United States v. Smith

817 F. Supp. 1369, 1993 U.S. Dist. LEXIS 4190, 1993 WL 113067
Procedural entryThis page is a short order in United States v. Smith. Read the opinion of the Court — 817 F. Supp. 1366
District Court, E.D. Kentucky·Decided March 19, 1993·No. Crim. A. No. 92-38·Published

Opinion

OPINION AND ORDER

FORESTER, District Judge.

This matter is before the Court upon the motion in limine of the defendant, Thomas Anthony Smith, to exclude statements that he made to FBI agents on June 11, 1991. Smith contends that his statements are inadmissible because the agents failed to inform him of his rights and because the agents coerced the statements by making promises of leniency.

In Miranda v. Arizona, 384 U.S. 436, 444, 86 S.Ct. 1602, 1612, 16 L.Ed.2d 694 (1966), the United States Supreme Court held that the fifth amendment privilege against self-incrimination prevents the government from using any statement against a defendant obtained through “custodial interrogation” unless the government informs him of his rights. The rights of the “Miranda warnings” include the right “to remain silent, to consult with an attorney, and to have an attorney appointed for him if he could not afford one.” Berkemer v. McCarty, 468 U.S. 420, 424, 104 S.Ct. 3138, 3142, 82 L.Ed.2d 317 (1984). “Custodial interrogation” means “questioning initiated by law enforcement officers after a person has been taken into custody or otherwise deprived of his freedom of action in any significant way.” California v. Beheler, 463 U.S. 1121, 1123, 103 S.Ct. 3517, 3519, 77 L.Ed.2d 1275 (1983) (quoting Miranda, 384 U.S. at 444, 86 S.Ct. at 1612).

Although the nature of any police questioning necessarily contains coercive aspects, “[t]he police are required to give Miranda warnings only “where there has been such a restriction on a person’s freedom as to render him ‘in custody.’ ’ ” Id. at 1124, 103 S.Ct. at 3519 (quoting Oregon v. Mathiason, 429 U.S. 492, 495, 97 S.Ct. 711, 714, 50 L.Ed.2d 714 (1977)). Examining the “totality of circumstances,” “the ultimate inquiry is simply whether there is a ‘formal arrest or restraint on freedom of movement’ of the degree associated with a formal arrest,” Id. at 1125, 103 S.Ct. at 3520 (quoting Mathiason, 429 U.S. at 495, 97 S.Ct. at 714). “A policeman’s unartic-ulated plan has no bearing on the question whether a suspect was ‘in custody’ at a particular time; the only relevant inquiry is how a reasonable man in the suspect’s position would have understood his situation.” Berkemer, 468 U.S. at 442, 104 S.Ct. at 3151.

Applying these precedents, the Sixth Circuit Court of Appeals explained that “[t]he test is objective: would a reasonable man in the defendant’s position, knowing the facts as the defendant knew them, have felt that he was under arrest or was ‘otherwise deprived of his freedom of action in any significant way.’ ” Cobb v. Perini, 832 F.2d 342, 346 (6th Cir.1987) (quoting Berkemer, 468 U.S. at 442, 104 S.Ct. at 3151), cert. denied, 486 U.S. 1024, 108 S.Ct. 1998, 100 L.Ed.2d 230 (1988). An undisputed fact is that Smith was never placed under arrest on June 11, 1991. Therefore, this Court must examine all the circumstances to determine if a reasonable person in Smith’s position would have believed that he was deprived of his freedom of movement of the degree associated with a formal arrest. See Berkemer, 468 U.S. at 442, 104 S.Ct. at 3151; Beheler, 463 U.S. at 1124, 103 S.Ct. at 3519.

On February 8, 1993, the Court conducted a hearing on Smith’s motion to dismiss the indictment. FBI Agent James Huggins testified at the hearing about the circumstances surrounding Smith’s statements on June 11, 1991. Huggins testified that he, Agent John Parrish, and Agent Andrew Sluss had Smith under video and audio surveillance when Smith was in a recreational vehicle with Teresa Brown in Barbourville, Kentucky on June 11, 1991. Transcript of February 8, 1993 hearing (“Tr.”) at 110. Under questioning by Smith’s counsel, Huggins agreed that he told Smith after the agents entered the vehicle that they were FBI agents, that the money Smith received was FBI money, that Smith was under investigation for taking bribes, that Smith had a real problem, and that Smith was in a lot of trouble. Tr. at 110-111, 119, 145. Huggins then told Smith that Agent Sluss would tell Smith what he [1371]*1371could do to help himself. Tr. at 111, 119. Huggins testified that Sluss explained the charge against Smith. Tr. at 112. The agents did not place Smith under arrest, and they did not give Miranda warnings to Smith. Tr. at 119, 112. Huggins said that, although Smith was free to leave, he did not recall telling Smith that Smith could leave. Tr. at 112. Agent Huggins testified that Smith was “extremely upset and shocked.” Tr. at 145. Huggins further testified that, during the discussions in the vehicle, Smith did not immediately agree to cooperate with the FBI. Tr. at 146. Rather, "Smith asked to speak to someone from the United States Attorney’s Office. Tr. at 115, Í46. Huggins testified that he did not threaten Smith. Tr. at 146. Huggins said that he contacted Assistant United States Attorney Robert Tre-vey to set up a meeting on the following day, Juné 12, 1991. Tr. at 116, 146.

Agent John, Parrish testified that the agents entered the motor home vehicle together on June 11,1991. Tr. at 59. Parrish said that they did not place Smith under arrest. Tr. at 60. He also said that Smith requested a meeting with someone from the United States Attorney’s Office. Tr. at 56, 60. Parrish testified that Agent Sluss told Smith that the agents would give Smith an opportunity to cooperate. Tr. at 58. Parrish stated that Smith agreed, during a meeting on June 12, 1991, to cooperate with the FBI. Tr. at 68.

Agent Andrew Sluss testified that, after he and the other agents entered the vehicle on June 11,1991, he told Smith what they knew about Smith’s activities and asked Smith to cooperate with the FBI. Tr. at 159. Sluss said that the agents did not charge Smith. Tr. at 160. He testified that, during the discussions in the motor home on June 11, 1991, the agents set up a meeting for the following day because Smith wanted to speak to a representative of the United States Attorney’s Office. Tr. at 167-168. Sluss said that Smith indicated a willingness to cooperate on June 11 but that Smith wanted to speak to someone from the United States Attorney’s Office about his cooperation. Tr. at 168. Sluss further testified that, at the end of the conversations on June 11, Smith thanked the agents “for giving him this opportunity to straighten things out.” Tr. at 188-189.

Smith testified that, on June 11, 1991, he went into a van with Teresa Brown and Clifford Brown. The van was in a parking lot outside Smith’s jewelry store in Barbour-ville. Tr. at 191-192. Smith said that the agents then came into the van and talked to him for fifteen or twenty minutes. Tr. at 192-193. Smith testified that Agent Huggins said that they had not- charged Smith and that, if Smith would cooperate, Huggins would recommend no charge against Smith. Tr. at 193-194, 230, 232. Smith further testified that Sluss asked questions and that Huggins “insinuated two or three times that I was in a lot of trouble but I could help myself if I would cooperate.” Tr. at 194. Smith said that he requested a meeting with the people from the United States Attorney’s Office after Huggins told him that they would determine what to do with Smith. Tr.

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United States v. Smith, 817 F. Supp. 1369, 1993 U.S. Dist. LEXIS 4190, 1993 WL 113067 (E.D. Ky. 1993).

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Related

Miranda v. Arizona
384 U.S. 436 (Supreme Court, 1966)
Oregon v. Mathiason
429 U.S. 492 (Supreme Court, 1977)
California v. Beheler
463 U.S. 1121 (Supreme Court, 1983)
Berkemer v. McCarty
468 U.S. 420 (Supreme Court, 1984)
Illinois v. Perkins
496 U.S. 292 (Supreme Court, 1990)
Robert Cobb v. E.P. Perini
832 F.2d 342 (Sixth Circuit, 1987)
Griffin v. Strong
983 F.2d 1540 (Tenth Circuit, 1993)