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United States v. Philip A. McLennan and Fred H. Bender
563 F.2d 943
9th Cir.
1977
Check Treatment

*1 Bursten, (5th 453 F.2d v. States denied, 1971), cert.

Cir. (1972); Desmond v. L.Ed.2d 83 (1st 226-27 Cir. 345 F.2d

1965). review of this rec- from our

We conclude guilt strong that the evidence

ord be affirmed. should

the conviction America,

UNITED STATES

Plaintiff-Appellee, and Fred H.

Philip A. McLENNAN

Bender, Defendants-Appellants.

No. 76-2365. Appeals, Court

United States

Ninth Circuit. 19, 1977.

Oct. En Banc Rehearing

Rehearing 2,1977. Dec.

Denied

provided covering “project for loans costs” incurred a borrower and concurred in prohibited profit-making by HUD and borrower. Architectural costs were limited for the actually “necessary” those con- the particular project being struction of *3 funded. October, 1971,

From to April, $961,282 defendants received a total of HUD, they repeatedly from which repre- applications, through sented in loan owner- architect in agreements, requisitions fund decertifications, project and in final costs Roberts, Sepenuk, M. Norman Leslie being paid payable project or archi- Portland, Or., defendants-appel- argued for tect, reality, Dahlen. In Dahlen Charles lants. independent was not an contractor as HUD Portland, Blackman, Atty., Marc U. S. believe, was led to but rather a salaried Or., argued plaintiff-appellee. of the defendants. After employee paying salary expenses, Dahlen’s and the defend- money ants divided the remainder of the fees, received from HUD for architect’s CHOY, DUNIWAY, ELY and Cir- Before $600,000, roughly between them. These Judges. cuit charges criminal resulted from their false money pay statements that this was to or DUNIWAY, Judge: Circuit pri- Defendants’ paid to architect. appeal McLennan and Bender Defendants good in mary they defense was that acted (1) them of judgments convicting from faith, intent re- lacking specific thus a matter within false statements in making applicable to violate the statutes. quired agency jurisdiction department of a part theory, they As of that claimed that at state- (2) making false of the United they all times had acted on the advice of influencing purpose ments for the accountants. counsel and Housing and Department action of the raise two the defendants appeal, On (3) and con- Development (HUD), Urban (1) testimony whether certain issues:1 and to make such false statements spiring irrelevant; hearsay and and inadmissible States, all in viola- the United to defraud in (2) the district court erred its whether 371, 1001, tion of 18 U.S.C. §§ concerning the dis- instruction to the affirm. (1970). We of the indictment. part missal of FACTS Hearsay Alleged Statement. I. years through de- During challenge Defendants the admission of fendants, non-profit corpora- two through attorney of their certain former tions, for loans from HUD applied (1) it was inadmissible grounds on the 1950, 12 Housing Act of U.S.C. College (2) irrelevant.2 hearsay, (1970), purpose for the seq. 1749 et §§ Bur- college attorney, former constructing seven The defendants’ designing nett, The Act the advice which facilities in four states. testified about dormitory fore, remaining we will deal with the two .originally in this raised 1. Three issues were However, January appeal. argument issues. oral 12, 1977, attorney defendants’ “waived for challenging purposes” privi- attorney-client the instruc- the issue all 2. Defendants waived given testify. on “motive” and “intent.” There- lege tion to allow their former motion for a new trial conclud- defendants’ made them. The given be- hearsay that the statement was not challenged, ed being Burnett, which is now something prove cause it was offered to exchange on following in the elicited said, other than truth of what was government. examination direct 801(c), and therefore was ad- Fed.R.Evid. aware, 1971, that Now, you were Q. right. He was missible. an from being paid were funds Dah- of Charles account name auditors In late defendants’ raised Mr. McLen- len to Mr. Bender and defendants had done questions what that, nan? doing ac- moneys and were with cording to certifications defendants’ A. No. HUD, go architect. One were 1972? you aware of Q. Were Burnett, called in thereupon the defendants No. A. incident quoted and the resulted. of that aware Q. you Did become *4 time, to be re- moneys At that were still 1973? HUD, de- ceived from and thereafter the 1973, yes. In late A. again fendants certified to HUD that a percentage moneys

named claimed did Mr. Bender Q. you When learn from go of were architect. Two the transfers, specifi- you about these do indictment, counts in the Counts VII and said cally you recall that what it was VIII, relate to certifications. those false to him? The exclamation asser- was not a mere Yes. A. told attorney tion that he had And what was Q. it? In something past. defendants sake, you made, A. “For Christ’s I told that circumstances in which it was illegal.” Transcript was (Reporter’s advice, attorney having been called in for 407, 409) having just and one of defendants told doing, were the state- they really him what good Defendants their claimed clearly ment would tell the defendants: upon faith reliance advice of counsel or so telling you illegal,” “I’m now is an negated the fraudulent intent that was previ- jury could find. The reference element of Advice of charge. essential advice, sur- attorney’s ous and the obvious counsel is no defense unless the defendant prise dismay strongly and reinforce his gave attorney facts, his and un all of the strong- making his even opinion, statement less counsel the course specifically advised said, “That merely er than if he had is of conduct taken Bisno defendant. relevant illegal.” The statement was States, 711, Cir., 1961, v. United 9 299 F.2d notice; asser- merely it was not an present 719-20, denied, 952, cert. past tion of notice to the defendants. 1602, 8 L.Ed.2d 818. Moreover, not of was the statement rules, Under questions these the truth of prove fered or admitted to and answers about Burnett’s awareness of ac defendants’ what Burnett said —that 1971,1972, the facts in were and 1973 clear past he illegal or that in the had tions were Moreover, relevant. ly because Burnett simply is illegal” told them “That —but knew, when, speaking what he concerning illegali the statément show that hearsay. answers were Defendants his not the defense is made. When ty had been disagree. do not counsel, whether given, advice advice in it are not, recitals They concentrate their fire on correct or whether Usually not, admissible. quoted clearly always answer above. It was is last true or is raised of counsel damaging to their defense of advice the defense relevant Thus, illegal. is attorney’s involved upon faith reliance where conduct good upon relied the advice The issue is whether it was admis definition advice. almost given and denying the but Judge Skopil in his order been erroneous sible. will have Freeman, In the statement was not elicit- upon good relied faith. The words spo ken are the advice given. Advice is custom ed to show upon its effect the court but words, arily given and when advice is the rather to show that Freeman knew the date the words which question, constitute the of the court appearance. The statement acts, are examples advice classic of verbal relevant if it showed that they spoken, admissible because were attorney Freeman, client, did tell when whether true or false. Such verbal acts are to appear. At issue was the very truth of in to hearsay. They bring come home Here, the matter asserted. in a notice to the defendant case like this. was offered to show its effect upon Kutas, Cir., 1976, United States v. Here, defendants. it is the fact Phillips 528. also v. United See made, truth, statement was not its is States, Cir., 1965, 297, 301, 356 F.2d cert. relevant and That is precisely material. denied, Walker sub nom. v. United recognized by distinction the court in Free- 1573, 16 86 S.Ct. L.Ed.2d U.S. man, supra. Our case is like the case that Thus, if the “I had added: the court in Free- have been before them that I had discussed this with told “[cjounsel man if in that case . matters, expert in these attorneys several appellant asked whether he advised me that that they agreed and that all with appear May the order that she 20th admissible, too would be illegal,” response An affirmative or not the witness’ statement of whether what he had been question what he had done and . . . would not have [that] a statement told was true. It would still be subject hearsay.” been to attack as *5 given. the advice he had attorney Moreover, the fact statement Freeman, Cir., 1975, 9 v. United States compelling was made was also evidence 67, supports 519 F.2d also this conclusion. November, 1973, that before Burnett was case, appealing In that Freeman was her not aware that the defendants had been jumping” conviction for “bail which was personally appropriating architect’s upon appear based her failure to in district attorney’s fees. It shows the lack of knowl- major specific court on a date. A issue edge the defendants’ activities. knew the district court was whether she From this could conclude that the appear that she had been ordered to on that fully defendants had not informed their asked, oath, date. Her under attorney lawyer of all the material facts when they previously whether he had stated to the advice, soliciting were thus undermining court that he had told his client when she their defense of reliance on the advice of appear. was scheduled to We said: States, 1908, counsel. v. Williamson United Counsel was not' asked whether he had 425, 453, 163, 278; 207 28 U.S. S.Ct. 52 L.Ed. appellant advised of the order that she Bisno, supra, at 720. Because Burnett’s 20th; instead, appear May he was testimony was offered to show both defend- whether, date, on that he had stat- asked knowledge, ants’ and Burnett’s it was not ed the court that he had so. An done hearsay, proper.3 and its admission was response ques- affirmative to the former tion, insofar as it constituted evidence argue also that even defendants writings utterances and offered to show if the statement was admissible to show reader, would the effect on the hearer or intent, the court should have instructed the subject not have been to attack as hear- jury that it was not considered for See, McCormick, to be say. g., e. Evidence (2d 1972), at 69.. 249 ed. 519 F.2d truth of the matter stated. Defense coun- § being prove the evidence was not admitted to 3. Burnett had advised McLennan and Bender (a were, indeed, violating how to avoid that McLennan and Bender vio- case, see, charge lating merely which was dismissed from the but to show infra, II). testimony, particular, given them, His Part and in what advice their here, being challenged charge the statement was refer- dismissal of the did not ring regarding admissibility to his advice that Act. Because affect the of that statement. 948 precedent there are conditions two

sel, objecting to the although answer under hearsay admission of a statement trial, never asked moving for a new exception: “First, “excited utterance” limiting such a instruction. give the court there occurrence must some event argues He that such be 105. Fed.R.Evid. now sufficiently startling to render normal re- a have been “futile” because request would processes inoperative. thought flective ruled that the trial court had the statement Second, of the declarant the statement “futili hearsay. We fail to see the was not a spontaneous must have been reaction to said a motion. The court had ty” of such or event and not result occurrence limiting because nothing about a instruction McCormick on thought.” reflective Evi- give he asked to one. had not been Noth Thus, 297, p. dence 2d Ed. 704. when a ing making counsel from such prevented hearsay is offered this ex- case, In the usual the court is not request. prelim- must make a ception, the trial court give such an instruction sua required inary factual determination that declar- States, Cir., v. United 9 sponte. Benson distraught ant was so excited or at 576, 1968, places 402 F.2d 581. The law moment that he did not of utterance reflect to ask v. upon duty for it. Sica counsel reflect) (or have an on what opportunity States, Cir., 1963, 831, 325 F.2d Skopil made saying. Judge no such denied, 1964, 952, 836, 376 U.S. 84 S.Ct. cert. record is hardly here. The determination 970, 972. 11 L.Ed.2d See United States Moreover, sufficient us to do so. Cir., 1972, 529, 531, Campbell, 9 notes, courts McCormick “Most denied, 1972, 1062, cert. U.S. S.Ct. skeptical probably extremely re- 516; 571, Petley 34 L.Ed.2d v. United garding merely whether one informed of an Cir., 1970, 427 F.2d upon hearing event could so excited become denied, 1970, cert. of it as power to lose the reflective 27 L.Ed. 57. thought.” p. Id. case, subject In this Burnett suggested It is also that Freeman was indeed, and, cross-examination at the end of wrongly decided, self-quoting by because his testimony specifically asked for and re panel witness is hearsay. But can- explain permission ceived the context *6 not the Only overrule Freeman. court in was (Report which the statement made. banc can is not good do that. This case a 430-432.) Transcript er’s at a limit While vehicle purpose. for that Freeman itself ing could have given instruction been if which, recognizes under a distinction as has we cannot find its omission requested, that shown, question been here in the plain 52(b). was error. F.R.Crim.P. was admissible. Finally, the trial broad judge had to determine relevance. United discretion II. Jury Alleged Error Instructions. Salazar-Gaeta, Cir., 1971, States originally Count I of the indictment There was no that dis F.2d 468. abuse of contained portion alleging a violation of case. The was cretion in this Copeland Act, the (1970).4 U.S.C. § relevant. clearly The indictment did not mention the Cope suggested It that the witness’ land Act cited by merely name. It 874. § part could admitted an excited The dismiss that answer be as defense moved to ground This seems doubtful on the rec the Act Copeland utterance. that the did not McCormick, According by govern- to the apply alleged ord us. to the facts before work, public building or or work financed in (1970) states: 18 U.S.C. part by grants whole or in loans or from the public employees from works Kickbacks give up any part of to the com- “Whoever, force, intimidation, by or threat of pensation to which he is entitled under his procuring employment, from or dismissal employment, contract of shall fined not any per- any whatsoever induces other manner $5,000 imprisoned not more than or more than construction, employed prosecution, son years, five or both.” repair any building, completion public of or point to any presented evidence which was the judge ment. trial denied the Initially, thus, during presentation motion the of relevant to the solely Copeland allega- Act case, government’s there were some ref- tion. type Thus the of instructions to the jury erences witnesses and counsel that defendants now mention were addition, In Copeland Act. the indictment unnecessary. Defendants do claim ei- jury beginning (a) which was read at ther court gave any that the instructions of the trial also contained the that appropriate only would be Cope- the Act charge, although Act, the name of land jury thus permitting the to con- At the close the govern- Act, not mentioned.5 of vict (b) under that any that of the case, again ment’s defense counsel moved to give, instructions that court did relating case, dismiss that of the and at that portion charges that remained before the time, granted, jury, How, then, the motion was and the trial were erroneous. could the judge portion conspir- that dismissed of prejudiced? defendants be acy (Count c.) count 2. which contained H Defense counsel argues the problem that the Copeland charge. was not irrelevant evidence but rather that At request, judge defense counsel’s “Copeland references to the implied Act” jury stated would inform the that he the jury ongoing that an relationship of this indictment, that part type dismissal of of the the developers between and the archi- and he warned defense counsel that tect per illegal. se The thrust of this a weapon argument dismissal was not be used as takes us back to Burnett’s state- closing argument. Immediately before fi- ment part discussed the first of this nal arguments, opinion. court instructed the Defense counsel is contending jury portion that it had “taken a of Count I that the jury considered the statement as away jury’s from the consideration . . true and as an indication defend- purely law, a matter has ants’ illegal actions were the Cope- [it] nothing to do with the determina- argues factual land Act. He also court tion which are to make on the other you (1) failed to explain jury 937-938). counts” (Reporter’s Transcript longer part Act was no No mention was made the court that the case (2) because the trial court had dismissed con- portion indictment determined not apply Act did cerned or that referred this type relationship, the defendants’ to “kickbacks.” activities violate That did not omitted .it. explanation, argues, counsel left the unwar- McLennan and Bender contend prejudicial implication ranted and of illegal- court’s explanation the dismissal of those ity This, too, jury. before the is a red charges inadequate because it did not herring. inform the the substance of the *7 help deleted to the sift out charge the The prosecutor’s opening argument cov- irrelevant The is a argument evidence. red ers pages transcript. of the Never once herring. is that the The fact all of evidence did he argue the pro- substantive offense which was admitted was relevant under the scribed by Copeland Act. Never once charges that remained in the ease. There did he argue that what defendants did vio- was no evidence that was only relevant to lated the Copeland argu- Act. His entire Indeed, the Copeland charge. Act defense ment remaining was directed to the argument counsel at unable charges oral to govern- statements —false grants loans or from part original the United 5. The indictment which provisions Copeland namely housing referred to the Act student construction under the College Housing give up stated: part Act of to of compensation to which he entitled un- defendants, by deception “c. The and employment der his contract as set forth in manners, other in means and other did induce Agreements; Owner-Architect in violation of Dahlen, person employed Charles R. Code, Title United States Section construction, 874.” prosecution, completion repair (Clerk’s Transcript 3^4) building part or work financed or in in whole Certainly. A. get defendants to enabled the ment that $600,000 to over government from the afoul of the law? Q. Or run The Cope- not entitled. which were they Certainly. A. and would with “kickbacks” land Act deals Q. Copeland Especially the so-called required had the defendants apply only if Act? money that he to them pay the architect to others, Well, sure. among A. all The government. from the had received mentioned, Copeland Act is as I that And that that is what argued prosecutor never there was a part not of this case. And no instructions gave happened. The court Act and he Copeland with the problem subject. on the total devel- trying implement to prosecutor opening argument, In just for this opmental entity approach once, Act in Copeland mentioned dream of Mr. McLennan’s. 1046- [R.T. Burnett’s attorney reference to 47] that an ar- he told the defendants Thereafter, Copeland Act was not men- be the architect would rangement whereby money including prose- for less again by anyone, the work tioned salary, doing on cost, it closing argument. in his they government than told cutor illegal because couldn’t work and would finally As the case was submitted Defense counsel did Act. Copeland these con- jury, entirely upon it was based argu- object any then or at time. The employed an ar- tentions: defendants Burnett legitimate because did ment was chitect, Dahlen, salary plus upon monthly the defend- Copeland and mention expenses, together approxi- which totalled But spite in of his advice. ants went ahead However, $300,000. on various doc- mately that defend- prosecutor suggest did not HUD, they repeatedly uments submitted Copeland ants could be convicted under the architect was entitled represented Act. or named percentage to either a of cost counsel closing argument, In his defense money totalling approximately sums of Once, Act twice. mentioned $900,000. fraud They up covered that was in evi- he referred to a contract account in Dahlen’s setting up a “revenue” dence, here is what he said: and name, they on which could draw but would, Well, gentlemen, ladies and draw, into right which he no and course, you you do read suggest to they had they put moneys which put agreement like to this and I would for architect’s costs. received From context, was drawn agreement too. This $300,- account, they paid to the architect his drawn, part, Burnett. It was by Mr. $600,000. they paid to themselves and, inci- problems avoid highly successful sophisticated It was a gentlemen, Cope- dentally, ladies they And concealed it from fraud. part of the case. longer land Act is no government. as well as from the that are no charges That is one of the It was not proved The case was to the hilt. part It is not a of this longer you. before a close case. case, part to avoid but it was drawn say that most of the It is not correct anti- problem, the so-called Cope- related to the government’s evidence speak. so to problem, kickback [R.T. 998] say charge. land Act It is not correct said, referring what he The second time strongest single provided that that Act was this: testimony, Burnett’s *8 charge that defendants’ ar- ground for the I to him: said illegal, with the architect was rangement it was false or mislead- concealing

and that say not correct to that Burnett’s entities, ing. It is I Q. Now, setting up these in strongest evi- dismayed statement was the it were concerned with you take illegality and of defendants’ dence of sure that the defendants making fact, Copeland knowledge. In improper? anything didn’t do is a matter of law that the Court had to charge part was a minor of the case. The only conspiracy Act is referred to in the determine. It’s no you, concern to as far count, I, portion then Count concerned, as the facts are with reference in a quoted supra, subparagraph footnote to the remaining counts. of 7 lines in 14 pages a count of that stated I you So wanted to advise of that in view just in what the defendants had detail done. of the fact those matters are not remaining None of the counts refers to the now before jury, you might have through Act. Counts II V refer wondered why attorneys were not to 18 U.S.C. 1010—false statements to § talking matters, those but they HUD. Counts VII and VIII refer to 18 have been taken away you, from purely 1001, the general U.S.C. false law, as a matter of and has nothing to do section. with the factual determination which you apparent It is that the Copeland Act lan- are to make on the other counts. [R.T. guage in the indictment was protective a 937-38] charge, one intended to forestall a defense Defense object. counsel did not deposit money the Dahlen When the prosecutor’s opening argument payment revenue account was in fact a is considered in entirety, its the one refer- Dahlen, who then do with it could as he ence to the Copeland Act was properly used pleased, payments so that to defendants to support general theory that the de- them, from that account were Dahlen to not, faith, good fendants did follow their cover-up simply keep- instead a for their attorney’s advice, and it evidence, however, part was a minor ing money. argument. got already that Dahlen never As I have indi- money cated, place, first although repre- the defendants statement was admissible for sented to the government purpose, that he was to and the asking burden of get gist it. That is the of the charge; limiting a instruction which would have al- indictment; is the theme of the that was leviated this “problem,” of which counsel the theme prosecutor’s argument; much, now makes so rested with the de- is what this really case is about. fense. The court was never asked defense Even assuming jury might that the have to instruct “comprehensively” or drawn an improper conclusion from the ref- “in detail” about the Cope- dismissal of the erence to the Copeland problem land reference in I. Count Defense eliminated the trial court’s instruc- suggested particular counsel never any Judge Skopil tions. jury only told the what specific language subject. on the Before it must find to convict under the charges the case argued jury, the court remaining point in the indictment. At no instructed them as follows: was the jury findings justi- told what There is one matter that I do desire to fy a conviction under the Act. up take with you prior to the time that All jurors that the applica- knew about the they argument, start and as a mat- ble law judge was what the trial clearly and law, ter of the Court has taken certain correctly explained to them. To those in- portions of the indictment away from the objection. structions there was no In addi- jury’s consideration and those matters tion, copy indictment, with all will not be by you. considered references charges to the dismissed deleted recall, you As eight-count was an given jury. objec- There was no indictment. It you was read to at the tion. possible prejudice. There was no I, start. Mrs. you. Hui read it to as a circumstances, Under the is unneces- law, matter of have taken VIII Count sary charge whether the consider away from the jury’s consideration and improperly Act was dismissed. also have taken portion Count

away from jury’s consideration. That Affirmed.

952 (1966) 210 (decided prior L.Ed.2d to concurring special-

CHOY, Judge, Circuit date of Federal Rules of Evi- effective ly: dence). McLennan that the convictions agree I I would affirmed. Bender should be and however, upon re- fundamentally, More result, however, dif- for reasons

reach question validity I now flection Duni- by Judge from those advanced ferent in Freeman holding that a declarant-wit- way. hearsay.2 is Al- self-quoting ness’s in fact that, as a though commentators maintain

Hearsay principle, ap- “orthodox general under the Duniway’s self-quotation technically such is proach,” Brother unpersuaded I am controlling its con- hearsay if offered for the truth of attempt distinguish Freeman, tents, Berger, v. 519 4 J. M. of United see Weinstein & States precedent there, Here, (9th 1975). 801(d)(l)[01], as Evidence 67 Cir. Weinstein’s H “I (1975) the words cited as statements contained 801-64 to -65 involved [hereinafter therein, “advised”), and thus at I (or “stated” or and authorities cited told” Weinstein] portion of the declarant-witness’s have found no case other than Freeman least that holds, be said to itself cited out-of-court utterance cannot which so and Freeman offered the nonhear none. The reason void merely precedential have been for for this notice, that characterization of declarant- previous may sáy purpose proving its re- very self-quoting hearsay truth of witness notice in context is as —and usually this statement exclusion on that the matter asserted: sultant basis— previously may by offering was in fact uttered.1 On be avoided the statement de correctly prove that Freeman was the truth of the matter assert- assumption not therein, cided, therefore, in the or testimony prove Burnett’s ed but rather notice such, alleged as hearsay. knowledge part instant case Even on of someone however, Be- (or read) I would that it is admissible heard the statement. hold to have Fed. “I exception, component under the excited utterance cause of the told” Bell, however, Freeman, such 803(2). statements R.Evid. See United States 868, 1965), unavailable, the evi- cert. and (6th 351 F.2d 872-73 Cir. treatment 1200, denied, 947, hearsay.3 dence there was held to be Freeman’s Ms. stated what he did to Duniway’s may Judge misreading 1. of Freeman may bail-jumping proceeding in that in the stem from focus of his attention the court irrelevant, quotes following language: possibly opinion. He well have been should have been excluded that basis. But on he had was not asked whether Counsel hearsay objection clearly is based on not one appellant ap- that she advised of the order principles. hearsay problem The would arise May 20th; instead, pear was asked when, if, only parties third to whom whether, date, on that to the he had stated spoken to corrobo- declarant were called that he had An affirmative court done so. testimony. rate his response question, insofar as it former and writ- constituted evidence of utterances The Freeman court further in that 2. went even ings hearer offered to show the effect on the apparently found to have it some statements reader, subject have been hearsay by adoption, been for the witness’s McCormick, hearsay. See, g., testimony attack e. in one instance consisted (2d 1972). Evidence “yes” ed. prosecutor’s question. answer however, overlooks, at 69. He 519 F.2d Judge Duniway very Burnett’s self- next sentence: characterizes act, example response quote latter in- as a classic of a verbal But an affirmative not, turn, hearsay, response clearly citing quiry given is here which —the —was Kutas, (9th offered States v. 542 F.2d Cir. evidence out-of-court statements States, 1976), Phillips prove 356 F.2d matters asserted v. United truth of the (9th 1965), sub nom. Cir. cert. denied therein. (footnote omitted). v. United U.S. 86 S.Ct. Walker Id. difficulty may (1966). possible 16 L.Ed.2d 548 I have result in Freeman It analysis. hearsay with this issues a desire to of a witness’s reflect limit evidence are the verbal act to buttress his cited cases resolved not effort statement with so, well-accepted repeated exception, but notice or he had If whether before.

953 safeguards, the declarant-witness is that, holding if the in Freeman was believe issue, compels on this the same trial, oath, correct present at under subject here. result cross-examination, he and affirms the state- ment as his.5 generally See McCormick on in Free- reject assumption I would (2d Cleary 1972). Evidence ed. man and do with its rule that makes away that, cases, in all would hold declarant-wit- (1) self-quoting hearsay declarant-witness that, ness self-quoting hearsay, is not or if (possibly rarely because it is so encountered it is under technically hearsay the definition equivalent in the context of “I told” 801(c), it of Fed.R.Evid. should be admitted statements), (2) problem because the is so pursuant to the “federal common law” ques- framed easily by properly avoidable hearsay exception provisions 803(24) of rule information, tion which elicits identical and event, owing independent to its indicia of reliabili- (3) because, the rule is with- any justice.”6 logic4 ty or the and serve the “interests of policy out foundation either 4 Weinstein at 803-250. hearsay considerations which underlie See prior statements as substantive evidence to the hearsay knowledge exception to the rule. See Kutas, (“[t]he present 801(d)(1)(A) F.2d at 528 statement was two contexts of rule and as evidence from which it could be (B) prior admitted given inconsistent statements — knew”); Phillips, inferred that oath, [defendant] prior and consistent statements offered to (“[t]he question at 301 documents in were charge improp- rebut a of recent fabrication or jury’s received ... for the consideration er motive—and not to differentiate between determining whether one or more of the party testifying whether a third is as to what knew”). application defendants While of the then-present declarant had said or whether uniform, concept act is verbal less than see testifying the declarant himself is as to what he -60, generally 4 Weinstein at 801-59 to it is at said. questionable least whether the cited authorities suggest The Note and commentators that the Moreover, apposite render it here. resort to permit prior reluctance to the admission of analysis verbal obscures the fact that notice act out-of-court statements of a witness notwith- here, clearly is at issue and that the notice standing present availability for cross-ex- exception is unavailable where the truth of the grew amination under oath from a fear that component “I' of told” the statement is the by fraudulently such a rule would lead to trial truth of the matter asserted. prepared deposition See, testimony. g., e. appre- can, Weinstein 801-68 to -69. Such an 4. An absurd result obtains: a witness hension, however, goes any possible hearsay objection, condemning more to without relate seen, yet what he has memory the ethics of the federal bar than he cannot relate what his to violations policies underlying hearsay protec- tells him his own mouth said. It is as eyes’ sensory input Compare supra. if one’s to the brain is tions. note 1 admissible, but as to one’s mouth’s 803(24) provides following 6. Rule sensory input the brain is forbidden. hearsay: not excluded as apparently understanding 5. Such is also the specifically A statement not covered Advisory Proposed the federal Committee on any foregoing exceptions having but expressed ambiguous Rules as in a somewhat equivalent guarantees circumstantial commentary to rule which became effec- trustworthiness, if the court determines that tive after the trial in Freeman : (A) the statement is offered as evidence of a controversy Considerable has attended the fact; (B) pro- material the statement is more question prior whether a out-of-court state- point bative on for which it is offered by person ment now available for cross-ex- any proponent than other evidence which the it, concerning amination under oath and in procure through efforts; can reasonable fact, presence of the trier of should be (C) general purposes of these rules hearsay.- classed as If the witness admits on justice the interests of will best be served the stand that he made the statement and admission of the statement into evidence. true, adopts that it was the statement and However, may a statement not be admitted hearsay problem. hearsay there is no The exception proponent under this unless the problem arises when the witness on the party it makes known to the adverse suffi- having stand denies made the statement or ciently hearing in advance of the trial or having admits made it but denies its truth. provide party oppor- the adverse with a fair 801(d)(1), (prior Fed.R.Evid. Note tunity it, prepare to meet his intention to witness) (emphasis added). Later in the same it, particulars offer the statement and the Note, however, the cuts back Committee including the name and address of the declar- expansive foregoing language, thrust of the ant. it seems to limit the admission of a witness’s therefore, now complain have no cause to Copeland Act Count improper that an was not clearly dismissal Judge Duniway’s agree with I also cannot *11 explained. Lemon, Cf. United States v. 550 the trial court failure of conclusion that the 467, (9th 1977); 469-70 Cir. United the in detail jury the to instruct 833, (9th v. King, States 552 F.2d 849 Cir. was not Act count Copeland dismissal of the 966, denied, 1976), cert. 430 97 S.Ct. U.S. Clearly, of the evidence of- error. most 1646, (1977). 52 L.Ed.2d 357 to this Government related fered the true, may the it the district court provided sin- While be as Copeland count. The held, the upon apparently legislative history which the ground gle strongest Copeland Act reveals it was its contentions de- Government based arrangement passed prevent in order to contractors from architect-developer fendants’ avoiding wage those minimum laws which the failure to disclose it illegal construction, Moreover, see “misleading.” govern federal United was “false” or 633, Carbone, 638-39, v. 327 66 illegal” the “that’s States U.S. placed jury, before 734, (1946) in testimony (discussing was the S.Ct. 90 L.Ed. 904 of Burnett’s portion Copeland legislative of detail the Act’s histo- illegali- of evidence both prime piece are ry), well as their the statute clear in of conduct as the words of ty defendants’ generality: thereof.7 knowledge Whoever, force, intimidation, or But, result, again, I concur in the once procuring of em- threat dismissal from jury that a instructed properly I believe what- ployment, by any or other manner architect-devel- could find defendants’ any person employed soever induces involve a “kickback” in oper agreement did construction, prosecution, completion Act and that the Copeland violation of repair public building, public or of any court, therefore, trial was in error dis- work, building or or work financed in Act count. dou- missing grants or in from part by whole loans or 18 ble clause and U.S.C. 3731 jeopardy § give up any part the United to of States) may well forbid (appeal by United compensation to entitled which appealing dis- Government from shall employment, of contract purposes missal the count for of reinstat- of $5,000 impris- or be fined not more than as to ing the indictment it. See United years, oned not more than five both. Co., 430 Supply v. Martin Linen U.S. States 564, 18 874. We must observe the ad 1349, (1977); 642 U.S.C. § 97 51 L.Ed.2d S.Ct. Morrison, Supreme 1, repeated monition v. 429 U.S. 97 United States Court — Industries, 1292, recently in Fe v. (1976); 50 1 United Santa Inc. S.Ct. L.Ed.2d Green, 462, 472, 1292, 1300, 358, 95 430 Jenkins, v. 420 U.S. U.S. 97 S.Ct. States S.Ct. 1006, Chip 51 Blue (1975); (1977), quoting United States L.Ed.2d 480 43 L.Ed.2d 250 Stores, 332, 1013, 723, 421 Wilson, Stamps Drug 95 43 v. Manor U.S. v. 420 S.Ct. U.S. 1917, (1975) free, however, 756, 44 539 (1975). are 95 S.Ct. L.Ed.2d L.Ed.2d 232 We “ (Powell, concurring) J. start propriety to of the dismissal to examine ‘[t]he —that whether, being ing involving case preju- point every determine instead of construc ” a is the alleged improper language omission from tion of statute itself.’ diced an no charge, defendants in fact re- On the face of the there is Congress intended to limit they treatment than indication that generous ceived more and, wage its context. by virtue of the dismissal reach the minimum deserved however, 52(b). apply, it dure If the does apply, If the Act does not would provide sufficiently strong basis for below limit would a hold that failure of court proof calling arrangement illegal, and the failure of Burnett’s the admission error, instruction, though possible illegality give limiting failure still notice —which egregious appear rec- that defendant’s own so that we should allowed testifying contemporaneous projects ognize proper counsel on the involved it without a “illegal” objection. that defendants’ conduct was —was plain error under Federal Rule Civil Proce-

955 judgment, the record does not lead to the Nor is there an which would ambiguity compel legislative history. resort firm spoke belief that Burnett “under the Collett, 55, 61, parte Ex See U.S. immediate and uncontrollable domination (1949); 93 L.Ed. 1207 Packard senses . . ..”6 Wigmore, Evi- NLRB, 485, 492, Motor Car Co. dence 1747 at (Chadbourn 1976). rev. (1947); Accordingly, 67 S.Ct. L.Ed. I would reverse under Associations, v. American Trucking States compulsion of Freeman. 31(5 Inc., 534, 543, U.S. 60 S.Ct. 84 L. (1940); Sabatino, Ed. 1345 United States v. COPELAND ACT (2d 1973), denied,

485 F.2d Cir. cert. Again, like Judge Choy, I agree cannot *12 948, 415 U.S. S.Ct. 39 L.Ed.2d 563 with our Brother Duniway’s conclusion that would, therefore, (1974).8 I heed the sar the District Court’s failure to instruct the donically expressed teaching of Mr. Justice jury comprehensively respect to the dis- Frankfurter that Copeland (Act) missal of the Act count of applying this is a case for the canon of the indictment resulted in no more than said, wag construction of the who when harmless my error. Unlike Choy, Brother legislative doubtful, the is history go to however, I cannot conscientiously agree to statutef,] the affirm, even assuming arguendo, that States, Greenwood v. United 350 U.S. District dismissing Court erred in Cope- 410, 415, 100 L.Ed. 412 (1956), land Act count of the indictment.1 This is quoted in Van Hoomissen v. Xerox Corp., especially so prosecutor’s because of the ref- 1131, 1133(9th 1974), Cir. and hold during erences closing argument his to the that the Act count Copeland improper was Copeland (R.T. 970-71), Act to Burnett’s ly dismissed. statement in respect to the illegality under grounds, On these I would Affirm. the Act of the developer-architect relation- ship (R.T. 970-71, 973-74, 1063-64), and to ELY, Judge (Dissenting): Circuit illegal (R.T. 987-88). Thus, kickbacks I my submit that Brother Duniway’s state- I respectfully dissent. The results “only possibly ment that one” prejudicial by my reached Brothers in their respective remark was made by prosecutor is inac- opinions are not acceptable me. curate, as well as quite lame. Even if we only HEARSAY assume that one unfair blow was struck, it was a fatal blow. Judge Freeman, Like that Choy, agree ill-considered, however controlling is here. Judge Choy emphasizes, As the “that’s however, agree, I do not that illegal” portion Burnett’s Burnett’s was, event, in any single admissible un- damaging part most of the evi- der the exception “excited utterance” to the concerning illegality dence of the appel- hearsay 803(2). and, course, rule. Fed.R.Evid. In my lants’ conduct their alleged judge Even if that, trial. a trial issues cognizant context, erroneous I8. am in the criminal ambiguity respect with rulings, to a statute’s ambit obliged ethical trial counsel are lenity. Rewis v. should resolved in favor rulings. approach abide those The taken 808, 812, 91 S.Ct. my Choy, adopted, Brother if could lead to I, (1971). however, 28 L.Ed.2d 493 find no consequences. encourage intolerable It would Compare ambiguity Sa- Act. attorney, believing an that the trial court had batino, 485 F.2d at 544. (e. g., dismissing charge upon erred based specific statute, here), defy judge by Judge Choy insinuates the offense uttering hope forbidden comments in the charged under the Act was errone- appellate an court would hold that the trial that, hence, ously appellants dismissed and ruling and, court’s basic erroneous position complain are in no those reason, harmless, forgive, or hold prosecutor pertinent remarks of the that were prejudicial for conduct that would otherwise be it, only approach As I to that Act. see this is contemptuous to the accused and of the court. only illogical, contrary not but also it is concept orderly most basic traditional of an in- by any have been cured possibly not act- judge, The district knowledge thereof. discretion, ing jury. appellants, within properly struction defense counsel sternly fairness, admonished be tried anew. should utilize the dismissal I would reverse. argu- during closing count as a “sword” developed, As how- proceedings ment.

ever, coun- a “sword” that defense sorely

sel to defend his clients needed

against the continued offensive prosecutor’s

use of that the devel- Burnett’s exclamation relationship

oper-architect violated Act. prosecutor

Whether or not intended jury thought with the impress Petitioner, MENDEZ, Arturo Ascencio had not followed appellants attorney, advice of consid- pivotal way eration had no & IMMIGRATION NATURALIZATION knowing whether the mentioned SERVICE, Respondent. prosecutor was the basis of the count that *13 75-3285, Nos. 76-1299. me, logical To had been dismissed. is prosecutor’s infer that the reference United States Court of Appeals, argument, during closing after trial Ninth Circuit. judge aspects had mentioned certain dismissed, had been the indictment Oct. jury

lead to believe that remained

Act count of the indictment nothing

force. I the eventual in- find dispel such a no-

structions to the Moreover,

tion. I do consider defense (R.T. the Act

counsel’s two references to an 1046-47) adequate to be substitute instructions. The remarks proper jury jury, but

of an advocate do not bind the do, literally. strictly

court’s instructions therefore, conceivable, entirely

It eventually upon

the conviction rested an charged.

offense longer no say prosecutor spoke

I cannot malice,

with either when he referred to the

Act, repeatedly emphasized when hand,

Burnett’s On the other expletive. allowing prose-

have precedent found no summation, comment, during

cutor to his an dismissed count of indict- previously so, particularly

ment. To permit doing so sternly

when defense counsel has been it, to me to be

warned not to refer seems im-

thoroughly wrong. prosecutor’s

proper comment on fortified and

emphasized by subsequent references

Burnett’s damaging inadmissable kickbacks, grievously prejudiced and, opinion,

the defendants could my

Case Details

Case Name: United States v. Philip A. McLennan and Fred H. Bender
Court Name: Court of Appeals for the Ninth Circuit
Date Published: Oct 19, 1977
Citation: 563 F.2d 943
Docket Number: 76-2365
Court Abbreviation: 9th Cir.
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