Lead Opinion
James Stanley Bentley appeals from a conviction for drug offenses, asserting various errors in the trial court. We affirm.
I
On September 16, 1987, a radar operator for the United States Customs Service detected an airplane on the Mexican side of the border heading toward the United States. Radar tracked the plane, and customs aircraft followed it. Eventually, the plane ran out of fuel and crashed near Lubbock, Texas. Bentley, the sole passenger in the plane, ran away from the wreck across a field and then lay face down. Customs agents, who had landed their aircraft nearby, found Bentley conscious but injured, with a brief case containing personal items and a change of clothing. In the wrecked plane, the agents detected a strong odor of marijuana. They also found in the plane a current driver’s license, an expired driver’s license, a credit card and a business card belonging to Bentley, and they found marijuana scattered around the crash site. Bentley was given first aid and taken to the hospital. The pilot, who had been pinned in the wreck, was also taken to the hospital but did not survive.
Bentley was charged with five counts of possessing, smuggling, and importing marijuana and conspiracy, in violation of federal statutes. See 18 U.S.C. § 2 (aiding and abetting); 18 U.S.C. § 545 (fraudulent and knowing concealment and facilitation of the transportation of merchandise imported contrary to law); 19 U.S.C. § 1484 (requirements for entry of merchandise); 21 U.S.C. § 841(a)(1) (possession of controlled substance with intent to distribute); 21 U.S.C. § 952 (importation of controlled substance); 21 U.S.C. § 955 (possession of controlled substance aboard an aircraft); and 21 U.S. C. § 963 (drug conspiracy). A pretrial order instructed the prosecution to disclose various items at least three days before trial, including evidence of extraneous offenses, statements made by the defendant to law enforcement officials, and names of witnesses. Defense counsel did not receive this information until Sunday evening, May 1, 1988, the night before trial. The prosecution claims, however, that on the previous Friday it had attempted to contact defense counsel regarding discovery. On defendant’s motion in limine, the trial court declined to sanction the government by excluding evidence of prior extraneous offenses and the defendant’s statements to customs agents.
During trial, the prosecution put into evidence medical records from Lubbock General Hospital, detailing Bentley’s medical condition and treatment after being taken to the hospital from the wreck. The records included the results of a urine test revealing the presence of cannabinoids (found in marijuana) in Bentley’s system. The prosecution also put on the stand the custodian of records at Lubbock General. The defendant’s objection to admission of the records was overruled.
The defendant also objected, at least during an informal discussion, to the following jury instruction relating to the two counts that involved facilitation of transportation of marijuana: “Proof of defendant’s possession of such goods, unless explained to the satisfaction of the jury, shall be deemed evidence sufficient to authorize conviction for violation of this section.” The court deleted the clause “unless explained to the satisfaction of the jury.” The defense then objected generally to any denial of its requested instructions and to the inclusion of any instruction it had opposed. The trial court overruled these objections.
Bentley was convicted of all five counts and filed a timely notice of appeal.
We first consider whether Bentley’s conviction must be reversed because, as he argues, the trial court erred in admitting the medical records into evidence. At trial the defendant objected, correctly, that the medical records were hearsay. See Fed.R. Evid. 801. The court admitted the evidence, however, under the business record exception. See Fed.R.Evid. 803(6). The defendant argues that treating the medical records as admissible under the business record exception was contrary to the rules. He relies primarily on United States v. Oates,
It is unnecessary to reach these questions, however, if the alleged errors were sufficiently harmless. The Federal Rules of Criminal Procedure provide that any error which does not affect substantial rights shall be disregarded. Fed.R.Crim. Pro. 52(a). Furthermore, even constitutional error may be deemed harmless when it is found to be harmless beyond a reasonable doubt. Chapman v. California,
In this case, the other evidence of Bentley’s guilt leaves us with no doubt that any error involving Bentley’s right to confront witnesses was harmless. It is obvious that Bentley was in the airplane that came from Mexico, attempted to evade the authorities and crashed only when it ran out of gas. That he was one of only two people in the airplane, especially when unexplained by any evidence in the case, is thoroughly damning. It is further obvious that a substantial quantity of marijuana was in the airplane and that it was discharged from the airplane while in flight. Customs agents testified that a strong odor of marijuana was present in the airplane even after the crash. An El Paso police officer testified that in 1986 she caught Bentley smoking marijuana and in possession of a small amount of additional marijuana when she pulled him over for speeding. This testimony was admitted into evidence for the purpose of establishing Bentley’s familiarity with marijuana and to prove that, given the strong odor of marijuana in the airplane, Bentley could not have been an unknowing bystander. These facts, completely aside from the medical records challenged on appeal, would have compelled a reasonable jury to convict Bentley. In other words, we are convinced beyond a reasonable doubt that, even in the absence of the report showing the presence of canna-binoids in Bentley’s system, no reasonable juror would have voted to acquit. The report added very little to the evidence before the jury. It indicated only that Bentley was familiar with marijuana, including its smell, when that familiarity was independently demonstrated by the El Paso police officer’s testimony. Jurors are instructed to use their common sense. Given these facts, no reasonable person would have concluded that Bentley was an innocent hitchhiker. Thus, even if the admission of the records violated the hearsay rules or the confrontation clause, an issue we do not decide, such error was harmless beyond a reasonable doubt.
Ill
The next question is whether the trial court improperly declined to exclude evidence as a sanction against the government for untimely disclosure of prior extraneous transactions, statements made to officers and a witness list. The defense argues that it had insufficient notice, contrary to a pretrial discovery order, of the prosecution’s intent to introduce evidence of three prior extraneous offenses and evidence of statements made by Bentley to customs agents, as well as a list of intended witnesses. The government responds that it was unable to contact defense counsel, and that it then filed the information with the court. In addition, the government claims that Bentley had no right under the order or otherwise to the officer’s reports. Bentley nevertheless argues that the evidence of extraneous offenses and his statements to customs agents should have been excluded as a sanction against the government for failing to comply with the court’s discovery order.
The district court has the power to remedy a party’s failure to comply with discovery. Fed.R.Crim.Pro. 16(d)(2). The district court has broad discretion under this rule. United States v. Sarcinelli,
IY
Finally, we address whether the jury instruction on evidence of possession as sufficient to prove fraudulent and knowing concealment and facilitation of transportation was erroneous, and whether any objection was waived. Bentley argues that the jury instruction on counts one and five allows evidence of mere possession to shift the burden to the criminal defendant of disproving fraudulent and knowing concealment and transportation; he complains that shifting the burden violated his right to remain silent and his right to have the government prove his guilt beyond a reasonable doubt.
The government primarily relies on its position that any objection was waived. Defense counsel successfully requested the deletion of the clause “unless explained to the satisfaction of the jury.” Counsel appears to have been fully satisfied with the court’s ruling since he pressed no further objection except for a later general objection. Under the circumstances, the government is correct that the specific objection was not preserved. Thus we will not reverse the conviction based on Bentley’s argument that the instruction violated his constitutional rights unless the jury instruction was plain error. See Fed.R.Crim. Pro. 52(b). Plain errors are those which strike at the fundamental fairness, honesty, or public reputation of the trial. United States v. Ortega-Chavez,
We hold that the instruction was not plain error. In addition, even if the instruction were erroneous, it was harmless beyond a reasonable doubt. Chapman,
Whoever fraudulently or knowingly imports or brings into the United States, any merchandise contrary to law, or receives, conceals, buys, sells, or in any manner facilitates the transportation, concealment, or sale of such merchandise after importation, knowing the same to have been imported or brought into the United States contrary to law—
Shall be fined not more than $10,000 or imprisoned not more than five years, or both.
Proof of defendant’s possession of such goods, unless explained to the satisfaction of the jury, shall be deemed evidence sufficient to authorize conviction for violation of this section.
18 U.S.C. § 545. The instruction required all that this statute requires. As a result, Bentley’s appeal on this issue translates into an argument that the statutory presumption itself is unconstitutional. Whatever the merits of such an argument may be in other cases, see, e.g., United States v. Matalon,
In conclusion, we find no basis for reversing Bentley’s conviction. First, any error committed by allowing the medical records into evidence was harmless beyond a reasonable doubt. Second, the district court did not abuse its discretion in deciding not to exclude evidence as a discovery sanction. Finally, the jury instruction did not constitute plain error. Bentley’s conviction is therefore
AFFIRMED.
Dissenting Opinion
dissenting:
I concur in parts III and IV of the majority opinion.
I. Harmless Error
The majority holds that any error in admitting the positive results of Bentley's urine drug test was harmless. They correctly cite the test for harmless error: error is harmless where, after reviewing the
facts of the case and surrounding circumstances, the evidence unrelated to the alleged constitutional violation “remains not only sufficient to support the verdict but so overwhelming as to establish the guilt of the accused beyond a reasonable doubt.” Germany v. Estelle,
Harmless error “is an exacting standard that must be uncompromisingly applied.” Harryman v. Estelle,
The majority concludes that the fact “that [Bentley] was in the airplane, especially when unexplained by any evidence of the case, is thoroughly damning.” Supra, p. 1118. The clear implication of this statement is that an individual’s presence when a drug crime is being committed is conclusive evidence of his guilt. This Court, however, has consistently held to the contrary. Mere presence at the site of criminal activity is not sufficient evidence to convict an individual of participating in a drug conspiracy or possessing a controlled substance. United States v. Espinoza-Seanez,
In short, the fact that Bentley was a passenger (and not the pilot) of an airplane that contained marihuana, while certainly evidence of his guilt, is not so overwhelming as to render any other improperly admitted evidence harmless beyond a reasonable doubt. Moreover, in holding that any error in admitting the laboratory report was harmless, the majority fails to consider the impact this evidence had on Bentley’s defense. Throughout the trial, Bentley’s counsel argued that the government had failed to prove that Bentley had knowledge of the criminal activity and possession of the marihuana. In support of this defense, the trial testimony indicated that Bentley ran a business selling Mexican folk art, and thus had a legitimate reason to travel to and from Mexico. The evidence also established that it was the pilot who purchased, fueled, and flew the plane; Bentley was not licensed to fly.
The laboratory report indicating that Bentley’s urine tested positive for marihuana after the crash severely undermines Bentley’s contention that he did not possess the marihuana. It is for this reason, of course, that the government specifically mentioned the positive urine test in its closing argument.
II. Admission of the Laboratory Report
Turning to the merits of Bentley’s claim, I conclude that the admission of the labo
The Confrontation Clause protects “the accuracy of the truth-determining process in criminal trials by assuring that the trier of fact has a satisfactory basis for evaluating the truth of [a] prior [out-of-court] statement.” Dutton v. Evans,
In short, none of the indicia of reliability that are usually present when the results of a laboratory drug test are admitted into evidence accompanied the report in this case.
This Court has expressly recognized that the reliability of urine drug tests varies greatly according to the type of laboratory procedure employed.
III. Conclusion
As the majority concedes, Bentley’s conviction rests on circumstantial evidence. The results of a laboratory test indicating marihuana use was the only physical evidence linking Bentley to marihuana. The admission of the laboratory report into evidence was error and was not harmless.
Bentley had no opportunity to question the accuracy of the laboratory report indicating that his urine tested positive for marihuana use. A check mark alone was deemed sufficiently reliable to overcome
In an era where urine drug testing is increasingly common, reports of positive tests will undoubtedly appear, not infrequently, in criminal trials. Under the Confrontation Clause, a defendant must be afforded the opportunity to ascertain how this devastating information was obtained. The Constitution does not allow a simple check mark on a piece of paper to be used to establish conclusively the drug use of a criminal defendant. I must dissent. The case should be reversed for a new trial.
Notes
. In part IV, I agree with the majority that Bentley failed to preserve his objection to the contested jury charge, and that the alleged error was not plain error. I do not join in the majority's determination that the error was also harmless.
. Congress has identified the controlled substance in this case as “marihuana.” 21 U.S.C. § 812(c), Schedule I(c)(10) (1982). I follow the spelling of the name of the drug that is used in the official text of the federal statute.
. The majority cites the Spears case for the proposition that “alleged constitutional error involving a urine test has been found harmless.” Supra, p. 1118. In that case, however, the evidence supporting the results of the test was indeed overwhelming — two physicians, the lab technician, and the formerly pregnant woman all confirmed that she was pregnant when the abortion was performed. In the present case, there is absolutely no confirmation of the results of Bentleys urine test, and the rest of the evidence supporting the conviction is circumstantial.
The majority’s citation to Spears is not only inapposite, it is also ironic given the prior history of that case. The original conviction of the midwife was reversed after the Mississippi Supreme Court concluded that the failure of the lab technician to testify in the first trial violated the defendant’s right to confront adverse witnesses guaranteed by the Mississippi constitution. Spears v. State,
. The prosecutor stated:
The records of Lubbock General Hospital ... the third page here shows that while [Bentley] was in the hospital on the 17th of September, 1987, at 4:45 AM, it’s marked urine and bladder, urine drug screen, and you do down here and you get to cannibinoids. You remember what the cannabinoids are? You notice that there’s a check mark right there, positive. Again indicating the knowledge of this man with respect to marihuana.
. “In all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him.” U.S. Const.Amend. VI.
. In addition to his constitutional claim, Bentley argues that the report was improperly admitted as a business record under Fed.R.Evid. 803(6) because it was inadmissible under Fed.R.Evid. 803(8), which provides that certain public records cannot be admitted against the accused in a criminal case. See United States v. Cain,
. The Roberts court set out a general test for determining when the admission of hearsay violates a defendant’s right to confront adverse witnesses:
In sum, when a hearsay declarant is not present for cross-examination at trial, the Confrontation Clause normally requires a showing that he is unavailable. Even then, his statement is admissible only if it bears adequate ‘indicia of reliability’. Reliability can be inferred without more in a case where the evidence falls within a firmly rooted hearsay exception. In other cases, the evidence must be excluded, at least absent a showing of particularized guarantee of trustworthiness.
The language in Roberts suggesting that reliability can be inferred "without more” when evidence falls under a well-settled hearsay exception has not been construed as an absolute rule. Indeed, elsewhere in the opinion, the Supreme Court stated that “certain hearsay exceptions rest upon such solid foundations that admission of virtually any evidence within them comports with the substance of the constitutional protection."
. Significantly, the lab technician who tested the substance found at the crash site was called to testify at trial in order to establish that the substance was marihuana. A second technician who conducted tests on a substance that was presumably dropped from the plane also testified. Both lab technicians gave a complete account of the chain of custody of the substance, the type of tests conducted, and the bases for their conclusion.
. Many of the tests for identifying marihuana are not specific. This means that other drugs and chemicals present in the urine can lead to a false positive result. Giannelli and Imwinkel-ried, Scientific Evidence, § 23-2, pp. 933-34 (1986). Two of the common tests for detecting marihuana use, the EMIT and RIA tests, produce inconclusive results that require confirmation by other testing methods. Note, Admissibility of Biochemical Urinalysis Testing Results for the Purpose of Detecting Marihuana Use, 20 Wake Forest L.Rev. 391, 393-94, 409 (1984). The fact that the laboratory report of Bentley’s drug test was labeled “Urine Drug Screen” might suggest that one of these inconclusive screening procedures was used. Unfortunately we, like Bentley, have no way of knowing if this was the case.
.In Nat'l Treasury Employees Union v. Von-Raab,
