Opinion ID: 419738
Heading Depth: 2
Heading Rank: 2

Heading: Governmental Misconduct

Text: 20 On December 2, 1981, one day after arrest of the informant Collazo by Agent Castillo, Rosado made an oral motion at a hearing before Judge Duffy to dismiss the indictment. The motion was based on alleged misconduct by the government in utilizing and paying an escaped convict to serve as an informant in conjunction with the activities of appellants. In a letter dated December 10, 1981, Assistant United States Attorney Romatowski alerted defense counsel and the court that he had just learned that an unnamed DEA agent had contacted the prosecutor for the Commonwealth of Puerto Rico, and allegedly sought leniency on Collazo's behalf. In the same letter, Romatowski assured the court that his office had contacted the DEA agent in question and directed that no [further] steps be taken to intervene with any law enforcement authorities on Mr. Collazo's behalf. In a December 14, 1981 memorandum of law in support of his December 2 motion to dismiss, Rosado cited the above two bases--i.e., the government's use of an escaped convict as an informant and its subsequent pleas for leniency--as improper conduct on the government's part which required dismissal of the indictment. Rosado also contended that the government's communication seeking leniency constituted improper tampering with a potential witness. In its responding memorandum of law, the government denied misconduct and assured the court that steps had been taken to ensure that similar lapses do not occur in the future. After the judge reviewed these communications, he denied the relief sought, and the trial commenced on December 17, 1981. 21 The first trial ended in a mistrial. Thereafter, Rosado renewed his motion for dismissal of the indictment at his second trial when the government disclosed that still additional indiscretions had occurred. In particular, it was revealed that the aforementioned DEA agent, as well as an Assistant United States Attorney, both from another district, had written letters to the prosecutor in Puerto Rico on January 6, and February 3, 1982, respectively. 7 These letters informed that prosecutor that Collazo had assisted their particular offices in a major investigation and had made possible infiltration of a large heroin trafficking organization. Assistant United States Attorney Oelsner informed the court that her office did not authorize the pleas for leniency, and had no prior knowledge that the aforesaid two individuals would contact the Puerto Rico authorities about Collazo. The district judge denied the motion, having concluded that these acts do not rise ... to the level of the type of constitutional infirmity which would require the dismissal of the indictment. We agree. 22 It is well established that dismissal of an indictment on grounds of governmental misconduct is an extreme and drastic sanction that is justified only when it is necessary either (1) to eliminate unfair prejudice to a defendant, or (2) to help to translate the assurances of the United States Attorneys into consistent performances by their assistants. United States v. Fields, 592 F.2d 638, 647-48 (2d Cir.1978), cert. denied, 442 U.S. 917, 99 S.Ct. 2838, 61 L.Ed.2d 284 (1979); see also United States v. Artuso, 618 F.2d 192, 196-97 (2d Cir.), cert. denied, 449 U.S. 879, 101 S.Ct. 226, 66 L.Ed.2d 102 (1980). The incidents involving Collazo demonstrated neither need and, hence, did not warrant the extreme sanction of dismissal. 23 The district court heard the sworn testimony of Agent Castillo that he and his associates were unaware of Collazo's fugitive status. After hearing argument, the district court denied appellant's motion to dismiss the indictment on this ground. Based upon the sworn testimony of the DEA agents concerning their prior efforts to search the National Crime Information Computers in order to investigate Collazo's criminal record, the judge's decision was not clearly erroneous. Further, at the trial before Judge Sprizzo, the defendants were allowed to cross examine the DEA agents regarding their misadventures with the informant. Hence, the jury was enabled to examine this evidence and assess the credibility of the government's witnesses and to draw their own conclusions as to the government's knowledge of Collazo's fugitive status and the degree of supervision afforded the informant. 24 Finally, we reject appellants' charges of misconduct relating to communications made on behalf of Collazo by government agency representatives who had no relationship to this case. On these facts, we decline to hold the United States Attorneys' office responsible for the actions of those not under its control, and about which it had no prior knowledge.