Opinion ID: 751222
Heading Depth: 2
Heading Rank: 3

Heading: Witness-Tampering Conviction

Text: 37 Ferranti challenges his witness-tampering conviction on the ground that there was insufficient evidence to establish that he attempted to persuade witness Rodriguez, a store employee, to lie before the grand jury. An individual tampers with a witness in violation of 18 U.S.C. § 1512(b) when he knowingly uses intimidation or physical force, threatens, or corruptly persuades another person, or attempts to do so, or engages in misleading conduct toward another person, with intent to ... influence, delay, or prevent the testimony of any person in an official proceeding.Although appellant admits that on the day after the fire he instructed Ms. Rodriguez to tell the police that there had been a heater in the store, he says there is no proof of any intimidation by him specifically directed at her grand jury testimony. He contends that because Rodriguez reported no pressure from him in the 15 months that elapsed from the time of the fire until her grand jury testimony, no rational jury could find him guilty of witness tampering. Ferranti's marshalling of the evidence, however, does not meet the heavy burden imposed on a defendant challenging a conviction based on an insufficiency of the evidence. 38 Circumstantial evidence was proffered from which the jury could infer that appellant corruptly attempted to influence Rodriguez' testimony before the grand jury. Rodriguez, who was a tenant in one of Ferranti's buildings, was also his employee at the Today's Styles store. The jury could reasonably have believed that as her landlord and her employer, he had a strong influence over her. Although Rodriguez testified at trial that she alone retained her attorney on the advice of her sister-in-law after receiving the grand jury subpoena, there was proof that her sister-in-law was also a Ferranti employee, that Rodriguez' financial resources were insufficient to cover the $500 cash payment made to the attorney at their initial meeting, and that Ferranti accompanied her to the attorney's office for that meeting. From this, the jury could reasonably infer that after Rodriguez received a grand jury subpoena, appellant secured and paid for an attorney for her. Further, when Rodriguez testified at Ferranti's criminal trial, the jury had an opportunity to observe her demeanor in appellant's presence. In short, Ferranti's § 1512(b) conviction for witness tampering is amply supported by the record. II Evidentiary Rulings 39 Ferranti contends that Marziano's testimony recounting Tocco's confession of his and Mario Ferranti's involvement in the fire was inadmissible hearsay admitted in violation of the Confrontation Clause. He also avers that Tocco's statement regarding Mario Ferranti's affirmative nod in response to Marziano's account of what Tocco had said was improperly admitted as an adoptive admission under Fed.R.Evid. 801(d)(2)(B). In addition, appellant takes issue with the district court's determination that, in light of Ziccardi's functional unavailability as a witness, her prior sworn statements before the grand jury were admissible. We consider each evidentiary issue in turn. A. Tocco's Statement to Marziano 40 At trial, Marziano testified that Tocco came to his house at 2 a.m., within three hours after the fire began, and confessed that he and Mario Ferranti had set fire to a Queens building for Mario's brother Jack. The government suggested three different theories under which this statement could be admitted: (1) as a declaration against Tocco's penal interest under Fed.R.Evid. 804(b)(3); (2) as an excited utterance under Fed.R.Evid. 803(2); and (3) as an inherently reliable statement under Fed.R.Evid. 804(b)(5)'s residual exception to the hearsay rule. Appellant asserts that none of these theories is valid and that the district court erred in allowing Marziano to testify with respect to the statement. 41 Admissibility determinations are reviewed under an abuse of discretion standard. United States v. DeVillio, 983 F.2d 1185, 1189 (2d Cir.1993). Because we are of the view that it was not an abuse of the trial court's discretion to admit the statement as an excited utterance exception to the hearsay rule, we do not address the remaining theories of admissibility. 42 An excited utterance is a statement relating to a startling event or condition made while the declarant was under the stress of excitement caused by the event or condition. Fed.R.Evid. 803(2). The rationale for this hearsay exception is that the excitement of the event limits the declarant's capacity to fabricate a statement and thereby offers some guarantee of its reliability. An excited utterance need not be contemporaneous with the startling event to be admissible under Rule 803(2). See, e.g., United States v. Scarpa, 913 F.2d 993, 1017 (2d Cir.1990) (five or six hours between beating and statement). 43 Judge Weinstein believed Tocco's statement to Marziano qualified as an excited utterance. The record amply supports this finding. The fire itself may constitute a startling event, but even if it did not, certainly Tocco's subsequent realization that people could be trapped inside the burning building, which he had helped set, would comprise a startling event. This knowledge was imparted to Tocco at 11:00 p.m., when the Anthonys told him that some people had remained in the burning building. Within three hours of this discovery, Tocco arrived at Marziano's residence, knocking on Marziano's window and exclaiming, Mario and I lit a building for Jack. Tocco's excitement obviously had not subsided at that time. During his testimony, Marziano described Tocco's demeanor that morning as all hyped and nervous. Under these circumstances, Tocco's statement was properly received as an excited utterance under Fed.R.Evid. 803(2). 44 Appellant also challenges the portion of the statement implicating himself (i.e., the for Jack portion) as being improperly admitted because the prosecutor had failed to prove that Tocco had personal knowledge that he and Mario Ferranti had set the fire for defendant. The applicable rule of evidence, Fed.R.Evid. 602, states, in relevant part, that [a] witness may not testify to a matter unless evidence is introduced sufficient to support a finding that the witness has personal knowledge of the matter. The test is whether a reasonable trier of fact could believe the witness had personal knowledge. Folio Impressions, Inc. v. Byer California, 937 F.2d 759, 764 (2d Cir.1991). The record shows that while neither Tocco nor Mario Ferranti had an ownership interest in the Queens clothing store, a key was used to enter the store on the night of the arson. A trier of fact could reasonably believe that Tocco obtained the key from the store owner and therefore was aware that the arson was committed at the owner's direction. Further, witnesses testified that when Ferranti required help with his properties, he typically solicited his brother Mario who, in turn, recruited his friends. A factfinder could have reasonably decided, based upon this evidence, that Tocco had personal knowledge that he and Mario Ferranti had set the fire for the defendant, Jack Ferranti. 45 Even though Tocco's entire statement is admissible under the Federal Rules of Evidence, appellant declares that its admission violated his constitutional rights under the Confrontation Clause. This argument is without merit. The Supreme Court teaches that the Confrontation Clause and the hearsay rules are both generally designed to protect similar values. Bourjaily v. United States, 483 U.S. 171, 182-83, 107 S.Ct. 2775, 2782-83, 97 L.Ed.2d 144 (1987). As a result, certain firmly rooted hearsay exceptions, ones that carry sufficient indicia of reliability and trustworthiness, will inevitably satisfy the Confrontation Clause. White v. Illinois, 502 U.S. 346, 356, 112 S.Ct. 736, 743, 116 L.Ed.2d 848 (1992). An excited utterance is one such firmly established exception that escapes independent Confrontation Clause analysis. Id. at 357, 112 S.Ct. at 743. Although the Supreme Court refers to spontaneous declarations throughout its opinion in White v. Illinois, it is clear the Court is discussing excited utterances, which do not require absolute contemporaneity with the event described. We say that because the Court directly refers to Fed.R.Evid. 803(2), the excited utterance exception, id. at 355 n. 8, 112 S.Ct. at 743 n. 8, and also refers to a statement offered in a moment of excitement, id. at 356, 112 S.Ct. at 743. As a result, appellant's Confrontation Clause challenge lacks merit because Tocco's statement is admissible as an excited utterance. B. Testimony About Mario's Nod 46 Ferranti next challenges the trial court's decision to allow Marziano to testify as to Mario's nod in response to Marziano's account of Tocco's admission. Ferranti thinks this was error because the nod was ambiguous. This evidentiary ruling is reviewed for abuse of discretion. United States v. Aponte, 31 F.3d 86, 87 (2d Cir.1994). 47 An innocent person accused of being involved in a crime will ordinarily deny such involvement or, at least, assert that the incriminatory statement is untrue. United States v. Shulman, 624 F.2d 384, 390 (2d Cir.1980). Absent circumstances that render it more probable that a person would not respond to an accusation against him than that he would, such person's silence or other ambiguous conduct is admissible as an adoptive admission under Fed.R.Evid. 801(d)(2)(B). United States v. Flecha, 539 F.2d 874, 877 (2d Cir.1976). Marziano testified that he cautioned defendant's brother, while the two of them were alone in an alley behind a bar, that Tocco was talking about their involvement in the arson. This is exactly the type of statement that an innocent person, under these circumstances, would normally deny. See, e.g., United States v. Williams, 577 F.2d 188, 194 (2d Cir.1978) (reasoning that where defendant did not vigorously assert[ ] his non-involvement in a conspiracy, his statements could constitute an adoptive admission). But Mario Ferranti nodded his head affirmatively in response to the warning. Thus, the court's ruling that Mario's nod constituted an adoptive admission about which Marziano could testify was not an abuse of its discretion. 48 The so-called ambiguity surrounding the meaning of Mario Ferranti's nod does not undermine the district court's admissibility determination. This evidentiary determination was preliminary to a decision as to what inference should be drawn from it, which was ultimately a question for the jury to assess, rather than for an appellate court. See Fed.R.Evid. 104(b); see also 8 Weinstein's Federal Evidence § 801.21 (2d ed.1997). 49 C. Admissibility of Lisa Ziccardi's Prior Statements 50 Another evidentiary decision which has come under attack is the decision to admit Lisa Ziccardi's prior sworn affidavit in which she stated that Ferranti told her he intended to burn down his store for insurance money. When Ziccardi was initially called to testify at defendant's trial, she stated she was unable to recall Ferranti's prior statements even when shown her own affidavit. After a hearing outside the jury's presence, Judge Weinstein ruled that Ferranti had effectively procured the absence of a witness, and held that the affidavit would be admissible if she continued to feign memory loss. See United States v. Mastrangelo, 693 F.2d 269, 272 (2d Cir.1982) (reasoning that where, after an evidentiary hearing, the district court finds that defendant procured the absence of a witness, that witness' out-of-court statements are admissible on the ground that defendant waived his Sixth Amendment right to confront the witness by his misconduct). Appellant contends Ziccardi's refusal to confirm her prior statements did not constitute absence within the meaning of Mastrangelo, and therefore it was error to rule the affidavit admissible. We need not address this issue because the affidavit was never admitted into evidence against appellant since after the court's ruling, Ziccardi returned to the witness stand and reluctantly testified to Ferranti's statements. As a result, the court thereafter denied the government's motion to introduce her sworn affidavit as substantive evidence. III Deprivation of Fair Trial Claim 51 Ferranti next asserts that he was denied a fair trial as a result of prosecutorial misconduct, in combination with the trial judge's treatment of Ziccardi discussed above, that conveyed his disbelief of the defense's case. 52 A. The District Court's Treatment of Ziccardi 53 We see no prejudice to appellant in the district court's actions vis-a-vis witness Ziccardi. The admissibility ruling was made outside the jury's presence and therefore could not have conveyed any message of Judge Weinstein's alleged disbelief to the jury. With respect to the court's questioning of Ziccardi, it is settled law that a trial judge may actively participate in questioning to clarify ambiguities, correct misstatements, or obtain information necessary to make rulings. When a judge's conduct is challenged as displaying bias against the defendant, the entire record must be examined to determine whether the jurors have been so impressed by the judge's partiality that it affected their deliberations. See United States v. Filani, 74 F.3d 378, 385-86 (2d Cir.1996). Our review of the record as a whole satisfies us that Judge Weinstein's participation did not demonstrate bias or deny Ferranti a fair trial.B. Alleged Prosecutorial Misconduct 54 We next address Ferranti's allegations of prosecutorial misconduct during the government's examination of Marziano and during its rebuttal summation. In order to prevail on such a claim a defendant must demonstrate that the prosecutor's inappropriate comments caused substantial prejudice. United States v. Bautista, 23 F.3d 726, 732 (2d Cir.1994). To determine whether substantial prejudice exists, we weigh the severity of the alleged misconduct, the measures adopted to cure it, and the certainty of conviction absent the misconduct. See Russo, 74 F.3d at 1396. 55 Ferranti declares first that the prosecutor made an improper reference to other evidence during the government's examination of Marziano. Specifically, the prosecutor asked Marziano whether he was aware that the government had a lot of other evidence and could figure out whether or not [Marziano] was being accurate. The comments embodied in this question were arguably improper, but we think no substantial prejudice resulted. The jury was promptly given curative instructions to disregard the statement and told repeatedly that it should only consider the evidence presented at the trial. Further, there was ample evidence, absent this comment, to support appellant's convictions. 56 The remaining claim of prosecutorial misconduct centers on the government's rebuttal summation. Appellant alleges the prosecutor placed his own credibility at issue, argued facts not in evidence, accused the defense of slandering the victims, vouched for a government witness, and made inflammatory comments about defense counsel and a defense expert witness. The prosecution and the defense are generally entitled to wide latitude during closing arguments, so long as they do not misstate the evidence. United States v. Myerson, 18 F.3d 153, 163 (2d Cir.1994). Under the invited or fair response doctrine, the defense summation may open the door to an otherwise inadmissible prosecution rebuttal. See United States v. Robinson, 485 U.S. 25, 32, 108 S.Ct. 864, 869, 99 L.Ed.2d 23 (1988). In particular, where the defense summation makes arguments and allegations against the government, the prosecutor may respond to them in rebuttal. See United States v. Rivera, 971 F.2d 876, 883 (2d Cir.1992); United States v. Bagaric, 706 F.2d 42, 60 (2d Cir.1983). We review the allegedly improper prosecutorial statements during summation in the context of the entire argument before the jury to determine whether the defendant was deprived of a fair trial. United States v. Pena, 793 F.2d 486, 490 (2d Cir.1986). 57 Each of the challenged statements in the prosecution's rebuttal were fair responses to the defense summation. Defendant cannot now complain about the issues raised and the atmosphere created by his own making through the defense summation. To the extent that any of the comments could be labelled improper, none were so egregious as to infect the proceedings in such a manner as to deprive defendant of due process of the law. See Darden v. Wainwright, 477 U.S. 168, 181, 106 S.Ct. 2464, 2471, 91 L.Ed.2d 144 (1986). IV Challenges to the Sentence A. Applicable Guideline for Arson Homicide 58 Ferranti was sentenced to 435 months in prison and ordered to pay restitution and a hefty fine. His first challenge to his sentence is the district court's use of U.S.S.G. § 2A1.1 as its basis. Guidelines § 2K1.4 governs sentencing for arson homicide. When arson results in death, or the offense was intended to cause death or serious bodily injury, § 2K1.4(c)(1) directs the sentencing court to apply the guideline listed in Chapter Two, Part A, the section of the Guidelines dealing with homicide, that is most analogous to the arson offense. Appellant urges that since in this case the fireman's death was unknowingly and unintentionally caused, the sentencing court erred in relying on § 2A1.1, the first-degree murder guideline, as the basis for his sentence on the arson conviction. 59 This contention is without merit. Section 2A1.1 applies to any death which results from the commission of certain felonies. See U.S.S.G. § 2A1.1, comment. (n.1). The application notes identify the federal felony murder statute, 18 U.S.C. § 1111, as suggestive of which felonies are included. That statute defines first-degree murder as a killing committed in the perpetration of, or attempt to perpetrate, any arson.... 18 U.S.C. § 1111(a). Hence, since death resulted from arson, the Guidelines authorize the sentencing court to apply the guideline for first-degree murder based upon that court's assessment of the facts surrounding the arson homicide. Contrary to defendant's suggestion, this discretion in imposing sentence does not create an impermissible ambiguity in the Guidelines requiring application of the rule of lenity. Cf. United States v. Canales, 91 F.3d 363, 367 (2d Cir.1996) (The rule of lenity requires the sentencing court to impose the lesser of two penalties where there is an actual ambiguity over which penalty should apply.). 60 Ferranti continues the challenge to his sentence by arguing that, even if § 2A1.1 is applicable, the district court should have departed downward based on the facts of this case. Under § 2A1.1, a sentencing court is free to depart downward [i]f the defendant did not cause the death intentionally or knowingly. U.S.S.G. § 2A1.1, comment. (n.1). In the absence of an error of law or an erroneous belief on the part of the sentencing court that it had no power to depart, the district court's refusal to grant a downward departure and the extent of its departure are not appealable. See United States v. Hendron, 43 F.3d 24, 26 (2d Cir.1994) (per curiam). 61 In light of this standard, defendant attacks the district court's failure to downwardly depart under § 2A1.1 as an error of law on the ground that he did not knowingly or intentionally cause the firefighter's death. Yet, a plain reading of § 2A1.1's commentary refutes this claim. It says that a downward departure may be warranted if the defendant did not intend to cause death. U.S.S.G. § 2A1.1, comment. (n.1) (emphasis added). The sentencing court was well aware of its discretionary power to depart under § 2A1.1, but chose not to do so after specifically identifying several aggravating factors, e.g., Ferranti's scheme to defraud an insurance carrier, his knowledge of tenants' presence in the building, the use of an accelerant, and his decision to set a building that was in part residential afire at night. In sum, we have no basis for reversing the district court's decision not to depart downwardly under § 2A1.1. B. The Jury Directive Requirement 62 The district court did depart downwardly (from a life sentence), but it did so in order to avoid complying with 18 U.S.C. § 34's requirement that a jury approve of the life sentence mandated by § 2A1.1's base level offense of 43. The applicable version of § 34 provides: 63 Whoever is convicted of any crime prohibited by this chapter, which has resulted in the death of any person, shall be subject also to the death penalty or to imprisonment for life, if the jury shall in its discretion so direct, or, in the case of a plea of guilty, or a plea of not guilty where the defendant has waived a trial by jury, if the court in its discretion shall so order. 64 18 U.S.C. § 34 (1988), amended by 18 U.S.C. § 34 (1994). The plain language of this section authorizes the imposition of a life sentence only by jury recommendation in the absence of a plea. Such a recommendation was never requested of the jury in this case. 65 Instead, the district court departed downward to base offense level 42, which provides for a term of imprisonment from 360 months to life under the appropriate criminal history category. In its calculation of Ferranti's sentence, the court determined that the 43-year old Ferranti's life expectancy was 31 years, or 372 months, from the time of sentencing. After considering the total amount of good-time credit to which he would be entitled, see 18 U.S.C. § 3624(b) (1994) (effective Nov. 1, 1987) (allowing 54 days of good-time credit per year), Judge Weinstein sentenced Ferranti to 435 months--5 years more than his life expectancy. With 64.3 months of good-time credit considered, Judge Weinstein determined that Ferranti's actual term of imprisonment would be 371 months from the time of his arrest, a period of time one month short of his life expectancy. 66 Appellant insists that his 435-month sentence violates § 34 because it exceeds his life expectancy, despite the fact that the sentence that he is likely to serve after receiving good-time credits is less than his life expectancy. The question before us is whether the maximum good-time credits should be deducted from a formal sentence in determining whether that sentence complies with § 34. Ferranti's only argument against consideration of the good-time credits is that he is not yet entitled to them and therefore is not guaranteed release after a term of imprisonment less than his life expectancy. 67 While it is true that a defendant is not entitled to such credit, see 18 U.S.C. § 3624(b) (a prisoner may receive good-time credit subject to the Bureau of Prisons' determination that he has displayed exemplary compliance with such institutional disciplinary regulations), we decline to adopt Ferranti's interpretation of § 34 that would, in effect, allow defendants to argue that they should receive a shorter formal sentence because they plan to disregard prison rules and thus fail to earn good-time credit. In holding that the district court does not violate § 34 when it considers maximum good-time credit in its calculation of a defendant's sentence, we join another circuit that has already done so. See United States v. Gullett, 75 F.3d 941, 951 (4th Cir.), cert. denied, --- U.S. ----, 117 S.Ct. 134, 136 L.Ed.2d 83 (1996); see also United States v. Prevatte, 66 F.3d 840, 848 (7th Cir.1995) (Posner, C.J., concurring) (I do think the maximum good-time credits should be subtracted. The defendant should not be allowed to say, 'My sentence is too long because I am planning to be a bad boy in prison and so won't earn the maximum good-time credits.' ). 68 We also reject Ferranti's additional contention that, even considering the good-time credits, a 371-month term of imprisonment violates § 34 by falling uncomfortably close to his life expectancy. A sentence that is close to a person's life expectancy based on actuarial tables is not the functional equivalent of a sentence for the actual life of the person. 69 Although the jury directive requirement was eliminated in 1994, see Violent Crime Control and Law Enforcement Act of 1994, Pub.L. No. 103-322, Title VI § 60003(a)(1), 108 Stat. 1968 (1994), the Ex Post Facto Clause precludes application of the 1994 amendment since Ferranti committed the arson in 1992 and, under the Ex Post Facto Clause, a retroactive change in the definition of a crime or a retroactive increase in punishment for a criminal act is forbidden. See Collins v. Youngblood, 497 U.S. 37, 43, 110 S.Ct. 2715, 2719-20, 111 L.Ed.2d 30 (1990). C. The Fine 70 The statutory fine of $2,911,599.58 for the arson homicide count is raised as an issue on the grounds that it is overly punitive and based upon improper considerations. The sentencing court departed upwardly from the Sentencing Guidelines' range of $25,000 to $250,000, see U.S.S.G. § 5E1.2(c), and, relying on 18 U.S.C. § 3571(b)(2), imposed a statutory fine equal to twice the amount of the victims' losses. 71 Section 3571(b)(2) cross-references § 3571(d), which states that if the offense results in a pecuniary loss to a person other than the defendant, the defendant may be fined not more than the greater of ... twice the gross loss, unless imposition of a fine under this subsection would unduly complicate or prolong the sentencing process. We review the district court's decision to depart upwardly under an abuse of discretion standard. See United States v. Wilder, 15 F.3d 1292, 1300 (5th Cir.1994) (abuse of discretion standard applied to appellate review of enhanced fine imposed under § 3571(d)); cf. United States v. Lavin, 27 F.3d 40, 42 (2d Cir.1994) (per curiam) (order of restitution reviewed for abuse of discretion). 72 Defendant's basic point is that the amount of the fine is grossly punitive in light of his financial resources. Under 18 U.S.C. § 3572(a), a sentencing court must consider a number of factors, some pertaining to defendant, some to other concerns. Among those factors are: (1) the defendant's income, earning capacity and financial resources; (2) the burden the fine imposes on the defendant and his financial dependents; (3) pecuniary loss inflicted upon others; (4) whether restitution is ordered; (5) the expected costs of imprisonment; and (6) whether defendant can pass along the costs of the fine to consumers or other persons. There is no requirement that explicit findings be made concerning the defendant's ability to pay the fine, cf. Lavin, 27 F.3d at 42 (no explicit findings needed to support imposition of restitution order), and defendant bears the burden of establishing his inability to pay. See United States v. Marquez, 941 F.2d 60, 65-66 (2d Cir.1991). 73 The record shows that the district court considered the mandatory factors, including Ferranti's known assets and the possible financial dependence of his son and former wife. It also considered defendant's failure to file tax returns over the past 10 years and his refusal to disclose financial information during pre-sentencing proceedings. From this evidence it inferred that appellant possessed considerably more assets than he admitted, and therefore that he had the financial resources to pay the large fine imposed. This inference was reasonable because defendant failed to establish his inability to pay. Moreover, we cannot allow a defendant's lack of disclosure at the sentencing phase of the criminal proceedings against him to work to his advantage on an appeal from that sentence. 74 Ferranti also maintains that the district court's consideration of allegations of appellant's other criminal conduct was improper. Evidence of such conduct was offered at a pre-trial bail proceeding and noted in the pre-sentence report. However, the district court struck all references to such conduct from the report prior to sentencing. There is no evidence in the record from which we could conclude that, after striking the allegations, the district court impermissibly based imposition of the fine on that alleged criminal conduct. To the contrary, Judge Weinstein clarified that Ferranti's offense for which he was convicted and not his status as a slumlord or his unrelated violent conduct warranted the large fine. 75 In sum, the fine was reasonable and sufficiently supported by a record that fully demonstrates the exacerbated nature of the crime, the harm inflicted upon others, the defendant's ability to pay, and the lack of persons financially dependent upon defendant. See 18 U.S.C. § 3572(a) (setting forth factors that must be considered when imposing a fine).