Opinion ID: 197023
Heading Depth: 2
Heading Rank: 3

Heading: Other Claims By Josleyn

Text: 45
46 After the government rested its case, Josleyn moved for acquittal under Counts I, III, and IV, claiming that the evidence was insufficient to establish, beyond a reasonable doubt, that the Honda dealers and their dealer advertising associations had been victimized by the alleged mail fraud since the dealers and advertising associations had received the sales training and advertising services for which they paid. This claim fails as well. 47 In United States v. Allard, 926 F.2d 1237 (1st Cir.1991), we explained that it is no defense that the victim received something in exchange even if it was equivalent in value to what the victim was deceived into relinquishing. Id. at 1242 (citing United States v. King, 860 F.2d 54, 55 (2d Cir.1988), cert. denied, 490 U.S. 1065, 109 S.Ct. 2062, 104 L.Ed.2d 628 (1989)). Given that the proper inquiry under Allard is whether Josleyn intended to defraud the dealers and advertising associations into parting with their money, there was ample evidence, particularly the testimony of Cardiges, to support the jury verdicts against Josleyn under Counts I, III, and IV.
48 The district court rejected Josleyn's proposed jury instruction that the government must prove, beyond a reasonable doubt, that Honda had not condoned Josleyn's fraudulent activities. Ordinarily, a defendant is entitled to an instruction on his theory of the case as long as it is legally valid and there is sufficient evidence, viewed in the light most favorable to the defendant, to permit a reasonable juror to credit the defendant's theory. United States v. Flores, 968 F.2d 1366, 1368-69 (1st Cir.1992); United States v. Shenker, 933 F.2d 61, 65 (1st Cir.1991). The government does not dispute that the evidence adduced at trial would have permitted the jury to find that native Japanese executives at the highest levels of Honda implicitly condoned the acceptance of bribes and kickbacks. Nevertheless, the trial court need not adopt the precise instructional language proposed by the defendant. United States v. DeStefano, 59 F.3d 1, 3 (1st Cir.1995). 49 Viewed as a whole, we think the instruction given by the district court fairly summarized Josleyn's defense theory: 50 Since the essential element of the crime charged is intent to defraud, it follows that good faith on the part of the defendant is a complete defense to a charge of mail fraud. A defendant, however has no burden to establish a defense of good faith. The burden is on the government to prove fraudulent intent and the consequent lack of good faith beyond a reasonable doubt. 51 .... 52 It is the defendant Josleyn's theory of the case that American Honda knew of and condoned; that is, gave tacit approval to the activities of its employees alleged in the indictment that were in violation of its policies. American Honda's knowledge or condonation of the commission of an offense does not by itself constitute a defense or an excuse. However, any evidence of American Honda's actions or omissions, or evidence of deficiencies in the manner in which it implemented and enforced its policies and procedures, may be considered by you to the extent that such evidence bears on the issue of whether or not Mr. Josleyn formed the required intent to commit the crimes with which he is charged. Mr. Josleyn contends that because he believed American Honda knew of and condoned the activities in question, he did not possess the required intent to commit the offenses with which he is charged. 53 The defendant has no obligation whatsoever to prove to you that his theory is correct, but rather the burden is always on the government to prove all of the material elements of each offense charged beyond a reasonable doubt[,] including the element of intent with respect to each offense[,] as I have already explained to you. (Emphasis added.) 54 The charge given by the trial judge unmistakably permitted the jury to consider all the condonation evidence in determining whether Josleyn had formed the requisite intent to defraud Honda. No more was required. See generally New England Enters., Inc. v. United States, 400 F.2d 58, 71-72 (1st Cir.1968) (discussing good faith defense to mail fraud), cert. denied, 393 U.S. 1036, 89 S.Ct. 654, 21 L.Ed.2d 581 (1969). Since Josleyn neither cites authority, nor demonstrates, that any condonation by Honda was relevant to an element of the charged offenses other than intent, see Yefsky, 994 F.2d at 890-91 (listing elements of mail fraud conspiracy and substantive mail fraud); see also Aetna Cas. Sur. Co. v. P & B Autobody, 43 F.3d 1546, 1558-60 (1st Cir.1994) (RICO), we conclude that the jury instruction given by the district court was adequate. See DeStefano, 59 F.3d at 3; Shenker, 933 F.2d at 65-66 (rejecting proposed instruction predicated on impermissibly broad defense); cf. United States v. Wallach, 935 F.2d 445, 464 (2d Cir.1991) (mail fraud statute protects property interests of shareholders and corporation against officers' schemes).
55 Josleyn contends that though the prosecutor was responsible for deliberately suborning false testimony from Cardiges, the district court unduly impeded Josleyn's efforts to impeach Cardiges on cross-examination. These claims are meritless. See generally United States v. Osorio, 929 F.2d 753, 759-60 (1st Cir.1991) (approving reasonable restrictions by trial court on repetitive, harassing, unduly prejudicial, irrelevant, or otherwise improper cross-examination); cf. United States v. Tavares, 93 F.3d 10, 14-15 (1st Cir.1996) (rejecting baseless perjury allegation). 56 On cross-examination, defense counsel asked Cardiges to explain two newspaper articles in which his lawyer reportedly stated that the government had evidence that the top Japanese managers at Honda knew about the alleged criminal activities in its sales division. Cardiges testified that he neither authorized the press statements, nor knew their basis. On redirect, the prosecutor elicited testimony that though Cardiges and his attorney had been afforded open access to the government's file, Cardiges had seen no documents that either indicated or show[ed] that the Japanese knew anything about kickbacks or gifts or anything like that. In response, Josleyn's counsel sought to confront Cardiges with several FBI interview reports--obtained from the government's file--which contained statements by Honda employees to the effect that the Japanese knew about the bribes and kickbacks. 57 The district court permitted defense counsel to use the FBI reports for impeachment purposes, i.e., to show that Cardiges either did not tell the truth, or had not reviewed the entire contents of the government file. But the court ruled that the FBI interview reports were inadmissible hearsay if offered for their truth. See Innamorati, 996 F.2d at 480-81; Fed.R.Evid. 801(c) (defining hearsay). On appeal, Josleyn argues that the district court impermissibly restricted recross-examination by refusing to allow the jury to consider all hearsay statements in the FBI interview reports. 58 Our review of the trial transcripts satisfies us that the district court accorded Josleyn ample leeway to explore the FBI interview reports in sufficient detail to enable the jury fairly to weigh Cardiges' testimony relating to the government's file. For example, Cardiges admitted on recross that he had never seen the FBI interview reports, and was quite sure that he was not able to get through the thousands and thousands of documents during the four-hour period he spent reviewing the government file. The district court did sustain several hearsay objections when defense counsel attempted to delve more deeply into the contents of the FBI interview reports. It did so properly, however, since Josleyn proffered no relevant non-hearsay purpose for probing further. Cf. United States v. Hudson, 970 F.2d 948, 956-57 (1st Cir.1992) (defense counsel responded to hearsay objection with impeachment proffer). Nor does Josleyn now challenge these hearsay rulings. Accordingly, we find no error. See Fed.R.Evid. 103(a)(2). 59
60 Josleyn claims that he was deprived of a meaningful opportunity to cross-examine Cardiges and other prosecution witnesses due to the government's delayed disclosure of certain letters written to the government by Cecil Proulx, a former Honda executive, outlining his efforts in the late 1980s to bring the pervasive bribes and kickbacks to the attention of Honda's top Japanese executives. The government produced some of the Proulx materials before trial, including a summary of his FBI interview, but found and unseasonably produced additional material months later--upon learning that Josleyn intended to call Proulx as a witness--tending to show that Honda's Japanese managers had condoned the illegal activities in its sales division. Josleyn unsuccessfully moved to dismiss the indictment on due process grounds. 61 Given the specific discovery request for condonation evidence, the government plainly had an obligation to furnish Josleyn with the Proulx materials in a more timely fashion. See United States v. Sepulveda, 15 F.3d 1161, 1178 (1st Cir.1993), cert. denied, 512 U.S. 1223, 114 S.Ct. 2714, 129 L.Ed.2d 840 (1994); see also Fed.R.Crim.P. 16(a)(1)(C) (discovery relating to documents material to defense); 16(c) (continuing duty to disclose). Since the government failed seasonably to disclose evidence material to guilt or punishment, United States v. Devin, 918 F.2d 280, 289 (1st Cir.1990) (citing Brady v. Maryland, 373 U.S. 83, 87, 83 S.Ct. 1194, 1197, 10 L.Ed.2d 215 (1963)), which includes both exculpatory and impeachment evidence, we inquire whether as a consequence of the delayed disclosure defense counsel was unable to use the material effectively in preparing and presenting the defendant's case. Id. (quoting United States v. Ingraldi, 793 F.2d 408, 411-12 (1st Cir.1986)). Due to its greater familiarity with the dynamics of the case, we will not reverse a district court's ruling on delayed disclosure unless it amounts to a demonstrable abuse of discretion. Id. We discern no abuse of discretion. 62 First, a principal concern in delayed disclosure cases--whether the failure to supply the information in a seasonable fashion caused the defense to change its trial strategy, see id. at 290--is not significantly implicated in this case. Josleyn consistently pursued the same defense theory both before and after the Proulx materials were provided, by arguing that the Japanese managers at Honda had condoned the charged conduct. Secondly, even though the Proulx materials unquestionably provided additional support for the condonation defense, we are not persuaded that the delay in disclosure adversely affected the defense in any important respect. In fact, while Cardiges was on the witness stand, Josleyn's counsel observed that the government's file is like 100,000 pages or so. See also infra note 10. The defense took full advantage of the condonation evidence by using it in its own case, even before the tardily produced Proulx materials were made available, then featured the government's delayed disclosure in its closing argument. 10 63 On this record, we think the district court soundly concluded that the Proulx materials added little to the evidence previously produced by the government, and therefore its late disclosure had not impeded Josleyn's defense to a significant degree. See United States v. Catano, 65 F.3d 219, 227 (1st Cir.1995) (noting cumulativeness of impeachment materials); Sepulveda, 15 F.3d at 1179 (holding that failure to produce incremental information caused no prejudice). We note as well that Josleyn makes no claim that the prosecutor intentionally delayed disclosure. 64 Furthermore, and by no means least importantly, the only relief Josleyn requested was the outright dismissal of the indictment. The district court has broad discretion to redress discovery violations in light of their seriousness and any prejudice occasioned the defendant. Osorio, 929 F.2d at 762-63; see also Fed.R.Crim.P. 16(d)(2) (authorizing district court to permit the discovery or inspection, grant a continuance, or prohibit the party from introducing the evidence not disclosed, or ... enter such other order as it deems just under the circumstances). On the other hand, the draconian relief demanded by Josleyn was grossly disproportionate both to the prosecution's nonfeasance and any prejudice to the defense. See Bello-Perez, 977 F.2d at 670 (favoring continuance over dismissal); accord Devin, 918 F.2d at 290-91. As Josleyn eschewed various alternative remedies more consonant with the government's culpability and any prejudice to the defense, see, e.g., Osorio, 929 F.2d at 762-63 (noting, as alternative remedies, recalling witness for additional cross-examination, affording defense greater leeway with witnesses, and instructing jury that government failed to meet discovery obligations), we find no abuse of discretion in refusing to dismiss the indictment.
65 Josleyn claims that the lead prosecutor improperly vouched for the credibility of government witnesses, and Cardiges in particular, during rebuttal. Absent contemporaneous objection, we may notice only plain error. United States v. Tuesta-Toro, 29 F.3d 771, 776-77 (1st Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 947, 130 L.Ed.2d 890 (1995); Fed.R.Crim.P. 52(b). Viewed in the context of the entire trial, United States v. Smith, 982 F.2d 681, 682 (1st Cir.1993), the prosecutor's remarks, though plainly inappropriate, did not undermine the fundamental fairness of Josleyn's trial. See United States v. Young, 470 U.S. 1, 16, 105 S.Ct. 1038, 1047, 84 L.Ed.2d 1 (1985). 66 Although at times it may be difficult to distinguish improper vouching from zealous advocacy, there can be no doubt that the statements at issue here constituted improper rebuttal: 67 Now there was a lot of suggestion of false play in this case. I want to say this. I'm a married person with a family, and I go home at night with a sound conscience. I have worked very hard on this case. Mr. Feith has worked very hard on this case. Mr. Mulvaney and Miss Roux have worked very hard on this case. And we are very proud of what we have done. We have done nothing to be ashamed of. 11 68 Injecting the prosecutor's personal life and individual efforts into the decisional mix not only invited the jury to consider irrelevant matters beyond the record, but unfairly evoked jury sympathy and diverted attention from the relevant evidence. See United States v. Rosales, 19 F.3d 763, 767 (1st Cir.1994) (prosecutor denied fabricating evidence against defendant). 69 There should be no need to remind federal prosecutors that they are not free to disregard the bounds of proper argument even in response to perceived provocation. See Young, 470 U.S. at 18-19, 105 S.Ct. at 1047-48. The important precept that the prosecutor may not vouch for the credibility of a government witness is deeply rooted in American law. See Rosales, 19 F.3d at 767 (When the prosecutor places the credibility of counsel at issue, the advantage lies with the government ....) (citations omitted). Thus, a prosecutor may not lend the prestige of the government to buttress a witness, nor indicate to the jury that information known to the prosecutor, but not admitted in evidence, supports the government's theory of the case. Young, 470 U.S. at 18-19, 105 S.Ct. at 1047-48. 70 The appropriate response for the prosecutor in these circumstances is to lodge a contemporaneous objection and request an appropriate curative instruction. See id. at 13, 105 S.Ct. at 1045. Failing that, the prosecutor is constrained to a fair discussion of the evidence. But for the brief passage challenged on appeal, see supra at p. 1189, the prosecution adhered to the appropriate standard. 71 Under the plain error standard, appellants bear the burden of showing that the prosecutor's remarks resulted in prejudice, i.e., affected their substantial rights. See United States v. Olano, 507 U.S. 725, 732-34, 113 S.Ct. 1770, 1776-78, 123 L.Ed.2d 508 (1993). Even then, however, we will not notice error unless it caused a miscarriage of justice or seriously undermined the integrity or public reputation of judicial proceedings. Id. We must consider the likely impact the prosecutor's remarks had on the jury in light of the entire record, including the closing argument presented by the defense. Young, 470 U.S. at 16-17, 105 S.Ct. at 1046-47. 72 Compared with defense counsel's attack against the integrity of the prosecuting attorneys throughout closing argument, see supra note 11, their rebuttal was moderate. See United States v. Oreto, 37 F.3d 739, 746 (1st Cir.1994) (tolerating measured response to repeated attempts to magnify government misconduct), cert. denied, --- U.S. ----, 115 S.Ct. 1161, 130 L.Ed.2d 1116 (1995). In all events, the district court prudently countered the risk of serious residual prejudice by promptly cautioning the jury that counsel's arguments are not evidence, and directing the jury to base its verdicts solely on the evidence. See United States v. Mejia-Lozano, 829 F.2d 268, 274 (1st Cir.1987). Given the overwhelming evidence against Josleyn, see supra Section II.B.3(b), the provocative excesses in the closing argument presented by his own counsel, and the timely jury instructions by the district court, the improper remarks by the prosecutor in rebuttal did not rise to the level of plain error. See Rosales, 19 F.3d at 767-68 (finding similar vouching harmless error). 12