AMENDED MEMORANDUM OPINION AND ORDER
On November 15, 2007, at a preliminary hearing, United States Magistrate Judge Karen B. Molzen orally ordered the United States to produce under Fed.R.CrimJP. 26.2 reports written by Doña Ana County Sheriffs deputies who had arrested the Defendants.
I. Background
On November 7, 2007, the United States filed a Criminal Complaint (Doc. No. 1) against Defendants Miguel Humberto Valdez-Gutierrez and Edgar Ortiz-Segovia, alleging that they possessed and conspired to distribute approximately 134 kilograms of marijuana in violation of 21 U.S.C. §§ 841(a)(1) and 846. After moving to continue the preliminary hearing on November 15, 2007, the Defendants asked that the government produce reports that were expected to form the basis of the direct testimony of the government’s sole witness, Drug Enforcement Agency Agent Alberto Mendoza. Defendants made this request under Fed. R.CrimJP. 26.2. The requested reports were written by the arresting police officers, Doña Ana County Sheriffs Deputies John Duffy and Gerard Madden. Agent Mendoza was not involved in the arrest of the Defendants and he played no role in the preparation of the reports. Agent Mendoza had only adscititious knowledge of the government’s grounds for probable cause to charge the Defendants with committing crimes; he derived this knowledge from reading the arresting deputy sheriffs’ reports and later discussing their reports with them.
Judge Molzen ordered that the government would have to produce the deputies’ reports after Agent Mendoza testified on direct examination. The United States argued that Rule 26.2 did not require the production of these reports and asked Judge Molzen to refer the question to a district judge. The following day, November 16, 2007, the United States filed a Motion for Reconsideration of the Court’s November 15, 2007 Ruling Requiring Disclosure of Certain “Statements” under Federal Rule Criminal Procedure 26.2 and Jencks Act (Doc. No. 10).
On November 16, 2007, this Court held a hearing on the appeal of Judge Molzen’s ruling and on the government’s motion for reconsideration. Counsel for the parties advised the Court that the issue, whether the government must produce reports prepared by non-testifying law enforcement officers upon which a testifying witness who did not participate in preparation of the reports relies, has recently arisen several times at preliminary hearings before magistrate judges in Las Cruces, New Mexico. Counsel asked that a district judge render an opinion on the question. The Court stated it would issue an opinion during December, 2007 to guide the United States magistrate judges with respect to future preliminary hearings. Counsel for the United States then agreed to produce the deputies’ reports to counsel for the Defendants in order to avoid delaying further the preliminary hearing.
On November 19, 2007, Defendants filed Defendant’s Memorandum of Law Regarding Production of Reports Under F.R.Cr.P. 26.2 and Jencks Act (Doc. No. 13), in opposition to the government’s motion for reconsideration. On December 14, 2007, the government filed United States’ Reply to Defendant’s Response to the United States’ Appeal of the Magistrate Court’s Ruling Regarding Production of Reports Under Federal Rule Criminal Procedure 26.2 and Jencks Act (Doe. No. 29). The Court has taken into account the motion for reconsideration, the memorandum in opposition, the government’s reply, Judge Molzen’s Memorandum and Opinion, the government’s notice of appeal, and relevant legal authority.
II. Analysis
Rule 26.2 of the Federal Rules of Criminal Procedure establishes a procedure by which a party may ask a judge to compel the opposing party to produce “any statement of the witness that is in their possession and that relates to the subject matter of the
The United States Court of Appeals for the Tenth Circuit apparently has not addressed whether statements or reports of this nature must be produced at a preliminary hearing under Rule 26.2 or its predecessor, the Jencks Act, 18 U.S.C. § 3500. Therefore, the Court will look to the text of both Rule 26.2 and the Jencks Act, the developmental history of Rule 26.2, the legislative history of the Jencks Act, and decisions from other circuit courts of appeal to resolve the dispute. The Court concludes that neither Rule 26.2 nor the Jencks Act requires the government to produce at a preliminary hearing statements or reports on which a testifying witness relies where the witness was not involved in the investigation or arrest of the defendant and had no part in preparing the statements or reports.
A. Text and Legislative History
Rule 26.2(f) defines three types of statements that must be produced. Pertinent to this ease is the first type: “a written statement that the witness makes and signs, or otherwise adopts or approves.” Fed.R.Crim.P. 26.2(f)(1). This provision may be read two ways — conjunctively or disjunctively. The conjunctive reading requires both (1) that the witness make the statement, and (2) that the witness sign or in some other manner adopt or approve the statement that the witness made. The disjunctive, more permissive interpretation is that the witness must either (1) make and sign the statement or (2) in some other manner adopt or approve the statement that the witness, personally, or someone else has made. Defendants urge the Court to adopt the more permissive reading, arguing that a testifying witness can adopt or approve a statement that was made by someone else simply by testifying under oath based on the other person’s statement. While the text of Rule 26.2(f)(1) arguably permits the disputed language to be read in the manner Defendants advocate, the context and history of Rule 26.2 and the Jencks Act reveal that an interpretation which requires the witness to have actually made the statement is the correct way to read the disputed language.
Rule 26.2 was adopted in 1978 based on the 1957 Jencks Act. Pub.L. No. 85-269, 71 Stat. 595 (codified at 18 U.S.C. § 3500). The Committee on Rules of Practice and Procedure (“Rules Committee”) intended to transfer the Jencks Act requirements into the Federal Rules of Criminal Procedure while making only limited and specific substantive changes.
The two other subsections of Rule 26.2(f) that define types of producible statements refer unambiguously to statements actually
The language of the parallel subsections of the Jencks Act dictates the same conclusion. Each of those subsections uses the phrase “statement made by said witness.” 18 U.S.C. § 3500(e)(1), (2) & (3). This statutory wording suggests, even more strongly, that any ambiguity created by the punctuation and syntax in Rule 26.2(f)(1) should be resolved by reading Rule 26.2(f)(1) to apply to a statement actually made by the testifying witness.
The legislative history of the Jencks Act also reveals that Congress intended a narrower meaning of “adopted or approved.” The Senate Report related to the Jencks Act expressed concern about a trend by lower federal courts, that developed after the Supreme Court’s decision in Jencks v. United States,
By passing the Jencks Act, Congress sought to curtail overly permissive lower court applications of Jencks by creating “detailed procedural safeguards” for the “production of the carefully restricted and most trustworthy class of statements.” Palermo v. United States,
B. Judicial Decisions
The decisions of circuit courts of appeal which have interpreted Rule 26.2 and the Jencks Act likewise support a narrow reading of their language. In United States v. Bettencourt,
Neither Bettencourt nor Bias addressed the precise argument that Defendants make here — that Agent Mendoza should be deemed to have adopted and approved the reports prepared by Deputies Madden and Duffy because Agent Mendoza was expected to testify under oath based on the contents of the deputies’ reports. (Def.’s Memorandum of Law Regarding Production of Reports at 1-2). The cases that have focused on the phrase “otherwise adopts or approves” found in Rule 26.2 had factual backgrounds different from the underlying facts in this case; those cases were concerned with requests to produce notes made by a government agent during an interview of the testifying witness that preceded the hearing at which the witness testified. Because the testifying witness did not personally make the written “statement,” i.e., the notes written down by the agent who had interviewed the witness, the courts have been concerned with ensuring that the testifying witness had adequate opportunity to review the requested “statement” — the notes of the interview — and vouch for the accuracy of the notes.
The only situations in which circuit courts of appeal have held that a testifying witness adopted a statement or report prepared by someone else is where the testifying witness either had some part in making the statement or report or the testifying witness participated in conducting the underlying investigation and later approved the accuracy of the contents of the statement or report of the investigation. United States v. McCarthy,
In United States v. McCarthy,
A magistrate judge has characterized the holding in McCarthy as recognizing a “joint investigation doctrine” under which a report would be produced as a “statement” under Rule 26.2 “if the testifying witness participated in the investigative activity specified in the report and concurs in the report’s accuracy.” United States v. Begaye,
An opinion by the United States Court of Appeals for the Fifth Circuit in United States v. Sink,
The opinion by the Court of Appeals for the Third Circuit in Government of the Virgin Islands v. Lovell,
The Defendants’ argument that Agent Mendoza can be deemed to have adopted the deputy sheriffs’ reports finds some support in the holding of the United States Court of Appeals for the Second Circuit in United States v. Gotchis,
It should be noted that the United States Supreme Court identified impeachment as the primary use of Jencks Act statements in Palermo v. United States.
In addition, each Defendant argues that the government’s use of hearsay witnesses and refusal to disclose third-party statements
C. Case Management Issues
While a defendant lacks a right to cross-examine at a preliminary hearing, the court does have a strong interest in enabling effective cross-examination that increases the accuracy of probable cause determinations.
Likewise, this Court is concerned about ease management issues confronting United States magistrate judges who are requested to order production of third-party statements at preliminary hearings. At the November 16, 2007 hearing on the appeal of United States Magistrate Judge Karen B. Molzen’s ruling, the Court discussed with counsel the possibility of defense counsel obtaining a copy of the statement counsel wishes to use by subpoenaing the author of the statement to the hearing. However, the language of Rule 26.2 does not permit obtaining the statement of the author by that procedure. Rule 26.2(a) only allows the “party who did not call the witness” to move for production of the witness’s statement. Consequently, if counsel for a defendant subpoenas the law enforcement agent who authored the statement, the defendant could not then move for production of the statement.
There does appear to be a cumbersome, convoluted means of having the third-party statement produced at a preliminary hearing without running afoul of the language in the Jencks Act and Rule 26.2. The concluding paragraph of the Advisory Committee Notes to the 1979 Addition to Rule 26.2 states:
Under subdivision (a) of this rule, the motion for production may be made by “a party who did not call the witness.” Thus, it also requires disclosure of statements in the possession of either party when the witness is called neither by the prosecution nor the defense but by the court pursuant to the Federal Rules of Evidence. Present law does not deal with this situation, which consistency requires be treated in an identical manner as the disclosure of statements of witnesses called by a party to the ease.
Hence, it appears that a magistrate judge could subpoena to a preliminary hearing the author of a statement on which another testifying law enforcement officer, who did not author the statement, is relying. Once the witness, who is the author of the statement, appears at the preliminary hearing in re
A simple solution would be voluntary production of a statement by the government when the statement does not contain sensitive material. With respect to application of the Jencks Act and Rule 26.2 at a trial, the Advisory Committee Notes point out that “[t]he rule is not intended to discourage the practice of voluntary disclosure at an earlier time so as to avoid delays at trial.” That principle could apply equally to preliminary hearings, under Fed.R.Crim.P. Rule 5.1(h)(1) which states: “Rule 26.2(a)-(d) and (f) applies at any hearing under this rule, unless the magistrate judge for good cause rules otherwise in a particular ease.” If in regard to a particular preliminary hearing a magistrate judge opts to subpoena to the hearing the author of a report on which a testifying non-author will rely, it would seem that voluntary disclosure of the statement by the government to defense counsel would be a prudent choice, saving time and expense.
In cases in which the government has a good faith belief that the statement of a witness subpoenaed to a preliminary hearing by a magistrate judge contains certain privileged or irrelevant information that should not be disclosed, counsel for the government could request an in camera review of the statement by the magistrate judge before the magistrate judge orders production of all or part of the statement. This should alleviate the government’s concerns about sensitive information being inappropriately provided to counsel for a defendant. A preliminary hearing procedure of this nature appears to be consistent with the language of Rule 26.2(b) and (e), which applies at a trial.
III. Conclusion
The Court concludes that Rule 26.2 does not require the production of a statement or report authored by a non-testifying person simply because a testifying witness, who was not involved in an underlying investigation and who played no role in preparing the statement or report, relies on the statement or report in providing testimony.
IT IS THEREFORE ORDERED that Judge Molzen’s ruling that the United States must produce the statements of Agents Madden and Duffy following the direct testimony of Agent Mendoza is REVERSED.
Notes
. Later, on December 7, 2007, Judge Molzen entered a Memorandum and Opinion (Doc. No. 25) explaining, in writing, her earlier ruling.
. The "appeal” was an emergency hearing before the District Court Judge ("the Court”) on November 16, 2007 soon after the government filed United States Motion for Reconsideration of the Court’s November 15, 2007 Ruling Requiring Disclosure of Certain "Statements” Under Federal Rule Criminal Procedure 26.2 and Jencks Act (Doc. No. 10). Later, on December 15, 2007, the government filed a Notice of Appeal (Doc. No. 30) of Judge Molzen’s ruling in her Memorandum and Opinion (Doc. No. 25) filed December 7, 2007.
. The full text of 26.2(a) is as follows:
After a witness other than the defendant has testified on direct examination, the court, on motion of a party who did not call the witness, must order an attorney for the government or the defendant and the defendant’s attorney to produce, for the examination and use of the moving party, any statement of the witness that is in their possession and that relates to the subject matter of the witness’s testimony.
. The only substantive change intended by the Rules Committee was to incorporate the holding of United States v. Nobles,
. An appendix to Senate Report 85-981 describes "cases illustrating misinterpretations” of the Jencks decision. In what the Senate Report labels the “Wagering Tax Act case tried in Atlanta,” the government called as its witness a supervisor who testified based in part on his personal knowledge, and in part on what he had read in the report of investigation produced by other agents. The defense moved for the production of the entire investigative report, which the court granted. 1957 U.S.C.C.A.N. at 1865. The Senate's objection to this case reveals that the Senate opposed a broader view of what constitutes a “statement of the witness.”
. The Conference Committee adopted the Senate version of the legislation instead of the House version; hence the Senate Report can be considered as evidence of congressional intent as to the meaning of the statute, as passed.
. See, e.g., United States v. Smith,
. In the Jencks Act, Congress limited the types of government records to which defendants should have access in the interest of national security and to prevent "fishing expeditions.” See United States v. Carter,
. As the Supreme Court noted in the Jencks decision:
Flat contradiction between the witness’ testimony and the version of the events given in his reports is not the only test of inconsistency. The omission from the reports of facts related at the trial, or a contrast in emphasis upon the same facts, even a different order of treatment, are also relevant to the cross-examining process of testing the credibility of a witness’ trial testimony.
Jencks,
. There is another alternative that should assure that the witness gives correct testimony based on a statement made by somebody else. That would be for the government voluntarily (or by court order) to provide a copy of the statement only to the magistrate judge who then would be in a position to decide, as the witness testifies, whether the witness's testimony accurately and fully relates the content of the statement. If the magistrate judge believes that the testimony falls short, the magistrate judge could ask questions designed to fill in gaps in the testimony or could make a decision at that point to subpoena the author of the statement to the hearing for cross-examination by defense counsel.
