United States of America, Appellee,
vs.
Leonard Peltier, Appellant.
No. 77-1487
United States Court Of Appeals, Eighth
Circuit
585 F.2d 314, 1978 U.S. App. Decision
September 14, 1978, Decided
Appeal from the United States District
Court for the District of North Dakota
William M. Kunstler, New York City (argued), and Michael E. Tigar, Washington,
D.C. (argued), Arthur Kinoy, New York City, on brief for appellant. Evan
L. Hultman (former U. S. Atty.), Waterloo, Iowa (argued), Lynn E. Crooks,
Asst. U. S. Atty., Fargo, N. D., Robert L. Sikma, Asst. U. S. Atty., Sioux
City, Iowa, and Richard E. Vosepka, Jr., Asst. U. S. Atty., Minneapolis,
Minn., on brief for appellee.
Before GIBSON, Chief Judge, and ROSS and STEPHENSON, Circuit Judges.
n*
[F.2d 318]
On June 26, 1975, two Special Agents
of the Federal Bureau of Investigation, Jack Coler and Ronald Williams,
were murdered on the Pine Ridge Indian Reservation in South Dakota. Leonard
Peltier, Robert Eugene Robideau, Darrell Dean Butler, and James Theodore
Eagle were charged with the murders in a two-count indictment for first-degree
murder in violation of 18 U.S.C. §§ 2, 1111, and 1114. Robideau
and Butler were jointly tried by a jury and were acquitted. The government
dismissed the charges against Eagle. Subsequent to the Robideau-Butler
trial, Peltier was tried by a jury, was convicted on both counts, and was
sentenced to life imprisonment on each count, the sentences to run consecutively.
He appeals.
Peltier was not a permanent resident
of the Pine Ridge Reservation. His presence there in June of 1975 was the
result of a political struggle between certain reservation members who
supported the structure of tribal government, and supporters of the American
Indian Movement (AIM) who advocated a different form of government. In
an effort to alleviate the conflict, tribal elders had invited members
of AIM to stay at the reservation. Leonard Peltier, Darrell Butler, Robert
Robideau, Michael Anderson, Wilford Draper, Norman Charles, Norman Brown,
and Joe Stuntz, all AIM members, accepted their invitation. They arrived
in the spring of 1975 and stayed in an encampment on the reservation which
became known as "Tent City."
In June of 1975, Special Agents Coler
and Williams were engaged in felony criminal investigations on the Pine
Ridge Indian Reservation. On June 25 and 26, they were attempting to locate
and arrest four individuals, including James Theodore Eagle, who were charged
with armed robbery and assault with a deadly weapon.
Shortly before noon on June 26, Special
Agent Williams, driving a 1972 Rambler, and Special Agent Coler, driving
a 1972 Chevrolet, entered the Harry Jumping Bull Compound on the reservation.1
The agents were following three individuals riding in a red and white van
that had entered the compound shortly before them.2
The van stopped at a fork in the road leading to Tent City. The agents
stopped at the bottom of a hill. Williams advised Coler on the radio that
the occupants of the van were about to fire on them. Firing commenced.
Other AIM members who were present at the Jumping Bull Compound or Tent
City thereafter joined in the shooting.
The agents took heavy fire. Over 125
bullet holes were found in their cars. In contrast, only five shell casings
attributable to the agents' guns were ever found at the scene. Both agents
were wounded by bullets fired from a distance. Special Agent Coler was
wounded by a bullet that traveled through the trunk lid of his car and
struck his right arm. The force of the bullet almost took his arm off,
rendering him completely disabled and causing him to lose blood rapidly.
He crawled to the left side of his car, away from the gunfire. Williams
was shot in the left shoulder. The bullet traveled from his shoulder, under
his arm and into his side. Although wounded, Williams removed his shirt
and attempted to make a tourniquet for Coler's arm. Williams at some point
was also shot in the right foot.
These wounds were not fatal. The agents
were killed with a high velocity, small caliber weapon fired at point blank
range. Williams attempted to shield his face from the blast with his right
hand, turning his head slightly to the right. The murderer placed the barrel
of his gun against Williams' hand and fired. The bullet ripped through
Williams' hand, into his [F.2d 319] face, and carried away the back
of his head. He was killed instantly. The murderer shot Coler, who was
unconscious, across the top of the head. The bullet carried away a part
of his forehead at the hairline. The shot was not fatal, however. The murderer
then lowered his rifle a few inches and shot Coler through the jaw. The
shell exploded inside his head, killing him instantly.
The evidence against Peltier was primarily
circumstantial. Viewed in the light most favorable to the government,3
the strongest evidence that Peltier committed or aided and abetted the
murders is as follows:
1. The van that the agents followed
into the Jumping Bull Compound was occupied by Peltier, Norman Charles
and Joseph Stuntz.
2. At the time, Peltier had access
to information that he was being followed by FBI agents. One of the occupants
of the van, Norman Charles, had been picked up along with two other AIM
members, Anderson and Draper, by Coler and Williams the day before. The
three had been transported to Pine Ridge in Williams' car, and were later
released after the agents were informed that none of them was Jimmy Eagle.
3. Peltier had reason to believe that
the agents were looking for him, rather than Jimmy Eagle. He stipulated
at trial that there was an arrest warrant outstanding, charging him with
attempted
murder. Upon his arrest in Canada months later for the murders of the
agents, Peltier remarked that the two agents were shot when they came to
arrest him. He also made other incriminating statements.
4. Michael Anderson, one of the AIM
members who was firing at the cars from one of the houses in the Jumping
Bull Compound, testified that after both sides had been shooting at one
another from a distance, and at least one of the agents had been wounded,
he saw Peltier, Robideau and Butler standing down at the agents' cars.
Peltier at the time was holding an AR-15. Shortly after he saw the three
down at the agents' cars, he began to walk back to Tent City, a distance
of about a quarter of a mile. When he arrived at Tent City, Peltier, Robideau
and Butler were already there, as was Williams' car. F.B.I. agents who
later searched the area recovered Williams' badge and billfold on the ground
near the junction of the roads leading to the houses and Tent City. It
was at this junction that Peltier's van had stopped shortly before the
firing commenced.
5. According to the doctor who performed
the autopsies, the agents were shot with a high velocity, small caliber
weapon. Peltier's AR-15, the civilian counterpart of the M-16, was the
highest velocity weapon fired that day.4
No other person was seen by any trial witness on June 26 with an AR-15.
Peltier carried his AR-15 out with him when he and the other participants
of the shoot-out escaped from the reservation and fled to the Rosebud Reservation,
where they remained for some time before splitting up. Robideau, Charles
and Anderson went south after leaving Rosebud. Anderson testified that
he loaded their car with weapons, one of which was an AR-15, before they
left South Dakota. On [F.2d 320] September 10, 1975, the car exploded
on the Kansas Turnpike, and police recovered from the car the AR-15
which the government contended Peltier used on the day of the murders.
6. Ammunition components linked ballistically
to the same AR-15 were found at the crime scene. The ballistics expert
was unable to fire the AR-15 because it had been damaged in the explosion
on the Kansas Turnpike. However, he was able to remove the bolt from it,
place the bolt in another AR-15, and test fire the replacement AR-15. The
expert testified that a .223 cartridge casing found in the trunk of Coler's
car had been loaded into and extracted from the AR-15. He also testified
that a .22 caliber copper bullet jacket found in the ground underneath
the bodies of Coler and Williams had rifling impressions consistent with
the rifling of the barrel of an AR-15. There was no testimony to indicate
that either Robideau or Butler was seen the afternoon of the murders with
a weapon that fired .22 caliber bullets.
7. Wilford Draper, a member of the
escape party that left Tent City the evening of the murders, testified
that he overheard Peltier, Butler and Robideau discussing certain details
of the murders on the evening of June 26, 1975.
8. Peltier was stopped by police months
later in the State of Oregon. He fled the scene, turning to fire on one
of the police officers. The motor home in which he was riding was searched,
and Special Agent Coler's revolver was found in a bag bearing Peltier's
thumbprint.
After a twenty-five day trial, Peltier
was convicted by a jury of both counts of first-degree murder. He alleges
on appeal5 that:
1. Certain evidence introduced at trial
was so prejudicial and inflammatory that its admission constituted a denial
of due process;
2. The trial court refused to instruct
the jury on his defense that he was a victim of an F.B.I. frame-up, and
refused to allow him to introduce much of the available evidence of F.B.I.
misconduct, thereby depriving him of a fair trial and of his right to compulsory
process;
3. The trial court's refusal to reread
testimony requested by the jury constituted an abuse of discretion;
4. The trial court had no jurisdiction
to try him because the United States Government deliberately violated the
Webster-Ashburton Treaty;
5. Prosecution is barred by the doctrine
of collateral estoppel.
We affirm.
I
Admission of Flight, Other Crimes,
and Weapons Evidence
In proving its case against Peltier,
the government was required to introduce a great deal of evidence regarding
the firearms used by the participants of the shoot-out, the firearms recovered
upon a search of Tent City shortly after the murders, and the various ammunition
components recovered upon a search of the entire crime scene shortly after
the murders. Since the case against Peltier was circumstantial, the evidence
[F.2d
321] was necessary to negate the participation in the actual murders
by others who were present.
In the course of introducing this evidence,
the government offered evidence which the defendant describes as inadmissible
other crimes and weapons evidence. Most of this evidence related to the
circumstances surrounding the discovery of the admittedly relevant firearms
evidence described above. Defendant complains of the admission of this
evidence, even though much of it was admitted without objection.
A. Other Crimes Evidence
The admissibility of other crimes evidence
is governed by Fed.R.Evid. 404(b), which provides:
(b) Other crimes, wrongs, or acts.
Evidence of other crimes, wrongs, or acts is not admissible to prove the
character of a person in order to show that he acted in conformity therewith.
It may, however, be admissible for other purposes, such as proof of motive,
opportunity, intent, preparation, plan, knowledge, identity, or absence
of mistake or accident.
We have held that evidence of other
crimes, wrongs, or acts that is vague and speculative is not admissible
under Rule 404(b). United States v. Jones, 570 F.2d 765, 768 (8th Cir.
1978); United States v. Maestas, 554 F.2d 834, 837 n.2 (8th Cir.), Cert.
denied, 431 U.S. 972, 97 S. Ct. 2936, 53 L. Ed. 2d 1070 (1977). Furthermore,
an issue on which other crimes evidence is admissible must be raised at
trial. United States v. Adcock, 558 F.2d 397, 402 (8th Cir.), Cert. denied,
434 U.S. 921, 98 S. Ct. 395, 54 L. Ed. 2d 277 (1977); United States v.
Maestas, supra, 554 F.2d at 837; United States v. Clemons, 503 F.2d 486,
489 (8th Cir. 1974).
Evidence that is admissible under the
terms of Rule 404(b) may nevertheless be excluded under the provisions
of Fed.R.Evid. 403, which provides:
Although relevant, evidence may be
excluded if its probative value is substantially outweighed by the danger
of unfair prejudice, confusion of the issues, or misleading the jury, or
by considerations of undue delay, waste of time, or needless presentation
of cumulative evidence.
In reviewing a discretionary decision
to admit evidence under Rule 403, we give great deference to the trial
judge who saw and heard the evidence. United States v. Bohr, 581 F.2d 1294,
at 1298-1299 (8th Cir. 1978); United States v. Weir, 575 F.2d 668, 670
(8th Cir. 1978); United States v. Matlock, 558 F.2d 1328, 1332 (8th Cir.),
Cert. denied, 434 U.S. 872, 98 S. Ct. 218, 54 L. Ed. 2d 152 (1977); United
States v. Maestas, supra, 554 F.2d at 836.
We will discuss each claim of erroneously
admitted evidence separately.
1. Milwaukee,
Wisconsin Incident
At the trial, the parties stipulated
to the following facts: On November 22, 1972, Peltier was charged with
attempted murder in Milwaukee, Wisconsin. He was arrested, pleaded not
guilty, and was released on bond. On July 29, 1974, he failed to appear
for trial on the charge, his bond was forfeited, and a bench warrant was
issued for his arrest. Peltier was aware of the outstanding arrest warrant
for attempted murder and knew that if he were taken into custody by law
enforcement officials, he would be returned to Milwaukee to stand trial.
The defendant agreed to stipulate to
these facts only after the district court rejected his argument that they
were not relevant. The government argues that this evidence was admissible
under Rule 404(b) to prove motive, because it tended to show why Peltier
reacted with deadly force when followed by the F.B.I. agents. We agree.
The key issue at trial was the identity of the murderer, and evidence tending
to show motive was clearly relevant. United States v. Stover, 565 F.2d
1010, 1013 (8th Cir. 1977); Gregory v. United States, 365 F.2d 203, 205
(8th Cir. 1966), Cert. denied, 385 U.S. 1029, 87 S. Ct. 759, 17 L. Ed.
2d 676 (1967).
Moreover, the probative value of the
evidence was not substantially outweighed by the danger of unfair prejudice,
as is contended by Peltier on appeal. The evidence [F.2d 322] was
highly probative, especially when considered in conjunction with a statement
Peltier made after his arrest in Canada to the effect that the two agents
were shot when they came to serve him with a Wisconsin warrant. Furthermore,
the government took steps to minimize the danger of unfair prejudice. The
fact that the person Peltier allegedly assaulted in Wisconsin was an off-duty
police officer was withheld from the jury. The stipulation was read to
the jury at the end of the government's case. Finally, the following cautionary
instruction was given:
Evidence has been admitted relating
to other crimes, wrongs or actions alleged to have been committed by the
defendant in this case. Such evidence is not to be considered to prove
the character of the defendant in order to show that he acted in conformity
therewith on June 26, 1975.
Evidence of a charge against the defendant
in Wisconsin and his alleged flight to avoid trial was introduced to show
a possible motive the defendant may have had to avoid apprehension on June
26, 1975. The defendant is presumed to be innocent of the Wisconsin charge
and the evidence relating to that charge must be considered by the jury
only on the issue of motive.
We hold that the district court did
not abuse its discretion in admitting this evidence.6
2. Ontario, Oregon
[76-1906, 76-2127]
On November 14, 1975, Oregon State
Police stopped two vehicles near Ontario, Oregon: a motor home and a Plymouth
station wagon. Peltier was one of the occupants of the motor home, and
fled the scene, turning to fire at the state trooper. Upon searching both
vehicles, Oregon authorities recovered from the motor home Special Agent
Coler's revolver in a paper bag bearing Peltier's thumbprint, and from
the station wagon several shell casings that had been fired from Coler's
revolver.
The defendant alleges error in the
admission of much of the "other crimes" evidence offered by the government
relating to the Oregon incident.
A. Evidence of flight
In addition to the testimony that Peltier
fled the scene, turning to fire at the arresting officer, the government
introduced testimony that the following items were recovered upon a search
of the vehicle:
i. fourteen firearms, eight of which
had obliterated serial numbers, and numerous boxes of shells;
ii. tool boxes containing wiring, pocket
watches with wires leading out of them, tools, pliers, and empty shell
casings;
iii. pieces of paper in each vehicle
upon which were written code numbers and words as follows: # 510 bomb;
# 54 pigs; # 527 ammo; # 529 cops; # 528 dynamite; # 524 roadblock. Both
vehicles were equipped with CB radios, and the motor home was equipped
with a scanner to pick up other frequencies;
iv. nine hand grenades.
In addition to the testimony, pictures
of most of the items described in (i), (ii), and (iv) and the pieces of
paper described in (iii) were also admitted into evidence.
The defendant objected to the admissibility
of much of this evidence; the government contends that it was properly
admitted as evidence of flight. It is well settled that flight of the accused
subsequent to the commission of a crime is, in certain instances, "a circumstance
proper to be laid before the jury as having a tendency to prove his guilt."
Allen v. United States, [F.2d 323] 164 U.S. 492, 499, 17 S. Ct.
154, 41 L. Ed. 528 (1896). Accord, United States v. White, 488 F.2d 660,
662 (8th Cir. 1973), and cases cited therein. However, in the face of Supreme
Court decisions expressing doubt as to the probative value of flight, See
Wong Sun v. United States, 371 U.S. 471, 483 n. 10, 83 S. Ct. 407, 9 L.
Ed. 2d 441 (1963); Alberty v. United States, 162 U.S. 499, 511, 16 S. Ct.
864, 40 L. Ed. 1051 (1896); Hickory v. United States, 160 U.S. 408, 418,
16 S. Ct. 327, 40 L. Ed. 474 (1896), the lower courts have generally scrutinized
the facts of each case to determine whether the jury should be given the
opportunity to draw an inference of guilt from a defendant's flight.
The probative value of flight evidence
has recently been analyzed in United States v. Myers, 550 F.2d 1036, 1049
(5th Cir. 1977). There the court held that the probative value of flight
as circumstantial evidence of guilt
depends upon the degree of confidence
with which four inferences can be drawn: (1) from the defendant's behavior
to flight; (2) from flight to consciousness of guilt; (3) from consciousness
of guilt to consciousness of guilt concerning the crime charged; and (4)
from consciousness of guilt concerning the crime charged to actual guilt
of the crime charged.
The validity of drawing these inferences
in turn depends upon the number of evidentiary manifestations suggesting
defendant's decision to flee was prompted by considerations related to
the crime in question. As the court stated in Bailey v. United States,
135 U.S.App.D.C. 95, 416 F.2d 1110, 1115 (1969), "guilt, as a factual deduction,
must be predicated upon a firmer foundation than a combination of unelucidated
presence and unelucidated flight."
We hold that there was a sufficient
number of such evidentiary manifestations to make evidence of flight and
of resistance to arrest7
highly probative of consciousness of guilt, and hence guilt itself in this
instance. First, Peltier fled the scene of the crime immediately after
its commission. His actions in Oregon were a continuation of that immediate
flight. Second, the fact that the motor home and station wagon were traveling
arsenals linked by communication devices and code words designed for avoidance
of arrest was significant evidence of Peltier's state of mind. Finally,
and most important, evidence linking Peltier to the murders was discovered
upon a search of the vehicle from which he fled. The presence in the motor
home of Agent Coler's revolver, in a bag having Peltier's thumbprint on
it, was one of the key pieces of evidence against Peltier. Under these
circumstances, we find that the evidence of flight was highly probative.
Peltier argues that the evidence of
flight was inadmissible because it did not relate to flight occurring immediately
after the murders, and because the government did not show that at the
time of the flight in Oregon, the defendant had been charged with, or knew
he was being sought for, the murder of the two agents.8
In support of his argument, he cites United States v. White, supra, 488
F.2d 660, and United States v. Jackson, 572 F.2d 636 (7th Cir. 1978).
In United States v. White, supra, 488
F.2d at 662, the defendant fled from police attempting to arrest him for
an incident that had occurred over five months previously. There was no
evidence that at the time of the flight he knew he was being sought for
the crime charged. We held in the context of that case that admission of
the evidence of flight and the giving of a [F.2d 324] flight instruction
was not appropriate because evidence of flight was not sufficiently reliable
as an indication of guilt. Within the framework of the Myers Analysis,
United States v. Myers, supra, 550 F.2d 1036, the evidence in White was
simply too speculative to allow the jury to draw an inference of consciousness
of guilt concerning the crime charged.
White does not require that where flight
occurs a substantial time after the crime, evidence of that flight is properly
admitted only if the government can prove with direct evidence that the
defendant knows he is being sought for the crime charged. As the foregoing
discussion indicates, there was sufficient circumstantial evidence that
the defendant knew he was wanted for the murders of the F.B.I. agents.
Peltier also argues that, notwithstanding
the relevance of the evidence, its probative value was substantially outweighed
by the possibility of prejudice, and therefore it was inadmissible. We
disagree. As we stated above, the evidence in this instance was highly
probative. In the context of this case, the evidence did not prejudicially
distort the general case against the defendant. As we related above, evidence
pertaining to a great number of firearms and ammunition components was
admitted as part of the government's case without objection by the defendant.
The Pine Ridge shoot-out had many participants and there was no dispute
as to the large number of firearms possessed by the AIM members. This additional
firearms testimony could not have had nearly as strong an impact on the
jury as in the cases cited by the defendant for the proposition that firearms
evidence is highly prejudicial. See, e. g., United States v. Robinson,
560 F.2d 507, 513-14 (2d Cir. 1977) (en banc), Cert. denied, 435 U.S. 905,
98 S. Ct. 1451, 55 L. Ed. 2d 496 (1978); United States v. Warledo, 557
F.2d 721, 724-26 (10th Cir. 1977). Furthermore, the evidence was not presented
in an inflammatory manner; in relation to the length of the trial, the
time necessary for its presentation was brief. See United States v. Maestas,
supra, 554 F.2d at 837 n.4. Finally, an elaborate cautionary instruction9
was given, warning the jury against placing undue reliance on flight as
evidence of guilt.
Finally, Peltier argues he offered
to stipulate to his presence in Oregon and to the fact he was in flight,
and that had the court accepted his offer to stipulate, other evidence
of the Oregon incident would have been unnecessary. As a general rule,
the government is not bound by the defendant's offer to stipulate. United
States v. Spletzer, 535 F.2d 950, 955 (5th Cir. 1976); United States v.
Caldwell, 178 U.S.App.D.C. 20, 46, n.134, 543 F.2d 1333, 1359 n.134 (1974);
United States v. Brickey, 426 F.2d 680, 686 (8th Cir.), Cert. denied, 400
U.S. 828, 91 S. Ct. 55, 27 L. Ed. 2d 57 (1970). As stated long ago by the
court in Parr v. United States, 255 F.2d 86, 88 (5th Cir.), Cert. denied,
358 U.S. 824, 79 S. Ct. 40, 3 L. Ed. 2d 64 (1958):
The reason for the rule is to permit
a party "to present to the jury a picture of the events relied upon. To
substitute for such a picture a naked admission might have the effect to
rob the evidence of much of its fair and legitimate weight."
As the court pointed out in United
States v. Spletzer, supra, 535 F.2d at 955, however, this rule is subject
to the provisions of Fed.R.Evid. 403. The Advisory Committee in its notes
accompanying Rule 403 suggested that:
[F.2d 325] In reaching a decision
whether to exclude on grounds of unfair prejudice * * * (t)he availability
of other means of proof may also be an appropriate factor.
As a general rule, trial courts should
seriously consider offers to stipulate in deciding whether to exclude or
admit evidence under Rule 403. Cf. United States v. Cook, 538 F.2d 1000,
1005 (3d Cir. 1976). After careful analysis, however, we conclude that
the district court did not abuse its discretion in refusing to exclude
the government's evidence relating to the Oregon incident merely because
of defendant's offer to stipulate. The defendant never indicated a willingness
to stipulate to any of the details of his flight, but only to the flight
itself. Such a stipulation, barren of any detail, would have robbed the
government of most of the probative value of the admissible flight evidence
as tending to show consciousness of guilt of the murders.
If, in fact, the evidence of the weapons
found in the Oregon incident was inadmissible, in view of all of the other
weapons introduced into evidence without objection, the addition of these
weapons was, in our opinion, harmless error beyond a reasonable doubt.
B. Unrelated robbery of ranch house
The government introduced testimony
that on or about November 14, 1975, a .30/30 rifle and a pickup truck were
stolen from a residence near Ontario, Oregon. Peltier's fingerprints were
found in the residence. When Peltier was apprehended in Canada, he had
in his possession the .30/30 rifle stolen from Oregon.
The government argues that this testimony
was relevant to prove Peltier was indeed the person who fled from the motor
home in Oregon and to show flight. Because Coler's revolver was found in
the motor home, we agree evidence proving Peltier's presence there was
relevant. We also agree that Peltier's actions of arming himself and stealing
a vehicle for transportation were relevant to show continuing flight.
Peltier argues that the probative value
of the evidence was substantially outweighed by the danger of unfair prejudice,
especially in light of his willingness to admit his presence in Oregon.
The other crimes evidence was not more highly probative of Peltier's presence
in Oregon than his admission would have been, and the evidence of flight
was essentially cumulative. Even if we held that the trial court abused
its discretion in admitting this evidence, however, again we are convinced
the error was harmless beyond a reasonable doubt. United States v. Weir,
supra, 575 F.2d at 671. See Harrington v. California, 395 U.S. 250, 23
L. Ed. 2d 284, 89 S. Ct. 1726 (1969); Chapman v. California, 386 U.S. 18,
17 L. Ed. 2d 705, 87 S. Ct. 824 (1967); Fed.R.Evid. 103. The evidence of
Peltier's guilt was strong. The evidence in question was but a miniscule
portion of the trial. Moreover, a cautionary instruction was given.10
B. Weapons Evidence
The government, in addition to offering
into evidence certain firearms that had been fired by various participants
of the shoot-out at Pine Ridge, also introduced evidence relating to the
circumstances surrounding the recovery of those firearms. Included in the
government's presentation was evidence of other firearms and explosive
devices. Peltier vigorously disputes the admissibility of this evidence,
and argues that its prejudicial impact on the jury mandates reversal of
his conviction.
1. Wichita, Kansas
As we stated above, the escape party
fled to the Rosebud Reservation after the murders and remained there for
a time before [F.2d 326] splitting up. Robideau, Charles, and Anderson
then proceeded south, and the car in which they were riding exploded on
the Kansas Turnpike. Police recovered a large number of weapons and explosives
from the car, including the AR-15 linked to the crime scene and Special
Agent Coler's rifle. Peltier was not an occupant of the car and was not
in the vicinity. Admitted into evidence were three of the firearms recovered
at the scene of the explosion, several pictures of the explosion-damaged
vehicle, several pictures of the eight or more firearms recovered from
the vehicle, and several pictures of shells and of hand grenades found
at the scene. Testimony of the details of the police search of the area
and the discovery of the items admitted was heard by the jury.
In his brief, Peltier does not clearly
articulate the specific evidence relating to the Wichita incident to which
he objects. At trial, he objected to the relevance of the pictures of the
vehicle after the explosion. We hold that the district court properly found
the pictures to be relevant to explain the condition of the weapons introduced
into evidence at the trial. A crucial question was whether the .223 casing
found in Coler's trunk was fired from the AR-15 found in Wichita. The ballistics
expert testified that he was unable to fire the weapon because of its condition.
He was, however, able to remove the bolt, place it on another AR-15, and
conduct limited comparisons.
Defendant also objected to the pictures
of the hand grenades on the grounds of relevance and prejudicial impact.
The government argued that the hand grenades found at Wichita were the
type found at Tent City shortly after the murders, and that the pictures
of the hand grenades found at Wichita were relevant to link the occupants
of the vehicle to certain firearms found at the scene of Pine Ridge. We
agree with the trial court that the pictures were relevant, and that their
probative value was not substantially outweighed by the danger of unfair
prejudice to the defendant. Both sides stipulated that Peltier was not
present at Wichita at the time of the explosion. We do not agree that this
evidence caused the jury to speculate about other bad acts attributable
to him, as the defense contends.
Peltier argues generally that the introduction
of firearms evidence was highly prejudicial. However, as we stated earlier,
Peltier does not make clear which of the Wichita evidence he claims was
erroneously admitted. He did object at trial to Ex. 34-A, the AR-15 found
in burned condition at Wichita, as irrelevant. We hold that the district
court did not err in finding that Ex. 34-A was relevant. The government
contended that it was the AR-15 carried by Peltier at Pine Ridge on the
day of the murders and offered ballistics evidence linking it to the murders.
At the trial, Peltier did not object
when the testimony and pictures of the eight or more firearms recovered
from the vehicle were introduced by the government. Nor did he object when
Ex. 30-A, Special Agent Coler's .308 rifle or Ex. 30-1, a firearm found
in burned condition at Wichita, were offered. He stipulated to the admissibility
of Ex. 30-AA, a .308 rifle, as a replica of Agent Coler's .308 rifle when
it was in good condition.
Even if we construed Peltier's brief
on appeal to raise an objection to all of this evidence relating to the
Wichita incident, we would hold that the admission of the evidence was
not plain error. The circumstances of the recovery of the AR-15 and Coler's
rifle were relevant. The firearms evidence could not be labeled highly
inflammatory and prejudicial, in light of the wealth of firearms evidence
admitted previously without objection. Moreover, Peltier was not present
when the explosion and recovery of the firearms occurred.
Finally, Peltier offered to stipulate
to the discovery of the AR-15 and Coler's rifle in Kansas. The government
rejected the offer. As we held above, the government generally is not bound
by an offer to stipulate, and we are not convinced that this evidence requires
a different rule.
[F.2d 327] 2. Rosebud
On September 5, 1975, F.B.I. agents
went to the Rosebud Indian Reservation, located about 180 miles east of
the Pine Ridge Reservation, to arrest five persons charged with assault
with a deadly weapon. While conducting a search incident to the arrest
of several persons,11
they recovered
Special Agent Williams' .357 service revolver and several rifles linked
ballistically to the case. Testimony revealed that the following items
were found:
a. seven firearms, several of which
had obliterated serial numbers (the serial numbers on Special Agent Williams'
service revolver and on Ex. 29-A, the M-1 .30 caliber Gerand rifle which
Butler carried on the day of the murders were obliterated);
b. a knapsack full of dynamite and
hand grenades;
c. a suitcase full of blasting caps;
d. a bag containing spent rounds and
live ammunition for various calibers;
e. walkie-talkie radios.
Peltier again alleges that the evidence
of unrelated firearms and other weapons was unduly prejudicial because
of its inherently inflammatory nature, arguing that its sole effect was
to cause the jury to speculate about other bad acts of the defendant.
Again, no objection was made to the
admissibility of any of this evidence. Much of it was clearly relevant
and strongly probative. Special Agent Williams' revolver, six spent cartridges
from Williams' revolver, six spent cartridges from Special Agent Coler's
revolver, the M-1 rifle carried by Butler on the day of the murders, and
the 44 Ruger carbine used by Joe Stuntz and carried out of Pine Ridge by
Michael Anderson on the day of the murders were all seized at Rosebud.
The relevance of the remaining evidence
is questionable. Assuming without deciding that it was erroneously admitted,
we hold there was no plain error. No pictures or demonstrative evidence
were admitted only testimony, the purpose of which was to detail the discovery
of the evidence directly related to the Pine Ridge episode. The parties
agreed that Peltier was not present at Rosebud on the day the evidence
was seized; the testimony revealed possession of weapons and explosive
devices by Other persons, and was not unfairly prejudicial to the defendant.
United States v. Graham, supra, 548 F.2d at 1313.
3. Alberta, Canada
On February 7, 1976, Peltier was arrested
in Canada. The arresting officer testified that at the time of his arrest,
Peltier had in his possession the .30/30 rifle stolen in Oregon, other
property stolen from the Oregon ranch house, two pistols, and an M-1 semiautomatic
rifle.
At the trial, Peltier made no objection
to the admission of the two pistols or the .30/30 rifle found in his possession
at the time of his arrest. Likewise, he did not object to the testimony
regarding his possession of the property, including the .30/30 rifle stolen
from the Oregon ranch house, or his possession of an M-1 semiautomatic
rifle. We hold that the admission of this evidence was not plain error.
4. Not Prejudicial Error
Ordinarily the admission into evidence
of weapons, or pictures of weapons, which are not directly related to the
crime, and to which proper objection is made, is prejudicial to the defendant
and in many cases it has been held to be reversible error. See United States
v. Robinson, supra, 560 F.2d at 513-16; United States v. Warledo, supra,
557 F.2d at 725, and cases cited therein. In this case however almost all
of the weapons, and some pictures which were not directly related to the
crime, were admitted without objection. Some of these weapons and pictures
of weapons were objected to by the defendant and as to these exhibits we
hold the admission to be harmless error for these reasons: First, there
were many weapons which were admitted without objection or were properly
admitted as being found or [F.2d 328] used at the scene of the crime.
The addition of the pictures and weapons which were not directly related
to the crime and to which Peltier's counsel objected, could only be held
to be cumulative and therefore not prejudicial.
Secondly, the direct and circumstantial
evidence of Peltier's guilt was strong and, in our opinion, the admission
of these additional exhibits did not prejudice the defendant's chances
for acquittal.
II
F.B.I. Frame-up
The defense theory at the trial was
that shortly after the murders, agents of the F.B.I. focused upon Peltier
as a principal suspect, and thereafter conspired to manufacture evidence
against him, resorting to threats, intimidation, and subornation in an
effort to secure his conviction. On appeal, Peltier contends that the district
court ruled inadmissible the bulk of his proof of fabricated evidence and
refused to charge the jury on the law applicable to the defense theory
of the case, thereby depriving him of his right to compulsory process and
to a fair trial.
A. Refusal to Give Defense Instruction
The instruction which the court refused
to give, Defendant's Proposed Jury Instruction No. 19, read as follows:
Testimony has been adduced in this
case which if believed by you shows that the Government induced witnesses
to testify falsely. If you believe that the Government, or any of its agents,
induced any witness to testify falsely in this case (or in any related
case), this is affirmative evidence of the weakness of the Government's
case.
Defendant contends the court erred
in refusing to give this instruction, citing certain evidence admitted
at trial allegedly proving the frame-up and several cases which stand for
the proposition that the defendant in a criminal case is entitled to have
presented to the jury instructions encompassing any theory of defense which
is supported by law and which has some foundation in the evidence, however
tenuous. See United States v. Brown, 540 F.2d 364, 380-81 (8th Cir. 1976);
United States v. Nance, 502 F.2d 615, 619 (8th Cir. 1974), Cert. denied,
420 U.S. 926, 95 S. Ct. 1123, 43 L. Ed. 2d 396 (1975); United States v.
Vole, 435 F.2d 774, 776-77 (7th Cir. 1970).
We reject defendant's contention that
the trial court erred in refusing to give the proposed instruction. In
the first place, proposed Instruction No. 19 does not incorporate what
defendant contends was his theory of defense: that the government framed
him by manufacturing evidence and inducing witnesses to testify falsely.
The proposed instruction is essentially one relating to the credibility
of witnesses, and was dealt with in the court's general instructions 30,
38, and 45 on impeachment and credibility. The principle espoused in Brown
and Nance was meant to apply to a more comprehensive defense instruction
or series of defense instructions. As the court stated in Laughlin v. United
States, 154 U.S.App.D.C. 196, 207, 474 F.2d 444, 455 (1972), Cert. denied,
412 U.S. 941, 93 S. Ct. 2784, 37 L. Ed. 2d 402, Reh. denied, 414 U.S. 882,
94 S. Ct. 169, 38 L. Ed. 2d 130 (1973), in refusing to apply the principle
to the proposed instruction that the jury must acquit the defendant if
it believed defense testimony denying guilt:
What is required before the theory
of the case rule comes into play is a more involved theory involving "law"
or fact, or both, that is not so obvious to any jury.
It is a matter of common sense that
a government prosecution based on false testimony is a "weak" one.
In the second place, there is no evidentiary
support for the instruction as written. Three critical government witnesses,
Anderson, Draper, and Brown, who participated in the events of June 26
at Pine Ridge, did testify on cross-examination that F.B.I. agents threatened,
intimidated, or physically abused them while questioning them in the initial
stages of the investigation about their knowledge of the murders. Brown,
in his testimony as a witness for the [F.2d 329] defense, also stated
that he testified falsely before the grand jury as a result of fear of
the F.B.I. All three witnesses testified than when they were Interviewed,
at early stages of the investigation, their answers to the F.B.I.' §
questions were inconsistent with the truth for one reason or another. However,
upon further questioning at the trial by the government attorney, they
stated that the testimony they gave at the trial was the truth, as they
best remembered it. Thus, their testimony provided no support for the proposed
defense instruction that the government induced them to Testify falsely
in this trial or in a related trial.12
Since the proposed instruction was
essentially a credibility instruction already covered by the instructions
given to the jury, and since there was no evidence that the government
induced the witnesses to testify falsely at the trial, we perceive no error
in the court's failure to give the proposed instruction. United States
v. Rabbitt, 583 F.2d 1014 at 1024 (8th Cir. Sept. 5, 1978); United States
v. Fuel, 583 F.2d 978 at 989-990 (8th Cir. Aug. 16, 1978).
Failure to Give a More Comprehensive
Theory of the Defense Instruction
The next issue is whether the trial
court should have given a more comprehensive theory of the defense instruction.
Peltier relies heavily on United States v. Vole, supra, 435 F.2d at 776,
where the court found the failure to give the following instruction reversible
error:
You are instructed that it is the defendant
Vole's theory of this case that Charles Masini conspired with other persons
to frame him for a counterfeiting conspiracy. If the facts adduced in support
of the defendant Vole's theory create in your mind a reasonable doubt of
his guilt of these charges, then you must find the defendant Vole not guilty
of these charges.
Peltier, while attempting to prove
his theory that he was the victim of an F.B.I. frame-up, did not request
a similar instruction. We find the court's failure to give such an instruction
was not plain error. Cf. United States v. Hamilton, 420 F.2d 1096, 1098-99
(7th Cir. 1970). We have concluded that the jury could not have been misled
by the failure to receive a theory of defense instruction. The court's
instructions clearly stated the government's burden of proof, the matter
of credibility of witnesses was covered in great detail, and defense counsel
vigorously asserted the theory of defense throughout the trial and in closing
argument in an effort to discredit the government's case.
We note, furthermore, that Peltier's
contentions of manufactured evidence are far from convincing. The district
court allowed Peltier to present the following evidence relating to his
theory of defense:
1. Discovery of the .223 caliber casing.
The .223 caliber cartridge casing allegedly found in the trunk of Coler's
car was critical evidence against Peltier. In an affidavit used in the
Canadian extradition proceedings, F.B.I. Agent Cunningham stated that he
had found the .223 cartridge casing in Coler's trunk. However, a 302 report13
prepared by Cunningham on June 29, 1975, failed to document discovery of
the casing. Cunningham later recanted that portion of his affidavit relating
to his discovery of the cartridge.
Other evidence presented at the trial
strongly contradicts Peltier's claim that the cartridge was not found in
Coler's trunk. Winthrop Lodge, an F.B.I. fingerprint expert, testified
that he found the .223 cartridge casing in the trunk of Coler's car on
June 29, 1975, when he was examining the car for fingerprints. He produced
his handwritten field notes, which documented his discovery. He further
testified that the car had been searched and had been towed to a garage
in Hot Springs, South Dakota. He [F.2d 330] turned the casing over
to Cortlandt Cunningham, who began his examination of Coler's vehicle immediately
after Lodge finished. The fact that Cunningham signed an affidavit that
he had found the cartridge casing was merely a technical error.
2. Sighting of Peltier and Eagle. Special
Agent Coward testified that late in the afternoon on the day of the murders,14
he saw through the telescopic sight on his rifle two individuals, one of
whom he identified as the defendant, at the scene of the crime. Coward
also interviewed BIA Officer Stoldt, who was with him when he sighted the
defendant. In his 302 report, which showed the date of the interview as
June 28, 1975, Coward stated that Stoldt told of sighting two persons,
one of whom looked like Jimmy Eagle, through his binoculars. Coward interviewed
Stoldt again on September 4, 1975, and reported that Stoldt was now positive
that he had seen Eagle and had also seen Peltier on June 26. Stoldt was
called as a defense witness, denied that he talked to Coward on June 28,
and stated that he was uncertain on June 26 that one of the persons he
sighted was Eagle.
Peltier contends that the discrepancy
between Coward's and Stoldt's accounts was proof that Coward participated
in the frame-up by falsely recording evidence. Again, however, the government
offered an explanation for the apparent discrepancy. Stoldt testified that
he talked to Coward only on June 26 and September 4, 1975, and not on June
28. Coward's testimony at trial was consistent with Stoldt's; he stated
that he interviewed Stoldt and dictated his 302 report on June 26, and
that the secretary simply made a typing error in dating the report June
28. Both witnesses at trial reaffirmed their sightings of Eagle and Peltier
on June 26. In his second 302 of November 4, Coward wrote: " "Stoldt stated
that during the first statement he had given to the F.B.I. A few days after
the shooting of the agents, he told the agents then * * * that he saw Jimmy
Eagle in the group that he had just identified.' " (Emphasis added.) Coward
explained that when he wrote the second 302, he dated Stoldt's statement
by referring back to the first 302 which showed his first interview as
being on June 28. He also stated that on further reflection, he remembered
that his first interview with Stoldt was on June 26.
3. Association of .223 Cartridge Casing
with AR-15. An October 1975, F.B.I. lab report contained a finding that
the .223 cartridge casing recovered from the trunk of Coler's car could
not be associated with any of the weapons which had been submitted to it
for analysis. However, a February 1976, F.B.I. report contained a finding
that the .223 casing could be associated with the Wichita AR-15.
Peltier describes as "mysterious" the
association of the .223 casing with the Wichita AR-15 four months after
a report which concluded that no association could be found. However, the
firearms expert, Evan Hodge, testified that he first began to examine Ex.
34-B, the .223 cartridge casing, in December of 1975 or January of 1976.
Defense counsel did not cross-examine him on the truth of this statement.
Because the instructions to the jury
clearly set out the government's burden of proof, because the defense counsel
stressed the theory of defense throughout the trial and in closing argument,
and because of the nature of the defendant's proof of the alleged frame-up,
we find no plain error in the court's failure to give a theory of the defense
instruction.
B. Denial of Right to Compulsory Process
The trial court excluded certain evidence
which Peltier contends was vital to his defense, stating that:
(T)he Court's position with reference
to evidence to be offered by the defense is simply that evidence relative
to the issues and the evidence presented by the government will be admitted.
I will state, however, that witnesses who have testified will not be impeached
by a showing of misconduct of the Federal Bureau [F.2d 331] of Investigation
Unless that misconduct relates to the testimony of the individual witnesses
who have testified or unless that misconduct relates to exhibits that have
been received in evidence. (Emphasis added.)
The most significant evidence excluded
was the testimony of Myrtle Poor Bear and Jimmy Eagle.
1. Jimmy Eagle Episode. Jimmy Eagle
testified in an offer of proof that he was not on the Pine Ridge Reservation
on June 26, 1975. He was later arrested on another charge, and F.B.I. agents
who questioned him threatened to have him indicted for the murders if he
did not cooperate in the investigation. He did not cooperate and was later
indicted. As a result of the F.B.I. threats, his attorney warned him to
remain silent at all times because the government would probably place
informers in his cell.
After Eagle had been incarcerated for
a time, the government obtained statements of four of his cellmates recounting
Eagle's description to them of the events of June 26. Eagle testified in
the offer of proof that he never made any of the statements attributed
to him. Peltier contends the statements of the four cellmates were so thorough,
and conformed so completely to the F.B.I.'s theory of the murders, that
they impel the inference the F.B.I. concocted the statements and solicited
the cooperation of four felons who desired favorable treatment.
2. Myrtle Poor Bear Episode. In February
and March, 1976, Myrtle Poor Bear signed three affidavits which related
her eyewitness account of the murders of the two agents on June 26, 1975.
Two of these affidavits were considered by Canadian officials in the extradition
proceedings. In testimony given outside of the presence of the jury at
the trial, Poor Bear disclaimed virtually every allegation contained in
the affidavits. She testified that she had been forced to sign the affidavits,
which were prepared by the F.B.I., under threats of physical harm.
The court excluded the proffered testimony
under Rule 403 of the Federal Rules of Evidence. It found that the evidence
was not material, and that any relevance it might have was outweighed by
the danger of confusion of the issues and misleading the jury.
Peltier contends that the trial court,
in excluding the Jimmy Eagle and Myrtle Poor Bear testimony, denied him
his right to compulsory process. We disagree.
In Washington v. Texas, 388 U.S. 14,
23, 87 S. Ct. 1920, 18 L. Ed. 2d 1019 (1967), the Supreme Court held that
the sixth amendment right to compulsory process includes, in appropriate
circumstances, the right to introduce relevant and material testimony from
a witness qualified to testify under an appropriate standard of credibility.
The Court reaffirmed the importance of allowing the defendant to present
his defense in United States v. Nixon, 418 U.S. 683, 711, 94 S. Ct. 3090,
41 L. Ed. 2d 1039 (1974), stating that:
The right to the production of all
evidence at a criminal trial similarly has constitutional dimensions. The
Sixth Amendment explicitly confers upon every defendant in a criminal trial
the right "to be confronted with the witnesses against him" and "to have
compulsory process for obtaining witnesses in his favor." Moreover, the
Fifth Amendment also guarantees that no person shall be deprived of liberty
without due process of law. It is the manifest duty of the courts to vindicate
those guarantees, and to accomplish that it is essential that all relevant
and admissible evidence be produced.
However, the right of a defendant to
introduce the testimony of witnesses in his behalf is not absolute. As
the Supreme Court noted in Chambers v. Mississippi, 410 U.S. 284, 302,
93 S. Ct. 1038, 35 L. Ed. 2d 297 (1973):
Few rights are more fundamental than
that of an accused to present witnesses in his own defense. E. g., Webb
v. Texas, 409 U.S. 95, 93 S. Ct. 351, 34 L. Ed. 2d 330 (1972); Washington
v. Texas, 388 U.S. 14, 19, 87 S. Ct. 1920, 18 L. Ed. 2d 1019 (1967); In
re Oliver, 333 U.S. 257, 68 S. Ct. 499, 92 L. Ed. 682 (1948). In the exercise
of this [F.2d 332] right, the accused, as is required of the State,
must comply with established rules of procedure and evidence designed to
assure both fairness and reliability in the ascertainment of guilt and
innocence.
An analogous case is United States
v. Nobles, 422 U.S. 225, 241, 95 S. Ct. 2160, 45 L. Ed. 2d 141 (1975),
in which Justice Powell made this observation: "The Sixth Amendment does
not confer the right to present testimony free from the legitimate demands
of the adversarial system; one cannot invoke the Sixth Amendment as a justification
for presenting what might have been a half-truth."
Under the Federal Rules of Evidence,
the trial court has broad discretion in determining the relevancy and admissibility
of evidence. United States v. Briscoe, 574 F.2d 406, 408 (8th Cir. 1978);
United States v. Bad Cob, 560 F.2d 877, 880 (8th Cir. 1977). It is only
where the trial court excludes relevant evidence without sufficient justification
that the defendant's constitutional right to compulsory process is violated.
See United States v. Melchor Moreno, 536 F.2d 1042, 1045-46 (5th Cir. 1976).
The evidence proffered by Peltier was justifiably excluded in this instance
under the provisions of Fed.R.Evid. 403.
The evidence was only minimally relevant.
Neither Jimmy Eagle nor Myrtle Poor Bear testified as a government witness
against Peltier. Furthermore, Peltier made no showing that the integrity
of the government's evidence against him was in any way tainted by the
Myrtle Poor Bear and Jimmy Eagle episodes.
Peltier argues that the evidence was
relevant to show bias on the part of government witnesses Anderson, Draper,
and Brown. He argues that Poor Bear's and Eagle's testimony, if believed
by the jury, might have caused the jury to speculate further as to whether
the knowledge Anderson, Draper, and Brown testified to was implanted in
their minds by coercive F.B.I. interrogation.
It is true that "evidence tending to
show a substantial reason for bias or interest in an important witness
is never collateral or irrelevant. It may be * * * the very key to an intelligent
appraisal of the testimony of the (witnesses)." Barnard v. United States,
342 F.2d 309, 317 (9th Cir. 1965). See Davis v. Alaska, 415 U.S. 308, 316-17,
94 S. Ct. 1105, 39 L. Ed. 2d 347 (1974); Johnson v. Brewer, 521 F.2d 556,
561 (8th Cir. 1975). However, Eagle's and Poor Bear's allegations of F.B.I.
harassment, even if true, shed very little, if any, light on the credibility
of Other witnesses, since the trial court allowed full inquiry into the
dealings of Anderson, Draper, and Brown with the F.B.I. In light of the
full presentation to the jury of F.B.I. actions which might have caused
bias on the part of these three witnesses, the testimony of Poor Bear and
Eagle would only have been cumulative.
Peltier also argues that the Poor Bear
and Eagle testimony was admissible to show the intention of the F.B.I.
to bring about his conviction, no matter what the cost. This issue is a
more difficult one. As we stated earlier, Peltier's theory of the case
was that the F.B.I. framed him by manufacturing evidence and inducing witnesses
to testify in accordance with its theory of the murders. The Poor Bear
and Eagle testimony was certainly consistent with that theory. However,
we do not find an abuse of discretion on the part of the district court
in excluding the evidence. The district court weighed the following factors:
a. the defendant's failure to point
to specific evidence used against him, the reliability of which was directly
affected by the Poor Bear or Eagle episodes;
b. the lack of probative value of the
proffered evidence.
i. Myrtle Poor Bear. It is apparent,
from reading the trial transcript, that Myrtle Poor Bear was not a reliable
witness. Her testimony was at all times very vague, and she often responded
that she could not remember. Indeed, defense counsel, anticipating that
she would be called as a witness for the government, described her in his
opening statement as a "witness whose [F.2d 333] mental imbalance
is so gross as to render her testimony unbelievable."
ii. Jimmy Eagle. In addition to offering
Eagle's testimony, the defense also called two of the four cellmates who
gave the allegedly fabricated statements to the government. Both witnesses
affirmed the truth of their earlier statements to the F.B.I., and denied
that the F.B.I. induced them to make false statements.15
There was thus no real proof that the F.B.I. solicited statements from
the four cellmates. There was only proof that Eagle denied making the statements.
c. The probability that the government
would offer countervailing evidence, thus extending an already lengthy
trial.
d. The danger of unfair prejudice to
the government. The proffered evidence would clearly have tended to divert
the jury's attention from the issue before it Peltier's guilt or innocence.
While the more prudent course might
have been to allow the defense to present the evidence, we find no abuse
of discretion in the trial court's exclusion of the testimony of Jimmy
Eagle and Myrtle Poor Bear, in light of its low probative value, the potential
for further delay in the trial, and the danger of unfair prejudice to the
government.
We now summarize briefly the remaining
evidence excluded by the trial court which the defendant contends further
supported his defense that he was the victim of an F.B.I. frame-up. We
have concluded that the evidence would not have bolstered the defense theory
and was properly excluded.
Telescopic Sight Demonstration. Coward
and Stoldt testified that when they sighted Peltier and Eagle on the day
of the murders, they were approximately one-half mile from them. The defendant
requested that the members of the jury be permitted to look through Coward's
telescopic sight to satisfy themselves that an identification could not
be made from such a distance. The question of whether to permit jury experiments
rests within the discretion of the trial court. Friedman v. United States,
347 F.2d 697, 709 (8th Cir.), Cert. denied, 382 U.S. 946, 86 S. Ct. 407,
15 L. Ed. 2d 354 (1965). We hold that the trial court's refusal to allow
the jury members to look through the telescopic sight was not an abuse
of discretion here. The trial court did permit the defendant to introduce
the testimony of a firearms expert, who attempted to identify a familiar
individual through the same telescopic sight at a distance of one-half
mile and was unable to do so. The expert did Not testify that such an identification
was impossible. Furthermore, on cross-examination, the expert testified
that a number of factors could influence a person's ability to make such
a sighting, including atmospheric conditions, the eyesight of the observer,
the lay of the land, and prior training with a scope. Since these variables
would affect each juror's experience with sighting through Coward's sight,
we agree with the district court that such an experiment would have little,
if any, probative value.
F.B.I. Lab Reports. While the district
court admitted into evidence the lab reports regarding the association
or lack of association between the .223 casing and the Wichita AR-15, the
court refused to allow defense counsel to mention the dates of the reports
in his argument to the jury, citing Fed.R.Evid. 613(b). Defense counsel
stated his firm agreement with the court's ruling. The court's reason for
restricting counsel was that when the author of the reports, Evan Hodge,
was on the stand, counsel for the defense declined to question him as to
the reason for the apparent inconsistency, after the trial court suggested
that he do so. We hold that the district court did not abuse its discretion
in so limiting defense counsel's argument. On redirect, in response to
a question from government [F.2d 334] counsel, Hodge stated that
he first began to examine Ex. 34-B, the .223 cartridge casing, in December
of 1975 or January of 1976. On recross, defense counsel did not question
Hodge on the timing of his association of the Wichita AR-15 with the .223
casing, preferring to let the lab reports speak for themselves. The lab
reports were before the jury, which could draw what inferences it chose.
Waring 302. Special Agent Waring's
302 was an eight-page report which apparently had been typed on two typewriters.
The dates of dictation (June 26) and transcription (June 30) were transposed.
The defendant contended that the report had been doctored at a later time
to conform with the emerging theory of the case. The district court refused
to admit the report, but allowed extensive testimony concerning the alleged
difference in type.
Special Agent Waring testified that
he had dictated one of his 302s to two different secretaries, who may have
typed the 302 on two different typewriters. Defense counsel, on cross-examination,
questioned Waring about the fact that the 302 was typed on two different
typewriters and suggested that Waring had had the 302 retyped so as to
conform to an agreed upon version of the facts. Waring denied the allegation.
Defense counsel then sought to introduce the 302 into evidence to allow
the jury to witness the different types on the report. The defense later
called a witness who testified that the 302 in question did indeed contain
two different types. Even were we to hold that the trial court erred in
excluding the report, we fail to see how the defendant was prejudiced by
the trial court's ruling, in view of the fact that the question of the
different types was examined in such detail in the testimony.
III
Refusal to Read Testimony to Jury
During its deliberation the jury made
two requests that certain trial testimony be read: a portion of Michael
Anderson's testimony, and the two statements made by Peltier after his
comment at his arrest that, if he had known the persons approaching him
were law enforcement officers, "he would blow (them) out of (their) shoes."
The trial court refused the requests, instructing the jury instead to rely
upon its recollection of the witnesses' testimony during trial.
The decision to read testimony as requested
by the jury rests within the sound discretion of the trial judge. United
States v. Ballard, 535 F.2d 400, 407 (8th Cir.), Cert. denied, 429 U.S.
918, 97 S. Ct. 310, 50 L. Ed. 2d 283 (1976); United States v. Mesteth,
528 F.2d 333, 334 (8th Cir. 1976). We have examined the requested testimony
and are satisfied that the trial court did not abuse its discretion.16
The testimony was not crucial to the verdict, as the defendant contends,
citing United States v. Rabb, 453 F.2d 1012, 1013-14 (3d Cir. 1971). Furthermore,
the failure to read the testimony did not create unfairness to him, as
he contends, citing United States v. Jackson, 257 F.2d 41 (3d Cir. 1958),
since the requested testimony was favorable to the government's case.
IV
Extradition
Peltier contends, for the first time
on appeal, that the trial court had no jurisdiction to try him, because
he was extradited from Canada in violation of the Webster-Ashburton Treaty,
8 Stat. 572.
[F.2d 335] Article X
of the Webster-Ashburton Treaty provides in pertinent part that:
It is agreed that the United States
and Her Britannic Majesty shall * * * deliver up to justice all persons
who, being charged with the crime of murder * * * shall seek an asylum,
or shall be found, within the territories of the other: Provided that this
shall only be done upon such evidence of criminality as, according to the
laws of the place where the fugitive or person so charged shall be found,
would justify his apprehension and commitment for trial * * *. (Emphasis
added.)
8 Stat. 576. Peltier contends that
the evidence of criminality presented to the Canadian tribunal "consisted
of the false affidavits of Myrtle Poor Bear, obtained by the government
through coercion and deceit and known by the government to be false." He
contends that the presentation of false evidence violated the terms of
the treaty, thereby depriving the trial court of jurisdiction. He cites
a long line of cases beginning with United States v. Rauscher, 119 U.S.
407, 7 S. Ct. 234, 30 L. Ed. 425 (1886), which stand for the proposition
that the demanding state may not charge and try the extradited defendant
for a crime other than one enumerated in the applicable extradition treaty,
and for which he was specifically extradited.
The government argues that the jurisdiction
of the trial court over the defendant is not affected by the manner in
which his presence before the court was obtained, citing Frisbie v. Collins,
342 U.S. 519, 72 S. Ct. 509, 96 L. Ed. 541 (1952) and Ker v. Illinois,
119 U.S. 436, 444, 7 S. Ct. 225, 30 L. Ed. 421 (1886). We do not find it
necessary to decide what standard should be applied to the review of claims
of government misconduct in international extradition proceedings,17
since, under any standard, Peltier's claim is, on its face, lacking in
substance. Peltier does Not claim that he was extradited solely on the
basis of Myrtle Poor Bear's affidavits18
or that the other evidence presented to the Canadian tribunal was insufficient
to warrant extradition. It is clear from a review of the trial transcript
that other substantial evidence of Peltier's involvement in the murders
was presented in the extradition proceedings, but the record of those proceedings
was not made available either to the trial court or to this court.
V
Collateral Estoppel
Peltier alleges that his prosecution
was barred by the doctrine of collateral estoppel, since codefendants Robideau
and Butler were found not guilty by a jury on the basis of evidence much
of which was the same evidence adduced against Peltier. Peltier was not
a party to that proceeding, and may not invoke the doctrine of collateral
estoppel. United States v. Brown, 547 F.2d 438, 444 (8th Cir.), Cert. denied,
430 U.S. 937, 97 S. Ct. 1566, 51 L. Ed. 2d 784 (1977). Cf. Turley v. Wyrick,
554 F.2d 840, 842 (8th Cir. 1977), Cert. denied, 434 U.S. 1033, 98 S. Ct.
765, 54 L. Ed. 2d 780 (1978).
The judgment of conviction is affirmed.
* This appeal was originally submitted
to a panel of Judges Ross, Stephenson and Webster. Upon Judge Webster's
resignation from the court, the appeal was resubmitted to Chief Judge Gibson,
and Judges Ross and Stephenson.
1 The compound consists of a number
of houses and buildings, and is located a short distance off Highway 18
between Oglala and Pine Ridge, South Dakota. It is approximately a quarter
of a mile northwest of Tent City.
2 The agents had been told that Eagle
might be riding in a red vehicle.
3 " "The verdict of a jury must be
sustained if there is substantial evidence, taking the view most favorable
to the Government, to support it.' " Hamling v. United States, 418 U.S.
87, 124, 94 S. Ct. 2887, 2911, 41 L. Ed. 2d 590 (1974), Quoting Glasser
v. United States, 315 U.S. 60, 80, 62 S. Ct. 457, 86 L. Ed. 680 (1942).
As we pointed out in United States v. Lambros, 564 F.2d 26, 28 (8th Cir.),
Cert. denied, 434 U.S. 1074, 98 S. Ct. 1262, 55 L. Ed. 2d 779 (1977), the
same standard of review applies in cases where the conviction rests on
circumstantial evidence, because circumstantial evidence is equally as
probative of guilt as direct evidence.
4. When seen standing at the cars,
Peltier carried an AR-15 and Butler an M-1. Robideau had been seen on various
occasions carrying a Commando Mark III, a .45 caliber semiautomatic weapon.
The velocity of a commercially loaded .223 caliber cartridge fired from
an AR-15 is 3200 feet/second, a .30/06 caliber cartridge fired from an
M-1, 2700 feet/second, and a .45 caliber cartridge fired from a Commando
Mark III over 1000 feet/second.
5 The appellate attorneys also seem
to be raising a question of the competency of trial counsel. Peltier was
initially represented on appeal by his trial attorneys, who filed a brief
on his behalf. On November 2, 1977, this court permitted new counsel to
enter the case. Peltier's second set of attorneys, in oral argument, argued
that Peltier's trial attorneys should have called F.B.I. Director Clarence
Kelley as a witness for the defense, and that their failure to do so was
prejudicial to Peltier. We have carefully examined the record in the trial
court and on appeal, and have concluded that the defendant's trial counsel
were aggressive, capable, and informed, and engaged in sophisticated trial
decisions on strategy. Their decision not to call Clarence Kelley, who
did testify in the Butler-Robideau trial, was clearly such a tactical decision.
We have read the transcript of Kelley's testimony at the Butler-Robideau
trial, and find that its relevance to Peltier's trial was highly doubtful.
The allegation of Peltier's counsel on appeal amounts to no more than hindsight
and second-guessing by one lawyer concerning trial tactics used by another
lawyer. Peltier was equally well-represented at trial and on appeal.
6 Subsequent to the trial in the instant
case, Peltier was tried and acquitted of the charge of attempted murder
of a police officer in Milwaukee, Wisconsin. He now argues that his acquittal
dramatically illustrates the lack of probative value of the evidence. We
disagree. The evidence is probative of Peltier's state of mind on the day
of the murders. That state of mind was not affected by the disposition
of the charge subsequent to the murders. Furthermore, the cautionary instruction
adequately cured any unfair prejudice which could have arisen from the
jury's knowledge of the pending assault charge.
7 Evidence that the defendant resisted
arrest is similarly admissible as showing consciousness of guilt. United
States v. Graham, 548 F.2d 1302, 1313 n.13 (8th Cir. 1977).
8 There was evidence that at the time
of his arrest several months after the Oregon incident, Peltier was in
fact aware that he was being sought for the murders of the two F.B.I. agents.
One of the officers who arrested Peltier in Canada testified that Peltier
acknowledged he knew he was wanted for the murders. Peltier also stated
he would have resisted arrest by deadly force if he had known the police
officers were nearby, saying: "I have got nothing to lose * * * ."
9 The jury was instructed that:
The intentional flight or concealment
of a defendant immediately after the commission of a crime, or after he
is accused of a crime that has been committed, is not of course sufficient
in itself to establish his guilt; but is a fact which, if proved, may be
considered by the jury in the light of all the other evidence in the case,
in determining guilt or innocence. Whether or not evidence of flight or
concealment shows a consciousness of guilt, and the significance to be
attached to any such evidence, are matters exclusively within the province
of the jury.
In your consideration of the evidence
of flight or concealment you should consider that there may be reasons
for this which are fully consistent with innocence. These may include fear
of being apprehended, unwillingness to confront the police, or reluctance
to appear as a witness. Also, a sense of guilt does not necessarily reflect
actual guilt.
10 The jury was instructed that:
Evidence relating to the Oregon incidents
and the defendant's alleged actions in connection with those incidents
was also admitted for limited purposes. First, you may consider it insofar
as you may find it relates to items of physical evidence that have been
connected to the crime scene. Second, you may consider evidence of defendant's
alleged actions in the Oregon incidents in determining whether he was in
flight to avoid prosecution or for some other purpose.
11 One of those present at the Rosebud
Reservation was Darrell Butler.
12 Brown also stated that he lied to
the grand jury. However, he affirmed, after his testimony regarding lying
to the grand jury, that his testimony at trial was the truth.
13 A 302 report is an F.B.I. form on
which are transcribed notes or recollections of F.B.I. agents made in the
course of their investigations.
14 The agents were murdered at approximately
12:00 noon.
15 The two witnesses testified outside
the presence of the jury that after their testimony at trial, they had
been threatened by Peltier himself that if they did not return to court
and testify that their earlier testimony had been induced by F.B.I. threats,
their lives would be in danger.
16 Peltier also contends that the trial
court failed to exercise any discretion at all, declaring "its rigid policy
of traditionally denying jury requests for testimony." We have reviewed
the transcript and are not persuaded that the trial court's comments may
properly be construed as stating such a policy. We note, however, the holding
of the United States Court of Appeals for the Seventh Circuit, that:
(W)e believe a judge could properly
adopt and follow a routine practice of declining such requests unless supported
by some extraordinary showing of need.
United States v. McCoy, 517 F.2d 41,
45 (7th Cir.), Cert. denied, 423 U.S. 895, 96 S. Ct. 195, 46 L. Ed. 2d
127 (1975).
17 We note that the United States Court
of Appeals for the Second Circuit has recently declined to give such broad
effect to Frisbie and Ker, holding in United States v. Toscanino, 500 F.2d
267, 275 (2d Cir. 1974) that:
(W)e view due process as now requiring
a court to divest itself of jurisdiction over the person of a defendant
where it has been acquired as the result of the government's deliberate,
unnecessary and unreasonable invasion of the accused's constitutional rights.
18 The use of the affidavits of Myrtle
Poor Bear in the extradition proceedings was, to say the least, a clear
abuse of the investigative process by the F.B.I. This was conceded by government
counsel on the hearing in this court. It does not, however, follow that
the testimony of this obviously confused and "unbelievable" witness should
have been permitted under either theory advanced by Peltier as hereinbefore
set forth. See discussion, Supra, at p. 332 of this opinion.
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