Federal Circuits, 7th Cir. (September 05, 1985)
Docket number: 84-2345,84-2346
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U.S. Supreme Court - Rhode Island v. Innis, 446 U.S. 291 (1980)
U.S. Supreme Court - Anderson v. Charles, 447 U.S. 404 <I>(per curiam)</I> (1980)
U.S. Supreme Court - Doyle v. Ohio, 426 U.S. 610 (1976)
U.S. Supreme Court - Chapman v. California, 386 U.S. 18 (1967)
Michael C. Carr, Asst. U.S. Atty., Benton, Ill., for plaintiff-appellee.
Robert H. Rice, Rice Law Offices, Ralph J. Derango, Jr., Jones, Ottesen, Feickert & Derrango, Belleville, Ill., for defendants-appellees.Before CUMMINGS, Chief Judge, CUDAHY, Circuit Judge, and PELL, Senior Circuit Judge.PELL, Senior Circuit Judge.On May 29, 1984, a jury convicted defendants-appellants Timothy Laughlin and Larry Trout of various drug charges. Specifically, Counts 1 and 3 of the indictment charged another individual, Kent Worthall, with distribution of cocaine on two separate occasions, February 9, 1984, and March 14, 1984, in violation of 21 U.S.C. Sec . 841(a)(1). Counts 1 and 3 charged defendant Laughlin with aiding and abetting the distribution of cocaine on both of these occasions, while Count 1 charged defendant Trout with aiding and abetting the distribution of cocaine on March 14th. Count 2 charged Worthall and defendants Laughlin and Trout with conspiracy to possess with intent to distribute cocaine on March 14th in violation of 21 U.S.C. Secs . 841(a)(1) and 846. Prior to trial, Worthall entered into a plea agreement with the Government whereby he agreed to testify in return for the Government's promise to drop two of the three charges against him. A jury convicted defendants Laughlin and Trout of all of the charges brought against them in the indictment. They appeal their convictions.I. The FactsOn February 7, 1984, Special Agent Michael Geurin of the Illinois Department of Criminal Investigation, while working in an undercover capacity, arranged to purchase one-eighth of an ounce of cocaine from Worthall. They arranged for the sale to occur on February 9, 1984, in a parking lot behind a tavern in Flora, Illinois.Accompanied by two agents who conducted surveillance, Geurin arrived at the parking lot on February 9th at about 3:00 p.m. Worthall arrived shortly thereafter and informed Geurin that he did not have the cocaine and that they would have to wait fifteen or twenty minutes. At this point, Worthall went inside the tavern. After returning from the tavern, Worthall got into Geurin's car. While they were waiting in the car, Worthall showed Geurin a large roll of money, which he claimed was $3,600, and told him that he was going to give the money to "Tim." A few minutes later, Geurin observed a black Trans Am arrive in an alley next to the parking lot. Worthall said, "There's Tim" and asked Geurin for $325, the agreed-upon price for the cocaine. Worthall exited Geurin's car and got into the Trans Am with the driver of the car. After about eight minutes, Worthall got out of the Trans Am, returned to Geurin's car, and gave him the cocaine.With respect to this transaction, Worthall testified that, when he went inside the tavern, he called Laughlin, who was his source for the cocaine. He was informed that Laughlin was on his way. Worthall further testified that Laughlin was the driver of the Trans Am and that he obtained the cocaine from Laughlin. Corroborating Worthall's testimony, Agent Sylvester, one of the agents who conducted surveillance and followed the Trans Am to a nearby convenience store, identified Laughlin at trial as the driver of the car.At trial, Worthall and Geurin also testified about another cocaine transaction, for which neither Worthall nor defendants were charged, that occurred on February 16th in the same parking lot in Flora, Illinois. On that date, Worthall arrived at the parking lot with defendant Trout in Trout's car. As before, Worthall left Trout's car and got into Geurin's car. In the car, Worthall delivered the previously arranged one-half ounce of cocaine, and Geurin paid him $1,125. Worthall then returned to Trout's car, in which he remained for about eight minutes. Then, Worthall exited Trout's car, entered the tavern, and Trout drove away. Worthall testified that he arranged with Laughlin for Trout to deliver the half-ounce of cocaine and that he agreed with Laughlin to pay Trout $1,025 upon the sale.Worthall's final sale of cocaine to Geurin occurred on March 14, 1984. According to Geurin, a few days earlier, he arranged to purchase two ounces of cocaine from Worthall for $4,200. On the 14th, Geurin arrived at Worthall's residence at about 2:00 p.m., whereupon Worthall told him that he did not have the cocaine. Because Worthall did not have a telephone in his residence, Geurin drove Worthall to the tavern so that Worthall could make phone calls to arrange the deal. After making the calls, Worthall told Geurin to meet him at Worthall's residence at 4:00 p.m. to obtain the cocaine.Geurin returned to Worthall's residence at 4:00 p.m., and a man informed him that Worthall was not at home but that "the package [was] in." A short time later, Geurin learned over his police radio that a green Monte Carlo had arrived at Worthall's residence. Geurin saw the car, later identified as Trout's girl friend's car, as it was leaving Worthall's residence. Worthall waved Geurin over to the side of the road and approached his car. Worthall got into Geurin's car and informed him that he had obtained the two ounces of cocaine. In addition, he told Geurin that the driver of the Monte Carlo was the person who brought the drugs from a neighboring town. At this point, Worthall instructed the driver of the Monte Carlo to return to Worthall's residence and wait for him. Geurin and Worthall then drove a short distance, and, after a few minutes, Geurin pulled over. Worthall showed Geurin the cocaine, at which point two other agents arrived and identified themselves. Wanting to cooperate, Worthall informed the agents that he had arranged the attempted transaction through Laughlin. According to the plan, Trout was to obtain the cocaine and pay Laughlin $4,000 from the sale.After giving the agents this information, Worthall and Geurin drove back to Worthall's residence, and Worthall motioned to Trout, who was sitting in the Monte Carlo, to follow Geurin's car. They drove a distance of approximately two blocks and then pulled over in a softball field. At that point, Geurin and the other agents arrested Trout.At trial, Worthall confirmed that he had arranged with Laughlin the specifics of the March 14th transaction. Worthall testified that, during the afternoon of the 14th, he met Trout, who already had obtained the cocaine, in Clay City, a neighboring town to Flora. Then, they drove to a house where they diluted the cocaine with B-12, a vitamin supplement, and returned to Flora. Upon their return to Flora, they were apprehended in the manner previously set forth.The agents arrested Laughlin that evening at about 7:00 p.m. at his house. At about 10:30 that evening, a number of agents searched Laughlin's house pursuant to a search warrant. They found, among the items in Laughlin's house, a pipe and a bong used to smoke marijuana, a gram scale, $870 in cash, and a number of possibly inculpatory photographs.At the trial, the jury convicted both defendants of the charges alleged in the indictment. The judge sentenced Laughlin to a seven-year term of imprisonment for each of the three counts on which he was convicted, the terms to run concurrently. In addition, Laughlin received a special parole term of three years on Counts 1 and 3, the aiding and abetting charges. The judge sentenced Trout to a three-year term of imprisonment for each of the two counts on which he was found guilty, with the terms to run concurrently with one another. Similarly, Trout received a special parole term of six years on Count 1.Both Trout and Laughlin appeal their convictions on a number of grounds. First, Trout contends that the Government violated his Fifth and Sixth Amendment rights when Agent Moomaw testified to a statement that Trout made after receiving Miranda warnings, at which time he stated that he wanted to see an attorney. Second, Trout complains that the Government violated his Fourteenth Amendment right to due process by cross-examining him about his failure to make certain exculpatory statements at the time of his arrest and by commenting upon his post-arrest silence during closing argument.Both defendants challenge the trial court's decision to admit certain photographs that the agents found in Laughlin's house, and Trout challenges the court's decision to admit the pipe and the bong that the agents also found in Laughlin's house. In addition, Laughlin and Trout claim that the court erred when it allowed Agent Stites to impeach Laughlin's wife's testimony by testifying that she previously told him that Ed Kish was the source of her husband's cocaine. Finally, Laughlin contends that the court should have permitted Trout to testify that he did not overhear a statement that Worthall claimed Laughlin made while the three of them were in jail following their arrest.II. Trout's ArrestA. Trout's Spontaneous Inculpatory StatementAt trial, Agent Moomaw testified that, after he arrested Trout and advised him of his Miranda rights, he transported him to a holding facility. According to Moomaw, while they were on their way to this holding facility, Trout stated, "I almost took off." To this, Moomaw replied, "What do you mean?" Trout again stated, "When I saw you pull up behind me, I almost took off." Moomaw then asked, "You know a chase would have ensued?" According to Moomaw, Trout shrugged his shoulders.Prior to permitting Moomaw to testify about Trout's statements, the court conducted a hearing on Trout's motion to suppress the statements. Trout did not testify at this hearing. Rather, Moomaw was the only witness, and he testified that, after he gave Trout his Miranda warnings and Trout stated that he wanted an attorney before answering any questions, Trout spontaneously made the statement that he almost took off. Moomaw testified that, prior to this statement, he had not asked Trout any questions once Trout invoked his Miranda rights. Based on this testimony, the court found that Trout's statement, "I almost took off," was spontaneous and that the follow-up exchange did not constitute interrogation.Trout did not testify at the suppression hearing although he did take the witness stand in the trial itself and testified that he did not make any statements, including the ones to which Moomaw testified. If, of course, he had testified at the suppression hearing, a credibility question would have been presented to the court but, in the absence of that, we cannot find clearly erroneous the district court's determination that Trout's initial statement was spontaneous and not a response to custodial interrogation. See United States v. Rodgers, 755 F.2d 533, 546 (7th Cir.1985). Therefore, the court did not violate Trout's Fifth Amendment rights by permitting Moomaw to testify to this statement. Miranda v. Arizona, 384 U.S. 436, 474, 86 S.Ct. 1602, 1627-1628, 16 L.Ed.2d 694 (1966).The happenings in this case are contrary to the usual situation where a defendant will testify in a suppression hearing because he can do so without waiving his Fifth Amendment rights but where he probably would be unwilling to controvert a particular fact in the trial on the merits because of the waiver involved and possible impeachment by other evidence which could have a bearing on the ultimate issue of his guilt. Nevertheless, Trout chose here not to testify and Moomaw's testimony unrebutted in the suppression hearing clearly supports the finding that the statement was spontaneous.Additionally, this court finds of no significance the question whether the trial court erred in deciding that Moomaw's follow-up questions did not constitute interrogation. See Rhode Island v. Innis, 446 U.S. 291, 302, 100 S.Ct. 1682, 64 L.Ed.2d 297 (1980) ("The definition of interrogation can extend only to words or actions on the part of police officers that they should have known were reasonably likely to elicit an incriminating response."). Under the circumstances of this case, this court declines to address that question because any harm that resulted from the admission of Trout's responses to Moomaw's questions was inconsequential and, therefore, harmless. See Fed.R.Crim.P. 52(a). After all, the only other statement that Trout made--that when he saw Moomaw pull up behind him, he almost took off--was essentially duplicative of his first statement, which was admissible. In addition, Trout's action of shrugging his shoulders was an ambiguous gesture and not a "statement" for purposes of the Fifth Amendment right against self-incrimination.B. Trout's Post-Arrest SilenceTrout argues that this court must reverse his conviction because the Government violated his due process rights by impermissibly cross-examining him about and commenting upon his failure to make exculpatory statements after his arrest. According to the Government, however, the prosecutor's conduct on cross-examination and in closing argument did not amount to reversible error because, inter alia, the defense had "opened the door," during its cross-examination of Agent Geurin, for the Government to examine the issue of Trout's post-arrest silence.This brings into play Doyle v. Ohio, 426 U.S. 610, 96 S.Ct. 2240, 49 L.Ed.2d 91 (1976). In that case, the Supreme Court first enunciated the general rule that the Government may not "impeach a defendant's exculpatory story, told for the first time at trial, by cross-examining the defendant about his failure to have told the story after receiving Miranda warnings at the time of his arrest." Id. at 611, 96 S.Ct. at 2241-2242. The Court concluded, for two reasons, that the Government violates a defendant's due process rights by commenting upon his post-arrest silence. First, the Court noted that a defendant's silence in response to Miranda warnings is "insolubly ambiguous." Id. at 617, 96 S.Ct. at 2244. Second, the Court found that, by giving Miranda warnings, the Government implicitly assures a defendant that he will not be penalized for exercising those rights by remaining silent. Id. at 618, 96 S.Ct. at 2245.Despite the general prohibition against the Government's use of a defendant's post-arrest silence for impeachment purposes, however, the Supreme Court made clear in Doyle that the rule contains exceptions. For example, the rule would not apply where a defendant testifies at trial that he told his exculpatory story at the time of his arrest. Id. at 619-20, n. 11, 96 S.Ct. at 2245-2246, n. 11. In that situation, the Government may introduce defendant's post-arrest silence to impeach his claim that when he was arrested he did not remain silent but told his exculpatory story. Id. Other courts have spelled out further exceptions to the Doyle rule and the Government has endeavored to find some support in several of these exceptions.Before examining these exceptions, however, we turn to the precise scenario that was involved in this case to determine whether there was a violation of the Doyle rule requiring reversal in this case. The issue arose out of the final sale of cocaine to Geurin on March 14. The Government contended that Trout was present on that occasion to receive the $4,000 payment from Worthall for the sale, which payment Trout would then turn over to Laughlin. Trout's theory, as it was developed during trial, was that he was merely present at the transaction to receive a $200 loan payment from Worthall for Laughlin. As set forth earlier in this opinion, Worthall had motioned to Trout to follow Geurin's car. As soon as Trout pulled up behind Geurin's car at the athletic field the agents identified themselves and arrested him. Agent Moomaw advised Trout of his constitutional rights via a form of a Miranda warning. There has been a previous reference to statements Trout made to Moomaw en route to the holding facility and it is only indirectly involved in the testimony relating to the events of the March 14th transaction as bearing on the Doyle issue.During the initial cross-examination, Agent Geurin's repeated attention was directed to the fact that the agents did nothing inconsistent with the theory to be developed by Trout that he was not there to get $4,000 but merely to collect the $200. This colloquy then took place:Q. Okay, you didn't hand him the $4,000 and when he took it, press your button?A. No, sir.Q. Okay. My client did not admit at the scene that he was expecting $4,000, did he?A. No.Q. Did you say to him, "We have your $4,000"?MR. CARR: [Government counsel] Your Honor ...MR. DERANGO: At any time?The Government objected on the ground that the questions would inaccurately imply that Trout was cooperative when, in fact, he had immediately asserted his rights after having the Miranda rights warnings read to him, which had occurred as soon as the car came to a halt and the arrest was made. The court advised defense counsel to confine his questions to a time before the arrest and that if he went beyond that, "you are warned on the record that you are opening the door." Thereafter, although referring to the time prior to the arrest, the line of questioning was again pursued that there was no attempt made to offer $4,000. The same line of questioning was pursued with Agent Moomaw on cross-examination. The following were some of the questions that were asked on that occasion:Q. Was there any discussion among the agents after the arrest of Trout and the conversation with him about his cooperation and so on, was there any discussion among any of you regarding leading Trout to the ball diamond and having anyone offer him the $4,000.00 that Worthall claimed he was waiting for?Q. Then you didn't have to test Trout to see if he accepted $4,000.00 as his?Q. Somebody misconstrue it, if Trout said, "I don't have $4,000.00 coming. Why are you handing me this money?" Could he not?Q. That could be construed as a sign of Trout's innocence, couldn't it?Q. Trout refusing $4,000.00 or indicating that the four thousand was nothing that he expected to receive could indicate that Worthall was lying and Trout was innocent, couldn't it?Later in the cross-examination again the implication was made that Trout was not given the opportunity to explain why he was there. We will not comment on what the purpose might have been but the obvious effect on the jury was to convey the impression that, during the period when the arrest occurred, Trout simply was not given the opportunity to proclaim his innocent involvement.When Trout took the witness stand, he testified in effect that he was picking up money from Worthall for the defendant Laughlin because Worthall owed Laughlin on a loan. He was then asked about the statement he had made on the way to the holding facility:Q. You have heard his testimony that you made a statement to him that you almost took off?A. Yes, and I didn't make no statement of any kind.It was following up in the context of this background, particularly that he didn't make a statement of any kind, that the cross-examination challenged under the Doyle rule occurred:Q. You just testified that after you were arrested, you didn't make a statement of any kind, isn't that right?A. That is right.Q. So Moomaw, what he said was incorrect?A. That is true.Q. You didn't make any statement?A. I didn't make any statement.Q. You didn't tell the police officers who had just arrested you that you thought [Worthall] was dealing in dope?A. No, I didn't tell the police officer nothing.Q. You didn't tell him that you were going to pick up an amount of money for your friend Tim Laughlin when you were arrested?A. No, sir.Q. You didn't tell them that you had been on the 16th to pick up money for your friend Tim Laughlin?A. No, sir.Q. 'I thought I was being set up. Just the way he acted was hyper.' Did you tell anyone that?A. No.There was no objection to this line of questioning.During closing argument, the Government again drew attention to Trout's failure to exculpate himself. The prosecutor argued:He testified here that he thought that [Worthall] may be into some dope. Did he tell the officer that? He said, no, he didn't make any statements. Did he tell the officer that he was going to get into the four thousand--was going to bring in a loan of money? He told them, no, he didn't tell them anything.Trout objected for the first time at this point, claiming that this argument was "improper, prejudicial" and that he "[was] not obliged to say anything when he [was] approached in a hostile manner and arrested." Instead of ruling on Trout's objection, however, the judge instructed the jury "to draw upon their memory and recollection as to what the evidence is and that will control." While the Government on this appeal has endeavored to fit its case within some of the several exceptions to the applicability of the Doyle rule, the fitting does not quite come off upon examination of those exceptions.Various lower courts, including this circuit, have recognized an exception to Doyle where a defendant implies that, after his arrest, he cooperated with law enforcement officials by conversing with them about the circumstances of the crime. See, e.g., United States v. Shue, 766 F.2d 1122, 1129 (7th Cir.1985) (Doyle not applicable where defendant testified that after his arrest he cooperated with the authorities by giving fingerprint, hair, and handwriting samples and by appearing in lineups); United States v. Allston, 613 F.2d 609, 611 (5th Cir.1980) (Doyle not applicable where defendant testified that upon his arrest he told officers the same story that he offered at trial); United States v. Dixon, 593 F.2d 626, 630 (5th Cir.1979) (Doyle not applicable where defendant testified that he had spoken to the authorities four or five times), cert. denied, 444 U.S. 861, 100 S.Ct. 126, 62 L.Ed.2d 82. But see Stone v. Estelle, 556 F.2d 1242, 1244 (5th Cir.1977) (Doyle applies where defendant testified that he was on his way to the courthouse to turn himself in and cooperate with law enforcement officials when they arrested him), cert. denied,Try vLex for FREE for 3 days
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