Edmund Y. Chein v. Richard Shumsky, Chief Probation Officer, La County California State Attorney General

373 F.3d 978, 2004 U.S. App. LEXIS 12840, 2004 WL 1418015
CourtCourt of Appeals for the Ninth Circuit
DecidedJune 25, 2004
Docket01-56320
StatusPublished
Cited by78 cases

This text of 373 F.3d 978 (Edmund Y. Chein v. Richard Shumsky, Chief Probation Officer, La County California State Attorney General) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Edmund Y. Chein v. Richard Shumsky, Chief Probation Officer, La County California State Attorney General, 373 F.3d 978, 2004 U.S. App. LEXIS 12840, 2004 WL 1418015 (9th Cir. 2004).

Opinions

BERZON, Circuit Judge.

Dr. Edmund Chein was an expert medical witness in an automobile accident trial in California state court. He was also involved in a suit with a former business associate concerning the distribution of fees paid by patients. In both lawsuits he provided evidence — in the first instance trial testimony, in the second an interrogatory answer — that was misleading, at the least, concerning his medical credentials. At the instigation of the trial judge in the personal injury trial, he was charged in California state court with four counts of perjury and convicted of three. This ha-beas case raises various questions concerning the propriety of his conviction, of which we address only one.

Before plunging into the details of this perjury case, it is worth recalling “the traditional Anglo-American judgment that a prosecution for perjury is not the sole, or even the primary, safeguard against errant testimony.” Bronston v. United States, 409 U.S. 352, 360, 93 S.Ct. 595, 34 L.Ed.2d 568 (1973). Underlying this limited role of perjury prosecutions is the “one consideration of policy [that has] overshadowed all others during the years when perjury first emerged as a common-law offense: ‘that the measures taken against the offense must not be so severe as to discourage witnesses from appearing or testifying.’ ” Id. at 359, 93 S.Ct. 595 (citation omitted). Quoting a nineteenth century treatise to the effect that “the obligation of protecting witnesses from oppression, or annoyance, by charges, or threats of charges, of having borne false testimony, is far paramount to that of giving even perjury its deserts,” Bronston held that intent to mislead, or actually misleading, a jury or other factfin-der is not sufficient to make out the crime of perjury. Id. at 359, 93 S.Ct. 595. California law is the same. In re Rosoto, 10 Cal.3d 939, 949, 112 Cal.Rptr. 641, 647, 519 P.2d 1065, 1071 (1974) (holding that “failure to volunteer testimony to avoid the misleading impression does not constitute perjury,” and citing Bronston approvingly)-

These cautions apply with particular force to expert witnesses such as Chein. Although paid, usually well, for their efforts, such witnesses generally appear because they freely choose to do so, often with considerable immunity from subpoena. See generally Janet Fairchild, Annotation, Right of Independent Expert To Refuse To Testify as to Expert Opinion, 50 A.L.R.4th 680 (1986). Unless the strict requirements governing perjury convictions developed by the common law and applied by California are carefully applied, the willingness of experts to assist factfin-ders with the specialized knowledge needed to decide many cases, see Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993), may atrophy.

As will appear, Chein undoubtedly did calculate the answers for which he was convicted in the hope that he would succeed in misleading the jury in the personal [981]*981injury case and the 'Opposing lawyer in the monetary dispute case. But, on careful review of the record, we conclude that no reasonable jury could have concluded that all the elements of the crime of perjury were made out, and therefore reverse the denial of the habeas petition.

I.

Background

The allegedly perjurious statements that lie at the heart of this case were made during the course of two civil suits. The first was Lopez v. Consolidated Freightways, L.A. County Sup.Ct. Case No. WEC 105580 (1990), a personal injury case in which Chein testified as an expert witness for the plaintiffs. Chein was convicted for falsely testifying in Lopez that (1) “he was a specialist in orthopedic surgery” (the “specialist count”); and (2) “he had one office location on October 9, 1989 and on October 30, 1990 to November 2, 1990” (the “office count”).

The information charging Chein with perjury details the relevant portions of his Lopez testimony concerning the specialist count:

A. When one graduates from medical school, they cannot obtain a license to practice unless they have one year of internship in a hospital. And after one finishes the one year of internship, then they are entitled to get the California state license. When one gets that license, he’s called a general practitioner or family practitioner. He can practice medicine but with no specialty. If a doctor wants to specialize in a field, then they have to spend another four to five years, depending on the specialty, in a program called residency, in a medical residency or specialty training program. Then he goes out and practices as a specialist.
Q. Did you receive your license to practice medicine?
A. Yes.
Q. You received your specialty qualifications?
A. Yes.
Q. What field is that specialty, sir?
A. Board certified in December 1988 by the American Board of Orthopedic and Neurological Surgery.
Q. Very good, Sir. And would you indicate if you — whether or not you engage in a regular day-to-day practice of medicine?
A. Yes, I do.
Q. And in what field, sir?
A. In orthopedics and neurology.
Q. Then when the residency ends, am I correct, in layman’s terms, you’re a regular doctor; right?
A. No. You’re a specialist.
Q. You were a specialist following that—
A. Training period.
Q. —-Training period? And your specialty, what would be the correct designation?
A. Physical medicine and orthopedic surgery.

The state has concentrated on Chein’s statement that he was a specialist in orthopedic surgery at the time he finished his training as the perjurious one.

The second count of perjury relating to Chein’s Lopez testimony, the office count, dealt with the number of offices Chein “had.” He was charged with perjury for his responses to the following two questions:

Q. Doctor, how many office locations do you have now?
[982]*982A. One.
Q. How many did you have on October the 9th 1989?
A. One.

Finally, Chein was convicted of one count of perjury (the “university count”) related to his answer to an interrogatory in Kancilia v. Chein, L.A. County Sup.Ct. Case No. LC012300 (1992), a case in which Chein’s former medical partner sued for an accounting of funds after the termination of their business agreement. The interrogatory read:

State:
a) the name and address of each school or other academic or vocational institution you have attended beginning with high school

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373 F.3d 978, 2004 U.S. App. LEXIS 12840, 2004 WL 1418015, Counsel Stack Legal Research, https://law.counselstack.com/opinion/edmund-y-chein-v-richard-shumsky-chief-probation-officer-la-county-ca9-2004.