Opinion ID: 394080
Heading Depth: 2
Heading Rank: 2

Heading: The Commonwealth's Failure to Disclose Exculpatory Evidence.

Text: 76 Petitioner next contends that the Commonwealth's failure to provide certain materials to defense counsel for use during the trial violated his rights under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963) and United States v. Agurs, 427 U.S. 97, 96 S.Ct. 2392, 49 L.Ed.2d 342 (1976). In Brady, the Supreme Court held that suppression by the prosecution of evidence favorable to an accused upon request violates due process where the evidence is material either to guilt or punishment, irrespective of the good faith or bad faith of the prosecutor. 77 In Agurs, the Court held that the standard to be used in determining whether evidence is material depends upon the circumstances surrounding its non-disclosure. It then articulated three different standards to be applied in specific situations, summarized by this Court as follows: 78 The first is an instance involving a corruption of the truth-seeking function of the trial process. 427 U.S. at 104, 96 S.Ct. at 2397, by prosecutorial misconduct as when the prosecution's case includes perjured testimony and the prosecution knew, or should have known, of the perjury. Recognizing that a conviction obtained by the knowing use of perjured testimony is fundamentally unfair, the Court stated such a verdict must be set aside if there is any reasonable likelihood that the false testimony could have affected the judgment of the jury. Id. This was described as a strict standard of materiality. 79 The second situation arises when the defendant has made a specific request for information and the prosecution has failed or refused to respond to the request, as occurred in Brady. Non-response by the prosecutor in such a case, the Court found, is seldom, if ever, excusable. 427 U.S. at 106 (96 S.Ct. at 2398). Evidence will be deemed material if the suppressed evidence might have affected the outcome of the trial. 427 U.S. at 104 (96 S.Ct. at 2397). 80 Third, when no request is made by defendant, or only a general request is made, information not revealed by the prosecutor will be held to be material only if the omitted evidence creates a reasonable doubt that did not otherwise exist. 427 U.S. at 112 (96 S.Ct. at 2401). The Court stressed that the omission must be evaluated in the context of the entire record. 81 United States v. Imbruglia, 617 F.2d 1, 4-5 (1st Cir. 1980). 82 Among the materials not turned over were some twenty-nine written statements or impressions prepared by Lincoln during the late summer of 1977, describing his participation in arson and other criminal activities. Prior to trial, defense counsel requested and the Commonwealth agreed to furnish statements made by prosecution witnesses in accordance with the requirements of state law. See Commonwealth v. Lewinski, 367 Mass. 889, 329 N.E.2d 738 (1975). 83 After Lincoln testified, the Commonwealth furnished defense counsel with a portion of one of the twenty-nine statements describing Lincoln's involvement with the fire at 62 Louis Prang Street. It did not turn over the remaining statements and defense counsel, though probably aware of the existence of at least some of the statements, 2 did not press his motion to compel their production. 84 After examining all the statements in connection with Zeigler's motion for a new trial, the motion judge concluded that none of the undisclosed statements mentioned either the defendant or the fire at 62 Louis Prang Street; all the statements which related to Lincoln's testimony at trial were disclosed; and the information contained in the undisclosed statements merely corroborated Lincoln's extensive involvement in criminal activity, a fact which was well known to defense counsel prior to trial and freely admitted by Lincoln both on direct and cross-examination. 85 We have reviewed the sixteen statements included in the record on appeal, 3 and agree with the motion judge that the statements were unrelated to the subject matter of Lincoln's testimony. See United States v. Ferreira, 625 F.2d 1030, 1033-34 (1st Cir. 1980) (failure to provide statements unrelated to general context of witness' testimony does not violate due process). The statements contain nothing more than the details of Lincoln's involvement in various unrelated crimes. See United States v. Previte, 648 F.2d 73, 85 (1st Cir. 1981) (failure to furnish cumulative evidence of unrelated crimes by key prosecution witness did not violate Brady). In this regard, we note that counsel for petitioner do not even allege a single inconsistency between anything contained in the statements and Lincoln's testimony at trial. Compare, e. g., Giles v. Maryland, 386 U.S. 66, 74-76, 87 S.Ct. 793, 797-798, 17 L.Ed.2d 737 (1967) (where critical issue in the case turned wholly upon credibility of important government witness, failure to disclose reports containing, inter alia, prior inconsistent statements which could have been used to effectively impeach credibility may constitute denial of due process). 86 Petitioner argues that the statements are material because they allegedly contain information which would have provided a factual basis upon which defense counsel might have requested a so-called perjurer instruction. 4 Petitioner cites only one case, United States v. Projansky, 465 F.2d 123, 136 (2d Cir.), cert. denied, 409 U.S. 1006, 93 S.Ct. 432, 34 L.Ed.2d 299 (1972), in support of this contention. In Projansky, the Second Circuit held that the trial court did not err in instructing the jury that they could accept or reject the testimony of a government witness who admitted having committed perjury on prior occasions. 465 F.2d at 136 and n.24. We frankly cannot see how such an instruction, as compared to the one given in this case, could have materially affected the jury's assessment of Lincoln's credibility. 5 87 In any event, the record indicates that Lincoln's prior acts of perjury were matters of public record by the time of Zeigler's trial. During the hearing, Lincoln freely admitted having committed perjury on numerous occasions. Had he been asked these questions at trial, Lincoln would presumably have given identical answers. The entire record reveals that Lincoln made no effort to conceal his past crimes and other bad acts, but admitted them candidly. 88 Concededly, evidence that tends to impeach the credibility of a government witness falls within the scope of the Brady rule. See Giglio, 450 U.S. at 154, 92 S.Ct. at 766; Woodcock v. Amaral, 511 F.2d at 990, n.5; but see Garrison v. Maggio, 540 F.2d 1271, 1274 (5th Cir.), reh. denied, 544 F.2d 518, cert. denied, 431 U.S. 940, 97 S.Ct. 2655, 53 L.Ed.2d 258 (1977) (Fifth Circuit applies a more rigorous standard of materiality where evidence is useful only for impeachment). Where it is merely cumulative, however, courts generally reject the contention that such evidence is material. See Giles v. Maryland, 386 U.S. 66, 98, 87 S.Ct. 793, 809, 17 L.Ed.2d 737 (1967) (Fortas, J., concurring); United States v. Imbruglia, 617 F.2d at 7; United States v. Shelton, 588 F.2d 1242, 1248 (9th Cir. 1978), cert. denied, 442 U.S. 909, 99 S.Ct. 2822, 61 L.Ed.2d 275 (1979). This is true even where there has been a specific defense request for the information, see DeMartino v. Weidenburner, 616 F.2d 708, 710-13 (3d Cir. 1980), and the information, if disclosed, could have been used to impeach a key prosecution witness, see United States v. Previte, 648 F.2d at 85; United States v. Goldberg, 582 F.2d 483, 490 (9th Cir. 1978), cert. denied, 440 U.S. 973, 99 S.Ct. 1538, 59 L.Ed.2d 790 (1979) (prior history omitted); Lewinski v. Ristaino, 448 F.Supp. 690, 694-96 (D.Mass.1978), so long as the defense had an adequate opportunity to impeach the witness by other means. 89 Although Lincoln's credibility was not the most critical issue in this case, his credibility was thoroughly impeached on cross-examination by competent counsel. The information contained in the undisclosed statements did not relate to the substance of Lincoln's testimony. It was merely cumulative impeachment evidence and much of it was obviously known to defense counsel prior to trial, as it was extensively covered on cross-examination and in argument. Under these circumstances, even assuming the defense request for the statements was sufficiently specific to trigger the more rigorous standard of materiality set forth in Agurs, 427 U.S. at 104, 96 S.Ct. at 2397, we cannot say that the statements might have affected the outcome of the trial. 6 90 Petitioner next challenges the Commonwealth's failure to turn over a psychological evaluation of George Lincoln prepared by Dr. Samuel Allen of the Massachusetts Correctional Institution at Bridgewater in January, 1969. The letter advised the presiding judge in an unrelated state prosecution that, as a result of observation and testing, it was the opinion of the MCI-Bridgewater staff that Lincoln was competent to stand trial. After describing his educational background, work experience, prior hospitalizations, and a drinking problem which Lincoln claimed to have overcome, the letter stated: 91 During his current period of observation, patient has been cooperative and oriented in all spheres. His insight and judgment were somewhat impaired. At times he smiled inappropriately and his affect was shallow. He appears to function on an average level of intelligence, but there is a noticeable paranoid coloring to most of his responses. 92 It is the opinion of the staff that at present, patient evidences no signs of an overt psychosis. He knows the nature and object of his charges and appears able to assist counsel in his own defense. Therefore, his return to court as competent to stand trial is recommended. 93 The letter concluded by indicating a diagnosis of Paranoid Personality. 94 Petitioner contends that, had it been made available to defense counsel before or during his trial, the Bridgewater letter would have provided a springboard for an otherwise undeveloped line of impeachment. 7 95 Since petitioner's trial counsel never specifically requested mental records or psychological evaluations of Lincoln or any other prosecution witness, 8 the Bridgewater letter can be regarded as material within the meaning of Brady and Agurs only if it creates a reasonable doubt that did not otherwise exist. Even if Lincoln's credibility had been the critical issue in the case we doubt that the letter would satisfy this standard. 96 In Chavis, supra, the Fourth Circuit held that the prosecution's failure to provide defense counsel with a psychiatric evaluation of its key witness violated the defendants' due process rights. Prior to trial, defense counsel had specifically requested any and all scientific or medical, psychiatric or other reports which might tend to reflect on the credibility or competence of any ... witness. 637 F.2d at 220. The report in Chavis, prepared under circumstances virtually identical to those in the instant case, described the witness as borderline defective, and, the court reasoned, may have some bearing on (the witness') ability to recall in minute detail events that occurred at least one and one-half years prior to the time he was testifying. Id. 97 Nevertheless, despite the fact that the state's case depended entirely on the credibility of the witness in question, 637 F.2d at 224, n.6, the court indicated that it would not have regarded the psychological report as material if defense counsel had made only a general request for it. The court stated: 98 As we see it, the only problem that non-production of the hospital report presents is the test to be applied in determining if petitioners were denied due process. If defense counsel made only a general request for exculpatory material, we do not think that the Agurs test was satisfied because we cannot say that, standing alone, the effect of the hospital report on Hall's credibility would create a reasonable doubt of guilt where one did not theretofore exist. 99 637 F.2d at 224. The court then analyzed the request in Chavis; found it specific enough to trigger the more rigorous standard of materiality; and concluded that the report was material. 100 As indicated above, we do not regard Lincoln's credibility as having the same degree of importance as that of the government's witness in Chavis. Accordingly, we need not decide whether we would reach the same conclusions as the Fourth Circuit if presented with a more closely analogous fact situation. We rule only that in the circumstances of this case, the district court did not err in concluding that the Bridgewater letter did not create a reasonable doubt that did not otherwise exist. See United States v. Previte, 648 F.2d at 85; United States v. Imbruglia, 617 F.2d at 6-7; United States v. Shelton, 588 F.2d at 1248. 101 Zeigler's most troublesome claim based on the Commonwealth's non-disclosure of allegedly exculpatory evidence is that the failure to provide defense counsel with a portion of James DeFuria's grand jury testimony violated his rights under Brady and Agurs. DeFuria was the state police lieutenant assigned to investigate the fire at 62 Louis Prang Street. He testified before a grand jury that the fire was of undetermined cause; that he never told Lincoln it was a clear case of arson; that he never received any money from Zeigler in return for not charging him with crimes arising out of the December 7 fire; that Zeigler had taken and passed a polygraph test; and that Lincoln never introduced him to anyone at the South Boston Savings Bank. 102 Prior to trial, defense counsel filed a motion to inspect the minutes of the grand jury that indicted Zeigler. Thereafter, the Commonwealth provided defense counsel with the grand jury minutes of those witnesses who were to testify against Zeigler at trial. At a subsequent hearing on that and other discovery motions, counsel waived his request to inspect the grand jury minutes. At the time of the waiver, the record indicates defense counsel knew that DeFuria had testified before the grand jury. He also knew that DeFuria denied any involvement in the fire at 62 Louis Prang Street. Accordingly, in determining whether the DeFuria testimony was material exculpatory evidence and should have been turned over, we must apply the standard governing material covered by either a general defense request for exculpatory evidence or no request, i. e., whether the omitted evidence creates a reasonable doubt that did not otherwise exist. Agurs, 427 U.S. at 112, 9 96 S.Ct. at 2401. 103 In reaching the conclusion that the transcript of DeFuria's grand jury testimony was not material, both the new trial motion judge and the district court below assumed without discussion that, had it been available, the transcript would not have been admissible at trial, presumably on hearsay grounds. Since defense counsel was aware of the substance of DeFuria's testimony the courts below concluded, and the Commonwealth argues here, the defense was in no way prejudiced by not having the actual transcript. 104 Were we to agree that the transcript would have been inadmissible, we would not hesitate to conclude that Zeigler was in no way prejudiced. See United States v. DeLeo, supra, 422 F.2d at 498-99. However, under certain circumstances, some courts have admitted grand jury testimony of a witness who, for one reason or another, was unavailable at trial. Compare United States v. Garner, 574 F.2d 1141, 1144 (4th Cir.), cert. denied, 439 U.S. 936, 99 S.Ct. 333, 58 L.Ed.2d 333 (1978); and United States v. Carlson, 547 F.2d 1346, 1353-55 (8th Cir.), cert. denied, 431 U.S. 914, 97 S.Ct. 2174, 53 L.Ed.2d 224 (1977) (grand jury testimony admitted at request of prosecution), with United States v. Henry, 448 F.Supp. 819, 821 (D.N.J.1978); and United States v. Driscoll, 445 F.Supp. 864, 866 (D.N.J.1978) (grand jury testimony admissible on motion of defense counsel under prior testimony exception to hearsay rule). See also United States v. Klauber, 611 F.2d 512, 516-17 (4th Cir.), cert. denied 446 U.S. 908, 100 S.Ct. 1835, 64 L.Ed.2d 261 (1980). In addition, this Court has ruled that a witness who invokes the Fifth Amendment and refuses to testify is unavailable within the meaning of Federal Evidence Rule 804, the applicable federal provision. United States v. Zurosky, 614 F.2d 779, 792 (1st Cir.), cert. denied, 446 U.S. 967, 100 S.Ct. 2945, 64 L.Ed.2d 826 (1980). 105 Although the Massachusetts Supreme Judicial Court has not conclusively determined the circumstances under which it will allow a defendant to introduce the prior grand jury testimony of a witness unavailable at trial, it has by no means adopted a uniform rule of exclusion. See Commonwealth v. Meech, --- Mass. ---, 1980 Mass.Adv.Sh. 1065, 403 N.E.2d 1174, 1178 (1980) (court acknowledged existence of substantial support for admissibility of grand jury transcripts under prior recorded testimony exception); Commonwealth v. Shagoury, --- Mass.App. ---, 1978 Mass.App.Ct.Adv.Sh. 927, 380 N.E.2d 708, 715-716 (1978) (court assumed admissibility of grand jury transcript). 106 Assuming the admissibility of the grand jury transcript, the critical question is whether it creates a reasonable doubt that did not otherwise exist. The district court correctly observed that the fact that Zeigler had taken and passed a polygraph test was known to defense counsel, was testified to at trial, and was stricken from the record at the request of the defense. Defense counsel apparently was not aware that DeFuria had denied being introduced to South Boston Savings by Lincoln. However, we agree with the district court that this evidence could not have had more than a de minimis effect on the trial, either as substantive or impeachment evidence. The only portion of the transcript which troubles us, therefore, is that in which DeFuria claimed the fire was of undetermined cause and denied receiving a bribe to cover up the true cause. 107 Concededly, the Commonwealth introduced evidence from which the jury could have concluded that Zeigler bribed DeFuria to falsify his official report as to the cause of the fire. DeFuria's grand jury testimony, if believed, would have contradicted Lincoln's testimony about DeFuria's involvement in the alleged coverup, thereby weakening this aspect of the Commonwealth's case. Even under these circumstances, however, there was ample evidence, unrebutted by DeFuria's grand jury testimony, upon which the jury could have concluded that Zeigler was responsible for the fire. Cf. United States v. Zicree, 605 F.2d 1381, 1389-90 (5th Cir. 1979), reh. denied, 609 F.2d 826, cert. denied sub nom. Kaufman, et al. v. United States, 445 U.S. 966, 100 S.Ct. 1656, 64 L.Ed.2d 242 (1980) (newly discovered grand jury testimony of witness who refused to testify at trial not regarded as material where, inter alia, testimony did not contradict the critical incriminating testimony of trial witnesses). 108 Moreover, we are unable to concede that the jury would have believed DeFuria's self-serving account of his involvement in the cover-up. Since any admission on his part would have exposed him to potential criminal prosecution, DeFuria had an obvious motive to lie to the grand jury. That incentive was even greater in this instance because the fire had resulted in a death. Shortly after testifying before the grand jury, DeFuria was indicted and convicted on numerous arson and bribery charges. During petitioner's trial, the jury learned that DeFuria was incarcerated, and that Sheehan had been convicted of bribing DeFuria in several unrelated cases. Doubtless, all of these facts would have seriously undermined DeFuria's credibility in absentia had the grand jury testimony been admitted. 109 Considering the record as a whole, including the fact that the substance of DeFuria's grand jury testimony was known to defense counsel, we are unable to conclude that the DeFuria transcript, had it been provided to defense counsel and admitted into evidence would have created a reasonable doubt as to the petitioner's guilt. Cf. United States v. Shelton, 588 F.2d at 1248-49. 10 110