PER CURIAM:
This appeal challenges a number of district court
rulings, made in the course of a lengthy and highly publicized criminal
trial. Almost all of the claims raised are without merit and easily
resolved. One issue -- the government's use of information obtained by
other prisoners from the appellant while he was incarcerated pending
trial -- requires more attention. We conclude that the district court
did not err with respect to the testimony it admitted.
But important constitutional interests are implicated
whenever the government uses information obtained from a defendant,
after arrest, outside the presence of that person's attorney. And, while
the record before us amply supports the district court's holding that
the government did not cross the line and use information that was
obtained illegally, we write to point out how close to that line the
government came.
BACKGROUND
In December 1993, five people in western New York
were killed, and several others were injured, by letter bombs. All of
the individuals who received bombs in the mail were relatives of
appellant Michael Stevens' girlfriend. After the bombings, police went
to the home where Stevens and his girlfriend were living. They wanted
her to identify one of the bodies. After meeting Stevens, the police
asked him to accompany them to the police station to answer some
questions. He agreed and went with them.
During the questioning that followed, Stevens -- who
was clearly not yet under arrest -- confessed to sending the bombs. Some
time thereafter, Stevens and a co-defendant were charged with unlawfully
transporting, possessing, and using explosive devices to damage property
and cause death, in violation of 18 U.S.C. §§ 2, 842(a)(3), 844(d),
844(i), and 924(c)(1) and 26 U.S.C. §§ 5861(d) and 5871.
While he was incarcerated, Stevens made several
attempts to convince fellow inmates to assist him in disrupting the
investigation of his crime. His trust was misplaced. At least seven of
the prisoners he contacted sought to provide the government with the
information they learned, in the hopes of receiving benefits in return.
At trial, defense counsel objected to the
introduction of testimony from these inmates, arguing that the
information being proffered was obtained in violation of Stevens'
constitutional right to counsel because the prisoners were acting as
government informants when they received it. Although the government
conceded that some of the testimony was properly excluded, it argued,
and the court agreed, that evidence provided by three of Stevens' fellow
inmates was admissible.
One of these, Maximillion Franco, testified to
conversations in which Stevens asked him to locate someone who could
make a payment on a rental storage locker. Some of Stevens' statements
concerning the locker led Franco to believe that the locker might
contain explosives. After Stevens gave Franco the locker number and the
telephone number of the storage facility, Franco called the government
and offered to make this information available to them.
In court, Franco said that he had had two
conversations with government agents. During the first, he obtained a
promise that if he provided the government with useful information he
would receive some cash benefit. At the second, six days later, he gave
the government the evidence that he had gotten from Stevens. Franco
ultimately received $600 for his testimony. In addition, since he was to
be extradited to Texas (where he is currently jailed) he was promised a
letter to his parole board there, describing his cooperation.
The district court concluded that all of the
incriminating information had been received by Franco before he had
initiated contact with the government. At that time, he was not yet a
government informant. Accordingly, the court held that his testimony was
admissible.
Barry Berman, another prisoner, testified that
Stevens sought his help in formulating an alibi for December 27 and 28,
1993. Stevens gave Berman three documents -- one statement to be signed
by Stevens' mother, and two to be signed by his co-defendant.
He asked Berman to give the statements to Stevens'
girlfriend, who would then get the signatures. Berman stated that
Stevens had said that he intended to kill the co-defendant after the co-defendant
had signed the alibi.
Like Franco, Berman had several conversations with
government agents. Though Berman had initiated contact with the
government agents and had met with them two or three times while still
in jail, only later, when he was free, did he give the government the
documents he obtained from Stevens.
Berman admitted, moreover, that it was after he had
telephoned the government, and offered to cooperate, that Stevens had
given him some of the documents. But he said that this had happened
solely at Stevens' own direction. Berman also stated that he received
approximately $700 in exchange for his cooperation.
A third government witness, David Streb, testified
that Stevens had talked with him about Stevens' plan to kill his co-defendant.
Streb immediately contacted government agents and offered to provide
them with information. In exchange, he hoped to get his own sentence
shortened. Streb had several meetings with Stevens after this initial
contact with the government. In some of these, Streb received a variety
of incriminating documents from Stevens.
According to Streb's testimony, he contacted the
agents on a Friday and set up a meeting with them for the following
Monday. On his own initiative, he used the intervening weekend to obtain
the incriminating documents. In return for the information, the
government posted $500 bail for Streb.
On the basis of this and much other evidence, Stevens
was convicted on sixteen counts related to the possession and use of
explosive devices. He was sentenced to three terms of life imprisonment
without possibility of parole, and several other terms of years to be
served either concurrently or consecutively with these life terms. He
now appeals, asking this Court to reverse his conviction because of the
use of testimony allegedly obtained in violation of his constitutional
rights. He also claims a variety of other trial errors.
DISCUSSION
A. The Testimony by Stevens' Fellow Inmates
Stevens contends that the government's use of
testimony offered by inmates with whom he had spoken while incarcerated
violated his Sixth Amendment right to counsel under the rule announced
in Massiah v. United States , 377 U.S. 201 (1964). In Massiah , the
Supreme Court held that it is a violation of the Sixth Amendment right
to counsel for a private individual, acting as a government agent, to "deliberately
elicit[]" incriminating statements from the accused. Id. at 206.
The Massiah rule covers only those statements
obtained as a result of an intentional effort on the part of the
government , so information gotten before the inmates became agents/informants
is not protected by the rule.
If, however, an informant obtains some initial
evidence, approaches the government to make a deal on the basis of that
information, and then -- with the backing of the government --
deliberately elicits further evidence from an accused, the materials
gotten after such government contact are properly excluded under the
Massiah rule.
Stevens argues that the three inmates to whom he gave
the incriminating statements and documents admitted at trial were acting
as government informants throughout their communication with him.
Although he apparently concedes that his initial contact with each of
them occurred before they had formalized agreements with the government,
Stevens asks us to conclude that they were informants within the meaning
of Massiah throughout their interactions with him.
He argues that if an inmate receives information from
another inmate and subsequently transmits it to the government, that
information is inadmissible under the Massiah rule whenever the
information is received in the hope of exchanging it for a benefit (for
example, trading it for a reduction in sentence).
This contention fails for two reasons. First, to
treat every inmate who hopes to cut some future deal as a "government
informant" is to extend the idea behind Massiah far beyond its
natural reach, and that we are not willing to do. Second, Stevens
himself initiated the conversations with Franco, Berman, and Streb
during which they obtained the challenged information. And the Massiah
rule does not apply to statements made completely voluntarily by an
accused. United States v. Accardi , 342 F.2d 697, 701 (2d Cir.), cert.
denied , 382 U.S. 954 (1965).
Massiah is supposed to cover situations that "look"
like government interrogations. Just as the Sixth Amendment is not
violated -- even after counsel has been requested -- if a defendant
begins confessing to police officers without any prompting or
questioning by those officers, so the right to counsel is also not
infringed when a defendant approaches an informant and admits to a crime
without any urging on the part of the informant. Kuhlmann v. Wilson ,
477 U.S. 436, 459 (1986); United States v. Rosa , 11 F.3d 315, 329 (2d
Cir. 1993), cert. denied , 114 S. Ct. 1565 (1994).
There is support in the record before us for the
conclusion that contact between Stevens and the other inmates was
primarily at his own behest and that this continued to be so even after
the inmates had contacted the government. This alone would not be enough
to avoid the Massiah rule if the government had actually encouraged
contact between the informants and Stevens. See Maine v. Moulton , 474
U.S. 159, 176 (1985); Jenkins v. Leonardo , 991 F.2d 1033, 1036 (2d
Cir.), cert. denied , 114 S. Ct. 231 (1993).
But the government swore that in their initial
meeting, the investigating agent told Berman to avoid affirmatively
seeking further contact with Stevens, and that neither Franco nor Streb
was encouraged to acquire any further information from the defendant.
The district court, having heard the testimony and
arguments below, concluded both that the contacts between Stevens and
his fellow inmates took place at Stevens' own urging, and that the
statements he made to the informants were without encouragement from the
government.
The information either was obtained before the
inmates could properly be described as government agents or was
spontaneously offered by Stevens himself. The record, while not pellucid,
provides adequate support for this conclusion.
We wish to point out, however, that the government
appears to have strayed dangerously close to the Massiah line in
this investigation. We do this because Massiah demarcates a
constitutional boundary, because we wish to avoid even inadvertent
crossings of that boundary by the government, and because few things are
more troubling to courts than the need to exclude important evidence as
a result of careless government behavior.
We note that, in the case before us, the government
was initially less than forthcoming about precisely when Stevens gave
incriminating information to Franco, Berman, and Streb.
The affidavit of the investigating officer did not
provide a sufficiently clear explanation of the timing and nature of the
various contacts the inmates had with Stevens and with government agents.
As a result, the district court at first declined to reach a judgment on
the admissibility of the testimony provided by these informants. Judge
Telesca, instead, felt compelled to hold hearings outside the presence
of the jury before letting any of the witnesses testify.
At these hearings, the court allowed the government
to make an offer of proof concerning the circumstances in which the
information provided by each witness came to the government's attention.
Each of these witnesses, and the investigating
officers with whom they had spoken, affirmed that the initial contact
with the government had been made by the informants themselves, and that
no government official had asked or even encouraged the prisoners to
obtain information from Stevens.
The inmates further stated that anything they
received from Stevens after the initial government contact had not been
"deliberately elicited" by them, but had, instead, come entirely at
Stevens' own prompting.
The district judge credited the statements made in
the government's original, inadequate, affidavit and in the hearings he
had required prior to the presentation of each witness' testimony. There
being no suggestion that the court's conclusions as to these essentially
factual questions lacks support in the record, we will not disturb the
court's findings.
But we note that a judge of less experience and
ability might not have taken the precautions that Judge Telesca did. Had
that happened, and especially since the government has long been on
notice that the use of prison informants risks treading on the
constitutional rights of an accused at a time when the accused is "particularly
susceptible to the ploys of undercover Government agents," United States
v. Henry , 447 U.S. 264, 274 (1980), this Court could well have found
itself unable to sustain the conviction of someone found guilty of the
most heinous of crimes.
B. Other Issues Raised on Appeal
Stevens raises a number of other issues on appeal.
Although none of them ultimately has merit, we address each of them
briefly.
1. Venue
Stevens asserts that the pre-trial publicity in his
case was so substantial, and contained so much inherently prejudicial
information, that the district court should have granted his request for
a change of venue. A district court has discretion to decide whether to
transfer a case because unfavorable press makes a fair trial unlikely,
and "we will overturn the denial of such a motion only upon a clear
showing of abuse of that discretion." United States v. Maldonado-Rivera
, 922 F.2d 934, 967 (2d. Cir. 1990), cert. denied , 501 U.S. 1211
(1991).
Substantial publicity alone is not enough to require
a change of venue. Dobbert v. Florida , 432 U.S. 282, 303 (1977); see
Murphy v. Florida , 421 U.S. 794, 799 (1975). In this case, even though
it seems that some of the information obtained by the media may have
been released by the government -- and this fact can be an important
factor in weighing the prejudicial effect of pre-trial coverage,
Maldonado-Rivera , 922 F.2d at 967 -- it also appears that much of the
publicity was generated by the defendant himself. (The record shows that
Stevens made persistent efforts to hold jailhouse interviews.) Under the
circumstances, it was not an abuse of discretion for the district court
to conclude that the media coverage was not unduly prejudicial.
Of course, even if the media coverage was not
unusually harmful, Stevens might have had a right to a change of venue
had he been able to show that the impanelled jury was in fact
impermissibly biased. Stevens does not, however, put forward any
evidence of actual prejudice.
He makes conclusory statements that the judge was not
sufficiently "thorough" in questioning jurors about their ability to "lay
aside [their] impression[s] or opinion[s] and render a verdict based on
the evidence presented in court," Irvin v. Dowd , 366 U.S. 717, 723
(1961).
But Judge Telesca dismissed numerous prospective
jurors specifically because they had indicated uncertainty about their
ability to be impartial. And the defense counsel was present throughout
the voir dire, and had every opportunity to ask whatever further
questions might have helped to uncover any potential prejudice on the
part of other jurors.
The jury that was selected was composed of
individuals who maintained that, although they had heard of the case
through media reports, they nevertheless believed they could reach a
verdict based solely on the evidence presented to them in the courtroom.
This is what the law requires. See Knapp v. Leonardo , 46 F.3d 170, 176
(2d Cir.) ("[T]he Constitution does not require ignorant jurors, only
impartial ones."), cert. denied , 115 S. Ct. 2566 (1995). There is no
reason to believe that the district court abused its discretion in
concluding that an impartial jury could be -- and had been -- impanelled
without a change of venue.
2. Request to Serve as Co-Counsel
Stevens also challenges the district court's decision
to deny his motion -- made just after the start of jury selection -- to
serve as "co-counsel" at his trial. It is unclear whether Stevens
intended this motion as a request to represent himself -- without any
legal assistance -- or as a request to work with his lawyers in his own
defense. Whichever way the motion is construed, the district court acted
well within its discretion in denying the request.
A defendant in a criminal trial has an absolute right
to represent himself, and to reject the aid of legal counsel. If a
defendant asks to proceed pro se before the trial commences, that
request must be granted. United States ex rel. Maldonado v. Denno , 348
F.2d 12, 15 (2d Cir. 1965), cert. denied , 384 U.S. 1007 (1966).
But once a trial has begun, a defendant's right to
represent himself "is sharply curtailed," and the judge considering the
motion must weigh "the prejudice to the legitimate interests of the
defendant" against the "potential disruption of proceedings already in
progress." Id. How this balance should be struck is ultimately within
the sound discretion of the district court, and we find nothing in the
record that suggests that the court might have abused its discretion in
denying Stevens' motion.
There is, in any event, a crucial difference between
a defendant seeking to represent himself and a defendant asking to serve
as "co-counsel" in his defense. The defendant has no absolute right to
the latter. Instead, "[t]he decision to grant or deny ´hybrid
representation' lies solely within the discretion of the trial court."
United States v. Tutino , 883 F.2d 1125, 1141 (2d Cir. 1989), cert.
denied , 493 U.S. 1081 (1990).
The district court considered Stevens' motion
carefully, and denied it after concluding 1) that Stevens was not
claiming either that his counsel was not adequately representing him, or
that he would be unduly prejudiced by not being permitted to serve as co-counsel,
and 2) that Stevens' appointment as co-counsel would be disruptive.
These conclusions are amply supported in the record.
Accordingly, we hold that whether Stevens' motion is
viewed as a request to represent himself -- made after the start of
trial -- or a request to serve as co-counsel, the district court did not
abuse its discretion in denying the motion.
3. Jury Instructions
Stevens makes two objections to the district court's
jury instructions. First, he argues that the judge erred by refusing to
instruct the jurors that, in determining what weight they should give to
his statements to the police, they should consider the degree of
voluntariness of these admissions. Throughout the trial, Stevens
maintained that his confession was obtained under coercive conditions,
and that the jurors should accord it less than the usual weight.
The defendant does not argue that the coercion of
which he complained was at a constitutionally impermissible level. (A
magistrate judge had already determined in a suppression hearing that
Stevens had made the statements voluntarily, and at a time when he was
not under arrest.)
But Stevens argues that 18 U.S.C. § 3501, which
governs the admission of confessions in trials, requires the judge to
instruct the jurors that they can consider the degree of voluntariness
of statements in determining what weight to accord to them. By failing
to do so, Stevens maintains, the judge committed reversible error.
Stevens' contention is without merit. This Court has
ruled that 18 U.S.C. § 3501 applies only to confessions made during
interrogation following arrest or detention. United States v. Valdez ,
16 F.3d 1324, 1333 (2d Cir.), cert. denied , 115 S. Ct. 60 (1994). Since
the magistrate judge concluded, and the district judge agreed, that
Stevens had confessed without interrogation, and that he was not
arrested or detained at the time of the confession, Valdez requires us
to hold that the statute on which Stevens relies does not apply.
The defendant also objects to the court's instruction
that the jurors could consider his use of false names between December
1992 and December 1993 as evidence of consciousness of guilt. Stevens
argues that there was evidence at trial indicating that the false names
were used in connection with an entirely separate scheme.
Accordingly, he maintains, the judge erred in
instructing the jurors that they could consider the false names as
evidence of consciousness of guilt for the crimes charged in this case.
The jury instruction to which the defendant objects,
however, explicitly took safeguards against any such possible
misunderstanding. The court stated that the jury could consider the use
of the false names "if [it] find[s] that the defendant knowingly used a
name other than his own . . . with respect to the crimes charged in this
indictment ," (emphasis added). Since there was evidence on the basis of
which the jury could make such a finding, Stevens' complaint about this
instruction is without merit.
4. Evidentiary Rulings
Stevens challenges a number of the judge's
evidentiary rulings, primarily on the ground that the court allowed
testimony concerning the defendant's prior bad acts, in violation of
Federal Rule of Evidence 404(b). A trial judge has broad discretion to
regulate the admission of evidence, and we will reverse a district
court's conclusions only if they constitute a clear abuse of discretion
-- that is, if "the district court acted arbitrarily and irrationally."
United States v. Myerson , 18 F.3d 153, 166 (2d Cir.) (internal
quotation marks omitted), cert. denied , 115 S. Ct. 159 (1994). There is
nothing in the record here to suggest that the district court so acted.
Rule 404(b) provides that "[e]vidence of other crimes,
wrongs, or acts is not admissible to prove the character of a person in
order to show action in conformity therewith." But this Circuit takes an
inclusive approach to prior bad act testimony: such testimony can be
admitted for any purpose except to show criminal propensity. See United
States v. Brennan , 798 F.2d 581, 589 (2d Cir. 1986).
As to each of the pieces of evidence to which Stevens
objects, adequate other reasons for admission existed. Accordingly, we
cannot say that any were offered only to show criminal propensity. For
example, the court's decision to allow testimony a) concerning the
defendant's comfort with explosives and b) mentioning his subscriptions
to magazines containing information about explosives is amply justified
by the need to refute the defendant's claim that he was ignorant about
explosives.
Similarly, evidence about earlier criminal schemes
between Stevens and his co-defendants was admissible to show that the co-defendants
had an ongoing relationship with Stevens.
Moreover, even were it the case that any of the prior
bad act testimony offered by certain government witnesses served no
clear purpose other than to suggest criminal propensity, such testimony
formed so very small a fraction of any individual witness's testimony
that we cannot say that the district court erred in admitting it. See
United States v. Roldan-Zapata , 916 F.2d 795, 804 (2d Cir. 1990), cert.
denied , 499 U.S. 940 (1991).
CONCLUSION