United States v. DiNapoli

United States Court of Appeals for the Second Circuit · 1993 · Evidence
8 F.3d 909 (1993)
Updated
Evidenceformer testimonysimilar motiveFed. R. Evid. 804(b)(1)hearsay exceptiongrand jury testimonyunavailable witnesscross-examination

Facts

After a grand jury had already returned an indictment alleging a Manhattan concrete bid-rigging scheme, it continued investigating possible additional participants and projects. Two immunized witnesses, DeMatteis and Bruno, who had been principals in Cedar Park, denied knowledge of the "Club" and the two-percent arrangement when they testified before the grand jury. The prosecutor challenged them only briefly and did not confront them with undisclosed wiretaps or cooperating witnesses, in part to avoid premature disclosure of that evidence. At trial, when both witnesses invoked the Fifth Amendment, the defendants sought to introduce their grand jury testimony under Rule 804(b)(1), and the district court excluded it.

Issue

Whether, for purposes of Federal Rule of Evidence 804(b)(1), the prosecution had an opportunity and a similar motive at the grand jury proceedings to develop DeMatteis's and Bruno's testimony comparable to the motive it would have had to challenge that same testimony at trial.

Rule

Under Rule 804(b)(1), similarity of motive is determined by a fact-specific inquiry into whether the party resisting the testimony had at the prior proceeding an interest of substantially similar intensity to prove or disprove the same side of a substantially similar issue. Relevant but not conclusive considerations include the nature of the two proceedings, what was at stake, the applicable burden of proof, and to a lesser extent both the cross-examination that was undertaken and the lines of questioning that were available but forgone.

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One of 10 multiple-choice questions for this case. Pick an answer to see why.
In a fraud prosecution in Chicago, Dana Ortiz seeks to admit the former testimony of Nolan Pike, who is now unavailable. Pike testified at an earlier civil bench trial between the same parties about whether a shipment log was fabricated, and that issue was hotly contested there just as it is in the criminal case now. The government had vigorously challenged Pike's account at the first trial.

Is the former testimony most likely admissible under Rule 804(b)(1) against the government?

Explanation. Rule 804(b)(1) requires a fact-specific inquiry into whether the party resisting the testimony previously had an interest of substantially similar intensity to prove or disprove the same side of a substantially similar issue. The majority stated that where both proceedings are trials and the same matter is seriously disputed at both, similar motive will normally exist. Identical burdens or identical questioning are not required, and there is no categorical civil-to-criminal bar.