United States v. Castro

                  UNITED STATES COURT OF APPEALS
                            UNITED STATES COURT OF APPEALS
                      FOR THE FIRST CIRCUIT
                                FOR THE FIRST CIRCUIT

                                             

No. 97-1684

                    UNITED STATES OF AMERICA,

                            Appellee,

                                v.

                        CHRISTIAN CASTRO,

                      Defendant, Appellant.

                                             

           APPEAL FROM THE UNITED STATES DISTRICT COURT

                    FOR THE DISTRICT OF MAINE

           [Hon. D. Brock Hornby, U.S. District Judge]
                                                               

                                             

                              Before

                      Selya, Circuit Judge,
                                                    

                  Coffin, Senior Circuit Judge,
                                                        

                    and Stahl, Circuit Judge.
                                                      

                                             

     Dana A. Curhan on brief for appellant.
                             
     Jay  P.  McCloskey,  United  States  Attorney,  Margaret  D.
                                                                           
McGaughey  and  George  T.  Dilworth,   Assistant  United  States
                                              
Attorneys, on brief for appellee.

                                             

                        November 18, 1997

                                             


          SELYA,  Circuit   Judge.    In  this  criminal  appeal,
                    SELYA,  Circuit   Judge.
                                           

defendant-appellant  Christian Castro  argues  that the  district

court erred  when it  excluded the  testimony of two  prospective

defense witnesses on the ground that  each of them, if called  to

the  witness stand,  could and  would invoke his  Fifth Amendment

privilege  against  self-incrimination.     In  addition,  Castro

asseverates that the  prosecution's role in keeping one  of these

witnesses from testifying distorted  the factfinding process  and

denied  him a  fair trial.   Discerning no  error, we  affirm the

judgment of conviction.

                                I.
                                          I.
                                            

                            Background
                                      Background
                                                

          A federal grand jury indicted the appellant on a charge

of conspiring to possess cocaine base (crack cocaine) with intent

to distribute.  See 21 U.S.C.    841(a)(1) & (b)(1)(B), 846.  The
                             

charge arose  out of  the appellant's supposed  involvement in  a

multi-faceted  drug trafficking  ring.   The  evidence at  trial,

viewed in the light most  favorable to the government, see United
                                                                           

States v. Maraj, 947 F.2d  520, 522 (1st Cir. 1991), showed  that
                         

the conspiracy flourished in mid-1994.  The appellant's  role was

to  deliver  crack cocaine  between  Lawrence, Massachusetts  and

Lewiston, Maine.  Upon arriving in Lewiston,  the appellant would

stay at  one of several  dwellings in which  other coconspirators

resided  and  would supervise  the ensuing  "retail" sales.   The

coconspirators  were  geographically dispersed  and  communicated

largely by  telephone.  Many  of the telephone numbers  that they

                                2


used were listed under false names.

          At trial, the  government presented a very  strong case

against the appellant.   Among other things,  several self-styled

members  of  the  conspiracy testified  for  the  prosecution and

inculpated the  appellant.   Faced with  this  array of  turncoat

witnesses,  the  appellant  sought to  call  his  brother, Manuel

Enr que "Ricky" Castro, and a previously convicted coconspirator,

Melvin "Bubba" Lagasse, as defense  witnesses.  Both men informed

the  district  court  that  they  intended  to  invoke  the Fifth

Amendment privilege against self-incrimination.

          After  the government rested, the court convened a voir

dire  hearing  out  of  the presence  of  the  jury.   The  court

prudently  required the  parties to  proceed  in a  question-and-

answer format.   Each  witness was  represented  by an  attorney.

Defense  counsel's questions to  Ricky Castro focused  on Ricky's

knowledge  anent (1)  the  appellant's  relationship to  numerous

addresses,  and his involvement with a particular dwelling (which

the government contended  was a "crack  house"), and (2)  various

telephone numbers that other witnesses  had said they used in the

course of the conspiracy.

          Ricky  Castro  invoked  his  Fifth Amendment  privilege

against  self-incrimination  and  refused to  testify  concerning

these matters.  Defense  counsel objected and asked the  district

court to compel  responsive answers.   Counsel argued that  Ricky

Castro's  testimony  would help  establish salient  points (e.g.,

that the  appellant did  not reside  at the  specified addresses;

                                3


that he  allowed friends  to install a  telephone under  his name

which  he, himself,  did not  use; and  that he  had a  different

telephone number   not associated with the felonious activities  

which he did  use) without in any way  incriminating the witness.

Ricky's lawyer took a different view.

          The  trial  judge upheld  the claim  of privilege.   He

found,  first, that  the  requested  information  might  tend  to

incriminate the witness, and second, that the government's cross-

examination would likely  delve into the scope and  degree of the

witness's  knowledge of his  brother's activities and  could thus

lead to inculpatory information.1

          From Lagasse,  defense  counsel attempted  to elicit  a

statement  that  the  appellant  was  not  involved in  the  drug

trafficking operation.   Counsel also sought to ask Lagasse about

divers  coconspirators'  reputations for  truthfulness.   Lagasse

invoked his Fifth Amendment privilege as to these questions.  The

district court rebuffed the appellant's argument that Lagasse did

not face any real threat  of incrimination because he already had

been convicted on the conspiracy charge, finding that Lagasse had

                    
                              

     1In this regard, Judge Hornby stated:

          Certainly,  there  are   plenty  of  innocent
          explanations  why  somebody  might  know  the
          residence of a family member, but by the same
          token,  if you  don't  know their  residence,
          that might afford you a defense under certain
          criminal charges.  And I take it, [counsel's]
          argument   therefore  is   by  admitting   to
          knowledge, he has thereby lost that potential
          defense of  lack of knowledge  concerning the
          circumstances.

                                4


valid Fifth Amendment concerns in two respects:  (1) his exposure

to prosecution for one or  more robberies which may have occurred

in  the  same  time  frame  as,  and  in  relation  to, the  drug

conspiracy, and (2)  his exposure to prosecution  for substantive

drug  offenses   committed  during  and  in  the  course  of  the

conspiracy.

          The trial concluded without testimony from either Ricky

Castro or Bubba Lagasse.  The jury found  the appellant guilty as

charged and Judge Hornby imposed sentence.  This appeal followed.

                               II.
                                         II.
                                            

                            Discussion
                                      Discussion
                                                

                                A.
                                          A.
                                            

                        Standard of Review
                                  Standard of Review
                                                    

          In challenging the district court's determination  that

these   witnesses   invoked   the   Fifth   Amendment   privilege

appropriately  and in  good faith,  the  appellant invites  us to

subject that  determination to  plenary review.   We  decline the

invitation.  The proper standard  for appellate review of a trial

court's  determination that a  witness validly invoked  his Fifth

Amendment privilege is abuse of discretion.  See United States v.
                                                                        

Gary, 74 F.3d  304, 310 (1st Cir. 1996); United  States v. Pratt,
                                                                          

913 F.2d  982, 990 (1st  Cir. 1990); see  also Hoffman  v. United
                                                                           

States, 341  U.S. 479, 488  (1951) (explaining that the  court of
                

appeals  should  reverse such  a  determination only  when  it is

"perfectly   clear  from  a  careful  consideration  of  all  the

circumstances in the  case" that the witness's  testimony "cannot

                                5


possibly have such tendency to incriminate").

          Of  course, abuse of discretion itself breaks down into

different  components.   Within it,  factual  findings are  often

subjected  to clear-error  review, see,  e.g.,  United States  v.
                                                                       

Perry, 116 F.3d 952, 977 (1st Cir. 1997), whereas material errors
               

of  law  constitute per  se abuses  of judicial  discretion, see,
                                                                          

e.g., Koon  v. United States, 116 S. Ct.  2035, 2047 (1996).  Put
                                      

another way,  it is  never within a  trial court's  discretion to

make  a  determination that  is  premised on  an  incorrect legal

standard.

                                B.
                                          B.
                                            

                       The Fifth Amendment
                                 The Fifth Amendment
                                                    

          The   Fifth    Amendment   privilege    against   self-

incrimination is an  essential constitutional protection  that is

widely regarded as  a cornerstone  of our  adversarial system  of

criminal  justice.   See Michigan  v. Tucker,  417 U.S.  433, 439
                                                      

(1974).  The privilege must  not be given a crabbed construction.

See In Re  Kave, 760  F.2d 343, 354  (1st Cir. 1985)  (collecting
                         

cases).

          Withal,  the  Fifth  Amendment's  prophylaxis  is   not

available to all  comers in all circumstances merely because they

have  the presence of  mind to chant  the accepted constitutional

liturgy.  To  the contrary, the prospective witness  must show at

the very  least that he  is faced  with some authentic  danger of

incrimination.  See Hoffman, 341  U.S. at 486-87; Pratt, 913 F.2d
                                                                 

at 990; In Re Brogna, 589  F.2d 24, 27 (1st Cir. 1978).   This is
                              

                                6


not a particularly  onerous burden.  While  chimerical fears will

not   suffice,  the  prospective  witness  need  only  limn  some

reasonable possibility that,  by testifying, he may  open himself

to prosecution.  See In Re Kave, 760 F.2d at 354.
                                         

          The privilege  cannot be  invoked on  a blanket  basis.

See In  re Grand  Jury Matters,  751 F.2d  13, 17  n.4 (1st  Cir.
                                        

1984).   It operates  question by question.   Thus,  the district

court must conduct  a "particularized inquiry."   Pratt, 913 F.2d
                                                                 

at 990.  For  the privilege to attach, the  questions and answers

need not  be directly incriminating.   If a reply to  a seemingly

innocuous question reasonably  will tend to sculpt a  rung in the

ladder   of  evidence  leading   to  prosecution,  the  privilege

appropriately  may be  invoked.   See Hoffman,  341 U.S.  at 486;
                                                       

United States  v. Johnson, 488  F.2d 1206, 1209 (1st  Cir. 1973).
                                   

In other words, testimony which might lead indirectly to evidence

that  then could  be used  in  a future  criminal prosecution  is

eligible  for  Fifth   Amendment  protection.    See   Murphy  v.
                                                                       

Waterfront Comm'n, 378  U.S. 52,  79 (1964).   To like effect,  a
                           

court ordinarily should not permit a witness to testify on direct

if  the court  has adequate  reason to  believe that  the witness

validly will invoke the Fifth Amendment on cross-examination with

regard  to matters  which are  bound up  with those  discussed on

direct.  See Gary, 74 F.3d at 309.
                           

          In the last analysis, the nisi  prius court should make

a particularized finding  as to the applicability vel  non of the
                                                                    

privilege  and should  elucidate its  rationale.   In reaching  a

                                7


decision  as  to whether  a  witness's  testimony might  tend  to

incriminate him, the court may of course take  into consideration

any  personal perceptions  gleaned from  its  observation of  the

prospective witness or from its hands-on involvement in the case.

See Hoffman, 341 U.S. at 487; United  States v. Zirpolo, 704 F.2d
                                                                 

23, 25 (1st Cir. 1983).

          With  this backdrop in place, we now consider the lower

court's rulings in respect to each of the proffered witnesses.

                                C.
                                          C.
                                            

                  Manuel Enr que "Ricky" Castro
                            Manuel Enr que "Ricky" Castro
                                                         

          The  appellant argues that his brother should have been

compelled  to testify because  answering questions that concerned

the appellant's places  of residence and telephone  numbers "[b]y

no stretch of the  imagination" would have tended to  incriminate

Ricky.  Relatedly, the appellant  posits that the trial court had

the power    indeed, the duty    to preclude the government  from

cross-examining the witness  as to other, more  sensitive matters

(such as the basis for the witness's knowledge).  The court could

have   used  this  power,  he  maintains,  thereby  cabining  the

government and restricting it to a "very narrow cross."

          We  reject this  line of  reasoning.   Here,  the trial

court  proceeded with  commendable caution.    It prohibited  the

witness from invoking the  Fifth Amendment on a wholesale  scale.

Then, in an attempt to narrow the assertion of the privilege, the

court compelled  the  witness during  the  voir dire  hearing  to

answer  some   preliminary   questions  which   it  deemed   non-

                                8


incriminating.

          As   to  the   queries  involving   knowledge  of   the

appellant's addresses, the court's finding that the witness faced

potential incrimination by  admitting to such knowledge  is fully

supportable.   After all, any  knowledge that Ricky  Castro might

have had of the activities at the  supposed crack house or of his

brother's  comings and goings  at other places  frequented by the

coconspirators  might   well  have   furnished  important   clues

necessary   to  convict   Ricky,  were  he   to  be   accused  of

participation in  the drug  trafficking ring.   See, e.g.,  In re
                                                                           

Kave,  760 F.2d at 354; Johnson,  488 F.2d at 1209; see generally
                                                                           

Hoffman, 341  U.S. at  487-88 (emphasizing  the district  court's
                 

superior ability  to judge  whether information  would have  been

inculpatory in light of the "peculiarities of the case").

          So, too, the court's finding anent the sundry telephone

numbers:   since the  telephone numbers  that the  coconspirators

used to contact each other in connection with the drug enterprise

were  not associated  with  the  appellant's  apparent  place  of

residence,   Ricky's  knowledge  of   those  numbers  could  have

implicated him  in  the  conspiracy.   Requiring  him  to  answer

questions  concerning  the telephone  number  at the  appellant's

actual place  of residence  and his knowledge  as to  whether the

appellant had ever had a telephone listing in Massachusetts would

similarly  have  jeopardized  his  rights.    In  the  idiocratic

circumstances  of this  trial    in  which evidence  of telephone

numbers was central to the government's case   we cannot say that

                                9


the district court abused its discretion in allowing Ricky Castro

to invoke his Fifth Amendment privilege.

          We give short shrift to the appellant's contention that

the district court  had an obligation to compel  answers and then

to forestall self-incrimination by severely limiting the scope of

the  government's inquiry on cross-examination.  We recognize, as

the  appellant  asserts,  that  the  Sixth  Amendment  assures  a

criminal defendant of the right to  mount a defense     but  that

right must coexist with the  government's right to test the truth

of  testimony proffered  by  the defense  through  the medium  of

cross-examination.

          This is not to say that the right to cross-examination,

any more  than the right  to present  a defense, is  absolute and

unfettered.   A trial court  sometimes may avoid  Fifth Amendment

problems  by stopping the cross-examiner from launching a fishing

expedition into collateral matters.  See United States v. Berr o-
                                                                           

Londo o, 946 F.2d  158, 161 (1st Cir. 1991);  Turner v. Fair, 617
                                                                      

F.2d 7,  10 (1st  Cir. 1980).   Still,  if a  jury is  to hear  a

witness's evidence, it normally should not be told only a part of

the  core  story.    Thus,  when  honoring  the  Fifth  Amendment

privilege   will   preclude  or   unfairly   circumscribe  cross-

examination   as  to  non-collateral  matters      and  by  "non-

collateral matters"  we mean  matters that  are  both within  the

scope  of  the  direct  examination  and of  consequence  to  the

resolution of the  issues in the case     it is fully  within the

trial court's  discretion to sustain  the claim of  privilege and

                                10


bar the  witness's testimony  altogether.  See  Gary, 74  F.3d at
                                                              

310; Zirpolo, 704 F.2d at 25-26.
                      

          The  appellant has  one more  shot  in his  sling.   He

asseverates   that  even  if  the  court  properly  excluded  the

testimony, it  should have permitted his counsel to pose specific

questions to the  witness in front of  the jury so that  the jury

could  see  and  hear  the  witness  claim  his  Fifth  Amendment

privilege in living color.  This is whistling past the graveyard.

At least in  the absence of exceptional circumstances    and none

are present here    trial courts should not  permit witnesses who

have  indicated that  they  will refuse  to  answer questions  on

legitimate Fifth Amendment  grounds to take the witness stand and

assert the  privilege in front of the jury.   See Namet v. United
                                                                           

States, 373 U.S.  179, 186 (1963); Johnson, 488 F.2d at 1211.  We
                                                    

fail to see any hint of  discretion abused in Judge Hornby's  use

of standard procedure in this wise.

                                D.
                                          D.
                                            

                      Melvin "Bubba" Lagasse
                                Melvin "Bubba" Lagasse
                                                      

          The  appellant strives to persuade us that the district

court erred  in allowing Lagasse  to assert  his Fifth  Amendment

privilege because  any questions  posed to  him either would  not

have incriminated him or would have been wholly peripheral to the

issues before the court.  We are not convinced.

          The inquiry that the appellant wished to undertake vis-

 -vis Lagasse  was aimed  at securing an  admission that  he (the

                                11


appellant) was not  involved in the drug ring.2   Because Lagasse

already had been convicted and sentenced for his participation in

the  same drug trafficking conspiracy, the appellant reasons that

this testimony was  safe in that no further  possibility of self-

incrimination  remained.   See United  States v. Pardo,  636 F.2d
                                                                

535, 543 (D.C. Cir. 1980).

          This  reasoning is overly  simplistic.  It  ignores the

fact that,  on cross-examination,  the government most  assuredly

would  have  explored the  extent  to which  Lagasse  himself was

involved  in  the  conspiracy  in  order to  test  his  level  of

familiarity  with the players.  Such cross-examination would have

required  Lagasse  to   testify  about  any  and   all  narcotics

transactions that  occurred  in or  about  the same  time  frame.

Though Lagasse  could not be prosecuted again for the conspiracy,

he was not shielded  from criminal liability for  any substantive

crimes which may have been the object of, or which were committed

in the course  of, that conspiracy.  See,  e.g., United States v.
                                                                        

Principe, 482  F.2d 60,  63 (1st Cir.  1973); Ottomano  v. United
                                                                           

States, 468 F.2d 269, 271  (1st Cir. 1972).  Nor do the  terms of
                

Lagasse's plea bargain mandate a different result; while the plea

bargain may have  precluded federal prosecution for some of these
                                             

                    
                              

     2Here again, the district  court did not permit the  witness
to invoke the Fifth Amendment  in a blanket fashion, but required
him to  respond on  voir dire to  specific questions.   Moreover,
after Lagasse claimed his Fifth Amendment privilege in respect to
a question, the  court, if the  basis for the  assertion was  not
transparently clear, made due inquiry of Lagasse's counsel.  This
salutary procedure enabled the court  to define the extent of the
witness's legitimate Fifth Amendment interests.

                                12


substantive  acts, Lagasse  nonetheless was  wide  open to  state
                                                                           

prosecution on that account.  See United States  v. Perez-Franco,
                                                                          

873 F.2d 455, 460-61 (1st Cir. 1989).

          Of course,  the appellant  also wanted  to ask  Lagasse

about his  coconspirators'  reputations for  truthfulness.   This

line of questioning is subject to much  the same vice.  On cross-

examination, the  government certainly  would  have explored  the

degree to  which Lagasse was  involved in the drug  business with

the persons on whose veracity  he was presuming to pass judgment.

Moreover,  because  neither  Lagasse's conviction  nor  his  plea

agreement  shielded him  from criminal  liability  for crimes  of

violence,   the  interrogation  that   the  appellant  sought  to

undertake would likely have gotten  into at least one incident in

which Lagasse allegedly had robbed a coconspirator (and for which

he never had been prosecuted).

                                E.
                                          E.
                                            

                       The Remaining Claims
                                 The Remaining Claims
                                                     

          The  appellant's  two  final  claims  boil  down  to  a

suggestion that  the government's  role in  keeping Lagasse  from

testifying  distorted  the  factfinding  process  and  denied the

appellant  a  fair  trial.    In  mounting  this  offensive,  the

appellant  in effect merges  two loosely  related theories    the

"effective  defense"  theory  (which derives  from  the  right to

compulsory  process)  and the  "prosecutorial  misconduct" theory

(which derives from the right to due process).  See United States
                                                                           

v. Angiulo,  897 F.2d 1169,  1190-93 (1st Cir.  1990) (describing
                    

                                13


both theories).  Whether viewed singly or in combination, neither

theory calls the district court's rulings into doubt.

          We need  not dwell  on the  late, unlamented  effective

defense theory.  That theory purports  to hold that if a  witness

can offer  clearly  exculpatory testimony  indispensable  to  the

defense and the government  has no convincing reason  to withhold

immunity, the trial court may bestow use immunity on the witness.

See Government of the Virgin Islands v. Smith,  615 F.2d 964, 974
                                                       

(3d Cir.  1980).   Recognizing that the  power to  direct witness

immunity customarily is reserved to  the Executive Branch, see 18
                                                                        

U.S.C.    6003(b),  we recently  interred  the effective  defense

theory.  See  Curtis v.  Duval, 124  F.3d 1, 9  (1st Cir.  1997);
                                        

United States v. Mackey, 117 F.3d 24,  28 (1st Cir. 1997).  It is
                                 

not good  law in this circuit and  the appellant cannot profit by

it.

          In contrast,  the appellant's due process  claim stands

on sound  legal  footing.   It  is common  ground  that "the  due

process clause [constrains] the prosecutor to a certain extent in

her  decision to grant  or not to  grant immunity."   Curtis, 124
                                                                      

F.3d  at 10 (quoting Angiulo,  897 F.2d at  1191).  However, this
                                      

constraint operates at the margins of the prosecutor's discretion

and  takes on  practical significance  only  when the  prosecutor

deliberately aspires to distort the factfinding process.  See id.
                                                                           

This type of deliberate distortion can occur in two ways:  if the

government  attempts to intimidate or harass a potential witness,

or if the prosecutor purposefully  withholds use immunity to hide

                                14


exculpatory evidence from  the jury.  See id.;  Angiulo, 897 F.2d
                                                                 

at 1192.   Fortunately, such cases are rare   and the record does

not indicate that this case is of that genre.

          In the first place, there is absolutely  no evidence to

validate the (entirely conclusory) assertion that  the government

attempted to  harass or intimidate  Lagasse.  The mere  fact that

Lagasse was a federal prisoner at the time of Castro's trial does

not  prove the  assertion.   We likewise  are unpersuaded  by the

appellant's suggestion that the  prosecutor's avowed intention to

cross-examine Lagasse  vigorously about  the alleged  robbery and

other non-collateral points  relevant to his proffered  testimony

amounted to  intimidation.   Effective  cross-examination  is  an

essential   tool  that  tests  the  reliability  of  a  witness's

testimony,  and a prosecutor's  stated intention to  proceed down

that road is no more than an acknowledgment of the obvious.

          In the  same vein,  the record  contains no  indication

that the  prosecutor deliberately withheld immunity  from Lagasse

in order to keep  exculpatory testimony from the jury.  In answer

to  the trial  court's inquiry,  the prosecutor  pointed out  the

federal  government's  desire  not to  hinder  "state  or federal

charges  of possession of controlled drugs and trafficking [that]

could  still  be  brought" against  Lagasse,  notwithstanding the

federal  conspiracy   conviction.     This  perfectly   plausible

statement   adequately   deflects   any   insinuation  that   the

government's handling of Lagasse qua witness was motivated by the
                                              

sole purpose of keeping exculpatory  evidence from the jury.  See
                                                                           

                                15


Angiulo, 897 F.2d at 1193.
                 

                               III.
                                         III.
                                             

                            Conclusion
                                      Conclusion
                                                

          We need  go no further.   From aught that  appears, the

appellant was  fairly tried and  justly convicted.   The judgment

below must therefore be

Affirmed.
          Affirmed.
                  

                                16