Opinion ID: 461235
Heading Depth: 2
Heading Rank: 1

Heading: Government Overreaching or Entrapment?

Text: 21
22 Among their numerous contentions, the defendants urge two related but distinct defenses. These are based on the concept of entrapment which has been fleshed out in several United States Supreme Court and federal circuit court cases. Hampton v. United States, 425 U.S. 484, 96 S.Ct. 1646, 48 L.Ed.2d 113 (1976); United States v. Russell, 411 U.S. 423, 93 S.Ct. 1637, 36 L.Ed.2d 366 (1973); Sherman v. United States, 356 U.S. 369, 78 S.Ct. 819, 2 L.Ed.2d 848 (1958); Sorrells v. United States, 287 U.S. 435, 53 S.Ct. 210, 77 L.Ed. 413 (1932); United States v. Gray, 626 F.2d 494 (5th Cir.1980), cert. denied, 449 U.S. 1091, 101 S.Ct. 887, 66 L.Ed.2d 820 (1981); United States v. Graves, 556 F.2d 1319 (5th Cir.1977), cert. denied, 435 U.S. 923, 98 S.Ct. 1485, 55 L.Ed.2d 516 (1978). In his pretrial motion to dismiss, defense counsel advanced the argument that outrageous governmental misconduct in the enforcement of the criminal laws invalidated an indictment that results from such an investigation regardless of the defendant's predisposition to commit the crime. The district court reserved its ruling on this motion until hearing further evidence during the trial itself that might be probative on the issue of government overreaching. On the thirteenth day of trial, the district court denied defendant's motion to dismiss for government overreaching. 23 Although a ruling of this type is a matter of law to be decided by the district court, it must necessarily be based on factual findings made by the judge trying the case. This presents a question of mixed law and fact. After reviewing the record evidence we cannot say that the factual basis of the district court's ruling was clearly erroneous nor do we find government overreaching as a matter of law. 4 While the government's conduct might shock some sensibilities, we must evaluate it in light of the undercover activity necessary to the enforcement of the criminal laws. Under these circumstances, we do not find the government's conduct sufficiently outrageous to warrant dismissal of the indictment as a matter of law. 5 24
25 Although defendants contend that the jury charge on entrapment was defective, we note that the jury did not find for defendants on the issue of entrapment. 26 Defendants level two arguments against the jury finding of no entrapment. First, defendants contend that the district court erroneously allowed hearsay statements relating to the defendants' predisposition to criminal activity into evidence. The second, briefly mentioned previously, concerns a defective jury instruction on entrapment. We will address the hearsay complaint first. 27
28 During his examination, Agent Paige made several non-elicited responses regarding prior unlawful acts of one or more of the defendants. Once, Paige testified that he had viewed a photograph of defendant Nixon in a DEA file, and he alluded to other investigations by the DEA concerning defendant Burchard. The district judge instructed the witness to limit his answers to the questions asked. But Paige also testified about statements by defendant Nixon that elaborated on prior drug smuggling and drug transporting ventures of the defendants. The district court overruled the objections to this testimony. 29 Defendants rely on United States v. Webster, 649 F.2d 346 (5th Cir.1981) (en banc), which prohibited the practice of allowing gross hearsay statements into evidence to prove defendants' predisposition because this practice resulted, in the very evils that the rule against hearsay was designed to prevent and that it was difficult to envision, a situation where the disparity between the probative value and prejudicial effect of evidence is greater. 649 F.2d at 350 (footnotes omitted). 30 However, Webster should not be read as broadly as defendants would like. Webster does not prohibit the use of hearsay evidence per se. It held that, hearsay evidence is only admissible in an entrapment case under the usual rules relating to hearsay, so that hearsay may not be introduced as evidence of predisposition. 649 F.2d at 347 (emphasis added). Defendant Nixon's statements to Agent Paige about prior drug smuggling activities fall under the rule of admissions by a party opponent, which are deemed non-hearsay. Fed.R.Evid. 801(d)(2). Moreover, even though Webster placed limits on the type of evidence that can be used to prove predisposition, a defendant who asserts entrapment as a defense exposes himself to a searching inquiry into his own conduct and predisposition.... Sorrells, 287 U.S. at 451, 53 S.Ct. at 216; United States v. Dickens, 524 F.2d 441, 444 (5th Cir.1975), cert. denied, 425 U.S. 994, 96 S.Ct. 2208, 48 L.Ed.2d 819 (1976). It may have been error for Agent Paige to make references about his familiarity with some of the defendants through other DEA files and investigations, but we find that the trial judge, upon objection by defense counsel, adequately cautioned the witness. The prejudicial effect, if any, would not have justified a mistrial and does not, on appeal, amount to reversible error. 31
32 When a defendant raises the defense of entrapment, he must present a prima facie case that the government's conduct created a substantial risk that the offense would be committed by a person other than one ready to commit it. Pierce v. United States, 414 F.2d 163, 168 (5th Cir.), cert. denied, 396 U.S. 960, 90 S.Ct. 435, 24 L.Ed.2d 425 (1969). It then becomes the government's burden to prove beyond a reasonable doubt that the defendant was predisposed to commit the charged offense. Id. The defendants were allowed to submit to the jury the issue of entrapment. They claim, however, that the charge was fatally defective. 33 Defendants contend that case law requires a charge to tell the jury two things: what the quantum of proof required is and that the government bears the burden of proof. 6 Further, they argue that this Circuit follows a per se rule of reversible error if one or both of these elements is missing from the jury charge. We disagree. 34 Although defendants correctly note that the charge on entrapment does not specifically tell the jury that the burden of proof falls on the government, it avoids the error that was at issue in Notaro v. United States, 363 F.2d 169 (9th Cir.1966) and United States v. Wolffs, 594 F.2d 77 (5th Cir.1979), on which defendants rely. 35 In Notaro, the Ninth Circuit approved the first paragraph of the charge on entrapment, which is almost identical to the first paragraph in this case, but disapproved of the second paragraph for several reasons. 7 The court found it reasonably probable that the wording of the charge confused the jurors about which party carried the burden of proof on this defensive issue. It also found that by the wording of the instruction the jury was not permitted to acquit the accused unless it should find from the evidence that the necessary elements of the defense existed. 363 F.2d at 176. This imposed a heavier burden on the accused than was allowable because he was entitled to be acquitted if from the evidence the jury retained a reasonable doubt that the elements of the defense of entrapment had been excluded. Id. Thus, despite the court's obligation to evaluate the instructions in their entirety, it was compelled to hold that charge fatally defective, notwithstanding that the general instructions properly placed the burden of proof on the government. Notaro, 363 F.2d at 175-76. 36 Wolffs adopted the rule of Notaro on this issue, 594 F.2d at 82, and found the instruction in Wolffs, which was even more egregious than the one in Notaro, fatally defective also. 8 The instruction in Wolffs made absolutely no mention of the quantum of proof required (beyond a reasonable doubt) or upon which party the burden of proof fell. Yet the court in Wolffs did not stop after finding the instruction defective; it went on to make the statement that the instruction must apprise the jury that the burden is on the government, 9 even though the Notaro instruction did not contain such a statement. 10 This statement occurs after the court finds the instruction defective based on Notaro; therefore, the statement is dicta because it was not necessary to the decision. While the instruction given in this case does not comply with the dicta in Wolffs, the instruction does cure the defect that concerned the court in Notaro. 37 Moreover, the general rule in this Circuit regarding the adequacy of jury instructions requires us to view the court's charge as a whole and determine whether it clearly instructs the jurors as to the principles of laws which they are to apply in deciding the factual issues before them. United States v. Cronin, 717 F.2d 164, 170 (5th Cir.1983), cert denied, --- U.S. ----, 104 S.Ct. 3586, 82 L.Ed.2d 884 (1984). We find that the charge as given, unmistakingly apprises the jury of both the quantum of proof and upon whom the burden falls. The charge does not ramble or appear confused, and references to the reasonable doubt standard in the entrapment portion of the charge make it obvious who had the burden of proof. 11 Also, the court's general charge, which admonishes the jury several times that the government has the burden to prove guilt beyond a reasonable doubt, cures any deficiency that the instruction on entrapment may contain. 38