US v. Rivera-Rodriguez
Filing
OPINION issued by Sandra L. Lynch, Chief Appellate Judge; Juan R. Torruella, Appellate Judge and Bruce M. Selya, Appellate Judge. Published. [08-1799, 08-1822, 08-1828, 08-1960, 08-2143]
Case: 08-1799 Document: 00116103079 Page: 1
Date Filed: 08/25/2010
United States Court of Appeals
For the First Circuit
No. 08-1799
UNITED STATES OF AMERICA,
Appellee,
v.
GABRIEL RIVERA-RODRÍGUEZ,
Defendant, Appellant.
No. 08-1822
UNITED STATES OF AMERICA,
Appellee,
v.
EXCEL A. MUÑIZ-MASSA,
Defendant, Appellant.
No. 08-1828
UNITED STATES OF AMERICA,
Appellee,
v.
EDUARDO PABÓN-MANDRELL,
Defendant, Appellant.
No. 08-1960
UNITED STATES OF AMERICA,
Appellee,
v.
JOSÉ RIVERA-MORENO,
Defendant, Appellant.
Entry ID: 5473651
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Date Filed: 08/25/2010
Entry ID: 5473651
No. 08-2143
UNITED STATES OF AMERICA,
Appellee,
v.
CHRISTIAN ARZOLA-MARTÍNEZ,
Defendant, Appellant.
APPEALS FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Aida M. Delgado-Colón, U.S. District Judge]
Before
Lynch, Chief Judge,
Torruella and Selya, Circuit Judges.
Anita Hill-Adames, for appellant Rivera-Rodríguez.
Raúl S. Mariani-Franco, for appellant Muñiz-Massa.
Rafael F. Castro-Lang, for appellants Pabón-Mandrell and
Arzola-Martínez.
Rosa I. Bonini-Laracuente, for appellant Rivera-Moreno.
Luke V. Cass, Assistant United States Attorney, with whom Rosa
Emilia Rodríguez-Vélez, United States Attorney, and Nelson PérezSosa, Assistant United States Attorney, Chief, Appellate Division,
were on brief for appellee.
August 25, 2010
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TORRUELLA,
Circuit
Date Filed: 08/25/2010
Judge.
Gabriel
Entry ID: 5473651
Rivera-Rodríguez
("Rivera-Rodríguez"), Excel Muñiz-Massa ("Muñiz-Massa"), Eduardo
Pabón-Mandrell ("Pabón-Mandrell"), José Rivera-Moreno ("RiveraMoreno"),
and
Christian
Arzola-Martínez
("Arzola-Martínez"),
(collectively "Appellants") were convicted by a jury of a drug
trafficking conspiracy. Appellants were later sentenced to lengthy
prison terms.
On appeal, Appellants challenge both their convictions
and sentences.
They advance a spate of claims in the process,
including challenges to certain evidentiary rulings the district
court
made,
underlying
challenges
their
to
the
convictions,
sufficiency
a
challenge
of
to
the
the
evidence
ex
parte
communications the district judge conducted with prospective jurors
during voir dire, and challenges to the district court's sentencing
process and outcomes.
After careful review of the record, we find
that the district court did not abuse its discretion regarding the
evidentiary rulings and that the evidence adduced at trial was
sufficient for the jury to convict Arzola-Martínez, Muñiz-Massa,
and Rivera-Moreno.
We also find that the ex parte conversations
the district judge held with prospective jurors, though troubling,
did not amount to plain error.
court
did
not
err
when
it
Moreover, we find that the district
provided
Arzola-Martínez
with
the
opportunity to allocute during sentencing or when it found RiveraRodríguez individually responsible for at least 4.5 kilograms of
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crack cocaine.
Date Filed: 08/25/2010
Entry ID: 5473651
Finally, we find that the district court committed
no error concerning the prior criminal histories of Arzola-Martínez
or Pabón-Mandrell when calculating their sentences.
Given our
findings, we affirm in all respects.
I.
A.
Background and Procedural History
Indictment (2007)
On March 19, 2007, a grand jury sitting in the District
of Puerto Rico returned a two-count indictment against the five
Appellants and thirty-seven other individuals.
Count One of the
indictment charged that, between an unknown date ("but no later
than in or about 2003") and 2007, the group of forty-two defendants
conspired to possess with intent to distribute and did distribute
narcotics, in violation of 21 U.S.C. §§ 846, 841(a)(1), and 860.1
B.
Joint Trial and Appeal (2008)
Over the course of twelve days from February 11 to 27,
2008, Appellants were tried jointly.
Appellants, witnesses, and
the government referred to the drug trafficking organization of
which Appellants were accused of being members as "Las Avispas" (in
English, "The Wasps").
The original Las Avispas, Las Avispas Uno,
operated in the Borinquen Ward of Guayama, Puerto Rico.
After
approximately forty-three members of Las Avispas Uno were arrested
in 2002, the organization reconstituted itself in 2003 as Las
1
Count Two, relating to forfeiture of property upon a conviction
under Count One, 21 U.S.C. § 853(a)(1) and (2), was dismissed at
each Appellant's sentencing hearing.
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Date Filed: 08/25/2010
Avispas Dos, also in the Borinquen Ward.
Entry ID: 5473651
Las Avispas Dos managed
a drug distribution point, Las Vías, approximately 752 feet from
the
Luis
Muñoz
Elementary
operational at the time.
School
("the
School"),
which
was
Multiple witnesses testified at trial
that Las Avispas Dos also operated a second drug distribution
point, La Pluma.
At
trial,
the
government
presented
evidence
that
Appellants were each active members, if not leaders, of Las Avispas
Dos, which conspired to distribute heroin, cocaine, cocaine base
(also known as crack cocaine), and marijuana.
Evidence presented
at trial also indicated that members of Las Avispas Dos, including
some Appellants, (1) possessed firearms to ward off rival drug
trafficking organizations and to maintain control over their drug
distribution
points
and
(2)
killed
and
attempted
individuals to further intimidate and exert control.
to
kill
Among other
things, the government specifically alleged that Rivera-Rodríguez
and
Muñiz-Massa,
along
with
two
indicted
co-conspirators
not
appellants in this case, killed Ricardo Haddock-Collazo ("Haddock
-Collazo"), on or about September 12, 2004, "since they believed he
was providing information about the drug distribution organization
to law enforcement authorities."
On the final day of the trial, the jury found each
Appellant guilty as to Count One of the indictment.
Furthermore,
the jury unanimously agreed to the following findings, by proof
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Entry ID: 5473651
beyond a reasonable doubt: (1) all Appellants conspired to possess
with the intent to distribute fifty grams or more of a mixture or
substance containing cocaine base (crack); (2) Muñiz-Massa, PabónMandrell, and Rivera-Moreno conspired to possess with the intent to
distribute
one
kilogram
or
more
of
a
mixture
or
substance
containing a detectable amount of heroin; (3) Arzola-Martínez and
Rivera-Rodríguez conspired to possess with the intent to distribute
less than one hundred grams of a mixture or substance containing a
detectable amount of heroin; (4) all Appellants conspired to
possess with the intent to distribute five kilograms or more of a
mixture or substance containing a detectable amount of cocaine; (5)
Muñiz-Massa, Pabón-Mandrell, Rivera-Moreno, and Rivera-Rodríguez
conspired to possess with the intent to distribute one hundred
kilograms or more of a mixture or substance containing a detectable
amount of marijuana; (6) Arzola-Martínez conspired to possess with
the intent to distribute less than one hundred kilograms of a
mixture or substance containing a detectable amount of marijuana;
and
(7)
all
Appellants
were
involved
in
conspiracy
and
drug
distribution activities that took place within 1,000 feet of a
public and/or private school.
Appellants were sentenced between May and July of 2008.
On May 20, the district court sentenced Rivera-Rodríguez to a term
of
imprisonment
of
forty-three
years
followed
by
a
term
of
supervised release of fifteen years. On May 30, the district court
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Entry ID: 5473651
sentenced Muñiz-Massa to a term of imprisonment of sixty years
followed by a term of supervised release of fifteen years.
On
June 6, the district court sentenced Pabón-Mandrell to a term of
imprisonment for the remainder of his natural life followed by a
term of supervised release of ten years.
On June 25, the district
court sentenced Rivera-Moreno to a term of imprisonment of thirtyfive years followed by a term of supervised release of fifteen
years.
Finally, on July 28, the district court sentenced Arzola-
Martínez to a term of imprisonment for the remainder of his natural
life followed by a term of supervised release of fifteen years.2
Between May and August of 2008, each Appellant filed his
timely notice of appeal.
appeal.3
Each Appellant raises multiple issues on
First, we address challenges by Arzola-Martínez, Muñiz-
2
In the companion cases of United States v. Cintrón-Echautegui,
604 F.3d 1 (1st Cir. 2010), and United States v. Rivera-Moreno, No.
08-1961, 2010 U.S. App. LEXIS 14677 (1st Cir. July 19, 2010), two
co-conspirators in Las Avispas Dos pled guilty to the conspiracy
count, and we affirmed the district court's judgments in each case.
3
Besides the issues discussed here, Arzola-Martínez, PabónMandrell, and Rivera-Rodríguez raised, in their initial brief,
another issue, concerning the number of peremptory challenges the
district court granted to the prosecution at trial.
These
Appellants argued that the district court committed plain error
when it granted the prosecution twelve peremptory challenges, which
these Appellants argued violated Federal Rule of Criminal Procedure
24(b)(2). These Appellants thus requested that we find that the
district court committed plain error and grant them a new trial.
In supplemental appellate briefing that we ordered both parties to
submit after oral argument, the government noted that, during a
supplemental conference with the district court on March 12, 2010,
"[t]he district court and the trial attorneys (both for the
government and defense) clarified that although the record says
'12' only six (6) peremptory challenges were given to the
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Massa,
and
rulings.
Rivera-Moreno
to
the
Date Filed: 08/25/2010
district
court's
Entry ID: 5473651
evidentiary
Second, we consider the argument made by these three
Appellants that the evidence presented at trial was insufficient
for a jury to find them guilty beyond a reasonable doubt.
consider,
under
plain
error
review,
whether
the
ex
We then
parte
conversations that the district judge held with prospective jurors
violated Appellants' Sixth Amendment rights.
Finally, we evaluate
various issues raised concerning the sentencing of Arzola-Martínez,
Rivera-Rodríguez, and Pabón-Mandrell.
II.
A.
Discussion
Evidentiary Rulings
On appeal, Arzola-Martínez, Muñiz-Massa, and Rivera-
Moreno
claim
that
the
district
evidentiary rulings at trial.
district
court
did
not
court
made
We disagree.
abuse
its
several
erroneous
We conclude that the
discretion
in
making
the
evidentiary rulings at issue.
1.
Standard / Scope of Review
We review a district court's evidentiary rulings and
Brady determinations for abuse of discretion.
United States v.
DeCologero, 530 F.3d 36, 65 (1st Cir. 2008); United States v.
Walter, 434 F.3d 30, 33 (1st Cir. 2006).
We review de novo
"whether the strictures of the Confrontation Clause have been met."
government with two challenges for the 3 alternates." Appellants
conceded the point during that conference, and so we do not address
this issue further.
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Walter, 434 F.3d at 33 (quoting United States v. Vega Molina, 407
F.3d 511, 522 (1st Cir. 2005))(internal quotation marks omitted).
"Only rarely -- and in extraordinarily compelling circumstances -will we, from the vista of a cold appellate record, reverse a
district
court's
on-the-spot
judgment
concerning
the
relative
weighing of probative value and unfair effect." Freeman v. Package
Mach. Co., 865 F.2d 1331, 1340 (1st Cir. 1988).
2.
Analysis
a.
Arzola-Martínez
Arzola-Martínez claims that the district court erred when
it
allowed
the
prosecution
to
present,
as
evidence
of
his
membership in the conspiracy, a firearm and narcotics the police
seized during separate arrests that he argues were unconnected to,
even if they were contemporaneous with, the charged conspiracy.
Arzola-Martínez argues that no evidence linked these events to the
charged conspiracy, so admission of these events was improper
character evidence under Rule 404(b) and prejudicial under Rule
403.
Víctor
Javier
Veguilla-Figueroa
("Officer
Veguilla-
Figueroa"), a member of the Puerto Rico Police Department ("PRPD"),
testified that, around 9:00 p.m. on October 13, 2005, a date which
fell within the time frame of the charged conspiracy, he and two
other PRPD police officers performing surveillance in Guayama
received a communication over their radio that three individuals in
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a
particular
Officer
vehicle
were
Veguilla-Figueroa
armed
stated
Date Filed: 08/25/2010
and
had
that
he
Entry ID: 5473651
threatened
and
his
someone.
colleagues
identified and pursued the car, which initially refused to stop.
When the vehicle finally did stop, Officer Veguilla-Figueroa placed
the driver, Arzola-Martínez, under arrest and searched him, seizing
a firearm.
José A. Ortiz-Reyes ("Officer Ortiz-Reyes"), another PRPD
member, testified that, around 2:20 p.m. on April 24, 2006, he and
a fellow PRPD police officer performing preventive patrolling in
Guayama observed a particular vehicle almost negligently collide
with a second vehicle. Officer Ortiz-Reyes indicated to the driver
of the first vehicle that he should stop.
Instead, the vehicle
fled, and Officer Ortiz-Reyes chased it. After the vehicle finally
did stop, Officer Ortiz-Reyes approached it and observed on the
back floor rug behind the seat of the passenger, whom Officer
Ortiz-Reyes identified as Arzola-Martínez, a plastic ziplock bag
containing plastic vials filled with powder that later tested
positive for cocaine. The police then arrested Arzola-Martínez and
the vehicle's driver.
The police retrieved the gun from Arzola-Martínez, who
possessed the weapon during the time and in the vicinity of the
drug conspiracy.
The police retrieved the narcotics from a car in
which Arzola-Martínez was a passenger during the time and in the
vicinity of the drug conspiracy. We have previously found that the
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presence of firearms and narcotics is probative of an intent to
distribute narcotics.
See United States v. Rivera-Calderón, 578
F.3d 78, 94 (1st Cir. 2009) (holding that a gun retrieved by police
from a defendant who possessed the gun during the time and in the
vicinity of a drug conspiracy "clearly was relevant evidence" and
made it more probable that the defendant was a member of this
particular conspiracy because, "in drug trafficking[,] firearms
have become 'tools of the trade' and thus are probative of the
existence of a drug conspiracy." (citation and internal quotation
marks omitted)); see also United States v. Cannon, 589 F.3d 514,
518-19 (1st Cir. 2010).
Because the events to which Officer
Veguilla-Figueroa and Officer Ortiz-Reyes testified occurred at the
time and in the vicinity of the conspiracy, and also because the
evidence confiscated included "tools of the trade" used in the
conspiracy, the district court did not abuse its discretion in
admitting the testimonies of Officer Veguilla-Figueroa and Officer
Ortiz-Reyes
as
relevant
to
Arzola-Martínez's
role
in
the
conspiracy.
b.
Muñiz-Massa
As we discuss below, the district court did not abuse its
discretion in making its rulings related to the first three of four
evidentiary rulings Muñiz-Massa claims were erroneous, and we need
not reach the fourth.
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First, Muñiz-Massa claims that the district court erred
when it prevented him from fully cross-examining the criminal
histories
of
Rivera-Díaz
Carlos
Brito-Pacheco
("Rivera-Díaz"),
the
("Brito-Pacheco")
government's
two
and
José
cooperating
witnesses, for the purpose of impeaching them as witnesses against
him.
Muñiz-Massa argues that the district court's evidentiary
ruling that prevented the defense from effectively cross-examining
the government's two main witnesses as to their prior convictions
and arrests unfairly infringed Muñiz-Massa's Confrontation Clause
right under the Sixth Amendment.
We have previously noted that
the
right
to
cross-examination
is
not
unbridled. So long as the trial court affords
the defendant a fair opportunity for effective
cross-examination, it may impose reasonable
restrictions based on concerns such as undue
prejudice, confusion of the issues, witness
badgering, redundancy, or questioning that
appears to be of marginal relevance.
The
trial court's latitude in shaping such
restrictions is "wide."
United
States
v.
Molina,
407
(internal citation omitted).
F.3d
511,
523
(1st
Cir.
2005)
Specifically, as relevant to Muñiz-
Massa's claim, we have observed that district courts may exercise
discretion in restricting a defendant's impeachment of a witness
against him by limiting cross-examination of that witness's prior
conduct.
See United States v. Bunchan, 580 F.3d 66, 71 (1st Cir.
2009)(finding no abuse of discretion in the district court's
restriction of appellant's cross-examination regarding criminal
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charges pending against a witness where the district court found
reference to the nature of the charged crime too prejudicial under
Federal Rule of Evidence 403); see also Fed. R. Evid. 403; Fed. R.
Evid. 608.
At one point during cross-examination, defense counsel
sought to show that Brito-Pacheco was in prison in 2004 and so
could not have had first-hand knowledge of events concerning Las
Avispas Dos during a portion of the time to which he testified.
In
front of the jury, defense counsel asked Brito-Pacheco if it was
true that, after his release from prison on June 16, 2003, he was
"sent back to jail because [he] did not comply with the conditions
[of his probation], right?"
On the government's objection that
defense counsel's suggestion was not in good faith (because the
government claimed the defense counsel knew that Brito-Pacheco was
not, in fact, sent back to jail for violating the conditions of his
probation) and would leave the jury with an incorrect impression
about when Brito-Pacheco was incarcerated, the district court
determined
that
Brito-Pacheco
was,
in
fact,
imprisoned
from
September 2002 to June 2003 and again from September 2005 through
and including his testimony at trial in February 2008, and so was
"out on the streets" in 2004.4
After this review of Brito-
Pacheco's
defense
criminal
history,
the
4
counsel
acknowledged
The record is not clear about the nature of these two arrests
and convictions.
We can only glean that they were related to
weapons charges.
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"[t]hat clears it up Your Honor"
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Entry ID: 5473651
and that he had "no problem with
that." At a later point during cross-examination, defense counsel,
Brito-Pacheco, the district court, and the government engaged in
the following dialogue:
[Defense counsel]:
I would like to get a
chronology of your arrests, convictions,
revocations. You were first arrested back in
the year 2000 what?
[Brito-Pacheco]:
[Defense counsel]:
2002
Was that a drug charge?
[The government]: Objection, and we object as
to the line of questioning being asked and
answered as to the specific - [The court]:
The objection goes as to the
nature of the charges.
There has been
testimony as to the arrests and sentences.
While Muñiz-Massa claims in his appellate brief that, at this
point, the trial court "prevented defense counsel from crossexamining the nature of the prior criminal charges presented
against Brito-Pacheco," it is clear from the record that the trial
court made no ruling either way on the government's objection and
defense counsel did not seek to clarify or otherwise pursue the
matter at trial.
Instead, the district court permitted defense
counsel, uninterrupted, to establish for the jury the dates during
which Brito-Pacheco was incarcerated in order to make the point, in
front of the jury, that Brito-Pacheco had "no personal knowledge of
anything that occurred in this case after September of 2005."
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We
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thus find that the district court allowed Muñiz-Massa "a fair
opportunity for effective cross-examination" of Brito-Pacheco.
With respect to Rivera-Díaz, defense counsel attempted to
question the witness about whether he qualified for a reduction in
the range of his sentencing for a previous arrest.5
Rivera-Díaz
responded during the cross-examination that he did not qualify for
the sentence reduction.
The defense counsel then sought to admit
Rivera-Díaz's plea agreement about the prior arrest as an exhibit
and to ask Rivera-Díaz why he did not qualify for the sentence
reduction. On the government's objection that the prior conviction
did not entail truthfulness or dishonesty, the district court
stated
that
it
would
not
questioning on the matter.
permit
defense
counsel's
further
The district court stated that the
defense counsel's line of questioning was not in good faith because
the attorney already knew that Rivera-Díaz did not qualify for the
sentence reduction, and the exhibit could only mislead the jury
into thinking otherwise.
In another instance, defense counsel asked Rivera-Díaz to
explain the criminal history category listed on his plea agreement.
Rivera-Díaz responded that he could not explain the concept.
On
the government's objection to defense counsel continuing the line
of questioning, the district court asked defense counsel to explain
5
The record is not clear about the nature of this arrest.
Defense counsel stated that it was for larceny but noted that
Rivera-Díaz said it was drug-related.
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where the questioning was leading.
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Entry ID: 5473651
Defense counsel responded that
he intended to elicit from Rivera-Díaz that the criminal history
category is based on the record of conviction and then to ask the
witness about his prior conviction and government cooperation. The
district
court
precluded
the
line
of
questioning
because
it
concluded that the questioning was not to be used to explain the
legal principles involved in various criminal history categories,
as defense counsel claimed, but rather to introduce, indirectly,
the
witness's
inadmissible.
prior
criminal
convictions
that
were
otherwise
In sum, the district court, through the application
of Federal Rule of Evidence 608(b) and the balancing required by
Federal Rule of Evidence 403, determined that cross-examination of
the prior criminal conduct of Rivera-Díaz in these two instances
was prohibited.
As
in
Bunchan,
see
id.
at
71,
and
as
Muñiz-Massa
acknowledges, the district judge did permit other cross-examination
of each witness.
Both witnesses were cross-examined on their drug
sales and usage, and Brito-Pacheco was also cross-examined on the
fact of his imprisonment from 2002 to 2003 and from 2005 until his
testimony at trial and on his cooperation with the government in
2006.
Any restriction of Muñiz-Massa's Confrontation rights was
thus reasonable.
Second, Muñiz-Massa contends that the district court
erred when it allowed the
government to present witness testimony
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through the use of leading questions.
Entry ID: 5473651
Muñiz-Massa argues that, at
one point during cross-examination, Rivera-Díaz listed the members
of Las Avispas but did not mention Muñiz-Massa, saying, after
naming fourteen members, that he did not "recall anybody else[]
right off the top of my head."
Muñiz-Massa argues that the
prosecutor then, on redirect examination, had to lead the witness
to elicit a response that included Muñiz-Massa in the membership of
Las Avispas Dos.
The prosecutor asked Rivera-Díaz "what were the
different roles of the members of Las Avispas, that you see here
today?"
The district court overruled defense counsel's objection
that the question went beyond his cross-examination, stating that,
although defense counsel had not specifically inquired about the
roles of Las Avispas Dos members, because Rivera-Díaz provided a
description of roles in cross-examination from other attorneys, the
district judge would allow the testimony.
After the prosecutor
asked "out of the members of Las Avispas that are present here in
court,
what
are
their
different
roles?,"
Rivera-Díaz
then
identified Muñiz-Massa as a "pusher," or "seller," at Las Vías.
In another instance, when the government asked RiveraDíaz to "identify which members of Las Avispas actually carried
firearms with them," Rivera-Díaz did not include Muñiz-Massa in the
list. The government then asked Rivera-Díaz: "Are you aware of any
of the members of Las Avispas that you have identified here in
court
today,
that
used
to
carry
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firearms?"
Defense
counsel
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objected, stating that the prosecution "is trying to jiggle the
witness recollection." The district court overruled the objection,
stating "[t]he government may refresh his recollection, with a
document or statements or asking him to look around . . . .
[T]his
morning we had to take a break because [Rivera-Díaz] had not eaten.
So the government is entitled to probe, and refresh other things
for
this
witness."
The
government
then
asked
Rivera-Díaz:
"[L]ooking around in the courtroom and out of the members of Las
Avispas that you have identified that are present here in court,
are you aware if any of them used to carry firearms?"
Rivera-Díaz
then identified, among others, Muñiz-Massa.
We have found that any error in the prosecution's use of
leading questions is harmless where there is no evidence that the
leading questions prompted inaccurate testimony. See United States
v. De León-Quiñones, 588 F.3d 748, 756-57 (1st Cir. 2009).
Here,
the district court explained that it would permit the questions
over defense counsel's objections because they were designed to
elicit
further
information
to
which
the
witness
previously
testified and also because they were used to refresh recollection.
Two days before both of the incidents described above, Rivera-Díaz
had identified Muñiz-Massa as a "seller" for Las Avispas Dos who
"always had the pistol on him and he was always hanging out with
[Rivera-Rodríguez]."
That testimony is consistent with Rivera-
Díaz's testimony, in response to leading questions, two days later
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Case: 08-1799 Document: 00116103079 Page: 19
about
Muñiz-Massa's
possession.
membership
Date Filed: 08/25/2010
in
Las
Avispas
Entry ID: 5473651
Dos
and
gun
We thus conclude that any error in allowing these
leading questions was harmless and that there is no evidence that
they prompted inaccurate testimony.
Third, Muñiz-Massa argues that the district court erred
when it admitted the testimony of Brito-Pacheco, a cooperating
witness, about Muñiz-Massa's alleged admission that he participated
in Haddock-Collazo's murder. Specifically, Muñiz-Massa claims that
the government failed to disclose his inculpatory admission to the
defense before the government presented Brito-Pacheco's testimony
at trial.
Muñiz-Massa argues that this disclosure was required
pursuant to Bruton v. United States, 391 U.S. 123 (1968), and its
progeny, which held that "a defendant is deprived of his Sixth
Amendment right of confrontation when the facially incriminating
confession of a nontestifying codefendant is introduced at their
joint trial, even if the jury is instructed to consider the
confession only against the codefendant." Richardson v. Marsh, 481
U.S. 200, 207 (1987)(citing Bruton, 391 U.S. at 135-36).
However,
although Muñiz-Massa objected at trial to Brito-Pacheco's testimony
about Muñiz-Massa's admission on hearsay grounds, Muñiz-Massa did
not
object
on
Bruton
grounds.
Muñiz-Massa
thus
objection to this matter by not raising it at trial.
waived
any
See Campos-
Orrego v. Rivera, 175 F.3d 89, 95 (1st Cir. 1999) ("We have
reiterated, with a regularity bordering on the echolalic, that a
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Date Filed: 08/25/2010
Entry ID: 5473651
party's failure to advance an issue in the nisi prius court
ordinarily bars consideration of that issue on appellate review.").
Furthermore, even if Muñiz-Massa had raised this matter at trial,
Bruton is inapplicable because the statement in question was his
own, not that of a codefendant.
The district court thus did not
err in admitting Brito-Pacheco's testimony about Muñiz-Massa's
alleged admission.
Finally, Muñiz-Massa contends that the district court
erred when it admitted photographic evidence of Haddock-Collazo's
murdered body.
reject
evidence
Rule 403 gives trial courts broad discretion to
when
its
probative
value
outweighed by the danger of unfair prejudice.
is
substantially
Fed. R. Evid. 403;
see also United States v. Smith, 292 F.3d 90, 99 (1st Cir. 2003).
In a prosecution alleging that the defendants participated in a
murder, the district court may conclude that photographic evidence
of the murder helps the jury understand the nature and severity of
the charged conduct and is not unfairly prejudicial.
See United
States v. Cartano, 420 F.2d 362, 364-65 (1st Cir. 1970); see also,
e.g., United States v. Greatwalker, 356 F.3d 908, 912-13 (8th Cir.
2004).
Even if the district court abused its discretion here,
which we seriously doubt, any purported error was harmless in light
of the other overwhelming evidence against Muñiz-Massa. See United
States v. Hicks, 575 F.3d 130, 143 (1st Cir. 2009) ("We review nonconstitutional evidentiary errors for harmlessness; an error is
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Case: 08-1799 Document: 00116103079 Page: 21
Date Filed: 08/25/2010
Entry ID: 5473651
harmless if it is 'highly probable that the error did not influence
the verdict.'" (citation omitted)).
c.
Rivera-Moreno
Rivera-Moreno claims that the government violated his
rights protected by Brady v. Maryland, 373 U.S. 83 (1963), when it
failed to disclose the allegedly exculpatory testimony Rivera-Díaz
provided during sentencing, which Rivera-Moreno claims contradicted
testimony Rivera-Díaz provided during trial. Rivera-Moreno's claim
concerns testimony Rivera-Díaz provided in an interview with a
probation
officer
during
the
preparation
of
Rivera-Moreno's
Presentence Investigation Report ("PSR").
Rivera-Moreno
obligations
under
concedes
Brady
only
possession, custody, or control."
42, 55 (1st Cir. 2006).
that
extend
to
"[t]he
government's
information
in
its
United States v. Hall, 434 F.3d
Nevertheless, Rivera-Moreno contends that
the government had a duty to learn and disclose the details of
Rivera-Díaz's sentencing-related testimony.
the law.
That, however, is not
"While a prosecutor must disclose information maintained
by government agents even if the prosecutor herself does not
possess the information, this duty does not extend to information
possessed by government agents not working with the prosecution."
Id. (internal citations omitted). Rivera-Díaz's sentencing-related
testimony was maintained by the probation officer preparing the
PSR, and there is no evidence that the federal prosecutor or any
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Date Filed: 08/25/2010
Entry ID: 5473651
agent working on the U.S. Attorney's behalf had this information
prior to or during trial. Accordingly, the government committed no
Brady violation.
B.
Sufficiency of the Evidence
At the close of the government's case-in-chief, Arzola-
Martínez, Muñiz-Massa, and Rivera-Moreno each filed a timely motion
for judgment of acquittal under Federal Rule of Criminal Procedure
29(a) ("Rule 29 motion").
The district court denied each of these
motions and proceeded with closing arguments before submitting the
case to the jury.
On appeal, these three Appellants, although not
challenging whether a drug conspiracy existed, claim that the
evidence presented at trial was insufficient for a jury to find
them guilty of participating in it.6
These three Appellants thus
request that we reverse their convictions and remand their cases to
the district court for a new trial.
We decline to do so.
In this
section, we consider whether the evidence discussed in the previous
section, along with other evidence, could have led a reasonable
jury to find each of these three Appellants guilty beyond a
reasonable doubt of the conspiracy charged.
6
We conclude that a
Arzola-Martínez and Muñiz-Massa also attack the credibility of
witnesses who testified at trial as a basis for finding that the
evidence was insufficient for a jury to find them guilty. However,
"[w]e do not assess the credibility of a witness, as that is a role
reserved for the jury." United States v. Troy, 583 F.3d 20, 24
(1st Cir. 2009) (citation and internal quotation marks omitted).
We thus need not consider this matter.
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Date Filed: 08/25/2010
Entry ID: 5473651
reasonable jury could find Appellants guilty beyond a reasonable
doubt.
1.
Standard / Scope of Review
We review the denial of a Rule 29 motion for judgment of
acquittal de novo.
Troy, 583 F.3d at 24.
In so doing,
we examine the evidence, both direct and
circumstantial, in the light most favorable to
the jury's verdict.
We do not assess the
credibility of a witness, as that is a role
reserved for the jury.
Nor need we be
convinced that the government succeeded in
eliminating every possible theory consistent
with the defendant's innocence.
Rather, we
must decide whether that evidence, including
all plausible inferences drawn therefrom,
would allow a rational factfinder to conclude
beyond a reasonable doubt that the defendant
committed the charged crime.
Id. (internal citations and quotation marks omitted).
"We
'formidable,'
have
described
and
defendants
this
standard
challenging
of
review
convictions
as
for
insufficiency of evidence face an uphill battle on appeal." United
States v. Lipscomb, 539 F.3d 32, 40 (1st Cir. 2008) (internal
citation,
quotation
marks,
and
brackets
omitted).
We
have
repeatedly emphasized, however, that, "despite the prosecutionfriendly overtones of the standard of review, appellate oversight
of sufficiency challenges is not an empty ritual."
United States
v. De La Cruz-Paulino, 61 F.3d 986, 999 n.11 (1st Cir. 1995)
(citation and quotation marks omitted).
-23-
Case: 08-1799 Document: 00116103079 Page: 24
2.
Date Filed: 08/25/2010
Entry ID: 5473651
Legal Framework
Appellants
were
charged
conspiracy to distribute drugs.
with
participating
in
a
We have previously found that,
[t]o establish that a conspiracy existed, the
government had to prove beyond a reasonable
doubt that each defendant knowingly and
voluntarily agreed with others to commit a
particular crime.
Such an agreement may be
express or tacit, that is, represented by
words or actions, and may be proved by direct
or circumstantial evidence.
Rivera-Calderón, 578 F.3d at 88-89 (citations omitted); United
States v. Famania-Roche, 537 F.3d 71, 78 (1st Cir. 2008).
"To
establish that the defendants belonged to and participated in the
drug conspiracy, the government must show two kinds of intent:
intent to agree and intent to commit the substantive offense."
United States v. Bristol-Mártir, 570 F.3d 29, 39 (1st Cir. 2009)
(citation and internal quotation marks omitted).
We have also
previously observed that "[u]nder established case law, members of
a conspiracy are substantively liable for the foreseeable criminal
conduct of the other members of the conspiracy."
United States v.
Hurley, 63 F.3d 1, 22 (1st Cir. 1995) (citing Pinkerton v. United
States, 328 U.S. 640 (1946)).
However, "the government need not
show that the conspirators knew all the details of the conspiracy."
United States v. Orrego-Martínez, 575 F.3d 1, 8 (1st Cir. 2009)
(citation and internal quotation marks omitted).
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Case: 08-1799 Document: 00116103079 Page: 25
3.
Date Filed: 08/25/2010
Entry ID: 5473651
Analysis
a.
Arzola-Martínez
Arzola-Martínez argues that evidence of what he claims
were merely "occasional" sales of "small" amounts of cocaine to
Rivera-Rodríguez was insufficient to warrant his conviction as a
conspirator of Las Avispas Dos or to establish a violation of 21
U.S.C. § 860.
Arzola-Martínez contends that the prosecution did
not establish that he had a stake in the success of the retail
sales made by the drug organization at the housing project or in
its profits.
Furthermore, Arzola-Martínez argues that, because
there was no evidence that Arzola-Martínez sold cocaine to RiveraRodríguez near the School, the evidence was insufficient to convict
him under 21 U.S.C. § 860.
Arzola-Martínez's arguments miss the mark.
We find that
sufficient evidence was presented at trial for a rational jury to
conclude beyond a reasonable doubt that Arzola-Martínez was a
conspirator of Las Avispas Dos and to establish his violation of 21
U.S.C. § 860.
First, a former member of both Las Avispas Uno and
Dos, Brito-Pacheco, testified that Arzola-Martínez was a member of
Las Avispas Dos with whom he would "sell drugs" and "shoot" people.
Brito-Pacheco
further
testified
that
Arzola-Martínez
"quite
frequently" sold cocaine in the Borinquen Ward to Rivera-Rodríguez
in order for Rivera-Rodríguez to manufacture crack because the
crack "sells alot [sic] and makes alot [sic] of money."
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Date Filed: 08/25/2010
Entry ID: 5473651
Second, as discussed above, Officer Veguilla-Figueroa
testified that when he arrested Arzola-Martínez in 2005, Officer
Veguilla-Figueroa seized a firearm from him.
Third, also as
discussed above, Officer Ortiz-Reyes testified that in 2006 ArzolaMartínez was a passenger in a car in which the police found plastic
vials of a substance later shown to contain cocaine.
A search of
the vehicle conducted in the presence of both Arzola-Martínez and
the driver also uncovered in the front glove compartment $468 in
cash, which Arzola-Martínez told Officer Ortiz-Reyes belonged to
him.
We find that this direct and circumstantial evidence was
sufficient to convict Arzola-Martínez of Count One.
of
these
three
witnesses
about
The testimony
Arzola-Martínez's
role,
relationships, and activities in Las Avispas Dos was sufficient for
a reasonable jury to conclude that Arzola-Martínez knowingly and
voluntarily agreed with others to participate in Las Avispas Dos's
drug-related activities.
A reasonable jury could conclude from
Brito-Pacheco's testimony that Arzola-Martínez was a member of Las
Avispas Dos who engaged in drug dealing, shooting people, and
supplying cocaine to Rivera-Rodríguez.
A reasonable jury could
infer from the testimony of Officer Veguilla-Figueroa and Officer
Ortiz-Reyes that the firearm, cocaine, and cash they found on or
with Arzola-Martínez were related to his participation in Las
Avispas Dos.
Not only, as discussed above, have we previously
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Date Filed: 08/25/2010
Entry ID: 5473651
found the presence of drugs and guns to be probative of an intent
to distribute narcotics, but we have also found lesser sums than
that with which Arzola-Martínez was found to be "substantial
amounts [of cash]" that, when discovered near narcotics in a
vehicle, "support the inference that the car's occupants were
engaged in the sale, rather than casual use, of drugs."
Cannon,
589 F.3d at 518.
In
order
to
convict
Arzola-Martínez
of
the
charged
conspiracy, the government need not have established that ArzolaMartínez sold cocaine at a particular frequency or of a certain
amount, or that he had a personal stake in the success of Las
Avispas Dos's sales or profits. Rather, the government only had to
prove that he was a member of the conspiracy and that the sales and
profits were reasonably foreseeable to him.
As discussed above,
the government met that burden.
The government, moreover, need not have established that
Arzola-Martínez himself sold cocaine near the School, again so long
as the government proved he was a member of the conspiracy and the
location
of
those
sales
was
reasonably
foreseeable
to
him.
According to a former member of Las Avispas Uno and Dos, RiveraDíaz, Las Avispas Dos members would prepare crack in a house
adjacent to the School.
As discussed above, Las Vías, a drug
distribution
Avispas
point
Las
Dos
approximately 752 feet from the School.
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managed,
was
located
Case: 08-1799 Document: 00116103079 Page: 28
b.
Date Filed: 08/25/2010
Entry ID: 5473651
Muñiz-Massa
Muñiz-Massa claims that the evidence was "insufficient to
show [his] knowledge and/or participation in" the conspiracy.
In
particular, Muñiz-Massa alleges that "it was never clear on the
record whether he was associated and part of the 'Las V[í]as' or
'La Pluma' drug organization or both."
At trial, cooperating witness Brito-Pacheco testified
that, like Arzola-Martínez, Muñiz-Massa was a member of Las Avispas
Dos with whom he would "sell drugs" and "shoot" people.
Brito-
Pacheco specified that Muñiz-Massa sold drugs and was a "runner"7
for Las Avispas Dos.
Brito-Pacheco further testified that Muñiz-
Massa was his partner in selling drugs in order to "keep an eye on
each other and to make money [for] both of us."
Brito-Pacheco also
stated that Muñiz-Massa told him that, in September 2004 and in
furtherance of the charged conspiracy, Muñiz-Massa, along with
Rivera-Rodríguez and three others, killed Haddock-Collazo, whom
they suspected of cooperating with law enforcement's investigation
of Las Avispas Dos.
Brito-Pacheco helped dispose of the body.
In
his testimony at trial, Charles Alvarado-Dávila, a member of the
PRPD, corroborated Brito-Pacheco's description of the date on
which, and the location where, Haddock-Collazo's body was found,
7
Rivera-Díaz testified that a runner "is in charge of keeping the
material in his house to then bring it over to the drug point and
hand it over to the seller, and then to collect the monies and keep
it for the owner of the material."
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Entry ID: 5473651
its condition, and, also consistent with Brito-Pacheco's testimony,
that the body had been moved between two locations.
forensic
pathologist
testified
that,
through
an
At trial, a
autopsy
she
performed on his body, she determined Haddock-Collazo's cause of
death
to
be
from
"severe
head
trauma."
This
testimony
was
consistent with the description of the murder about which BritoPacheco testified that Muñiz-Massa had told him.
Rivera-Díaz testified that, during the course of and
related
to
the
charged
conspiracy,
he
saw
Muñiz-Massa
carry
firearms. Rivera-Díaz stated that Muñiz-Massa "would sell for [Las
Avispas Dos] . . . .
He always had the pistol on him and he was
always hanging out with [Rivera-Rodríguez]."
We find that this evidence was sufficient to convict
Muñiz-Massa.
The testimony of these four witnesses about Muñiz-
Massa's role, relationships, and activities in Las Avispas Dos was
sufficient for a reasonable jury to conclude that Muñiz-Massa
knowingly and voluntarily agreed with others to participate in Las
Avispas Dos's drug-related activities, engaged in drug dealing and,
in furtherance of the conspiracy, violently confronted other people
whom Muñiz-Massa perceived as a threat to the organization.
As discussed above, multiple witnesses testified at trial
that the single Las Avispas Dos organization operated two drug
distribution points, called Las Vías and La Pluma. Las Avispas Dos
-- and not Las Vías and La Pluma -- was the organization of which
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Case: 08-1799 Document: 00116103079 Page: 30
Date Filed: 08/25/2010
Muñiz-Massa and others were charged with being members.
Entry ID: 5473651
The jury
could have reasonably concluded that Las Vías and La Pluma, both
areas in the Borinquen Ward of Guayama, were merely locations of
Las Avispas Dos's operations.
The government need only to have
proven beyond a reasonable doubt that Muñiz-Massa was involved in
Las Avispas Dos, irrespective of his involvement in a particular
drug distribution point, and it did just that.
c.
Rivera-Moreno
Rivera-Moreno claims that the record lacked "any evidence
or a reliable inference from any evidence to establish any intent
or partial intent to enter into an agreement" sufficient to convict
him of the charged conspiracy.
We find otherwise.
According to Rivera-Díaz's testimony at trial, in 2003,
he and other former members of Las Avispas Uno, including RiveraMoreno
(Rivera-Díaz's
establishment,
brother-in-law),
management,
and
operation
met
to
discuss
the
of
Las
Avispas
Dos.
Rivera-Díaz testified that, because Rivera-Moreno "was the runner
for the owner of [Las Avispas Uno] . . . and he knew who to buy the
drugs or heroin from," the group decided that Rivera-Moreno would
"stay in charge" of Las Avispas Dos, which meant he would "be the
owner
of
the
[drug
distribution]
point."
Rivera-Díaz
also
testified that Rivera-Moreno would obtain heroin from a contact and
then pass it along to other members of Las Avispas Dos who served
as runners and distributors.
Rivera-Díaz further testified to
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Date Filed: 08/25/2010
Entry ID: 5473651
Rivera-Moreno's leadership role in Las Avispas Dos when the former
stated that the latter "ordered" Las Avispas Dos members "not to
sell on Holy Friday" and that the runner of heroin for Las Avispas
Dos would give to Rivera-Moreno $9.00 of the $10.00 cost of each of
800 to 900 packages of heroin sold during each of three shifts per
day.
A second cooperating witness, Brito-Pacheco, corroborated
Rivera-Díaz's testimony about Rivera-Moreno's participation in Las
Avispas Dos, including Rivera-Moreno's role as the organization's
heroin supplier.
As he had done with Arzola-Martínez and Muñiz-
Massa, Brito-Pacheco testified that he would "sell drugs" and
"shoot" people with Rivera-Moreno.
A
third
witness,
César
Alicea-Léon
("Alicea-Léon"),
testified that, between 2003 and 2006, he distributed "large
amounts" of heroin to Rivera-Moreno, whom Alicea-Léon stated "was
in charge" of the drug distribution point in the Borinquen Ward.
A fourth witness, Roberto Ayala-Vega ("Officer AyalaVega"), who worked in the PRPD's Tactical Division from 2005 to
2007, testified that on or about November 4, 2006 he was patrolling
the Borinquen Ward when Rivera-Moreno and another person "became
aware of [his] patrol car . . . .
They started running off and
they dropped controlled substances . . . ."
Field tests later
revealed that the substances contained cocaine and heroin, which a
trained and licensed chemist at the Puerto Rico Forensic Science
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Date Filed: 08/25/2010
Entry ID: 5473651
Institute specializing in controlled substances corroborated in
separate testimony. In the vehicle Rivera-Moreno and his associate
abandoned,
Officer
Ayala-Vega
found
Rivera-Moreno's
driver's
license, Social Security card, and medical plan card.
Rivera-Moreno argues that this evidence is insufficient
because "[t]he United States did not have available at trial any
audio, video[,] or photograph depicting [him] doing any illegal
act.
Much less, we should consider that no firearms, monies, or
drugs were either seized or observed in [his] immediate presence."
However, as we have previously observed, "[t]he fact that the
government did not present certain kinds of evidence does not
[necessarily]
conviction."
mean
that
there
was
insufficient
evidence
for
United States v. Liranzo, 385 F.3d 66, 70 (1st Cir.
2004).
We find that the evidence presented was sufficient to
convict Rivera-Moreno. The testimony of these four witnesses about
Rivera-Moreno's role, relationships, and activities in Las Avispas
Dos was sufficient for a jury to conclude beyond a reasonable doubt
that Rivera-Moreno knowingly and voluntarily agreed with others to
participate in, if not also to lead, Las Avispas Dos's drug-related
activities.
In sum, a jury could have found beyond a reasonable doubt
that Arzola-Martínez, Muñiz-Massa, and Rivera-Moreno were guilty of
participating in the charged conspiracy.
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We have previously found
Case: 08-1799 Document: 00116103079 Page: 33
Date Filed: 08/25/2010
Entry ID: 5473651
similar evidence sufficient to sustain a drug-related conspiracy
conviction. See, e.g., United States v. Rodríguez-Lozada, 558 F.3d
29, 39 (explaining that "[t]he evidence is more than sufficient for
a rational jury to find" that defendant was part of a drugtrafficking conspiracy where there was evidence of defendant's
drug-related relationships and drug-supplying activities).
C.
Ex Parte Communications
A third claim concerns the process by which the district
court conducted voir dire at trial.
briefs,
Arzola-Martínez,
In their initial appellate
Pabón-Mandrell,
and
Rivera-Rodríguez
claimed that the district court committed plain error when it
conducted individual, ex parte voir dire of prospective jurors,
which these Appellants argue violated Federal Rule of Criminal
Procedure 43(a)(2).
Through supplemental briefing that we ordered
during oral argument, which the parties filed after the district
judge
held
a
supplemental
hearing
on
March
12,
2010
("the
supplemental hearing"), the other two Appellants, Muñiz-Massa and
Rivera-Moreno, also asserted this claim, arguing that "the method
employed [was] the equivalent of depriving [A]ppellants of their
Sixth Amendment constitutional right to a public trial and that
they be present during all stages of the trial."
Appellants thus
request we find that the district court committed plain error by
engaging in ex parte communications with prospective jurors and
grant Appellants a new trial.
The government responds that any ex
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Case: 08-1799 Document: 00116103079 Page: 34
parte
conversations
between
the
Date Filed: 08/25/2010
judge
and
Entry ID: 5473651
jurors
were
not
structural error and harmless beyond a reasonable doubt, and, in
any case, Appellants waived any objection to them by not raising
the matter at trial.
As discussed below, we find that the ex parte
conversations that the district judge held with prospective jurors
should be reviewed under -- and fail to satisfy -- the plain error
standard.
1.
Standard / Scope of Review
Neither Appellants nor the government objected to the ex
parte communications described below at trial.
The Supreme Court
recently clarified the standard of review an appellate court must
apply when considering a claim not raised at trial.
States v. Marcus, 130 S. Ct. 2159, 2164 (2010).
See United
The Supreme Court
observed that "[Federal] Rule [of Criminal Procedure] 52(b) permits
an
appellate
court
to
recognize
a
'plain
error
that
affects
substantial rights,' even if the claim of error was 'not brought'
to the district court's 'attention.'"
P. 52(b).
Id.; see also Fed. R. Crim.
The Court held:
an appellate court may, in its discretion,
correct an error not raised at trial only
where the appellant demonstrates that (1)
there is an error; (2) the error is clear or
obvious, rather than subject to reasonable
dispute;
(3)
the
error
affected
the
appellant's substantial rights, which in the
ordinary case means it affected the outcome of
the district court proceedings; and (4) the
error
seriously
affect[s]
the
fairness,
integrity or public reputation of judicial
proceedings.
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Entry ID: 5473651
Marcus, 130 S. Ct. at 2164 (alteration in original)(citations and
internal quotation marks omitted).
As discussed below, we assume arguendo that Appellants'
claim satisfies the first and second prong of the Supreme Court's
articulation of the plain error standard.
However, because we do
not find that Appellants' claim satisfies the third prong, we need
not resolve the fourth prong, and Appellants' claim fails.
Before
engaging in our plain error review, we summarize the ex parte
communications and the district court's rationale for them.
2.
The Ex Parte Communications
Appellants claim, and the government does not refute,
that the district court conducted ex parte examinations of fifteen
prospective jurors -- Juror Nos. 1, 2, 3, 10, 13, 21, 23, 35, 40,8
41, 47, 58, 60, 64, and 66 -- out of a total of seventy-one
prospective
jurors.9,10
In
other
words,
21
percent
of
the
8
An inconsistency exists in the record with respect to Juror No.
40. At one point during voir dire on February 11, 2008, Juror No.
40 is recorded as referring to "my wife," whereas at another point
on the same day the juror is recorded as referring to "[m]y
husband." Furthermore, despite the jury list indicating a female
name for Juror No. 40, the district judge, during the supplemental
hearing, referred to the prospective juror using the masculine
pronoun and mentioned the juror's "wife." The gender of the juror
and the juror's spouse are irrelevant to our inquiry, so we need
not resolve these matters.
9
We derive the total number of prospective jurors from the
district judge's list provided in Appellants' supplemental brief.
10
In the cases of Juror Nos. 2 and 35, the trial transcript does
not explicitly state that the conversations occurred "[a]t the
bench," as the trial transcripts of the other ex parte
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Date Filed: 08/25/2010
Entry ID: 5473651
prospective jurors were examined ex parte by the district court.
Six of those prospective jurors -- Juror Nos. 1, 2, 10, 23, 35, and
40 -- were not excused by the district judge and thus were
candidates
for
peremptory
strike
challenges.
Four
of
those
unexcused prospective jurors -- Juror Nos. 10, 23, 35, and 40 -were struck by the defendants (the government did not strike any of
them), leaving two of those prospective jurors -- Juror Nos. 1 and
2 -- on the panel.
As a result, 16.7 percent of the empaneled
jurors were subjected to ex parte communications by the court
during the voir dire process.
The
memorializing
district
judge
employed
these
parte
communications.
ex
various
methods
For
ex
for
parte
communications do.
In the case of Juror No. 2, the district judge summarized the
conversation when she summarized the ex parte communications she
conducted with other prospective jurors, suggesting that the
judge's communication with this juror was also ex parte. During
the supplemental hearing, the district judge resolved this matter
by acknowledging that the prospective juror "was examined at the
bench."
In the case of Juror No. 35, the trial transcript reflects
that that prospective juror stated his number and then that the
district judge summarized what the prospective juror said. This
portion of the transcript thus suggests that the district judge did
conduct an unrecorded ex parte communication with this prospective
juror.
Given that (1) the district judge summarized the conversations
she had with both Juror Nos. 2 and 35, as she did with the other
thirteen prospective jurors with whom she conducted ex parte
communications, (2) Appellants claim and the government does not
refute that Juror Nos. 2 and 35 were subject to ex parte
communications, and (3) the district judge concedes that at least
the communication with Juror No. 2 was ex parte, we assume that
both of these jurors were indeed among the prospective jurors
questioned by the district judge outside the presence of counsel.
-36-
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Date Filed: 08/25/2010
Entry ID: 5473651
communications with nine of the fifteen prospective jurors (Juror
Nos. 1, 2, 3, 10, 13, 21, 23, 40, and 47), the court reporter was
present and the trial transcript thus reflects the conversations
between the district judge and the prospective jurors.
For ex
parte communications with six of the prospective jurors (Juror Nos.
35, 41, 58, 60,11 64, and 66), the court reporter was not present
and the trial transcript thus does not reflect the conversations
between the district judge and the prospective jurors, or at least,
in one of these cases (Juror No. 60), what the prospective juror
said.
After each
of these six sets of unrecorded ex parte
communications, the district judge provided a summary of the
conversation, as reflected in the trial transcript.
In the course of conducting these ex parte communications
with prospective jurors, the district judge made at least two
mistakes
of
fact
and
at
least
one
significant
omission
when
summarizing the prospective jurors' statements to counsel. The two
mistakes of fact concerned Juror Nos. 1 and 2, both of whom, as
noted above, were ultimately empaneled on the jury.
11
The omission
In the case of Juror No. 60, the trial transcript omits what the
prospective juror said, noting only that it was in Spanish. The
trial transcript does, however, reflect what the district judge
stated. Because the transcript of the district judge's statement
is within the portion of the transcript noted as being "[a]t the
bench," and not "[i]n open court," that suggests that, contrary to
Appellants' claim, the court reporter was present and did
transcribe the district judge's statement, but omitted the
prospective juror's statement. The Spanish answers of Juror No. 60
could have been translated by the court reporter if proper
procedure had been followed.
-37-
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Entry ID: 5473651
concerned Juror No. 40, who, as noted above, was later removed by
a peremptory strike exercised by defense counsel.
During the ex parte communication that the district judge
held with Juror No. 1, that juror told the judge that his "son is
incarcerated in the state of Florida for a drug related charge"
(emphasis
added).
However,
when
summarizing
the
ex
parte
communication to counsel, the judge stated that this juror's "son
had a drug case for which he is incarcerated in the state of
Connecticut" (emphasis added).
When asked whether either counsel
wanted to question this juror, both parties did so briefly about a
previous case in which the individual served as a juror.
During
the supplemental hearing, the district judge acknowledged that the
state in which the juror's son was incarcerated "may have been
misstated" but noted that "the information that the individual had
a son incarcerated for a conviction . . . is correct."
During the ex parte communication that the district judge
held with Juror No. 2, the juror told the judge that he "was a
witness in court, in a criminal case for the defense" (emphasis
added).
When asked by the judge if it was "a drug case," the juror
responded that "[i]t was a criminal state case" (emphasis added).
However, when summarizing the ex parte communication to counsel,
the judge stated that this juror "served as a witness in a local
court case, he was a witness for the defense and it was a sex
offender case.
He was a witness for the defense in a criminal sex
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Entry ID: 5473651
offender case" (emphasis added). When asked whether either counsel
wanted to question this juror, both parties declined.
During the ex parte communication that the district judge
held with Juror No. 40, the juror told the judge: "The brother of
my wife has been a drug user for sometime [sic].
He is now in the
mental ward, he has never been a [sic] accused or anything like
that, but that is the situation."
When asked by the judge "[d]oes
that affect your impartiality?," the juror responded "[h]opefully
not."
The record indicates that this information was not conveyed
to counsel, either during the judge's summaries of the ex parte
communications to counsel or at any other time.
3.
The District Court's Rationale for the Ex Parte
Communications
The district judge explained, before conducting the ex
parte communications, that she felt they were necessary "to save
time," because, given that the trial involved multiple defendants,
"having 12 attorneys moving into and out of the bench [would] be
time consuming."
The district judge stated at the beginning of
voir dire that, after she heard all of the prospective jurors'
excuses for not being empaneled, she would "make a judgment call
jointly with the attorneys."
The district judge also stated that
ex parte communications would enable prospective jurors to discuss
"personal matters" with the judge that the jurors did not "want to
share . . . publicly."
It was thus the district court -- not one
-39-
Case: 08-1799 Document: 00116103079 Page: 40
of
the
parties
--
that,
sua
Date Filed: 08/25/2010
sponte,
Entry ID: 5473651
initiated
ex
parte
communications.
At the supplemental hearing, the district judge stated
multiple times that the communications described above were all "on
the record," despite not occurring in the presence of counsel and
some not being recorded by the court reporter.
She justified her
explanation by stating that "notes were taken." The district court
further stated that several of the communications are "not an
issue" because the "juror was excused for cause" and thus "never
became a member of the jury panel."
4.
Plain Error Review
As
the
government
concedes,
ex
parte
communications
between the judge and the jury may raise concerns under Federal
Rule
of
Criminal
Amendments.
Procedure
43(a)
and
the
Fifth
and
Sixth
See Presley v. Georgia, 130 S. Ct. 721, 724 (2010)
(holding that the Sixth Amendment right to a public trial extends
to
voir
dire);
United
States
v.
Gagnon,
470
U.S.
522,
528
(1985)(explaining that the Sixth Amendment's Confrontation Clause
gives the defendant the right to be present and confront all
witnesses and evidence against him and that the Fifth Amendment's
Due Process Clause protects the right to be present "in some
situations
where
the
defendant
is
not
actually
confronting
witnesses or evidence against him"); Illinois v. Allen, 397 U.S.
337, 338, 342-43 (1970)(holding that the Sixth Amendment protects
-40-
Case: 08-1799 Document: 00116103079 Page: 41
Date Filed: 08/25/2010
Entry ID: 5473651
a defendant's right not to be completely excluded from voir dire);
Fed. R. Crim. P. 43(a).
Still, the defendant's right to be present during voir
dire is not absolute; it must be balanced against the need to
conduct a fair, safe, and orderly trial.
See, e.g., Presley, 130
S. Ct. at 724-25 (noting that some circumstances may justify
closing voir dire to the public); Gagnon, 470 U.S. at 526-27
(noting that "[t]he defense has no constitutional right to be
present at every interaction between a judge and a juror" and
holding that the Due Process Clause only protects the accused's
right to be present when his presence has a reasonably substantial
relationship to the need to defend himself); Allen, 397 U.S. at
342-43 (holding that a defendant, with disruptive behavior, may
forfeit his Sixth Amendment right to be present); see also United
States v. Collazo-Aponte, 216 F.3d 163, 182 (1st Cir. 2000)(finding
no Rule 43 violation when the defendant was "restricted from full
participation in a limited number of sidebar conferences that
occurred during voir dire").
We assume arguendo that the first and second prongs of
plain error review, as articulated in Marcus, are satisfied based
on Federal Rule of Criminal Procedure 43(a) and the Fifth and Sixth
Amendments.
We thus consider the third prong in more detail.
The
Supreme Court noted that, "[i]n the ordinary case, to meet this
[third prong] standard[,] an error must be 'prejudicial,' which
-41-
Case: 08-1799 Document: 00116103079 Page: 42
Date Filed: 08/25/2010
Entry ID: 5473651
means that there must be a reasonable probability that the error
affected the outcome of the trial."
Marcus, 130 S. Ct. at 2164.
In further explicating this prong, the Supreme Court noted "the
possibility that certain errors, termed 'structural errors,' might
'affect substantial rights' regardless of their actual impact on an
appellant's trial."
Id.
We have previously observed that "[t]he [Supreme] Court
has classified an error as structural in only a very limited class
of cases."
United States v. Fazal-Ur-Raheman-Fazal, 355 F.3d 40,
48 (1st Cir. 2004)(citation and internal quotation marks omitted).
Examples of structural errors that the Court has identified include
"complete denial of counsel, presence of a biased trial judge,
racial discrimination in the selection of a grand jury, denial of
self-representation
at
trial,
denial
of
a
public
offering a defective reasonable doubt instruction."
citations
omitted).
communications
As
constituted
we
do
such
not
find
"structural
that
trial,
and
Id. (internal
the
error,"
ex
we
parte
assess
whether there is "a reasonable probability that the error affected
the outcome of the trial."
Very few of these ex parte communications even arguably
affected the outcome of the trial.
Of the fifteen ex parte
communications, only six were not placed on the record, and of
those six, only three jurors' information was incorrectly or
incompletely communicated to the parties.
-42-
Further, we cannot see
Case: 08-1799 Document: 00116103079 Page: 43
Date Filed: 08/25/2010
Entry ID: 5473651
how, had the district judge correctly told the parties that Juror
No. 1's son was incarcerated in Florida rather than Connecticut,
the parties would have responded differently.
That leaves us with
only two jurors as the bases for Appellants' claim of substantial
prejudice.
We find no reasonable probability that errors as to these
jurors affected the trial's outcome.
to make too many assumptions.
Appellants' argument asks us
Juror No. 2 did not answer the
district judge's question about what kind of trial he was a witness
in.
Yet Appellants ask us to assume that, had the district court
merely reported that he had been a witness in a criminal trial,
counsel would have followed up and successfully learned what kind
of trial it was.
Counsel explicitly declined to ask any other
questions of the witness at the court's invitation.
Moreover, we
must
case,
assume
that
the
juror
testified
in
a
drug
which
Appellants have not established. And we must assume that, although
he was a witness for the defense, Juror No. 2's participation in
this hypothetical drug case so biased him against the defense that
he affected the guilty verdict.
These guesses do not establish a
reasonable probability that Juror No. 2's participation affected
the outcome of the trial.
Appellants make an equally attenuated argument regarding
Juror No. 40, whose brother-in-law abused drugs.
Appellants
exercised a peremptory challenge and struck this juror.
-43-
Thus, to
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Date Filed: 08/25/2010
Entry ID: 5473651
conclude that the court's mistake probably changed the outcome of
the trial, we must assume that Appellants would have moved to
strike this juror for cause and that the court would have granted
the motion.
We further must assume that Appellants would have
exercised the peremptory they used for Juror No. 40 on another
juror and that this other juror's replacement would have voted for
an acquittal.
Because
of
the
highly
speculative
nature
of
these
counterfactuals and in light of the very strong evidence against
these
Appellants,
we
cannot
conclude
with
any
reasonable
probability that the district judge's omission regarding Juror No.
40, along with the error the district judge made with respect to
Juror No. 2, necessarily affected the outcome of the district court
proceedings.
We do not, for example, have any basis in the record
to conclude that the ex parte communications and what followed from
them violated Appellants' Sixth Amendment right to an impartial
jury or that any change in the jury composition -- whether or not
it was impartial -- would have affected the outcome of the district
court's proceedings.
Cf. United States v. González-Meléndez, 594
F.3d 28, 34 (1st Cir. 2010)("[T]here is no basis in the record for
concluding that the alteration in jury composition had an injurious
influence on the verdict.").
Because Appellants cannot satisfy the third prong of the
plain error test as articulated by the Supreme Court in Marcus,
-44-
Case: 08-1799 Document: 00116103079 Page: 45
Date Filed: 08/25/2010
they fail to satisfy the plain error test itself.
Entry ID: 5473651
We thus need not
reach the fourth prong, concerning whether "the error seriously
affect[s] the fairness, integrity or public reputation of judicial
proceedings."
D.
Marcus, 130 S. Ct. at 2164.
Arzola-Martínez's Allocution
We next address a claim concerning Arzola-Martínez's
right to allocute during sentencing.
Arzola-Martínez argues that
the district court committed reversible error during his sentencing
hearing
when
it
granted
him
the
opportunity
to
address
his
objections only to the PSR, a constraint which Arzola-Martínez
argues violated Federal Rule of Criminal Procedure 32(i)(4)(A)(ii)
in not permitting him a full, personal opportunity to speak or
present information to mitigate his sentence. Arzola-Martínez thus
requests
that
we
remand
his
case
to
the
district
court
for
resentencing.
1.
Standard / Scope of Review
We review de novo a sentencing court's compliance with
procedural rules, including Federal Rule of Criminal Procedure 32.
United States v. Burgos-Andújar, 275 F.3d 23, 28 (1st Cir. 2001).
2.
Legal Framework
Federal
Rule
of
Criminal
Procedure
32(i)(4)(A)(ii)
provides that, before imposing a sentence, the court must "address
the defendant personally in order to permit the defendant to speak
or present any information to mitigate the sentence."
-45-
Where the
Case: 08-1799 Document: 00116103079 Page: 46
court
does
not
afford
a
Date Filed: 08/25/2010
defendant
this
Entry ID: 5473651
opportunity
or
its
functional equivalent, "the reviewing court must remand the case
for
resentencing,
generally
without
needing
to
inquire
into
prejudice." United States v. Catalán-Román, 585 F.3d 453, 475 (1st
Cir. 2009) (citing Burgos-Andújar, 274 F.3d at 28).
We have found that the right of allocution conferred to
criminal defendants by Rule 32(i)(4)(A)(ii) can be satisfied by its
"functional equivalent."
1, 11 (1st Cir. 2004).
United States v. Mescual-Cruz, 387 F.3d
"To achieve functional equivalency, the
court, the prosecutor, and the defendant must at the very least
interact in a manner that shows clearly and convincingly that the
defendant knew he had a right to speak on any subject of his
choosing prior to the imposition of sentence."
Id. (citation and
internal quotation marks omitted).
3.
Analysis
During the sentencing hearing that the district judge
conducted
with
Arzola-Martínez
on
July
28,
2008,
the
court
discussed Arzola-Martínez's PSR with his counsel, Juan Pedrosa
("Pedrosa").
At the end of that discussion, during which Pedrosa
raised several objections to the PSR, the court asked Pedrosa: "So,
counsel, any other statements that you would be submitting on
behalf of your client?"
Pedrosa responded: "No, Your Honor, just
for allocution on his behalf."
-46-
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Date Filed: 08/25/2010
Entry ID: 5473651
After Pedrosa allocuted on behalf of Arzola-Martínez, the
district court stated that "[Pedrosa] mentioned that [his] client
wanted to address the court," and so asked Arzola-Martínez: "Let me
ask you if you have any objections, any other objections or any
objections that you would like to discuss with the court, to the
contents of the [PSR]?"
After taking issue with some portions of
the PSR, Arzola-Martínez argued that he was not guilty as a coconspirator
witnesses
or
conviction.
asked:
in
"Any
Las
Avispas
having
visited
Dos.
He
certain
denied
knowing
certain
places
crucial
to
his
After hearing Arzola-Martínez's statement, the court
other
statements[?]"
Arzola-Martínez's
counsel
responded: "No [y]our Honor."
From the record of he sentencing transcript, several
aspects of Arzola-Martínez's hearing are clear. The district judge
provided Pedrosa with the opportunity to speak or present any
information
to
mitigate
the
sentence
of
his
client,
Arzola-
Martínez, which Pedrosa then did, asserting that he was doing so on
his client's "behalf."
Martínez
personally
in
The district judge then addressed Arzolasoliciting
any
objections
to
the
PSR
specifically, which Arzola-Martínez then provided and took the
opportunity to broaden into more general comments about the facts
alleged in the instant case.
Afterwards, in the context of this
conversation between the district judge and Arzola-Martínez, the
district judge generally provided further opportunity to speak or
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Date Filed: 08/25/2010
Entry ID: 5473651
present any information to mitigate the sentence by soliciting
"[a]ny other statements," an invitation that Pedrosa answered in
the negative on behalf of himself and his client. Although Pedrosa
answered this question, it may well have been directed to ArzolaMartínez.
We find that Arzola-Martínez was afforded the functional
equivalent of the right to allocute during his sentencing hearing.
That the trial court did not address its final question to Pedrosa
by name or otherwise seem to address the question to any particular
person supports the conclusion that the district court did not deny
Arzola-Martínez his allocution opportunity.
See Green v. United
States, 365 U.S. 301, 304 (1961) (finding that the district court
did not deny the defendant the allocution opportunity to which Rule
32(a) entitled him where the trial judge's question, "Did you want
to say something?," without being addressed to any particular
person, "may well have been directed to the defendant and not to
his counsel"); see also Domenica v. United States, 292 F.2d 483,
486 (1st Cir. 1961) (distinguishing Green, 365 U.S. 301, by noting
that in Domenica "there can be no mistake [about to whom an
invitation for allocution was directed]. . . [because] the court's
question was addressed to counsel by name").
The totality of the
circumstances suggests to us that the interactions between the
court, the prosecutor, and Arzola-Martínez "show[] clearly and
convincingly that the defendant knew he had a right to speak on any
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Entry ID: 5473651
subject of his choosing prior to the imposition of sentence."
Mescual-Cruz, 387 F.3d at 11.
We have held similarly in another
case where a criminal defendant was not explicitly invited by the
district court to speak on any subject of his choice.
See United
States v. O'Connell, 252 F.3d 524, 528 (1st Cir. 2001)(holding that
the record demonstrated "clearly and convincingly" that criminal
defendant "knew of his right to speak prior to the imposition of
his sentence and that he took advantage of that opportunity by
communicating those things that he found important to say" where
defense counsel "seized the opportunity before the district court
had the chance to address [the defendant] unprompted," "expressed
his views on an appropriate sentence," and indicated that his
client would like to address the court, which the client then did).
Accordingly, the district court committed no error concerning
Arzola-Martínez's allocution.
E.
Rivera-Rodríguez's Sentencing Based on Drug Quantity
Responsibility
Rivera-Rodríguez argues that his sentence was based on an
unreliable calculation of the quantity of drugs attributable to
him. Specifically, he contends, the district court committed clear
error in determining that the average weight of each crack capsule
at
the
Borinquen
Ward
drug
point
was
0.075
grams,
as
this
calculation was unsubstantiated by the evidence presented at trial.
The district court, Rivera-Rodríguez argues, thus erroneously found
him responsible for a total of more than 4.5 kilograms of crack
-49-
Case: 08-1799 Document: 00116103079 Page: 50
cocaine.12
Date Filed: 08/25/2010
Entry ID: 5473651
Rivera-Rodríguez requests that we remand this issue to
the district court for resentencing.
1.
Standard / Scope of Review
"We review the district court's factual finding as to
drug quantity for clear error."
United States v. Correa-Alicea,
585 F.3d 484, 489 (1st Cir. 2009) (citation omitted); see also
United States v. Feliciano-Rodríguez, 525 F.3d 85, 107 (1st Cir.
2008)("A district court's factual finding regarding the amount of
drugs attributable to a member of a drug conspiracy will be
disturbed only if it is clearly erroneous."(citation omitted)). We
have found that, to determine drug quantity, a district court
looks to all acts that were part of the same
course of conduct or common scheme or plan as
the offense of conviction, and takes into
account not only what the defendant knew, but
what conduct he reasonably foresaw. . . .
Thus, each co-conspirator is responsible not
only for the drugs he actually handled but
also for the full amount of drugs that he
could reasonably have anticipated would be
within the ambit of the conspiracy. The trial
court's determination of drug quantity need
only be by a preponderance of the evidence and
is not required to be an exact determination
but rather only a reasoned estimate. Further,
if the trial court bases its estimate on one
of two plausible views, the determination is
not clearly erroneous.
12
Rivera-Rodríguez does not challenge the mathematical formula and
hypotheticals that the district court employed to conclude that if
a vial of crack cocaine weighed 0.075 grams, Rivera-Rodríguez would
be responsible for a total of more than 4.5 kilograms of crack
cocaine. We thus focus only on Rivera-Rodríguez's challenge to the
average weight of each vial.
-50-
Case: 08-1799 Document: 00116103079 Page: 51
Feliciano-Rodríguez,
quotation
marks
525
F.3d
omitted).
at
We
Date Filed: 08/25/2010
107
also
(internal
review
for
challenges to factual findings made at sentencing.
Entry ID: 5473651
citations
clear
and
error
United States
v. Shinderman, 515 F.3d 5, 18 (1st Cir. 2008).
2.
Factual Findings
José A. Mercado-Negrón ("Mercado-Negrón"), a chemist who
had worked twenty-six years for the Puerto Rico Forensic Science
Institute, where he analyzed controlled substances, including crack
cocaine, testified at trial.
He stated that he had analyzed
controlled substances in "thousands of cases" and had testified as
an expert witness in federal court approximately five to six times
and in state court hundreds of times.
Mercado-Negrón further
stated that, based on his experience analyzing crack cocaine seized
in the area of Guayama, the average weight of a capsule of such
crack
cocaine
was
approximately
0.075
grams.
Based
on
his
testimony, the district court concluded that, in a given year, Las
Avispas Dos could distribute 27 kilograms of crack cocaine and,
through the life of the conspiracy, 109 kilograms of crack cocaine.
3.
Analysis
Rivera-Rodríguez makes much ado about the fact that
Mercado-Negrón did not personally weigh the capsules of crack
cocaine distributed by Las Avispas Dos and instead relied on his
experience to provide his estimate of 0.075 grams per capsule.
As
Rivera-Rodríguez points out, at trial, the only exhibit upon which
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Date Filed: 08/25/2010
Entry ID: 5473651
Mercado-Negrón relied was of powder cocaine, not crack cocaine.
That exhibit contained two bags of powder cocaine totaling 0.080
grams
that
Rivera-Rodríguez
sold
to
Luis
A.
Sepúlveda-Rivera
("Officer Sepúlveda-Rivera"), a member of the PRPD, in July 2006
while
Officer
Sepúlveda-Rivera
was
working
undercover.
Furthermore, Rivera-Rodríguez points to testimony of Rivera-Díaz in
which Rivera-Díaz stated that he did not weigh the amounts of crack
cocaine he placed into vials to be sold because he did not have the
proper equipment to do so and because he did not pay attention to
exactly what amount of crack cocaine he would measure and then
deposit into the vials.
We find that the district court did not clearly err in
relying on Mercado-Negrón's figure of 0.075 grams of crack cocaine
per capsule even though Mercado-Negrón did not personally weigh the
capsules of crack cocaine at issue in this case.
"The court's
finding as to drug quantity was not a mere hunch or intuition, but
was a reasoned estimate based on reliable evidence in the record."
Correa-Alicea, 585 F.3d at 490 (internal citation and quotation
marks omitted).
based
on
The district court's reasoned estimate here was
Mercado-Negrón's
extensive
experience
as
a
forensic
chemist specializing in controlled substances, including crack
cocaine, for which he was admitted to testify at trial as an
expert, and he had previously analyzed crack cocaine seized from
the location in which Las Avispas Dos operated.
-52-
Rivera-Rodríguez
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Entry ID: 5473651
also presented no developed argument about an alternative weight on
which the district court could rely to formulate its calculations
for sentencing.
It was thus in the district court's discretion to
rely on Mercado-Negrón's testimony in assessing the drug quantity
for which Rivera-Rodríguez was responsible.
See United States v.
Rivera-Maldonado, 194 F.3d 224, 228 n.2 (1st Cir. 1999) ("The
sentencing court possesses broad discretion in determining which
data
are
sufficiently
dependable
for
sentencing
purposes.").
Indeed, other circuits "have endorsed other practices that yield
only very rough estimates of quantity."
United States v. Uwaeme,
975 F.2d 1016, 1019 (4th Cir. 1992).
F.
Arzola-Martínez's and Pabón-Mandrell's Sentencing Based on
Prior Criminal History
Arzola-Martínez
and
Pabón-Mandrell
argue
that
the
district court, in calculating their sentences, erroneously used
their prior criminal histories.
district
court
improperly
Arzola-Martínez contends that the
used
his
prior
simple
possession
deferrals, which he argues never became final convictions, to apply
the three strikes mandatory life imprisonment provisions of 21
U.S.C. §§ 841(b)(1)(A), 851, and 860. Pabón-Mandrell contends that
the district court improperly utilized his two simple possession
narcotics
convictions,
the
underlying
conduct
of
which
was
specifically included as an overt act of Count One, to apply the
three strikes mandatory life imprisonment provisions of 21 U.S.C.
§§ 841(b)(1)(A), 851, and 860.
Arzola-Martínez and Pabón-Mandrell
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Entry ID: 5473651
thus request that we set aside their sentences and remand their
cases to the district court for resentencing.
The government responds that Arzola-Martínez and PabónMandrell's
sentences
should
be
affirmed
because
felonies were sufficient under 21 U.S.C. § 851.
their
prior
As discussed
below, we agree.
1.
Standard / Scope of Review
We review de novo questions of the proper interpretation
of statutes, including whether prior convictions count for purposes
of 21 U.S.C. § 851.
See United States v. Lino, 493 F.3d 41, 43
(1st Cir. 2007). To trigger "a mandatory term of life imprisonment
without release," 21 U.S.C. § 841(b)(1)(A) requires that the
defendant have "two or more prior convictions for a felony drug
offense" and that those prior convictions "have become final."
2.
Analysis
a.
Arzola-Martínez's Sentencing
To support its determination that Arzola-Martínez was
subject to a life sentence under the provisions of 21 U.S.C.
§ 841(b)(1)(A), the district court cited three instances in 2000 in
which Arzola-Martínez was found in possession of marijuana and/or
crack cocaine. These arrests and related charges were processed by
the Commonwealth of Puerto Rico.
The cases were consolidated and,
in 2001, upon Arzola-Martínez's guilty plea to the charges, the
Puerto Rico Superior Court ("PRSC") placed Arzola-Martínez on
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probation for a term of eighteen months under a rehabilitation
program. Pursuant to a favorable 2002 report by the coordinator of
Arzola-Martínez's rehabilitation program, the PRSC expunged what
the PSR termed the "conviction" resulting from these incidents.
Arzola-Martínez argues that, contrary to the requirements
of 21 U.S.C. § 841(b)(1)(A), none of these instances, which ArzolaMartínez characterizes as "simple drug possession cases," qualify
as a "prior conviction[]" that has "become final." Arzola-Martínez
bases this contention on his argument that, "since no conviction
nor finding of guilt was ever entered[,] no appeal could have been
taken."
To support this conclusion, Arzola-Martínez notes that he
entered the rehabilitation program and the PRSC expunged the record
of these two cases.
He further observes that Puerto Rico Rule of
Criminal Procedure 247.1 provides that the rehabilitation program
be "implemented without a finding of guilt" and "shall not be
deemed as a conviction."
Arzola-Martínez's arguments are unavailing.
The Supreme
Court and our circuit indicate that federal law and not, as ArzolaMartínez argues, Puerto Rico Rule of Criminal Procedure 247.1
determines whether these instances constitute prior convictions
under 21 U.S.C. § 851.
Cf. Dickerson v. New Banner Inst., Inc.,
460 U.S. 103, 111-12 (1983) ("Whether one has been 'convicted'
within the language of the gun control statutes is necessarily
. . . a question of federal, not state, law, despite the fact that
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the predicate offense and its punishment are defined by the law of
the State. This makes for desirable national uniformity unaffected
by
varying
state
laws,
procedures,
and
definitions
of
'conviction.'" (internal citations omitted)); United States v.
Bustamante, 706 F.2d 13, 14 (1st Cir. 1983) (describing the holding
in Dickerson).
Although Dickerson and Bustamante related to the
federal gun control statute, we see no justification why their
underlying reasoning should not be applied, as here, to felony drug
offenses.
Indeed, we have already cited the principles for which
Dickerson
and
Bustamante
stand
involving felony drug offenses.
in
adjudicating
other
cases
See United States v. Cuevas, 75
F.3d 778, 782 (1st Cir. 1996)("The decisions in Dickerson and
Bustamante still stand for the proposition that, absent legislative
indication
to
the
contrary,
the
meaning
of
'conviction'
for
purposes of a federal statutory scheme is to be determined under
prevailing federal law."). Consequently, we find that the district
court properly considered Arzola-Martínez's prior criminal history
based on federal -- not state -- law.
Moreover, we find that these incidents do constitute
"convictions" for the purposes of 21 U.S.C. § 851.
We agree with
our sister courts of appeals that,
[f]or purposes of sentences imposed under
§ 841, . . . Congress has not exempted from
the "prior convictions" that must be counted
those convictions removed from a criminal
record for policy reasons unrelated to
innocence or an error of law. The courts of
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appeals that have considered this § 841
question therefore have counted prior felony
drug convictions even where those convictions
had been set aside, expunged, or otherwise
removed from a defendant's record for such
reasons.
United States v. Law, 528 F.3d 888, 911 (D.C. Cir. 2008)(citing
cases from the Second, Third, Fourth, Fifth, Seventh, Ninth, and
Eleventh Circuits).
We thus find that Arzola-Martínez's prior
offenses qualify as "convictions" pursuant to 21 U.S.C. § 851.
b.
On
March
Pabón-Mandrell's Sentencing
30,
2005,
Pabón-Mandrell
was
arrested
for
illegally possessing, with the intent to distribute, cocaine ("the
2005 incident").
His conviction became final on June 20, 2006,
when he was sentenced to probation.
Pabón-Mandrell argues that,
when the government chose to include the 2005 incident as part of
Count One,13 the government "waived the right to claim the local
conviction arising out of said incident as a predicate 'prior'
conviction for purposes of qualifying [Pabón-Mandrell] as a third
strike offender."
Pabón-Mandrell bases this argument on our
holding in United States v. De Jesús-Mateo that "[p]rior felony
drug convictions will be counted separately for purposes of 21
U.S.C.
§
841(b)
only
when
they
13
represent
distinct
criminal
The indictment's section on "Overt Acts in Furtherance of the
Conspiracy" includes the following: "On or about March 30, 2005,
[Pabón-Mandrell] possessed a measurable amount of cocaine and
marihuana, in or around the area of a 'drug distribution point',
located in Borinquen Ward, Guayama, PR."
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episodes," 373 F.3d 70, 74 (1st Cir. 2004)(emphasis added)(citation
omitted), and that the March 2005 incident was not a "distinct
criminal
episode[]"
from
the
charged
offense
in
Count
One.
Regardless, the district court did include the 2005 incident in
making its determination that the three strikes mandatory life term
applied to Pabón-Mandrell.
The same case Pabón-Mandrell cites settles this matter.
In De Jesús Mateo, we held that our circuit's precedent forecloses
the argument that prior convictions do not represent "distinct
criminal episodes" when they are part and parcel of a defendant's
participation in a drug trafficking conspiracy.
373 F.3d at 74
(holding that prior convictions for separate drug transactions that
were eleven months apart constituted separate criminal episodes
even though the conduct underlying both convictions was arguably
part of the same conspiracy).
Our reasoning in De Jesús-Mateo
relied on an earlier ruling, in United States v. Martínez-Medina,
in which we quoted a Ninth Circuit opinion stating that
[a]n ongoing course of criminal conduct such
as narcotics trafficking may involve many such
criminal episodes, each a discrete occurrence.
The fact that all are related, part of a
series, or part of a continuous course of
criminal dealing, does not necessarily render
them a "single" criminal episode, particularly
where the episodes occur over time.
To so
hold would insulate the very career criminals
the statute is designed to reach -- those
continuously engaged in criminal conduct.
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279 F.3d 105, 123 (1st Cir. 2002)(quoting United States v. Maxey,
989 F.2d 303, 307 (9th Cir. 1993)(holding that the district court
properly imposed a life sentence under 21 U.S.C. § 841(b)(1)(A)
because the defendant's prior convictions, although part of one
drug trafficking conspiracy, stemmed from several transactions
occurring several months apart)).
We also have previously held
that "[a] prior drug conviction constitutes a 'distinct criminal
episode' sufficient to trigger the enhancement so long as the
defendant continued to participate in drug activity after the
conviction became final."
The
2005
Lino, 493 F.3d at 43.
incident,
despite
being
part
of
the
drug
conspiracy of which Pabón-Mandrell was charged in the instant case,
constitutes a "distinct criminal episode[]" because Pabón-Mandrell
continued to participate in drug activity after that conviction
became final.
Rivera-Díaz and Brito-Pacheco testified at trial
that Pabón-Mandrell was the "runner" of heroin for Las Avispas Dos.
Irving
Ofray-Vázquez
("Agent
Ofray-Vázquez"),
an
FBI
agent,
testified during Pabón-Mandrell's sentencing hearing that PabónMandrell participated in the drug conspiracy charged in the instant
case even after he was convicted for the 2005 incident and put on
probation
in
June
2006.
Specifically,
Agent
Ofray-Vázquez
testified that, as late as December 2006, Pabón-Mandrell was still
a leader of Las Avispas Dos at the La Pluma drug point.
As
evidence to support this conclusion, Agent Ofray-Vázquez cited the
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statement of a cooperating witness who reported that, in almost all
cases, either Pabón-Mandrell or another man would pick up money
from or take drugs to be sold at La Pluma.
Agent Ofray-Vázquez
also stated that further testimony provided to him by informants,
including Rivera-Díaz, indicated that Pabón-Mandrell had a "big
role" in Las Avispas Dos from its inception in 2003 until law
enforcement ceased its operations in 2007.
Agent Ofray-Vázquez
also testified that, even after June 2006, while he was conducting
surveillance on the areas, Agent Ofray-Vázquez "always" saw PabónMandrell at both the La Pluma and Las Vías drug points.
The mere fact that Pabón-Mandrell's conduct during the
March 2005 incident was cited in the list of overt acts in the
instant case's indictment does not mean the government waived its
assertion that the associated conviction was a prior conviction for
purposes of qualifying Pabón-Mandrell as a third strike offender.
Although there is no indication that the conduct leading to the
prior convictions at issue in De Jesús-Mateo was listed in that
case's indictment, the distinction does not compel a different
outcome here.
In De Jesús-Mateo, we explicitly noted the failure
of the defendant's attempt to distinguish his case from MartínezMedina on the basis that, in De Jesús-Mateo, "the government
presented evidence of marijuana trafficking . . . which was the
same conduct underlying De Jes[ú]s's prior marijuana conviction."
373 F.3d at 75 n.3.
We observed that
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[t]he dispositive point here is not that
evidence of De Jes[ú]s distributing marijuana
was presented at his conspiracy trial but
rather that his prior cocaine conviction was a
separate criminal episode from his prior
marijuana conviction even though the conduct
underlying both convictions was arguably part
of the same conspiracy. As for any claim that
the conspiracy comprised the same episode as
either of the two prior convictions, the short
answer is that the conviction in this case was
for conspiring to distribute heroin and
cocaine, an episode continuing well beyond
either of the prior convictions for discrete
episodes of possession and distribution.
Id.
Similarly,
allegation
of
the
dispositive
Pabón-Mandrell
point
possessing,
here
with
is
not
the
that
an
intent
to
distribute, cocaine was included as an overt act in the indictment
in the instant case but rather that his prior cocaine conviction
was a separate criminal episode from his conspiracy conviction even
though the conduct underlying both convictions was arguably part of
the same conspiracy.
Pabón-Mandrell's conviction in the instant
case was for conspiring to possess with intent to distribute and
actual distribution of narcotics, an episode continuing well beyond
his prior conviction for a discrete episode of possessing, with the
intent to distribute, cocaine.
Both Arzola-Martínez and Pabón-Mandrell also argue that
at least one of the prior convictions that the district court
counted in sentencing each of them to the three strikes life terms
should not, in fact, count because the law's "absurd result" of
punishing
"cases of simple possession involving small amounts of
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Entry ID: 5473651
drugs" is "counter to Congressional intent" to punish "dangerous
narcotics traffickers."
While acknowledging that the "literal
application of the language utilized in the statute may appear to
foreclose any further analysis concerning its proper application"
here,
to
support
their
contentions,
these
two
Appellants
nonetheless cite the Supreme Court's decision in Green v. Bock
Laundry Mach. Co., 490 U.S. 504, 510-11 (1989), in which the Court
held that a statute's literal interpretation can be ignored if it
"can't mean what it says" (citation omitted).
See also id., 490
U.S. at 527 (Scalia, J., concurring)(suggesting that the literal
interpretation of a statute can be ignored if it "produces an
absurd, and perhaps unconstitutional, result").
punishing
serious
drug
offenders,
we
have
However, besides
observed
that
an
additional purpose of such a sentencing enhancement is to punish
recidivism.
See Lino, 493 F.3d at 43.
Such recidivism is a
concern with both of these Appellants, given that their prior
convictions and the instant case all relate to drug offenses.
"Indeed, if the rule advocated by [Arzola-Martínez and PabónMandrell] were adopted, we would insulate the very career criminals
the [enhancement] is designed to reach -- those continuously
engaged in criminal conduct."
Id. at 43-44 (citation and internal
quotation marks omitted) (alterations in the original).
As such,
imposing the three strikes life term on Arzola-Martínez and Pabón-
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Mandrell
for
these
repeat
Date Filed: 08/25/2010
offenses
is
neither
Entry ID: 5473651
absurd
nor
a
violation of Congressional intent.
In sum, we find that the district court did not err in
counting the aforementioned instances as "prior convictions" that
led the district court to impose the three strikes life term on the
felony drug offense repeat offenders Arzola-Martínez and PabónMandrell.
III.
Conclusion
We conclude that there was sufficient evidence adduced at
trial for the jury to convict Arzola-Martínez, Muñiz-Massa, and
Rivera-Moreno. We further conclude that the ex parte conversations
that the district judge held with prospective jurors were not plain
error.
Moreover, the district court did not err with respect to
the various sentencing claims made by Arzola-Martínez, RiveraRodríguez, and Pabón-Mandrell.
Accordingly, the judgment of the
district court is affirmed.
Affirmed.
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