Opinion · Court of Appeals for the Fifth Circuit
United States v. Ubaldo Trevino and Ramiro Gonzalez
United States v. Ubaldo Trevino & Ramiro Gonzalez, 556 F.2d 1265 (5th Cir. 1977)
- Type
- Opinion
- Court
- Court of Appeals for the Fifth Circuit
- Jurisdiction
- Federal
- Date
- 1977-10-11
- Topic
- litigation
holding that a presentence report in the control of proba- tion officer and not in the hands of the federal prosecutor is not sub- ject to Jencks Act production | noting that evidence accessible to the prosecution must be turned over to defendant, even if evidence is not within prosecution’s “physical possession” | observing that a presentence investigation report in the probation officer’s possession was not also in the government’s possession for purposes of several criminal discovery rules | holding that the phrase "'statement . . . in the possession of the United States' [as used in § 3500] can only be read to mean a statement in the hands of the federal prosecutor" and, under Rule 16, "'the government' means the defendant's adversary, the prosecution." | rejecting a Brady claim for materials over which the prosecutor did not have “ready access” | defendants not entitled to disclosure of presentence report under Brady, Jencks Act, or Fed.R.Crim.P. 16 | statements in the district court’s control not in the possession of the prosecution | no Jencks Act right to report in hands of probation officer, but stating in dicta that “a witness’ presentence report held by the prosecution might thus be subject to Jencks Act production” | document in possession of probation officer not covered by Jencks Act | document in possession of probation officer not covered | document in possession of probation officer not covered
Citator
- Cited by
- 59 opinions
Frank Maloney, Kenneth E. Houp, Jr., Austin, Tex., for Trevino.
Edward B. McDonough, Jr., U.S. Atty., Mary L. Sinderson, George A. Kelt, Jr., Robert Berg, James R. Gough, Asst. U.S. Attys., Houston, Tex., for plaintiff-appellee.
[6] With the conspiracy thus established, the question for the jury would become the participationvel nonof appellants. Given the guilty verdict, our starting point is the requirement ofGlasserv. United States,315 U.S. 60,62 S.Ct. 457,86 L.Ed. 680(1942), that we consider the evidence in the light most favorable to the government. Further, the cases are legion that only slight evidence is required on appellate review to connect an individual with a proven conspiracy.See, e. g., United States v.Nicholson,525 F.2d 1233,1237(5th Cir. 1976). In a recent review of this "slight evidence" rule we explicated its scope slightly, noting it is properly applicable only when the defendants are "clearly connected to the conspiring group or are found acting in such a manner as unmistakably to forward its purposes. In such instances . . . slight additional evidence suffices to base an inference that one who had been shown beyond reasonable doubt to be a participant was as well aknowingparticipant."United States v. Alvarez,548 F.2d 542,544(5th Cir. 1977) (emphasis in original). Here, direct testimony by Leos established appellants' "presence" with other conspirators; his description of their involvement in two meetings immediately before the turnover of the load was sufficient to show that appellants were "clearly connected to the conspiring group . . . ."Id.This hurdle cleared, we move forward and find considerably more than the "slight evidence" required to show that Trevino and Gonzalez were active, knowing participants in the conspiracy.Page 1269
[7] Much can be inferred, for example, from the covert nature of the two meetings at which appellants were present, and their proximity in time to the third and final meeting at which four of the men (sansTrevino and Gonzalez) entrusted a ton of marijuana to Leos, but appellants indicated much more by their entreaties to Leos. Both Trevino and Gonzalez asked Leos if he could drive the truck, and Gonzalez showed him the gearshift pattern. While this query is not necessarily inconsistent with an innocent transaction, Gonzalez' offer of $500 for what was to be a trip of a few miles provided a strong manifestation of his knowledge that unlawful activity was afoot. Trevino was standing by when this offer was made and immediately asked Leos to "join" or "go in with" the group. The jury was also entitled to consider the testimony of DEA Agent Rodriguez that drug traffickers near the border commonly minimize the danger to themselves by employing "mules," poor people who need money and can be recruited for $500 or $600 for a single haul of contraband north from the border. The inference is compelling indeed that Trevino and Gonzalez knew the nature of the activity in which their cohorts were engaged and affirmatively sought to bring it to fruition. Perhaps the jury could have found that, as Gonzalez suggested in oral argument, Trevino and Gonzalez simply arranged a sale or lease of the truck contingent on finding a driver, but certainly they were not required to so find.4The evidence supports the conspiracy convictions.
[10] The evidence is sufficient to support the convictions on the possession count.5Page 1270
[13] InBrady,the Supreme Court held that a defendant convicted of murder committed during a robbery was denied due process when the prosecutor withheld from him a statement by his companion admitting that he, and not Brady, had done the actual killing. The succinct holding was that "the suppressionby theprosecutionof evidence favorable to an accused upon request violates due process where the evidence is material either to guilt or punishment . . ."373 U.S. at 87,83 S.Ct. at 1196-97,10 L.Ed.2d at 218(emphasis added). The Jencks Act,18 U.S.C. § 3500, requires the court upon motion after a witness has testified for the United States to order the United States to "produce any statement . . . of the witnessin the possession ofthe United Stateswhich relates to the subject matter as to which the witness has testified."Id.§ 3500(b) (emphasis added). Rule 16(a)(1)(C) requires the government to permit the defendant to "inspect and copy . . . papers, documents . . . which arewithin the possession, custody or control of thegovernment,and which are material to the preparation of his defense or are intended for use by the government as evidence in chief at the trial . . . ." (emphasis added).
[14] Rule 32(c) shows that the presentence report is a reporttothe court,compiled for the court's use in the sentencing process. As amended in 1974, Rule 32(c)(3)(A) establishes a basic presumption that the defendant or his attorney is entitled to read his own presentence report, subject to certain exceptions and provisions for deletion of specifically enumerated items, but Rule 32(c)(3)(D) requires return of any copies of the report to the probation officer immediately after sentencing unless the court otherwise directs. Significantly, the prosecutor is not permitted to see any of the material in the report save those parts which are requested by and disclosed to the defendant. Rule 32(c)(3)(C). In short, a presentence report serves not as a prosecutorial tool but as an informative document for the guidance of the court.
[15]Bradyinvolved evidence available to and suppressed by the prosecution; its language is directed entirely to the proper role of the prosecutor in according the accused a fair trial:
A prosecution that withholds evidence on demand of an accused which, if made available, would tend to exculpate him or reduce the penalty helps shape a trial that bears heavily on the defendant. That casts the prosecutor in the role of an architect of a proceeding that does not comport with standards of justice . . .Page 1271
[16]373 U.S. at 87-88,83 S.Ct. at 1197,10 L.Ed.2d at 219. Nothing in theBradyopinion would encompass a report compiled in an earlier prosecution and held by the convicting court — which may or may not be the court in which the discovery motion is considered — through its probation service. We decline to extendBrady's reach by holding that a discovery motion addressed in effect to a court or its probation officer, rather than the prosecution, asking production of a witness' presentence report, must be granted underBrady's authority.7See UnitedStates v. Walker,491 F.2d 236,238(9th Cir.),cert. denied,416 U.S. 990,94 S.Ct. 2399,40 L.Ed.2d 769(1974).
[17] Appellants' Jencks Act contention is that the presentence report, being in the custody of the probation officer, is "in the possession of the United States" and thus subject to disclosure after the witness has testified to the extent that it contains "any statement . . . of the witness . . which relates to the subject matter as to which the witness has testified."18 U.S.C.A. § 3500(b) (Supp. 1976). Probation officers, serving by appointment of and under the direction of the district courts, are, in a broad sense, employees of the United States, but the term "United States" in § 3500 has a narrower meaning, as evidenced by § 3500(a), which states that the Act is applicable "[i]n any criminal prosecutionbrought by the United States. . ." (emphasis added). With that language we think the term "United States" is shown to mean theprosecutorialdivision of the government, at least within § 3500(a); that this interpretation should also apply to § 3500(b)'s use of the term "United States" is evidenced by the differentiation within § 3500(b) between "the court," which on motion of the defendant is required to order production of the statement, and the "United States," for whom the witness has testified and to whom the production is directed. In sum, a "statement . . . in the possession of the United States" can only be read to mean a statement in the hands of the federalprosecutor; a witness' presentence report held by the prosecution might thus be subject to Jencks Act production. Again, we need not decide that question. Here Leos' presentence report remained in the control of his probation officer, and § 3500 does not reach it.
[18] Finally, we turn to Rule 16.8The appropriate subdivision is 16(a)(1)(C), which requires the "government" to permit inspection of certain items within its "possession, custody or control" which are material to the defense or intended for use as evidence. In this context it is the word "government" which, it is argued, should be interpreted broadly enough to cover courts or probation officers. As with the Jencks Act, however, the surrounding language of 16(a)(1)(C) requires a narrower reading; the subdivision refers, for example, to papers or documents "intended for use by thegovernmentas evidence in chief at the trial . . . ." Neither probation officers nor district judges being in the business of introducing evidence in chief at trial, this language tells us that "the government" means the defendant's adversary, the prosecution. Confirming this conclusion are the repeated references to "the attorney for the government" in 16(a)(1)(A), (B) and (D) and 16(a)(2). No more thanBradyor thePage 1272Jencks Act did Rule 16 authorize disclosure of Leos' presentence report; the trial court was correct in overruling appellants' motions for production of the report.9
[19] Our decision denying discovery of the presentence report of a government witness underBrady,the Jencks Act and Rule 16 is not to be read as a comprehensive survey of the boundaries of required disclosure under those provisions. We emphasize once more that neither the prosecutor nor any governmental unit aligned with him in the prosecution can have possession of or access to a presentence report except in limited circumstances unrelated to our discussion today.10Were we considering some type of report held by an arm of the government other than the probation officer — an investigative agency, for example — different questions would be presented, those concerning the prosecutor's duty to disclose material not technically within his possession but to which he has ready access. We have held, for example, thatBradyrequired disclosure of the Post Office Department personnel file of a government witness employed by that agency, to which the prosecution did not deny having access, even though it lacked present physical possession.United Statesv. Deutsch,475 F.2d 55,57(5th Cir. 1973). Other courts have held that investigative agencies' files were covered by the Jencks Act11or by Rule 16.12Certainly the prosecutor would not be allowed to avoid disclosure of evidence by the simple expedient of leaving relevant evidence to repose in the hands of another agency while utilizing his access to it in preparing his case for trial; such evidence is plainly within his Rule 16 "control." On the other hand,Brady,the Jencks Act and Rule 16 are each and all anti-withholding provisions, and the extent to which any may extend to matter unknown to the prosecutor is doubtful and must abide the event and case-by-case treatment.
[22] Appellants' remaining complaints are without merit and are denied, and their convictions are AFFIRMED.
[25] Part II states thatBrady,the Jencks Act and Rule 16 are "directed toward evidence in the hands of theprosecutor"; that the term "United States" in the Jencks Act "mean[s] theprosecutorialdivision of the government" and that "`a statement . . in the possession of the United States' can only be read to mean a statement in the hands of the federalprosecutor"; and that under Rule 16 "the government" means the prosecution. I assume that these statements are not intended to depart from established and more precisely stated standards. InU.S. v. Dansker,537 F.2d 40(CA3, 1976), the court, in holding that a presentence report was not discoverable under the Jencks Act, said: "In speaking of statements `in the possession of the United States', we understand the statute to require production only of statements possessed by the prosecutorial arm of the federal government."537 F.2d at 61. The court went on to note that the "prosecution" includes investigatory agencies as well as U.S. Attorneys when it said, "Hence, such statements possessed by, for example, the F.B.I. or a United States Attorney must be turned over to the defense on proper motion."Id.Moreover, the two cases relied on by the Third Circuit inDansker, Augenblick v. U.S.,377 F.2d 586,597-98, 180 Ct.Cl. 131 (1967),rev'd on other grounds393 U.S. 348,89 S.Ct. 528,21 L.Ed.2d 537(1969), andU.S. v. Erlichman,389 F. Supp. 95,96(D.D.C., 1974), both specifically point out that the Jencks Act contemplates disclosure by all executive investigatory agencies.
[26] In the context of Rule 16 there are equally strong indications that "government" means more than just the prosecutor. InU.S.v. Bryant,142 U.S.App.D.C. 132,439 F.2d 642,650(1971), the court, speaking in terms of the Jencks Act, Rule 16 andBrady,said:
The fact that it was the Bureau of Narcotics and Dangerous Drugs, and not the United States Attorney's office, which had possession of the tape in these cases does not render it any less discoverable. The duty of disclosure affects not only the prosecutor, but the Government as a whole, including its investigative agencies. Rule 16 and the Jencks Act refer, respectively, to evidence gathered by "the government" and by "the United States," not simply that held by the prosecution.
[27]Id.at 650.
[28] There is Fifth Circuit law as well. InU.S. v. Deutsch,475 F.2d 55(CA5, 1973), the appellants-defendants were accused of bribing a postal employee. Before trial, the defendants, pursuant to Rule 16, moved for production of the employee's personnel file, citingBradyas authority. The district court denied production, saying that the Post Office Department was not an "arm of the prosecution." We rejected the district court's position. Speaking in terms of aBradyduty to disclose, this court said that the government could not escape its obligation to supply evidence by compartmentalizing the Justice Department and the Post Office Department, and by claiming that the former organization did not have access to the requested materials merely because they were in the possession of the latter organization.475 F.2d at 57.
[29] In my judgment most of Part II is arguably dicta, certainly broader than necessary for the decision, and a source of future misunderstanding when read in the light of established jurisprudence.Page 1274
- Leos pleaded guilty immediately after his motion to suppress was denied. No bargain was struck to gain his testimony. ↩
- Leos' testimony was sometimes confusing perhaps due to the need for the interpreter, but these men apparently included two Anglos and one Mexican-American or Mexican national who conversed with Leos in Spanish. Appellants were not accompanying the three men at this time. ↩
- The agents drove the truck on to the underpass delivery point described by Leos and withdrew into the shadows for surveillance, but by this time the delivery was two hours late, and no one came. ↩
- Appellants would have us reverse on the authority of,e.g., Roberts v. United States,416 F.2d 1216,1220(5th Cir. 1969), holding that "neither association with conspirators nor knowledge of illegal activity constitute proof of participation in a conspiracy." Our affirmance here portends no quarrel withRoberts; by their active solicitation of Leos and other actions indicating solidarity with the conspiracy, appellants illustrated more than mere "association" or "knowledge of illegal activity." ↩
- Our treatment of the possession question under the aiding and abetting statute removes the necessity for consideringPinkerton v. United States,328 U.S. 640,66 S.Ct. 1180,90 L.Ed. 1489(1946), cited by the United States in its brief and noted by both sides on oral argument. ThePinkertonrationale holds one who knowingly joins a conspiracy responsible for all acts committed within the scope of the agreement by any of the conspirators, so long as he has done nothing to disavow or defeat the purpose. The jury in this case was not given aPinkertoncharge but rather was instructed concerning aiding and abetting, an "equally valid" and independent theory,Nye Nissen v.United States,336 U.S. 613,618,69 S.Ct. 766,769,93 L.Ed. 919,925(1949), and constructive possession. A verdict on thePinkertontheory requires appropriate instructions to the jury on fact issues,id.; that theory thus is not before us on this appeal. ↩
- Such reports are required by Rule32(c) of the Federal Rules of Criminal Procedure except under certain enumerated circumstances, and the defendant is normally invited by the reporting probation officer to give his version of the facts concerning the offense, though Rule 32 does not require that he do so. ↩
- By the same token we do not attempt to contractBradyby insulating such presentence reports entirely from discovery if the prosecutiondoeshave in its possession (pursuant to Rule 32(c)(3)(D) and the sentencing court's discretion) a witness' presentence report containing exculpatory material. In such instances Brady might well compel disclosure of relevant portions of the report. We are not faced here with a case for delineatingBrady's scope in such a context. ↩
- We note that perhaps Rule 16 simply throws the question back to the Jencks Act and does not constitute an independent authority under which to examine this request for production of the report. Subdivision (a)(2) states that the rule does not authorize discovery or inspection of "statements made by government witnesses or prospective government witnesses except as provided in18 U.S.C. § 3500." Because we find Rule 16 inapplicable to appellants' request on other grounds, we need not decide whether this subdivision might have ended our inquiry with our holding that § 3500 is inapplicable here. ↩
- A panel of this court in an unpublished opinion has held that Rule 16 does not authorize discovery of the presentence report of a government informant:
The presentence report is prepared for the use of the sentencing court. The possession, custody and control of the report remains with the court. We think that such report is not paper within the possession, custody or control of the government . . . .
United States v. Cardenas,538 F.2d 898(5th Cir., 1976) (per curiam). ↩ - Seepages 1270-71, ante. ↩
- See, e. g., Campbell v. United States,365 U.S. 85,81 S.Ct. 421,5 L.Ed.2d 428(1961);United States v. Dansker,537 F.2d 40(3d Cir. 1976) (dictum);United States v. Ehrlichman,389 F. Supp. 95(D.D.C. 1974) (dictum). ↩
- See, e. g., United States v. Bryant,142 U.S. App.D.C. 132,439 F.2d 642(1971). ↩
- The transcript was provided for us at oral argument by the Assistant United States Attorney as required by § 3500(c). ↩