United States of America, v. Jaynell M. Iverson, Appellant, 637 F.2d 799 (D.C. Cir. 1981)

Barbara Kammerman, Washington, D.C., with whom Lawrence H. Schwartz, Washington, D.C. (both appointed by the court), was on brief, for appellant.

Pamela M. Sayad, Asst. U. S. Atty., Washington, D.C., with whom Carl S. Rauh, U. S. Atty., Washington, D.C., at the time brief was filed, John A. Terry, Michael W. Farrell, and David S. Krakoff, Asst. U. S. Attys., Washington, D.C., were on brief, for appellee.

Before BAZELON, Senior Circuit Judge, TAMM, Circuit Judge, and HAROLD H. GREENE,^*  U.S. District Judge for the District of Columbia.

Opinion for the court filed by District Judge HAROLD H. GREENE.

Dissenting opinion filed by Circuit Judge TAMM.

HAROLD H. GREENE, District Judge:

This is an appeal from a conviction of forgery, uttering, and possession of stolen mail matter. 18 U.S.C. §§ 495, 1708. The only claim of error to merit extended discussion¹  is that the jury, with prosecutorial acquiescence, was given the erroneous information that at the time of appellant's trial her alleged accomplice, a key witness against her, had already been sentenced for her participation in the criminal venture and therefore had nothing to gain from testifying for the government.

* Since Brady v. Maryland, 373 U.S. 83, 83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), it has been clear that the prosecutorial suppression of evidence favorable to the accused, if material to guilt or punishment, is violative of due process, and that the government is affirmatively required to disclose all exculpatory materials. Moreover, both before and after Brady, in decisions now generally considered under the Brady rubric, the Court has held that a conviction obtained by the knowing use of perjured testimony violates the defendant's right to a fair trial mandated by the due process clauses of the Fifth and Fourteenth Amendments. United States v. Agurs, 427 U.S. 97, 103, 96 S. Ct. 2392, 2397, 49 L. Ed. 2d 342 (1976); Napue v. Illinois, 360 U.S. 264, 79 S. Ct. 1173, 3 L. Ed. 2d 1217 (1959); Alcorta v. Texas, 355 U.S. 28, 78 S. Ct. 103, 2 L. Ed. 2d 9 (1957); Pyle v. Kansas, 317 U.S. 213, 63 S. Ct. 177, 87 L. Ed. 214 (1942); Mooney v. Holohan, 294 U.S. 103, 55 S. Ct. 340, 79 L. Ed. 791 (1935). This rule applies both when the testimony relates directly to an essential element of the government's proof and when it affects the credibility of a crucial witness. "The jury's estimate of the truthfulness and reliability of a given witness may well be determinative of guilt or innocence, and it is upon such subtle factors as the possible interest of the witness in testifying falsely that a defendant's life or liberty may depend." Napue v. Illinois, supra, 360 U.S. at 269, 79 S. Ct. at 1177.² 

In elaboration of these general rules, it is established that the prosecutor has an affirmative obligation to correct the record when a principal prosecution witness falsely claims that no promises of leniency were made, and that, should he fail to discharge that obligation, the defendant may be³  entitled to a new trial on due process grounds. See, e.g., Napue v. Illinois, supra, 360 U.S. at 264, 79 S. Ct. at 1173; Giglio v. United States, 405 U.S. 105, 92 S. Ct. 763, 31 L. Ed. 2d 104 (1972); United States v. Barham, 595 F.2d 231 (5th Cir. 1979); Boone v. Paderick, 541 F.2d 447 (4th Cir. 1976); United States v. Pope, 529 F.2d 112 (9th Cir. 1976).

Compliance with these principles in this case demanded that the prosecutor set the record straight when the principal prosecution witness falsely adduced facts which led the jury to believe that she could not possibly derive gain from her testimony against appellant.

II

The evidence against appellant indicated that on May 10, 1978, she assisted one Susan Johnson in cashing a stolen, forged government check at the American Security and Trust Bank. There was ample proof that Johnson stole and forged the check,⁴  and that appellant was present at and facilitated the cashing. The principal contested issue before the jury was whether appellant's participation⁵  was accompanied by the requisite criminal intent, or whether, as she claimed, she was duped into assisting Johnson with an illegal check-cashing transaction wholly conceived and implemented by the latter. On that issue, Johnson's testimony differed sharply from that given by appellant.

Appellant testified at trial that she merely assisted Johnson in cashing a check at a bank where appellant had a friend because Johnson herself did not have a bank account, and that she did not know that the check was stolen. Johnson, on the other hand, stated that she fully discussed the true status of the check with appellant, and that the latter assisted her in the expectation of receiving part of the proceeds. According to Johnson, she showed appellant the check, appellant stated that she knew a teller who might be able to cash it, and arrangements were made to meet the following day to complete the transaction. Johnson stated that she did sign the check at the bank in the presence of appellant⁶  and after cashing it gave appellant $400 to divide with another accomplice.

Thus, Johnson's credibility was critical. In an effort to test that credibility, appellant's counsel cross-examined her regarding the status of the criminal charges against her arising out of the check-cashing incident, as follows:

"Q. You were you haven't been sentenced in that case, have you?

A. Yes, I have.

Q. When were you sentenced?

A. The 28th.

Q. Of October?

A. Yes.

Q. What sentence did you receive?

A. I received three months' supervision. After three months, I have to go back in front of the judge that sentenced me. It was Judge Gesell. If I went by the requirements of the Court, that I could have my probation transferred to Michigan."⁷ 

The witness' claim that she had already been sentenced was untrue. In fact, she pleaded guilty on September 20, 1978, and her sentencing was deferred from October 27, 1978, to January 15, 1979, that is, from four weeks before appellant's trial to six weeks after that trial.⁸  Her false statements had the inevitable effect of leading the jury to the erroneous conclusion that she could not gain from cooperating with the government and that her testimony was therefore unlikely to be tainted by an improper pro-government bias.⁹  Yet, the prosecutor, who knew or should have known¹⁰  the actual facts, remained silent, and he did nothing to alert the Court and jury to the truth. In our view, that failure to correct the witness' misrepresentations was improper and warrants a new trial.

In practical experience, few, if any, factors are more likely to induce an accused to testify, possibly falsely, against another, than the expectation of prosecutorial or sentencing leniency.¹¹  Jurors are not unaware that an alleged accomplice who has not yet been charged or sentenced is susceptible to direct or indirect pressure to cooperate with the government and that his testimony should therefore be considered with special caution. United States v. Thorne, 174 U.S.App.D.C. 57, 527 F.2d 840 (1975); Stith v. United States, 124 U.S.App.D.C. 81, 361 F.2d 535 (1966). One who has already been sentenced is of course immune to this kind of pressure. For that reason when, in the context of an exploration of the issue of possible leniency in return for cooperation, a witness falsely claims that he has already been sentenced, the claim and its falsity are as damaging to the defendant's due process rights as would be a false assertion that no promise of leniency was ever made. In the one instance the witness' false claim is that he has not been given or promised consideration by the government; in the other that he cannot be given such consideration.

The record here does not affirmatively show whether Johnson was promised by the prosecution that her cooperation would be brought to the attention of the sentencing judge.¹²  As it turned out, while the prosecutor did not, in fact, recommend leniency when Johnson was finally sentenced after appellant's trial, neither did he press for a stiff sentence in spite of her criminal record. Moreover, and more significantly, we do not and cannot now know what the effect on the prosecutor and the sentencing judge would have been had Johnson failed or refused to testify against appellant.¹³  The vice in the prosecutor's silence lay precisely in its preclusion of an exploration of this and similar issues.¹⁴ 

Only by being apprised that Susan Johnson was still facing sentencing could the jury have a rational basis for deciding whether her persistent efforts to assign a share of the culpability to appellant were the product of a desire to tell the truth or an effort to ingratiate herself with the prosecutor, the sentencing judge, or both. Because the misinformation provided by the witness and the silence of the prosecutor¹⁵  deprived the jury of the opportunity to make its own judgment concerning Johnson's credibility, it seriously flawed the proceedings.¹⁶ 

Our conclusion regarding the prosecutor's obligation in these circumstances is further buttressed by the fact that at the outset of the appellant's trial defense counsel alerted the Court and the prosecutor to his belief that Johnson would give false testimony. Counsel correctly asserted that numerous inconsistencies existed between the statement the witness gave to law enforcement officials and her grand jury testimony as well as between that testimony and the evidence she was expected to give at trial,¹⁷  and for that reason he requested that she be prohibited from testifying. The trial court rejected the request, stating that the possibility of perjury was inherent whenever the government relied on witnesses who had themselves been involved in the crime. Appellant argues that this ruling constitutes reversible error, but none of the cases cited¹⁸  supports that proposition. However, in view of that factual background, the prosecutor was obligated to exercise special care with respect to the conduct of his principal witness, and when that witness proceeded to misstate crucial facts concerning her own sentencing status, he had a clear duty to speak to correct the record.

III

We consider next whether the prosecution's nondisclosure was sufficiently material to the jury's determination of appellant's guilt to require a new trial.

In United States v. Agurs, supra, the Supreme Court established general rules concerning the appropriateness of a new trial in nondisclosure cases. Dividing undisclosed evidence situations into several categories, it held with respect to cases in which the prosecution relies on testimony which it knows or should know to be false¹⁹  that the conviction must be set aside if there is "any reasonable likelihood that the false testimony could have affected the judgment of the jury." United States v. Agurs, supra, 427 U.S. at 103, 96 S. Ct. at 2397.²⁰ 

That is the situation here. The evidence against appellant consisted essentially of her own confession²¹  and of the testimony of the bank teller and that of Susan Johnson.

The confession alone was insufficient to prove guilt, for as a matter of law it could sustain a conviction only if supported by independent evidence. Smith v. United States, 348 U.S. 147, 75 S. Ct. 194, 99 L. Ed. 192 (1954);²²  Opper v. United States, 348 U.S. 84, 75 S. Ct. 158, 99 L. Ed. 101 (1954); Wong Sun v. United States, 371 U.S. 471, 83 S. Ct. 407, 9 L. Ed. 2d 441 (1963). The teller's testimony did not provide the necessary corroboration, for it did not bear on appellant's intent and, to some extent at least, it actually supported appellant's version of the events.²³ 

Thus, the testimony of Johnson was crucial to intent and hence to guilt, for it constituted the only non-confession evidence to suggest that appellant knew that the check was stolen and would be forged and uttered. At a minimum in the words of the Agurs standard there was a reasonable likelihood that the testimony the witness gave could have affected the judgment of the jury. Since that testimony was false in a critical respect, the conviction cannot stand.

For these reasons, the judgment of conviction is reversed and the case is remanded for a new trial.

Judgment accordingly.

TAMM, Circuit Judge, dissenting:

Believing that any misleading testimony or prosecutorial misconduct in this case was harmless error beyond a reasonable doubt, I respectfully dissent.

Before addressing the question of harmless error, however, I must point out several problems with the majority's application of past precedent to the case at hand. Underlying Napue v. Illinois, 360 U.S. 264, 79 S. Ct. 1173, 3 L. Ed. 2d 1217 (1959), and Giglio v. United States, 405 U.S. 150, 92 S. Ct. 763, 31 L. Ed. 2d 104 (1972), is the central due process concern that no defendant be convicted through the knowing use of perjured testimony by the prosecution.¹  At issue in Giglio was the prosecutor's failure to correct the false testimony of a crucial Government witness that there had been no promises made to him in connection with his testimony. The witness's perjury and the prosecutor's failure to correct the testimony concealed from the jury a possible motive for falsification of said testimony. In this case Johnson had no such motive for falsification.²  Absent such a motive, usually resulting from promises made by the Government, and absent perjured testimony, Napue, Giglio, and cases in their wake impose no affirmative duty upon the prosecutor to clear up whatever confusion resulted from Johnson's testimony.³  Cf. Mastrian v. McManus, 554 F.2d 813, 823 (8th Cir.), cert. denied, 433 U.S. 913, 97 S. Ct. 2985, 53 L. Ed. 2d 1099 (1977) (Giglio and Napue do not support the proposition "that a crucial witness's expectation of leniency must be revealed absent evidence of an express or implied promise.").⁴ 

The majority holds, however, that Giglio applies to the case at hand.⁵  The standard of materiality therein relevant, whether the false testimony could in any reasonable likelihood have affected the judgment of the jury, is closely related to the standard for determining whether constitutional error can be held harmless. Chapman v. California, 386 U.S. 18, 87 S. Ct. 824, 17 L. Ed. 2d 705 (1967); United States v. Barham, 595 F.2d 231, 242 (5th Cir. 1979). Under either standard any error here must be held harmless beyond a reasonable doubt.

The majority opinion fails to analyze in a coherent fashion the evidence presented in this case. Defendant Iverson made a full confession of her criminal activity. This confession, voluntarily given and adequately corroborated, serves to support her conviction. Instead of analyzing the totality of the evidence in this case, including this confession, the majority merely relies upon the general rule of law that only corroborated confessions may support a conviction. Certainly confessions must be adequately corroborated to support a conviction. Smith v. United States, 348 U.S. 147, 75 S. Ct. 194, 99 L. Ed. 192 (1954); United States v. Johnson, 589 F.2d 716 (D.C. Cir. 1978). The independent evidence necessary to corroborate a confession, however, need not serve as substitute evidence on each point but need only "support() the trustworthiness of the admissions." United States v. Johnson, 589 F.2d at 718. Accord, United States v. Kampiles, 609 F.2d 1233, 1236 (7th Cir. 1979), cert. denied, 446 U.S. 954, 100 S. Ct. 2923, 64 L. Ed. 2d 812 (1980); United States v. Seckler, 431 F.2d 642 (5th Cir. 1970); United States v. DeGeorgia, 420 F.2d 889 (9th Cir. 1969); United States v. White, 223 F.2d 674, 675 (2d Cir.), cert. denied, 350 U.S. 888, 76 S. Ct. 143, 100 L. Ed. 782 (1955). As the court stated in United States v. Abigando, 439 F.2d 827 (5th Cir. 1971),

(r)equiring corroboration of a confession does not mean that the Government must introduce independent evidence on every element of the crime. Requiring independent proof of every element would go beyond the purpose of the rule which is intended to establish the reliability of confessions ... Some elements can be proved by the confession alone.

Id. at 832-33.

Even apart from the testimony of Susan Johnson, the independent evidence provided by the testimony of the bank teller adequately corroborated defendant's confession. The teller testified that the defendant called her to inquire whether she would cash a check for her "cousin." The defendant confessed to this conversation although stating that she called Johnson a "friend." The bank teller then narrated the encounter in the bank and the cashing of the check in much more detail than defendant had done in her confession.⁶  This independent evidence adequately corroborated the defendant's confession so as to render it valid evidence lawfully supporting her conviction. United States v. Micieli, 594 F.2d 102, 109 (5th Cir. 1979); United States v. Baty, 486 F.2d 240 (5th Cir. 1973) ("knowledge" element established by confession alone); Harrison v. United States, 281 A.2d 222 (D.C.1971) (same); Sansone v. United States, 334 F.2d 287, 293 (8th Cir. 1964), aff'd, 380 U.S. 343, 85 S. Ct. 1004, 13 L. Ed. 2d 882 (1965) (same); United States v. Mellon, 165 F.2d 80 (2d Cir. 1947), cert. denied, 333 U.S. 873, 68 S. Ct. 902, 92 L. Ed. 1150 (1948) (forgery conviction).

Also supporting the defendant's conviction was the testimony of Susan Johnson. The majority simply and summarily concludes that a reasonable likelihood exists that the misleading impression that Johnson had already been sentenced affected the judgment of the jury. Even focusing solely upon Johnson's testimony, however, the majority refuses to recognize the insignificance of whatever misleading impression was left with the jury in view of the extensive impeachment of Johnson undertaken by defense counsel. Transcript 102-43, United States v. Iverson, Crim.No. 78-587 (D.D.C. Nov. 27, 1978). Although this impeachment cannot be set out here in full, the cross-examination that includes the testimony upon which the majority seizes to reverse these convictions must be examined in context, as must the capitalization in closing argument by defense counsel upon the testimony at issue.

Q. Now in regard to the your pleading guilty in this case, you said that no promises had () been made to you, is that correct?

A. Yes.

Q. You pled guilty, did you not, to one count of something, or other?

A. Yes.

Q. Just one single count. And do you know what the maximum penalty on that one particular count is?

A. Yes.

Q. And what is that?

A. Three years.

Q. And did you ever have occasion to ascertain as to whether any more serious offenses could be brought against you in regard to this particular check?

A. I don't understand.

Q. Well, did anybody ever talk to you about that you could be charged with forgery, or uttering of the check?

A. I was charged with uttering, forgery, theft of the mail.

Q. But you were ...

A. I believe I had three counts of uttering.

Q. But you pleaded guilty to only one count, is that correct?

A. Yes.

Q. What is your understanding as to what is going to happen to the other counts?

A. I don't understand what you're saying.

Q. You indicated that you had been charged with a number of different counts?

A. Yes.

Q. Forgery, uttering, possession of stolen mail matter?

A. Yes.

Q. But that you pleaded guilty to one count?

A. Yes.

Q. What is going to happen to or what became of the other counts that could have, or were brought against you could have been, or were brought against you?A. They were dropped on the grounds that I would take a plea, understanding that I waived my rights to a trial by judge, or by jury, and because I already admitted to do, you know, to those counts, my attorney, you know, he I don't know he ...

Q. So do I then characterize ...

Mr. Krakoff: Your Honor, I'm sorry, I don't believe the witness finished.

Mr. Wilhite: I'm sorry, please continue on.

The Witness: My attorney discussed the possibilities with me and told me that he could, that you know, that there were no promises, or that, you know, nothing like that, that they would be dropped completely. I mean, I understood exactly what I was doing, and ...

Mr. Wilhite: You ...

The Witness: ... and I pleaded guilty because I felt as though I was guilty.

Mr. Wilhite: Did some of the charges that were dropped ...

The Court: Mr. Wilhite, she's explained. I think the jury understand(s) it. She copped the plea to one count of a multi-count indictment and they dismissed the other counts (addressing the witness) Or you understand that they were not going to prosecute any more than that one count, isn't that correct?

The Witness: Yes.

By Mr. Wilhite.

Q. You were you haven't been sentenced in that case, have you?

A. Yes, I have.

Q. When were you sentenced?

A. The 28th.

Q. Of October?

A. Yes.

Q. What sentence did you receive?

A. I received three months' supervision. After three months, I have to go back in front of the Judge that sentenced me. It was Judge Gesell. If I went by the requirements of the court, that I could have my probation transferred to Michigan.

Q. And that occurred on October 28th, or thereabouts?

A. It was the day after I don't remember the exact date, no.

Q. Was there a time that your sentence was continued until January of next year?

A. Pardon?

Q. Was there a time when your sentence was continued until January of next year?

A. January 15th, that would be the three months.

Q. So that the entire sentence was deferred until January 15th of next year? You haven't been sentenced yet, have you, or you're just not certain?

A. I have a probation officer. I have a counselor and I have to abide by certain, you know, regulations to the court. So I mean, I had assumed that I mean, the way that my attorney explained it to me because we had discussed the possibility of if I got probation, if you know, I could go home and ...

Q. So it's your assumption?

A. ... and he told me that after this period of time, I have to go back in front of him.

Q. Was there any discussion with either your attorney or the prosecutor that if you cooperated, or assisted the government, that that fact would be brought to the just's (sic) attention?

A. Yes, as a matter of fact, there was and Michael Lehr (U.S. Attorney) refused.

(Closing Argument)

You heard well, she didn't seem to be particularly certain whether she had been sentenced or not yet, but she has to go back to Court again and it just may happen in this particular circumstance that her own interests and the government's interest coincide, that is, that it is in both of their interests that she slough off some of the responsibility of this to one or as many people as she can.

Consider that we are not just talking about whether a crime was committed, but how responsible a person was for the commission of a crime and how the Court would look upon the whole situation.

Transcript 124-28, United States v. Iverson, Crim.No. 78-587 (D.D.C. Nov. 27, 1978); id. at 23-24 (Nov. 29, 1978).

It would appear from an examination of the record as a whole, therefore, that defense counsel was aware that Johnson's sentencing had been deferred until the January after the trial. He apparently made a tactical decision not to press the cross-examination of Johnson on this point, however, after discovering that the United States Attorney had refused to bring the fact of Johnson's testimony to the attention of the sentencing judge. Furthermore, defense counsel made use of Johnson's confusion over whether she had in fact been sentenced in his closing argument as set out above. Even had a perfectly clear impression of Johnson's sentencing status been left with the jury, moreover, such an impression would have added minimal impeachment weight in light of the absence of any promise, express or implied, made by the Government, in light of the extensive impeachment undertaken by the defendant, and in light of the substantial weight of the evidence incriminating the defendant. See, e. g., Reddy v. Jones, 572 F.2d 979 (4th Cir. 1977), cert. denied, 439 U.S. 839, 99 S. Ct. 126, 58 L. Ed. 2d 136 (1978).

This trial was not perfect. The Constitution does not, however, guarantee criminal defendants perfect trials, only fair trials. Defendant Iverson had a fair trial. The jury was presented with substantial, if not overwhelming, evidence of appellant's guilt. Any error was harmless beyond a reasonable doubt. I would affirm these convictions.