Lead Opinion
This is another case, see United States v. Peterson,
The indictment, in the District Court for the Southern District of New York, contained two counts. Count One charged appellant Ronald Brown and a codefendant, Gregory Valentine, with conspiring to distribute and to possess with intent to distribute heroin in violation of 21 U.S.C. § 846. Count Two charged them with distribution of heroin in violation of 21 U.S.C. §§ 812, 841(a)(1), 841(b)(1)(A), and 18 U.S.C. § 2. After a three day trial, the jury convicted Brown on Count One but was unable to reach a verdict on Count Two.
Officer Grimball was the Government’s principal witness. He testified that early in the evening of October 9, 1984, he approached Gregory Valentine on the corner of 115th Street and Eighth Avenue and asked him for a joint of “D”.
Valentine then said, “Okay. Come on with me around to the hotel.” Grimball followed him to 300 West 116th Street, where Valentine instructed him, “Sit on the black car and give me a few minutes to go up and get it.” Valentine requested and received $40, which had been prerecorded, and then said, “You are going to take care of me for doing this for you, throw some dollars my way?,” to which Grimball responded, “Yeah.”
Valentine then entered the hotel and shortly returned. The two went back to 115th Street and Eighth Avenue, where Valentine placed a cigarette box on the hood of a blue car. Grimball picked up the cigarette box and found a glassine envelope containing white powder, stipulated to be heroin. Grimball placed $5 of prerecorded buy money in the cigarette box, which he replaced on the hood. Valentine picked up the box and removed the $5. Grimball returned to his car and made a radio transmission to the backup field team that “the buy had went down” and informed them of the locations of the persons involved. Brown and Valentine were arrested. Valentine was found to possess two glassine envelopes of heroin and the $5 of prerecorded money. Brown was in possession of $31 of his own money; no drugs or contraband were found on him. The $40 of marked buy money was not recovered, and no arrests were made at the hotel.
The Government sought to qualify Officer Grimball as an expert on the bases that he had made over 30 street buys of small quantities of cocaine in Harlem, had received two 8V2 hour seminars at the Organized Crime Control Bureau “in respect to street value of drugs, safety, integrity,” had once been assigned to the Manhattan North Narcotics Division where he had informal seminars with undercover detectives experienced in making street buys in the Harlem target area, and had partici
people who act as steerers and the steer-er’s responsibility is basically to determine whether or not you are actually an addict or a user of heroin and they are also used to screen you to see if there is any possibility of you being a cop looking for a bulge or some indication that would give them that you are not actually an addict. And a lot of the responsibility relies [sic] on them to determine whether or not the drug buy is going to go down or not.
Officer Grimball was then allowed, over a general objection, to testify that based on his experience as an undercover agent he would describe the role that Ronald Brown played in the transaction as that of a steer-er. When asked why, he testified, again over a general objection, “Because I believe that if it wasn’t for his approval, the buy would not have gone down.”
Objections to the Admissibility of Officer Grimball’s Expert Testimony
We deal first with appellant’s contention that all the testimony given by Grimball as an expert should have been excluded because Grimball was unqualified. In reviewing the district court’s decision to treat Grimball as an expert, we note that “the trial judge has broad discretion in the matter of the admission or exclusion of expert evidence, and his action is to be sustained unless manifestly erroneous.” Salem v. United States Lines Co.,
If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise.
The words “qualified as an expert by knowledge, skill, experience, training, or education” must be read in light of the liberalizing purpose of the Rule, embodied in its introductory clause which has been called “the central concern of Article VII,” see 3 Weinstein’s Evidence 11702[01], at 702-7 (1982), and is further evidenced by F.R.E. 704(a).
The admission of Grimball’s opinion testimony that Brown was fulfilling the role of a steerer raises a closer question. We recognize that Rule 704(a), quoted in note 3 supra, abolished the antiquated rule, more frequently honored in the breach than the observance, excluding expert testimony “because it embraces an ultimate issue to be decided by the trier of
No expert witness testifying with respect to the mental state or condition of a defendant in a criminal case may state an opinion or inference as to whether the defendant did or did not have the mental state or condition constituting an element of the crime charged or of a defense thereto. Such ultimate issues are matters for the trier of fact alone.
Even though the testimony is not barred by F.R.E. 704(b), district judges should heed the Advisory Committee’s Note to Rule 704:
The abolition of the ultimate issue rule does not lower the bars so as to admit all opinions. Under Rules 701 and 702, opinions must be helpful to the trier of fact, and Rule 403 provides for exclusion of evidence which wastes time. These provisions afford ample assurances against the admission of opinions which would merely tell the jury what result to reach, somewhat in the manner of the oath-helpers of an earlier day.
We would thus agree with Judge Newman’s precautionary observations about the admission of such testimony in United, States v. Young,
However, in United States v. Carson,
Sufficiency of the Evidence
In considering the sufficiency of the evidence, we begin with some preliminary observations. One is that, in testing sufficiency, “the relevant question is whether, after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.” Jackson v. Virginia,
The second observation is that since the jury convicted on the conspiracy count alone, the evidence must permit a reasonable juror to be convinced beyond a reasonable doubt not simply that Brown had aided and abetted the drug sale but that he had agreed to do so. United States v. Borelli,
A review of the evidence against Brown convinces us that it was sufficient, even without Grimball’s characterization of Brown as a steerer, although barely so.
The mere fact that these inferences were not ineluctable does not mean that they were insufficient to convince a reasonable juror beyond a reasonable doubt. Moreover, as we said in United States v. Geaney,
Affirmed.
Notes
. Valentine was a fugitive at the time of trial.
. The officer explained that a "joint” is a street term for a Harlem quarter, or $40 worth of heroin, and that "D” is a street term for heroin.
. This provides:
Except as provided in subdivision (b), testimony in the form of an opinion or inference otherwise admissible is not objectionable because it embraces an ultimate issue to be decided by the trier of fact.
. The rule had been followed even by the Supreme Court. See, e.g., United States v. Spaulding,
. E.g., that Brown was a friend and not a business partner of Valentine; that Brown was interested in buying drugs for his own use or for sale and was thus eager to get Grimball’s transaction out of the way; that Brown simply wanted Valentine to take care of his business with Grimball so that Brown and Valentine could get away; or that Valentine was doubling in the roles of steerer and procurer for a seller in the hotel so there was no need for having Brown act as a steerer.
. Even if admissible under Rule 702, opinion testimony is still subject to exclusion under Rule 403 "if its probative value is substantially outweighed by the danger of unfair prejudice." Whatever slight probative value arises from a narcotics expert’s personal opinion that an observed transaction involved a sale of drugs must be carefully weighed against the distinct risk of prejudice. The “aura of special reliability and trustworthiness” surrounding expert testimony, which ought to caution its use, United States v. Fosher,
. While we have reached this conclusion on the merits, we think it highly doubtful that Brown’s general objection to Officer Grimball’s expert testimony was sufficient to preserve for appeal the particularized objection to this portion of Grimball’s testimony. See F.R.E. 103(a)(1).
. This scarcely seems to be the case for reconsidering these and many other holdings to the same effect, as the dissent appears to propose in note 2, even if we had the power to do so. Here the jury did not acquit on the substantive count but simply disagreed. Even the dissent in Dunn did not assert that this kind of inconsistency would impair a verdict. Moreover, there was no true inconsistency here. The line between conspiring and aiding and abetting is thin, see note 10 infra; this jury could rationally be satisfied of the former although, particularly in view of the lack of evidence directly linking Brown with the narcotics, it could not reach a verdict as to the latter.
. Because we conclude that there was sufficient evidence to convict Brown without Officer Grimball’s opinion testimony that Brown was a steerer in the transaction, we need not address the proposal in Judge Newman’s concurring opinion in Young, supra,
. We do not read United States v. Tyler,
Dissenting Opinion
(dissenting):
While it is true that this is another $40 narcotics case, see, e.g., United States v. Peterson,
When, as the majority concedes, Majority Opinion at note 5, numerous other inferences could be drawn from the few words of conversation in which Brown is said to have engaged, I cannot believe that there is proof of conspiracy, or Brown’s membership in it, beyond a reasonable doubt, within the meaning of Jackson v. Virginia,
This case may be unique. It, like Cepeda, supports Justice Jackson’s reference to the history of the law of conspiracy as exemplifying, in Cardozo’s phrase, the “ ‘tendency of a principle to expand itself to the limits of its logic.’ ” Krulewitch v. United States,
On the use of Officer Grimball’s expert testimony, I note the following. A “steer-er” is presumably one who leads buyers of narcotics to suppliers. Brown’s alleged role, however, was either to instruct Valentine, who received a $5 tip for his role as “steerer” to the hotel supplier (although Grimball did testify that suppliers as well as steerers occasionally ask for “tips”), or to serve as an evaluator of a buyer’s bona fides. In light of Grimball’s limited undercover experience, his broader definition of a “steerer” so as to encompass Brown’s role, whatever that role was, lacks the ring of expertise. I point out that Officer Grim-ball’s four months of undercover narcotics experience (during which he made some thirty to fifty street purchases, none involving more than $50), by his own admission, did not give him enough experience (1) to say whether or not before “Operation Pressure Point” only one person was involved in street sales; (2) to testify of his own knowledge that “in some drug transactions ... the dealer will act like he is going somewhere else to retrieve the narcotics when, in fact, he already has the drugs on his person”; or (3) ever to have participated in an operation (A) using a Nagra or other small tape recorder on an officer’s body or (B) where photographs of the individuals or sale were taken. At the very least, he should not have been permitted to testify that Brown was a “steerer.” See Majority Opinion note 6 and accompanying text. Not only was Grimball no Maigret, he was neither a Johnson nor a West, see United States v. Carson,
As for the rule that “[e]ach count in an indictment is regarded as if it was a separate indictment,” Dunn v. United States,
Although, according to the majority, the admission of “expert” testimony is “rather offensive,” the evidence was “sufficient ... although barely so,” and the verdict is both inconsistent and very probably a compromise, the court permits this conspiracy conviction to stand. I fear that it thereby promotes the crime of conspiracy — “that darling of the modern prosecutor’s nursery,” Harrison v. United States,
Accordingly, I dissent.
. The majority clearly states there is sufficient evidence without Officer Grimball’s expert testimony to support the conspiracy charge. But the inferences it draws seem based in part on that testimony. I agree with Judge Newman that an expert’s opinion that a defendant’s conduct is criminal may not "carry the prosecution’s proof above the requisite line.” United States v. Young,
. Judge Friendly’s opinion in United States v. Carbone,
