United States v. Culliver

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH  (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU )LOH 1DPH DS 81,7('67$7(6&28572)$33($/6 )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB 81,7(' 67$7(6 2) $0(5,&$ ; 3ODLQWLII$SSHOOHH    1RV Y  !  '$11$ <9211( %(1'(5   DQG'$9,' (  &8//,9(5    'HIHQGDQWV$SSHOODQWV   1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH0LGGOH'LVWULFWRI7HQQHVVHHDW1DVKYLOOH 1Rn7RGGs&DPSEHOO'LVWULFWsXGJH $UJXHG$XJXVW 'HFLGHGDQG)LOHG6HSWHPEHU %HIRUH&/$<*,/0$1DQG:$//$&(&LUFXLW sXGJHV 7KH +RQRUDEOH s &OLIIRUG :DOODFH &LUFXLW sXGJH RI WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV IRU WKH 1LQWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ   8QLWHG6WDWHVY%HQGHUHWDO 1RV BBBBBBBBBBBBBBBBB &2816(/ $5*8('0DUN&6FUXJJV1DVKYLOOH7HQQHVVHH&0DUN 3LFNUHOO 1DVKYLOOH 7HQQHVVHH IRU $SSHOODQWV  :LOOLDP &RKHQ $66,67$17 81,7(' 67$7(6 $77251(< 1DVKYLOOH7HQQHVVHHIRU$SSHOOHH21%5,()0DUN& 6FUXJJV1DVKYLOOH7HQQHVVHH&0DUN3LFNUHOO1DVKYLOOH 7HQQHVVHH IRU $SSHOODQWV  'DQLHO s 3HUU\ $66,67$17 81,7('67$7(6$77251(<1DVKYLOOH7HQQHVVHHIRU $SSHOOHH BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 521$/'/((*,/0$1&LUFXLWsXGJH'DQQDL@I :HKROGWKDWWKHUHZDVSUREDEOHFDXVHWRLVVXHWKHVHDUFK D GDQJHURXV ZHDSRQ LQFOXGLQJ D ILUHDUP  ZDV SRVVHVVHGl ZDUUDQWLQTXHVWLRQ7KLVFDVHUHSUHVHQWVDW\SLFDOFRQWUROOHG GXULQJWKHXQODZIXOPDQXIDFWXULQJLPSRUWLQJH[SRUWLQJRU GHOLYHU\ GUXJ EXVW  3RVWDO ,QVSHFWRU sRUGDQjV DIILGDYLW LQ WUDIILFNLQJ RI D FRQWUROOHG VXEVWDQFH  $SSOLFDWLRQ QRWH  VXSSRUWRIWKHVHDUFKZDUUDQWFRQWDLQVVXIILFLHQWLQIRUPDWLRQ IXUWKHUVWDWHVWKDWWKH†' E  DGMXVWPHQWmVKRXOGEH WRPDNHLWSUREDEOHWKDWmDVHDUFKZRXOGXQFRYHUHYLGHQFHRI DSSOLHG LI WKH ZHDSRQ ZDV SUHVHQW XQOHVV LW LV FOHDUO\ ZURQJGRLQJl6PLWK)GDW FLWLQJ,OOLQRLVY*DWHV LPSUREDEOHWKDWWKHZHDSRQZDVFRQQHFWHGZLWKWKHRIIHQVHl  86      7KH REVHUYHG IUHTXHQF\ RI 8QLWHG6WDWHV6HQWHQFLQJ*XLGHOLQHV0DQXDO†'FPW ([SUHVV 0DLO GUXJ GHOLYHULHV EHWZHHQ )ORULGD DQG WKH Q  &XOOLYHU DUJXHV WKDW EHFDXVH KH ZDV LQ )ORULGD WKH 1DVKYLOOH DUHD WKH SRVLWLYH LGHQWLILFDWLRQ RI D FRQWUROOHG ZHDSRQ ZDV QRW SUHVHQW DW WKH ORFDWLRQ ZKHUH KH ZDV VXEVWDQFH E\ D GUXJGHWHFWLRQ GRJ DQG WKH GLVFRYHU\ RI FRPPLWWLQJWKHRIIHQVH DSSUR[LPDWHO\JUDPVRIFRFDLQHEDVHLQWKH([SUHVV0DLO SDFNDJHDOOVXSSRUWHGWKHLVVXDQFHRIDQDQWLFLSDWRU\VHDUFK )RU D FRXUW WR LPSRVH D VHQWHQFH HQKDQFHPHQW XQGHU ZDUUDQW6HH/DZVRQ)G KROGLQJWKDWWKHUH †' E  mWKHJRYHUQPHQWPXVWHVWDEOLVKWKDW  WKH ZDVSUREDEOHFDXVHWRLVVXHDQDQWLFLSDWRU\VHDUFKZDUUDQWLQ D VLPLODU FRQWUROOHGGHOLYHU\ GUXJ FDVH ZKHUH SRVWDO  8QLWHG6WDWHVY%HQGHUHWDO 1RV 1RV 8QLWHG6WDWHVY%HQGHUHWDO  LQVSHFWRUVLQWHUFHSWHGDQ([SUHVV0DLOSDFNDJHDQGGHWHFWHG ZLUHWUDQVIHUVWR)ORULGDWKDWWRWDOHGRYHUWKHFRXUVHRI QDUFRWLFV  WZR DQG D KDOI PRQWKV  7KH GUXJ SDUDSKHUQDOLD IRXQG DW %HQGHUjVUHVLGHQFHDOVRVWURQJO\LQGLFDWHGWKDW%HQGHUZDV )XUWKHUPRUHZHFRQFOXGHWKDWWKHGLVWULFWFRXUWGLGQRWHUU HQJDJHGLQWKHVDOHDQGGLVWULEXWLRQRIFRFDLQHEDVHDVGLGWKH LQGHQ\LQJ%HQGHUj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jV EHG ZKHQ WKH\ ILUVW HQWHUHG WKH &XOOLYHUEDVHGRQWKHGLVWULEXWLRQRIJUDPV EHGURRP,QDQ\HYHQWWKHVHDUFKZDUUDQWGLGQRWUHTXLUHWKDW RIFRFDLQHEDVH WKH WUDQVPLWWHU EH DFWLYDWHG LQ RUGHU WR FRQGXFW D GD\WLPH VHDUFK7KHVHDUFKZDUUDQWDGRSWHGWKHFRQGLWLRQVVHWIRUWK &XOOLYHUFKDOOHQJHVKLVVHQWHQFHE\DUJXLQJWKDWWKHGLVWULFW LQWKHDIILGDYLWRI3RVWDO,QVSHFWRUsRUGDQsRUGDQjVDIILGDYLW FRXUW HUUHG LQ KROGLQJ KLP UHVSRQVLEOH IRU FRQVSLULQJ WR GHVFULEHGWKHIROORZLQJSDUDPHWHUVWRHIIHFWXDWHWKHVHDUFK GLVWULEXWHDQGIRUGLVWULEXWLQJJUDPVRIFRFDLQHEDVH+H FODLPVWKDWWKHJRYHUQPHQWj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jVUHVLGHQFH3RVWDO,QVSHFWRU0D[sRUGDQ (PSKDVLVDGGHG VWDWHG WKDW WKH SDUFHO FRQWDLQHG D FRRNLHVKDSHG VXEVWDQFH WKDWFRQVWLWXWHGDSSUR[LPDWHO\JUDPVRIFRFDLQHEDVH %DVHGRQWKHFRQGLWLRQVGHVFULEHGDERYHLWLVFOHDUWKDWDV sRUGDQIXUWKHUUHSUHVHQWHGXQGHURDWKWKDWWKHVFDOHXVHGRQ ORQJ DV WKH SRVWDO LQVSHFWRUV DQG HQWU\ WHDP H[HFXWHG WKH VLWHWRZHLJKWKHVXEVWDQFHZDVUHOLDEOHDQGDFFXUDWH7KH VHDUFK ZDUUDQW GXULQJ WKH GD\WLPH WKH SUHUHTXLVLWH IRU WKH SRVWDO LQVSHFWRUV UHWDLQHG D VDPSOH RI WKH FRFDLQH EDVH WR HQWU\ ZDV VLPSO\ WKH VLJQLQJ RI WKH GHOLYHU\ UHFHLSW UHSDFNDJHLQWKHSDUFHOIRUWKHFRQWUROOHGGHOLYHU\sRUGDQ DFFHSWDQFHRIWKHSDUFHODQGWKHWDNLQJRIWKHSDUFHOLQWRWKH DOVRWHVWLILHGDWWKHVHQWHQFLQJKHDULQJWKDWWKUHHVDPSOHVZHUH UHVLGHQFH%HFDXVHWKHVHFRQGLWLRQVZHUHPHWWKHZDUUDQW H[WUDFWHG IURP WKH FRFDLQH EDVH FRRNLH IRU WKH SXUSRVH RI ZDV SURSHUO\ H[HFXWHG DQG WKH GLVWULFW FRXUW GLG QRW HUU LQ FRQGXFWLQJWKHILHOGWHVWWRGHWHUPLQHWKHVXEVWDQFH$VD GHQ\LQJ%HQGHUjVPRWLRQWRVXSSUHVV UHVXOWWKHVDPSOHWKDWZDVVHQWWRWKHODERUDWRU\JUDPV RIFRFDLQHEDVHZDVQRWWKHIXOODPRXQWRIFRFDLQHEDVHWKDW ZDVRULJLQDOO\FRQWDLQHGLQWKHSDUFHO  8QLWHG6WDWHVY%HQGHUHWDO 1RV 1RV 8QLWHG6WDWHVY%HQGHUHWDO  7KH6XSUHPH&RXUWKDVKHOGWKDWm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mWKHGLVWULFWFRXUWGLGQRWHUULQUHIXVLQJ QDWXUHRIKHUSULRUFRQYLFWLRQ6KHZDVFRQYLFWHGLQRI WRSHUPLW>WKHFULPLQDOGHIHQGDQW@WRDUJXHDERXWKLVSRVVLEOH FRQVSLUDF\WRGLVWULEXWHSRZGHUFRFDLQHDQGSRVVHVVLRQZLWK SXQLVKPHQWl  8QLWHG 6WDWHV Y &KHVQH\  )G   LQWHQWWRGLVWULEXWHWKHGUXJ:HZLOOQRWGLVWXUEDGLVWULFW WK&LU *LYHQWKLVSUHFHGHQWZHVLPLODUO\FRQFOXGH FRXUWjVDGPLVVLRQRIWHVWLPRQ\UHJDUGLQJDGHIHQGDQWjVSULRU WKDW WKH GLVWULFW FRXUW GLG QRW HUU LQ SURKLELWLQJ %HQGHUjV FRQYLFWLRQIRULPSHDFKPHQWSXUSRVHVXQOHVVZHFRQFOXGHWKDW FRXQVHOIURPPHQWLRQLQJ%HQGHUjVSRVVLEOHSXQLVKPHQWWRWKH WKHUHZDVDQDEXVHRIGLVFUHWLRQ6HH8QLWHG6WDWHVY0H\HUV MXU\ )G WK&LU  ( 7KHHYLGHQFHZDVVXIILFLHQWWRVXSSRUWWKHMXU\jV 3ULRUWRWULDOWKHGLVWULFWFRXUWFRQVLGHUHGZKHWKHU%HQGHUjV JXLOW\YHUGLFWDJDLQVW%HQGHU SULRU FRQYLFWLRQ FRXOG EH LQWURGXFHG IRU WKH SXUSRVH RI LPSHDFKLQJ KHU FUHGLELOLW\ XQGHU 5XOH  RI WKH )HGHUDO )LQDOO\%HQGHUVXEPLWVWKDWWKHHYLGHQFHZDVLQVXIILFLHQW 5XOHVRI(YLGHQFH%RWKSDUWLHVDJUHHGWRVWLSXODWHWRWKHIDFW WRVXSSRUWWKHMXU\jVYHUGLFWWKDWVKHZDVJXLOW\RQDOOILYH WKDW %HQGHU ZDV FRQYLFWHG RI D IHORQ\ LQ  LQ OLHX RI FRXQWV:HUHYLHZFODLPVRILQVXIILFLHQF\RIWKHHYLGHQFHE\ UHTXLULQJWKHJRYHUQPHQWWRLQWURGXFHHYLGHQFHRIWKHSULRU DVNLQJmZKHWKHUDIWHUYLHZLQJWKHHYLGHQFHLQWKHOLJKWPRVW FRQYLFWLRQLQVXSSRUWRI&RXQW EHLQJDIHORQLQSRVVHVVLRQ IDYRUDEOHWRWKHSURVHFXWLRQDQ\UDWLRQDOWULHURIIDFWFRXOG RIDILUHDUP %H\RQGWKHVWLSXODWLRQWKHGLVWULFWFRXUWDJUHHG KDYH IRXQG WKH HVVHQWLDO HOHPHQWV RI WKH FULPH EH\RQG D WR mOLPLW WKH FURVVH[DPLQDWLRQ >RI %HQGHU@ WR HVVHQWLDOO\ UHDVRQDEOHGRXEWl8QLWHG6WDWHVY$EOHV)G UHSHDWLQJWKHVWLSXODWLRQWKDWWKHUHLVDFRQYLFWLRQDQGJHWWLQJ  WK &LU   FLWLQJsDFNVRQ Y 9LUJLQLD  86 KHUWRFRQILUPVKHDJUHHGWRLWl1HYHUWKHOHVVWKHGLVWULFW     HPSKDVLV LQ RULJLQDO   )XUWKHUPRUH FRXUWJDYHWKHIROORZLQJZDUQLQJ m>F@LUFXPVWDQWLDO HYLGHQFH LV VXIILFLHQW WR VXVWDLQ D FRQYLFWLRQl,G >,@WLVDOZD\VRIFRQFHUQWRPHDQGWKHFRXUWWKDWWKHMXU\ QRWEHPLVOHG6RLIRQGLUHFWH[DPLQDWLRQ0V%HQGHU %HQGHUPDLQWDLQVWKDWmWKHHYLGHQFHSUHVHQWHGWRWKHMXU\ DIILUPDWLYHO\GHQLHGNQRZOHGJHRIGUXJVDQGRWKHUZLVH LVVLPSO\WKDWRI'DQQD%HQGHUEHLQJDGUXJDGGLFWXVHUZKR VHWVXSVRPHWKLQJFRQWUDU\WRWKHREYLRXVWKHQVKHZLOO UHFHLYHGDSDFNDJHWKDWFRQWDLQHGDUHODWLYHO\VPDOODPRXQW EHRSHQLQJWKHGRRUDQGVKHFDQPDNHWKHQDWXUHRIWKH RI FUDFN FRFDLQH RQ )HEUXDU\  l DQG WKDW WKH FRQYLFWLRQPRUHSUREDWLYHWKDQLWRWKHUZLVHLVE\RSHQLQJ HYLGHQFHWKHUHIRUHGRHVQRWVXSSRUWDQLQIHUHQFHWKDW%HQGHU WKHGRRU7KHQ,ZLOODOORZWKHJRYHUQPHQWWRJHWLQWR ZDV HQJDJHG LQ WKH WUDQVSRUWDWLRQ UHFHLSW RU VDOH RI D ZKDWWKHQDWXUHRIWKHFRQYLFWLRQLV FRQWUROOHGVXEVWDQFH+HUSRVLWLRQLVXQWHQDEOHLQOLJKWRIWKH HYLGHQFHWKDWZDVSUHVHQWHGDWWULDO$VDUHVXOWRIVHDUFKLQJ 'HVSLWH WKLV ZDUQLQJ %HQGHU WHVWLILHG RQ WZR GLIIHUHQW %HQGHUjV UHVLGHQFH WKH JRYHUQPHQW SUHVHQWHG FRQYLQFLQJ RFFDVLRQVGXULQJGLUHFWH[DPLQDWLRQWKDWVKHKDGQHYHUVROG HYLGHQFHWKDW%HQGHUKDGUHFHLYHGQXPHURXVSDFNDJHVVHQWE\ GUXJV  6KH DOVR DVVHUWHG WKDW VKH mEHJDQ XVLQJ GUXJV LQ &XOOLYHUIURP)ORULGDDQGWKDWVKHKDGVHQWPXOWLSOHPRQH\ l7KHGLVWULFWFRXUWFRQFOXGHGWKDWWKHVHVWDWHPHQWVE\ %HQGHUZHUHPLVOHDGLQJ,WWKHUHIRUHDOORZHGWKHJRYHUQPHQW  8QLWHG6WDWHVY%HQGHUHWDO 1RV 1RV 8QLWHG6WDWHVY%HQGHUHWDO  WR EULQJ RXW RQ FURVVH[DPLQDWLRQ WKH QDWXUH RI KHU SULRU HQIRUFHPHQW WHDP WKDW H[HFXWHG WKH VHDUFK ZDUUDQW DW FRQYLFWLRQLQRUGHUWRLPSHDFKKHUFUHGLELOLW\DVDZLWQHVV %HQGHUjV UHVLGHQFH RQ )HEUXDU\    +H UHFRYHUHG m>:@KHQDSDUW\RSHQVXSDVXEMHFW>WKHSDUW\@FDQQRW VHYHUDO LWHPV IURP %HQGHUjV EHGURRP LQFOXGLQJ WKH FRPSODLQRQDSSHDOLIWKHRSSRVLQJSDUW\LQWURGXFHVHYLGHQFH SDSHUZRUNGHWDLOLQJWKHPRQH\WUDQVIHUVDQGWKHFRRNLHWLQV RQWKHVDPHVXEMHFWl8QLWHG6WDWHVY5DPRV)G DQGVKDYLQJNLWWKDWFRQWDLQHGGUXJSDUDSKHUQDOLD  WK&LU  %HQGHUDUJXHVWKDW'RQHJDQmZDVQRWSURSHUO\TXDOLILHGDV :H FRQFOXGH WKDW WKH GLVWULFW FRXUW GLG QRW DEXVH LWV DQH[SHUWZLWQHVVLQWKDWKHKDGOLWWOHLIDQ\GLUHFWH[SHULHQFH GLVFUHWLRQLQDOORZLQJWKHJRYHUQPHQWWRLPSHDFK%HQGHUjV ZLWKWKHVDOHDQGGLVWULEXWLRQRIFUDFNFRFDLQHl$GLVWULFW FUHGLELOLW\ZLWKHYLGHQFHRIKHUSULRUFRQYLFWLRQ%HQGHUjV FRXUWj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mKDV DOORZHG SROLFH %HQGHUjV SULRU FRQYLFWLRQ LQWR FRQVLGHUDWLRQ RQO\ IRU WKH RIILFHUVWRWHVWLI\DVH[SHUWZLWQHVVHVDERXWFULPLQDODFWLYLW\ SXUSRVHVRIHYDOXDWLQJKHUFUHGLELOLW\DQGIRUHVWDEOLVKLQJKHU VLQFH NQRZOHGJH RI VXFK DFWLYLW\ LV JHQHUDOO\ EH\RQG WKH JXLOWRQ&RXQW7KHGLVWULFWFRXUWWKXVSURSHUO\DOORZHGWKH XQGHUVWDQGLQJ RI WKH DYHUDJH OD\PDQl  8QLWHG 6WDWHV Y JRYHUQPHQWWRXVH%HQGHUjVSULRUFRQYLFWLRQWRLPSHDFKKHU 7KRPDV  )G   WK &LU   FLWDWLRQ DQG FUHGLELOLW\EXWPLQLPL]HGDQ\SUHMXGLFLDOHIIHFWE\SURYLGLQJ LQWHUQDOTXRWDWLRQPDUNVRPLWWHG )XUWKHUPRUHZHKDYHKHOG OLPLWLQJLQVWUXFWLRQVWRWKHMXU\6HH8QLWHG6WDWHVY*DLWDQ WKDWVXFKH[SHUWWHVWLPRQ\E\SROLFHRIILFHUVLVQRWXQIDLUO\ $FHYHGR)G WK&LU  ILQGLQJQR SUHMXGLFLDO SDUWLFXODUO\ ZKHQ WKH GLVWULFW FRXUW SURYLGHV DEXVHRIGLVFUHWLRQZKHUHWKHGLVWULFWFRXUWDOORZHGHYLGHQFH FDXWLRQDU\LQVWUXFWLRQVWRWKHMXU\6HHLGDW7KHGLVWULFW RI WKH GHIHQGDQWj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sRKQ'RQHJDQWRWHVWLI\DVDQH[SHUWZLWQHVV PDQGDWRU\PLQLPXPVHQWHQFHWKDW%HQGHUZRXOG RQWKHQDWXUHRIWKHGUXJWUDIILFNLQJEXVLQHVV'RQHJDQKDG IDFHLIFRQYLFWHG EHHQ D SROLFH RIILFHU ZLWK WKH 1DVKYLOOH 0HWUR 3ROLFH 'HSDUWPHQWIRU\HDUVDQGDPHPEHURIWKH9LFH1DUFRWLFV %HQGHUDOVRDUJXHVWKDWVKHZDVGHQLHGGXHSURFHVVZKHQ 'LYLVLRQIRURIWKRVH\HDUVDWWKHWLPHRI%HQGHUjVWULDO+H WKHGLVWULFWFRXUWSURKLELWHGKHUFRXQVHOIURPPHQWLRQLQJWKH KDG UHFHLYHG H[WHQVLYH WUDLQLQJ LQ GUXJ FULPHV DQG GUXJ PDQGDWRU\PLQLPXPVHQWHQFHWKDW%HQGHUZRXOGUHFHLYHLI WUDIILFNLQJDQGKDGHYHQWDXJKWFODVVHVRQGUXJHQIRUFHPHQW VKHZHUHFRQYLFWHG:HUHYLHZFRQFOXVLRQVRIODZGHQRYR DQG GUXJ LQWHUGLFWLRQ  'RQHJDQ ZDV D PHPEHU RI WKH ODZ 6HH8QLWHG6WDWHVY.LQJ)G WK&LU