United States v. Pineda Mateo
Opinion
We are called upon to decide an issue of first impression in this circuit-whether to recognize a "joint participant" exception to the spousal testimonial privilege. For the following reasons, we affirm the district *15 court's conclusion that recognition of such an exception is not warranted.
I.
Before moving forward, a brief survey of the spousal testimonial privilege and the rationales that have traditionally undergirded it is in order.
A.
The spousal testimonial privilege is an evidentiary privilege that protects a defendant's spouse from having to take the witness stand to testify against the defendant.
See
United States
v.
Breton
,
These two rationales are now "long-abandoned," and the modern justifications for the privilege focus instead on a pair of distinct but related rationales: "fostering the harmony and sanctity of the marriage relationship,"
B.
Just as the rationales underlying the spousal testimonial privilege have changed over time, the nature and contours of the privilege have themselves evolved since the privilege's common law origins.
In its traditional form, the spousal testimonial privilege was, in fact, an absolute rule that completely barred a spouse from giving any testimony in his or her defendant spouse's case, even testimony that would support the defendant's cause.
Trammel
,
*16
The Supreme Court next considered the scope of the spousal testimonial privilege in
Hawkins
v.
United States
,
The most recent occasion on which the Supreme Court has addressed the scope of the spousal testimonial privilege is
Trammel
v.
United States
,
C.
The joint participant exception to the spousal testimonial privilege the Government asks us to adopt, by contrast, does not have anywhere near as long a history as the privilege itself does. The first court to recognize an exception to the spousal testimonial privilege for a witness accused of engaging in a criminal conspiracy with his or her defendant spouse was the Seventh Circuit in
United States
v.
Van Drunen
,
A few years later, the Tenth Circuit followed the Seventh Circuit's lead in adopting the joint participant exception.
Trammel
,
The other courts of appeals that have considered this issue have reached differing conclusions. The Second, Third, and
*17
Ninth Circuits have refused to recognize the joint participant exception.
See
United States
v.
Ramos-Oseguera
,
The Third Circuit based its rejection of the exception on several inter-related grounds. First, that court disputed the premise that "there is no need in fact to protect" marriages where the partners are involved in crime because those marriages "disintegrate and dissolve."
Malfitano
,
Next, the court opined that it was "not confident that courts can assess the social worthiness of particular marriages or the need of particular marriages for the protection of the privilege."
The Second Circuit echoed some of the same concerns. That court stated that it was "unable to accept the proposition that a marriage cannot be a devoted one simply because at some time the partners have decided to engage in a criminal activity."
In re Grand Jury Subpoena
,
On the other side of the split is the Seventh Circuit, which is the only circuit to have recognized a joint participant exception to the spousal testimonial privilege post-
Trammel
.
Clark
,
II.
Having assayed the history of the spousal testimonial privilege and the joint participant exception, we turn to the facts of this case. Because this case has not yet proceeded to trial, we draw the relevant facts from the Government's indictment.
See
,
e.g.
,
United States
v.
Colombo
,
A.
On September 25, 2015, a confidential informant attempted to call a drug dealer named "Tony." Yovannys Guerrero-Tejeda ("Guerrero")-who was recorded by law enforcement without her knowledge-and, in consultation with another individual nearby (alleged to have been her husband, Eric Pineda-Mateo ("Pineda") ), told the informant to raise $1,000 to pay part of a prior drug debt before arranging another drug transaction.
Three days later, the informant called Guerrero again and "arranged to purchase three fingers of heroin from Guerrero and Pineda." On October 6, 2015, the informant and Guerrero exchanged several more phone calls that were covertly recorded by law enforcement, and arranged to meet at a New Hampshire mall for a drug transaction. At this meeting, Guerrero gave the informant a bag of heroin in exchange for $1,000 in cash. Two weeks later, the informant arranged a second drug transaction with Guerrero and Pineda, after which the informant attempted to set up a third transaction. On November 16, 2015, Guerrero and Pineda appeared together at the location where they had agreed to meet the informant and were arrested by the New Hampshire state police and others. In the car, which was registered to Pineda, the police found twenty-five grams of fentanyl.
The Government alleged that the evidence established a conspiracy between Guerrero and Pineda throughout this series of events. For example, during the recorded phone calls with the informant, Guerrero repeatedly referred to "her husband" and negotiated the transactions in concert with him. Additionally, Pineda also appeared to be the person who acquired the heroin subsequently sold to the informant. Furthermore, agents observed both Guerrero and Pineda meeting with the informant in person to conduct the second transaction, during which Guerrero and Pineda spoke to each other in Spanish before speaking in English to the informant. Finally, Guerrero and Pineda were arrested together at the location of the planned third drug transaction.
B.
On December 2, 2015, a federal grand jury indicted Guerrero for one count of
*19
conspiracy to possess with intent to distribute and conspiracy to distribute heroin and fentanyl, in violation of
After a hearing, the district court granted Guerrero's motion to quash the subpoena and denied the Government's motion to compel Guerrero's testimony at Pineda's trial. The district court acknowledged the aforementioned circuit split as to the recognition of the joint participant exception to the spousal testimonial privilege, but ruled that "[t]he weight of authority" counseled against the recognition of such an exception. The Government then filed this interlocutory appeal of the district court's order.
III.
The district court below based its conclusion in part on its reasoning that the Supreme Court implicitly rejected the joint participant exception "by declining to adopt the Tenth Circuit's approach" in Trammel . The Government challenges this finding on appeal. Because a finding that Trammel does entirely foreclose the recognition of a joint participant exception would be dispositive in this appeal, we address that issue first.
The Government's principal contention is that Trammel should not be read to foreclose the possibility of a joint participant exception because the Supreme Court did not address the joint participant exception recognized by the Tenth Circuit below. Pineda and Guerrero defend the district court's reasoning by arguing that "[d]espite the [G]overnment's invitation to adopt" the joint participant exception, the Supreme Court chose to narrow the privilege instead by vesting it only in the testifying spouse. They contend that the district court correctly interpreted this holding on the broader ground of overruling Hawkins as the Court's rejection of that exception. We are not persuaded by Pineda and Guerrero's arguments. Instead, we agree with the Government that Trammel is not a categorical bar to the possibility of recognizing a joint participant exception to the spousal testimonial privilege.
Trammel
, as the Government accurately points out, does not discuss the joint participant exception on which the Tenth Circuit had rested its decision, let alone
*20
opine on its merits.
See
Trammel
,
Applying these principles has several consequences in this case. First, because it is the Supreme Court's prerogative to resolve cases on whatever grounds it believes appropriate, we think that it would be wrong to interpret the Supreme Court's decision to resolve the broader doctrinal question in
Trammel
as implicitly rejecting the narrower ground for affirmance-the joint participant exception.
See
Cohens
v.
Virginia
, 19 U.S. (6 Wheat.) 264, 399,
The context in which
Trammel
was decided further reinforces the conclusion that the Supreme Court did not implicitly foreclose the joint participant exception. Prior to
Trammel
, the Court had decided Hawkins, in which it held that a criminal defendant could assert the spousal testimonial privilege to prevent his or her spouse from testifying against him, even when the spouse was willing to do so.
Absent guidance to the contrary from the Supreme Court-which we do not find in Trammel -we decline to hold that Trammel completely precludes the possibility of recognizing a joint participant exception if the appropriate balancing analysis weighs in its favor. For these reasons, the district court's conclusion that the Supreme Court implicitly rejected the joint participant exception in Trammel is incorrect.
IV.
Having determined that
Trammel
does not squarely resolve the question posed by this appeal, we now turn to the district court's conclusion not to recognize such a joint participant exception. We review the admission or exclusion of evidence over claims of privilege for an abuse of discretion.
In re Grand JurySubpoena
,
A.
Rule 501 of the Federal Rules of Evidence governs claims of privilege in the federal courts.
Swidler & Berlin
v.
UnitedStates
,
The spousal testimonial privilege is one of the two marital privileges recognized under the Federal Rules of Evidence.
4
It "allows one spouse to refuse to testify adversely against the other in criminal or related proceedings ...."
Breton
,
The Government contends that Rule 501's mandate for the federal courts to develop the law of evidentiary privileges "in light of reason and experience" requires us to weigh the Government's need for evidence against the policy rationales that underlie a claimed privilege. A proper balancing of these interests, the Government further argues, justifies recognizing a joint participant exception to the spousal testimonial privilege.
Specifically, the Government points to two features of conspiracies that it claims
*22
enhances the need for the Government to be able to gather evidence. First, the Government argues that a "[c]ollective criminal agreement ... presents a greater potential threat to the public than individual derelicts,"
Callanan
v.
United States
,
On the other side of the scale, the Government argues that society's interest in preserving marital harmony is "diminished in the particular context of conspiracy prosecutions." Married couples who conspire to commit crimes, the Government urges, "have abused the marital privilege granted to them by the state." Because "[i]t would be odd to permit a spouse to invoke the spousal testimonial privilege ... to protect a criminal conspiracy formed within the marriage that is harmful to the state," the Government argues that the force of the public policy behind the privilege is "at its nadir" in conspiracy cases.
The Government, however, never addresses the "experience" side of Rule 501's equation in arguing for the exception to the longstanding spousal testimonial privilege. This Court has recognized the spousal testimonial privilege without the joint-participant exception for many years, and yet the Government never presents an argument as to how our experience with the spousal testimonial privilege shows that we should now recognize this exception when we did not in the past.
5
See
,
e.g.
,
Jaffee
v.
Redmond
,
B.
It seems clear then that the interests the spousal testimonial privilege is designed *23 to serve continue to be quite substantial. Compared to these interests, the Government's asserted evidentiary interests on the other side of the scale are, in our view, less hefty. The inchoate and secretive features of conspiracies to which the Government alludes in support of its argument are common to every conspiracy prosecution, and are not alleviated or exacerbated by the fact that some or both members of the conspiracy are married to each other. By the Government's logic, the difficulties involved in prosecuting conspiracies would outweigh the significant countervailing interests that underlie a number of other evidentiary privileges as well, including, for example, the Fifth Amendment privilege against self-incrimination. 6 The Fifth Amendment, of course, is a constitutional right, and not just a matter of common law as is the spousal testimonial privilege. But given that both privileges are deeply rooted in history, the interests that underlie the spousal testimonial privilege are similarly significant. 7
The force of the Government's argument as to the need for evidence in this context is further undermined by its acknowledgement that "[t]here are many types of evidence that a court may consider to determine whether a couple was engaged in a criminal agreement, without requiring testimony from the unwilling spouse." The Government's tacit admission that there is no shortage of other evidence (at least in the mine run of cases) with which the Government can make the predicate showing necessary to invoking its proposed joint participant exception belies its claim that the need for evidence is particularly high in conspiracy cases. We are therefore not persuaded that the Government's need to pierce the spousal testimonial privilege is cognizably greater in cases where the spouses are alleged to have engaged in a criminal conspiracy than in other cases.
The Government also contends that "the public policy in favor of applying the privilege is weak in conspiracy cases." We also find that argument unpersuasive. As the Third Circuit observed, this argument seemingly assumes "that because of what may be an isolated criminal act, the marriage has no social value whatsoever," which "may not be true" in all cases.
Malfitano
,
The Supreme Court once described a marriage as "a coming together for better
*24
or for worse, hopefully enduring, and intimate to the degree of being sacred."
Griswold
v.
Connecticut
,
In arguing that the interest in marital harmony is not always paramount, the Government also points to "long-standing criticism of the privilege by the Supreme Court, the States and commentators." However, to the extent the Government is correct that the spousal testimonial privilege is rightly criticized as being too broad, we believe that this concern was squarely addressed by the Supreme Court in Trammel . The Government, after all, cites to Trammel itself for its criticism of the privilege's breadth and capacity to impede a court's path to the truth. Yet, when provided the opportunity to address this problem, the Supreme Court chose to vest the privilege only in the testifying spouse instead of opting for the narrower remedy of recognizing a joint participant exception. As previously noted, this holding is not conclusive that no joint participant exception should be recognized, but it does significantly undermine the Government's claim that the law as it currently stands does not strike the proper balance between protecting the marriage and the Government's need for evidence in conspiracy cases.
We also decline the Government's invitation to follow the Seventh Circuit's lead because we do not find persuasive the two rationales on which the Seventh Circuit's view is based. As to the first rationale, that the spousal testimonial privilege "did not justify assuring a criminal that he or she could enlist the aid of a spouse in a criminal enterprise without fear that ... the criminal was creating another potential witness,"
Clark
,
Notably, the Government fails to address how the exception it seeks is consistent with the broader societal interest behind the spousal testimonial privilege in avoiding the perceived unseemliness of seeing a spouse being coerced to actively contribute to the prosecution of his or her spouse. Even in cases where the married *25 couple is, in fact, using the marriage as a shield to hide joint criminal activity and "abus[ing] the marital privilege granted to them by the state," it is not apparent that the broader concern about the appearance of the Government coercing one spouse to testify against the other applies with any less force.
Accordingly, the Rule 501 balancing analysis weighs in favor of rejecting the joint participant exception.
C.
The Government suggests two additional reasons why it believes it would be appropriate to recognize a joint participant exception to the spousal testimonial privilege. First, the Government presents this case as an opportunity to "unify the law governing the marital privileges," noting that every federal court of appeals "has adopted a joint participant exception to the marital communications privilege." Because both privileges are rooted in the policy of promoting marital harmony, the Government urges, "the outcome of the Rule 501 balance in the conspiracy context should also be the same" for both privileges.
However, the importance of distinguishing between these two privileges is evident in several respects, not least of which is the manner in which each operates. The marital communications privilege can be asserted by both spouses,
see
United States
v.
Picciandra
,
Furthermore, the joint participant exception to the marital communications privilege is arguably less pernicious to marital harmony than an equivalent abrogation of the spousal testimonial privilege. To be sure, the Government's presentation of communications between two spouses may very well be harmful to the relationship. But, unlike when a prosecutor enters evidence consisting of marital communications, piercing the spousal testimonial privilege necessarily involves
coercing
a non-defendant spouse to take the witness stand, face his or her spouse, and put the nails in the defendant spouse's proverbial coffin. Such a display undoubtedly also raises the unseemly spectre that "undermine[s] the marriage precisely in the manner that the privilege is designed to prevent."
Malfitano
,
The second argument offered by the Government is that the already-established
*26
injured spouse exception
8
demonstrates that the
Trammel
decision "does not mean that the spousal testimonial privilege is a privilege that should have no exceptions." The Government goes on to emphasize that in
Breton
, we found that "the injured spouse exception is warranted, in part, because of the peculiar need for evidence in cases involving spouse-on-spouse or spouse-on-child crime." But, assuming as we do that the underlying purpose behind the injured-spouse exception is to protect the family,
Wyatt
v.
United States
,
V.
For all the foregoing reasons, we find that the Government's interest in having the ability to compel the testimony of a defendant's co-conspiring spouse are outweighed by the significant policy concerns underlying the spousal testimonial privilege. This time-honored evidentiary privilege is no less deserving of protection when the witness whose testimony it seeks to compel is alleged to be a co-conspirator than when he or she is not. We therefore join the majority of our sister circuits that have considered this issue and conclude that the balance of interests mandated by Rule 501 weighs against recognizing the joint participant exception to the spousal testimonial privilege. The district court, therefore, did not abuse its discretion in denying the Government's motion to compel Guerrero to testify against her husband, and in granting Guerrero's motion to quash the Government's subpoena.
We note, however, that our decision today does not foreclose the possibility of a defendant's co-conspirator spouse taking the stand to testify against the defendant in a conspiracy case. As it often does in co-conspirator cases, the Government remains free to attempt to persuade a defendant's co-conspirator spouse to testify voluntarily against their defendant spouse. We hold only that the Government cannot compel the non-defendant spouse's testimony in conspiracy prosecutions absent the availability of another exception to this privilege.
For these reasons, the decision of the district court is affirmed.
Affirmed .
We have been unable to find, and the parties do not point to a case in which the Tenth Circuit again applied the joint participant exception to the spousal testimonial privilege after Trammel .
Guerrero points out that "she was willing to forego possible reductions in her sentence based upon substantial assistance in order to maintain her adverse spousal testimonial privilege and thereby protect her marriage." She further stated that even if this court ruled against her, she would refuse to testify against her husband and "would face civil contempt proceedings if necessary."
The Government did not challenge the legality of the marriage between Pineda and Guerrero before the district court.
The other recognized marital privilege is the marital communications privilege, which "permits a defendant to refuse to testify, and allows a defendant to bar his spouse or former spouse from testifying, as to any confidential communications made during their marriage."
Breton
,
The Government does suggest in a footnote to its brief that the treatment of the privilege in the states supports its position that we should judicially carve out the joint-participant exception to this privilege pursuant to Rule 501. But the Government does not dispute that a substantial majority of the states recognize the spousal testimonial privilege without carving out such an exception. In fact, the Government's own account of state practice reveals that only two of the thirty states that recognize the privilege have adopted the exception it favors. Moreover, as the Government acknowledged at oral argument, of the states that have limited the privilege, an overwhelming number have done so via legislation rather than through judicial means.
Of course, the other half of the Government's argument under the balancing analysis is that the rationales underlying the spousal testimonial privilege are significantly diminished in the specific context of conspiracy prosecutions. As further explained below, however, that argument is also unpersuasive.
The Government also briefly refers to the treatment of co-conspirators' statements as non-hearsay, Fed. R. Evid. 801(d) (2)(E), as evidence of the law's preference for "facilitat[ing] the presentation of co-conspirator statements" in criminal trials. This comparison is inapt. Rule 801(d)(2)(E) rests on a theory of agency, "the underlying concept being that a conspiracy is a common undertaking where the conspirators are all agents of each other and where the acts and statements of one can be attributed to all."
Bourjaily
v.
United States
,
The Supreme Court recognized that, in the case of spouse-on-spouse and spouse-on-child crime, there is a vital need for evidence from the non-defendant spouse that justifies an exception to the spousal testimonial privilege.
Breton
,
Reference
- Full Case Name
- UNITED STATES of America, Appellant, v. Eric PINEDA-MATEO, Defendant, Appellee, and Yovannys Guerrero-Tejeda, Intervenor, Appellee.
- Cited By
- 21 cases
- Status
- Published