know be had Amer- *8 is, they blank. That I send no information and if will but shake loose the chains icans absolutely money. sleeping The Federal Ex- and exert themselves. When the 10% telephone easy. merely (millions giant taxslaves) cise Tax on the is I awakes and arises, deduct that tax from the bill and a write no force the face of this earth can explanation company. note of to the The withstand. Utility City “Sincerely, Tax is handled the same man- paying enjoyable ner. Not taxes the most “/s/ Jim Scott satisfying experience and I have ever “Jim Scott” get known. When I earn a I dollar a dollar. Plaintiff’s Exhibit No. 52. reason, buy everything Within I I want and majority correctly ap- The holds that denied, 1974), cert. rights that contention his under pellant’s 42 L.Ed.2d S.Ct. U.S. infringed Fourth Amendment were that there was (1974). We conclude light rejected in of Hoffa v. must be by hearing a nothing gained such to be 293, 300-03, judge did not abuse his that the trial and The request. by denying Scott’s discretion however, errs, majority dismissing ap- alleged many raises other Appellant Fifth and pellant’s Sixth Amendment careful review of the errors, after a but claims. they lack that merit. we find record judgment is affirmed. The I. majority recognizes that the Fifth BROWNING, Judge (dissent- Circuit Amendment be violated intro- ing): ducing agent into the de- charge of dis- agree appellant’s I that camp. states, fense the majority As criminatory prosecution reject- must be “government private intrusion into the ap- ed, dissent from the dismissal of but pro defendant, se councils strug- that, surreptitious claim pellant’s oppose gling that during government agent of a into intrusion purpose for the or with the result camp, process due denied gaining trial advantages right to exercise of his the effective one’s play sense of fair offend[s] himself. represent the proper subvert[s] administration of was a undisputed that Swanson It is justice . . . . may well consti- [and] agent govern- process.” undercover tute a denial of due

paid Yet the prote- rejects a member of a tax posing majority Fifth organization. claim, It is admitted holding Amendment stors that he was appellant’s trial in that ca- attended even entitled to a hearing inquire knowledge approval with the into nature of the pacity intrusion or its in Fresno associated consequences. the IRS It is furthermore appellant’s case. with majority appellant concludes that during partici- the trial he conceded did not make a showing sufficient meetings among in discussions pated did in Swanson fact intrude into the including appellant, protestors, tax appellant’s defense, councils of with the and, at the close courtroom both purpose or result Thus, indicated. day, motel where each of the trial majority states reading that from stayed. The exact nature of group it is affidavits convinced that the trial disputed. Affidavits participation simply unimpressed court “was and un- assert by appellant submitted persuaded reprehensible such appellant’s defense discussed Swanson activity engaged in.” The majority advisors, ad- lay and his appellant holds affidavits were de- strategy, regarding vised they ficient because were “ambiguous urged him to take the stand. Swan- and son, conjectural,” “directly were contro- affidavit, that he attend- admits verted” affidavits filed by the meetings regarding conferences ed government, and related to matters that that he offered no trial but asserts little if anything “have to do with the advice. basic issues of the law suit.” by appellant Affidavits submitted also affidavits by appellant filed can- assert that Swanson was said leaving “ambiguous seen not be to be conjec- appellant’s room when no one respect else was tural” with charge to the present and that certain papers Agent Swanson intruded into the coun- subsequently missing. cils of the sought Swanson defense and to influ- breaking entering denies into and ence defense appel- strategy. Appellant’s own room or removing papers. lant’s affidavit states that “the confidentiality *9 jurors. of more His decision to myself of my and counsel- take privacy the stand well have Agent had by” admittedly invaded critical was lors upon effect the realization of this hope. of Kel- affidavit Claire Swanson. impossible It is beyond to know appellant’s supporters, states reason- one ley, able doubt that it did not. The talking heard to reaction “I saw [Swanson] jurors appellant to as an at the counsel table numerous accused [appellant] engaged in presenting throughout own discussing defense times may have quite been different advising [appel- defense and from [appellant’s] their reaction appellant to witness, as a . . . strategy. [Swanson] lant] was particularly prosecutor’s under the out effec- persistent pushy seeking tive Moreover, cross-examination.2 talking [appellant], to I heard this ought speculate court not to as urge [appellant] to to take [Swanson] witness stand prejudice that might have resulted defense.” The from his own a clandestine continues, agent’s Kelley “I was in suc- affidavit effort cessful to Motel, influence the Key of the Golden accused Room a matter so fundamental to the by was used the defense for dis- which as the decision to waive his privilege cussing planning strategy when against self-incrimination, take was also and took [Swanson] stand, subject himself to cross-exam- privy discussion and was to part ination. concerning the information confidential Although defense.” not direct It is irrelevant that the affidavits sub categorical, the of William R. affidavit by appellant mitted were by contradicted Dobslaw, Swanson’s roommate at affidavits government. filed Key, corroborates the Golden affidavits The function of the affidavits was to appellant and Kelley.1 determine whether relevant factual is existed, majority sues not Kelley to resolve such concedes issues. Machibroda v. United sufficiently specific affidavit raised the 487, 493-95, charge appellant that Swanson advised (1962); Wright Dickson, charge to take the stand. dis- This 336 F.2d (9th 1964). 882-83 posed asserting that See also United Guthrie, prejudiced appearance as a not States it witness. But cannot said with as- 8A Moore’s Federal Practice 33.03[3], that this appellant’s surance violation of at 33-18. The affidavits filed If by appellants Amendment rights was prima Fifth harmless made out a facie case that beyond Appellant’s a reasonable doubt. agent had ac hope spirit participated pro- tively ap ultimate councils of pellant’s might test that motivated his defense and sought actions had to in receptive response strategy. elicit a fluence defense one or Since such 1. Dobslaw’s affidavit states way get your story across,’ that Swanson ‘That’sthe feet: or ‘That’s the he had been in way “told me get your ‘Conference side ” (Room Key Motel), Room’ planning 214 of the Golden across.’ strategy Vaughn the trial with Ells- Drexler, The affidavit of William E. another worth, Kelley, Scott, Claire Jim and Bill Drex- associates, spe- of cific close makes the continues, “During ler.” The affidavit recess- allegation appel- that Swanson inwas Swan) (alias es in the trial Swanson was often present. room when no one lant’s Both Drexler and else was up table, front around the defendant’s counsel appellant imply that Swan- talking [appellant] and his counselors. papers certain son took when he was Exactly he what said on all of these occasions room, although neither claims to have I do not know.” Dobslaw’s affidavit also specific more evidence so. did during states that a recess Swanson “was talk- ing Kelley. [appellant] and Claire I did quoted 2. The two letters in footnote 7 of the everything said, catch but I think it had majority opinion pros- introduced [appellant’s] do with decision whether or not during appellant. ecution cross-examination of to take the witness stand. was en- [Swanson] majority prejudicial considers them to be couraging [appellant] to take the stand. cause; jury may have also. [appellant] something Swanson told to the ef-

1198 States, 26, v. United 385 Amend- Black 87 the Fifth violate would conduct ment, 190, (1966); 17 26 vigorously L.Ed.2d Caldwell majority itself as the States, 355, U.S.App.D.C. 92 hearing was re- v. United asserts, evidentiary an (1953); Coplon 879 Appel- F.2d v. the 205 Unit- facts. to determine quired States, U.S.App.D.C. 103, 89 hearing a ed 191 F.2d requested specifically such lant (1951), in which new to trials were or- argument 749 in in motion3 both government the had in- dered because It district court. was denied. the into the confidential relationship truded noth- say to that appears majority The the and his accused counsel between an for gained remand is to be ing through surveillance or electronic due hearing appellant’s evidentiary agents. majority The re- appellant generally because claim process upon jects appellant’s reliance these and the of on the merits no valid defense has primarily authorities on the similar him, and because against charge criminal they upon are based ground inter- in- claimed government’s from the (aside right with the Amendment ference Sixth camp) appellant of the vasion counsel, of effective assistance to the trial a fair full afforded in waived right. this case court. trial disposition neglects This facile the fact one think of Whatever criminal the accused in a case has a merits, and is he was on the right to constitutional defend himself comports with due to a trial entitled equal dignity is to his constitu- meticulous fairness of The process. right to “Implicit tional counsel. in both record, evident from the judge is trial Fifth and amendments Sixth] [the states, forcefully majority so but personally accused right to man- prosecution intrusions deliberate upon and conduct his own age defense in a coun private pro a se defendant’s case.” criminal United States Platt- play and sense of fair “offend one’s cils 271, (2d ner, 1964). 330 F.2d 274 Cir. jus administration of proper subvert right to right counsel and the “The to Justice paraphrase Mr. Chief To tice.” se pro in criminal defend cases form a concurring May opinion in Burger in his inseparable single, rights, bundle two 455, 467— Pennsylvania, 400 U.S. berry v. Id. same coin.” at 276. “A faces 499, (1971), a 68, 91 S.Ct. defendant a criminal has matter; not a private trial criminal right to a constitutional assistance than the interests of is at stake more counsel, he has a correlative constitution- in the in public interest accused. right to the advice interfer- al refuse process, judicial of the tegrity ence of counsel and to his own sub justice, as well as its appearance stance, States, Arnold v. United 414 F.2d case.” imposed require sanctions (9th 1969), quoted 1058 Cir. corrupt for such upon Price, States v. 474 F.2d United v. Ros ing conduct. See United States 1973). Cir. ner, (2d F.2d into vice of intrusions 965, 977 Rispo, States v. United relationship the accused and between 1972). (3d simply corollary lawyer a is not lawyer- general principle II one, a relationship is confidential client majority opin- suggests. intru- majority of the Such greater part as the upon they because consti- reliance are ion deals sions condemned infringement upon unwarranted tute O’Brien (1967); right Amendment 1158, L.Ed.2d accused’s Sixth 87 S.Ct. agents, Appellant’s request hearing undercover JAMES for a at which Q. SWANSON SWAN], JEFF [aka witnesses Swanson and other ROGER D. could examine SMITH AND JOHN DOE an unknown form of a “that motion to the court undercover prays grant and he grant depo- court for leave it new if refuses take IRS, bring stay subpoena sitions.” issue to the *11 however, government the could not seize of counsel. In assistance effective opportunity presented it to way, government interfere same intru- much appellant’s with right exercise of his to of an accused act- the councils into sions ing pro by defend himself interposing unjustifiable govern- se are interfer- an agent into ment the relationship. by the unfettered exercise with ence right of to his constitutional con- accused hand, On the other the right of the own defense.4 his duct be accused to government free of inter- supporters appellant’s of Three —Claire presentation ference in the of his de- Ellsworth, Vaughn William Kelley, fense does not depend upon the use of particularly active played a Drexler— lay advisors. The accused’s exercise of appellant’s defense. presenting in role right his to defend himself does not permitted to sit at the coun- They were grant a license spy, to Appellant consult- during trial. sel table whether the accused acts alone or has during the tak- frequently them ed with the help of others. They participated testimony. ing of They majority ar- hearings on various motions. asserts that the cases re points upon lied appellant’s by appellant constitutional do not gued apply a per with the se rule jury requiring instructions discussed remand whenever the appel- government conferred with They has court. had access to a commu courtroom, planning nication between an outside lant accused and his counsel; assembling cases docu- and the strategy, majority concludes that ments, marshaling remand would arguments for la- not appropriate be in this short, they per- In case in court. because there was prejudice. use ter majority to The typically reserved functions cannot formed mean surrepti impairment tious of the bar. invasion members of the coun cils of the and free exercise defense requires full reversal if the right defendant to conduct his own can specific constitutional establish prejudice. resulting the intrusion The Supreme from of a Court’s deci into the sions in conferences O’Brien v. States, supra, 345, 386 appellant lay 1158, these advisors U.S. 87 S.Ct. between and Black v. distinguished the inter- United supra, 26, 385 cannot U.S. 87 190, clearly Amend- S. Ct. Sixth ference hold the contrary, right have been and bind this that would court. been lawyers. advisors these had suggested What is by the cited cases by the appellant majority, cases, had a say not to This is similar right required to the assistance reversal not if constitutional there was in fact his,defense in no intrusion presenting into the his friends councils of by all,6 court.5 the permitted the trial manner or no knowing intrus ion,7 or the intrusion was assistance, minimal and Having been allowed right “attorneys” 4. The personal constitutional agents, first accused to were lacking recognized any professional conduct own defense was often training, who Supreme appointed by litigants Court Faretta were v. those who had California, 806, 2525, royal permission secured carry 95 S.Ct. 45 on their (1975), opinions through 562 representative, L.Ed.2d decided after affairs rather than Id., personally. this were filed. at 212-213. California, n.16, 5. Faretta Cf. v. 806, 95 422 At 820 S.Ct. at 95 2525, (1975), L.Ed.2d 562 in which the Court intimates Rosner, Sixth 6. United States v. Amendment 485 F.2d right Counsel”, 1973); (2d Alderisio, “Assistance of Cir. United States v. encom- pass lay (10th 1970). the assistance of Cir. advisors. See As also Manuel pointed Court Salisbury, (6th 1971). out: 446 F.2d 453 Cir. lawyers personal The first Brown, friends 7. United States 484 F.2d 424- litigant, brought into court (5th him so Bullock, United States v. might that he “take ‘counsel’ with them” 1971). 441 F.2d pleading. Maitland, before 1 Pollock & His- tory English Similarly, Law 211 all, was known demonstrably fense nothing was in any involved related to legal event without merit. trial,8 Whether or the case the intrusion was guilty it not of the charge prejudiced such that could have him, against he was entitled to be fairly the accused.9 freely right and to exercise tried intrusion has occurred Whether represent himself without interference extent, so, are its nature and and, if prosecution. or obstruction the cases In all of questions of fact. appellant’s general fact that line of de- *12 been established facts had the cited fense was well known does not mean appellate hearing, the evidentiary strategy that his tactics and were hearing a be that such ordered court allegedly sought foreordained. Swanson evidentiary been no There has held. to influence at least one element of that activi respect hearing with Swanson’s strategy (appellant’s decision take the they were must be assumed that ties. It stand) might way in a have affected appellant’s affidavits. The alleged as majority the outcome. has no a cited case which majority Finally, asserts prejudice re specific was showing is evidence in the record to “there where, govern alleged, here quired agent refute affidavit of the that he deliberately participated on no information about the de- [furnished] continuing basis in conferences and prosecution.” to the Only fense with the trial of the concerned councils produce could such evidence. allegations case hand. These at criminal present Appellant sought deposition to take the “government intrusion of the agents was rebuffed.11 In upon kind the confidential rela grossest event, any aggravate while it would tionship and his between defendant passed evil if Swanson information to counsel,” which the Court in Hoffa v. attorneys, it would not States, 306-07, supra, at United if he not. eliminate evil did 416, require at would assumed 87 S.Ct. “surreptitious vice in central invasion In setting aside a such a conviction. government agent the legal into potential prejudice per for case camp of the defense” is the interference proceeding; probability “the meates right to appellant’s represent him- with to the Government’s of unfairness due States, v. supra, self. Cf. Hoffa United incapable of realistic delin misconduct 306-07, at 87 U.S. S.Ct. at 416. The 385 Rispo, supra, United States eation.” States, in O'Brien v. conviction United Assuming F.2d at the facts to 460 976.10 345, 1158, 386 87 supra, U.S. affidavits, appellant’s asserted in be as though even it was established reversed upon at least rests the burden concerning no information con- to establish that inter intercepted by the FBI had versations appellant’s ference constitutional relayed prosecuting attorneys. been himself was harmless be right to defend yond a reasonable Id. 977. doubt. in this be ordered should A remand an eviden- hold suggests prejudice with instructions majority that Swan- hearing. If it shown impossible tiary because de- Brown, 418, 8. United Appellant passages States v. 484 F.2d 424- cites examina- (5th 1973); Taglianetti States, prosecution Cir. v. United witnesses tion of that he 558, (1st 1968); necessarily 398 F.2d Cir. cf. prompted Hoffa v. contends infor- 293, 308, 87 S.Ct. from the mation obtained defense. The infer- strong. Admittedly, however, is not ence prosecu- did Swanson communicate with the Mosca, 9. United States v. 475 F.2d 1060- tampering tion about with a trial ex- (2d Long, Cir. South Dakota v. hibit, lending credibility some to the conten- 1972). 71-72 tion that Swanson have also communicat- Rosner, legiti- information ed relevant States v. 485 F.2d 10. See also United 1973). (2d mate defense. knowingly intruded in substan- son relating into conferences to the way tial case, a of this new trial should ordered. BURT, Appellee,

Helen L.

The BOARD OF TRUSTEES OF

EDGEFIELD COUNTY SCHOOL al., Plaintiffs,

DISTRICT et Ashley al.,

C. Abel Appellants. et BURT, Appellant,

Helen L.

The BOARD OF OF TRUSTEES

EDGEFIELD COUNTY SCHOOL al., Plaintiffs,

DISTRICT et Ashley al., Appellees.

C. Abel et 73-2363,

Nos. 73-2364. Appeals, States Court of

Fourth Circuit.

Argued March 1975. Aug.

Decided

Case Details

Case Name: United States v. James Walter Scott
Court Name: Court of Appeals for the Ninth Circuit
Date Published: Sep 25, 1975
Citation: 521 F.2d 1188
Docket Number: 74-2302
Court Abbreviation: 9th Cir.
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