Opinion ID: 789452
Heading Depth: 4
Heading Rank: 1

Heading: The Factual Assertions Triggering Waiver

Text: 41 The waiver's triggering language unambiguously expresses the parties' intent to create an expansive waiver, applying to any evidence, whether offered directly or elicited on cross-examination. See generally Department of Hous. & Urban Dev. v. Rucker, 535 U.S. 125, 131, 122 S.Ct. 1230, 152 L.Ed.2d 258 (2002) (noting that when used in a statute, `the word any has an expansive meaning' (quoting United States v. Gonzales, 520 U.S. 1, 5, 117 S.Ct. 1032, 137 L.Ed.2d 132 (1997))). Further indicative of the parties' expansive intent is their extension of the waiver beyond formally admitted evidence to any ... factual assertions made by Johnson or on his behalf at any stage of the prosecution. See Collazos v. United States, 368 F.3d 190, 199 (2d Cir.2004) ([W]hen, as here, the two words at issue are connected by `or' rather than `and,' and when no commas set off the second word to suggest that it stands in apposition to the first, we construe the disjunctive words to convey different meanings.). Factual assertions made by a defendant's counsel in an opening argument or on cross-examination plainly fall within this broad language. 8 42 The mere fact that a defendant pleads not guilty and stands trial is not a factual assertion that triggers the proffer agreement waiver, and the government certainly does not contend otherwise. See United States v. Krilich, 159 F.3d at 1025. Nor are defense arguments that attempt to demonstrate why the facts put in evidence by the prosecution are insufficient to permit the jury to find the elements of the crime proved. Thus, a defense argument that simply challenged the sufficiency of government proof on elements such as knowledge, intent, identity, etc., would not trigger the waiver here at issue. On the other hand, a statement of fact in a defense opening, such as the statement in this case unequivocally identifying Jamal Barrow as the real perpetrator of the charged crimes, does qualify as a factual assertion within the four corners of the waiver provision. Thus, we conclude that the waiver's factual assertion requirement was satisfied in this case. 43 We note, however, that such a conclusion may not be reached so easily when counsel's arguments or questions assert facts implicitly rather than directly. For example, a cross-examination question challenging a witness's perception or recollection of an event does not necessarily imply that the event did not occur, only that the witness may not have seen or reported it accurately. On the other hand, a question accusing a witness of fabricating an event, such as counsel in this case put to Det. Campana with respect to the April 19, 2001 meeting with the confidential informant, does implicitly assert that no such meeting ever took place. Thus, when confronted with a government argument that a defense opening or cross-examination implicitly satisfies the factual assertion requirement for waiver, a district court may well have to consider carefully what fact, if any, has actually been implied to the jury before deciding whether proffer statements fairly rebut it. 44 We further note that even when a district court is satisfied that a factual assertion triggering a Rule 410 waiver has been made, whether directly or implicitly, that conclusion does not mandate receipt of the proffer statements in evidence. A waiver agreement between the parties does not divest a district court of its considerable discretion to exclude relevant evidence that may inject unfair prejudice or confusion into the jury's resolution of the issues in dispute. Fed.R.Evid. 403; see, e.g., United States v. Flaharty, 295 F.3d 182, 190-91 (2d Cir.2002). Thus a court may well view a factual assertion made by counsel at sentencing, where parties frequently proceed by proffer, see, e.g., United States v. Dillon, 351 F.3d 1315, 1317 (10th Cir.2003); United States v. Mayberry, 272 F.3d 945, 948 (7th Cir.2001); United States v. Marmolejo, 139 F.3d 528, 531 (5th Cir.1998), differently from the same assertion made in an opening statement or a question to a trial witness. Counsels' questions and arguments at trial are not, after all, evidence, see United States v. Arboleda, 20 F.3d 58, 61 (2d Cir.1994); see also 4 Leonard B. Sand et al., Modern Federal Jury Instructions, Instruction 74-1 (2004) ([T]he question of a lawyer is not to be considered by you as evidence.... Arguments by lawyers are not evidence, because the lawyers are not witnesses.), and district courts may, in appropriate cases, decide to strike a question or argument, instructing the jury to ignore the factual assertion stated or implied, rather than admit defendant's proffer statements in rebuttal. The exercise of such discretion necessarily depends on the district court's unique insights into trial dynamics and into the impact the assertions at issue have had on the jury. For example, a district court might exercise its discretion to exclude proffer statements when it concludes that a factual assertion was inadvertently and only briefly interjected into the proceedings, and counsel agrees not to pursue the matter further. Cf. United States v. Sampson, 385 F.3d 183, 193 (2d Cir.2004) (A defendant may completely forestall the admission of other act evidence on the issue of intent by expressing a decision not to dispute that issue with sufficient clarity.... (alterations and internal quotation marks omitted)). 45 That, however, is not this case. The factual assertion implied by defense counsel's cross-examination — that the undercover officer had fabricated, in whole or in part, events underlying the April 19, 2001 charge — reinforced the unequivocal factual assertion in the opening statement that Jamal Barrow was the real perpetrator of the charged crimes. Under these circumstances, the district court had no reason to pursue alternatives to the introduction of the proffer statements. It properly concluded that Johnson's counsel had triggered the factual assertion requirement for waiver. 46