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United States v. Ziegler

decided: August 24, 1978.


Appeal from conviction for conspiracy to distribute (and distribution of) heroin, alleging improper admission into evidence of hearsay testimony, and of declarations of co-conspirators without finding by preponderance of non-hearsay independent evidence aliunde that declarant and defendant were members of conspiracy. Reversed.

Before Meskill, Circuit Judge, and Dumbauld*fn* and Port,*fn** District Judges.

Author: Dumbauld

Appellant Gary Ziegler was convicted both of conspiracy (Count I) to distribute heroin, and of the substantive offense of distribution (Count II), in violation of 21 U.S.C. § 846, and of 21 U.S.C. § 841(a)(1).*fn1 He was sentenced by Judge Kevin T. Duffy on March 16, 1978, to ten years imprisonment on each count, to run concurrently, to be followed by a special parole term of three years.*fn2

Appellant contends that the admission of hearsay evidence and the declarations of a co-conspirator was erroneous and prejudicial. We are satisfied that this evidence was damaging to appellant; if it was erroneously admitted, we cannot conclude that it was harmless error.

Appellant's brother, an indicted co-conspirator, actually sold the heroin to the government agent (in company with Green, an informer with a criminal record). The sale was not made until after Green had made contact with appellant, who authorized the transaction and talked to his brother by telephone. The brother's statements constituted an important segment of the Government's case. Appellant refused to meet the government agent directly but was willing to do business through Green, who was apparently considered as being trustworthy by appellant.

The law regarding admissibility of declarations made by co-conspirators is well settled. The existence of a conspiratorial relationship between the declarant and the defendant must be established Aliunde by independent evidence before the declarant's statements are admissible against the defendant. This rule rests on principles of the law of agency, where the existence of the agency relationship can not be proved by the alleged agent's own bootstrap assertion.

In a frequently quoted statement by Mr. Justice Pitney in Hitchman Coal & Coke Co. v. Mitchell, 245 U.S. 229, 249-50, 38 S. Ct. 65, 72, 62 L. Ed. 260 (1917), it is explained that:

In order that the declarations and conduct of third parties may be admissible . . ., it is necessary to show by independent evidence that there was a combination between them and defendants, but it is not necessary to show by independent evidence that the combination was criminal or otherwise unlawful. The element of illegality may be shown by the declarations themselves. The rule of evidence is commonly applied in criminal cases, but is of general operation; indeed, it originated in the law of partnership. It depends upon the principle that when any number of persons associate themselves together in the prosecution of a common plan or enterprise, lawful or unlawful, from the very act of association there arises a kind of partnership, each member being constituted the agent of all, so that the act or declaration of one, in furtherance of the common object, is the act of all, and is admissible as primary and original evidence against them . . .

Upon a kindred principle, the declarations and conduct of an agent, within the scope and in the course of his agency, are admissible as original evidence against the principal, just as his own declarations or conduct would be admissible.

The determination whether the existence of the conspiracy and the membership in it of the witness and the defendant has been established by independent evidence is a preliminary question, a condition precedent to the admission of the declarations of the co-conspirator. Hence it is an evidentiary ruling, to make which falls within the province of the trial judge. Rule 104, Federal Rules of Evidence.

As a concession to the practicalities of proof, since an entire case can not be put in simultaneously but must proceed in sequence, the trial court in its discretion may admit a particular piece of evidence "subject to connection"; but if at the close of the Government's case the connection has not been proved, the court must, upon motion, strike the insufficiently connected item and direct the jury to disregard it. United States v. Geaney, 417 F.2d 1116, 1120 (2d Cir. 1969), Cert. denied, 397 U.S. 1028, 90 S. Ct. 1276, 25 L. Ed. 2d 539 (1970).

In this Circuit the general rule is lucidly stated in language undoubtedly emanating from the legendary Learned Hand:

The declarations of one party to a concerted mutual venture are admitted against the rest on the notion that they are acts in its execution. In so far as they are such, they are authorized by all, and are treated as their admissions. However, obviously the declaration cannot prove the authority any more than that of an agent. The party to be implicated must be shown independently to be in fact a party to the venture; else there is no authority to act for him.*fn3

Moreover, as intimated by Judge Hand in Dennis,*fn4 it is the trial judge who must make the preliminary determination as to admissibility. Whether or not the defendant is given a "second bite at the apple" as was done in Dennis, supra, 183 F.2d at 231, and as is sometimes done by judges in this Circuit, See 1 J. Weinstein & M. Berger, Commentary on Rules of Evidence P 104(05)(2), at 104-39 to 104-45 (1976), the judge can not abdicate his ...

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