Lead Opinion
Opinion by Judge KOZINSKI; Concurrence by Judge O’SCANNLAIN.
Because impartial jurors are the cornerstone of our system of justice and central to the Sixth Amendment’s promise of a fair trial, we “guard jealously the sanctity of the jury’s right to operate as freely as possible from outside unauthorized intrusions purposefully made.” Remmer v. United States,
I
During the original trial, Washington employed two henchmen, Brandt Ellis and Leslie Mumphrey, to bribe and/or intimidate Felton Johnson, one of Dutkel and Washington’s jurors. Early in the trial, Ellis approached Johnson outside the courthouse and told him that “the White guy [Dutkel] was guilty and that the Black guy was not guilty.” Explaining that Washington was in trouble with the government regarding his taxes, Ellis told Johnson, “[w]e cannot afford the Black guy to go to jail.” Ellis and Mumphrey promised Johnson cash, a job and a new car if he voted to acquit Washington. They also mentioned Johnson’s three-day-old daughter, intimated that they would follow him home and made it clear that they were monitoring his every move. As a consequence of these importunings, Johnson “freely talked about the case” with them. He spoke with them frequently during the trial, made daily reports about the jury’s deliberations, gave them feedback for Washington’s lawyers and assured them that he thought Dutkel was guilty and Washington was not. The jury eventually convicted Dutkel, and deadlocked as to Washington, with Johnson the lone holdout.
After serving more than half of his fifteen-year sentence, Dutkel learned of Washington’s machinations when he stumbled across United States v. Washington,
II
Because jury tampering cuts to the heart of the Sixth Amendment’s promise of a fair trial, we treat jury tampering cases very differently from other cases of jury misconduct. Once tampering is established, we presume prejudice and put a heavy burden on the government to rebut the presumption. The Supreme Court has stated in categorical terms:
In a criminal case, any ... tampering, directly or indirectly, with a juror during a trial about the matter pending before the jury is, for obvious reasons, deemed presumptively prejudicial.... The presumption is not conclusive, but the burden rests heavily upon the Government to establish ... that such con*895 tact with the juror was harmless to the defendant.
Remmer v. United States,
The government argues that the categorical directive of Remmer has been undermined by subsequent cases which empower the district court to shift the burden of showing prejudice to the defendant. The cases on which the government relies do nothing of the sort, as none involved jury tampering as that term is normally understood: an effort to influence the jury’s verdict by threatening or offering inducements to one or more of the jurors. The cases on which the government relies involve more prosaic kinds of jury misconduct. See United States v. Olano,
Three other circuits have recently spoken on this issue. The Fourth Circuit unhesitatingly retained the Remmer presumption in cases of jury tampering. See United States v. Cheek,
Finally, in United States v. Sylvester,
Ill
Having concluded that the Remmer presumption applies if the case involves jury tampering, we must still decide whether what occurred here amounted to tampering. There is no doubt that, as to Washington, Johnson was tampered with. Johnson’s status vis-a-vis Dutkel is less clear. The government argues that Johnson was not bribed or coerced to vote one way or another as to Dutkel. While Dutkel was mentioned, the point of the bribe/intimidation was to get Johnson to acquit Washington, with his vote as to Dutkel basically irrelevant. Indeed, during one of their encounters, Ellis told Johnson, “We don’t care about Dutkel.” We are also mindful of the presumption that jurors in joint trials will generally be able to “compartmentalize the evidence as it relates to separate defendants,” and render a just verdict as to each. United States v. Escalante,
We do not believe that this is the correct view of the matter. Remmer holds that “[i]n a criminal case, any ... tampering, directly or indirectly, with a juror during a trial about the matter pending before the jury is ... deemed presumptively prejudicial ....” Remmer I,
We must therefore look to the concerns that animated the Remmer Court. Smith, a juror in Remmer’s case, was approached during the trial by a thud party, Satterly, who was acquainted with Remmer. Sat-terly mentioned to Smith — perhaps in jest, perhaps in earnest — that Remmer had obtained “about $300,000 under the table which he daresn’t touch,” and asked Smith, “Why don’t you make a deal with him?” Remmer II,
As we read Remmer, a presumption of prejudice arises if a juror was subjected to coercion or bribery, and if this intrusion may have affected the juror in the exercise of his judgment. Where the intrusion is (or is suspected to be) on behalf of the defendant raising the claim of prejudice, the presumption arises automatically because jurors will no doubt resent a defendant they believe has made an improper approach to them. The matter is more complicated where, as here, the intrusion is clearly made on behalf of another defendant. Under these circumstances, the question still is whether the intervention interfered with the jury’s deliberations by distracting one or more of the jurors, or by introducing some other extraneous factor into the deliberative process. Once jury tampering by a co-defendant is established, the defendant must make a prima facie showing that the intrusion had such an adverse effect on the deliberations. Unless the district court finds that this showing is entirely frivolous or wholly implausible, it must order a Remmer hearing to explore the degree of the intrusion and likely prejudice suffered by the defendant.
We derive support for our conclusion from Angulo. In that case, a juror received an anonymous telephone call of a threatening nature during the course of trial. Though the caller did not refer to the trial or any of the defendants, the juror was “scared” and mentioned it to her fellow jurors and the trial judge. See Angulo,
The only other circuit to address the issue reached the same conclusion. See United States v. Cheek,
IV
Instead of determining whether Dutkel made out a prima facie case of jury tampering, the district court appears to have treated Dutkel’s case as an ordinary ex parte contact case, stating that “[n]ot every improper ex parte contact results in a mistrial.” Though the court apparently put the burden on the government to show that Dutkel was not prejudiced, its focus was not on the jury tampering, but on whether Ellis and Mumphrey’s overtures introduced extraneous information into the jury room. It denied Dutkel’s habeas petition because “the extraneous information communicated by Ellis and Mumphrey to juror Johnson did not have a substantial and injurious effect on or influence in determining the jury’s verdict” as to Dutkel.
In this, the district court erred. As explained above, this is not a case involving a run-of-the-mill ex parte contact. Rather, this is a case of jury tampering, in
In all these ways, and perhaps others, Johnson’s participation as a juror in Dut-kel’s case may have been affected. Nor was the intrusion necessarily limited to Johnson, who may have spoken to other jurors about the bribe and/or threats, and they, in turn, may have suspected that Dutkel was responsible. See Angulo,
“[T]he Supreme Court has stressed that the remedy for allegations of jury bias is a hearing, in which the trial court determines the circumstances of what transpired, the impact on the jurors, and whether or not it was prejudicial.” Angulo,
A Remmer hearing must begin with a strong presumption that the jury tampering affected the jury’s decision-making as to Dutkel. The “burden rests heavily upon the Government” to prove otherwise. Remmer I,
In performing this inquiry, the court must carefully consider the “entire picture” surrounding the tampering and its effects. Remmer II,
REVERSED and REMANDED.
Notes
. Judge O'Scannlain argues that Remmer was overruled or modified sub silencio by Phillips. See Concurring Op. at 900. We do not find this argument convincing, though it's possible that the Court today would reach a different result if faced with a case of jury tampering. Cf. United States v. Gaudin,
. One of Johnson's fellow jurors noted that Johnson was relatively silent during the deliberations as to Dutkel, and only began to speak up when the jury deliberated as to Washington.
. There is no evidence that Washington's lawyers received or used any of the information that Ellis and Mumphrey extracted from Johnson. We presume that members of the bar would not knowingly use information obtained in this illicit fashion. Nevertheless, information could have been passed from Johnson, through Ellis and Mumphrey, to Washington, who then may have used this knowledge of how the jury perceived the case to influence certain strategic decisions made by his lawyers. We have no way of excluding this possibility. All we know is that Johnson passed information to Ellis and Mumphrey for the purpose of helping Washington's lawyers. As the FBI investigation revealed, "ELLIS wanted to know what WASHINGTON'S attorney was doing wrong and what JOHNSON felt about the case.” Government's Excerpt of Record at 55. "In addition to discussing whether anybody was guilty or innocent, [Ellis] wanted to know what the attorney was doing wrong. JOHNSON told [Ellis] that the female attorney was not doing her job to get WASHINGTON off of the conspiracy charge. As a result, she should have done some things differently.” Id. at 48.
. Dutkel’s primary argument below (as before us) is that the jury tampering in this case rises to the level of a structural error under Arizona v. Fulminante,
Concurrence Opinion
concurring in the result:
I concur in the result ordered by the court’s opinion but not entirely in its legal analysis. I write separately to express my view that in criminal cases involving jury tampering by a co-defendant, the defendant must establish that prejudice was likely to have resulted before the government should be required to prove the harmlessness of the intrusion. In this case, I agree we should reverse and remand for a harmlessness hearing because
The opinion places the burden of proof in jury tampering cases upon the government, requiring the government to “show that there is no reasonable possibility that [any juror] ‘was ... affected in his freedom of action as a juror’ as to [the defendant].” Op. at 899 (quoting Remmer v. United States,
In more recent cases, however, the Supreme Court has retreated from Rem-mer ’s presumption of prejudice and the sweeping language of that opinion. In Smith v. Phillips,
In United States v. Olano,
In sum, the Supreme Court’s post-i2em-mer cases suggest that allegations of improper interference with jury deliberations should be addressed through case-specific investigation into the existence of actual prejudice, rather than automatic application of Remmer’s inflexible presumption. Our sister circuits have recognized the
Our own decision in United States v. Angulo,
If the court’s reading of Angulo were correct, one would expect Angulo to conduct a straightforward Remmer analysis like the one undertaken here. Such an analysis would contain the following three steps: (1) classification of the case as a jury tampering case, (2) application of the Remmer presumption, and (3) remand for an evidentiary hearing pursuant to Rem-mer, But. the Angulo court proceeded down a different path. After briefly summarizing Remmer, see Angulo,
[I]n determining, whether a hearing must be held, the court must consider the content of the allegations, the seriousness of the alleged misconduct, or bias, and the credibility of the source. Considering these factors, we deem it clear that the district court abused its discretion in failing to hold a hearing under the facts presented in this case.
Id. (emphases added and citation omitted). Thus, instead of undertaking a conventional Remmer analysis, the Angulo court applied a more flexible, multi-faceted test that led it to conclude that a hearing should have been held in light of the specific circumstances present in that case.
Although the Angulo test may produce results similar to a pure Remmer analysis in many (but not all) jury tampering cases, as an analytical matter the Angulo approach is clearly distinct from the court’s application of the Remmer presumption here. A Remmer analysis calls upon courts to classify the type of interference presented and apply a presumption if jury tampering is involved. In contrast, the Angulo test focuses not on interference classification but on evaluation of “the seriousness of the alleged misconduct or bias,” Angulo, 4 F.3d.at 847. Thus the Angulo test is much closer to the views of the Fifth Circuit in Sylvester and the D.C. Circuit in Williams-Davis than it is to the
Like my colleagues, I reject Dutkel’s argument that Washington’s jury tampering constituted a structural error entitling Dutkel to a new trial. In light of the considerable evidence suggesting the likelihood of some prejudice to Dutkel, I agree that the district court erred by failing to hold a hearing to determine the harmlessness of Washington’s jury tampering vis-a-vis Dutkel.
. Phillips was not a jury tampering case, as the opinion points out. See op. at 894-95. The Phillips Court explicitly referred to Rem-mer, however, as an example of a case "in which the defendant [was properly given] the opportunity to prove actual bias,”
. I am not persuaded by the Fourth Circuit’s unqualified retention of the Remmer presumption in United States v. Cheek,
. The evidence suggesting the possible ways in which Dutkel may have been prejudiced by his co-defendant’s jury tampering is amply discussed in the opinion, op. at 897-99, and therefore I do not repeat it here.
