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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 91-872
- --------
- UNITED STATES, PETITIONER v. ANTHONY
- SALERNO et al.
- on writ of certiorari to the united states court of
- appeals for the second circuit
- [June 19, 1992]
-
- Justice Thomas delivered the opinion of the Court.
- Federal Rule of Evidence 804(b)(1) states an exception to
- the hearsay rule that allows a court, in certain instances, to
- admit the former testimony of an unavailable witness. We
- must decide in this case whether the Rule permits a
- criminal defendant to introduce the grand jury testimony of
- a witness who asserts the Fifth Amendment privilege at
- trial.
- I
- The seven respondents, Anthony Salerno, Vincent
- DiNapoli, Louis DiNapoli, Nicholas Auletta, Edward
- Halloran, Alvin O. Chattin, and Aniello Migliore, allegedly
- took part in the activities of a criminal organization known
- as the Genovese Family of La Cosa Nostra (Family) in New
- York City. In 1987, a federal grand jury in the Southern
- District of New York indicted the respondents and four
- others on the basis of these activities. The indictment
- charged the respondents with a variety of federal offenses,
- including 41 acts constituting a -pattern of illegal activity-
- in violation of the Racketeer Influenced and Corrupt
- Organizations Act (RICO), 18 U. S. C. 1962(b).
- Sixteen of the alleged acts involved fraud in the New
- York construction industry in the 1980s. According to the
- indictment and evidence later admitted at trial, the Family
- used its influence over labor unions and its control over the
- supply of concrete to rig bidding on large construction
- projects in Manhattan. The Family purportedly allocated
- contracts for these projects among a so-called -Club- of six
- concrete companies in exchange for a share of the proceeds.
- Much of the case concerned the affairs of the Cedar Park
- Concrete Construction Corporation (Cedar Park). Two of
- the owners of this firm, Frederick DeMatteis and Pasquale
- Bruno, testified before the grand jury under a grant of
- immunity. In response to questions by the United States,
- they repeatedly stated that neither they nor Cedar Park
- had participated in the Club. At trial, however, the United
- States attempted to show that Cedar Park, in fact, had
- belonged to the Club by calling two contractors who had
- taken part in the scheme and by presenting intercepted
- conversations among the respondents. The United States
- also introduced documents indicating that the Family had
- an ownership interest in Cedar Park.
- To counter the United States' evidence, the respondents
- subpoenaed DeMatteis and Bruno as witnesses in the hope
- that they would provide the same exculpatory testimony
- that they had presented to the grand jury. When both
- witnesses invoked their Fifth Amendment privilege against
- self-incrimination and refused to testify, the respondents
- asked the District Court to admit the transcripts of their
- grand jury testimony. Although this testimony constituted
- hearsay, see Rule 801(c), the respondents argued that it fell
- within the hearsay exception in Rule 804(b)(1) for former
- testimony of unavailable witnesses.
- The District Court refused to admit the grand jury
- testimony. It observed that Rule 804(b)(1) permits admis-
- sion of former testimony against a party at trial only when
- that party had a -similar motive to develop the testimony
- by direct, cross, or redirect examination.- The District
- Court held that the United States did not have this motive,
- stating that the -motive of a prosecutor in questioning a
- witness before the grand jury in the investigatory stages of
- a case is far different from the motive of a prosecutor in
- conducting the trial.- App. to Pet. for Cert. 51a. A jury
- subsequently convicted the respondents of the RICO counts
- and other federal offenses.
- The United States Court of Appeals for the Second
- Circuit reversed, holding that the District Court had erred
- in excluding DeMatteis and Bruno's grand jury testimony.
- 937 F. 2d 797 (1991). Although the Court of Appeals
- recognized that -the government may have had no motive
- . . . to impeach . . . Bruno or DeMatteis- before the grand
- jury, it concluded that -the government's motive in examin-
- ing the witnesses . . . was irrelevant.- Id., at 806. The
- Court of Appeals decided that, in order to maintain -ad-
- versarial fairness,- Rule 804(b)(1)'s similar motive element
- should -evaporat[e]- when the government obtains immu-
- nized testimony in a grand jury proceeding from a witness
- who refuses to testify at trial. Ibid. We granted certiorari,
- 502 U. S. - (1992), and now reverse and remand.
-
- II
- The hearsay rule prohibits admission of certain state-
- ments made by a declarant other than while testifying at
- trial. See Rule 801(c) (hearsay definition), 802 (hearsay
- rule). The parties acknowledge that the hearsay rule,
- standing by itself, would have blocked introduction at trial
- of DeMatteis and Bruno's grand jury testimony. Rule
- 804(b)(1), however, establishes an exception to the hearsay
- rule for former testimony. This exception provides:
- -The following are not excluded by the hearsay rule
- if the declarant is unavailable as a witness:
-
- -(1) Former Testimony. - Testimony given as a
- witness at another hearing . . . if the party against
- whom the testimony is now offered . . . had an opportu-
- nity and similar motive to develop the testimony by
- direct, cross, or redirect examination.-
- We must decide whether the Court of Appeals properly
- interpreted Rule 804(b)(1) in this case.
- The parties agree that DeMatteis and Bruno were
- -unavailable- to the defense as witnesses, provided that
- they properly invoked the Fifth Amendment privilege and
- refused to testify. See Rule 804(a)(1). They also agree that
- DeMatteis and Bruno's grand jury testimony constituted
- -testimony given as . . . witness[es] at another hearing.-
- They disagree, however, about whether the -similar motive-
- requirement in the final clause of Rule 804(b)(1) should
- have prevented admission of the testimony in this case.
- A
- Nothing in the language of Rule 804(b)(1) suggests that
- a court may admit former testimony absent satisfaction of
- each of the Rule's elements. The United States thus asserts
- that, unless it had a -similar motive,- we must conclude
- that the District Court properly excluded DeMatteis and
- Bruno's testimony as hearsay. The respondents, in con-
- trast, urge us not to read Rule 804(b)(1) in a -slavishly
- literal fashion.- Brief for Respondents at 31. They contend
- that -adversarial fairness- prevents the United States from
- relying on the similar motive requirement in this case. We
- agree with the United States.
- When Congress enacted the prohibition against admission
- of hearsay in Rule 802, it placed 24 exceptions in Rule 803
- and 5 additional exceptions in Rule 804. Congress thus
- presumably made a careful judgment as to what hearsay
- may come into evidence and what may not. To respect its
- determination, we must enforce the words that it enacted.
- The respondents, as a result, had no right to introduce
- DeMatteis and Bruno's former testimony under Rule
- 804(b)(1) without showing a -similar motive.- This Court
- cannot alter evidentiary rules merely because litigants
- might prefer different rules in a particular class of cases.
- See Green v. Bock Laundry Machine Co., 490 U. S. 504, 524
- (1989).
- The respondents' argument for a different result takes
- several forms. They first assert that adversarial fairness
- requires us to infer that Rule 804(b)(1) contains implicit
- limitations. They observe, for example, that the Advisory
- Committee Note to Rule 804 makes clear that the former
- testimony exception applies only to statements made under
- oath or affirmation, even though the Rule does not state
- this restriction explicitly. See Advisory Committee's Notes
- on Fed. Rule Evid. 804, 28 U. S. C. App., p.288, subd. (b),
- except. (1). The respondents maintain that we likewise
- may hold that Rule 804(b)(1) does not require a showing of
- similar motive in all instances.
- The respondents' example does not persuade us to change
- our reading of Rule 804(b)(1). If the Rule applies only to
- sworn statements, it does so not because adversarial
- fairness implies a limitation, but simply because the word
- -testimony- refers only to statements made under oath or
- affirmation. See Black's Law Dictionary 1476 (6th ed.
- 1990). We see no way to interpret the text of Rule 804(b)(1)
- to mean that defendants sometimes do not have to show
- -similar motive.-
- The respondents also assert that courts often depart from
- the Rules of Evidence to prevent litigants from presenting
- only part of the truth. For example, citing United States v.
- Miller, 600 F. 2d 498 (CA5 1979), the respondents maintain
- that, although parties may enjoy various testimonial
- privileges, they can forfeit these privileges by -opening the
- door- to certain subjects. In the respondents' view, the
- United States is attempting to use the hearsay rule like a
- privilege to keep DeMatteis and Bruno's grand jury testimo-
- ny away from the jury. They contend, however, that
- adversarial fairness requires us to conclude that United
- States forfeited its right to object to admission of the
- testimony when it introduced contradictory evidence about
- Cedar Park.
- This argument also fails. Even assuming that we should
- treat the hearsay rule like the rules governing testimonial
- privileges, we would not conclude that a forfeiture occurred
- here. Parties may forfeit a privilege by exposing privileged
- evidence, but do not forfeit one merely by taking a position
- that the evidence might contradict. See 8 J. Wigmore,
- Evidence 2327, p. 636 (McNaughton rev. 1961); M. Larkin,
- Federal Testimonial Privileges 2.06, pp. 2-103, 2-104,
- 2-120 (1991). In Miller, for example, the court held that a
- litigant, -after giving the jury his version of a privileged
- communication, [could not] prevent the cross-examiner from
- utilizing the communication itself to get at the truth.- 600
- F. 2d, at 501 (emphasis added). In this case, by contrast,
- the United States never presented to the jury any version
- of what DeMatteis and Bruno had said in the grand jury
- proceedings. Instead, it attempted to show Cedar Park's
- participation in the Club solely through other evidence
- available to the respondents. The United States never
- exposed the jury to anything analogous to a -privileged
- communication.- The respondents' argument, accordingly,
- fails on its own terms.
- The respondents finally argue that adversarial fairness
- may prohibit suppression of exculpatory evidence produced
- in grand jury proceedings. They note that, when this Court
- required disclosure of a grand jury transcript in Dennis v.
- United States, 384 U. S. 855 (1966), it stated that -it is
- rarely justifiable for the prosecution to have exclusive
- access- to relevant facts. Id., at 873. They allege that the
- United States nevertheless uses the following tactics to
- develop evidence in a one-sided manner: If a witness
- inculpates a defendant during the grand jury proceedings,
- the United States immunizes him and calls him at trial;
- however, if the witness exculpates the defendant, as Bruno
- and DeMatteis each did here, the United States refuses to
- immunize him and attempts to exclude the testimony as
- hearsay. The respondents assert that dispensing with the
- -similar motive- requirement would limit these tactics.
- We again fail to see how we may create an exception to
- Rule 804(b)(1). The Dennis case, unlike this one, did not
- involve a question about the admissibility of evidence.
- Rather, it concerned only the need to disclose a transcript
- to the defendants. See 384 U. S., at 873. Moreover, in
- Dennis, we did not hold that adversarial fairness required
- the United States to make the grand jury transcript
- available. Instead, we ordered disclosure under the specific
- language of Federal Rule of Criminal Procedure 6(e). See
- 384 U. S., at 869-870, 872. In this case, the language of
- Rule 804(b)(1) does not support the respondents. Indeed,
- the respondents specifically ask us to ignore it. Neither
- Dennis nor anything else that the respondents have cited
- provides us with this authority.
- B
- The question remains whether the United States had a
- -similar motive- in this case. The United States asserts
- that the District Court specifically found that it did not and
- that we should not review its factual determinations. It
- also argues that a prosecutor generally will not have the
- same motive to develop testimony in grand jury proceedings
- as he does at trial. A prosecutor, it explains, must main-
- tain secrecy during the investigatory stages of the criminal
- process and therefore may not desire to confront grand jury
- witnesses with contradictory evidence. It further states
- that a prosecutor may not know, prior to indictment, which
- issues will have importance at trial and accordingly may
- fail to develop grand jury testimony effectively.
- The respondents disagree with both of the United States'
- arguments. They characterize the District Court's ruling as
- one of law, rather than fact, because the District Court
- essentially ruled that a prosecutor's motives at trial always
- differ from his motives in grand jury proceedings. The
- respondents contend further that the grand jury transcripts
- in this case actually show that the United States thorough-
- ly attempted to impeach DeMatteis and Bruno. They add
- that, despite the United States' stated concern about
- maintaining secrecy, the United States revealed to
- DeMatteis and Bruno the identity of the major witnesses
- who testified against them at trial.
- The Court of Appeals, as noted, erroneously concluded
- that the respondents did not have to demonstrate a similar
- motive in this case to make use of Rule 804(b)(1). It
- therefore declined to consider fully the arguments now
- presented by the parties about whether the United States
- had such a motive. Rather than to address this issue here
- in the first instance, we think it prudent to remand the case
- for further consideration. Cf. Denton v. Hernandez, 504
- U. S. --, -- (1992).
- It is so ordered.
-