Defendant-appellant José Luis Lozada-Rivera (“Lozada”) challenges his criminal conviction for conspiracy to distribute cocaine and possession of cocaine with intent to distribute. He raises several issues on appeal, including asserted defects in the trial court’s evidentiary rulings and its instructions to the jury.
1
We address only
The court should not have allowed the jury to consider the contents of the report, either for the truth of the matter asserted therein or for a more limited rehabilitative purpose. And, as the government now concedes, the court should not have permitted testimony about Lozada’s jailhouse remarks elicited in violation of his Sixth Amendment right to counsel. We conclude that neither of these errors was harmless.
I
On February 19, 1997, a federal grand jury indicted Lozada and three others on one count оf conspiracy to traffic cocaine, 21 U.S.C. § 846, and four counts of possession with intent to distribute, 21 U.S.C. § 841(a)(1). His fellow co-defendants pled out before trial; Lozada opted to take his chances with a jury of his peers.
During the course of his nine-day trial in September 1997, the government introduced substantial evidence of a scheme to transport several hundred kilograms of cocaine from Puerto Rico to the New York metropolitan area. The evidence established that the drug trafficking operation, with a few minor variations, worked in the following manner: Members of a transportation group rеceived the cocaine from Colombian suppliers in Puerto Rico and delivered it to a warehouse owned by Lozada. Once at the warehouse, they would elaborately repackage the cocaine by concealing it in cargo containers containing corn oil, coconuts, syrup, and other food stuff. The narcotics were then smuggled to New York masked as legitimate products.
Jairo Rodríguez-Zuluaga (“Rodriguez”), who served as the liaison between the transportation group and the Colombian suppliers, would usually assist in the repackaging process and then travel tо New York to receive the shipment. The conspirators later met in a hotel in New Jersey to be paid for their labor. This entire process was repeated several times between 1994 and 1996. The responsible parties transported some 100-800 kilograms of cocaine from Puerto Rico to New York in this fashion.
The government advanced a theory of the case according to which Lozada and Carlos Rosario-Matos (“Rosario”) jointly headed the transportation group and, after Rosario’s arrest in 1995, Lozada assumed full control of the unit. As the government’s witnesses told it, for each shipment Lozada secured the necessary cargo containers, prepared the shipping paperwork (listing “Loiza Foods” as the putative shipping company), and purchased the legitimate items ultimately used to fill the containers and conceal the cocaine. Lozada operated Las Vegas Brands, Inc., a food products import-export company based in Puerto Rico, whose supplies and property were used for the repackaging activities of the transportation group. The prosecutor tendered other circumstantial evidence of Lozada’s guilt: he made certain suspiciously large cash deposits into his business account, kept sizeable sums of cash nearby, and made seemingly extravagant expenditures for a person of relatively modest means.
Three cooperating witnesses tied Lozada to the conspiracy (a fourth stated that he saw Lozada at a meeting where the elements of the scheme were discussed). Rosario, who originally established contact with the Colombian suppliers on his own, testified that Lozada got involved after the first shipment, and that he thereafter
Rodriguez, the go-between, stаted that he saw Lozada, who he knew as “Don Millin,” present at repackaging sessions and that Lozada showed up to get paid on at least one occasion. Abelardo Torres-Padilla (“Torres”), too, placed Lozada in the general vicinity of the warehouse when the cocaine was being placed in the containers, and claimed that he informed Lo-zada by telephone that a July 1995 shipment had been seized by Customs agents. Over strong objections by the defense, Torres also testified that the night before he was to take the stand, Lozada offered him money if he would change his tеstimony (the two were housed in the same detention facility).
The centerpiece evidence of Lozada’s involvement in the conspiracy, however, were certain incriminating statements allegedly uttered by Lozada on the day of his arrest when he initially opted to cooperate with the authorities. The government urged the jury to view these comments purportedly made in the presence of federal law enforcement officers, including Drug Enforcement Agency (“DEA”) Agent Rafael E. Rodriguez (“Agent Rodriguez”), as a “confession.” Agent Rodriguez was the only witness to testify at trial that Lozada incriminated himself. He was cross-examined by the defense. Then, at a critical juncture in the proceedings and on redirect, the prosecution offered a detailed typewritten report ostensibly to repair Agent Rodriguez’s credibility. This report paraphrased a series of damaging statements allegedly made by Lozada,' thereby buttressing the agent’s oral testimony. Again over defendant’s objections,' the court accepted this evidence.
Taking the stand in his own defense, Lozada testified that he had met some of the principals in the alleged conspiracy under completely innocent сircumstances. He also acknowledged that he sometimes allowed Rosario, his long-time friend, to use his warehouse for storage space, but denied actively participating in a drug trafficking conspiracy. He vehemently denied making any incriminating statements to government agents after his arrest. His nephew took the stand and said that he had, on occasion, prepared paperwork on Rosario’s behalf using the shipping name “Loiza Foods.” Other witnesses attested to Lozada’s reputation for truth-telling.
On September 22, 1997, after a few hours of deliberation, the jury convicted Lozada on all counts. The court subsequently sentenced him to 210 months of imprisonment followed by five years of supervised release, after departing downward from the applicable sentencing guideline range based on his advanced age and significant physical ailments. Lozada filed a timely appeal.
II
We lead off with the issue of whether the trial court erred by accepting the DEA report into evidence. During the government’s case-in-chief, Agent Rodriguez testified that Lozada made certain incriminating comments during a post-arrest interview on March 4, 1997. According to Agent Rodriguez, Lozada admitted his rolе in the conspiracy and explained his actions in furtherance of its objectives.
During cross-examination, defense counsel established that the interview had not been tape-recorded or videotaped. He then asked Agent Rodriguez to confirm that he had once lived in Lozada’s neighborhood and attended school with his children, and inquired whether he had anything against Lozada or his family. Agent Rodriguez answered in the negative, and counsel pressed no further. 2
Defense counsel objected, saying that the contents of the report were overly prejudicial and constituted inadmissible hearsay. The district court overruled defendant’s objections and allowed the report into evidence, ruling that it was admissible to rebut Lozada’s implied charge of improper motivation because counsel “went into the motive by saying he [the agent] was in the sаme school, that he knew the family.” The court instructed the jury that the report had been received solely for the purpose of “weighing the credibility of [Agent Rodriguez].”
At a subsequent point in the trial, after Lozada himself took the stand and denied making incriminating remarks to Agent Rodriguez, the government moved the court to accept another copy of the report into evidence (the previous one apparently had a few parts excised). The trial court did so, calling the jury’s attention to the DEA report anew. This time, the judge instructed the jury that the report could be used to assess “the credibility оf this witness [Lozada]” in addition to “the credibility of the agent testifying on that matter,” and “to give the weight that [the
On appeal, Lozada contends that the trial judge misapplied Rule 801(d)(1)(B). He argues that his cross-examination did not open the door to introduction of the report. Citing
Tome v. United States,
We scrutinize the trial court’s evidentiary ruling for an abuse of discretion.
See United States v. Reeder,
For its part, the government points out that, notwithstanding its reference to Rule 801(d)(1)(B), the trial court characterized its ruling as accepting the report оnly for credibility; accordingly, it specifically instructed the jury repeatedly not to consider, the report for. the truth of the matter. The government leans heavily on the doctrine of rehabilitation and ignores Rule 801(d)(1)(B) almost entirely.
This confusion is somewhat understandable due to the as yet unresolved legal dilemma concerning the extent to which the Rule altered preexisting common law standards governing rehabilitative use of prior statements. It is a matter of some debate whether Rule 801(d)(1)(B) controls prior consistent statements of all stripes or whether a more relaxed test applies when a prior statement is offered for a rehabilitative purpose.
Compare United States v. Miller,
We need not settle on precisely how these elements (i.e., Rule 801(d)(1)(B), Tome, and the common law notion of rehabilitation) fit together. The uncertainty does not materially alter the calculus in the case at bar because the trial judge erred in his threshоld determination that defense counsel’s examination of Agent Rodriguez opened the door to the report. This determination is a necessary precondition for admission of a prior statement under the Rule or based on any other rehabilitative ground, and the government failed to satisfy it.
. For the most part, defense counsel’s cross-examination of Agent Rodriguez was a- routine affair, remarkable only for its brevity and relative restraint. The only arguable suggestion of improper motive on the part of Agent Rodriguez came near the end of a meandering line of questioning
We do not see how this attenuated suggestion of improper motive paved the way to rebuttal by way of the official report. While we accord deference to a trial court’s finding as to whether counsel has implied during his questioning that a witness has a motive to fabricate,
see United States v. Piva,
There are occasions when a theory of bias is so implausible and the corresponding suggestion of contrivance so weak that the line of questioning would not even qualify as an implicit charge of improper motivation.
See Christmas v. Sanders,
From our review of the record, it is also apparent that the trial court deemed the report relevant to aid the jury’s assessment of Agent Rodriguez’s credibility and later brоadened its use to include evaluation of Lozada’s credibility as well. It is difficult to escape the conclusion that the DEA report was thrown into the mix to assess the crucial witnesses’s credibility generally, without either explicit or meaningful limitation. This was improper.
We wish to stress that the report should not have been used to assess the credibility of Lozada, which the judge encouraged the jury to do upon the conclusion of the government’s examination. We see absolutely no reason for such a use of the report — indeed, it may have been tantamount to an invitation to use the report as substantive evidеnce. How else could the report bear on Lozada’s credibility (he did not author the report) unless a factfinder compared the details of the report with Lozada’s in-court testimony in a way that accepted both for the truth?
Having concluded that the report was erroneously admitted into evidence, we must next decide whether the mistake requires reversal of defendant’s conviction. In order to deem the defect non-reversible, we would have to say “with fair assurance ... that the judgment was not substantially swayed by the error.”
United States v. Gaines,
The government bears the burden of demonstrating that the outcome would likely have been the same but for the miscue. Here, it has expressly conceded that if the district court erred by receiving the report, the mistake was sufficiently prejudicial as to warrant a new trial. The government did not argue in its brief that this kind of error could have been harmless under the present fact-scenario. When queried at oral argument, it acknowledged that defendant would be entitled to a new trial if we concluded that the report was erroneously received into the record. We wholeheartedly concur, and commend the government for its forthrightness. 5
We add only this thought: Although the DEA report largely tracked Agent Rodriguez’s own in-court testimony, it essentially provided the jury with an authoritative “condensation of the government’s whole case against the defendant.”
United States v. Quinto,
Because the trial court erroneously permitted the government to use the DEA report in its redirect inquiry and admitted that report into evidence, thereby allowing the jurors to evaluate the substance of the report and give it effect in determining the defendant’s credibility, we cannot fairly characterize the mistake as a harmless one. Lozada is entitled to a new trial.
Ill
We also hold that the district court committed reversible error which deprived Lozada of his Sixth Amendment right to counsel. Over defense counsel’s objections, the trial judgе allowed Torres, a cooperating witness, to testify as to a jailhouse conversation he had with Lozada the night before he was scheduled to take the stand. Among other things, Torres claimed that Lozada offered him a financial inducement to alter his testimony at trial. 6
Under the rule of
Massiah v. United States,
There is no question that Lozada’s right to counsel had attached by the time of his jailhouse conversation with Torres. In the typical case, the central controversy is over whether certain statements were deliberately elicited or whether they were spontaneously volunteered, always a fact-intensive inquiry. Where the witness acts only as a “passive listening post,” permitting a jury to consider the overheard statements might not trample a defendant’s right to counsel.
See Kuhlmann v. Wilson, 477
U.S. 436, 459,
In this instance, the government has expressly conceded on appeal that Torres
We strongly disagree that admission of these statements was harmless. Constitutional error of this nature is harmless only if it can be said “beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.”
Chapman v. California,
The government tendered substantial evidence pointing toward Lozada’s guilt. Several witnesses testified that he played a prominent role in the transportation unit, and this testimony and documentary evidence also revealed seemingly suspicious circumstances cаsting a pall on his protestations of innocence. The prosecution’s ease was not, however, so one-sided that we can fairly say that the damaging testimony provided by Torres had little or no effect on the jury’s decision. In addition, the harmless error test is more stringent where an error of constitutional dimension has infected the trial. The government cannot surmount this obstacle.
The government urges us to conclude that the constitutional error likely had a de minimis effect because Lozada supposedly asked Torres to shade his testimony only as to one particular transaction, the impliсation being that evidence that defendant selectively tampered with a witness did not necessarily taint the entire proceedings.
This argument grossly underestimates the impact of the jailhouse statements attributed to Lozada. In all likelihood, the mere suggestion that Lozada asked — or even worse, that he tried to bribe — a material witness (and alleged co-conspirator) to alter his testimony the night before he was to testify destroyed Lozada’s credibility, for a jury would reasonably presume that an innocent man would have no reason to ask a. witness to shade his testimony. Put another way, this bit of evidence strongly tended to show that a guilty mind was at work. Once heard, it could well have become the colored lens through which the jury viewed all of the other evidence.
Reversed and remanded for a new trial. So ordered.
Notes
. In particular, he asserts that: (1) the trial court should have granted him free rein to introduce certain evidence accounting for his seemingly extravagant expenditures; (2) the government should not have been allowed to impeach him (and others) with prior arrests and convictions; (3) the jury should have been given defendant’s suggested instruction as to character evidence; and (4) the government withheld material exculpatory evidence. Because we decide he deserves a new trial on
. The entire exchange consisted of the following:
Q. Agent Rodriguez, where are you from?
A. From Naranjito.
Q. Next to Coroza!.
A. Yes, sir.
Q. In fact, you were a neighbor all your life of Mr. Lozada.
A. No.
Q. You weren’t?
A. No, sir.
Q. Where did you go to school?
A. In Naranjito.
Q. Santa Teresita?
A. Just for ninth grade.
Q. Any relatives of Mr. Lozada go to school there with you?
A. Yes, sir.
Q. Who?
A. Mr. Lozada’s son.
Q. And the daughter.
A. Well, I don’t remember about Mildred. Q. But you seem to call her by her first name.
A. Yes, sir.
Q. Isn’t it a fact, sir, that you have known Mr. Lozada and his family since back in your high school years, sir?
A. Well, it wasn’t until the day of the arrest that I remembered Emilio and my studying with him, because he was really fat and I didn't remember him.
Q. You didn’t socialize with the children of Mr. Lozada in your younger years?
A. At that time we were together in the same ninth grade classroom, but nothing more.
Q. Didn't you date a friend of Mildred Lozada and double date with her?
A. I don't know, I don’t remember. If you can tell me, because I don't remember.
Q. How old a man are you, sir? How old are you?
A. Thirty-seven.
Q. And you never had a problem with the Lozada family during those years, did you?
A. No, not that I remember.
. The report was prepared on an official Department of Justice form, titled “Report of Investigation.” Substantively, it briefly describes the pre-interview cautionary steps taken by the federal agents, such as advising Lozada of his rights, and paraphrases in great detail Lozada's alleged statements. Each detailed paragraph begins: "Lozada-Rivera stated that....” "Lozada-Rivera admitted thát ...” or "Lozada-Rivera explained that....”
. The three-page report indicates that it was prepared on March 5, 1997, but was not signed by Agent Rodríguez and his Group Supervisor until March 20, 1997.
. There might be some disagreement in our decisions as to the proper standard for harmless error review when a witness’s prior statement should not have infiltrated the proceedings.
Compare Awon,
. The examination proceeded as follows:
Q. And what did Mr. Lozada say to you?
A. When he approached me, when he came near, he asked whether it was me. I told him yes, that it was me. And he told me that he knew I was coming here today. I told him yes, that I was, that I had told him so on Monday, and that on Monday I had been here. And he made a comment to me as to whether I could state here that I bought the oil container behind his back. I told him that I could not; that the police knew already about it; that I coming here to state — to say the full truth. So I again advised him whether he had spoken clearly with his. attorney, whether he had told the truth to his attorney, and he told me that if he got ten years, it would be the same as getting 100. That's all.
Q. Did he mention anything to you about assisting you economically?
A. Yes. I became upset because while he still owed me some money, when I came down I tried to collect from him and he told me that he had spent a lot on attorneys. And then yеsterday he comes up to offer me money, and I told him no.
Q. He offered you money for what, sir?
A. I don't know if it was for me to lie, but I told him that I would not lie.
. While we will not speculate as to the government’s reason for strategically abandoning the first two prongs of the Massiah test, we note that Torres himself testified that he had sent messages to Lozada "every day as to whether he can come over to the door” and engage in conversation. In fact, Torres even said at one point that he had "advised” Loza-da to plead guilty or he would have to testify against him. On the face of the cold record (there was no detailed hearing due tо the manner in which the issue arose), there appears to have been more than de minimis jailhouse contact between the two. Further, there is no dispute that Torres’s actions are imputed to the government because he had successfully negotiated a cooperating witness agreement by this time.
. The government’s brief is somewhat confused on this matter. It first states that the government "assume[s] arguendo that Torres violated appellant’s Sixth Amendment right to counsel,” but later says that it "does not dispute that the testimony in question was wrongly admitted,” Gov't Br. at 21, and makes no effort at all to defend the trial court's ruling by arguing that the statements were not deliberately elicited by a government agent. At oral argument, the government clarified that it was, in fact, arguing only the harmless error point.
