United States v. Torrez-OrtegaUnited States v. Torrez-Ortega
This direct appeal of appellants’ convictions for conspiracy to violate federal drug laws presents several issues, one of which is precedential in this circuit. We must decide whether a witness who asserts an illegitimate claim of privilege, and essentially refuses to answer questions at trial, is available and subject to cross-examination within the meaning of the Confrontation Clause and
I
Appellants Anthony Flores, Anjel Tor-rez-Ortega, and Leonard Lee Uram were tried and convicted of conspiracy to possess with intent to distribute and distribution of cocaine and marijuana in violation of
At the government’s request, the judge declared Valdez a hostile witness, and ruled his grand jury testimony admissible as a prior inconsistent statement under
II
Appellants contend that admission of Valdez’s grand jury testimony is improper under
“Ordinarily a witness is regarded as ‘subject to cross-examination’ when he is placed on the stand, under oath, and responds willingly to questions.”
United States v. Owens,
The government counters that when a sworn witness has been “immunized” his assertions of privilege are invalid, and he is thereby “made legally available
Valdez could hardly have been less forthcoming on the stand. He refused to acknowledge that the grand jury testimony read by the prosecution was his,
see
The government reads Owens very differently. Under its interpretation, Owens adopts the position taken by Justice Harlan in his concurring opinion in Green. The government characterizes that position as follows: once the prosecution swears a witness who is legally — although not “practically” — available for cross-examination, the Confrontation Clause is satisfied. Even assuming this is a fair characterization of Justice Harlan’s views, it is not a position endorsed by Owens.
Although the Court in
Oivens
“agree[d] with ... Justice Harlan,” it did so solely for the proposition that the out-of-court testimony of a witness claiming memory loss can be admitted without violating the Confrontation Clause.
See Owens,
As a consequence, we are unconvinced by the government’s attempt to link by analogy cases in which a witness professes loss of memory — real or otherwise — and cases in which a witness simply refuses to testify on the basis of an assertion of privilege.
Owens
clearly indicates that a witness’s assertions of privilege may prevent viable cross-examination.
See Owens,
Ill
The government attacks this conclusion on policy grounds, arguing that it will embolden defendants into coercing or procuring witnesses’ invalid claims of privilege. We are unpersuaded for three reasons.
First, when a defendant wrongfully procures such behavior of a witness, she waives her rights to confrontation.
4
See
The in camera hearing we conclude is required to determine, for purposes of
IV
Because admission of Valdez’s grand jury testimony violated the Confrontation Clause, we must reverse unless we are “able to declare a belief that it was harmless beyond a reasonable doubt.”
Chapman v. California,
the importance of the witness’s testimony in the prosecution case, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the witness on material points, the extent of the cross-examination otherwise permitted, and, of course, the overall strength of the prosecution’s case.
United States v. Begay,
A
With respect to Uram, admission of Valdez’s grand jury testimony is harmless. As the government argues, this evidence has little bearing on its case against Uram; it neither refers to Uram nor directly links him to the alleged conspiracy. It is thus of little relevance whether Valdez’s testimony was cumulative, corroborated, or contradicted by other evidence. Furthermore, Uram’s inability to cross-examine Valdez did not “shut off a line of vital defense evidence” to him.
Begay,
Although the government makes no assertion that erroneous admission of Valdez’s grand jury testimony is harmless as to Flores and Torrez-Ortega, “we may exercise our discretion to initiate harmless error review in an appropriate case.”
United States v. Langston,
Giovannetti
considers whether, and when, the government may waive harmless error arguments. The Seventh Circuit concludes that the “mandatory language” of
discretion to overlook a failure to argue harmlessness, and in deciding whether to exercise that discretion the controlling considerations are the length and complexity of the record, whether the harmlessness of the error or errors found is certain, or debatable, and whether a reversal will result in protracted, costly, and ultimately futile proceedings in the district court.
Giovannetti,
Under that standard, we are doubtful that this is an appropriate case for the exercise of that discretion. The record is extensive and complex: twenty-five volumes cover a two-week, multi-de-fendant trial. The harmlessness of the constitutional error is at best debatable. The government’s concession that Valdez’s testimony fails the
Roberts
indicia of reliability test must be coupled with its statement that “[t]here can be no doubt that the Valdez grand jury testimony was important to the prosecution’s case against Christino [Flores] and Lencho [Torrez-Ortega].” No. 97-8095, Appellee’s Br. at 34. Our independent review of the full record does not readily persuade us that the error is harmless beyond a reasonable doubt under
Van Arsdall. See
V
Appellants contend that admission of Valdez’s grand jury testimony violates their rights to a fair trial in two additional respects: first, that the government’s calling Valdez to the stand in the knowledge that he would refuse to testify constitutes prosecutorial misconduct; and second, that the government failed to disclose evidence pertaining to Valdez’s truthfulness in violation of
Brady v. Maryland,
Prosecutorial misconduct may arise when the government calls witnesses in a “conscious and flagrant attempt to build its case out of inferences arising from use of the testimonial privilege.”
Namet v. United States,
A “prosecutor need not accept at face value every asserted claim of privilege, no matter how frivolous.”
Namet,
Misconduct may yet arise if the prosecution continues to question a witness once her consistent refusal (legitimate or otherwise) to testify has become apparent.
Coppola,
The defendants’
Brady
claims rest on the contention that a prosecutor believed Valdez had lied in his grand jury testimony and in a proffer he made to secure a “Safety Valve” sentence pursuant to U.S.S.G. § 5C1.1. However, even if the record could be read to suggest such a subjective suspicion, the government’s disclosure obligations under
Brady
would not extend to a merely subjective assessment by a prosecutor of a witness’s veracity.
See United States v. Thomas,
VI
Finally, we find no error in the district court’s denial of Flores’s speedy trial claims.
8
The Speedy Trial Act re
Here, the 70-day period began to run on September 20, 1996, when the government filed the indictment. On October 22, 1996, the first pretrial motions were filed, and they were still pending when the trial began on April 27, 1997. Thus, the 70-day period provided by the Act did not elapse before commencement of trial. Flores’s speedy trial claim fails.
VII
Uram’s conviction is AFFIRMED; the convictions of Flores and Torrez-Ortega are REVERSED and REMANDED for further proceedings consistent with this opinion.
Notes
. Technically, a hearsay statement that cannot be admitted as "not hearsay” under
. Although the "hearsay rules and the Confrontation Clause are generally designed to protect similar values,” they do not completely “overlap."
Green,
. In fact,
Owens
is more limited still in that it deals only with a real loss of memory about the basis for an identification statement under
Owens
bolsters its conclusion that the legitimately forgetful witness is subject to cross-examination for purposes of
. No allegation is'made in this case that defendants have waived their rights of confrontation by wrongfully procuring Valdez’s silence al trial.
See Douglas v. Alabama,
. When a witness asserts a loss of memory, he shifts to the government the burden of proving the falsity of his claim "by demonstrating that [he] in fact did remember the events in question.”
Matter of Battaglia,
. The government here concedes that Valdez's grand jury testimony does not pass muster under Roberts.
. We do not decide whether the
Giovannetti
factors are exhaustive. Other courts have described . "alternative” considerations.
See, e.g., United States v. Rose,
. Flores raises several other claims of eviden-tiary and sentencing error that we do not address because we cannot say they are likely to recur.