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United States v. Burns, 1st Cir. (1994)
United States v. Burns, 1st Cir. (1994)
United States v. Burns, 1st Cir. (1994)
Maselli,
by
Appointment
of
the
Court, on
brief
________________
appellant.
Jay P. McCloskey, United States Attorney, and Michael M. DuBo
_________________
_______________
Assistant United States Attorney, on brief for appellee.
____________________
February 8, 1994
____________________
____________________
*Of the District of New Hampshire, sitting by designation.
Lisa M. Burns,
She
because:
argues that
(1)
16(a)(1)(A)
by
the
we should
reverse her
prosecutor violated
failing
to
timely
Fed.
disclose
conviction
R. Crim.
a
her
supervisors;
(2)
the
District
P.
postal
to one
Judge erroneously
made
to
the
investigating
mistakenly
read from
preliminary
jury
postal
a
inspector;
superseded
instructions;
the testimony of
(4)
jury
defense
unconstitutionally required
acted
instruction
the Judge
concerning
Judge
his
improperly
another witness;
Judge's
the
indictment during
(3)
Burns'
and (5)
the
intoxication
her to prove
that she
I. Background
I. Background
______________
Lisa Burns
United
States
Postal
first
Inspectors
came to
after
the attention
Inspector
of
Robert
Naples, Maine
-22
post office
where
Burns worked.
"Test mailing"
is
the
Postal
The "test
fictitious
targeted
post office.
"refund inside"
bearer.
mail" is an
and
The
envelope
contains a
to a
is typically
rebate check
marked
made out
If the mailing
not
office
to
envelope addressed
returned,
for
the postal
additional
inspector
test
mailings
targets
and
If it
the post
attempts
to
office contained a
placed at the
$5 rebate check.
When the
tried
containing a $10
that it
to tempt
had been
Burns
rebate check.
endorsed by
with a
It also
second
Burns.
mailing
disappeared.
This
-33
After
failing
to
entice
Burns
post office.
with
the parking
He identified himself,
yet
described
not under arrest, and asked her whether she would be willing
to speak
post
with him.
office.
Burns her
She agreed,
Burns then
made several
the end of
the interview,
she wrote
imperfect
of
signed a
Burns later
in which she
recollection
questions.
out and
admissions.
a supplemental statement
had an
question
to the
the
an alcoholic and
sent
alleged that
incidents
in
was intoxicated
At
trial,
Burns'
admissions.
In
response,
Burns
pleaded
rejected
She was
-44
II. Discussion
II. Discussion
_______________
A.
by failing to disclose
of
her supervisors.
In
pertinent
part,
provides that:
Upon request of a defendant
the government shall disclose
to the defendant
and make
available
for
inspection,
copying, or photographing: . .
. that portion of any written
record
containing
the
the
rule
she
interrogation."
made
supervisor was a
"government agent"
her
"in
statements
response
to
obligated
to disclose the
report pursuant to
her pretrial
request.
We reject
we determine
-55
that
agent."
We
therefore
definitions
must
choose
between
the
term.
Viewed
of
the
two
broadly,
plausible
the
term
local,
Dictionary
__________
state
or
government.
Black's Law
____________
"government agent").
government
federal
agent
under
this
definition
because
he
as a
was
____________________
1
We also reject Burns' additional assertion that,
because Bethel reduced the supervisor's oral summary of
defendant's statements to writing, this written summary
constitutes a recorded statement of the defendant subject to
disclosure "regardless of who the statement was made to or
how it was occasioned."
Although the first subpart of Rule
16(a)(1)(A) makes
a defendant's "written
or recorded
statements" discoverable irrespective of whether they were
made in response to interrogation by a known government
agent, we agree with the Second Circuit Court of Appeals
that an oral statement does not become "written or recorded"
merely because a government agent made a written summary of
the statement before trial. In Re United States, 834 F.2d
____________________
283, 284-85 (2d Cir. 1987). See also, e.g., United States
___ ____
_____ _____________
v. McCure, 734 F.2d 484, 492-93 (10th Cir. 1984).
This is
_________
especially true where, as here, the statement was actually
heard by a third party and then reported to the government
agent at a later date. See In Re United States, 834 F.2d at
___ ___________________
285-86.
Finally, because we agree with the trial
judge that Burns' supervisor was not a government agent, we
need not decide whether Burns' statements were made "in
response to interrogation."
-66
employed
statements
by the
United
were made.
States
Postal
Service
when
the
enforcement responsibilities
or
their
agents.
U.S. 293,
agent" to describe an
See,
____
295, 305-07
undercover
297,
299
(1990).
Under
this
definition,
Burns'
incriminating statements.
definitions presents
novo.
____
a question of
law which we
review de
__
our analysis
with
the axiom
that
Kelly v. Robinson,
_________________
479 U.S. 36,
"[t]erms
the scheme
43 (1986).
in an act
As we
of the statute
971 F.2d
can take on a
context."
818, 825
different meaning
Cir. 1992),
cert.
_____
Here,
disclosure obligation
by
limiting
to summaries
the
prosecution's
of relevant
statements
Rule's surrounding
reading of the
term.
text strongly
When Rule
supports the
16 was amended in
narrow
1974 to
a milieu in
to give
special
attention to
interrogation by
law
statements
obtained in
enforcement
officers.
response
to
See, e.g.,
__________
Obviously, Miranda
_______
and
of
its
progeny
require
statements obtained
the defendant
Id. at
__
Moreover,
custody, his or
her Miranda
_______
rights.
a defendant was
through interrogation by
not in
law enforcement
defendant's
interrogation unless
his or
even if
(1961);
through custodial
properly waived
444-45.
officers.
suppression
Rogers and
______
U.S.
(1976) (citing
384
Davis for
_____
425 U.S.
737,
740-42
n.2 (1967).
341, 347-48
the proposition
that
then and
whether
the
interrogation.
statements
were
obtained
tipped FBI);
(bank officials).
law enforcement
788,
officials or
875 F.2d
supervisor
States v. Pullen,
_________________
to
through
790-91 (11th
persons
Cir. 1983)
refers only
acting on
their
resulted
from
interrogation
provides
a rational
basis
pretrial
disclosure obligation
for limiting
interrogation
limitation
such
individuals
the
government's
to summaries
by
of statements
disappears,
however,
if
Besides enjoying
the
narrow
meaning
arbitrariness that
of
strong contextual
"government
would result
agent"
if the
support,
avoids
term were
the
defined
-99
more
expansively.
We
agree
that
the
broad reading
maximum deference to
the policies
114
disclosure
S.
Ct.
provisions
administration
defendant
987 F.2d
of
147
77, 84-85
(1993)
promote
criminal
See United
___ ______
(1st Cir.),
(Rule
"the
fair
justice
by
of
cert.
_____
16's
mandatory
and
efficient
providing
the
process.").
Once it is
law
enforcement
problematic
context,
because
it
however,
this
deteriorates
definition
into
is
completely
to disclose.
be
obligated
to
disclose
portions
summarizing statements
the defendant
cook,
portions
but
not
those
of
made to a
of the
same
report
government
report
that
diner.
to
prosecution
the
defendant"
would
only
as
be
government
obligated
to
agent,
the
disclose
the
-1010
defendant's
statements
defendant knew
was
to
a government
employee.
the
government
cook
arbitrariness
if
the
the cook
of
such
distinctions is obvious.
Consistent with the rule of construction that
legislative
untenable
enactments
distinctions
possible,"
and unreasonable
to
results
to construe "government
problematic reading of
the
interpreted
avoid
whenever
1991), we refuse
way that
be
71 (1982);
Cir.
"should
narrower
agent" in a
a less
also plausible.
Here,
the term is
definition of
361 (1st
"government agent"
limits the
definition serves
without irrationally
of
the
policies
By doing so,
underlying
Rule
16
base its
person
government
to whom
employee.
she
is
making
We therefore
-1111
her statements
agree
with the
is
trial
court
that, as used
in Rule 16,
B.
denial of
her
statements
Bethel.
next challenges
motion
to suppress
the District
the
oral
and
Judge's
written
his investigation.
She
also claims
at the
customers
she
was
one-room post
interview
a "weakened
because
she
was an
factors,
Burns
claims
the presence
Finally, she
psychological
office in
alcoholic
of
contends that
state"
during the
who
had stopped
her
statements
were
courts
determining
must
apply
the
voluntariness
the
"totality
of
of
a
the
____________________
2
In reaching this conclusion, we do not endorse the
prosecution's decision to withhold Bethel's report. As the
circumstances test."
286 (1991).
U.S. 279,
(1st Cir.
district court's
1993).
denial of
Further,
a motion to
we will
983 F.2d
uphold the
suppress if
it is
Id.
___
requiring
suppression
Burns' mental
state -- we
of Burns'
statements
--
the District
First, while
Burns testified
not to arrest
she
be interviewed,
Magistrate
agreed
presided
to
at
the
suppression
Since
the
hearing
her if
Judge who
accepted
Bethel's
made such a
evidence to
erroneous.
See
___
there
are
two
competing
interpretations
of the
them cannot
-1313
be
clearly
promise
not
erroneous.").
to
prosecute
Accordingly,
Bethel's
alleged
Burns
no
in
plays
role
our
Second,
we reject
Burns' claim
that Bethel
The
to
be interviewed
informed that
she
at the
post office
after
under
arrest and
after
rights.
Moreover,
Burns
was not
voluntarily waiving
her Miranda
_______
worked
office, and so
at the post
with the
site Bethel
Burns
agreed to
be
after
being advised
chose for
the interview.
interviewed
in familiar
that she
was under
surroundings
no obligation
the interview
at the
post
Given that
office was
to
decision to
inherently
coercive.
Finally, Burns
contends that
her statements
hearing
absent
that,
conduct, the
state
some
evidence
of
479 U.S.
157, 163-67
-1414
(1986);
coercive
police
Connelly,
________
the suppression
See Colorado v.
___ ___________
United States v.
_________________
Victoria-Peguero, 920
________________
denied,
______
111 S.
rejected
F.2d 77,
Ct. 2053
Burns'
88 (1st
(1991).
contention
that
Cir. 1990),
Since
we have
Bethel's
cert.
_____
already
conduct
was
C.
committed
claims
reversible
error by
that
the
District
mistakenly
Judge
reading from
to
the
Judge's preliminary
limited
to "plain
52(b).
Accordingly,
unless:
"obvious";
rights,"
error" review.
we will
not
R. Crim.
reverse her
are
P.
conviction
we
Burns' "substantial
claimed error
_____
has
failed to
show
that the
court's
error affected
her
the
original
District Judge
indictment
during
mistakenly read
his
preliminary
-1515
instructions,
verdicts.
counts
First,
each of
each embezzlement's
mailings
solely
the
and
two
and place.
indictments is
listing
superseding
check numbers
mailings contained.
Burns
approximate date
payors
original indictment's
described
whereas
the
their
indictment
of
fictitious
also
the rebate
addresses,
identified
checks
test
the
that the
both
prepare for
additional
trial
and
information
avoid
contained
failure to read
affected
double
in
jeopardy,
the
the
superseding
Cir. 1987).
Moreover,
the Judge's
test mailings
Yefsky, 994
______
were not
F.2d 885,
defendant on
concerning the
in dispute.
an indictment
charged
containing insufficient
offense was
harmless
the
detail
error
where
trial
-1616
theory
at trial).3
D.
Hearsay
_______
Burns next
District Judge
as a character witness.
that she had
about the
ashamed"
several other
King.
confronted her
then testified
that,
and apologized
Cathy Larsen,
missing mailings.
Early in her
for her
conduct.
"embarrassed and
After
her roommate,
calling
Karen
visit, testified:
____________________
3
Burns also argues that she was tried on the wrong
indictment.
However, this argument does not merit extended
discussion because it is not supported by the record.
At
the close of the case, the judge instructed counsel to
review both the indictment and the jury verdict form before
they were submitted to the jury.
The record is devoid of
any suggestion that counsel failed to ensure that it was the
superseding indictment that was submitted.
We thus have no
reason to determine whether Burns' conviction would have to
be reversed if the jury had been asked to render its
verdicts on the original indictment.
-1717
Q.
On that night did Lisa make any
statement
saying
she
had taken
checks?
A.
The
prosecutor
answer was
offering
taken
Never.
objected
hearsay.
Defense
the testimony
not to
had made
to King's
On appeal,
claiming
counsel responded
establish that
to impeach Larsen's
the statements.
objection.
answer,
Burns
he
was
had never
that
that the
the prosecutor's
that exclusion
of this
elicited
statements,
the
testimony
prosecutor
from
put
those
Larsen
When the
about
statements in
Burns'
dispute.
said.
offered to
Since
King
Such testimony
prove the
was
truth of
prepared
observations of what
is not
to
hearsay because
Burns' out-of-court
testify
concerning
it was
not
statements.
her
own
erred, we
Although
decline to
reverse Burns'
th
conviction on
-1818
52(a).
Burns
claim
that
took
the
test
prosecutor's well-supported
mailings.
Under
these
that they
intoxicated when
doing so.
undermine
limited probative
after
might
she was
her claim
Burns allegedly
confronted by
Bethel and
statements
accused of
taking the
what
had
it
friends.
not remember
made the
Having been
intoxication
so
value.
done,
she was
mailings.
she
that
the
defense for
was
her
entirely
to have
supposedly learning
consistent
expressed
with
her
shame to
her
it could not
harmlessness
of
the
Judge's
error
criminal intent.
It was
Accordingly, it
exclude King's
that demolished
testimony about
her
recollection of
Burns'
-1919
statements to
Larsen.
E.
Judge'
she acted
without criminal
intent.
The
Judge gave
the
contends that
impossible"
the
phrase "defendant
to which
impaired before
guilty.
claims
... it
was
We disagree.
intoxication
instruction merely
Burns' cognitive
capacity
describe
must have
been
of not
read together,
prosecution
doubt
that
Burns'
the jury
of establishing beyond
use
did
had to prove
not
charged offenses.
that the
a reasonable
prevent
her
from
Accordingly,
we
Affirmed.
Affirmed.
_________
____________________
4
no right