United States v. Kellogg

510 F.3d 188, 75 Fed. R. Serv. 301, 2007 U.S. App. LEXIS 28314, 2007 WL 4276388
Court of Appeals for the Third Circuit·Decided December 7, 2007·No. 05-1893·Published·Cited by 46 cases

Opinions

OPINION OF THE COURT

JORDAN, Circuit Judge.

Edward V. Kellogg (“Kellogg”) appeals from a judgment of conviction following a jury verdict finding him guilty on thirty-four counts of mail fraud pursuant to 18 U.S.C. §§ 1341 and 2. The primary issue before us is whether the District Court erred by allowing the government to cross-examine a character witness with a question based on the assumption of Kellogg’s guilt. Finding no error, we will affirm the judgment of the District Court.

BACKGROUND1

Kellogg was the owner, President, and Quality Control Officer of Johnston Laboratories, Inc. (“Johnston Laboratories”), located in New Cumberland, Pennsylvania. Johnston Laboratories provided environmental testing services, specifically, analytical testing of environmental samples, including water and wastewater, in order to determine the presence and concentration of contaminants. Many of Johnston Laboratories’ customers were required to comply with environmental laws and regulations administered by the United States Environmental Protection Agency (“EPA”) and the Pennsylvania Department of Environmental Protection (“PA DEP”). Among the tests that customers ordered from Johnston Laboratories were those for Volatile Organic Chemicals (“VOC”), contaminants whose presence in water is regulated by the EPA and PA DEP. In particular, Johnston Laboratories’ customers required testing under an EPA protocol called Method 601/602, which tests for approximately fifty-six contaminants, as opposed to EPA Method 624, which tests for approximately thirty contaminants.

From May 1998 to March 1999, Johnston Laboratories did not possess the appropriately operating equipment to perform VOC testing under EPA Method 601/602. During that time period, Johnston Laboratories subcontracted its VOC testing and analysis to another environmental testing laboratory, Hydro-Analysis Associates, Inc. (“Hydro-Analysis”). However, Kellogg knew that Hydro-Analysis also could not and did not perform VOC testing under EPA Method 601/602, as required by Johnston Laboratories’ customers, but instead used EPA Method 624. Nonetheless, Kellogg authorized Hydro-Analysis to test the water samples of Johnston Laboratories’ customers using the less sensitive method.

Kellogg caused Johnston Laboratories to mail to its customers reports falsely stating that EPA Method 601/602 had been used to test the samples, even though only EPA Method 624 had been used. Kellogg, also through Johnston Laboratories, fraudulently billed customers for the results of environmental VOC testing that was not performed according to the methods ordered by those customers.

In all, Kellogg was charged with causing thirty-four separate, false and fraudulent [191] VOC environmental test reports and billing statements for those reports to be delivered by mail to Johnston Laboratories’ customers from May 1998 to March 1999, in violation of 18 U.S.C. § § 1341 and 2. Following a three week jury trial, Kellogg was found guilty on all counts. He appeals the judgment of the District Court, entered March 16, 2005. The District Court had jurisdiction pursuant to 13 U.S.C. § 3231. We have appellate jurisdiction pursuant to 28 U.S.C. § 1291.

DISCUSSION

1. Cross-examination of Opinion Character Witnesses

Kellogg claims his right to due process was violated when the District Court allowed the government to cross-examine certain of his character witnesses using a hypothetical that assumed he was guilty of the crimes charged in this case. We review a District Court’s ruling on the scope of cross-examination for abuse of discretion. United States v. Serafini, 233 F.3d 758, 768 n. 14 (3d Cir.2000); United States v. Furst, 886 F.2d 558, 577 (3d Cir.1989). As to the District Court’s legal interpretation of the Federal Rules of Evidence and its ruling on Kellogg’s due process claim, our review is plenary. See United States v. Bobb, 471 F.3d 491, 497 (3d Cir.2006); United States v. Mack, 229 F.3d 226, 231 (3d Cir.2000) (citation omitted).

Kellogg raises identical issues with respect to two of his character witnesses— Saleh Malik and Fred Pennington, Jr. The circumstances of the cross-examination of each is reviewed in turn.

A. Saleh Malik

Defense witness Saleh Malik gave testimony supporting Kellogg’s character as a law-abiding citizen. During the government’s cross-examination of Malik, Kellogg objected to the following question2:

Q. Do you have any knowledge about the way Mr. Kellogg ran his environmental laboratory back in 1998? ... 3

The District Court overruled the objection and said that “[t]he government may test the opinions concerning character, and the testimony concerning reputation, [by] testing the witness’s knowledge of the defendant and his business-” (Appx. 1999.)

On appeal, Kellogg argues that the challenged question was improper. More specifically, Kellogg’s position is that the cross-examination was impermissible be[192] cause it assumed the criminal conduct at issue in this case had in fact occurred and that the question thereby violated his right to due process by undermining the presumption of innocence. The government responds that the question was unobjectionable because the prosecution was entitled to test the extent of Malik’s knowledge of Kellogg’s business practices.

Control of cross-examination is largely within the trial court’s discretion. See Michelson v. United States, 335 U.S. 469, 480, 69 S.Ct. 213, 93 L.Ed. 168 (1948) (... “[RJarely, and only on a clear showing of prejudicial abuse of discretion [,] will Courts of Appeals disturb the ruling of trial courts on this subject.”). Federal Rule of Evidence 405(a) expressly allows the government to cross-examine character witnesses regarding their knowledge of specific instances of the defendant’s conduct. Fed.R.Evid. 405(a) (“In all cases in which evidence of character or a trait of character of a person is admissible, proof may be made by testimony as to reputation or by testimony in the form of an opinion. On cross-examination, inquiry is allowable into relevant specific instances of conduct.”). Such cross-examination may help the jury evaluate the reliability of the character testimony. United States v. Shwayder, 312 F.3d 1109, 1120 (9th Cir.2002).

Free access — add to your briefcase to read the full text and ask questions with AI

United States v. Kellogg, 510 F.3d 188, 75 Fed. R. Serv. 301, 2007 U.S. App. LEXIS 28314, 2007 WL 4276388 (3d Cir. 2007).

510 F.3d 188 (United States v. Kellogg) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

Related

United States v. Khaled Miah
Third Circuit, 2024
Jane Doe v. Manor College
Third Circuit, 2023
People v. Medina CA4/3
California Court of Appeal, 2021
Com. v. Sanders, R.
Superior Court of Pennsylvania, 2019
Frantz Bernard v. East Stroudsburg University
700 F. App'x 159 (Third Circuit, 2017)
United States v. Marquis Lopez
635 F. App'x 49 (Third Circuit, 2015)
United States v. Patricia Lynn Hough
803 F.3d 1181 (Eleventh Circuit, 2015)
Mercado v. People
60 V.I. 220 (Supreme Court of The Virgin Islands, 2013)
Gumbs v. People
59 V.I. 784 (Supreme Court of The Virgin Islands, 2013)
Allen v. People
59 V.I. 631 (Supreme Court of The Virgin Islands, 2013)
Sonson v. People
59 V.I. 590 (Supreme Court of The Virgin Islands, 2013)
Tyson v. People
59 V.I. 391 (Supreme Court of The Virgin Islands, 2013)
Castillo v. People
59 V.I. 240 (Supreme Court of The Virgin Islands, 2013)
United States v. Nathaniel Benjamin
711 F.3d 371 (Third Circuit, 2013)
Victor v. People
57 V.I. 785 (Virgin Islands, 2012)
United States v. Dwyer
493 F. App'x 313 (Third Circuit, 2012)