United States v. Gilbert
United States v. Gilbert
Opinion of the Court
*1173The Government charged Joel Iverson Gilbert and David Lynn Roberson with six counts
I. LEGAL STANDARD
A district court may overturn the jury's verdict and enter a judgment of acquittal under Rule 29 only "if there is insufficient evidence to sustain the verdict." United States v. Williams,
II. ANALYSIS
Roberson argues for an acquittal or new trial on five grounds: (1) the joint trial of this case unfairly prejudiced his advice of counsel defense, (2) there was insufficient evidence that Robinson performed any official acts, (3) there was insufficient evidence of Roberson's corrupt or fraudulent intent, (4) the court's jury instructions were erroneous and prejudicial, and (5) the verdict is contrary to the weight of the evidence. Doc. 266. Gilbert joins in Roberson's second, fourth, and fifth arguments. Doc. 267. The court addresses first the two arguments that pertain only to Roberson's motion and then the Defendants' collective remaining arguments.
A. Whether the Joint Trial Unfairly Prejudiced Roberson's Advice of Counsel Defense
As his first contention of error, Roberson renews his objection to the court's denial of his motions to sever.
*1174Roberson contends that the joint trial substantially prejudiced his defense because, in order to protect Gilbert's rights under the Confrontation Clause, the court precluded Roberson from introducing a purportedly exculpatory portion of his pre-indictment interview with the FBI. Doc. 266 at 25; see also doc. 284 at 71-74; Bruton v. United States ,
At issue here is a redacted version of FBI Agent Ashley Hunt's written summary of Roberson's interview with the FBI. Doc. 284 at 13-28. The redacted summary that Agent Hunt read into evidence omitted the highlighted sentences from the following paragraph:
After the Hubbard trial, Roberson considered what they were doing, i.e., contracting with a state representative, in light of the ethics law but determined that the area targeted by the campaign was not in Robinson's district. Roberson stated that they (Drummond) have always been very careful, and he (Roberson) has a reputation to maintain. Roberson had a conversation with Gilbert about ethics considerations. Roberson wanted to know if it was a problem for him (Roberson) to be associated with the effort because he was a lobbyist. Gilbert later told Roberson that he checked with Greg Butrus and Chad Pilcher at Balch, and there was no problem with what they were doing.
Doc. 266-2 at 7 (emphasis added); see also doc. 284 at 20. The court allowed Agent Hunt to read only the first two sentences, doc. 284 at 20, excluding the rest of the paragraph pursuant to Bruton to protect Gilbert's right to confront his accusers, id. at 71-74. Roberson argues that the decision violated the rule of completeness and substantially prejudiced his advice of counsel defense.
Under the rule of completeness, which is memorialized in Rule 106 of the Federal Rules of Evidence, "the exculpatory portion of a defendant's statement should be admitted if it is relevant to an issue in the case and necessary to clarify or explain the portion received." United States v. Baker ,
The exclusion of the redacted sentences here did not violate the rule for several reasons. First, it is not clear how the sentences that the court admitted directly relate to the excluded sentences. Roberson's statement that he talked to Gilbert and "wanted to know if it is a problem for him (Roberson) to be associated with the effort because he was a lobbyist" has no clear connection to Roberson's earlier statement regarding his "determin[ation] that the area targeted by the [advocacy] campaign was not in Robinson's district." See docs. 266-2 at 7; 284 at 20. Although the omitted sentences may further explain Roberson's consideration of the legality of the Defendants' conduct in light of the ethics law, the redacted version of the *1175interview summary did not distort the meaning of Roberson's statement to the FBI.
Second, even if Roberson is correct that the redacted statement gave the jury the impression that he did not rely on any legal advice regarding the lawfulness of his conduct, doc. 266 at 25-26, the alleged error is harmless because other witnesses' testimony dispels that potential impression. Specifically, Mark Tracy, the CEO of Drummond Company, testified that Gilbert advised him, Roberson, and other Drummond executives at a meeting in late 2014 that Gilbert "had run [the hiring of Robinson's foundation] through [his firm's] legal department and their ethics department and that everything was fine." Doc. 277 at 78-81. Gilbert also testified that he had indeed advised those present at the meeting that the contract with Robinson's foundation complied with the law and that he had vetted the contract with his partners who specialize in ethics law. Doc. 287 at 65-67. In light of this testimony, the redacted version of Roberson's interview with the FBI did not distort the meaning of Roberson's statement by giving the impression that Roberson assessed the legality of the engagement solely on his own.
Third, the redacted statement did not severely prejudice Roberson's advice of counsel defense by, as Roberson contends, omitting the only direct evidence that he "turned to counsel for advice, which strongly implies that he relied on it," doc. 266 at 31. The advice of counsel defense required evidence that Roberson, "before acting: [1] made a full and complete good-faith report of all material facts to an attorney he considered competent; [2] received the attorney's advice as to the specific course of conduct that was followed; and [3] reasonably relied upon that advice in good faith." Doc. 249 at 33 (emphasis added); see also United States v. Eisenstein ,
*1176For all of these reasons, the redacted version of the summary of Roberson's interview with the FBI did not omit substantially exculpatory evidence or violate the rule of completeness. As a result, Roberson has failed to show that the joint trial substantially prejudiced his advice of counsel defense.
B. Whether the Evidence Proved Roberson Had Corrupt or Fraudulent Intent
Roberson also argues that there is insufficient evidence for a jury to conclude beyond a reasonable doubt that he acted with corrupt intent.
Among other things, the trial evidence shows that Roberson met with Robinson in the summer of 2014 to discuss issues related to the Superfund Site and asked Robinson in a follow-up conversation if he knew Alabama Congresswoman Terri Sewell and then Birmingham Mayor William Bell well enough to approach them on behalf of his employer. Doc. 278 at 45-48. Robinson also testified that Roberson asked him to speak at the AEMC meeting and that he received $14,000 from the Defendants four days before the AEMC meeting. Id. at 29-30. Also, Roberson approved Robinson's request for a $7,000 per month payment the day before Robinson's meeting with the EPA. Doc. 211-13. Finally, the jury also heard evidence that the Defendants made effort to conceal the contract with Robinson's foundation. See United States v. McNair ,
*1177C. Whether There is Sufficient Evidence of Official Action
The Defendants rely on McDonnell v. U.S. , --- U.S. ----,
1. Meeting with the EPA
Viewing the evidence in the light most favorable to the Government, the evidence is sufficient for a jury to find beyond a reasonable doubt that the Defendants intended for Robinson to use his position to perform official acts. First, the EPA's proposal to expand the Superfund Site and add the Site to the NPL was a pending question or matter involving the formal exercise of governmental power when Robinson met with the EPA. See doc. 109 at 10. The evidence at trial reveals that the Defendants: (1) knew Robinson was meeting with the EPA due to his position as a state representative, doc. 211-10; (2) believed that Robinson would meet with the EPA Regional Administrator, doc. 211-12; (3) gave Robinson a list of questions to discuss at the meeting, doc. 211-14; and (4) agreed to pay Robinson's foundation $7,000 per month the day before the meeting, doc. 211-13. The questions the Defendants gave Robinson included asking about the state's position on adding the Superfund Site to the NPL and the EPA's decision to seek to make other companies help with the cleanup efforts. See doc. 211-14 at 2. The jury could reasonably find that the scripted questions went beyond merely expressing support for a particular policy, and were designed to inform the EPA that Robinson and the State disagreed with the EPA's remedial actions. Viewing the evidence in the light most favorable to the *1178Government, because a Superfund-financed remedial action required certain "assurances" from the State to proceed, see
2. Presentation to the AEMC
The evidence also belies the Defendants' contention that Robinson's meeting with the AEMC cannot qualify as an official act. The Defendants argue that there was no pending matter or question before the AEMC because the State, through ADEM, had already notified the EPA that it opposed adding the Superfund Site to the NPL. Docs. 266 at 47-50; 233-1 at 7-9. But, an email Gilbert sent to Roberson after Robinson's appearance before the AEMC in which Gilbert acknowledged that ADEM was still in negotiations with the EPA regarding the Superfund Site and expressed concern that ADEM may "throw in the towel," doc. 253-26, undermines the Defendants' argument. Viewing the EPA's response to ADEM's formal comments and Gilbert's email in the light most favorable to the Government, the jury could correctly find that the State's potential concurrence with adding the Superfund Site to the NPL was still a pending matter when Robinson met with the AEMC.
As for the Defendants' alternate contention that the evidence is insufficient to show that Robinson pressured or advised the AEMC to take any particular action on the matter, doc. 266 at 50-53, the court must ascertain only whether sufficient evidence exists to sustain a finding that the Defendants intended for Robinson to pressure or advise the AEMC. Relevant here, the evidence shows that: (1) Gilbert drafted a letter for Robinson to sign requesting the opportunity to provide comments at the AEMC meeting as a state legislator, doc. 211-1; (2) the Defendants persuaded Robinson to speak on their behalf at the meeting after Robinson expressed reluctance, doc. 211-31; (3) with Roberson's knowledge, Gilbert finalized the contract with Robinson's foundation in the days before the meeting, docs. 211-2; 253-12; (4) the Defendants paid Robinson's foundation $14,000 shortly before the meeting, docs. 211-3; 211-37; and (5) the Defendants met with Robinson to help him prepare his comments. The Defendants also surreptitiously taped Robinson's presentation to the AEMC, which the jury could have interpreted as further proof that the Defendants wanted to determine whether Robinson performed as directed at the meeting. Taken together and viewed in the light most favorable to the Government, this evidence is sufficient to allow the jury to reasonably infer that the Defendants intended for Robinson to perform an official act by advising the AEMC, which has oversight responsibilities over ADEM, to take action favorable to the Defendants' client with respect to the State's potential concurrence with adding the Superfund Site to the NPL.
3. Voting on the Joint Resolution
The Defendants argue next that there is insufficient evidence to show that Robinson voted on SJR-97, or that they paid Robinson for his vote. Doc. 266 at 55-57. As the Court noted in its order denying the motion to dismiss the indictment, " McDonnell did not disturb the well-accepted 'retainer' theory of bribery...." Doc. 109 at 18, n.9. Under this theory, the Defendants may be found guilty of bribery if the evidence is sufficient to show that Robinson " 'underst[ood] that he [was] expected, as a result of [the Defendants'] payment, to exercise particular *1179kinds of influence or to do certain things connected with his office as specific opportunities [arose].' " United States v. Repak ,
D. Whether the Court's Jury Instructions were Erroneous and Prejudicial
The Defendants argue next that the court's jury instructions were erroneous and prejudicial. Doc. 266 at 75-91. Jury instructions are erroneous if they would allow a jury to convict a defendant "for conduct that is not unlawful." McDonnell ,
First, the Defendants argue that the court erred by instructing the jury that it need not find an explicit agreement or quid pro quo to convict the Defendants of bribery. Id. at 75-82. The court has already rejected this contention. See doc. 109 at 18, n.9; see also doc. 269 at 38. As the court noted, the retainer theory of bribery, which does not require proof of an explicit agreement or quid pro quo, is still viable after McDonnell . See section II(C)(3), supra. In that respect, this case is distinguishable from the cases the Defendants cite, i.e., McCormick v. United States ,
Second, the Defendants assert that the court erred by failing to "distinguish true 'official action' from non-official advocacy" when it purportedly failed to instruct the jury that an expression of support for a particular policy or action is not an official act. Doc. 266 at 82-88. Rather than giving the instruction the Defendants requested, the court used instead the pattern jury instruction definition of "official act," which is derived from McDonnell and accurately reflects the law. See doc. 249 at 24;
Third, the Defendants challenge the court's version of their theory of defense instruction. Doc. 266 at 89-91. In its instructions, the court gave the jury a summary *1180of "the alleged official acts that the Government has charged in this case," including that Robinson "made a public statement and pressured and advised the AEMC and the ADEM Director," "met with and advised EPA officials to take a position favorable to Balch [ ] and Drummond," and voted on SJR-97 as a member of the House Rules Committee. Doc. 249 at 15-16. The court then gave a theory of defense instruction, stating "[t]he Defendants deny these allegations, and maintain that [ ] Robinson took these actions on his own, that they are not official acts, and that Balch contracted with the [ ] Robinson Foundation for legitimate work." Id. at 16. The Defendants contend that the court gave the jury the false impression that they did not dispute that Robinson advised and pressured the EPA and AEMC. Doc. 266 at 89-91. To the contrary, by informing the jury that the Defendants deny the Government's allegations, the court adequately informed the jury that the Defendants deny that Robinson pressured or advised the AEMC and EPA.
E. Whether the Jury's Verdict is Against the Weight of the Evidence
The Defendants argue in the alternative that they are entitled to a new trial under Rule 33 because the verdict is against the weight of the evidence. Doc. 266 at 92-106. "On a motion for a new trial based on the weight of the evidence, the court need not view the evidence in the light most favorable to the verdict. It may weigh the evidence and consider the credibility of the witnesses." United States v. Martinez ,
The Defendants raise four points in support of a new trial. First, the Defendants attack the evidence generally and characterize the Government's case as merely circumstantial based on timing and concealment. Doc. 266 at 93-94. But, as the Third Circuit recognized in Repak , rarely will there be written documents that provide direct evidence of an agreement between parties to bribe a public official or commit honest services fraud, and the Government may properly and persuasively rely on circumstantial evidence in bribery cases. See Repak ,
The Defendants' third contention, i.e. that their transparency regarding Robinson's work on their behalf "is inconsistent with the essential secret nature of a conspiracy," doc. 266 at 97 (citation omitted), is also not persuasive in light of the evidence. Among other things: (1) the contract with Robinson's foundation mandated confidentiality; (2) in the letter Gilbert drafted for Robinson to sign and send to the AEMC, Gilbert represented that Robinson was acting "on behalf of the concerned citizens working and residing in North Birmingham," doc. 211-1, a contention Robinson repeated during his comments to the AEMC, doc. 253-20 at 12, and neither Gilbert nor Robinson informed the AEMC that Robinson was in fact acting on behalf of Balch and its client; and (3) the *1181law firm's billing statements showed that the Defendants took efforts to conceal payments to Robinson's foundation. Put simply, there is sufficient evidence for the jury to reasonably conclude that the Defendants tried to conceal the true nature and extent of their activities involving Robinson.
Finally, the Defendants argue that the community outreach that Robinson's foundation did pursuant to the contract creates reasonable doubt regarding whether the contract and the payments constituted a bribe. Doc. 266 at 101-106. But, the jury heard the Defendants' evidence on this issue, and presumably, rejected the Defendants' contention that they engaged Robinson solely for legitimate community outreach work. Evidence admitted at trial-e.g. the timing of the approval of Robinson's request for $7,000 per month and the $14,000 payment under the contract, and several months of payments to Robinson's foundation for work that consisted primarily of Robinson's attendance at the EPA and AEMC meetings-provides circumstantial evidence that supports the jury's verdict.
In light of all of the evidence and the considerable respect the court must give to the jury's verdict, the Defendants have not met their heavy burden of showing that denial of a new trial would result in a miscarriage of justice. As such, their motion for a new trial fails.
III. CONCLUSION AND ORDER
Roberson's Motion for Leave to File Reply Memorandum of Law, doc. 270, and Gilbert's Motion to Join Roberson's motion, doc. 271, are GRANTED . And, for the reasons discussed above, the Defendants' Motions for an Acquittal or for a New Trial, docs. 266 and 267, are DENIED .
DONE the 22nd day of October, 2018.
Conspiracy (count 1); Federal program bribery under
The court denied Roberson's motions to sever his trial from Gilbert's. See docs. 59; 115; 284 at 73-74.
A jury convicted former Alabama House Speaker Mike Hubbard on June 10, 2016, on twelve counts related to violations of Alabama state ethics law. Alabama House Speaker Mike Hubbard convicted on 12 Counts , al.com, June 10, 2016, available at www.al.com/news/index.ssf/2016/06/house_speaker_mike_hubbard_con.html.
Roberson attempts to avoid that conclusion by arguing in his reply brief that his statement regarding his conversation with Gilbert is exculpatory no matter when the conversation occurred. Doc. 270-1 at 5. This contention is unavailing because "arguments raised for the first time in a reply brief are not properly before a reviewing court.' " U.S. v. Khan ,
"To sustain the bribery convictions, the government must prove that [the Defendants] paid [Robinson] ... with the corrupt intent to influence or reward." United States v. US Infrastructure, Inc. ,
The Defendants argue that they are entitled to an acquittal in the absence of an official act. Doc. 266 at 14-16, 36, n.6. The Defendants' argument on this point is unavailing because, as explained in the order denying the motion to dismiss the indictment, Section 666, the federal program bribery statute, does not contain an official act requirement. See doc. 109 at 18-20. Thus, even if the Government did not introduce sufficient evidence for a reasonable jury to find that Robinson committed, or agreed to commit, an official act, the Defendants would not be entitled to an acquittal on the federal program bribery and conspiracy counts. See United States v. Jackson ,
The court found, among other things, that the indictment sufficiently alleged that the Defendants paid Robinson to take official acts. Doc. 109. The court adopts and incorporates by reference its analysis of the official act requirement for bribery based on honest services fraud. See id. at 7-18.
Reference
- Full Case Name
- United States v. Joel Iverson GILBERT and David Lynn Roberson
- Status
- Published