Opinion ID: 604198
Heading Depth: 2
Heading Rank: 1

Heading: Appellant Hoac

Text: 7 At trial Hoac sought to prove that he lacked knowledge of the heroin by introducing the testimony of Dr. Timothy Law, a clinical forensic psychologist who had examined Hoac on two occasions. The district court conducted a voir dire examination of Dr. Law to ascertain the substance of his testimony. Dr. Law proposed to give his opinion regarding Hoac's intellect and general naivete and to testify about how Chinese cultural factors might lead Hoac to travel long distances for legitimate business dealings. The district court rejected Dr. Law's proposed testimony, stating: 8 It seems to me that allowing testimony of this nature, that is the doctor's opinion after two relatively brief meetings, that the defendant struck him as being naive, it would not materially assist the jury with respect to the issues at hand and that Rule 403 would compel its exclusion because it would inject collateral matters with weak probative value and the effect would be to likely to [sic] create collateral issues and jury confusion. So, I am going to reject it. 9 Hoac argues that the district court's exclusion of Dr. Law's testimony was an abuse of discretion. 10 A qualified expert witness may testify if the witness' specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue. Fed.R.Evid. 702; United States v. Peralta, 941 F.2d 1003, 1009 (9th Cir.1991), cert. denied, --- U.S. ----, 112 S.Ct. 1484, 117 L.Ed.2d 626 (1992). Otherwise admissible expert testimony may be excluded under Fed.R.Evid. 403 if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or undue delay. A trial court's exclusion of expert testimony is reviewed for manifest error or abuse of discretion. United States v. Rubio-Villareal, 927 F.2d 1495, 1502 (9th Cir.1991), vacated in part on other grounds, 967 F.2d 294 (9th Cir.1992) (en banc); United States v. Brodie, 858 F.2d 492, 495 (9th Cir.1988). 11 Dr. Law had not performed any formal testing on Hoac and had spoken with him on only two occasions lasting approximately one hour each. Dr. Law's knowledge about Hoac thus was limited and it is unlikely that his testimony would have helped the jury. See United States v. Barnard, 490 F.2d 907, 913 (9th Cir.1973) (no abuse of discretion in excluding expert testimony where expert's knowledge was limited), cert. denied, 416 U.S. 959, 94 S.Ct. 1976, 40 L.Ed.2d 310 (1974). Exclusion of the testimony was not manifest error or an abuse of discretion. See Rubio-Villareal, 927 F.2d at 1502 (no abuse of discretion in excluding expert testimony on Mexican culture as relating to defendant's conduct); United States v. Benveniste, 564 F.2d 335, 339 (9th Cir.1977) (no abuse of discretion in excluding expert psychiatric testimony on defendant's lack of predisposition to commit criminal offense).
12 In his rebuttal argument, the prosecutor stated to the jury: 13 [Hoac's defense counsel] said that the defendant Hoac was used by others. That he was an innocent dupe.... And yet, [Hoac] never said that. He never said he was an innocent dupe. He was fully explained that he was being arrested for narcotics trafficking and he revealed his role. He never said that. He never said that the reason that there was counter surveillance driving is because he didn't know who was behind him. That was argument of counsel. Later, the prosecutor stated: 14 [Hoac] knew exactly what he was doing and he was told what he was being charged with, and he never said, 'Well, I didn't know it was drugs.' He explained his role. 15 Hoac alleges that these comments violated his Fifth Amendment rights by referring to his failure to testify and his post-arrest, post-Miranda silence. 16 The standard of review for prosecutorial comment on a defendant's failure to testify or post-arrest silence is unclear. Compare United States v. Mares, 940 F.2d 455, 461 (9th Cir.1991) (claim that prosecutor's closing argument violated defendant's Fifth Amendment rights is reviewed de novo) and United States v. Schuler, 813 F.2d 978, 980 (9th Cir.1987) (same) with United States v. Diaz, 961 F.2d 1417, 1418 (9th Cir.1992) (admission of comments on post-arrest silence in closing argument after objection is reviewed for abuse of discretion) and United States v. Makhlouta, 790 F.2d 1400, 1403 (9th Cir.1986) (prosecutorial comment on partial post-arrest silence in closing argument reviewed for plain error where no objection made at trial). We need not attempt to reconcile these cases, however, because the prosecutor's comments were permissible under either a de novo or an abuse of discretion standard. 17 The use for impeachment purposes of a defendant's silence at the time of arrest and after receiving Miranda warnings violates due process. Doyle v. Ohio, 426 U.S. 610, 619, 96 S.Ct. 2240, 2245, 49 L.Ed.2d 91 (1976). However, 18 a defendant who voluntarily speaks after receiving Miranda warnings has not been induced to remain silent. As to the subject matter of his statements, the defendant has not remained silent at all.... 19 .... 20 ... Each of two inconsistent descriptions of events may be said to involve 'silence' insofar as it omits facts included in the other version. But Doyle does not require any such formalistic understanding of 'silence'.... 21 Anderson v. Charles, 447 U.S. 404, 408-09, 100 S.Ct. 2180, 2182, 65 L.Ed.2d 222 (1980) (per curiam). Thus the government may properly point out inconsistencies between a defense presented at trial and a statement given after arrest. United States v. Ochoa-Sanchez, 676 F.2d 1283, 1286 (9th Cir.) (prosecutor may probe all relevant evidence bearing on credibility, including all post-arrest statements and the surrounding circumstances under which they were made, including defendant's failure to provide critical details), cert. denied, 459 U.S. 911, 103 S.Ct. 219, 74 L.Ed.2d 174 (1982); accord Diaz, 961 F.2d at 1418-19; Makhlouta, 790 F.2d at 1403-05. This rationale applies even when the defendant does not testify at trial. See Klepper v. United States, 331 F.2d 694, 701 (9th Cir.1964). 22 Here, defense counsel presented Hoac's version of events in opening and closing arguments. Hoac's post-arrest statements meet the Ochoa-Sanchez requirement of being arguably inconsistent with the defense presented at trial, see Diaz, 961 F.2d at 1419; Makhlouta, 790 F.2d at 1404, notwithstanding that such defense reached the jury's ears through defense counsel rather than the defendant. The government properly responded to defense counsel's argument by referring to Hoac's post-arrest statement. 23 Nor did the prosecutor's comments impermissibly refer to Hoac's failure to testify. While the Fifth Amendment prevents a prosecutor from commenting on an accused's decision not to testify at trial, see Griffin v. California, 380 U.S. 609, 615, 85 S.Ct. 1229, 1233, 14 L.Ed.2d 106 (1965), a prosecutorial statement is only impermissible  'if it is manifestly intended to call attention to the defendant's failure to testify, or is of such a character that the jury would naturally and necessarily take it to be a comment on the failure to testify.'  Lincoln v. Sunn, 807 F.2d 805, 809 (9th Cir.1987). Moreover, reversal is warranted only  'where such comment is extensive, where an inference of guilt from silence is stressed to the jury as a basis for the conviction, and where there is evidence that could have supported acquittal.'  Id. (quoting Anderson v. Nelson, 390 U.S. 523, 524, 88 S.Ct. 1133, 1134, 20 L.Ed.2d 81 (1968) (per curiam)). 24 The comments to which Hoac objects all referred to what he said or did not say at the time he was arrested, and were in no way phrased to comment on his failure to take the stand or produce evidence at trial. Nor were the prosecutor's comments extensive or heavily emphasized. [W]hen taken in context and fairly construed, the comments do not appear to have been manifestly intended or to have been of such a character that the jury would necessarily take them as a comment on [Hoac's] failure to testify. United States v. Soulard, 730 F.2d 1292, 1307 (9th Cir.1984).
25 At trial Royal Hong Kong Police Officer Ng, who took Chan's statements, testified that Chan had said that he sent the shipment of heroin to Bea Kea Hong Imports. Over defense counsel's objection, the prosecution introduced Chan's handwritten note indicating that the shipment was going to Bea Kea Hong Imports, 1301 South Fremont Avenue, Alhambra, California. Chan never took the stand, and the court instructed the jury that these statements were only admissible against Chan. Hoac argues that the admission of this evidence violated his Sixth Amendment right of confrontation under Bruton v. United States, 391 U.S. 123, 88 S.Ct. 1620, 20 L.Ed.2d 476 (1968). Alleged Bruton violations are reviewed de novo. Herd v. Kincheloe, 800 F.2d 1526, 1529 (9th Cir.1986). 26 In Bruton, the Supreme Court held that the introduction of a nontestifying codefendant's confession violates a defendant's Sixth Amendment right of confrontation, even if the judge instructs the jury that the confession is admissible only against the nontestifying codefendant. Bruton, 391 U.S. at 135-36, 88 S.Ct. at 1627-28. In Richardson v. Marsh, 481 U.S. 200, 107 S.Ct. 1702, 95 L.Ed.2d 176 (1987), the Court limited Bruton to confessions that are facially incriminating, reasoning: 27 [I]n this case the confession was not incriminating on its face, and became so only when linked with evidence introduced later at trial (the defendant's own testimony). 28 Where the necessity of such linkage is involved, it is a less valid generalization that the jury will not likely obey the instruction to disregard the evidence. Specific testimony that the defendant helped me commit the crime is more vivid than inferential incrimination, and hence more difficult to be thrust out of mind. 29 Id. 481 U.S. at 208, 107 S.Ct. at 1707 (footnote omitted). In accordance with Richardson, this court has held that a codefendant's statement that does not incriminate the defendant unless linked with other evidence introduced at trial does not violate the defendant's Sixth Amendment rights. United States v. Sherlock, 865 F.2d 1069, 1080 (9th Cir.1989), amended, 962 F.2d 1349 (9th Cir.), cert. denied, --- U.S. ----, 113 S.Ct. 419, 121 L.Ed.2d 342 (1992). 30 In this case, Chan's confession and note never mentioned Hoac by name; rather, they revealed that Chan shipped the lychee nuts to a certain address in Alhambra, California, which address was linked to Hoac by other evidence. Moreover, the confession and note were not incriminating even when such linkage was established. Hoac never contested that he received the shipment of lychee nuts, but only contended that he was unaware of the contents; Chan's statements led to no inference that Hoac had knowledge of the heroin. Under Richardson, the introduction of Chan's statements was not a violation of Hoac's Sixth Amendment rights.
31 Hoac argues that the district court erred in failing to reduce his base offense level by two as a minor participant pursuant to § 3B1.2(b) of the Sentencing Guidelines. A defendant must prove his status as a minor participant by a preponderance of the evidence. United States v. Howard, 894 F.2d 1085, 1090 (9th Cir.1990). Because a defendant's role in the offense is a factual conclusion rather than a legal one, United States v. Sanchez-Lopez, 879 F.2d 541, 557 (9th Cir.1989), we review the district court's finding that Hoac was not a minor participant for clear error. United States v. Peters, 962 F.2d 1410, 1414 (9th Cir.1992). 32 Guidelines § 3B1.2 provides for a two-level reduction in the base offense level if the defendant was a minor participant in the offense and a four-level reduction if he was a minimal participant. The Application Notes define a minor participant as any participant who is less culpable than most other participants, but whose role could not be described as minimal. U.S.S.G. § 3B1.2, Application Note 3. The downward adjustment for minor or minimal participants is to be used infrequently. United States v. Gillock, 886 F.2d 220, 222 (9th Cir.1989) (per curiam). 33 Hoac describes himself as a courier and argues that he is therefore entitled to a reduction in base offense level as a minor participant. The record contains ample evidence to support the view that Hoac was more than a mere courier. He owned the trading company and leased the warehouse to which the drugs were delivered, attended two foreign meetings to discuss the shipment with his coconspirators, and was paid a substantial sum for his participation. Because we conclude that Hoac's involvement in the offense was greater than that of a courier, we do not reach the issue of whether one who is solely a courier is automatically entitled to a reduction of his base offense level as a minor participant. See United States v. Flores-Payon, 942 F.2d 556, 561 (9th Cir.1991); United States v. Rigby, 896 F.2d 392, 395 (9th Cir.1990). 2 34 Hoac also argues that the district court should have found him to be a minor participant because he had no ownership interest in the narcotics in his possession. We reject this argument. Hoac received and transported the narcotics in exchange for substantial compensation. Moreover, we have held that a defendant is not entitled to minor participant status merely because he may be less culpable than his codefendants. United States v. Andrus, 925 F.2d 335, 337 (9th Cir.), cert. denied, --- U.S. ----, 112 S.Ct. 249, 116 L.Ed.2d 204 (1991); United States v. Rexford, 903 F.2d 1280, 1282 (9th Cir.1990). The district court's finding that Hoac was not a minor participant was not clearly erroneous.