Goldberg v. United States

425 U.S. 94, 96 S. Ct. 1338, 47 L. Ed. 2d 603, 1976 U.S. LEXIS 32
CourtSupreme Court of the United States
DecidedMarch 30, 1976
Docket74-6293
StatusPublished
Cited by328 cases

This text of 425 U.S. 94 (Goldberg v. United States) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Goldberg v. United States, 425 U.S. 94, 96 S. Ct. 1338, 47 L. Ed. 2d 603, 1976 U.S. LEXIS 32 (1976).

Opinions

Mr. Justice Brennan

delivered the opinion of the Court.

This case presents important questions of construction and administration of the Jencks Act, 18 U. S. C. § 3500.1 [97]*97That statute provides that in a federal criminal prosecution, after a witness called by the United States has testified on direct examination, the court, on motion of the defendant, shall order the United States to produce any “statement,” as defined in the Act, in the possession of the United States that relates to the subject matter as to which the witness has testified. The definition of “statement” in § 3500 (e) pertinent to this case is: “(1) a written statement made by said witness and signed or otherwise adopted or approved by him.”

At petitioner's trial in the District Court for the District of Arizona on charges of mail fraud in violation of 18 U. S. C. § 1341, the trial judge sustained the Government’s contention that certain writings of Government lawyers of conversations with the Government’s key wit[98]*98ness were “the work product of counsel,” although the judge had not examined the writings. The Court of Appeals for the Ninth Circuit affirmed but on a different ground. In an unpublished memorandum opinion the Court of Appeals stated: “Apart from the question whether such notes were exempt from the Jencks Act. . . as ‘work product/ they were not statements of the [witness] within the meaning of § 3500 (e).” 2 We granted certiorari limited to the Jencks Act question, 422 U. S. 1006.3

We hold that a writing prepared by a Government lawyer relating to the subject matter of the testimony of a Government witness that has been “signed or otherwise adopted or approved” by the Government witness is producible under the Jencks Act, and is not rendered nonproducible because a Government lawyer interviews the witness and writes the “statement.” We hold further that in the circumstances of this case the Court of Appeals erred in determining in the first instance that the writings in question were not “statements.” We therefore vacate the judgment of the Court of Appeals and re[99]*99mand the case to the District Court for further proceedings consistent with this opinion, following the procedure in Campbell v. United States, 365 U. S. 85 (1961) (Campbell I).

I

Petitioner, with Edwin S. Newman and three other co-defendants, was charged in a multiple-count indictment with using the mails to defraud by means of a fraudulent scheme, which may be briefly summarized. The Financial Security Life Insurance Co., of which petitioner was president, issued single-premium annuities to various individuals; the policies purported to be fully prepaid and were used as collateral for loans. Promissory notes were accepted in lieu of the premiums, and interest on the notes was the only money paid to the company. Further, the policies were misrepresented as being free of liens or encumbrances. In fact, the policies were valueless. Petitioner concealed these facts from lenders who accepted the policies as collateral; indeed, the company refused payment of the proceeds of the policies to the lenders upon the ground of nonpayment of premiums. The three codefendants were charged with using the annuities as collateral to obtain loans. Petitioner used these “sales” of annuities to inflate the assets of the company on paper, intending eventually to sell the company.

Of the five defendants, only petitioner and Newman worked for the company. Newman agreed to plead guilty to a single count of the indictment and to testify as a Government witness. Thereupon his case was severed prior to petitioner’s trial.4 He was the key prosecution witness, revealing in great detail the operation of the fraudulent scheme and the transactions al[100]*100leged in the indictment. Newman signed all of the correspondence with lenders, but testified that at all times he acted pursuant to instructions from petitioner. The Government’s case against petitioner consisted primarily of Newman’s testimony.

Prior to the trial, which covered seven weeks starting May 22, 1973, the Government delivered to petitioner a copy of Newman’s testimony before the grand jury, a memorandum of an interview with Newman conducted by a postal inspector over three years earlier, and a reporter’s transcript of an interview with Newman conducted by two Government lawyers on May 11, 1973. The May 11 transcript indicated that the lawyers intended to conduct further interviews with Newman concerning other transactions. At the trial, on cross-examination on June 27, Newman disclosed that he had met with the lawyers on May 13, June 9 and 10, and part of each day from June 16 through June 27. Unlike the May 11 meeting, no reporter was present. Newman’s forthcoming trial testimony was the subject of the discussion, but the notes of the interview were handwritten by the lawyers. Significantly, however, Newman testified, speaking of the May 13 interview:

“Q. And as they took notes, did they sometimes question you about what you had just said to make sure that they got it down correctly?
“A. They may have. I don’t really remember that that was part of the pattern.”

And again, speaking of the June 9 and June 10 interviews, Newman testified:

“Q. As you were explaining — or discussing your testimony, did anyone take notes?
“A. The two gentlemen took notes.
“Q. Were they occasionally read back to you to [101]*101see whether or not they correctly understood what you were saying?
“A. Probably from time to time.
“Q. All right, sir. Did you either correct them or say, 'Yes, that’s right,’ or ‘No, that’s not right because it went this way, I believe,’ words to that effect?
“A. Yes, that would happen.”

Finally, he described this as the pattern followed at all remaining meetings with the lawyers.

At this point petitioner moved, pursuant to § 3500 (b), for an order directing the United States to deliver the notes to the defense. The trial judge, without waiting to hear from the Government, denied the motion on the ground that the material was “attorney’s work product.” Petitioner renewed the motion the following day, coupling the motion with a request that the Government be ordered to deliver the material for in camera inspection by the court. The motions were denied, but with leave to submit a memorandum in support of the motions. Petitioner’s memorandum argued against the existence of a “work product” exception and renewed the request for an order directing delivery of the material for in camera inspection. Thereafter, the Government orally argued that the material in question was not producible as “the work product of counsel,” and the judge again denied petitioner’s motions. On appeal, the material, which totaled 237 pages and was not part of the District Court record, was lodged with the Court of Appeals.

II

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Cite This Page — Counsel Stack

Bluebook (online)
425 U.S. 94, 96 S. Ct. 1338, 47 L. Ed. 2d 603, 1976 U.S. LEXIS 32, Counsel Stack Legal Research, https://law.counselstack.com/opinion/goldberg-v-united-states-scotus-1976.