United States v. Rosario

111 F.3d 293, 46 Fed. R. Serv. 1402, 1997 U.S. App. LEXIS 7114
Court of Appeals for the Second Circuit·Decided April 14, 1997·No. Nos. 9, 29, 17, 11, 7, 10, 214 and 215, Dockets 94-1516, 94-1592, 94-1604, 94-1606, 94-1614, 95-1015, 95-1531 and 95-1687·Published·Cited by 25 cases

Opinion

PARKER, Circuit Judge:

Appellants appeal from judgments of conviction of the United States District Court for the Southern District of New York (Shirley Wohl Kram, Judge) entered on several dates between September 21, 1994 and December 27,1994.

I. BACKGROUND

Appellants were convicted for their participation in a large-scale heroin drug conspiracy ring operated in the greater New York city area and in outlying counties of New York and New Jersey under the brand name “Blue Thunder.” The background facts are set forth in our previous decisions in this ease, and in the published decisions of the district court, familiarity with which is assumed. We recount only the facts relevant to the present appeals. In addition, certain issues raised on appeal have been addressed by a separate summary order, filed concurrent herewith, and will not be discussed in this opinion.

II. DISCUSSION

A. Admission of a Redacted Excerpt from a Defendant’s Proffer Statement in Favor of a Co-defendant

The first issue we are called upon to determine is whether redacted excerpts from a proffer of one of the defendants were properly admitted. Appellant Alfred Bottone Sr. argues that admission of the statements was precluded under Rule 11(e)(6)(D) of the Federal Rules of Criminal Procedure and Rule 410 of the Federal Rules of Evidence because they were made in the course of plea negotiations. We hold that the district court’s ruling to admit the excerpts was appropriate.

Bottone Sr. regularly shipped bulk quantities of heroin for consignment sale to a variety of retail distribution organizations involved in the conspiracy. Prior to trial, Bottone Sr. entered into a proffer agreement with the government in which the government agreed not to offer any statements made by Bottone Sr. in its case-in-chief.

During the proffer interview, Bottone Sr. admitted his involvement in narcotics trafficking. In the redacted statements at issue, Bottone Sr. claimed that co-defendant Vincent Basciano was not involved in heroin trafficking, and that certain tape-recorded conversations admitted in evidence, obtained pursuant to a Title III investigation, concerned discussions about an illegal gambling business in which Bottone Sr. and Basciano were involved — not heroin transactions.

In the course of the trial, after in camera inspection by the court, Basciano was able to obtain the redacted statements as potentially exculpatory Brady material. He offered them into evidence pursuant to Rule 806 of the Federal Rules of Evidence.1 Rule 806 [296]*296■

permits introduction of out-of-court statements of a coconspirator for the purpose of impeaching that co-conspirator’s statements admitted into evidence under Rule 801(d)(2)(E) of the Federal Rules of Evidence. Rule 801(d)(2)(E) provides for the admission of statements by a co-conspirator, made during the course and in furtherance of a conspiracy. Baseiano argued that Bottone Sr.’s proffer statement, stating that Baseiano was in the gambling business and had nothing to do with the heroin business, impeached the statements on audiotape which had earlier been admitted as statements by a co-conspirator during the course and in furtherance of a conspiracy, including a taped statement in which Bottone Sr. allegedly discussed heroin trafficking matters with Basei-ano.

Bottone Sr. opposed Basciano’s motion on the ground that the statements were inadmissible under Federal Rule of Criminal Procedure 11(e)(6)(D), Federal Rule of Evidence 410, and this Court’s holding in United States v. Serna, 799 F.2d 842 (2d Cir.1986). Rule 410, like Rule 11, provides that statements made in the course of plea discussions are inadmissible against the defendant participating in the plea discussion. The government agreed with that argument, but contested admission of the redacted proffer primarily on the ground that the statements did not have impeachment value because they were not inconsistent with any statement admitted in evidence through the tape recordings. The district court rejected these arguments, and the statements were admitted.

Rule 806 simply makes an otherwise hearsay statement admissible when the declarant (co-conspirator) has not taken the stand, but his statements have nevertheless come into evidence as a statement in furtherance of the conspiracy. Rule 806 does not overcome the Rule 410 objection if the statements being offered were obtained in a proffer session and they are being offered against the person who made the proffer.

The question which is raised here is whether the redacted proffer statements were being offered against Bottone Sr. or in favor of Baseiano. In Sema, this Court addressed an argument that a statement was offered only for a limited purpose in favor of a co-defendant, and not against Serna. We rejected that argument, stating that “there [was] a strong likelihood that the jury would have considered [the proffered statement] as evidence against Serna ... [and that a] limiting instruction would have been ineffective to protect Serna from the devastating impact of the statement that was tantamount to a confession.” 799 F.2d at 849 (citing Bruton v. United States, 391 U.S. 123, 129, 88 S.Ct. 1620, 1624, 20 L.Ed.2d 476 (1968)).

We distinguish this case from Serna. In response to questioning during plea negotiations about the involvement of a eodefendant in narcotics trafficking activity, Serna made a statement to an agent to the effect, “you have the wrong person.” 799 F.2d at 848. In the instant case, the following testimony was elicited at trial from a Special Agent of the Drug Enforcement Administration by Baseiano in his defense case:

In substance Alfred Bottone, Sr. stated the following: “Bottone claimed that Vincent Baseiano had nothing to do with the heroin business and that all the intercepted telephone conversations [involving] Baseiano pertain to Basciano’s gambling business. Bottone further claimed that Basciano’s gambling business was a bad package and that he was advising Baseiano in the intercepted conversations. Bottone denied that he was working for Baseiano. He also claimed that he did not need anyone’s approval to open up a numbers spot anywhere in New York City.”

Though it was established that the statements were made about five months after [297]*297Bottone Sr. was arrested, the jury was not informed of the fact that the statements were made at a proffer session.

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United States v. Rosario, 111 F.3d 293, 46 Fed. R. Serv. 1402, 1997 U.S. App. LEXIS 7114 (2d Cir. 1997).

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