Opinion ID: 382090
Heading Depth: 1
Heading Rank: 2

Heading: The Government's Motions to Dismiss

Text: 16 Prior to the start of the afternoon session on the fourth day of the trial, the government requested and was granted a dismissal of its case against one of the defendants-Brown. This was done in open court in the presence and hearing of the jury. No motions were made at that time by any of the remaining defendants and the trial continued on as usual throughout the remainder of the day. The following morning, before testimony was resumed, but again in the presence of the jury, the government moved to dismiss defendant DeLa Rosa. At this time DeLucca's attorney requested a bench conference and moved for a mistrial, citing as grounds the unusual and irregular manner in which the government chose to dismiss Brown and DeLa Rosa. The other defense attorneys joined in this motion. Neither DeLucca's attorney nor any of the other defense attorneys requested that a curative charge be given, maintaining instead that the prejudicial effect caused by dismissing two of the five defendants caused irreparable harm. The experienced trial judge, who had heard all of the evidence up to that time, and was in a position to observe the jury and the overall posture of the case, saw no prejudicial effect on the jury as to the remaining defendants and promptly denied the motion for a mistrial without giving any instruction to the jury. 17 Defendants argue on appeal that their case was severely prejudiced by the government's actions and that, as a result, it should be reversed. Indeed, there is potential prejudice inherent in the motions to dismiss because of the implications cast upon the defendant's rights. While one person's guilt or innocence may not be used as substantive evidence for the guilt of another, and should not reflect in any way on the question of guilt, the potential nevertheless exists. See e. g., United States v. Fleetwood, 528 F.2d 528, 532 (5th Cir.1976); United States v. King, 505 F.2d 602, 607 (5th Cir.1974); United States v. Baete, 414 F.2d 782, 783 (5th Cir.1969). It is not at all uncommon for one or more of multiple defendants to enter guilty pleas during a trial or for the Government to move for dismissal of its case against one or more defendants, as was done here. In fact, the government has a duty to dismiss as to any defendant as soon as it finds that the evidence as to any of the defendants is insufficient to support a conviction. Of course, the dismissal of one or more defendants should not be used by the government in any way to directly or impliedly suggest to the jury that the remaining defendants are guilty. We do not find from the record that the government did anything other than to ask for a dismissal promptly upon making a determination that the evidence was not sufficient to justify a conviction. The court can discern no ulterior motive implicit in the government's motion. 18 It should be emphasized that because of the defense's trial tactics, they deliberately refused to ask the court for a cautionary jury instruction. The trial judge, in his discretion, could have done so, but declined. Therefore, on appeal, the defendants cannot argue on the one hand that a curative charge could not have ameliorated the situation and on the other that the trial judge should have issued a cautionary statement. Due to the inconsistency of the two arguments and to the defendants' failure to raise objection at the trial, we are permitted to find reversible error only if the substantive rights of the accused were blatantly and severely jeopardized. Fed.R.Crim.P. 52(b). Viewed in this context, we will review the questions in two stages: first, with respect to whether a trial judge is always required to issue a curative instruction once the jury learns that a codefendant has been dismissed, and, second, with respect to whether, in this particular case, the failure of the trial court to give one constituted plain error. Because the specific question is one of first impression in this circuit, we address it with caution and dispatch. 19 The problem of a defendant's guilt by association arises primarily when the jury learns of a codefendant's guilty plea entered either before or during the trial proceedings. A guilty plea entered by a codefendant can be especially prejudicial if the plea is made in connection with a conspiracy to which the remaining defendants are charged. United States v. Medina-Arellano, 569 F.2d 349, 356 (5th Cir.1978). This circuit has recommended that when a jury learns of a codefendant's guilty plea, the trial judge should immediately admonish them against transferring the guilt of one to another. See, United States v. King, 505 F.2d at 607; United States v. Beasley, 519 F.2d 233, 239 (5th Cir.1975). A cautionary instruction is generally sufficient to dispel any prejudice that arises from informing the jury of a codefendant's plea of guilty. United States v. White, 589 F.2d 1283, 1290, n.14 (5th Cir.1979). However, while a curative statement may be the preferred practice and is an important element in insuring the jury's impartiality, it is but one of the many factors to consider on review. The prevailing inquiry is one of fairness and to this end, jury instructions are important only insofar as they protect the substantive rights of the accused. United States v. King, 505 F.2d at 607. 20 It should be noted that this circuit has not considered the question of whether the prosecution's motion to dismiss is unfairly prejudicial to the remaining defendants. Another circuit has addressed this specific situation and concluded that, while the motion should have been made and ruled upon in the absence of the jury, the question of prejudice was addressed to the sound discretion of the trial court. Its failure to grant the motion was not an abuse of discretion. United States v. Barclift, 514 F.2d 1073, 1074 (9th Cir.1975). 21 The cases canvassed in our circuit have involved guilty pleas made during the trial, which present similar, but not identical considerations. Indeed, it would appear that the risk of transferring the guilt is greater when the jury learns that a codefendant admits his guilt and changes his plea than when the prosecution admits that it lacks sufficient evidence to proceed against a codefendant. In the final analysis, however, it is the potential for prejudice and not the method of transmittal that determines the appropriate response. Accordingly, once the fact of a codefendant's guilt or innocence has been made known to the jury, it is incumbent upon the trial judge to take appropriate corrective action in order to protect the remaining defendants' substantive rights. Immediate jury instructions are but one of the many curative methods at his disposal. 22 Ordinarily, when the jury learns of a codefendant's guilt for the same or similar offenses, and the defense counsel does not request that a curative instruction be given, the failure of the trial judge to give one will not require reversal. United States v. Beasley, 519 F.2d at 240. 4 Only in those rare situations in which other aggravating circumstances have exacerbated the prejudice will the failure to give cautionary instructions result in plain and reversible error. See e. g., United States v. Harrell, 436 F.2d 606, 617 (5th Cir.1970) (court's conclusion of plain error was specifically predicated upon both aggravating circumstances and the absence of any cautionary instructions, as well as the lack of defense objections). With this in mind, we turn next to the specifics of the case in order to determine whether the trial judge's failure to charge the jury concerning the prosecution's motions to dismiss constitutes reversible error. 23 As we have pointed out, in assessing the need for a curative instruction once the jury learns of a codefendant's dismissal, the judge must consider many factors. Among them are the way in which the dismissal is brought to the jury's attention, the purpose and motivation for doing so, the emphasis placed on the codefendant's dismissal relative to the substantive aspects of the case, and the defense counsel's conduct with respect to the trial proceedings (i. e., whether his actions invited the announcement, whether he objected to it or demanded an instruction, or whether he refused to do so for tactical reasons). In the instant case, counsel for the defense did not request an instruction because they felt that the prejudice inherent in the prosecution's motions vitiated the effectiveness of any instruction. In fact, a corrective charge instructing the jury how to treat the dismissal may have overemphasized the incidents to the point of creating further prejudice. Therefore, the trial judge was not required to give one on his own initiative unless he felt that other circumstances made it necessary to do so. United States v. King, 505 F.2d at 607-608. He chose not to give a specific curative instruction, either immediately after the announcements or during his closing instructions to the jury. As a result, our review of the record must include an analysis of whether aggravating circumstances mandate reversal. 24 The trial judge made reference several times in his instructions to the jury to the presumed innocence of the individual defendants. He repeatedly urged them to consider the evidence separately as to each defendant, especially with respect to the conspiracy count. There was no intemperance shown on his part, and the record reveals that neither he nor the prosecutor did anything to adversely influence the jurors' minds. The combined factors of the trial judge's dismissal of all substantive counts and the prosecution's admitted lack of proof against two defendants may not have prejudiced DeLucca at all; rather, it may have raised doubts of his guilt in the minds of some jurors. In fact, the defense counsel highlighted the problem by referring to the case in closing arguments as, ... the case of the disappearing defendants. Based on our review of the record, we can find no indication of any other circumstances which aggravated the potential prejudice created by the prosecution's motions to dismiss Brown and DeLa Rosa. Accordingly, while a curative charge would have inexorably avoided the potential prejudice, the failure to give one was not plain error.