United States v. Jack Walter Fallen

498 F.2d 172
CourtCourt of Appeals for the Eighth Circuit
DecidedJuly 5, 1974
Docket73-1882
StatusPublished
Cited by31 cases

This text of 498 F.2d 172 (United States v. Jack Walter Fallen) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Jack Walter Fallen, 498 F.2d 172 (8th Cir. 1974).

Opinions

LAY, Circuit Judge.

Defendant was convicted of engaging in the business of dealing in firearms without a license in violation of 18 U.S. C. §§ 922(a)(1) and 924(a). On appeal, defendant contends the trial court erred in denying defendant’s pre-trial discovery motion; in refusing to find a fatal variance between the indictment and the government’s proof; in not sustaining defendant’s defense of entrapment as a matter of law; and in its charge to the jury defining “reasonable doubt” in terms of “substantial doubt.” On review we find no prejudicial error and affirm the conviction below.

The government’s ease rested essentially on the testimony of two undercover agents of the Bureau of Alcohol, Tobacco and Firearms. The government proved that the defendant Fallen sold firearms to James A. Young, an undercover agent, at defendant’s place of business in Overland, Missouri, on April 7, 1972; May 11, 1972; September 13, 1972; September 18, 1972; October 5, 1972; December 7, 1972; and January 3, 1973. These sales were admitted by the defendant. The defendant asserts, however, that he was a victim of unlawful entrapment in that he was told by the undercover agent that the sale of a single firearm between private parties was not an unlawful act. It was stipulated that defendant did not have a federal license to engage in the business of dealing in firearms.

I. Pre-Trial Discovery of Defendant’s Statements

At trial, Agent Young testified that Fallen had told him that he could get four more pistols and that on another occasion Fallen stated he could get all the ,38s and ,25s Young wanted. Agent Young further testified that the defendant stated after one of the sales, “Don’t get caught with this firearm,” referring to a .38 revolver purchased April 7, 1972. In addition, Fallen allegedly told Agent Trice that he could get additional .38 and .32 caliber revolvers, and finally, that he was trying to get a “tommygun” for the agents.

Prior to trial defendant had moved pursuant to Rule 16(a)(1) of the Federal Rules of Criminal Procedure1 to in[174]*174spect all relevant statements made by defendant concerning the crime charged. The government informed the court that it did not have any “statements” of the defendant and the court therefore denied the defendant’s pre-trial motion to so inspect.

It is the government’s contention that there existed no written or recorded statements of the defendant. Rather, the government urges that the oral statements of defendant about which the agents testified were the agents’ statements and that the agents’ written summaries' of their recollection of these conversations with the defendant were not statements within the purview of Rule 16(a)(1). After the agents had testified at trial, the government turned over their summaries to defense counsel for inspection under the Jeneks Act, 18 U. S.C. § 3500. The government additionally urges that whether or not such statements should be disclosed prior to trial is within the discretion of the trial court and that there is no showing of abuse of discretion here.

We think the government’s argument misses the mark in several respects. First and foremost, the question of whether the trial court properly exercised its discretion is not actually before us. The government’s representation to the trial court that no statements existed foreclosed the court’s exercise of any discretion. In open court, the court has the right to rely upon the truthfulness of the government’s statement. We do not find, nor does the defendant claim, that the government deliberately misled the court. The record indicates the government in good faith interpreted Rule 16(a)(1) to apply only to written or recorded statements of the defendant himself. The difficulty with this reasoning, however, is that in construing the statute the government attempted to become prosecutor and judge at the same time by representing to the court that no statements existed. Cf. United States v. Kasouris, 474 F.2d 689 (5th Cir. 1973); United States v. Wilkerson, 456 F.2d 57 (6th Cir.), cert. denied, 408 U.S. 926, 92 S.Ct; 2506, 33 L.Ed.2d 337 (1972). The proper approach under these circumstances is to reveal to the court what statements the government has, thus giving the court the opportunity to pass on the question of whether or not they come within the purview of Rule 16.

Second, the overwhelming authority is contrary to the government’s position. Defendant’s oral statements made to the agents prior to and at the time of the sales may constitute relevant statements under Rule 16(a)(1). Barring some showing of possible harmful effects flowing from disclosure, these statements should have been produced pursuant to the pre-trial motion. As Professor Moore observes:

The word “statements” as used in subdivision (a)(1) is nowhere defined in the Rule. Some courts have erroneously read into the Rule a qualification that statements discoverable should be “verbatim.” If interpretive aid is needed, resort should be had to common usage of the term “statements” in criminal practice, which applies broadly to almost any material elicited from the defendant, written or oral, inculpatory or exculpatory.

8 Moore’s Federal Practice ¶ 16.05 [1],

In United States v. Crisona, 416 F.2d 107 (2d Cir. 1969), cert. denied, 397 U. S. 961, 90 S.Ct. 991, 25 L.Ed.2d 253 (1970), the Second Circuit refused to accept the government’s interpretation of Rule 16(a)(1), but instead chose to follow the cases supporting defendant’s view :

The bases of these decisions have been that the language of amended Rule [175]*17516(a) is unqualified in contrast to the limited definition of “statement” in section 3500, that the Notes of the Advisory Committee indicate that the amended Rule was intended to apply even to pre-arrest statements made by a defendant during the course of his crime and was meant to broaden materially the scope of discovery available to a defendant, that such a statement is obviously of such vital importance to the defense that fairness compels its disclosure, and that guilty pleas will thereby be encouraged. This broad interpretation of “statement” in Rule 16(a) is supported by the recent recommendation of the ABA Project on Minimum Standards for Criminal Justice, Standards Relating to Discovery and Procedure Before Trial 62 (1969) that a defendant receive before trial all of his statements
regardless of to whom they were made — whether a prosecuting attorney, an investigator, a grand jury * * ", or anyone else. It is also intended that statements be discoverable regardless of how they are obtained, whether surreptitiously or voluntarily.

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498 F.2d 172, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-jack-walter-fallen-ca8-1974.