Source: http://openjurist.org/121/f3d/81/united-states-v-escotto
Timestamp: 2016-02-06 09:47:39
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121 F3d 81 United States v. Escotto | OpenJurist
121 F. 3d 81 - United States v. Escotto HomeFederal Reporter, Third Series121 F.3d
121 F3d 81 United States v. Escotto 121 F.3d 81
UNITED STATES of America, Appellee,v.Santos ESCOTTO, Defendant-Appellant.
No. 1646, Docket 96-1757
Argued June 5, 1997.Decided Aug. 15, 1997.
At sentencing, Judge Trager increased Escotto's offense level by four levels for his leadership role in the offense, see U.S. Sentencing Guidelines Manual ("U.S.S.G.") § 3B1.1(a) (1995), and by another two levels because the fraud involved the misrepresentation at Platinum that the salesmen were acting on behalf of a government agency, see id. § 2F1.1(b)(3)(A).
Although we recognize that the decision to permit or deny readbacks of testimony when requested by a jury during deliberations is within the broad discretion of the trial court, see, e.g., United States v. Criollo, 962 F.2d 241, 243 (2d Cir.1992) (collecting cases), we have also instructed that a trial court's response to any particular request should be guided by consideration of the jurors' need to review the evidence before reaching a verdict, assessed against the difficulty in locating the specific testimony requested, the possibility of undue emphasis on any portion of the testimony, and the possibility of undue delay in the trial, id. We have also stated a clear preference for readbacks whenever they are requested by a deliberating jury. Id. at 244. Indeed, we have explicitly held that it is not within the trial court's discretion to announce a wholesale prohibition on readbacks, id., and we have expressed disapproval of the practice of discouraging the jury from requesting them, see United States v. Damsky, 740 F.2d 134, 138 (2d Cir.1984) (noting that such a practice "does not seem to be particularly wise").
Though some courts have concluded that there is no material difference between sending the jury written transcripts of trial testimony and providing for in-court readbacks, e.g., United States v. Bertoli, 40 F.3d 1384, 1400 (3d Cir.1994); United States v. Zarintash, 736 F.2d 66, 70 (3d Cir.1984), others have noted that permitting the jury to have unsupervised access to written transcripts poses an enhanced danger that jurors may unduly emphasize discrete sections of the trial testimony, see, e.g., United States v. Hernandez, 27 F.3d 1403, 1408-09 (9th Cir.1994) (citing United States v. Lujan, 936 F.2d 406, 411-12 (9th Cir.1991)).
Generally, however, appellate courts have not found it to be an abuse of discretion to provide the jury with transcripts, at least when the trial judge has given some precautionary instruction to lessen the risk of undue emphasis on the transcript. See Bertoli, 40 F.3d at 1401; Lujan, 936 F.2d at 411; United States v. Betancourt, 838 F.2d 168, 175 (6th Cir.1988); cf. Hernandez, 27 F.3d at 1408-09 (granting a new trial for sending transcripts without giving precautionary instruction); Government of the Canal Zone v. Scott, 502 F.2d 566, 570 (5th Cir.1974) (upholding denial of request where trial judge noted danger of undue emphasis).
The Third Circuit has noted that the possibility of undue emphasis on transcripts sent in lieu of readbacks is minimal when the jury has asked to rehear extensive sections of testimony. See Bertoli, 40 F.3d at 1401. We agree with the Third Circuit and also with Judge Trager's reasoning in the instant case that written transcripts provide the jury a more efficient method than readbacks of sorting through lengthy portions of testimony. The opportunity to turn pages of transcripts, some rapidly and some leisurely, will often be preferable to enduring a verbatim and usually unanimated rereading of testimony. See United States v. Grant, 52 F.3d 448, 450 (2d Cir.1995).
In United States v. Russo, 110 F.3d 948, 953-54 (2d Cir.1997), we considered the analogous issue of furnishing the jury with written jury instructions, and we noted that such a practice is substantially more efficient than rereading the instructions in court. At the same time, however, we acknowledged that other courts have been concerned about a risk that the jury might misuse a written charge, and we noted that the judge in Russo effectively minimized this risk by cautioning the jury to consider the charge as a whole and to seek an explication if necessary. Id. at 954.
While we recognize that supplying transcripts of trial testimony poses some risk of undue emphasis on selected passages, we conclude that the decision to provide the jury with transcripts in lieu of requested readbacks should be left to the trial court's discretion, just like the decision as to a request for transcripts, see United States v. Pollak, 474 F.2d 828, 832 (2d Cir.1973). The decision to supply transcripts, either when requested or in lieu of a requested readback, should generally be guided by the same considerations that apply to a decision to permit a readback of testimony. Whether a court permits readbacks or sends transcripts, appropriate cautions should be given to the jury to minimize the particular risks associated with either technique. For example, a jury instruction reminding the jury to consider all the evidence without unduly emphasizing any portion of it would be appropriate in most cases where the court sends transcripts into the jury room.
Finally, to the extent that Escotto is arguing that it was error to provide the transcripts without giving a cautionary instruction, we reject this argument because it was not raised in the trial court. See Fed.R.Crim.P. 51. We note, however, that when a trial court decides to provide written transcripts, a cautionary instruction is advisable.
Escotto contends that the evidence did not support the increases to his offense level because of (a) his leadership role in the offense, see U.S.S.G. § 3B1.1(a), and (b) the misrepresentation about acting for a government agency, see id. § 2F1.1(b)(3)(A). Rather than making factual findings on the record, Judge Trager stated that he would accept the presentence report ("PSR") as to both offense level increases.
A district court's factual findings are reviewed under the clearly erroneous standard, e.g., United States v. Leonard, 37 F.3d 32, 37-38 (2d Cir.1994), but the determination that those findings support a sentencing enhancement is a legal conclusion that we review de novo, because it involves an interpretation of the Guidelines, e.g., United States v. Pollack, 91 F.3d 331, 336 (2d Cir.1996).
(a) Leadership Role. Section 3B1.1(a) provides for a four-level increase if the criminal activity involved more than five participants and the defendant was an "organizer or leader" of the activity. U.S.S.G. § 3B1.1(a) (1995). As we have repeatedly stressed, a prerequisite to a section 3B1.1(a) enhancement is that the district court makes specific factual findings that (i) the defendant was an organizer or leader, and (ii) the criminal activity involved five or more participants, or was otherwise extensive. See e.g., Pollack, 91 F.3d at 336; see also United States v. Liebman, 40 F.3d 544, 548-49 (2d Cir.1994) (remanding for factual findings regarding the number of participants); cf. United States v. Fermin, 32 F.3d 674, 682 (2d Cir.1994) (remanding for factual finding regarding managerial or supervisory role to support section 3B1.1(b) enhancement). The district court is entitled to rely on the factual findings in the PSR, provided, however, that the court explicitly adopts them, as Judge Trager did here. See United States v. Williams, 23 F.3d 629, 635 (2d Cir.1994).
However, Escotto asserts that Fields and Williams were "thoroughly discredited on cross-examination," Brief for Appellant at 19, and that although D'Acosta initially testified that Escotto owned Golden Star and Enigma, D'Acosta's later testimony attributed the ownership and leadership to Patrice Lambert. Even if we were to consider Escotto's first argument to be persuasive, which we do not, the commentary to section 3B1.1 states unequivocally that "[t]here can, of course, be more than one person who qualifies as a leader or organizer of a criminal association or conspiracy." U.S.S.G. § 3B1.1 comment. (n.4). Thus, the finding that Escotto organized and led the conspiracy, even if he did so at the same time as Lambert, was not clearly erroneous, and suffices to support the enhancement.
(b) Government Recovery Pitch. In the case of jointly undertaken activity, specific offense characteristics are determined by "all reasonably foreseeable acts and omissions of others in furtherance of the jointly undertaken criminal activity." See U.S.S.G. § 1B1.3(a)(1)(B). Under the specific offense characteristics of the fraud guideline, a two-level increase is appropriate if the fraud involved a misrepresentation that the defendant was acting on behalf of a government agency. Id. § 2F1.1(b)(3)(A).
PSR, p 11. The use of the government recovery pitch was at least reasonably foreseeable by Escotto, even if he did not personally go to Platinum, and even if the pitch was not conducted under his explicit direction. The enhancing conduct was relevant conduct by those engaged with Escotto in a criminal enterprise. See U.S.S.G. § 1B1.3(a)(1)(B).