UNITED STATES of America, Plaintiff-Appellee, v. William Courtney BATTS, Defendant-Appellant.
No. 76-2308
United States Court of Appeals, Ninth Circuit
June 3, 1977
As Amended Aug. 2, 1977. Rehearing and Rehearig En Banc Denied Aug. 25, 1977.
558 F.2d 513
Before KENNEDY and ANDERSON, Circuit Judges, and VAN PELT,* District Judge.
J. BLAINE ANDERSON, Circuit Judge:
Batts and one Michael Heiges were charged in a two-count indictment with the importation of hashish in violation of
The sole issue presented for review is whether it was error to allow the government to introduce, in its rebuttal case, evidence of prior criminal activity of the appellant.
The facts taken in the light most favorable to the government reveal that Batts and Heiges arrived in Heiges’ El Camino truck at the port of entry near Lynden, Washington. A subsequent search at the port of entry disclosed 15 bricks of hashish hidden in the wall of the truckbed. The concealed compartment in the wall of the truckbed was covered by a metal plate secured by phillips head screws. A set of
A detailed account of what occurred at trial is necessary to understand how the issue unfolded. Immigration Inspector Bunch, the initial inspection officer on the scene, was the first witness to testify. He testified that after asking the routine preliminary questions, he inspected the interior of the El Camino and found marijuana seeds. He then directed the truck to the secondary search area. He testified that the two occupants were “overly nervous and overly helpful.” (R.T. 9) He then testified as to the occurrences surrounding the search and eventual discovery of the hashish. He also testified that he had discovered the set of tools in the bed of the El Camino.
The next person to testify was Customs Inspector Barnes. He testified that since he owned an El Camino and was familiar with its construction, he assisted Officer Bunch in his search of the vehicle. He testified as to his discovery of the hashish in the concealed compartment in the wall of the truckbed. He testified that appellant had told him that the set of tools found was appellant‘s. He testified that he had personally searched appellant and found a silver trinket around appellant‘s neck. He testified that appellant told him that it was a coke spoon.1 At this time, Exhibit 10, the coke spoon, was admitted without objection. He testified further as to comments by appellant regarding the “luckiness” of the search2 and to appellant‘s request for photos of the hashish.3
The next witness pertinent to our discussion was DEA Agent McClary. He testified that during his interview of appellant, appellant told him he was the driver of the vehicle. He also testified that Mr. Heiges did not have a valid driver‘s license and that appellant did have a valid driver‘s license. DEA Agent Brant was next to testify and he testified as to the chain of custody of the coke spoon and how the coke spoon was used. All of this testimony was adduced without objection. Upon the conclusion of his testimony, the government rested.
The first witness to testify for the defense was the appellant. He testified as to his personal history and background, including his family situation, education, and employment record. He identified the box of tools and testified that they were his, and that he did not permit anyone to use his tools unless he was personally present. He testified as to his acquaintanceship with Mr. Heiges and the reasons why he accompanied him on the trip to Canada. He described the sojourn into Canada and denied that he was driving the El Camino when it arrived at the port of entry. He also testified that he asked Inspector Barnes if the discovery of the hashish was just lucky,4 and that he had requested photos of the
During cross-examination, and without objection, the following colloquy took place:
“Q. You are being handed No. 10, the spoon; what is that, Mr. Batts?
A. That‘s a necklace that was given to me by my girlfriend.
Q. And what is it supposed to be?
A. Well, I used it for cleaning the dirt out from under my fingernails. I don‘t know what they use it for.
Q. You don‘t know what it is?
A. Well, I had an idea when they were asking me, ‘Well, don‘t you use this for sniffing coke?’ and I said, ‘No, I do not.’
Q. Is what you are saying is that you didn‘t know before they said anything that that is commonly known as a coke spoon?
A. No, I did not.
Q. You had no knowledge about that?
A. No, sir.
Q. No knowledge about cocaine use, are you saying no?
A. No.” (R.T. 135)
Appellant then called as a witness his girlfriend, who testified that she had received the coke spoon from a friend and had given it as a gift to the appellant. This friend also testified and corroborated the girlfriend‘s testimony.
On rebuttal, over appellant‘s objection, the government introduced evidence showing that appellant had sold a large amount of cocaine to an undercover agent seven months previous to the incident in question. This sale did not result in a conviction as the cocaine was suppressed because of an admittedly illegal search and seizure. The trial court firmly and correctly instructed the jury that such evidence was admissible only to impeach appellant‘s credibility and to show knowledge and intent.
As we base our affirmance on the proper exercise of the trial court‘s discretion, we must attempt to view this matter from the perspective of the trial court as the issue unfolded before it. It must first be recognized that testimony about the coke spoon and the coke spoon itself had already been received in evidence without objection before appellant took the stand. On cross-examination, appellant testified that he had no knowledge of cocaine or the uses for the coke spoon. This line of inquiry was not objected to by appellant‘s counsel. At this point, only the trial court, sua sponte, could have ordered the testimony stricken. Such a procedure by the trial court would have been questionable since, as noted, evidence relating to the coke spoon had already been received in evidence and it was at least arguable that appellant had opened up the subject area by testifying to other contemporaneous events at the port of entry.6
Had the trial court been faced with an objection, it was still within the court‘s power to admit the testimony.
“MR. MAIR: Again in light of Mr. Batts’ flat denial of any knowledge of cocaine, I would introduce—seek to introduce testimony of officers who would testify that Mr. Batts offered and negotiated a cocaine sale with them before this event.” (R.T. 149)
The trial court was then squarely faced with the issue of whether to submit the case to the jury in its present false light or to allow the rebuttal evidence to put the jury on notice of all relevant factors necessary to perform its function of ascertaining the truth. More specifically, the trial court was faced with a confrontation of the “no extrinsic evidence rule” contained in
We believe that the ultimate purpose of the rules of evidence should not be lost by a rigid, blind application of a single rule of evidence. Individual rules of evidence, in this instance
This view is supported by Judge Weinstein, who, in speaking directly to
“Rule 608 expresses the Advisory Committee‘s feeling that since the issue of credibility is often central, depriving the jury of relevant information about witnesses is unwarranted and unduly interferes with the law‘s basic emphasis on truth-finding. It recognizes, however, that a mechanical test of admission may be incapable of achieving justice in a particular case. Rule 608(b) should accordingly be interpreted in a manner consonant with the basic aims of the rules of evidence: to strike a balance between the needs of the judicial system and the needs of the individual witness as determined by the unique circumstances of the case in which he is appearing.”
3 Weinstein‘s Evidence, § 608, at 608-24. Judge Weinstein also sets forth Senator McClellan‘s position on the need for full cross-examination in conjunction with
“Of . . . concern to me is the apparent shift away from the sort of full and effective cross-examination envisioned by the Supreme Court in Michelson v. United States, 335 U.S. 469 [69 S.Ct. 213, 93 L.Ed. 168] (1949) by the substitution of the phrase ‘clearly probative . . . and not remote in time’ in Subdivision (b), in the March 1971 version for the term ‘relevant’ in the March 1969 draft. Granted that abuse is possible, I would trust to the common sense, fairness and discretion of the trial judge under a general concept of ‘relevancy’ before introducing unnecessary second guessing on an appeal on issues such as ‘clearness’ and ‘remoteness.’ I urge, therefore, a return to the original language of the March 1969 draft; the present draft bespeaks too much of a lack of trust in trial judges.”
3 Weinstein‘s Evidence, § 608 at 608-16, n. 8.
While the original language was not readopted in the final version of the rules, the word “clearly” was omitted which we feel provides greater flexibility and discretion for the trial judge.
The comments of the trial judge appear to indicate, although not specifically stated, that he was undertaking the balancing test
“THE COURT: . . . Frankly, I was going to rule with Mr. Guterson on this until the testimony of Mr. Batts. He stated that he didn‘t know—had no knowledge about cocaine use, no knowledge about the use of this spoon. He also testified, and this response kind of slipped by, he testified that he really didn‘t know what this was, and I‘m speaking of the spoon, speaking of the hash, until later, and he found out what this substance was.” (R.T. 151-52)
The admittance of rebuttal evidence is subject to the sound discretion of the trial court. United States v. Perez, 491 F.2d 167 (9th Cir.), cert. denied, 419 U.S. 858, 95 S.Ct. 106, 42 L.Ed.2d 92 (1974). Great deference must be accorded to this discretion and the judgment of the trial court. He was present and able to observe appellant‘s manner and demeanor on the stand. Our review of the “cold record” discloses to us that the general tenor of appellant‘s direct testimony was a portrayal of one completely naive about drugs. The trial judge was in the best position to evaluate the effect this mis-painted picture had on the jury. By admitting the rebuttal evidence, the trial court merely completed the picture as to appellant‘s true involvement and knowledge in the drug world and thereby corrected a distorted view of appellant‘s testimony.
We must also note that the trial court was aided in applying the above-mentioned balancing test by the fact that the rebuttal evidence consisted of prior activity in drugs, albeit a different drug. The connecting factor between the crime charged here and the rebuttal evidence is the fact that the crime here charges an intent to distribute (hashish) and the rebuttal evidence discloses an act of distribution. Merely because the drugs involved are different does not strip this conduct of its evidentiary value. The past act of distribution of one drug is relevant to show knowledge, motive and intent on the part of appellant to partake in the attempt here to import commercial quantities of yet another drug for the purposes of distribution.
We must emphasize that our holding today is based solely on the facts of the present case and the trial judge‘s discretionary powers in response to those facts. This decision should not be read as creating a new rule of evidence or a new approach to the Rules of Evidence. This decision merely reflects that when a rigid application of a rule of evidence would obstruct and defeat the central purpose of the rules as a whole, a balancing test of the peculiarities and relevant factors of the individual case should be undertaken. Under the facts of this case, the trial court correctly found that the balance was in favor of its ruling admitting the rebuttal evidence.9
AFFIRMED.
The majority opinion all but concedes that its holding contradicts the law of this circuit which mandates that the exclusionary rule apply where illegally seized evidence is proffered to show prior bad acts. The opinion also contravenes express provisions of the Federal Rules of Evidence. The majority justifies its departure from these authorities either by attempted factual distinctions that are wholly unpersuasive or by arguments that have been expressly rejected by the draftsmen of the Federal Rules of Evidence. For these reasons, I respectfully dissent.
The majority must agree that Batts did not open the subject of his previous drug use. He briefly testified about his residence, education, and background, as will any defendant who takes the stand. Of necessity he then related the events at the customs station on the day of his arrest. The prosecution knew that Batts had been arrested on cocaine charges seven months before the incident at bar. On cross-examination the prosecution sought to find an opening by which it might introduce into evidence the defendant‘s prior bad acts. It took great pains to question Batts about the cocaine spoon he was wearing when he was arrested. The prosecution‘s obvious purpose in asking the defendant about the cocaine spoon was to invite Batts to deny any knowledge of cocaine, so that the damaging evidence of his earlier cocaine dealings might be brought to the jury‘s attention. By using this tactic, the prosecution introduced extrinsic evidence in rebuttal. The Government called an undercover agent who testified at length concerning his purchase of cocaine from Batts. It also introduced three clear plastic bags of cocaine that had been seized in violation of the fourth amendment at the time of Batts’ arrest following the cocaine sale.
In United States v. Trejo, 501 F.2d 138 (9th Cir. 1974), this court considered the applicability of the exclusionary rule where illegally seized evidence is offered to show prior criminal conduct. In Trejo, after examining the relevant decisions of the Supreme Court on the issue, we held that the controlling distinction in deciding whether illegally seized evidence may be admitted for impeachment purposes is whether the subject of prior criminal conduct is opened by the defendant in his direct testimony or instead by the prosecution on cross-examination. We held that illegally seized evidence may not be admitted where the prosecution opens the line of inquiry. As stated in Trejo: “[S]ince the offered evidence does not focus on the truthfulness of [the] defendant‘s direct testimony, we hold its introduction into evidence to be error.” 501 F.2d at 145.
The Trejo rule controls the instant case. The illegally seized evidence introduced in rebuttal did not focus on the truthfulness of Batts’ direct testimony. As in Trejo, the defendant‘s protestations of innocence during his direct examination were limited to a general denial of the crime for which he was charged. The defense carefully avoided raising on direct the issue of Batts’ previous experience with drugs. The relevance of the illegally-seized evidence for impeachment purposes is confined to the answers Batts gave to questions put to him by the prosecution on cross-examination. Since Batts did not testify on the subject of his prior conduct during his direct examination (or voluntarily raise it on cross-examination), it was error to allow the illegally seized cocaine into evidence.1
The majority‘s second proffered rationale for admitting the rebuttal evidence, the claim that it constituted proper impeachment under
The majority holds that the trial judge properly exercised his discretion in admitting the rebuttal evidence so the case would not go to the jury under a “false light.” What the court ignores is that the Federal Rules specifically provide only two exceptions to the “no extrinsic evidence” rule, neither of which permit extrinsic evidence of prior bad acts to impeach in these circumstances. Specific instances of conduct to support or impeach credibility are first provable when they have been the subject of criminal conviction, as provided in
The legislative history of
The legislative history of
If relevant to truthfulness and not remote in time, inquiry may be made upon cross-examination as to incidents bearing upon the credibility of a witness, but they may not be proved by extrinsic evidence. The cross-examiner is bound by the answer.
Federal Rules of Evidence: Hearings on H.R. 5463 Before the Special Subcommittee on Reform of Federal Criminal Laws of the Committee on the Judiciary, House of Representatives, 93d Cong., 2d Sess. 96 (1973), reprinted in 20 U.S.Sup.Ct. Digest 239, 256 (1975) (emphasis added).
In support of its interpretation of
While the notes of the Advisory Committee on the Federal Rules make clear that some of the rules are ones of general import that can be applied with considerable flexibility, see, e. g., Notes to Federal Rules of Evidence 404(b), 611, the Committee‘s com-
Finally, even assuming that some exception could be made to
Thus, even if the majority‘s interpretation of the interplay of
For these reasons, I would reverse the conviction.
