Opinion ID: 470011
Heading Depth: 2
Heading Rank: 3

Heading: Issues Regarding The Jury Charge

Text: 27 Lyubarsky and Zonenashvili assert that the district judge did not charge the jury with sufficient particularity as to the specific intent required for a conspiracy conviction. They challenge the use of a conscious avoidance charge as unwarranted given their denial of participation in the offense charged and their defense that they intended to commit a different crime. Appellants also argue that such a charge was improper since it allowed the jury to convict without finding beyond a reasonable doubt that appellants had knowledge of the specific conspiracy charged. 28 As for the first of these contentions, we note that Judge Wyatt began his instruction by reading the indictment to the jury and that the indictment was sent into the jury room during deliberations. Thereafter, the jury was charged at least twice that they must find the existence of a conspiracy as charged in the indictment. On two other occasions the judge specifically stressed that the object of the conspiracy must have been to defraud the insurer of Zubok's Chicago jewelry store. Then, during deliberation, in response to a note from the jury and in order to satisfy objections raised by Lyubarsky's counsel, the trial judge emphasized in supplemental instructions that the appellants' guilty knowledge must have related to a scheme as charged in this indictment here on trial. Thus, it is clear that the jury was adequately instructed on the finding of intent required to warrant conviction. 29 Apropos appellants' arguments against the use of the conscious avoidance instruction, see infra, the government's primary response is that defense counsel did not raise these arguments when they objected at trial and have failed to preserve the issues for appellate review. Fed.R.Crim.P. 30. Therefore, the government contends, appellants must show that the district judge's instructions, if erroneous, constituted plain error going to the very essence of the case, citing United States v. Cano, 702 F.2d 370, 371 (2d Cir.1983); United States v. Praetorius, 622 F.2d 1054, 1061 (2d Cir.1979), cert. denied, 449 U.S. 860, 101 S.Ct. 162, 66 L.Ed.2d 76 (1980). 30 We conclude that these objections were not raised before the trial judge and were, therefore, waived by this failure under Rule 30. Defense counsel had the opportunity to object to the conscious avoidance charge on three separate occasions: at the charging conference, after the initial jury charge, and again before Judge Wyatt prepared the supplemental charge in response to the jury request for clarification of the guilty knowledge issue. Yet, no specific objection was made to the use of a conscious avoidance charge. The defense did make several objections and suggestions to the court regarding the effect the charge might have upon the defense theory that the defendants were involved in a different unlawful agreement but not in the specific conspiracy alleged in the indictment. 1 In spite of attempts by appellants to characterize these as objections to the use of the conscious avoidance charge, they were insufficient to direct the trial court's attention to the precise contention now being urged upon appeal. United States v. Pinto, 503 F.2d 718 (2d Cir.1974). Since the conscious avoidance arguments are raised for the first time on appeal, the question before us is whether the district judge's inclusion of the conscious avoidance language constituted plain error. Cano, 702 F.2d at 371. 31 The conscious avoidance of knowledge language is to be found in the Model Penal Code's definition of knowledge. 32 When knowledge of the existence of a particular fact is an element of an offense, such knowledge is established if a person is aware of a high probability of its existence unless he actually believes that it does not exist. 33 Model Penal Code Sec. 2.02(7) (Proposed Official Draft 1962). Appellants rely heavily upon dicta in United States v. Mankani, 738 F.2d 538, 547 & n. 1 (2d Cir.1984) (questioning use of conscious avoidance theory to establish knowing participation in conspiracy) to support their argument that the conscious avoidance charge is inappropriate since the indictment charges conspiracy but not the underlying substantive offense. 34 The conscious avoidance charge commonly has been used where a defendant has claimed lack of some specific aspect of knowledge necessary to conviction but where the evidence may be construed as deliberate ignorance. See, e.g., United States v. Mackenzie, 777 F.2d 811, 818-19 (2d Cir.1986) (conspiracy, false filing of tax returns, and aiding and abetting false filling in connection with withholding taxes); United States v. Guzman, 754 F.2d 482, 489 (2d Cir.1985) (possession of cocaine with intent to distribute: conspiracy and underlying offense charged); United States v. Mohabir, 624 F.2d 1140, 1154 (2d Cir.1980) (conspiracy to defraud U.S. by manufacturing counterfeit immigration documents and knowingly receiving illegally imported goods); United States v. Joyce, 542 F.2d 158, 161 (2d Cir.1976) (per curiam) (possession of stolen goods: conspiracy and underlying offense charged); United States v. Dozier, 522 F.2d 224, 227 (2d Cir.) (aiding and abetting possession of cocaine with intent to distribute), cert. denied, 423 U.S. 1021, 96 S.Ct. 461, 46 L.Ed.2d 394 (1975); United States v. Joly, 493 F.2d 672, 676 (2d Cir.1974) (importing and unlawfully possessing cocaine); United States v. Jacobs, 475 F.2d 270, 287-88 (2d Cir.1973) (dealing in stolen securities: conspiracy and underlying offense charged); United States v. Brawer, 482 F.2d 117, 128-29 (2d Cir.1973) (same); see also United States v. Nicholson, 677 F.2d 706, 710-11 (9th Cir.1982) (conspiracy to possess marijuana with intent to distribute and conspiracy to import marijuana); United States v. Brien, 617 F.2d 299, 312 (1st Cir.) (conspiracy to commit mail and wire fraud in the sale of commodity options), cert. denied, 446 U.S. 919, 100 S.Ct. 1854, 64 L.Ed.2d 273 (1980); United States v. Jewell, 532 F.2d 697, 702-704 & n. 12 (9th Cir.) (en banc) (possession of a controlled substance with intent to manufacture, distribute or dispense), cert. denied, 426 U.S. 951, 96 S.Ct. 3173, 49 L.Ed.2d 1188 (1976); United States v. Austin, 614 F.Supp. 1208, 1222 (D.C.N.M.1985) (conspiracy to distribute marijuana in excess of 1000 pounds); 1 Devitt & Blackmar, Federal Jury Practice and Instructions Sec. 14.09 (3d ed. 1977 & 1985 Supp.) (stating that some form of the conscious avoidance charge has been approved in all circuits except the 4th and 6th). These cases also instruct that conscious avoidance charges have been upheld on appeals: a) from convictions for substantive offenses that require knowledge or knowing activity, b) from convictions for conspiracy to commit such offenses, and c) from convictions for both. Accordingly, we reject appellants' argument that the conscious avoidance charge was inappropriate in this conspiracy case simply because the underlying substantive offense was not charged. 35 There are at least two aspects of knowledge involved in a conspiracy: 1) knowing participation or membership in the scheme charged and 2) some knowledge of the unlawful aims and objectives of the scheme. The language of Mankani, relied upon by appellants, relates to the knowing participation or membership aspect of the scheme charged. See also United States v. Ciambrone, 787 F.2d 799, 810 (2d Cir.1986) (membership in a conspiracy cannot be proved by conscious avoidance). Here there is no question regarding appellants' participation in an unlawful scheme, the appellants' defense admits as much. The only question is whether appellants had knowledge of the unlawful aims and objectives of the scheme charged in the indictment. United States v. Reed, 790 F.2d 208, (2d Cir. 1986) (Where, as here, the defendant has become a member of a joint undertaking, he cannot avoid responsibility for acts by closing his eyes to what is readily apparent.) While it is not necessary to a conviction for conspiracy for the government to prove that the accused knew all of the unlawful aims and objectives of the scheme charged, the government must demonstrate that the accused had some knowledge of its unlawful aims. Here, a conscious avoidance charge was appropriate vis-a-vis knowledge of the objectives of the scheme charged since the appellants assert what amounts to ignorance of the specific objectives alleged in the indictment. 36 Whether appellants participated in a scheme aware of the objective of defrauding Zubok's insurance carrier or participated in a scheme to con Zubok was an issue for the jury to decide from all the evidence presented. This evidence included, inter alia, Zubok's testimony that Nuzio inquired of him, in the presence of Lyubarsky and Zonenashvili, on April 30, 1984, at Nino's Restaurant in Brooklyn, about Zubok's insurance coverage, and whether he needed any help to raise his level of inventory. During direct examination Zubok testified as follows: 37 Q. And was there a conversation at Nino's? 38 A. Yes.... The conversation started whereby Tony Nuzio told me how they were serious people, and if something does not go the right way, then be advised that we will break your head. We will crush your head. 39 Q. Please continue. 40 A. Then he asked me in what amount is my insurance. I told him it was $750,000. Later on he asked me if I needed some help in order to raise my inventory so he would also help me. 41 Q. What was the purpose of building the inventory? 42 A. We agreed that the robbery would take place at the time when I had somewhere between 500 to 800,000 worth of merchandise. 43 (Tr. 217). 44 Since we conclude that a conscious avoidance charge was appropriate in this case, we now turn to appellants' final arguments regarding the specific language used by Judge Wyatt to explain the conscious avoidance principle. As discussed supra, neither of these arguments were presented to the district court, therefore, appellants must establish that the charge, when read in context, was sufficiently erroneous to establish plain error. Dozier, 522 F.2d at 227. Judge Wyatt charged as follows: 45 In determining whether a particular defendant acted knowingly, or in other words, had guilty knowledge, you may consider whether the defendant deliberately closed his eyes to what otherwise would have been obvious to him. By this I mean that a finding of guilty knowledge cannot be avoided by a showing that the defendant deliberately closed his eyes to the essential nature of the conspiracy and its unlawful purpose. 46 It is not necessary that the government prove to a certainty that a particular defendant knew a scheme existed to defraud the insurer of Zubok's Chicago jewelry store by staging a sham burglary. Rather, it is enough if the government proves beyond a reasonable doubt that the defendant was aware of a high probability that such a scheme was in existence, unless you find that the defendant actually believed that he and his associates were acting in a lawful manner. 47 I must emphasize at this point that guilty knowledge cannot be established by showing mere negligence or even foolishness on the part of a defendant. 48 (Tr. 1323-24) (emphasis added). 49 Appellants argue that the use of the high probability language served to effectively reduce the government's burden of proof and allowed conviction where the proof of knowledge of the specific conspiracy charged in the indictment was less than beyond a reasonable doubt. We conclude that appellants have failed to establish plain error in this regard. 50 While the high probability language derives directly from the same source as the charge itself, the Model Penal Code, courts have warned that reliance upon the language of a legal definition, from the Model Penal Code or elsewhere, may confuse and ultimately mislead the jury. See United States v. Jacobs, 475 F.2d 270, 287 (2d Cir.1973) ([A] good definition, like the language of a sound judicial opinion, ... is not necessarily appropriate as a charge.); Brawer, 482 F.2d at 128. Though there are other formulations of this particular instruction, 2 the question presented here is whether Judge Wyatt's charge, when read in context, required something less than proof beyond a reasonable doubt. It did not. The use of the high probability language occurs right in the midst of language which instructs that proof beyond a reasonable doubt was required to establish the requisite specific intent. Also, within the very paragraph containing this language, reference is made to the specific conspiracy charged in the indictment regarding a scheme to defraud the insurer of Zubok's Chicago Jewelry store. In United States v. Aulet, 618 F.2d 182 (2d Cir.1980), after review of the relevant cases, we stated: 51 The principle to be gleaned from these cases is that a conscious avoidance charge must include references to a purposeful avoidance of the truth, ... an awareness of high probability, ... and the absence of defendant's actual belief in the nonexistence of the crucial fact,.... All of these elements were present in [the] charge, and, therefore, there is no error. 52 Id. at 191 (citing United States v. Valle-Valdez, 554 F.2d 911 (9th Cir.1977) (finding a charge deficient for failure to include such high probability language)). Judge Wyatt was equally careful to include all of these necessary elements in his charge to the jury. Therefore, we find no error as to these challenged portions of the district judge's conscious avoidance charge. 53 Appellants also question the court's use of the language unless you find that the defendant actually believed that he and his associates were acting in a lawful manner in its charge. Appellants contend that this aspect of the charge precluded the jury's consideration of their defense. While the more appropriate language might have been unless you find that the defendant actually believed that he and his associates were not scheming to defraud Zubok's Chicago jewelry store insurer, appellants did not raise this particular objection with sufficient specificity before the district judge and we do not find that it rises to the level of plain error. 54 We affirm the judgments of conviction.