Opinion ID: 769887
Heading Depth: 2
Heading Rank: 2

Heading: kelly's appeal

Text: 29 On appeal, Kelly argues: 1) the district court erred by unconditionally admitting into evidence a ledger, address books, and pocket pal prior to making the requisite foundational findings; 2) his right to confrontation was violated by the district court's limitation of cross-examination of two witnesses; and 3) the prosecutor committed prosecutorial misconduct in closing argument by suggesting facts not in the record. We reverse and remand Kelly's case for a new trial. 30
31 Kelly argues that the district court erred in unconditionally admitting into evidence a number of exhibits, including a ledger, address books, and a pocket pal, prior to making required foundational findings. We reject Kelly's contention. 32 We review a district court's evidentiary decisions for abuse of discretion and will reverse only if an error substantially prejudiced the outcome. See United States v. Roach, 164 F.3d 403, 408 (8th Cir. 1998). Under Federal Rule of Evidence 801(d)(2)(E), a statement is not hearsay if made by a coconspirator of a party during the course and in furtherance of the conspiracy. It is well-established that to admit such a statement the government must demonstrate, by a preponderance of the evidence, (1) that a conspiracy existed; (2) that the defendant and the declarant were members of the conspiracy; and (3) that the declaration was made during the course and in furtherance of the conspiracy. United States v. Bell, 573 F.2d 1040, 1043 (8th Cir. 1978). 7 See also United States v. Guerra, 113 F.3d 809, 813 (8th Cir. 1997); United States v. Escobar, 50 F.3d 1414, 1423 (8th Cir. 1995). A district court's determination that these specific conditions have been met is reviewed under the clearly erroneous standard. See United States v. Oseby, 148 F.3d 1016, 1023 (8th Cir. 1998). When determining whether a conspiracy existed, a court may consider the co-conspirator's statement itself. See Bourjaily v. United States, 483 U.S. 171, 181 (1987). 33 On direct examination, Chaffee, the government's first witness, testified that the ledger, a small, spiral notebook, was used by Mitchell to keep track of money owed and paid on methamphetamine sales. She further testified that she had seen him buy the ledger and write in it, she recognized his handwriting, and she wrote in the ledger on occasion at his direction. The writing in the ledger consisted solely of initials, nicknames, and numbers, which Chaffee testified she could decipher. Additionally, Chaffee identified two address books which she testified she had purchased for Mitchell and that he used to keep track of contacts. She testified similarly regarding the pocket pal. The government offered these exhibits into evidence and Kelly's counsel objected on grounds of hearsay, improper foundation, lack of due process, and a violation of the Confrontation Clause. The district court admitted the exhibits without making any foundational findings on the record. Chaffee then continued to testify, indicating that, according to the notations in the ledger, Kelly owed Mitchell $1,500 for methamphetamine purchased. It was only after this testimony that the district court held a sidebar and found: 1) a conspiracy existed; 2) defendants and declarant were arguably a party thereto; and 3) the declarations as to the sale of drugs in the ledger were in furtherance of the conspiracy. 34 Kelly argues that at the time of this admission, the government had established, at most, the existence of a conspiracy, but not his membership therein. Further, Kelly contends that the ledger itself did not establish his membership by a preponderance of the evidence, because the mere existence of TK and Tom next to numbers was insufficient evidence. Thus, Kelly argues that the district court erred when it admitted the evidence. We disagree. 35 The evidence presented to the district court at the time it made its preliminary finding of admissibility demonstrated: Chaffee and Mitchell were engaged in a conspiracy to sell methamphetamine; the ledger itself contained reference, albeit cryptic, to Kelly; the purpose of the ledger was bookkeeping, thus demonstrating that the statements therein were in furtherance of the conspiracy; and Kelly had knowingly 0received methamphetamine from Mitchell. This evidence is sufficient to satisfy the requisite findings. 36 Even if this court were to find the evidence insufficient at the time of admission, any error from premature admission of the exhibits was harmless. We note that the district court eventually made specific findings on the foundational elements, stating: The evidence is clear in this case that a conspiracy did exist, that the defendants and the declarant were part of that conspiracy, and that the statements which were admissible were made in furtherance of the conspiracy. In light of the fact that the evidence would eventually have been admissible 8 and the lack of a showing that the arguably premature admission carried any prejudice, we find any error harmless.
37 Kelly argues that his Sixth Amendment right of confrontation was violated when the district court impermissibly restricted his cross-examination of two witnesses, George Bradstream and Sandra Basham. We agree. 38 The Sixth Amendment guarantees a defendant an opportunity for effective cross-examination of witnesses, including inquiry into motivation and bias. See United States v. Warfield, 97 F.3d 1014, 1024 (8th Cir. 1996). The Confrontation Clause is not, however, without limit; courts retain wide latitude insofar as the Confrontation Clause is concerned to impose reasonable limits on such cross-examination based on concerns about, among other things, harassment, prejudice, confusion of the issues, the witness' safety, or interrogation that is repetitive or only marginally relevant. Delaware v. Van Arsdall, 475 U.S. 673, 679 (1986). See also Harrington v. Iowa, 109 F.3d 1275, 1278 (8th Cir. 1997). A critical factor in determining whether the right to confrontation has been violated is whether defendant had other means available to obtain the same effect as the excluded inquiry. See Warfield, 97 F.3d at 1024 (citing United States v. Campbell, 845 F.2d 782, 788 (8th Cir. 1988)). If a reasonable jury might have received a significantly different impression of a witness' credibility had counsel been permitted to pursue the proposed line of cross-examination, defendant has stated a Confrontation Clause violation. See Harrington, 109 F.3d at 1277. Absent a clear abuse of discretion and a showing of prejudice, we will not reverse a district court's ruling limiting cross-examination of a witness on the basis that it impermissibly infringed upon the defendant's right of confrontation. United States v. Brown, 110 F.3d 605, 611 (8th Cir. 1997). 39 We find the district court's limitation on the cross-examination of each of these two critical witnesses violated Kelly's Sixth Amendment right of confrontation and that such limitation was not harmless. 40 a) Examination of Bradstream 41 On direct examination by the government, Bradstream testified he met Mitchell at Kelly's residence, he initially purchased methamphetamine from Kelly while Mitchell resided at Kelly's house, and he used methamphetamine with Kelly on multiple occasions. Further, he testified he had known Kelly for over twenty years, considered him a friend in the past, and still considered him a friend. On cross-examination, Kelly's attorney attempted to inquire into the scope of this friendship by asking Bradstream whether he had tried to have sex with Kelly's wife. The following exchange occurred: 42 Q. You have told this jury that you still consider [Kelly] to be your friend today, don't you? 43 A. Yes, I do. 44 Q. You are as sure about that as you are about the rest of your testimony? 45 MR. VARGO: Objection, Your Honor; argumentative. 46 THE COURT: I am not sure where you are going, counsel. He has answered your question. 47 . . . . . 48 Q. Now, you tried to have sex with Tom Kelly's wife, didn't you? 49 MR. VARGO: Objection, Your Honor. 50 THE COURT: Sustained. 51 Q. (MR. RENSCH CONTINUING:) Did you ever have any controversy with Tom Kelly about his wife? 52 A. No. 53 Q. Did you ever, while you were drinking, ask [Kelly's] wife to go to bed with you?MR. VARGO: Objection; relevance, Your Honor. 54 THE COURT: Sustained. 55 Q. (MR. RENSCH CONTINUING:) Do you think a friend would try to sleep with a friend's wife? 56 MR. VARGO: Objection, Your Honor. 57 THE COURT: Counsel, I have ruled on that objection twice now. Why do you -- do not persist in that line of questioning. 58 Following this, Kelly's attorney made an offer of proof that Bradstream had testified at the first trial that he had, in fact, asked Kelly's wife to sleep with him. He asserted that this testimony went to Bradstream's motivation and bias. The district court rejected this and disallowed the inquiry, finding that Bradstream had been thoroughly cross-examined on his plea agreement, believability, and his ability to recall events. Further, the district court found that even if the testimony would arguably show bias, its probative value was outweighed by its prejudicial impact. 59 We disagree with the district court. Bradstream's testimony that he still considered Kelly a friend worked to buttress his credibility and create the inference that he had no motivation to lie. We find that impeaching and rebutting this inference was a critical factor in Kelly's defense. The additional information that could have been obtained through cross-examination could substantially have changed the impression the jury had of this important witness. Thus, we find the line of inquiry should have been allowed. In light of the fact that Bradstream was an important government witness, that his testimony regarding his friendship with Kelly bolstered his credibility, and that during the first trial, when the district court allowed the inquiry, a hung jury resulted, this court cannot say that the error was harmless beyond a reasonable doubt. Thus, we find that the district court impermissibly limited cross-examination so as to violate Kelly's Sixth Amendment right to confrontation. 60 b) Examination of Basham 61 On January 23, 1997, Kelly was arrested. Special Agent Sandra Basham of the Drug Enforcement Agency participated in this arrest pursuant to a federal arrest warrant and thereafter conducted a custodial interview of Kelly. Basham testified that Kelly admitted he had pooled money with friends to buy methamphetamine from Mitchell, sold drugs provided, accepted drugs in lieu of rent, handed out envelopes as per Mitchell's instructions, that all his troubles began with Mitchell, and that he knew Mitchell sold methamphetamine out of his garage while living there. On cross-examination, Kelly's attorney asked whether the interview with Kelly had been tape-recorded; Basham responded in the negative. In an attempt to pursue this line of inquiry, the following exchange took place: 62 Q. Do you have access to tape-recording devices in that building if you want them? 63 MR. VARGO: Objection, relevance. 64 THE COURT: Sustained. 65 Q. (MR. RENSCH CONTINUING:) Did you tape-record anything Tom Kelly said that day? 66 MR. VARGO: Objection, relevance. 67 THE COURT: Sustained. 68 Q. (MR. RENSCH CONTINUING:) Other than the report that you have had prepared in this case, are there any transcripts or notes detailing what he said? 69 MR. VARGO: Objection; relevance, Your Honor. 70 THE COURT: Overruled. 71 A. Just the report I wrote. 72 Kelly argues that the ability to tape-record and the conscious choice not to do so were important pieces of information going to the veracity of Basham's written report and the credibility of Basham in general. 9 We agree. 73 Admittedly, cross-examination of Basham did reveal that the written report was the only memorialization of the interview; however, the limited examination could not reveal why no recording occurred. Testimony regarding the decision not to record a statement, despite access to such technology, could significantly alter the jury's perception of the accuracy of the written report and of a witness' credibility in general. This court has recognized that cross-examination of officers on the details of custodial interviews, specifically on whether the officer had access to a tape recorder, whether he or she used it, and the reasoning behind such decision, is important to a defendant's right of confrontation. See United States v. Brown, 110 F.3d 605, 611 (8th Cir. 1997); United States v. Molina, 172 F.3d 1048, 1060 (8th Cir. 1999). Thus, we find the inquiry should have been allowed. 74 In light of the fact that Basham was an important government witness testifying to allegedly inculpatory admissions and that this line of questioning was allowed in the first trial in which a hung jury resulted, we cannot say that the error was harmless beyond a reasonable doubt. Thus, we find that the limitation on cross-examination violated Kelly's Sixth Amendment right to confrontation.
75 Kelly asserts that the prosecutor acted improperly by arguing facts not in the record during closing argument. Prosecutorial misconduct during closing argument may be grounds for reversal of a conviction. See United States v. Norton, 639 F.2d 427, 429 (8th Cir. 1981). Trial courts have broad discretion in controlling closing arguments, and this court will not reverse absent an abuse of discretion. See United States v. Segal, 649 F.2d 599, 604 (8th Cir. 1981). 76 This circuit has set forth a two-part test for reversible prosecutorial misconduct: 1) the prosecutor's remarks or conduct must have been improper; and 2) such remarks or conduct must have prejudicially affected defendant's substantial rights so as to deprive him a fair trial. See United States v. Macklin, 104 F.3d 1046, 1049 (8th Cir.1997); United States v. Hernandez, 779 F.2d 456, 458 (8th Cir.1985). If this court reaches the second step, the factors we consider are: 1) the cumulative effect of the misconduct; 2) the strength of the properly admitted evidence of the defendant's guilt; and 3) any curative actions taken by the trial court. See United States v. Cannon, 88 F.3d 1495, 1502 (8th Cir.1996). The critical question, for purposes of review, is whether the argument of which the defendant complains was so offensive as to deprive the defendant of a fair trial. See United States v. Bohr, 581 F.2d 1294, 1301 (8th Cir. 1978). 77 At trial, the evidence revealed that Kelly was no longer employed as a truck driver, a position he had held for nearly twenty years. On cross-examination, the government asked Kelly whether he lost his job because he failed a drug test. Kelly emphatically denied this. During closing argument the government argued: 78 Let's talk about the statement he made to Agent Basham that All my problems started when I met Pat Mitchell. Ladies and gentlemen, his problems, as he describes them, are $400 debt and a guest who had lived in his house for three months who he didn't really want to live there, and the fact that he had used methamphetamine once with Pat Mitchell. All of this, ladies and gentlemen, took place a little over a year, year and a half, shy of a year and a half before Tom Kelly was arrested and interviewed. How would you say, ladies and gentlemen, that this $400 debt was the beginning of all your problems? All my problems started when I met Pat Mitchell. What problems? It only makes sense, ladies and gentlemen, if your problems that you are referring to are losing your job because you are using meth, not showing up on time when failing your drug test, of course, he denies. We talk about evaluating credibility. 79 Kelly's attorney objected to the reference to the drug testing on the ground that it assumed facts not in evidence. The court responded by stating: 80 Ladies and gentlemen, you are entitled to resolve the facts based upon not only direct evidence, but any logical inference flowing from that evidence. Now, at this time of the trial the government counsel as well as defense counsel when they appear before you are entitled to argue those inferences logically received from the direct evidence, but remember that with any counsel before you, what counsel say is not evidence. You may make your own determination as to what the evidence is and any logical inferences flowing there from. 81 The district court then instructed the government's attorney to proceed. 82 There is no evidence in the record that Kelly lost his job due to a failed drug test. In fact, the only evidence regarding a drug test in relation to Kelly's employment is Kelly's denial that he lost his job due to such test. Further, at oral argument before this court, the government's counsel conceded that while he believed Kelly had failed the test, there was no evidence one way or the other. During closing argument, an attorney's role is to assist the jury in analyzing, evaluating, and applying the evidence. Segal, 649 F.2d at 604. Arguments that transcend such boundaries are improper. See United States v. Risnes, 912 F.2d 957, 960 (8th Cir. 1990). The government's closing argument in this case did more than argue permissible inferences from the evidence, it asserted facts not in evidence and attempted to argue and imply inferences therefrom. This was clearly improper. 83 The government now asserts that even if such argument was improper there was no prejudice. We cannot agree. When we consider the cumulation of error in limiting cross-examination of two critical government witnesses, the improper final argument, and the inadequacy of the district court's instruction to the jury following objection to the improper final argument, we find the errors cannot be said to be harmless. 84 In light of the improper limitation of cross-examination and the improper and prejudicial final argument, we find that Kelly is entitled to a new trial.