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Full Opinion
Opinion by Judge FERNANDEZ; Dissent by Judge EBEL.
OPINION
Joann Wiggan appeals her conviction and sentence for perjury and for making a false statement. See 18 U.S.C. §§ 1001(a), 1623(a). Principally she challenges the district courtâs admission of testimony from a grand juror. She also challenges the district courtâs rejection of her claim of recantation, the sufficiency of the evidence, and her sentence. Because we hold that the admission of the grand jurorâs testimony was unduly prejudicial, we reverse.
BACKGROUND
Joann Wiggan was a facilities technician at SBC Communications (âSBCâ). In that capacity, she had the technical skill and opportunity to implement surreptitious wiretaps. Agents of the Federal Bureau of Investigation interviewed her on October 18, 2004, in connection with an investigation into a wiretapping conspiracy led by
During that October interview, Wiggan admitted that the voicemail account was hers, but she claimed that she had not used that voicemail account in so long that she could not remember the password and that she had only used it to inform callers that she was away from her desk. Wiggan admitted that she had worked with Turner before 1990, but further stated that she had not spoken to him in the last five or six years (ie., since 1998 or 1999). That was inconsistent with Turnerâs telephone records, which showed that Turner had called her voicemail multiple times after 1999. Wiggan could not explain why Turner would have called her and insisted that she had not spoken with him during the year 2002.
One year later, on October 26, 2005, Wiggan testified before the grand jury
Upon being shown Turnerâs records and seeing a large number of calls from Turner to her voicemail, Wiggan claimed that she had never received any of those calls and did â not use her voicemail prior to 2003. She asserted that she first activated her voicemail in 2003, and even then she never retrieved any messages from the voice-mail. She was reminded a few times that she was testifying under oath, was subject to the penalties of perjury, and that her telephone records could be subpoenaed.
A few days after that appearance, Wiggan left a message for the prosecutor saying that she wished to correct some of her Grand Jury testimony. She then appeared before the Grand Jury again on January 11, 2006, and testified that on her way home after her first day of testimony, her husband had told her that he thought she was using her voicemail during the period in question. She said that she thought he might be right, and that she âmight have accessed it.â She also acknowledged that the voicemail was activated prior to 2003, but she could not remember how often she had actually accessed it or when she began or stopped using it. She still denied having retrieved any messages left by Turner and claimed that she had just retrieved a few messages from her boss or from her husband. Moreover, she said that she had not used her voicemail in the years prior to 2003, so that SBC had to activate her voicemail that year. However, upon close questioning and after much tergiversation, when asked whether her prior testimony
Wiggan was indicted on five counts of perjury on February 15, 2006. Those counts all stemmed from her two days of testimony before the Grand Jury. Trial began in September of 2006, and she testified in her own defense. At trial Wiggan admitted that she had spoken with Turner from 2001 to 2003, even though she had previously denied that, but reiterated that she could not recall having received any voicemail from him. She also testified that because she could not remember receiving voicemail from Turner, it was not possible that she had received any. Wiggan then said that most of the messages she received on voicemail were annoying complaints from her children, so she did not check voicemail very often. The jury acquitted Wiggan on most counts of the indictment, but deadlocked on Count Three, on which the district court later granted a mistrial.
A first superseding indictment was then returned against Wiggan. Count Two realleged the mistried count from the original indictment; that is, Wigganâs testimony in her first appearance before the Grand Jury that she never retrieved any messages from her voicemail account was false.
At the 2009 trial, the government called the Grand Jury foreman, Thomas Venable, to testify regarding the materiality of Wigganâs statement to the Grand Jury, the atmosphere of the Grand Jury room, Wigganâs demeanor, and the demeanor of the grand jurors and the prosecutor during her testimony. Venable also testified a number of times that he and the other grand jurors did not think that Wiggan was credible or believable. Venable had not testified at Wigganâs first trial.
At her 2009 trial, Wiggan testified in her own defense. She denied that she ever told the FBI that she had not spoken to Turner in five or six years. She reiterated her claim that at the time of her Grand Jury testimony, she did not remember that she had used her voicemail and that she had been reminded of that by her husband at a later time. She also said that she told the truth at her 2006 trial when she said that she did not remember receiving any voicemail from Turner, and she reiterated her testimony from that trial that most of the voicemail messages she had received were annoying messages from her children.
Wigganâs son, Chaz Wiggan, testified that he and his sister, Linnett, frequently called Wigganâs voicemail regarding their disagreements.
JURISDICTION AND STANDARDS OF REVIEW
The district court had jurisdiction pursuant to 18 U.S.C. § 3231. We have jurisdiction pursuant to 28 U.S.C. § 1291.
We typically review the admission of evidence for an abuse of discretion. See United States v. Hankey, 203 F.3d 1160, 1166 (9th Cir.2000); see also Boyd v. City & Cnty. of S.F., 576 F.3d 938, 948 (9th Cir.2009). âA district courtâs decision to exclude or admit evidence under [Federal Rule of Evidence] 403 is reviewed with considerable deference.â Hankey, 203 F.3d at 1167 (internal quotation marks omitted); see also Boyd, 576 F.3d at 948.
âWe review the district courtâs denial of the motion to dismiss the [[Indictment de novo,â but review the underlying factual findings for clear error. United States v. Marguet-Pillado, 560 F.3d 1078, 1081 (9th Cir.2009).
We review the district courtâs decision to exclude evidence of a claimed defense de novo. United States v. Schafer, 625 F.3d 629, 637 (9th Cir.2010), cert. denied, â U.S. -, 131 S.Ct. 2919, 179 L.Ed.2d 1259 (2011). We also review whether a defense is legally cognizable de novo, but review whether the factual foundation was sufficient to warrant a jury instruction for an abuse of discretion. See United States v. Perdomo-Espana, 522 F.3d 983, 986 (9th Cir.2008).
We review de novo the district courtâs denial of a Federal Rule of Criminal Procedure 29 motion for judgment of acquittal. United States v. Williams, 547 F.3d 1187, 1195 n. 6 (9th Cir.2008). In reviewing the sufficiency of the evidence, we âconstrue the evidence âin the light most favorable to the prosecution,â â and then ask âwhether âany rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.â â United States v. Nevils, 598 F.3d 1158, 1161 (9th Cir.2010) (en banc).
DISCUSSION
Despite evidence of a good deal of telephonic contact between Ray Turner and Wiggan, she asserted that there was little or none. While there was evidence of fifty-three calls between her home and his from December 1999 to February 2003, she told the FBI agents that she had not had contact with Turner during that time. And, while there was evidence that Turner made 127 calls to her voicemail account from December 1999 to December 2002, she testified at her first trial that she did not remember retrieving any of those calls, and told the Grand Jury that she had not actually retrieved any messages whatsoever from that account. Thus, this prosecution for false statements and perjury followed. She was convicted, sentenced, and now points to a number of claimed errors at trial. We will consider her claims in turn.
A. Federal Rule of Evidence 403
The first issue before us is Wigganâs claim that pursuant to Federal Rule of Evidence 403 (âRule 403â), the district court should have excluded the testimony of Thomas Venable, who was the foreman of the Grand Jury before which Wiggan appeared. That was the Grand Jury which also issued the present indictment against her. Whatever the ultimate validity of any particular decision to admit testimony from members of a grand jury that issued an indictment against a defendant might be, admitting that evidence is sensi
We have indicated that grand jurorsâ testimony can be admitted on questions regarding the materiality of a defendantâs testimony to a grand juryâs investigation. See United States v. Leon-Reyes, 177 F.3d 816, 820 (9th Cir.1999) (â[W]e have allowed the prosecution to prove materiality ... by presenting testimony from a member of the grand jury... ,â).
In Chein v. Shumsky, 373 F.3d 978, 989 n. 6 (9th Cir.2004) (en banc), we indicated our disquiet when we noted that â[although we do not reach the merits of that challenge, the likely impact on the jury of a sitting state court judge pronouncing the existence of an essential element of a crime, while vigorously denouncing the defendant and his credentials, is difficult to ignore[,]â and then went on to reflect âthat this highly unusual testimony at least explains why the jury returned a guilty verdict on sparse, constitutionally insufficient evidence.â Similarly, in United States v. Sine, 493 F.3d 1021, 1033 (9th Cir.2007), while the judge in question did not testify, the prosecution used his order, which contained derogatory âfindings and determinations relevant to credibility.â We pointed out that âjurors are likely to defer to findings and determinations relevant to credibility made by an authoritative, professional factfinder rather than determine those issues for themselves.â Id. at 1033-34. And we approvingly cited a decision from the Fourth Circuit Court of Appeals,
While use of a grand jurorâs testimony does not generate exactly the same concerns as use of a judgeâs testimony, the dangers are rather similar. We have not so declared, but courts in the Second Circuit have had occasion to do so, and we agree with their assessment.
In a pretrial ruling, the district court permitted the former two lines of questioning, but not the latter one. Id. One basis for the exclusion was Rule 403. In reaching that conclusion, the district court pointed to a number of sources of possible prejudice. It was concerned that the trial jurors would give undue weight to grand juror testimony because they would âregard the grand jurors as their peers,â
On the governmentâs interlocutory appeal from the district courtâs ruling, the Second Circuit Court of Appeals affirmed. United States v. Awadallah (Awadallah II), 436 F.3d 125 (2d Cir.2006). That court, of course, reviewed the district courtâs decision for abuse of discretion, and gave the district court the deference it was due. Id. at 131. The court of appeals noted that the district court acted well within its discretion when it:
concluded that permitting testimony by grand jurors regarding whether or not, in their opinion, the defendantâs false statements were the product of confusion and/or intimidation potentially causes significant prejudice to the defendant because it could be interpreted as a grand juror giving the petit jurors advice on how to determine the central issue of the case.
Id. at 133-34. To the governmentâs contention that it only sought demeanor and appearance evidence, the court responded: âThis distinction draws an extremely fine line, one best entrusted to the trial courtâs expertise. Here, the court could easily view the proffered testimony as opinion and advice regarding the defendantâs mental state, the key element in the case.â Id. at 134. And, while the line between âpermissible statements regarding objective manifestations and impermissible state
Because we agree that many dangers are subtended when a grand juror testifies, especially when that testimony goes beyond mere materiality and objectively physical matters, we cannot ignore that brooding brume as we turn to the Rule 403 analysis.
Although relevant evidence is generally admissible,
With all of that in the background, we must consider exactly what happened here in some detail. Here, Venable did testify about the materiality of Wigganâs answers before the Grand Jury. He also testified about the physical arrangement of the Grand Jury room. So far, so good. But, Venable then went on to testify about Wigganâs demeanor and, thus, entered the region that gave the Second Circuit courts concern. See Awadallah II, 436 F.3d at 134; Awadallah I, 401 F.Supp.2d at 319. Among other things, he testified that Wiggan was belligerent, quick to respond to questions, inattentive to documents shown to her, repeatedly adamant, and did not appear intimidated, confused or forgetful. And the testimony did not stop there either. Rather, Venable went on to testify to his (and even the other Grand Jurorsâ) opinion that Wiggan was not credible. Nor was that a single passing reference; it was repeated many times.
(1) Relevance and Probative Value: If Venableâs testimony regarding credibility was relevant at all, it was rather weakly so. The government suggests that it was relevant to the materiality of Wigganâs answers to the Grand Jury investigation, but we fail to see how that can be so. Whether she was credible or not (and regardless of her answers), the information sought either was, or was not, material to the Grand Jury. By the same token, while the layout of the Grand Jury room and the way Wiggan objectively behaved, might have relevance to whether she was intimidated or confused, testimony that a Grand Juror thought that she was, or was not, confused or intimidated, in fact, is less relevant to her state of mind. And, while the statement in the Grand Jurorâs opinion that she was not credible does, undoubtedly, indicate that Venable, and others, thought that Wigganâs testimony was false, and has some relevance, it is not particularly probative.
Much of the evidence in question was available in other forms â by alternative means â without risking the dangers of unfairness that use of a grand jurorâs testimony would present. As the Second Circuit Court of Appeals pointed out, other persons present in the Grand Jury room could have been brought forward,
But, even given the existence of some probative value, we must still consider whether there was undue prejudice.
(2) Prejudice: We have already spoken to the serious dangers that exist when grand jurors are called to testify. All of those presented themselves in this case. In fact, it is rather apparent that the possible undue prejudice that caused the courts in the Awadallah cases to shudder reified here. Those courts wanted to avoid even suggesting to the petit jurors that grand jurors thought a defendant was a liar. See Awadallah I, 401 F.Supp.2d at 318-19.
Moreover, it is worth noting that the prejudice here was exacerbated by evidence that Venable, the Grand Jury foreman, and, by the way, his fellow grand jurors, had sat for two years, heard 100 to 150 cases (some lengthy) and heard in the neighborhood of 200 to 300
In short, while we do recognize our duty to give the district court a great deal of leeway in this area,
Nor can we say that the error was harmless; that is, we are unable to hold that âit is more probable than not that the error did not materially affect the verdict.â Boyd, 576 F.3d at 949 (internal quotation marks omitted); United States v. Liera, 585 F.3d 1237, 1244 (9th Cir. 2009). Credibility was at the very heart of this case, and Wigganâs testimony was the most important evidence that the defense could present on that topic. See United States v. Foster, 227 F.3d 1096, 1101 (9th Cir.2000); United States v. Mejia, 529 F.2d 995, 996 (9th Cir.1976) (per curiam). Moreover, we cannot accept the governmentâs suggestion that there was no prejudice because the jury already knew that the Grand Jury did not believe Wiggan when it indicted her. That argument overlooks the fact that an indictment is not evidence; that the very fact was one of the major concerns of the courts in the Second Circuit. See Awadallah II, 436 F.3d at 133; Awadallah I, 401 F.Supp.2d at 319. It concerns us also, and does not help the governmentâs position.
In fĂne, we hold that Wigganâs convictions must be reversed due to the admission of Venableâs highly prejudicial testimony against her. While we recognize that his testimony directly involved only Count Two of the indictment (perjury before the Grand Jury), we are unable to cabin the effect of that testimony to Count Two alone, and the government has not asked us to do so. Thus, we reverse and remand as to all three counts.
B. Recantation
Wiggan also claims that the district court erred when it determined that she had not recanted her testimony before the Grand Jury, and that the district court should have submitted the defense of recantation to the petit jury. While our reversal of Wigganâs conviction makes a decision regarding recantation strictly unnecessary to resolution of this appeal, we will decide the issue because it is likely to arise on any retrial. See United States v. Sayetsitty, 107 F.3d 1405, 1411 (9th Cir. 1997).
After Wigganâs first appearance before the Grand Jury, she appeared a second time and, she says, recanted her prior erroneous statements. Were it true that she made a timely recantation, her prosecution on Count Two might have been barred.
Recantation requires a defendant âto renounce and withdrawâ the prior statement. Llanos-Senarillos v. United States, 177 F.2d 164, 166 (9th Cir.1949). And the defendant âmust unequivocally repudiate his prior testimony to satisfy § 1623(d).â United States v. Tobias, 863 F.2d 685, 689 (9th Cir.1988). It is not enough if the defendant âmerely attempted to explain his inconsistent statements,â but never really admitted to the facts in question. Id. And, as we have pointed out: âTestimony which serves to cast doubt as to the truth of that which is perjurious is not a recantation. Being a poor liar does not make one a repentant sinner.â United States v. Anfield, 539 F.2d 674, 679 (9th Cir.1976). What recantation requires is â[a]n outright retraction and repudiation of ... false testimonyâ; that âis essential to a ârecantationâ within the meaning of the statute.â United States v. DâAuria, 672 F.2d 1085, 1092 (2d Cir.1982). Mere attempts to âclarifyâ rather than actually change oneâs testimony will not do. Id.
On this record, it is plain that if Wiggan did give perjurious testimony at her first appearance, her statements at her second appearance were not sufficient to deflect
But even if we accepted Wigganâs hedged statements as a recantation, they amounted to no more than an attempt to tailor her âtestimony to [the evidence that the government possessed] rather than [giving her] truthful recollection of the facts.â Id.; see also Tobias, 863 F.2d at 689 (finding DâAuria âpersuasiveâ). That is, it had âbecome manifestâ that the falsity of her statements â[had] been or [would] be exposed.â 18 U.S.C. § 1623(d); see also United States v. Scivola, 766 F.2d 37, 46 (1st Cir.1985); United States v. Scrimgeour, 636 F.2d 1019, 1021-22 (5th Cir.1981). She then adjusted her testimony as a reaction to that reality. Moreover, it is apparent that her false statement had already materially affected the proceeding; it had caused considerable additional work for the Grand Jury.
But, argues Wiggan, her recantation defense should have been submitted to the jury. However, § 1623(d) does not suggest that it is a defense at the trial itself. Rather, it declares that a repudiation âshall bar prosecution.â Id. As such, the recantation claim is one that should be raised with the district court before trial. In fact: âIt is common ground that the issue whether an effective and timely recantation has been made is one of law to be decided by the court.â United States v. Goguen, 723 F.2d 1012, 1017 (1st Cir.1983). The Second Circuit Court of Appeals has also declared that â[w]hether a valid offer to recant has been made is an issue of law that must be decided by the court.â D'Auria, 672 F.2d at 1091; see also United States v. Fornaro, 894 F.2d 508, 511 (2d Cir.1990) (per curiam). And the Fifth Circuit Court of Appeals agrees. See United States v. Denison, 663 F.2d 611, 618 (5th Cir. Dec.1981) (holding âthat the defense of recantation must be raised before trial under Federal Rule of Criminal Procedure 12(b)(2) [now 12(b)(3) ] as a jurisdictional bar to prosecutionâ). We have not held to the contrary. Our discussion in Tobias, 863 F.2d at 688, might be read as suggesting that recantation was a jury question. However we did not so state, and that issue was not part of the case, which involved a bench trial. Id. at 687. We now agree with the other circuits that the repudiation issue is one for the court itself.
C. Insufficiency of the Evidence
Wiggan then asserts that the evidence was insufficient to support the verdict that she perjured herself at her first
When a memory lapse is claimed, the government may submit, and support its case with, circumstantial evidence. See Gebhard v. United States, 422 F.2d 281, 288 (9th Cir.1970); see also United States v. Dearing, 504 F.3d 897, 901 (9th Cir. 2007); Gibson v. Cnty. of Washoe, Nev., 290 F.3d 1175, 1190 (9th Cir.2002). In fact, when the claim is memory loss, that may well be the only evidence available. See Gebhard, 422 F.2d at 287-88.
Here, the sheer number of calls by Turner to Wigganâs voicemail (127 in all), Wigganâs own calls to her voicemail, which were long enough to retrieve messages, and the timing of those calls constituted circumstantial evidence of her guilt. That was especially true where she was unable to offer evidence to explain why she received but did not retrieve those calls, and we, of course, cannot overlook the issue of her own credibility. All in all, the evidence sufficed to support the juryâs guilty verdict beyond a reasonable doubt. See Nevils, 598 F.3d at 1164.
Wigganâs argument that, in effect, the evidence could also sustain a determination that she had a failure of memory and did not, therefore, knowingly tell a falsehood does not undermine the juryâs determination. As we have carefully explained, we do not âask whether a finder of fact could have construed the evidence produced at trial to support acquittal.â Id. That is, we do not construe the âevidence in a manner favoring innocence rather than in a manner favoring the prosecution.â Id. at 1167. We, therefore, reject Wigganâs invitation to do just that.
CONCLUSION
When Wiggan was prosecuted for false statements and perjury, her credibility was crucial because her defense depended largely on her own testimony that she had, at most, made a mistake rather than knowingly lied. On the record before us, the erroneous admission of the testimony of the Grand Jury foreman setting out his opinion about her credibility, which had some probative value but was unduly prejudicial, was both an error and devastating to her defense. We are, therefore, constrained to reverse her convictions and remand.
REVERSED and REMANDED.
. Hereafter we will refer to this particular grand jury as the "Grand Jury.â
. Q. Is it your testimony here today that as far as your SBC voicemail account, (323) 889-0813, that during the entire time that account was assigned to you, you never retrieved a single message from that account; is that correct?
A. Yes.
. Q. Did you ever call your voicemail and have a voicemail from Ray Turner?
A. Not that I can remember, no.
. Linnett did not testify at the 2009 trial, but she had told the Grand Jury that she never called Wiggan at work because she did not have Wigganâs work phone numbers.
. It also implicates some of the concerns reflected in Federal Rule of Evidence 606(b). That is, it threatens to subject grand jurors to annoyance, embarrassment and exposure of the grand juryâs internal decisionmaking process. See Fed.R.Evid. 606(b) advisory committee's note. Thus, it can endanger the grand jury system itself. However, that is not our focus in this case.
. The elements of perjury include materiality. See United States v. McKenna, 327 F.3d 830, 838 (9th Cir.2003) (indicating that materiality is one of t