Opinion ID: 562065
Heading Depth: 2
Heading Rank: 5

Heading: sufficiency of the evidence

Text: 47 Finally, in an argument to which it devotes only about one page in its 48-page opening brief, Baytank argues that the district court erred in denying its motion for a judgment of acquittal, or, in the alternative, for a new trial on counts 32 and 33. Baytank contends the evidence was insufficient to sustain a conviction on either count. We disagree. 48 As to count 32, Baytank argues that no samples of the actual contents of the drums were put into evidence, that some drums contained nonhazardous solvents, and that drums containing ethylene dibromide (EDB), a listed hazardous chemical, 40 C.F.R. Sec. 261.33, 27 were held not for disposal but for delivery to Dow Chemical for testing to determine whether they could be recycled. 49 The government admits no drum samples were taken, but relies on Baytank records, and testimony as to its practices at the times charged, to show that the drums were used to store the slops or residue of hazardous chemicals that had been extracted either for sampling or line cleaning purposes. We agree that these documents, including drum inventories, a hazardous waste log, and internal memoranda, as well as the testimony at trial, all amply demonstrate that many of these drums containing hazardous wastes were stored for longer than 90 days. Other testimony and physical and documentary evidence, including photographs of leaking, dented, and rusted drums, clearly show that the safe storage requirements of 40 C.F.R. Sec. 262.34(a) were not met. As it is undisputed that Baytank did not have a permit, either is sufficient to prove a violation of Sec. 6928(d)(2)(A). 28 50 With respect to count 33, Baytank asserts there was no evidence that the rinsates and storm water in the tanks were actually hazardous, or that Baytank knew this or knew that the regulations (apparently the mixture rule) classified this material as hazardous waste. We disagree. The evidence, including the testimony of Baytank employees and Baytank's own wastewater analyses, establishes that Baytank knew that the tanks contained some EPA-listed hazardous chemicals, as well as water, and was aware (or at least had a copy) of EPA regulations classifying such matter as hazardous. 51 Baytank also claims that its records show that at least every 90 days (perhaps monthly) the tanks were emptied. The records do not show this, however, but only show that some waste water was taken out of the tanks (without showing that they were emptied) with this frequency. It appears thousands of gallons were left in the tanks in some of these instances. Also, it was shown that the tanks did not bear labels identifying their contents as hazardous or the proper date information. The improper labeling alone would suffice to sustain the conviction, even if the storage was not for longer than 90 days. 52 As to the quantities of listed chemicals in the tanks, sampling data indicate that between 1.9% and 2.4% of certain tanks consisted of acrylonitrile, a chemical which is listed by EPA as a hazardous waste. 40 C.F.R. Sec. 261.33(f). As some of these tanks contained as much as 500 to 1,000 tons, the actual amount of listed chemicals in a tank would be in the range of 9 to 24 tons. Even Baytank's own samples showed nearly one ton of acrylonitrile in one tank. Clearly the jury could find here that there were more than insignificant or de minimus amounts of hazardous listed chemicals in the tanks. Given Baytank's own sampling and possession of the EPA regulations, we also conclude that the jury could properly find that Baytank knew that the contents of the tanks were hazardous (and indeed knew that the EPA regulations treated them as hazardous). 29 53 The evidence is clearly sufficient to sustain a finding that Baytank knowingly stored hazardous wastes in drums and tanks without a permit in violation of the safe storage and 90-day limit conditions. Accordingly, the evidence is sufficient to support Baytank's convictions, and the district court did not err in denying Baytank's motion for judgment of acquittal on counts 32 and 33. 54 Although in Part III we sustain, under an abuse of discretion standard, the district court's grant of a new trial to the individual defendants on these (as well as other) counts, Baytank has failed to make even a colorable claim--other than its sufficiency of the evidence argument, which we reject--that the district court abused its discretion in denying Baytank a new trial on these counts. Accordingly, we also affirm the district court's denial with respect to counts 32 and 33 of Baytank's alternative motion for a new trial. 55 We affirm Baytank's conviction on counts 32 and 33. Part II--Mandamus 56 The government seeks mandamus to correct the district court's refusal to impose the Sec. 3013(a)(2)(B) mandatory $200 per count special assessment against Baytank on the two counts it left standing. The district court relied on the Ninth Circuit's decision in United States v. Munoz-Flores, 863 F.2d 654 (1989), which held that Sec. 3013 was a revenue-raising measure that had unconstitutionally originated in the Senate, rather than in the House of Representatives. See U.S. Const. Article I, Section 7. This Court subsequently rejected the Ninth Circuit's decision in United States v. Herrada, 887 F.2d 524 (5th Cir.1989), cert. denied, --- U.S. ----, 110 S.Ct. 2565, 109 L.Ed.2d 748 (1990), and the Supreme Court has reversed the Ninth Circuit's decision and held Sec. 3013 constitutional. United States v. Munoz-Flores, --- U.S. ----, 110 S.Ct. 1964, 1974, 109 L.Ed.2d 384 (1990). The district court's erroneous refusal to impose the mandatory special assessment in this pre-Sentencing Guidelines case is properly corrected by the exercise of this Court's mandamus jurisdiction under the All Writs Act, 28 U.S.C. Sec. 1651, as the government is otherwise unable to seek review of a sentence imposed in violation of law. See Ex parte United States, 242 U.S. 27, 37 S.Ct. 72, 73, 61 L.Ed. 129 (1916); United States v. Jackson, 550 F.2d 830, 831 (2d Cir.1977). Part III--Government Appeal A. Judgment of Acquittal Counts 32 and 33 57 The government argues that the district court erred in its post-verdict granting Nordberg and Johnsen a judgment of acquittal on counts 32 and 33 (the RCRA counts). The district court assigned no reasons for its action in this respect. 58 The decision of a trial court to grant a judgment of acquittal following a jury's guilty verdict is entitled to no deference. Hayes International Corp., 786 F.2d at 1500 (11th Cir.1986); see United States v. Burns, 597 F.2d 939, 941 (5th Cir.1979), cited in Hayes International. Rather, the appellate court, applying the same standard as the trial court, must determine whether the relevant evidence, viewed in a light most favorable to the Government, could be accepted by a jury as adequate and sufficient to support the conclusion of the defendant's guilt beyond a reasonable doubt. United States v. Varkonyi, 611 F.2d 84, 85 (5th Cir.), cert. denied, 446 U.S. 945, 100 S.Ct. 2173, 64 L.Ed.2d 801 (1980). It is not necessary that the evidence exclude every reasonable hypothesis of innocence or be wholly inconsistent with every conclusion except that of guilt, provided a reasonable trier of fact could find that the evidence establishes guilt beyond a reasonable doubt. A jury is free to choose among reasonable constructions of the evidence. United States v. Bell, 678 F.2d 547, 549 (5th Cir. Unit B 1982) (en banc) (footnote omitted), aff'd on other grounds, 459 U.S. 1034, 103 S.Ct. 444, 74 L.Ed.2d 600 (1983). 59 In part I.E., supra, we have already rejected Baytank's arguments that the evidence was insufficient to sustain its conviction on counts 32 and 33. Defendants Nordberg and Johnsen rely almost exclusively on those very same arguments (i.e., that no criminal violation occurred) to support their contention that the district court erred in not granting them a judgment of acquittal. 60 In finding the evidence sufficient to support Baytank's conviction, we have necessarily determined that the jury could reasonably have concluded that (1) hazardous wastes were knowingly stored at Baytank during the relevant time periods, and (2) the storage was without a permit and in violation of EPA regulations. The only basis for convicting Baytank and yet acquitting Nordberg and Johnsen would be a conclusion that these two men lacked knowing personal involvement in the offenses. 61 We find there was sufficient evidence to connect Nordberg and Johnsen with the violations charged in counts 32 and 33. There was evidence that during the periods covered by those counts both individuals were intimately versed in and responsible for Baytank's operations. Johnsen, as Operations Manager, had direct responsibility for most of the facility's day-to-day operations, including the filing of environmental compliance forms. Nordberg, as Executive Vice President, also was involved in the operations and had submitted the application for an NPDES permit under the Clean Water Act. The testimony was sufficient to allow the conclusion that both Nordberg and Johnsen knew of the storage of hazardous wastes in violation of the requirements for storage without a permit. Given the evidence of their detailed knowledge of and control over the storage operations at Baytank, the jury was entitled to conclude that they participated in the illegal storage charged in counts 32 and 33. 62 Accordingly, we reverse the judgments of acquittal granted to Nordberg and Johnsen on counts 32 and 33. B. District Court Grant of New Trials 63 As noted, except for counts 32 and 33, the district court granted all of the defendants new trials on all counts on which the jury returned a verdict of guilty. The individual defendants convicted on counts 32 and 33, Nordberg and Johnsen, were granted conditional new trials on those counts in the event their judgments of acquittal were reversed on appeal. The government appeals all of these new trial grants. 64 We review the district court's grant of a new trial for abuse of discretion. United States v. Logan, 861 F.2d 859, 863 (5th Cir.1988); United States v. Leal, 781 F.2d 1108, 1110 (5th Cir.), cert. denied, 479 U.S. 831, 107 S.Ct. 116, 93 L.Ed.2d 63 (1986). Rule 33 of the Federal Rules of Criminal Procedure does not require written reasons upon the grant of a new trial. Although written reasons would obviously have been helpful in this case, none were furnished. Nonetheless, we have been able, through an examination of the record and the statements of the court and counsel at the hearing at which the motion for a new trial was argued and granted, to determine the concerns of the district court that apparently prompted it to grant the new trial. We address these in turn. 65
66 The district court appears to have been concerned that the government improperly argued a financial motive for the violations--saving money--without having adequately established it at trial. The government argued that Baytank attempted to save money in the construction and operation of its facility at the expense of the environment. The government contends that although it was not required to prove motive, it was entitled to argue it based on the evidence. 67 We agree. The district court focused on Baytank's decision to forego its original plans to construct a pipeline to transport the wastes, relying instead on transportation by truck. The court concluded that a pipeline would ultimately have been less expensive, and that consequently Baytank's action did not support the government's motive argument. The court neglected two considerations, however: first, the cost of operating the pipeline, as well as the cost of building it, and second, that construction of the pipeline, unlike transportation by truck, requires a substantial up-front capital expenditure. Taking those considerations into account, Baytank's failure to construct the pipeline certainly does not so undercut the government's motive theory as to render it an improper subject for argument. The defendants did not object to the government's motive argument or make it a basis for their new trial motion (nor did the court question it when made). Thus, the error perceived post-trial by the district court was in fact not an error at all and did not prejudice the defendants in their defense. Moreover, the district court did not grant Baytank a new trial as to either of counts 32 or 33, and the motive argument had at least as much relevance to those counts as to the others (and the district court expressed no contrary view). Accordingly, the grant of a new trial to Baytank will not be sustained on this ground. 30 Logan, 861 F.2d at 864-65 (trial court abused its discretion in granting new trial on basis of ineffective assistance of counsel where it failed properly to apply the prejudice prong of the Strickland test). 68
69 This was a complex case, originally involving 21 defendants and a 37-count indictment, and it required the jury to apply some rather technical evidence, statutes, and regulations. From our reading of the jury's verdict, the jury appears to have performed its duty well. We do not criticize the jury's performance in this case, nor, as we read the record, does the district court. 70 Nonetheless, we cannot wholly discount the possibility of some jury confusion as to the individual defendants in a case as unwieldy as this. Where our review is limited to abuse of discretion, we hesitate in a matter of this kind to second-guess the determination of the district judge, who tried the case to the jury over a four-week period and clearly was in the best position to gauge the trial atmosphere and the jury's performance. 71 Given the objective indications that the jury was not confused, this is indeed a close question. Nevertheless, we ultimately cannot say that the district court abused its discretion in granting the individual defendants a new trial on the basis of its perception of jury confusion. The jury confusion concern does not support the grant of the new trial to the corporate defendant, Baytank, however. If it did, jury confusion would necessarily appear to have infected all counts, and the district court would have granted Baytank a new trial on counts 32 and 33 as well as the other counts. Moreover, Baytank's relationship to the charged offenses is constant and markedly different from that of the individual defendants. It was established beyond reasonable doubt and never contested that Baytank was at all times the sole owner and operator of the entire facility; it alone was the permittee in the relevant permits; the pollutants discharged, the hazardous chemical released, and the hazardous wastes stored were Baytank's, and the discharges, release, and storage were operations conducted by Baytank on its premises and with its equipment. The individual defendants' relationships to the offenses arises only out of their role as employees of Baytank, and their positions and responsibilities were not constant throughout the entire period in question, nor were they the only responsible individuals with reference to the various counts on which guilty verdicts were returned. There really could have been no confusion as to Baytank. Though we are skeptical that there was as to the individual defendants, we are unable to so clearly rule that out as to warrant setting aside the new trial as to those defendants. 72
73 The district court concluded that it should have instructed the jury that it had to find the specific intent not to report in order to convict the defendants for failing to file the discharge monitoring reports charged in count 27. In so concluding, the court reasoned that willfulness must be shown in order to prove a criminal violation of the currency transaction reporting requirements. 31 U.S.C. Sec. 5322; United States v. Granda, 565 F.2d 922, 926 (5th Cir.1978) (construing Sec. 5322's predecessor, 31 U.S.C. Sec. 1058. 31 Unlike the currency reporting statutes, however, the statute at issue for count 27, the Clean Water Act, expressly penalizes negligent as well as willful violations. It provided (at the time of the events in question here) for criminal penalties for [a]ny person who willfully or negligently violates ... any permit condition ... in a permit issued under section 1342 of this title.... Sec. 1319(c)(1) (emphasis added). 32 For such an offense, there is no constitutional infirmity in not requiring proof of specific intent. See Smith v. California, 361 U.S. 147, 80 S.Ct. 215, 223-27, 4 L.Ed.2d 205 (1959) (Frankfurter, J., concurring); United States v. Balint, 258 U.S. 250, 42 S.Ct. 301, 302, 66 L.Ed. 604 (1922); United States v. Mullens, 583 F.2d 134, 138 (5th Cir.1978). Accordingly, failure to require specific intent in the instructions on count 27 was not error and therefore does not support the grant of the new trial. See Logan, 861 F.2d at 864-65. 74 The district court also appears to have been concerned that it may have given an erroneous instruction on aiding and abetting under 18 U.S.C. Sec. 2. This concern applies to all counts, including count 27. We have stated that conviction as an aider or abettor, even for a general intent crime, requires a showing of specific intent. See, e.g., United States v. Lindell, 881 F.2d 1313, 1323 (5th Cir.1989), cert. denied, --- U.S. ----, 110 S.Ct. 1152, 107 L.Ed.2d 1056 (1990). The defendants argue that the district court inadequately instructed on the willfulness required for conviction as an aider or abettor, confusing it with the mental state of knowledge. See United States v. Burroughs, 876 F.2d 366, 368-69 (5th Cir.1989). They also question whether one can be an aider or abettor to a negligent violation, and they suggest the instructions on the various mental states may have confused the jury. 75 The aider and abettor instruction was not applicable to Baytank; accordingly, its new trial cannot be sustained on this ground. Although the arguments on the aiding and abetting instruction with respect to the individual defendants (to whom the instruction was applicable) are not without some force, we need not decide whether they are sufficient to sustain the grant of a new trial in light of our decision to uphold the individual defendants' new trial on the not wholly unrelated jury confusion issue. 76
77 Count 29 charged that Baytank and Johnsen knowingly failed to timely report to the National Response Center an April 27, 1985 unpermitted release into the environment at the Baytank facility of a reportable quantity of a hazardous substance, namely over 100 pounds of acrylonitrile, contrary to Sec. 9603(b)(3). Having already upheld on other grounds the grant of a new trial to Johnsen, we consider the new trial on this count only as to Baytank. The government's evidence showed that some 4,000 pounds of acrylonitrile--a listed hazardous substance whose reportable quantity is 100 pounds--overflowed a Baytank tank on April 27, 1985, that several responsible personnel of Baytank knew about this spill the same day, but that it was not timely reported. The chemical spilled into the tank bay, a moat-like area around the tank open to the atmosphere. The government's evidence also showed that within the first hour after the overflow some 1,800 pounds of the spilled chemical would have evaporated from the tank bay into the ambient air, and that the air containing this chemical traveled to the neighboring Celanese plant where employees noticed it and experienced resultant adverse effects. The district court instructed the jury that a reportable release into the environment included an escaping into the ambient air, but that a release into a contained structure ... like tank bays was not a release into the environment unless you find that a reportable quantity of the chemical evaporated or otherwise traveled beyond the confines of the containment structure. 78 In granting a new trial the district court expressed doubt about the level of proof on count 29. The court noted that the testimony of the government's expert concerning the quantities that evaporated into the air was based on an assumption that 4,000 pounds had spilled into the tank bay, as to which latter amount the expert gave no opinion of his own. The district court found this a serious defect because the evidence of the quantity spilling into the tank bay was, in the court's view, mere folk estimates and quantifications ... in the industrial context where somebody scratches himself, looks at it, and says that's about X. However, Baytank's own written records show without contradiction that it contemporaneously estimated and subsequently reported to OSHA that approximately 4,000 lbs. spilled on this occasion. A witness from the Celanese plant smelled the chemical there, looked for its cause, then shortly thereafter observed ongoing overflow (like a curtain of liquid) from the Baytank tank at an estimated rate of 100 to 150 gallons a minute, with the spilling continuing until some 10 to 12 minutes had elapsed after the witness had first smelled it. Baytank written records reflect that the spilling went on for 15 minutes. Baytank records also reflect that three hours after the spill the ambient air in areas west and north of the tank bay contained respectively 400 and 800 parts per million of acrylonitrile, but that some eight hours after the spill that substance was not detectable in the ambient air at those same locations. Importantly, there was absolutely no evidence that the 4,000 pound figure was too high or was for any reason unreliable. Moreover, the 4,000 pound figure did not have to approach precision to sustain a finding that from it at least 100 pounds evaporated into the ambient air, as the government's expert stated that 1,800 pounds would evaporate in the first hour from the 4,000 pounds he assumed to have been spilled into the tank bay. 79 The evidence was clearly more than amply sufficient for the jury to conclude beyond a reasonable doubt that approximately 4,000 pounds spilled into the tank bay. The district court's determination that this undisputed and essentially unchallenged evidence was so weak as to justify a new trial is not supportable (and does not purport to be supported) by considerations of witness demeanor or trial atmospherics. We recognize the district court's especially broad discretion on these matters, but here we are driven to conclude that that discretion was clearly abused. Although we have not previously set aside a new trial granted on such a ground, the Eleventh Circuit has. United States v. Martinez, 763 F.2d 1297, 1312-14 (11th Cir.1985). Cf. United States v. Kuzniar, 881 F.2d 466, 470-71 (7th Cir.1989). 33 80 The grant of new trial to Baytank on count 29 cannot stand. 81
82 We sustain the district court's grant of a new trial to Johnsen, Nordberg, and Gore. However, we reverse the grant of a new trial to Baytank on counts 20 through 24, 27, and 29, as the reasons given are either inapplicable to Baytank, legally erroneous, or, in the case of count 29, constitute a clear abuse of discretion.