Opinion ID: 569094
Heading Depth: 2
Heading Rank: 2

Heading: Were the Rulings an Abuse of Discretion?

Text: 41 Although hindsight is a luxury reserved for appellate judges, we firmly believe that at the outset of trial it was readily apparent that a preclusion of all references to prior trials would present insurmountable obstacles for the defense. The trial judge should have been aware that many of the critical witnesses who would be called to testify had previously appeared at two state court trials and at least two grand jury proceedings. These witnesses had been subjected to numerous investigative interviews and their statements appeared in a multitude of police reports made in the ordinary course of police business. Thus, it was apparent that the defense counsel would attempt to impeach the witnesses through the use of trial transcripts, grand jury minutes and other documents. Here, the defendants could not have been expected to test the believability of a witness and the truth of his [or her] testimony, Davis, 415 U.S. at 316, 94 S.Ct. at 1110, when it was at times impossible to focus a witness' attention on a specific prior inconsistent statement. 42 Moreover, from the very first day of trial, it was patently clear that the crux of the defense to the alleged predicate acts of murder and attempted murder would be that key government witnesses--especially Kathleen Burke and Butch Sullivan--had subtly refined their testimony at the various trials and proceedings. As a result, the ability to confront witnesses with their own prior statements, and to show that those statements had been made in a setting as solemn and dignified as the current trial, was of extreme importance to the defense. We believe that the defendants were entitled to demonstrate that Kathleen Burke and Butch Sullivan had not merely altered or subtly refined their testimony after prior proceedings but had done so after prior trials. We also believe that the defendants should have been permitted to advance the theory that two government witnesses had not simply refused to come forward during prior proceedings but had failed to do so during two prior trials. While the government suggests that the distinction between trial and proceeding is minimal, surely in the context of this case there was a meaningful--if not profound--difference between the two. Indeed, the use of the word proceeding obfuscated the precise point the defendants wished to impress upon the jury, i.e., that these very witnesses had previously testified under oath in a trial before a jury and had done so in a manner subtly at odds with their present testimony. Regardless of whether the district judge found this argument persuasive, the defendants were entitled  'to put before [the] jury evidence that might influence the determination of guilt.'  United States v. Salerno, 937 F.2d 797, 810 (2d Cir.1991) (quoting Pennsylvania v. Ritchie, 480 U.S. 39, 56, 107 S.Ct. 989, 1000, 94 L.Ed.2d 40 (1987)). The unfair effect of the limitation of cross-examination becomes evident upon an examination of the entire trial transcript. Accordingly, we are convinced that the district court's initial ruling, and its subsequent expansions of that ruling, constituted a clear abuse of discretion. See United States v. Bari, 750 F.2d 1169, 1178 (2d Cir.1984), cert. denied, 472 U.S. 1019, 105 S.Ct. 3482, 87 L.Ed.2d 617 (1985); see also United States v. Maldonado-Rivera, 922 F.2d 934, 956 (2d Cir.1990), cert. denied, --- U.S. ---, 111 S.Ct. 2858, 115 L.Ed.2d 1025 (1991). 43 Additionally, it bears noting that a simple solution existed to the dilemma confronting the district judge. We believe the prudent course would have been for the judge to have simply explained to the jurors that under the doctrine of dual sovereignty it is permissible for the Federal government to prosecute an individual for the same offense that has previously been the subject of prosecution by the State. See Heath v. Alabama, 474 U.S. 82, 106 S.Ct. 433, 88 L.Ed.2d 387 (1985); Abbate v. United States, 359 U.S. 187, 79 S.Ct. 666, 3 L.Ed.2d 729 (1959); United States v. Coonan, 938 F.2d 1553, 1562-63 (2d Cir.1991) (decided after defendants' trial); United States v. Davis, 906 F.2d 829, 832 (2d Cir.1990) (same). The judge could then have: (1) revealed that during the trial the jury would hear references made to testimony given at prior state trials, (2) instructed the jurors not to speculate about the outcome of the prior trials, and (3) permitted counsel to refer to the trials but not to their outcome. Experience has shown that jurors readily accept and obey such instructions. By failing to place sufficient faith in the jury, the district judge increased the confusion inherent in this already complicated case. 44 Since the contempt determinations have been dealt with by this Court on a prior appeal, see United States v. Giovanelli, 897 F.2d 1227, there is no need to revisit them. It is sufficient to say that had the defense counsel adhered to the court's initial ruling, our task today would have been less difficult. In fact, in a variety of instances the problems engendered by the court's ruling were greatly exacerbated by defense counsels' refusal to heed the district judge's instruction and proceed with the trial. Nevertheless, even if defense counsel had not engaged in periodic obstreperousness, the result today would be the same.