Lead Opinion
Appellant Manuel Bobadilla-Lopez was convicted by a jury of drug trafficking offenses under 21 U.S.C. §§ 846 & 841(a)(1) and 18 U.S.C. § 2, and was sentenced to 60 months in prison. He now appeals his conviction. Bobadilla’s primary claim is that tape-recorded radio transmissions of a border patrol agent observing him prior to his arrest constitute Jencks Act material. See 18 U.S.C. § 3500. The recordings were destroyed pursuant to agency policy thirty days after they were made. After holding a special hearing, the district court determined that the tape recordings were not Jencks Act material. The district court reasoned that the recordings were like rough surveillance notes and not a statement of a witness made in preparation for litigation as contemplated by the Act. See, e.g., United States v. Bernard,
Background
Border Patrol Agent Tim York was performing patrol duties just north of the United States-Mexico border on December 15, 1989, in the area of the All-American Canal and the Alamo River, east of Calexi-co. He received a radio report that sensors had detected motion on the Alamo River “check,” a bridge-like structure used to regulate the flow of water from the river into the canal. Agent York moved his vehicle into a position to observe the check and with binoculars observed the appellant crossing back and forth between the Mexican and United States sides of the border carrying what appeared to be large garbage bags.
According to Agent York’s testimony at trial, after seeing three bags apparently carried to the north side of the check, he observed Bobadilla and a female companion drive east. Agent York used his radio to broadcast some observations, to describe the vehicle they were driving and to request backup. Agent York followed the couple and observed them stop at a clump of trees and turn west, where they were stopped by agents. Bobadilla’s companion, Marina Lara-Lara, told the agents they had been carrying bags and directed the agents to the clump of trees where three dark-colored garbage bags were found containing individually wrapped packages of marijuana. Both Bobadilla and Lara were arrested.
That recordings were made of Agent York’s surveillance transmissions came to the district court’s attention during the course of a pretrial hearing on a motion to suppress. The motion to suppress itself is not relevant to any issues on appeal. Agent York’s testimony at the hearing, however, made it clear that he had broadcast messages to other patrol agents. Defense counsel sought to suppress the testimony of Agent York as a sanction for the
During the course of that hearing, Agent York testified that his transmissions were sporadic and intended to describe the two suspects and their location. He testified that he was not aware that any tapes were made of the transmissions and he did not use the tapes in making his final report, which the government did produce.
The district court ruled the recordings were not Jencks Act material. The district court reasoned that the recordings were a form of rough surveillance notes and not “statements” as contemplated by the Act. See United States v. Spencer,
The Tapes as Jencks Act Material
We deal for the first time in this circuit with the claim that recordings of investigative surveillance observations must be retained and turned over to defense counsel for impeachment purposes in the event the officer making the surveillance is called as a witness. Some history of the origin and purpose of the Jencks Act is therefore appropriate.
In Jencks v. United States,
The Jencks Act, 18 U.S.C. § 3500, was enacted in response to the Jencks decision. The Act was intended to preserve the defendant’s right to obtain access to materials which would aid in impeaching government witnesses. See S.Rep. No. 981, 85th Cong., 1st Sess., reprinted in 1957 U.S.Code Cong. & Admin.News 1861, 1862. However, the legislative history expresses a much greater concern with limiting the application of the Jencks decision so that it would not hamper the workings of law enforcement by forcing wholesale disclosure of government materials and files. Id. As the Supreme Court stated in an early interpretation of the statute:
Not only was it strongly feared that disclosure of memoranda containing the investigative agent’s interpretations and impressions might reveal the inner workings of the investigative process and thereby injure the national interest, but it was felt to be grossly unfair to allow the defense to use statements to impeach a witness which could not fairly be said to be the witness’ own rather than the product of the investigator’s selections, interpretations, and interpolations. The committee reports of both Houses and the floor debates clearly manifest the intention to avoid these dangers by restricting production to those statements specifically defined in the bill.
Palermo v. United States,
The text of the Jencks Act provides that, after a government witness has testified on direct, “the court shall, on motion of the defendant, order the United States to produce any statement (as hereinafter defined) of the witness in the possession of the United States which relates to the subject matter as to which the witness has testified.” 18 U.S.C. § 3500(b). If the government claims the statement is not relevant to the witness’ testimony, the trial court must inspect the material in camera, and excise any irrelevant portions. 18 U.S.C. § 3500(c). If the government chooses not to produce material as ordered by the court, “the court shall strike from the
Subsection (e) of the Act defines the term “statement” as:
(1) a written statement made by [a government] witness and signed or otherwise adopted or approved by him;
(2) a stenographic, mechanical, electrical, or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement made by said witness and recorded contemporaneously with the making of such oral statement; or
(3) a statement, however taken or recorded, or a transcription thereof, if any, made by said witness to a grand jury.
18 U.S.C. § 3500(e).
Both the history of the statute and the decisions interpreting it have stressed that for production to be required, the materials should not only reflect the witness’ own words, but should also be in the nature of a complete recital that eliminates the possibility of portions being selected out of context. For example, the Supreme Court in Palermo v. United States,
We believe the danger of distortion and incompleteness is especially relevant in this case. The border patrol agent’s radio transmissions share the same rough, incomplete nature as notes hurriedly jotted during surveillance. See Bernard,
Bobadilla seeks to distinguish this case from cases involving surveillance notes on the ground that this surveillance transmission was intended to communicate information to others. He relies upon our decision in United States v. Carrasco,
This court has consistently recognized a clear distinction between investigative interviews with witnesses that are intended to form the basis for evidence at trial, on the one hand, and surveillance observations on the other. Records of witness interviews are Jencks Act statements.
We emphasize our holding is a narrow one. The recordings involved here may well have been discoverable pursuant to Fed.R.Crim.P. 16(a). In this case, however, no request for the material was made until after its routine destruction thirty days after the surveillance occurred. Indeed, at the time of the request, defense counsel was aware that the tapes had been destroyed. It is apparent that the purpose of the production request in this case was never to use the tape for impeachment purposes, but to prevent the agent who made the recording from being able to testify as to his observations on the day in question. The Jencks Act is not an appropriate tool for achieving that end.
Appellant’s Other Contentions
Bobadilla raises two additional issues on appeal which we address briefly. First, Bobadilla claims that the district court improperly gave a Jewell instruction. A Jewell instruction allows the jury to find the requisite knowledge where a defendant actually knows of facts indicating he is committing a crime and deliberately avoids learning the truth. United States v. Jewell,
Bobadilla also contends that the district court erred in refusing to give a lesser-included offense jury instruction for simple possession of marijuana. To obtain such a lesser-included offense instruction, a defendant must identify the lesser-included offense and show that a rational trier of fact could convict on the lesser offense but acquit on the greater. United States v. Brown,
AFFIRMED.
Dissenting Opinion
dissenting:
Even the most talented lexicologist would have an exceedingly difficult task if asked to explain why the term “statement” does not include a verbal message communicated from one border patrol agent to another. That task would be even more difficult if the verbal transmissions were recorded on tape and the word “statement” were defined explicitly to include “a stenographic, mechanical, electrical, or other recording ... which is a substantially verba
I.
A.
The determination of whether recorded oral communications from one border patrol agent to other agents are “statements” as that term is used in the Jencks Act must be made in accordance with normal rules of statutory construction. In order to accomplish this task, a brief examination of the genesis of the Act is helpful. As the majority correctly notes, the Jencks Act was adopted in response to the United States Supreme Court’s decision in Jencks v. United States,
Statutory enactments, of course, cannot overrule constitutional mandates. Thus, the majority’s statement that the Jencks Act was passed in order to “limit[] the application of the Jencks decision,” opinion at 521, is somewhat misleading. The Jencks Act instead was meant to codify Jencks and thereby reduce potential misunderstandings regarding the scope of the decision. See, e.g., Goldberg v. United States,
The constitutional basis of the statutory provisions in the Jencks Act militates strongly against the majority’s constricted interpretation of that statute. Normal rules of statutory construction are clear, and include the requirement that a statute should be construed expansively if a narrow interpretation of that statute raises unnecessary constitutional issues.
Even absent the broad reading of the Jencks Act required by the Act’s constitutional foundations, the recorded oral communications made by Agent York over the radio to other border patrol agents unquestionably would be subject to production under any reasonable reading of the plain language of the Act. The Act requires the government to permit criminal defendants to inspect “any statement of the witness [who testifies for the government at trial] that is in [the government’s] possession and that relates to the subject matter concerning which the witness has testified.” 18 U.S.C. § 3500(a). It is undisputed that Agent York was a witness for the government, that his radio communications to other border patrol agents while observing Bobadilla-Lopez related to the subject matter concerning which Agent York testified, and that a tape recording of these communications was (prior to its destruction) in the possession of the government.
The only possible issue, then, is whether or not Agent York’s oral radio transmissions are “statements” as that term is used in the Jencks Act. The Jencks Act explicitly defined the term “statement”:
(e) The term “statement”, as used in ... this section in relation to any witness called by the United States means—
(1) a written statement made by said witness and signed or otherwise adopted or approved by him;
(2) a stenographic, mechanical, electrical, or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement made by said witness and recorded contemporaneously with the making of such oral statement; or
(3)a statement, however taken or recorded, or a transcription thereof, if any, made by said witness to a grand jury.
18 U.S.C. § 3500.
The tape recording of Agent York’s radio communications clearly is a “statement” as that term is defined in 18 U.S.C. § 3500(e)(2). There is no doubt that the tape made by the government constitutes a “recording.” The tape also unquestionably contains a “substantially verbatim recital” — indeed, a completely verbatim recital — of Agent York’s communications. Similarly, there is no doubt that Agent York’s communications constitute an “oral statement”
C.
Given the clear meaning of the terms used in the Jencks Act as applied to the material at issue in the present case, the majority’s conclusion that the material is not subject to production under the statute is puzzling. Despite the fact that the term “statement” is explicitly defined in 18 U.S.C. § 3500(e), and despite the fact that the plain meaning of such a statutory definition generally is conclusive,
II.
A.
The majority declares ex cathedra that all statements of government investigators regarding their investigations are exempt from discovery. That no such sweeping exception can be twisted out of the statutory language, that there is no basis for the majority’s view in the legislative history, and that Ninth Circuit precedent does not support the majority’s construction of the Jencks Act appears to be of little concern to my colleagues. Instead, they are satisfied to base their unique, judicially-created exception exclusively on loose analogies to earlier but irrelevant cases. Each of these cases involves either (1) a government agent’s rough notes concerning an investigation or surveillance operation he has performed, or (2) a government’s agent’s brief written summary of an extensive interview of another person. None of the cases relied upon by the majority involve a recorded oral statement — let alone a verbatim recorded oral statement — made by a government agent to a third person, regardless of the subject matter.
First, the majority cites Palermo v. United States,
The majority next attempts to distance itself from the command of the text of the Jencks Act by citing cases which involve government agents’ rough surveillance or investigatory notes. These “rough notes” cases include United States v. Andersson,
B.
The holdings in the rough notes cases cited by the majority are light-years apart from the issue involved here. The majority completely fails to recognize that all of the case it relied upon construe a different subsection of the Jencks Act that the one involved in the case before us. Andersson, Spencer, Bernard, and Lane involve 18 U.S.C. § 3500(e)(1),
The courts in the cases relied on by the majority refused to order production of rough investigatory notes under subsection (1) in large part because the notes contained material meant only to “jog” the writer’s memory and hence were subject to misinterpretation by third parties. In the present case, however, Agent York’s statements were of an entirely different order.
There is a world of difference between the accuracy and impeachment value of, on the one hand, rough personal notes concerning an investigation made by a government agent for his own individual use and, on the other hand, a verbatim mechanical recording of a government witness’ oral communications to a third party made while observing a suspect commit a crime and intended to serve as the basis for a third party’s actions. Andersson, Bernard, Spencer, and Lane thus are entirely distinguishable from the current case and can in no way overcome the clear mandate of the text of the Jencks Act.
C.
My colleagues claim that we have “consistently recognized a clear distinction between investigative interviews with witnesses ... and surveillance observations,” opinion at 522, and derive from this distinction the bold conclusion that although records of witness interviews are Jencks Act statements, records of surveillance activities do not constitute statements subject to production under the Act even if those statements are communicated to other government agents. The majority’s “clear distinction,” however, fails to explain our result in a number of previous cases in which we have upheld the production of surveillance records under the Jencks Act. For example, our decision in United States v. Carrasco,
D.
The majority cites only Andersson to support its assertion of a “clear distinction” between the application of the Jencks Act to records of surveillance observations as opposed to records of witness interviews. See Opinion at 522. However, as noted above, see supra at 522-25, Andersson and its “rough notes” predecessors are completely inapplicable to the present case. The “clear distinction” relied upon by the majority — if it exists at all, see supra at 525 — relates only to the production under subsection (e)(1) of written rough investigatory notes made by a government agent for his personal use. That “clear distinction” has no relevance whatsoever to the production of a verbatim recording of a government agent’s verbal statements to
The majority admits that United States v. Well,
E.
A crucial difference between the cases cited by the majority and the present case (in addition to the fact that the majority’s cases do not involve oral communications at all, and thus are governed by an entirely different subsection of the Jencks Act) is the presence of an intent to communicate on the part of Agent York. Communication to others was the fundamental purpose of Agent York’s oral radio transmissions, and that intent to communicate distinguishes the present case from the “rough surveillance notes” rule advanced by the majority. United States v. Carrasco,
III.
The majority does not dispute the distinction drawn by Carrasco between communications intended to convey information and
First, there simply is no language in Carrasco that suggests that the Act requires production only of communicated statements in which the witness describes unfailingly every major and minor ramification relating to the incident in question or regurgitates every sensory observation that his faculties record. Nor is there any precedent that even hints at the existence of a “spotty, impressionistic, and incomplete” exception to communicated statements.
Second, the majority’s attempt to add a “spotty, impressionistic, and incomplete” exception to Carrasco is directly contrary to the purpose and intent of that case. Carrasco stands for the proposition that when a statement is made with the intent to communicate to others, that statement is inherently the type of statement subject to production under the Jencks Act. Statements intended to impart information to others are generally made in a manner designed to communicate accurately the information required by the receiver to interpret and act on the statement. The “distortion” which might be present if selective passages of a government agent’s personal rough notes intended for his own use were turned over to a defendant does not exist where, as here, the recorded statement was made with an intent to communicate information in an accurate manner and the contemporaneous recording contains a verbatim recital of that statement. There is no rational justification for an exception similar to a rough notes exception in the case of communicated statements.
Third, there is simply no indication whatsoever in Carrasco that the observations set forth in the diary entries in that case were any less “spotty, impressionistic and incomplete” than the radio transmissions involved in the present case; indeed, given the nature of such diary entries, there is good reason to believe that the material which Carrasco ordered to be produced was more “spotty, impressionistic and incomplete” than the material at issue here. Under the text of the Jencks Act, transcriptions are “incomplete” and hence exempt from production only if they are not “substantially verbatim” transcriptions of statements of a government witness. No one suggests that the tape recording of Agent York’s statements in the present case is not a “substantially verbatim” recording of these statements.
Finally, Carrasco explicitly held that even materials initially not subject to production under the Jencks Act are transformed into Jencks Act statements once they are transferred from one government agent to another with the intent to communicate. See Carrasco,
Whether or not Agent York’s narrative encompassed everything he saw, his statements were intended to convey information that was sufficiently accurate and comprehensible to permit third parties to act, including the taking of actions which would lead to the arrest of a criminal suspect and thus to the restriction of an individual’s fundamental liberty. An evaluation of Agent York’s statements at trial by third parties (jurors) would not “distort” the meaning of those statements because he made them with full awareness that they were being transmitted to third parties who would be required to comprehend them. Because Agent York’s radio transmissions were intended to communicate important information to others and were contemporaneously recorded verbatim, they constitute statements subject to production under subsection (e)(2) of the Jencks Act. Carrasco and the Act itself permit no other result.
IV.
The tape recording of Agent York’s statements to other border patrol agents is precisely the type of material which the Sixth Amendment and the Jencks Act contemplate be produced. The production requirements of the Constitution and the Act are based primarily on the value to the defense of material in the possession of the government which the defense might use to impeach a government witness. See Jencks,
The circumstances of Agent York’s communications imbue these statements with a high level of reliability: Agent York knew that his statements would serve as the basis for important governmental action. In addition, his recollection at the time he made the statements was fresh, and free of the suggestive contamination of future events such as the discovery of marijuana in Bobadilla-Lopez’s car or the pressure of testifying in an adversary proceeding where the propriety of his actions was be
V.
The Jencks Act provides that if the government fails to produce Jencks Act statements of a government witness, “the court shall strike from the record the testimony of the witness.” 18 U.S.C. § 3500(d). The due process clause and the Sixth Amendment similarly require the reversal of a conviction if a defendant is not permitted to inspect Jencks material. See Jencks,
Bobadilla-Lopez clearly was prejudiced immensely by the government’s destruction of the tape containing statements made by Agent York to other border patrol agents. Agent York was the government’s sole witness at Bobadilla-Lopez’s suppression hearing,
The government’s “routine” destruction of the tape at issue here clearly is unreasonable. It appears from our colloquy at oral argument that preserving the tapes for 90 days would ensure that defendants in cases like Bobadilla-Lopez’s would have a sufficient opportunity to make Jencks Act demands. Government policy already requires that the tape be preserved for thirty days — the burden on the government as a result of the requirement that these tapes be preserved for an additional sixty days would be de minimus. The Jencks Act does not even require that the tapes be made: all that the statute requires is that if they are, the government produce them upon receipt of a timely request. Here, the government recklessly destroyed a tape which could have contained material crucial to Bobadilla-Lopez’s defense. This reckless conduct resulted in substantial prejudice to Bobadilla-Lopez both during his suppression hearing and trial. The trial court thus erred when it permitted Agent York to testify despite the government’s destruction of the tape.
The majority decries the fact that Boba-dilla-Lopez’s counsel knew that the tape •had been destroyed prior to her request for its production. See Opinion at 520-21. The defense, however, did not learn that the tape existed until Agent York testified at the suppression hearing, which occurred after the tape had been destroyed. The defense requested production of the tape immediately upon discovering that it had been made: only the government’s destruction of the tape — not any delay on the part of the defense — is the cause of the problem we face today. More important, Bobadilla-Lopez’s counsel had not only the right but the obligation to make his request when he learned of the tape’s existence, but the government did not have a right to destroy the tape at the time it did. Bobadilla-Lopez was entitled to have the tape produced: the government denied him that right.
VI.
The recent investigation of the practices of the Los Angeles Police Department, as a result of the brutal beating of Rodney King, demonstrates dramatically how peace officers’ radio transmissions can be crucial to criminal defendants. The Christopher Commission
Notes
. Jencks Act, 18 U.S.C. § 3500(e)(2).
. See, e.g., Califano v. Yamasaki,
. By using the words "oral statement” in its definition of the term “statement," Congress violated Noah Webster’s cardinal rule against using the term to be defined in the definition of that term. Fortunately, the fact that Agent York’s verbal communications with other border patrol agents clearly are "oral statements” as those words are commonly understood moots Congress’ lexical deficiency.
. Because the government destroyed the tape which recorded Agent York’s communications, the exact content of the radio transmissions from Agent York to other border patrol agents is unknown. However, even the most perfunctory of Agent York’s imaginable communications — e.g., "The suspect is turning left,” "I’ve lost sight of the car,” or "The suspect is driving a red pickup truck” — clearly entail "oral statements.”
.See, e.g., United States v. Ron Pair Enterprises, Inc.,
. The majority’s summary of our decision in Andersson, see opinion at 523, is incomplete. In Andersson, a government agent made rough surveillance notes of a suspect’s activities. The agent then wrote a final written report which incorporated his rough notes, and this final report was turned over to the defendant. See Andersson,
. Lane is weak authority indeed. The Tenth Circuit in that case acknowledged that the rule it affirmed “has been severely criticized by both the Ninth and D.C. Circuits.” Lane,
. See Spencer,
. The majority also refers to United States v. Goldberg,
. An order compelling production of such potentially misleading information was especially unnecessary in the cases cited by the majority because the defendant would have had access under the Act to the final report which incorporated the rough notes. As the majority admits, however, Agent York did not examine or utilize the statements contained on the tape when he
. Indeed, the majority's purported “distinction” makes little sense: nowhere does the majority explain why verbatim recordings of a government witness’ statements are Jencks Act material only if the witness is not a government agent. A tape recording of the statement "I saw a white female purchase cocaine" may be crucial evidence regardless of whether the witness who uttered those words was a government agent or a third-party observer.
. The majority quotes from Palermo to support its conclusion that the Jencks Act mandates production only of “complete” statements "that eliminatef ] the possibility of portions being selected out of context.” Opinion at 522. This reference in Palermo, however, relates to an entirely different matter than that suggested by the majority. The Palermo Court was concerned that a government agent’s summary of a witness' statements would be used to impeach the witness even though the summary necessarily would have included some of the witness' statements but have omitted or ignored others. The sentences prior to the sentence fragment quoted by the majority make clear that the Court was concerned only about distortion when one person's notes are used to impeach the testimony of a different person. See Palermo,
. Carrasco is no way relied upon — and did not even find — that the diary was "complete” as the basis for its conclusion that the Jencks Act required the government to produce this diary. Rather, as noted, supra, Carrasco makes clear that the diary was transformed into a Jencks Act statement by the sole act of deliverance to a third party with the intent to communicate. If Carrasco itself was not clear enough, the explanation set forth in Griffin should have removed any doubt regarding the inapplicability of the "rough notes" concept to cases involving statements made with an intent to communicate. See Griffin,
. Reversal of a conviction for violation of the due process clause or the Sixth Amendment, of course, is not discretionary. However, because I would hold that Agent York’s testimony should have been suppressed under the clear mandate of the Jencks Act, I need not reach the issue of what remedy would be required in the present case for violation of the constitutional standards established by Jencks and its progeny.
. We previously had held that the Jencks Act, which requires the government to produce a government witness’ statements after he "has testified on direct examination," did not apply to suppression hearings. See, e.g., United States v. Bernard,
. Report of the Independent Commission on the Los Angeles Police Department (July 9, 1991).
. Because I reach this result, I do not need to address Bobadilla-Lopez’s possible due process and Sixth Amendment rights to production of this material.
