Court Opinion

ID: 9747675
Source: CourtListenerOpinion
Date Created: 2023-08-27 15:27:13.520239+00
Date Added: 2024-06-11T07:25:25.549062
License: Public Domain

Opinion for the court by Associate Judge NEBEKER.
Concurring opinion by Associate Judge YEAGLEY at p. 543.
Dissenting opinion by Associate Judge MACK at p. 544.
NEBEKER, Associate Judge:
This appeal arises from a judgment of the Superior Court after a jury trial finding defendant-appellant, Donald M. Fields, guilty of first-degree burglary while armed (D.C.Code 1973, §§ 22-1801 (a), -3202), and armed robbery (D.C.Code 1973, §§ 22-2901, -3202). We must decide whether under the Jencks Act (18 U.S.C. § 3500) the victim may not testify, as to identification, where a police officer’s handwritten notes made at a post-arrest, on-scene identification confrontation (showup) were negligently lost. Testimony as to the showup was precluded, but otherwise the victim testified fully. We affirm.
A restaurant owner was robbed at gunpoint of half the evening’s receipts (approximately $1,000, one-half being in $20 bills) that he had taken to his home. During the episode, the victim was required to lie on the floor while one of the robbers stood near his face. That man wore unique shoes like the ones worn by Fields at the time of his arrest shortly thereafter *539(the shoes were two-toned brown with a dent in one of the toes). The family of the victim was also terrorized. The victim immediately reported the crime to the police and described the clothing, including a bandanna used as a mask, and the physical appearance of the assailants. A few minutes later the police brought Fields before the victim, Fields matching the description previously given. Fields had been arrested a short distance away as he stood beside his car that had run out of fuel. The victim recognized on Fields the unique shoes worn by one of his assailants. He also recognized Fields’ other clothing, hair, and physique. An amount of money in $20 bills equalling about one-half of the stolen receipts was seized from Fields’ person. The red bandanna that had been described by the victim, and included in the broadcast as part of the description, was seen in Fields’ automobile and seized.1
A number of policemen present at the showup took rough notes. One officer later left the police force; his notes were lost. Other notes taken at the showup and other statements were produced at trial. The victim later identified Fields at a lineup. Over objection, the trial court permitted testimony to be given as to the lineup identification as well as an in-court identification. It excluded testimony as to the showup.
Fields contends that the Jencks Act required the trial court to strike all of the complaining witness’ identification testimony since the one officer’s showup notes could not be produced by the government. He also contends that the trial court erred in admitting testimony as to his lineup and in-court identifications on the theory— which he argues has no place in the so-called Jencks issue — that an independent source or capacity for identification existed. We cannot agree.
 The independent source exception to the exclusion of untrustworthy or overly suggestive identification testimony is based on the thesis that if it is otherwise shown to be credible, and subject to cross-examination, it is not scarred by improper state-sponsored identification procedures. The identification should thus be admitted in the quest for truth. United States v. Wade, 388 U.S. 218, 239-42, 87 S.Ct. 1926, 18 L.Ed.2d 1149 (1967). The basis for the trial court’s holding here appears to be the victim’s highly credible ability, from the crime encounter, to identify Fields’ hairline and physique in addition to the bandana and the highly significant unique shoes. There was testimony by the arresting officer that Fields was wearing those shoes a few minutes after the robbery, and, as observed, the bandana was found in the automobile where he was arrested.
We hold that the trial judge was eminently correct in looking to an independent, credible identification capacity before forbidding all identification testimony. As we have said, the Jencks Act was intended to aid in the search for truth by permitting access to prior statements of government witnesses for possible impeachment. Hardy v. United States, D.C.App., 316 A.2d 867, 869 (1974), citing United States v. Perry, 153 U.S.App.D.C. 89, 94, 471 F.2d 1057, 1062 (1972). If Fields were correct that elimination of all the victim’s identification testimony was the only course open to *540the trial judge, notwithstanding reliable independent identification which is subject to cross-examination, the search for truth would be defeated by the happenstance of a subsequent loss of the officer’s notes. If a witness can make an identification (in court or at a lineup) from an ability acquired otherwise than from a state-sponsored proceeding about which testimony may not be received, neither the policies underlying the constitutional rule of exclusion nor the Jencks Act requires that that identification be barred. When an independent reliable capacity for identification exists, the automatic sanction of striking all such testimony would irrationally defeat the search for truth, for it is possible, in any event, to cross-examine the witness on that independent capacity.2 In short, there is no rational basis to impose a Jencks Act sanction in this instance.
The Jencks Act was passed by Congress in 1957 in response to the Supreme Court’s decision in Jencks v. United States, 353 U. S. 657, 77 S.Ct. 1007, 1 L.Ed.2d 1103 (1957). A major concern of Congress was to limit and to regulate defense access to government papers. Palermo v. United States, 360 U.S. 343, 79 S.Ct. 1217, 3 L. Ed.2d 1287 (1959). After a government witness has testified on direct examination, the court on the defendant’s motion shall order the government to produce any statement of the witness in the government’s possession relating to the witness’ testimony. “The purpose of the Jencks Act was to provide the defense with a means of impeaching a government witness by means of a prior inconsistent statement . while not allowing an unrestrained search through government files.” United States *541v. Catalano, 491 F.2d 268, 274 (2d Cir. 1974).
The Jencks Act does not mention the negligent loss of a statement; it only contemplates a situation where the government elects not to produce a statement that it has in its possession. The government’s need to make this election in some cases may he dictated by considerations of national security or the safety of covert law enforcement operatives. However, the inability to produce a statement not in the government’s possession because of an inadvertent as distinguished from a deliberate destruction is not an election against production. United States v. Perry, supra at 95-96, 471 F.2d at 1063-64; cf. United States v. Carpenter, 166 U.S.App.D.C. 358, 510 F.2d 738 (1975). In Hardy v. United States, D.C.App., 316 A.2d 867, 870 (1974), this court said:
Where a discoverable statement has been lost or destroyed and hence is not in the government’s possession, a trial court must weigh certain factors in exercising its discretion whether to strike a witness’ testimony. E. g., United States v. Au-genblick, 393 U.S. 348, 89 S.Ct. 528, 21 L.Ed.2d 537 (1969); United States v. Bundy, [153 U.S.App.D.C. 191, 472 F.2d 1266 (1972)]; United States v. Bryant, 142 U.S.App.D.C. 132, 439 F.2d 642 (1971). As stated in [United States v.~[ Perry, supra (153 U.S.App.D.C. at 99, 471 F.2d at 1067):
[U]nless either in the instant or subsequent cases the interest of justice will be furthered by penalizing the Government, then [the penalty of striking the testimony of a witness] is not to be invoked automatically as in an adversary game. In order to exclude testimony, there should be a showing of either negligence or purposeful destruction accompanied by either bad motive or bad judgment.
A remedy, on the assumption that one was needed, for the negligent loss of a Jencks Act statement was designed in United States v. Bryant, 142 U.S.App.D.C. 132, 439 F.2d 642, aff'd after remand, 145 U.S.App.D.C. 259, 448 F.2d 1182 (1971), where tape recordings of conversations between the defendants and an undercover officer in a narcotics case had been lost. A year later that court determined that in the absence of due process considerations, non-negligent loss of Jencks Act material is not a ground for imposition of Jencks Act sanctions. United States v. Perry, supra at 98, 471 F.2d at 1066. The court further noted that even if the trial court does find some degree of negligence, “it need not automatically invoke the Jencks Act.” Id. at 100, 471 F.2d at 1068. A recent decision by that court reveals further reluctance to adhere to the sanction threat announced in Bryant. United States v. Quiovers, 176 U.S.App.D.C. 265, 539 F.2d 744 (1976). This court has evidenced like misgivings in lost Jencks statement cases. See United States v. Anderson, D.C.App., 366 A.2d 1098 (1976); and Moore v. United States, D.C.App., 353 A.2d 16 (1976).
Alternatively, a question is whether the lost notes consituted a statement within the meaning of the Jencks Act. The implication of the trial judge’s ruling that the victim could not testify as to the showup is that she found the notes to be a Jencks Act statement. That issue does not appear to have been explored with the care necessary when the question revolves around rough notes taken on the scene of a crime.3 *542Such notes have been held as a matter of law not to be Jencks Act statements. “The Jencks Act applies to a ‘substantially verbatim recital’ of an oral statement by a witness and does not apply to an officer’s rough notes.” United States v. Stephens, 492 F.2d 1367, 1377 (6th Cir. 1974). Accord, March v. United States, D.C.App., 362 A.2d 691, 699 (1976); State v. Maluia, 539 P.2d 1200, 1209-11 (Hawaii 1975). See also United States v. Augenblick, supra; United States v. Scriber, 163 U.S. App.D.C. 36, 43, 499 F.2d 1041, 1048 (1974); United States v. Hines, 147 U.S. App.D.C. 249, 264, 455 F.2d 1317, 1332 (1971), cert, denied, 406 U.S. 975, 92 S.Ct. 2427, 32 L.Ed.2d 675 (1972). The occasion and setting for taking rough notes should be scrutinized with great care by the trial judge. Ordinarily these notes are hastily made by officers who are incapable of recording substantially verbatim statements. Before arriving at the decision that rough notes constitute a statement of a witness within the definition of the Jencks Act, the trial court should recognize that the very nature of the situation, and the expectation that a structured statement will later be made with the contents; of the rough notes incorporated therein, militates strongly against any notion that the notes themselves are producible statements. Cf. Killi-an v. United States, 368 U.S. 231, 242, 82 S.Ct. 302, 7 L.Ed.2d 256 (1961). Before considering imposing any sanction 4 for inability to produce a statement, the trial judge should make a clear holding based on hard evidence — not on speculation or surmise — that the lost materials constitute a substantially verbatim recitation and not, as is most often the case, merely a mnemonic note. March v. United States, supra. In making the decision the judge should not only keep in mind that the purpose of producing the statements is “to aid the search for truth”, Hardy v. United States, supra at 869, but also that the inability of the government to produce a lost statement does not automatically trigger the exclusion of a victim’s testimony,5 particularly as to identification. We note that in Article III federal courts it can be argued that direct identification testimony “shall be admissible in evidence in a criminal prosecution” notwithstanding the Jencks Act. See 18 U.S.C. § 3502, which arguably prevents the use of Jencks Act sanctions as to identification testimony by one who “saw the accused commit . the crime.” Id.
Pretermitting our holding, supra, we would be inclined to remand for a clearer ruling on the “statement” issue, e. g., Moore v. United States, supra. However, we also find this record sufficient to decide the case on the assumption that the lost notes did reach the level of a producible statement. Here, shortly after the robbery, Fields was arrested a few blocks from the victim’s house as he stood beside his disabled car. While the officer was momentarily stopping to assist him, a description of the robbers was broadcast. The officer noticed that Fields matched the description of one of the assailants. The officer also saw on the rear seat of the car the red bandanna mentioned in the radio broadcast. Fields had in his possession $560 in cash — all in $20 bills (at least one-half the stolen money was in. $20 bills) —and a gun with ammunition. He was also wearing the telltale shoes. In addition, much other material was produced for possible impeachment, and the overall credibility of Fields’ identification as one of *543the assailants is abundantly supported in the record. In the ultimate analysis the absence of the notes manifestly was harmless. See D.C.Code 1973, § 11-721 (e).
We note that in United States v. Bundy, 153 U.S.App.D.C. 191, 472 F.2d 1266 (1972), the court held that the failure of police to produce the original notes taken during the on-scene interrogation of a robbery victim was harmless. In that case, like this one, the defendant was arrested immediately after the crime on the basis of a police radio broadcast, and the stolen money was found in his possession. We follow that holding here. See United States v. Anderson, supra, 366 A.2d at 1101 (“possibility of prejudice was either minimal or nonexistent”). See also United States v. Quiovers, supra at 746, where reference is made to a required “colorable argument” of prejudice.
Since Bundy also discussed an assumed Brady v. Maryland, 337 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963) issue, with which we are not presented, we need not consider whether the loss was harmless beyond a reasonable doubt under Chapman v. California, 386 U.S. 18, 87 S.Ct. 824, 17 L. Ed.2d 705 (1967). This statutory “Jencks issue” is quite different from a “Brady question” of constitutional dimensions, and we do not assume that lost statements constitute Brady material. Cf. United States v. Agurs, 427 U.S. 97, 96 S.Ct. 2392, 49 L.Ed.2d 342 (1976).
We hold that the trial court did not commit reversible error in permitting the victim to testify as to his identification of Fields. Accordingly, the judgment of conviction is

Affirmed.

. Fields’ counsel is unduly harsh with the record in his effort to minimize the strength of the evidence. He indirectly chastises the prosecution for not calling the victim’s wife and two children to testify when he observes .that the government “chose” not to call them. The victim was the only one who had a meaningful opportunity to see Fields. The other intruders, who were not caught, went upstairs and terrorized the wife and the two children. The wife was unable ,to identify Fields. The same was true for the 9-year-old daughter and the 4-year-old son. The son was crying and vomiting in Fields’ presence because his life had been threatened and because he was tied up. However, the victim was face-to-face with appellant for about ten minutes while .they were downstairs. The lighting was good and they engaged in considerable conversation throughout the incident.

. Our dissenting colleague reads the record to indicate that the .trial judge found that no independent source existed for the lineup identification. We therefore set forth what was said at the ultimate ruling:
THE COURT: . . . Now Mr. Bruz-zo has indicated in his cross-examination about the fact that he had seen the defendant’s face, was a part of the basis of his identity at ,the lineup. While he refers to other physical characteristics of the defendant as being part of that, nevertheless it appears to the Court .that the fact that he has seen the defendant, has seen the defendant’s face prior to the lineup, it occurs to the Court that it would be very difficult to determine having seen the defendant’s face that that would not form a strong basis for the identity in the lineup, and I believe I would have to rule out the evidence of the lineup procedure on that basis.
[THE PROSECUTOR]: Your Honor, is that a ruling of taint?
THE COURT: Yes, I think it is tainted by virtue of having seen the defendant in the confrontation.
[THE PROSECUTOR] : My argument is this, that you have ruled that the confrontation procedures were lawful, they were not violative of the Constitution or anything else, that that is a lawful confrontation under the case law.
THE COURT: Yes.
[THE PROSECUTOR] : And I can’t see how a subsequent identification based on a lawful confrontation can be tainted.
Jencks is a very particular statute dealing with a very particular area and it is not a statute which brings into play the legality of the confrontation.
If the confrontation is illegal then I couldn’t have an officer describe it.
But I don’t understand the ruling.
THE COURT: Yes, I will reverse myself. You are right. I have to agree with you.
I cannot rule out the lineup procedure on the basis of taint, so I reverse that ruling.
[THE PROSECUTOR] : Is Your Hon- or making a finding of independent source for an in-court identification based on the characteristics that Mr. Bruzzo described, that he saw during the commission of the robbery?
THE COURT: Yes. I am making a finding .that there is an independent source based on the characteristics which Mr. Bruzzo saw during the robbery.
It is the Court’s opinion that as far as the defendant is concerned, those are matters to be challenged on cross-examination.
Having reconsidered ,the tentative ruling on “taint” as to the lineup identification, it seems inescapable that the final ruling was that both identifications were admissible on the independent basis that the victim saw Fields’ “characteristics . . . during the commission of the robbery.” It is that ruling with which we find no error.

. Our dissenting colleague asserts that we are “bound by the conclusion of the trial court . that the police notes were producible.” No such ruling was made and if it had been made the record would not support it. There was only one question asked about the nature of .the lost notes. It was not directed to whether the notes were substantially verbatim, but merely and ambiguously to whether the officer wrote down what .the victim said about the accused.
For the Jencks Act to apply and for the right of discovery to exist under the Act, the records at issue must be “statements” within the meaning of the Act. And when the statement of a witness is oral, a tran*542scription of the statement must be “substantially verbatim” and “recorded contemporaneously”. The transcription must he a continuous, narrative recording rather than mere selective notations or excerpts from the oral statements. . . . [Moore v. United States, supra at 18 (footnotes omitted; emphasis supplied).]

. “Bryant does not mandate the mechanical invocation” of available sanctions. Bee United States v. Quiovers, supra at 747. Bee also United States v. Butler, 163 U.S.App. D.C. 1, 499 F.2d 1006 (1974).

. See United State v. Anderson, supra.