*3
closing argument,
it in
and his ex-
use of
ANDERSON, Cir
Before WRIGHT and
presence at
ploitation of Detective Sellers’
WYATT,
Judges,
cuit
Senior
trial.
Judge.**
revers-
prosecutor
We hold the
committed
WRIGHT,
Judge.
using
presence
Circuit
to ar-
ible error
Sellers’
gue
credibility.
for Adamson’s
argue
and Robison
Appellants Roberts
CLOSING ARGUMENT
(1)
prosecutor
improperly
bolstered
credibility
chief witness with his
of its
prosecutor’s
closing argument,
In his
(2)
agreement
testify truthfully
plea
plea agreement,
theme was that the
first
a state
implied
closing argument
made Ad-
coupled
supervision,
with Sellers’
testi-
policeman corroborated that witness’s
He declared:
amson a credible witness.
mony.
Throughout
argument,
ladies and
which I
argu-
gentlemen,
points
there are two
improper closing
We reverse
I would like
you
would like
to consider.
ment.
**
New York.
Of the Southern
points
you,
two
I submit to
think about
these
ladies
you to
[PROSECUTOR]:
arguments
...
throughout the
gentlemen,
[of
that he was here to listen
Harvey Adam-
all
Either John
counsel]:
testimony
to that
and make sure that—
two, two and a half
when he testified
son
Object on the
[DEFENSE COUNSEL]:
stand, either he lied
days he was on the
grounds.
same
It’s the same. It’s not in
gave
testimony
his
or the de-
when he
evidence.
gave
Neal Roberts lied when he
fendant
lied,
If Adamson
ladies
[PROSECUTOR]:
testimony
open
testimony.
his
gentlemen,
plea agreement
They
to Roberts and Mr. Adamson.
are
called off.
ly-
of them has to be
inconsistent. One
ing.
We must examine the prosecutor’s com-
you
yourselves
must ask
who would
So
(1)
ments to determine
whether error was
anything
gain by
lying
either
committed, (2)
preserved
whether it was
anything
ly-
who would have
to lose
(3)
appeal and whether the error was harm-
ing.
suggest
you,
gentle-
I
ladies and
*4
less.
men,
Harvey
that John
Adamson had
PROSECUTORIAL MISCONDUCT
everything
by lying.
you
to lose
I want
plea agreement
to
is
read
We need not belabor the well-established
you
Government’s Exhibit No. 1. I want
principle
prosecutor
special
that the
has a
page
to read it from the first
to the last
obligation
“improper
to avoid
suggestions,
page.
you
you
I want
until
to read it
insinuations, and especially assertions of
it.
understand
personal knowledge.” Berger v. United
plea agreement
agreed
In that
he has
to States,
295
55
U.S.
S.Ct.
79
testify
agreed
in four matters. He
to
(1935).
L.Ed. 1314
testify truthfully in all four of these mat-
caught lying
ters.
If he was
as to mate-
improper
It is
matters,
any
rial facts in
one of these
to vouch for the credibility
government
of a
plea agreement
then his
would be called
Vouching may
ways:
witness.
occur in two
charges
off. The
first-degree
murder
prosecution may place
prestige
reinstated,
would be
and he would stand
government
may
behind the witness or
very good
going
gas
likelihoodof
to the
presented
indicate that information not
to
chamber.
If he
bargain-
would lose the
jury supports
testimony.
the witness’s
ing power
has,
that he
he has to serve a
States,
339,
Lawn v. United
355
359-60
U.S.
years
minimum of 20
and two months
15,
311,
n.
78 S.Ct.
323 n.
534 true, judge, objec- jury might The trial it is sustained case that the
dence
questions,
to some
insinua-
them.
tions
have so understood
misstatements,
and instructed
tions
States,
v. United
F.2d
749
Orebo
293
them. But the situ-
jury
disregard
1961).
(9th Cir.
was one which called
stern re-
ation
case
prosecutor
in this
referred
repressive
per-
measures
buke and
by declaring
the record
to evidence
successful, for the
haps, if these were not
monitoring
was
Ad
that Detective Sellers
impossible
granting of a mistrial.
It
testimony.1
could natu
amson’s
upon
say that
evil influence
personal
had
rally believe
Sellers
acts
was removed
of these
of misconduct
knowledge of relevant facts and
satis
judicial
mild
action as was taken.
by such
accurately
facts
stated
that these
were
fied
States,
78, 84-85,
Berger v. United
295 U.S.
effect,
prosecutor
In
by Adamson.
629, 632-633,
(1934).
1314
79 L.Ed.
55 S.Ct.
jury that
witness could
telling the
another
Adamson’s tes
support
have been called
are not
judges
Trial court
mere
States v.
timony. This was error. States,
v. United
Johnson
333
referees.
Morris,
1978) (improp
(5th
F.2d 396
Cir.
(1948),
92 L.Ed.
supports the
imply
witness not called
er
v. El
United States
(dissenting opinion);
prosecution), Reichert United
drid,
They
588 F.2d
Cir.
(D.C.
1966)
(improper
refer
role, keeping the
run
play an active
trial
witness’s
not introduced into
statements
ning efficiently with a minimum
error.
evidence).
closing argument
Their control over
*5
Sawyer, 443
broad. United States v.
F.2d
AP-
THE ERROR FOR
PRESERVING
(D.C.
1971)
Cir.
712
PEAL
to
judge
A trial
should be alert
devi
preserved
appeal.
The error
for
De-
argument.
Because
proper
ations
objected
pros-
to the
properly
fense counsel
potential
such comments have the clear
for
ecutor’s reference
evidence outside the
affecting adversely
right
the defendant’s
objection
The
was sustained but
record.
trial,
judge
prompt
a fair
should take
prosecutor persisted
argument.
with his
appropriate
corrective action as
each
helpful
It would
had de
have been
States,
case. See
v. United
Viereck
318
give
fense counsel asked the trial court
63
535
Goodman,
870,
self to comments on the evidence. Under
(5th
605
1979);
880
Cir.
Antone,
prejudice
the standard of
on the
as a
record
United States v.
(5th
transcribed The given ques- statements to Seventh Circuit has held that the State prior false, to agreement this tioning concerning plea then this the witness a bar- agreement entire is null and void and the gain promise of truthfulness was not vouch- original charges will be automatically re ing credibility for the witness’s because it instated. knowledge did imply not of facts outside Creamer, the record. United States v. The issue here is not agree- whether the (7th 1977). The F.2d 617-618 Cir. ment is admissible but whether Adamson’s Creamer say impossi- it is court seemed to promise to testify truthfully should have improper ble promise carry been the to an excised before the exhibit was presented suggestion. jury. plea
Evidence that a The has held that a testify witness is Second Circuit ing pursuant plea agreement agreement testify to a usually containing promise is a to admissible to show bias. United States v. exami- truthfully on re-direct is admissible IN ARGUMENT USING THE PROMISE a witness. United to rehabilitate
nation Koss, 506 F.2d v. we consider addressing In the third issue declared 1974). The Koss court (2nd Cir. may make aof prosecutor the use which a credibility be- bore on the evidence plea once a testify truthfully promise to agree- plea would lose his the witness cause admitted. agreement has been perjury, committed immunity if he ment may not tell the prosecutor authority. no but cited a has confirmed jury government that the ADMISSIBILITY TEST FOR THE using credibility before him. witness’s court has discretion to The trial He Gradsky supra. should v. United weigh must of bias. It exclude evidence govern to indicate that the be no more able against the evidence probative the value the steps compel to witness ment has taken possi prejudicial impact against its arguments Both of these to be truthful. improp use the evidence bility will they in vouching involve because improper Diecidue, 603 erly. United States government’s rely vite the on the has been This test testifying is assessment that witness relevancy performed test with the equated truthfully. Rules of of the Federal under declared, prose Judge Friendly As ap this test We conclude Evidence. Id. govern that the implying cutorial remarks to rehabili equally to evidence offered plies testify motivating the witness ment is impeached for a who has been tate witness truthfully: bias. prosecutorial are overkill. strong excluding be made for A case can impres- They inevitably give jurors truthfulness. agreement promise of plea carefully prosecutor is moni- sion that the witness, would seem who otherwise testimony cooperating toring may appear to been untrustworthy, the latter is witness make sure that compelled by prosecutor’s threats and something the stretching the facts— forward and be truthful. promises come do; unable usually quite is prosecutor suggestion prosecutor is had proper objection If forcing the from his witness truth summation, judge should made prosecutor unspoken message is that it; had gone if matters have sustained assuring knows what the truth is and is its the remarks striking far too to make revelation. cure, should have judge an effective cooper- promise instructed that Conveying message explicitly adds little to truth- agreement ation improper vouching. Lawn v. United oath; telling imposed by obligation *7 States, 339, 15, 78 355 359-60 n. way no of prosecutor often has the 311, 15, (1958),Gradsky 323 n. L.Ed.2d 2 321 telling whether the witness knowing States, 706, (5th F.2d 710 v. United 373 Cir. not; books are the truth or that the not 1972) (improper imply government to of perjury indictments filled with using witness). credibility checks for before gone have be- witnesses who Government by implica it conveying We conclude that facts; acquittal an yond equally improper. tion is a matter of mean that as would not seek would such course the Government A alert to trial court should be to make its or even fail an indictment admitting vouching problem a leniency. If promised recommendation containing agreement promise a tes plea know instructions prosecutors that such tify truthfully. The court should consider tempted they hardly will given, will be phrasing promise and content of here. committed excesses implications its and decide wheth ascertain Arroyo-Angulo, 580 F.2d dispel States v. er an instruction to the would United (concurring (2nd 1978) opin- improper suggestions. 1150 Cir.
537 ion). agree. prosecution rights, We not ue can be waived. States v. United guarantor Powell, truthful- portray itself as (9th 1974). 498 F.2d Cir. ness. speak Occasionally jur- courts terms other circuits have held Several they isdiction when mean venue. See 15 improper vouching is whether the test Wright, Cooper, Miller & Federal Practice reasonably pros could believe that Procedure, (discussing civil ven- § indicating a belief personal ecutor was in ue). imprecision unfortunately This causes credibility. g., the witness’s See e. United confusion, but does it not convert venue Bess, (6th v. F.2d 756-57 problems involving subject problems into Ellis, 1979), States v. 547 F.2d Cir. jurisdiction. matter (5th 1977). This court ex Cir. Assuming Judge Wyatt is correct that pressed the idea in same Orebo United the transferor cannot transfer authority impose trial and retain sen- JURISDICTION tence, the appellants should have been sen- Judge Wyatt argues that we cannot tenced in the transferee court. Neither the appeal of this reach merits because the prosecution objected, appellants nor the appellants validly sentenced. however, rights. so waived they their venue disagree. We This court must reach the merits of This case was transferred from Dis- case because we have no basis hold trict Arizona to Southern District of imposed that the sentence was void. judges presid- California for trial. Arizona REVERSED. ed over the trial in Southern California but
sentenced the defendants in an Arizona
courtroom, using ANDERSON, forms headed The District Judge, J. BLAINE Circuit of Arizona. concurring: specially (1) dissent would establish that Judge Wright’s I concur in opinion re- Procedure, Federal Rules Criminal re- versing a special the convictions. I write quires transfer of the entire merely concurrence to comment (2) subject jurisdiction matter is trans- question concerning the transfer these ferred to the new court. propositions Both cases between two districts. are essential to the conclusion that the sen- cases, In reviewing these we noted the tence of the transferor court is void because possibility of irregularities in the transfer relinquished subject it had jurisdic- matter of these cases between the districts and in entirely. tion taking appeal. request- of the We thus Subject jurisdiction, matter also called supplement ed counsel to their briefs to jurisdiction matter, the subject over refers matter, consider this as it had not been the types cases court is authorized to party. raised either hear. It is not transferable. considering After and the record Every jurisdic- federal district court has counsel, briefs of believe I that the defects subject tion over the matter of this case: irregularities proceedings below The district courts the United States did not affect any rights substantial shall have original defendants, and reversal of their convic- *8 against of all offenses the laws of the required ground. tions is not on that F.R. United States. 52(a). not Crim.Pr.Rule Defendants do con- tend, seriously and on this record could not 18 U.S.C. 3231. § contend, right that of theirs any substantial provides change Rule 21 for of ven any degree by been in the had affected ue. A criminal defendant has a constitu procedural irregularities. right tional jurisdiction to be tried in the amendment, the where crime was committed. This the a criminal Under 6th right, right “constitutional venue” other ven- in the like defendant has the to be tried for the ed States District Court Southern jurisdiction where the crime was commit- provision right That is venue District of California.” a ted. right, it it be
though
is a constitutional
states,
agree,
and I
Judge Wyatt also
Jercha,
irregularities did not affect any substantial of Arizona March nix rights of the defendants. 1977. Roberts Robison are named *10 Roberts, counts; is counsel for to the Robison alone and Govern- four first The indictment This asked “for trans- in the fifth count. ment. second motion
named Judge Copple. assigned to was fer from the District of Arizona”. 138; (R. paragraph this motion contained Robison April defendant On Record pages “R” references are to Dis- a transfer from the filed a motion for Appeal; emphasis supplied): on conducting purposes “for trict of Arizona has “Counsel for Co-Defendant Roberts said to be made a trial.” motion was opposition to this accompanying 21. An furthermore withdrawn Fed.R.Crim.P. under was explained previous that Robison to transfer this memorandum counsel’s motion in Arizo- charged in two criminal cases District of Ari- prosecution outside of the court; these was then na state that one of zona.” trial; awaiting on was that the other submitted at Something must have been appeared trial. It that one of the state the docket by this time Roberts because Bolles, an charged the murder of Don cases 2, 1977, Monday, May there that shows on news- investigative reporter for a Phoenix change for was filed “Joinder motions paper, nationally which was a sensational by Rob- continuance deft. venue for story, 1976. Robi- news in and after June This submitted erts”. must have been 21(a) provides for son on Rule which relied 29; Friday, April the docu- Judge Copple on prejudice where proceedings transfer of the part is not of the Record. ment ob- great is so that the defendant “cannot an April 29,1977, Copple signed On impartial any place at tain a fair and trial which, part, relevant is as follows: order by holding law in the dis- fixed for court” 21(a) (b) to Rule Fed.R. “Pursuant was returned. trict where the indictment is for trial urged he not a Cr.P. this case transferred Robison could obtain California at San fair trial in the District of Arizona because the Southern District of publicity newspapers Diego, of “massive California.” this on the television and radio stations of 2,May order filed on This was district”. is to show nothing There the Record April filed On Government made motion appellant that either ever a its response to the motion for transfer. 21(b), Rule to “the con- under which relates aware The Government stated it “well parties venience of and witnesses”. Since publicity” position and took no as to essential for motion defendant is whether “venue in this matter should be Rule 21 grant of an of transfer under order (R. changed” (because a a constitutional defendant has Nothing was filed for defendant Roberts right to a in the district where trial on motion to transfer. committed) (United offense was (1st Cir.), cert. Angiulo, 497 F.2d The motion for a transfer was heard denied, 95 S.Ct. Judge Copple April on 1977. Counsel (1974); Original Committee L.Ed.2d 140 emphasized preju- for movant Robison (b), Par. 21(a) and Note to Fed.R.Crim.P. since mo- publicity dicial had increased 3), writing in this nothing No. there tion was made. Counsel for Roberts stated a transfer which would authorize record objects any change “strenuously he 21(b). only motion in under of venue in this matter”. At end of the 21(a), a trans- is under Rule written record orally decided that hearing, Judge Copple convenience. prejudice, for fer change solely of venue the “motion for Moreover, convenience, Phoenix would as to time”. behalf of Robison denied more than San clearly have been convenient Friday, defendant Ro- April On Diego. Re-Urging De- bison submitted a “Motion “this states that The order of transfer fendant Robison's Previous Motion for Con- wording This is transferred trial”. Change of Venue”. This case tinuance and of Rule provisions Judge Copple, to not conform apparently hand carried to does which 21(a), that the “shall has exclusive over which directs *11 (emphasis sup- course, proceeding" proceeding. judge transfer Of a of the provi- court, not conform to the plied) and does properly designated transferor if un- 21(b) provides which that the 292, sions of Rule any der 28 U.S.C. can conduct and all § (em- “may proceeding” transfer the steps proceeding, in the indictment includ- hand, the other phasis supplied). On done, ing however, the trial. Should this be wording does conform to the title of Rule judge a representative acts as of the 21, the District for which is “Transfer from authority transferee court and his so to act Trial”. designation derives from his under the stat- ute cited.
3.
provides only
Rule 21
one
text
Rule 21 is as follows:
kind
trans-
The full
fer,
“proceeding”,
a transfer of the entire
21.
from the District
RULE
Transfer
seen,
it directs that after transfer
Trial
prosecution
“the
shall continue” in the
(a)
Prejudice
For
in the District. The
authority
transferee court. There is no
upon
court
of the defendant shall
motion
solely
trial,
Rule 21 for a transfer
of the
proceeding
transfer the
as to him to an-
jurisdic-
court retaining
with the transferor
other
whether or not such
district
district
proceeding
tion over the
and with the in-
specified
in the defendant’s motion if
pending
dictment to remain
in the transfer-
the court is satisfied that there exists in
however,
majority,
empha-
or court. The
prosecution
the district where the
sizes that the indictment was
the terms
pending
great
prejudice against
so
of the
transferred to the
order
defendant
that he cannot obtain a fair
District of California “for trial”. The ma-
impartial
any place
and
trial at
fixed
jority
accepts
then
the notion that under
holding
law for
court in that district.
Rule 21 an indictment can be transferred to
(b) Transfer in
For the
Other Cases.
another district “for
only
trial”
and can
witnesses,
parties
convenience of
and
pending
remain
for all
purposes
other
in the
justice,
upon
in the interest of
the court
district
in which the indictment was re-
motion of the defendant
transfer the
turned.
against
This is dead
the plain lan-
proceeding
any
as to him or
one or more
guage of Rule 21 and
against
thus
the com-
of the counts thereof to another district.
mand Congress,
the authority of which is
(c)
When
Proceedings on Transfer.
underpinning
of all the Criminal Rules
transfer is ordered the clerk shall trans-
(18
3771, 3772).
U.S.C. §§
mit to the
which
clerk of
court to
papers in
is transferred all
In
21,
view of the clear directions in Rule
proceedings
duplicates
thereof and
that,
it is not surprising
according my
taken,
prosecution
bail
shall con-
research, every reported case involving a
tinue in that district.
transfer under Rule 21 shows continuance
prosecution
after transfer
in the
21(c)
procedure
Rule
states
to be fol-
court,
transferee
sentence in the transferee
lowed after a transfer has been ordered.
conviction,
court after
entry
judgment
clerk
of the transferor court must
the transferee
appeal
transmit to the clerk of the transferee
judgment of the
proceeding”
“all
transferee court. Exam-
“any
bail
ples of
procedure
A
explicit:
prescribed by
taken”.
further direction is
Rule 21
are
“the
shall
United
Dog,
continue in that
States v. Crow
532 F.2d
dis-
trict”,
(8th
namely,
1976),
denied,
1182
transferee district.
cert.
430 U.S.
929,
21(e)
1547,
contemplates
thus
97
(1977);
that after an
S.Ct.
542 Binion, v. Marcello, (M.D.Fla.1977); United States v. (1971); United States (D.Nev.1952). denied, F.Supp. 90 107 398 U.S. Cir.), cert. 543, rehearing de 2172, 26 L.Ed.2d only the first and The case at bar is 26 L.Ed.2d nied, 90 S.Ct. 399 U.S. where, find) after (so I can far as instance States, 288 F.2d (1970); Ashe v. United dis- to another of an indictment transfer 1961); United States (6th Cir. ex- continued to trict, transferor court (C.D.Cal.1975). DeMarco, F.Supp. 107 proceeding. jurisdiction over ercise transfer that when a clear It thus seems *12 under an indictment Rule. 2, 1977, pro- May ordered Having on made, the transferor 21(a) (b) is or Rule 21 to the under ceeding transferred proceeding and jurisdiction of the loses California, the District District Southern jurisdiction over obtains transferee court then disre- the District of Arizona Court for under examples The cited proceeding. that con- the instructions garded completely 21 illustrate this. Rule 21(c). in Phoenix in Rule The Clerk tained provision under There is another “any and bail papers” “all did not transfer the dis- for transfer from Rules Criminal Diego, as Rule in San taken” to the Clerk trict of an indictment. did not 21(c) “prosecution” The directs. the Federal Rules of Crimi- 20(a) Rule District of Cali- in the “continue” Southern a transfer of an provides nal Procedure 21(c) papers fornia, directs. The as Rule “arrested, defendant, where a indictment Arizona, docket entries contin- remained in district, another wishes present” or held Arizona, all documents to be made ued where he has guilty in that district plead the District of captioned to be continued present. held or is Rule arrested or is there, all hear- and to be filed Arizona 20(a) an order of trans- does not state that ap- far as place in Arizona. So ings took it contains made but otherwise fer must be for the Southern pears, the District Court 21(c),namely, language very similar to Rule advised was never California that “the clerk of the court [for district] bar been trans- that the indictment at had pend- ... in which the indictment jurisdiction. its ferred to papers pro- ing shall transmit 5. thereof ceeding copies or certified 7,1978, began February The first trial on in which the court for the district clerk of Copple and a Diego Judge San held, arrested, present, or the defendant jury; jury been sum- apparently had shall continue in that prosecution and the moned the District Court for the South- 20(c) provides then for the district.” Rule Arrangements ern District California. an indictment has been situation where physical must have been made to use the 20(a) Rule so that a de- transferred under Diego facilities in of the District Court San guilty but where for plead fendant California, Southern pleads reason the defendant some jury summoning its mechanism. The court- situation, 20(c) directs guilty. In clerk, reporter and deputy room return the that “the clerk shall staff — Arizo- marshals—were from the District of com- the court in which desig- Judge Copple properly had been na. menced, proceeding shall re- and the Browning hold a Judge nated Chief to the docket of that court.” stored District of district court in the Southern recognize reported The decisions hold (28 292(b)). California U.S.C. § where an indictment is transferred un- 7, place February The took on first trial juris- der Rule the transferor court loses 14, 15, 16, 17 (Friday), (Monday), 13 acquires the transferee court diction and February 20 was a (Friday), (Tuesday); pro- exclusive of the indictment case Birthday). The holiday (Washington’s Examples are Warren v. Richard ceeding. Wednesday, jury on son, 1964); Perry was submitted to the given typed jury was F.Supp. February 648-49 v. United return written continued before Craig forms for the trial printed 9, 10, 11, 12, May Monday, on and 15. On signed separate verdicts a form for Diego May the trial at San was ad- defendant; cap- Roberts was each that for journed Tuesday morning, May be- District Court tioned “United States cause of a Judicial Conference in Phoenix California”; District of for the Southern week. The trial the rest of that resumed on captioned in for Robison was May arguments 23 and final of counsel District Court “United States morning were heard. On the of Wednes- After District of Arizona”. delib- day, May charged the Court the jury. during days morning until the erating jury requested was to return its verdict February jury then Friday, to each on a written defendant form signed verdicts of returned written and given jury captioned to the in the “United guilty all as to the two defend- counts States District Court for however, jury polled, When the ants. jury Arizona”. The retired to deliberate at ver- agree the Foreman declined to p. 10:35 a. m. At 3:05 m. on the same day dict as to Roberts. The instructed returned its written verdicts find- until to resume its deliberations and did so *13 ing guilty each on each defendant count Tuesday morning, February when the naming him. jury reported that it was unable to reach a After the accepted by Judge verdict was unanimous verdict. A mistrial was then Craig, 26, 1978, he set June in Courtroom as to declared both defendants on the Phoenix, No. 1 p. at Arizona m. as at 2:00 agreement of all counsel. time place Nothing of sentence. began The second trial Diego San on said, according to. the transcript, as to the May Judge before Copple and a judge impose who would sentence. The jury. The trial May continued on 3 and on docket entry states that sentence will be May Monday, May Judge 4. On Copple “before Hon. E. Craig W. at Phx.”. met with 25(a), counsel under Rule Between verdict and sentencing, both stated in substance that he was unable to Judge Craig Judge Copple rulings made proceed with the trial Judge and that Craig and orders in the case. (also Arizona) of the District of pro- would On June by an order was filed ceed with and finish the trial. Counsel for Judge Copple denying request of Robison Roberts and for the Government made no interrogatories jur- address to the trial objection agreed to this change, but ors. It is recited that the order is made counsel Robison moved for a mistrial so “with the concurrence of Craig who that there trial”, could be “another before presided portion over a of the case.” jury”, “another and before judge “another The entry docket contains an that on so the matter fully be heard June 9 Judge Copple adjourn- filed an order by judge who has had an opportunity ing the sentences from June July 17. fully to examine the record and make him- self aware of all the circumstances involved On June 12 counsel for Roberts filed two in this trial”. The motion motions, for a mistrial one for a new trial and one for by Judge was denied Copple. judgment of acquittal. Both con- motions tained in the caption this statement: “As- The second trial May resumed on 9 before signed Craig to the Honorable Walter E. Judge Craig who made a statement on the Hearing”. By assign- Post-Trial whom the requirement record which satisfied the appear. ment was not made does 25(a) “certifying Rule that he has famil- On June 15 Robison filed a motion for a iarized himself with the record of the trial”. new trial. Judge Craig was properly designated by Judge Browning Chief to hold a district entry July docket contains an that on court in the Southern District of California adjourning 6 an order was filed the sen- (28 292(b)). U.S.C. July § July tences from 17 to 24. This is said first where the instructions of Rule will be instance post-trial motions be because July Judge Craig 21(c) on 17 and must followed. by have not been
heard judge sentencing. be on ruled provision There is a transfer of given, presuma- is not making the order but comparable civil which is somewhat actions bly Judge Copple. it was provision is 28 21. The U.S.C. transcript hearing of a in Pres- is a There 1404(a),authorizing discretionary transfer § Arizona, cott, July 17 of motions on a civil “the action for convenience of trials, it is for new etc. While defendants witnesses, in the parties interest of stated, evidently this was be- expressly justice”. contains provision nothing, That who, at Judge Craig the end fore however, transmittal of about hearing, denied the motions. It seems to as- transferee district. imposed Phoenix The sentences were ordered, that, sumed transmit- if transfer July by Judge Copple on tal will follow. conviction, judgments signed by course, are, many There more civil were filed on the same date Judge Copple and many actions criminal cases more than in the office of the Clerk of the transferring civil actions other orders the District of Arizona. Court for there consequence, districts. In have been appeal timely were filed with Notices of many attempts Appeals to secure Court of the District Arizona. Clerk transferring civil review of orders actions. the matter reaches this Court Thus long recognized It has if the appeals judgments of filing juris- of transfer ends the an order the District of That Court for Arizona. diction of transferor court over a civil May 2,1977, filed had trans- order *14 action, to secure review then it is difficult to the the District Court ferred of that of the transferor order in the Circuit California, for the Southern design court. to Evidently remedy with the view, thereafter, my in had exclusive which difficulty permit and to review of or- jurisdiction Dis- proceedings. over the actions, Judge ders civil transferring for the District of Arizona had trict Court Learned Hand treated transmittal of the jurisdiction no make the from judgments to papers symbolic as the civil actions act are appeals which these taken. delayed by transfer and if this were the petition transferor for court a mandamus might questioned It at least be whether might appeal (which, an taken filed or the at trans- failure of the Clerk Phoenix to survive, being interlocutory, could not but Diego mit papers all to the Clerk at San might petition for be treated as a manda- jurisdiction prevented the transfer of to the mus). in Magnetic This was the situation Diego. at District Court San Co., Eng. Mfg. Dings Mfg. & F.2d Co. (2d The District Court had 21(c) The direction in Rule to the Clerk to transferring filed an an action order from the court papers transmit all to transferee nature, of New Southern District York to purely seems administrative in de- Eastern signed practicable prose- it District of Wisconsin. The Clerk to make but, papers not at cution to continue in transferee district. did once transmit the at nothing suggest judge, delayed to that failure of There direction of the trans- deprive transmittal would the transferee mittal. from the appealed Plaintiff order jurisdiction. That neglect court of or refus- granting the motion to transfer. Thereaft- byal should an' order of nullify papers Clerk er the Clerk transmitted place sub- transfer would be form over Judge Eastern Wisconsin. stance. (178 868): Learned stated at Hand automatically affect order did not reported decision has been found in
No
cause; the
transfer the
transmittal of
point
which this
is discussed. This is doubt-
symbolic
papers
less
at bar
be the
was to be the
act
because the case
seems to
transfer;
Appeals
Fifth
Court of
ordered an
the case was still
Circuit
to a District
in Oklaho-
appeal was taken.
action transferred
when the
district
“pending the
it,
provided
ma. The order
nothing tak-
appeal
removed
Since
transfer
the Dis-
entry
could
of the order of
in the district court
ing place later
filing
physical
trict
and the
acquired.
once
jurisdiction
affect the
Oklahoma, this order shall consti-
record in
it was
that since
then decided
The court
parties
tute a transfer
to enable
transfer was not
interlocutory the order of
present
the matter to the District Court
were dis-
appeal
that if the
appealable, but
March
1964—before
Oklahoma.” On
plaintiff
late for
it would be too
missed
had been transmitted
Mis-
papers
mandamus since the district
petition for
is-
sissippi
District Court Oklahoma
—the
jurisdiction by
lost
transmittal
court had
in the action and
restraining
sued a
order
District of Wis-
papers to the Eastern
injunction, and entered a
later issued an
(178
continued
F.2d at
Judge Hand
consin.
contempt.
civil
The Tenth
judgment of
869):
in-
Appeals reversed the
Circuit Court of
appeal
we
if
dismiss
contempt judgment
on
junction and
to the district court it
remand the case
District Court Oklahoma
ground that the
mandamus,
grant a
will be too late to
jurisdiction on March
acquired
had
already
the cause has
been transferred.
its order.
“But
representative
transferee court
is exercised
power
as the
jurisdiction
papers
physi-
before the
“[Jjurisdiction
lodged in a
a court.
reached it.”
cally
person.
judge, exercising
not in a
In re
jurisdiction, acts for
the court”.
It is concluded
that failure
Clerk
Brown,
(5th
1965),
346 F.2d
Cir.
in Phoenix to
to the
transmit
approval
quoted with
in United States
Diego
prevent
Clerk in San
transfer
did
Teresi,
jurisdiction over
indictment
this
only within
may
That district courts
act
District Court for the
respective
their
self-evident
Evidently,
judges
districts seems
California.
Judiciary
District of Arizona
that the trans-
has
believed
been assumed since
jurisdiction
completed,
fer of
else
Congress, however,
had been
Act of 1789.
has not
they
designations
would not
have secured
make it
For
emphatic.
hesitated to
exam
Diego
sit in San
and would not have con-
Congress
provided
ple,
has
for the times of
the trials
ducted
there.
regular sessions of
district court “for
transacting judicial
places
business
The situation after an order of transfer is
chapter” (28
139)
fixed
U.S.C. §
2d,
up by
Jurisprudence
summed
American
(emphasis supplied),
adjournment
under “Criminal Law” and under “Transfer
regular
“by
anywhere
session
order made
Courts”,
of Causes in
the follow-
Federal
140) (em
(28
within its district"
(21 Am.Jur.2d,
U.S.C.
ing
440):
§
statement
phasis supplied),
special
sessions of
cause,
transferring
On
places
the court “at such
in the district
originally
which the
com-
action was
(28
may require”
the nature of
business
jurisdiction,
menced loses
and the court to
141) (emphasis supplied).
U.S.C.
The Su
§
which the
is transferred has
preme Court has
Courts are
said: “District
and exercises
the same
over the matter
statute,
place
solely
creation of
and the
originally
as if it had been
judge
juris
in which a
exercise
thereof
commenced in the district.
subject absolutely
diction is
to the control
Congress”.
McDowell v. United
*16
596, 598-9,
111, 111-112,
159 U.S.
16 S.Ct.
authority
The
justification for hold-
(1895)
ignated to act as for the District of Arizo- Court court, jury properly summoned and before a inescapable for me na. The conclusion is place within in that and at a selected the District of that the District Court for the district of that court. Government impose the Arizona had no Brief, reality (Supplemental recognizes this judgments enter the sentences or to 9): in the second case were p. “The verdicts appeals which these are taken. received in the District Court South- 9. . . ern District of California majority problem treats the here invokes the estab- entirely one of venue and District of Cali The trial in the Southern me) that principle (fully accepted by lished by the return of fornia was not concluded (as a venue in a criminal defect verdict. “A criminal trial con action) by a de- in a civil be waived judgment cluded of sentence entered bar, however, problem at fendant. The upon plea guilt”. a verdict of Frad v. pending in a proceeding, not whether a 312,317, Kelly, 302 U.S. 58 S.Ct. wrong, the venue was could court where (1937). course of appropriate L.Ed. 282 properly proceed judgment nevertheless proceedings, receipt after a waiver in that court on basis of verdict, (as it) would have been I see object right defendants of their Judge Craig to have finished the trial to at bar is improper problem venue. The judgment whether, District of May in the Southern Cali the District after Having fornia. been substituted for the District of Arizona had 25(a), it would be ex Copple authority specific under Rule over indictment judge against specific “fin Robison. That pected that the substitute would Roberts and trial”, indictment, having been transferred ish the to use the words of California, no 25(b), 25(a). According to Rule there could Southern *17 District of Arizona at longer pending after verdict if be a further substitution on judgments time sentence. The “disability” part on the of of there was some because the in- Judge Craig, “disability” appeal is were null and void but no such they which were based was not appear. dictment on made to guilty his judg- Macklin then moved to withdraw which made pending in an indict- the indictment. The certainly plea There must be dismiss ments. granted. the Court The Government in the were pending Court motions ment is not affirmed. The only appealed. act The order was authorized to on it. Such is spelled recognized is out that it things face of but Circuit first was clear on the Second 7(a) of provision in Rule who has ad- by plain “surely anomalous that a man charged that the offenses to chal- guilt permitted Rules his should be Criminal mitted Robison, as with all plead- has against Roberts and which he lenge the indictment to by offenses, prosecuted in- felony “shall be The result (523 195). guilty” ed F.2d at however, dictment.” required, because the indict- was “nullity” was and “that indict- ment a problem difference between The implies nullity necessarily is a that ment problem as by and the I majority seen was the court without hear by contrasting may it be illustrated see (523 196). The case” at Second Powell, 498 F.2d United States 196): (523 F.2d at “The Circuit concluded 1974), v. Mack- Cir. with United States jurisdictional a of an indictment is absence (2d 1975). lin, 523 F.2d power deprives court of its defect which was indicted in the Dis- Powell jurisdictional defect to act. Such a cannot illegal transporting trict of California for defendant, by plea by a even be waived 1324(a)(2). in violation § aliens of 8 U.S.C. point significance in guilty”. The Mack- Amendment and Criminal Sixth purpose our that no valid indict- lin for of an offense require be any pending of Macklin was at time ment was in the district where the offense com- York in the Eastern District of New objection No to venue was raised mitted. thereby deprived of the District Court was verdict by jury’s Powell until after power its to act. guilty. appeal urged Then on he that ven- judgment At the time sentence and of California ue in Southern District bar, pending was established, proceeding out the case no pointing had not been against the the District of de- illegal Arizona stopped his vehicle had been and the fendants and thus there was no aliens discovered the Central could in that Court which defendants California. This affirmed the convic- Court rights, venue or other- tion, stating, things: “We waive their among other which venue, nothing There was over the outset since it wise. note at waived, District Court for the Arizona is not an essential fact constitut- be jurisdiction admittedly exercise the (498 891.) F.2d at could ing charged.” the offense all by Congress conferred on agree entirely statement and I with the Courts. point significance with the decision. that a purpose in Powell for our valid Supreme many years ago, in Court against in, returned
indictment Powell was Bain, 781, 30 parte Ex 7 S.Ct. in, pending and at all relevant times was (1887), peculiarly language L.Ed. 849 used Court the District for the Southern District the case Bain was indicted apt for at bar. of California. grand jury a federal offense was the Eastern then Circuit Court for the Eastern District Macklin indicted in Dis- Thereafter, Virginia. motion of the trict of New York numerous false feder- of on (18 Government, the amended the ally mortgage applications insured indict- it. bargain, by striking As words from Bain part plea of a ment six § U.S.C. tried, guilty entered a convicted and sentenced. An plea Macklin two Thereafter, corpus original petition for habeas counts. it was determined that Supreme grand jury which made to the Court. Whether the the term of returned depended entirely improperly petition granted the indictment had extend- could juris- no whether the “had ed and that Macklin had been indicted Circuit Court judgment which it grand jury expired. term had diction render the after its *18 549 782). object (121 anything at 7 at defendants did not to gave” U.S. S.Ct. power first considered the Supreme they prejudice Court was done. Nor can show to indict- to amend the by anything of the Circuit Court them that was But done. nei- that there was none. The ment and found object, failure the defendants to ther nor determined that amend- Supreme Court consent, prejudice nor absence of their to “deprived ment of indictment jurisdiction. them is relevant on the issue of try peti- to power of the principle put This settled was well in an old ” him . . because tioner and sentence opinion Supreme of the unanimous which he was tried was “the indictment on (Mansfield, Ry. & L. M. Court C. Co. v. jury”. (121 grand no indictment of a U.S. Swan, 4 U.S. S.Ct. 787.) Supreme at at S.Ct. (1884)): L.Ed. 462 explained why then this determination was below, plaintiffs It is true that required equally which me seem words against objection whose the error was to fit the case at bar. The indictment as committed, complain being prej- do not longer pending in Bain was no returned it; udiced it and seems to be an anom- the court of its return because it had been aly and a hardship party at changed by longer amendment and was “no whose instance it was committed should grand jury the indictment of the who permitted advantage to derive an (121 presented it” at at U.S. S.Ct. it; rule, springing but the from the na- in the case at bar was no The indictment judicial power ture and limits of the longer pending in the court of its return States, is inflexible United and with- it transferred to the because had been exception, court, out which requires this District of California. Su- motion, juris- deny of its own its own 13-14, preme (121 at Court said diction, appel- in the exercise of its 788): power, late that of all other courts of the avail, It is of no under such circumstanc- in all cases where such es, say jurisdic- has that the court still jurisdiction affirmatively appear does not crime; for, person tion of the and of the which, in the record on in the exercise of though possession person, it has of the power, every it is called to act. On crime, jurisdiction of the and would appeal, writ of error or the first and properly presented by if it were indict- jurisdic- question fundamental is that of ment, jurisdiction of the offense is tion, first, and then gone, right pro- and the court has no court from which the record This comes. progress ceed further in the of the question the court is to ask and bound case for want of an indictment. If there itself, answer for even when not other- nothing before the court which the suggested, respect wise and without language prisoner, in the of the Constitu- parties the relation of the to it. This rule tion, answer,” can be “held to he is then Noorden, adopted Capron v. Van discharged entitled to be so far as the Cranch, 126, 229,] L.Ed. decided in [2 originally presented offense to the court reversed, judgment where a by the indictment is concerned. The application party against of the power proceed try of the court to whom it in the Circuit had rendered prisoner is as much arrested as if the Court, allegation for want his indictment had been dismissed or a nolle ought citizenship, own which he to have prosequi had been entered. There was made to establish the which nothing it court on which he had invoked. pronounce could hear evidence or sen- tence.
11. The defendants have been tried and con- (with having jurisdiction
I realize full well that victed in a court minor Robison) exception proceeding against noted in the case of them. I can see no rea- *19 sentenced why they properly cannot be son Court, Court for the the District America, Appellee, UNITED STATES California, why appeals District of Southern this from the could not be taken to Court KING, Appellant. Eddie Lee the Dis-
judgments of conviction entered No. 79-1645. for the Southern District trict Court California, why this Court could not Appeals, United States Court then, appeals, reach the merits. It on those Ninth Circuit. that the District Court for is fair to assume 8,May Arizona, if advised that this the District of done, would believed it should be Court promptly papers
cause all to be transmitted Dis- to the District Court for Southern course, California; otherwise, of trict of could issue. writ of mandamus objected result may It by my unnecessary and analysis reached consuming. time I believe that it is neces- sary, although, admittedly, it does consume it
some time. But even if were not essen- proceed as I would have this Court tial do, I believe it better that the Rules of than that a
Criminal Procedure be followed which create precedent be established confusion, uncertainty, delay in the ad-
ministration of federal criminal law.
I would reverse for want of judgments of conviction of the United for the District of States Court Arizona, and would issue a writ of manda- directing
mus under 28 U.S.C. § United District Court for the District States judgments of Arizona to of con- vacate viction and to cause its Clerk forthwith to proceeding (or in the transmit all thereof) duplicates to the Clerk of the Unit- ed States California, prejudice all without resentencing appellants District Court for the South- appeals ern District of and to California judgments to be en- Court from tered thereon.
