US v. Jean Alvarado

Filing

PUBLISHED AUTHORED OPINION filed. Originating case number: 5:12-cr-00030-MFU-1. [999768822]. [14-4338]

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 1 of 49

PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT

No. 14-4338

UNITED STATES OF AMERICA,
Plaintiff - Appellee,
v.
JEAN PAUL ALVARADO,
Defendant - Appellant.

Appeal from the United States District Court for the Western
District of Virginia, at Harrisonburg.
Michael F. Urbanski,
District Judge. (5:12-cr-00030-MFU-1)

Argued:

October 29, 2015

Decided:

March 7, 2016

Before NIEMEYER and HARRIS, Circuit Judges, and DAVIS, Senior
Circuit Judge.

Affirmed by published opinion.
Judge Niemeyer wrote the
opinion, in which Judge Harris joined. Senior Judge Davis wrote
a separate opinion concurring in part and dissenting in part.

ARGUED:
Andrea Lantz Harris, OFFICE OF THE FEDERAL PUBLIC
DEFENDER, Charlottesville, Virginia, for Appellant.
Elizabeth
G. Wright, OFFICE OF THE UNITED STATES ATTORNEY, Harrisonburg,
Virginia, for Appellee.
ON BRIEF: Larry W. Shelton, Federal
Public Defender, Christine Madeleine Lee, Research and Writing
Attorney, OFFICE OF THE FEDERAL PUBLIC DEFENDER, Roanoke,
Virginia, for Appellant.
Anthony P. Giorno, Acting United
States Attorney, Roanoke, Virginia, Jean B. Hudson, Assistant
United States Attorney, Franklin Sacha, Appellate Intern, OFFICE

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 2 of 49

OF THE UNITED STATES ATTORNEY, Charlottesville, Virginia, for
Appellee.

2

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 3 of 49

NIEMEYER, Circuit Judge:
A

jury

convicted

Jean

Paul

Alvarado

of

knowingly

and

intentionally distributing heroin to Eric Thomas on March 29,
2011, with Thomas’ death resulting from the use of the heroin so
distributed,

in

841(b)(1)(C).

violation
The

district

of

21

court

U.S.C.

§§

sentenced

841(a)(1)
Alvarado

to

and
the

mandatory minimum sentence of 20 years’ imprisonment.
On appeal, Alvarado contends that the district court erred
(1) in failing to clarify for the jury that the results-in-death
element meant that the jury could not convict him of the charged
offense if heroin was only a contributing cause of death; (2) in
failing to instruct the jury that Alvarado must have “reasonably
foreseen” that death could result; and (3) in admitting hearsay
testimony that Thomas said he purchased heroin from “Fat Boy,”
meaning Alvarado, in violation of the hearsay rule and the Sixth
Amendment’s Confrontation Clause.
We affirm.

First, we conclude that, because there was no

evidence in the record that Thomas could have died without the
heroin, the jury’s verdict was necessarily consistent with the
Supreme Court’s requirement of but-for causation.
v. United States, 134 S. Ct. 881, 887-88 (2014).

See Burrage
As a result,

the district court’s decision not to elaborate on the meaning of
the statutory results-in-death language did not amount to an
abuse of discretion, let alone plain error, in light of the
3

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 4 of 49

court’s legitimate concerns about confusing the jury.

Second,

we conclude that our decision in United States v. Patterson, 38
F.3d 139 (4th Cir. 1994), forecloses Alvarado’s argument that
the

district

court

foreseeability
district

of

court

should

have

death.

did

not

And

instructed

finally,

commit

we

reversible

the

jury

error

in

the

that

conclude

on

the

admitting

hearsay testimony that Thomas said he purchased heroin from “Fat
Boy”

because

hearsay

(1)

even

exception,

its

if

the

hearsay

admission

did

was

not

fall

harmless;

and

under
(2)

a

the

hearsay was not “testimonial” and therefore did not implicate
Alvarado’s Sixth Amendment right of confrontation.

I
In response to custodial police questioning on March 30,
2011, Alvarado admitted that, on the previous day, March 29, he
had sold five bags of heroin to Thomas.

Text messages between

Alvarado and Thomas indicated that the sale occurred during the
late

morning

hours

in

Harrisonburg, Virginia.

the

bathroom

of

a

grocery

store

in

Within hours of that transaction, when

Thomas’ fiancée, Monica Shaughnessy, returned to the apartment
in

which

she

and

Thomas

slumped over in a chair.

were

living,

she

discovered

Thomas

As she testified at trial, “As soon as

I opened the door, I knew what was going on. . . .
had overdosed on a mixture of Xanax and heroin.

4

I knew he
He had an

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 5 of 49

amazing amount of Xanax and I knew he was going to get heroin
that day.

His new thing was to mix them together and that will

kill you and he knew this.”

When she touched Thomas, she found

that “[h]e was freezing.”

She said she had “[n]ever felt a

human cold like that.”
When Shaughnessy was unable to revive Thomas with CPR, she
called 911, a call that was received by the dispatcher at 3:13
p.m.

Emergency responders could not resuscitate Thomas, and at

4:07 p.m., he was pronounced dead at a local hospital.

When

investigators arrived at Thomas’ apartment within an hour of the
emergency 911 call, they observed an array of drug paraphernalia
around where Thomas had been sitting, including needles, needle
caps, and drug packaging materials.

They also discovered a cell

phone, which led them to Alvarado, who was arrested the next
day.
A

grand

jury

indicted

Alvarado

for

heroin

distribution

resulting in death, in violation of 21 U.S.C. §§ 841(a)(1) and
841(b)(1)(C).
Prior
exclude

to

trial,

evidence

of

Alvarado

filed

statements

a

made

motion
by

in

Thomas,

limine

to

including

statements by which Thomas told friends that he chiefly bought
heroin

from

Alvarado.

a

drug

dealer

named

“Fat

Boy,”

referring

to

The district court deferred resolution of the motion

until trial and at that time admitted the statements.
5

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 6 of 49

At trial, a former DEA special agent, who had investigated
Thomas’ death, testified that Thomas’ and Alvarado’s cell phone
records revealed that Thomas had made contact with Alvarado and
a man named Luis Blass, another drug dealer, in the days and
weeks before his death.

The investigator testified that Thomas’

last contact with Blass occurred on March 24, 2011 -- five days
before

Thomas’

death.

Thomas

communicated

with

Alvarado,

however, with text messages on March 26, 27, 28, and 29.

In two

text messages, one on March 27 and one on March 29 (at 10:40
a.m.),

Thomas

wrote

that

he

wanted

a

“b”

from

Alvarado

(referring to a “bundle” of heroin bags wrapped together).

In

further messages on March 29, Thomas and Alvarado arranged plans
to meet in the bathroom of a grocery store, and, in the final
text, Thomas confirmed to Alvarado that he had seen him and was
walking into the bathroom.
Thomas’ fiancée Shaughnessy testified that Thomas had begun
using heroin in the summer of 2009 and that he had progressed to
daily use by early 2010.

She stated that Thomas used his entire

daily purchase of heroin, usually a bundle of five bags and
sometimes

more,

“[p]retty

consummating the purchase.

much

within

an

hour

span”

of

While Thomas would often share some

heroin with Shaughnessy, he would consume the remainder almost
immediately.

She also testified that, on the day of his death,

Thomas had driven her to work in the morning and had indicated
6

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 7 of 49

to her that he intended to buy heroin soon thereafter before
going to play golf.

“[H]e had to go get heroin because he

wasn’t going to be able to [play golf] without that.”

She

stated that she knew that Thomas purchased heroin from a dealer
named “Fat Boy,” because he said so and because she often went
with Thomas (about once a week) when he purchased heroin from
“Fat Boy,” referring to Alvarado.

Shaughnessy also said that

Alvarado sold Thomas heroin in white-colored bags.
Josh Melewski, one of Thomas’ best friends, also testified
that Thomas did not stockpile heroin, but would instead use it
almost

immediately

suppliers

over

the

obtained

heroin

in

after

purchasing

years,
2009

it.

Melewski

from

a

Recounting

man

said

that

named

Thomas’

Thomas

Miguel

first

Rodriguez.

After Rodriguez, he purchased heroin from a man named Luis, who
sold Thomas heroin in square-shaped, blue-colored bags that had
a stamp on them.
2010,

Thomas

Melewski also testified that, beginning in

started

purchasing

referred to as “Fat Boy.”

from

a

dealer

that

Thomas

Melewski stated that “Fat Boy” sold

heroin in “[p]lain bags with no stamp.”
On

the

day

after

Thomas’

death,

Melewski

met

with

Shaughnessy at a hotel, where Shaughnessy took Melewski into a
bathroom and showed him bags of heroin she had purportedly taken
from their apartment on the day of the overdose.

7

Melewski said

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 8 of 49

that the bags that Shaughnessy produced “were the rectangle,
clear, wax bags.”
A

forensic

Forensic

toxicologist

Science,

Dr.

David

with

the

Burrows,

Virginia
testified

Department
that

a

of

drug

screen of Thomas’ blood and urine revealed the presence of a
high concentration of morphine, which, he explained, was the
metabolized form of heroin.

The drug screen also revealed a

“therapeutic level” of Xanax -- i.e., an amount that a physician
would recommend to treat a specific condition -- and an amount
of Benadryl that was “below the associated toxic level.”

Dr.

Burrows acknowledged that Benadryl could “aggravate” the effects
of

heroin

and

that

the

combination

of

heroin,

Xanax could have “synergistic effects.”

Benadryl,

and

He did not, however,

give an opinion on the role that each of the drugs played in
Thomas’ death.
Virginia’s

Assistant

Chief

Medical

Examiner,

Dr.

Gayle

Suzuki, performed the autopsy on Thomas, and, at trial, she gave
her opinion as to the cause of death.
died of “heroin intoxication.”

She concluded that Thomas

While Dr. Suzuki acknowledged

that Thomas also had Xanax and Benadryl in his system at the
time of his death, as found by Dr. Burrows, she testified that
neither “contributed to” Thomas’ death.
“without the heroin, [Thomas] doesn’t die.”

8

She explained that,

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 9 of 49

After closing arguments, the district court instructed the
jury:
If you find the government has proved beyond a
reasonable doubt that the defendant knowingly or
intentionally distributed a mixture or substance
containing a detectable amount of heroin on or about
March 29, 2011, you must then determine whether the
government has proved beyond a reasonable doubt that
death resulted from the use of such substance.
(Emphasis added).

After retiring to deliberate, the jury sent a

question to the district judge asking whether the phrase “death
resulted from the use of the heroin” meant “solely from the use
of

the

death.”

heroin

or

that

the

heroin

contributed

to

[Thomas’]

After the district court asked for advice from counsel

about how to respond, counsel for both parties agreed not to
provide any clarifying instruction:
[Assistant U.S. Attorney]:
Your Honor, we’re of the
opinion, and I believe I’ve actually discussed it with
defense counsel and for once in the last three days,
we’re of the same opinion, that it is a bad idea to
provide any additional information.
*

*

*

Our suggestion is we just say, I’m sorry, you’ve got
to read the letter of the instructions and interpret
it the way that you can, as best as you can.
*

*

*

[Counsel for Alvarado]:
I don’t think you can
instruct them further on that.
I’m not quite sure
what you would instruct them anyway.
The court agreed, noting that “elaborating on a term often makes
it less, rather than more, clear. . . .
9

It is on this ground

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 10 of 49

that some courts, including our own, tell district judges not to
try to explain to a jury the meaning of beyond a reasonable
doubt.

Probably the same is true of results from.”

After

the

district

court

discharged

a

juror

for

an

unrelated reason and empaneled an alternate, the reconstituted
jury submitted essentially the same question:
The jury would like clarification on . . . the section
that says “death resulted from the use of the heroin.”
Should that be interpreted as meaning death resulted
“exclusively”
from
the
heroin
or
the
heroin
contributed to the death?
With the agreement of counsel, the court responded:
Ladies and gentlemen, the Court has received two
written questions from you . . . at 11:25 this
morning.
The first question seeks clarification of
the, quote, death resulted from the use of the heroin,
unquote, language.
My instruction on the law on this issue is set forth
on page 25 of the jury instructions and states as
follows:
[Court reads the original instruction given
to the jury].
You are to consider this instruction, along with all
of the other instructions in this case, in reaching
your verdict.
The reconstituted jury retired to deliberate and, within 30
minutes, returned a guilty verdict, making two findings: (1)
that Alvarado knowingly and intentionally distributed heroin to
Thomas on March 29, 2011, and (2) that death resulted from the
use of the heroin so distributed.
The

district

court

sentenced

Alvarado

to

imprisonment and a 3-year term of supervised release.
10

20

years’

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 11 of 49

On appeal, Alvarado requests a new trial, arguing that (1)
the district court should have clarified the “death resulted
from” phrase in its jury instructions; (2) the district court
should have instructed the jury on the foreseeability of death
resulting from Alvarado’s distribution of heroin; and (3) the
testimony that Thomas said he purchased heroin from “Fat Boy”
constituted inadmissible hearsay and violated Alvarado’s right
to confrontation under the Sixth Amendment.

II
Alvarado

contends

first

that,

in

light

of

the

Supreme

Court’s decision in Burrage, the district court erred in failing
to clarify for the jury the meaning of the “death results from”
statutory enhancement element of the offense.

See 21 U.S.C.

§ 841(b)(1)(C) (enhancing the sentence for drug distribution “if
death . . . results from the use of such substance”); Burrage,
134

S. Ct.

increase[s]

at
the

887

(“Because

minimum

and

the

‘death

maximum

results’

sentences

to

enhancement
which

[the

defendant is] exposed, it is an element that must be submitted
to the jury and found beyond a reasonable doubt”).

He argues

that “the jury clearly thought the court’s instruction might
permit

it

to

convict

if

it

found

that

heroin

was

a

mere

contributing cause, because it asked about it, twice, receiving
no answer either time,” and he notes that “Burrage states that

11

Appeal: 14-4338

Doc: 75

convicting

on

Filed: 03/07/2016

the

Pg: 12 of 49

contributing

cause

theory

is

reversible

error.”
The government contends that the district court did not
commit any error when responding to the jury because the court
accurately stated the controlling law by reciting the specific
language

of

§ 841(b)(1)(C).

It

maintains

that,

because

the

Burrage Court concluded that the phrase “death results from”
carries

its

causation,
further

ordinary,
the

explain

commonly

district
the

understood

court

meaning

appropriately

phrase.

In

of

decided

addition,

the

but-for
not

to

government

contends that Alvarado waived this argument by not only failing
to object to the court’s response to the jury’s question, but
indeed by agreeing that the court should not attempt to clarify
the phrase “death results from” with anything other than the
straightforward

statutory

language

because

of

the

potential

confusion in attempting to define the phrase.
We begin by noting, as clarified at oral argument, that
Alvarado does not contend that the instruction that the district
court gave was erroneous.

Rather, the question presented is

whether the court needed to explain further the statutory phrase
“results

from.”

Ordinarily,

we

review

the

district

court’s

decision not to give a further clarifying instruction for abuse
of discretion.
(4th Cir. 2007).

See United States v. Foster, 507 F.3d 233, 244
And when, as in this case, a party fails to
12

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 13 of 49

object to an instruction or the failure to give an instruction,
we review for “plain error.”

See Fed. R. Crim. P. 30(d); id.

52(b).
As a general matter, a district court has an obligation to
give

instructions

controlling law.”
Cir.

1990).

to

the

jury

that

“fairly

state[]

the

United States v. Cobb, 905 F.2d 784, 789 (4th

Similarly,

when

the

jury

asks

a

clarifying

question, the “court’s duty is simply to respond to the jury’s
apparent

source

of

creating

confusion

prejudice.”

fairly

and

507

F.3d

Foster,

accurately
at

244

without
(internal

quotation marks and citation omitted).
It is significant that, after the court received the jury’s
inquiry to clarify “results from” and told the jury to rely on
the

instructions

as

given,

leaving

it

to

apply

the

ordinary

meaning of “results from,” Alvarado’s counsel did not complain
that the court’s response was unfair or inaccurate.

To the

contrary,

further

she

explicitly

shared

the

view

“clarification” might lead to confusion.
now

argues,

relying

on

Burrage,

that

that

any

Nonetheless, Alvarado
the

district

court’s

failure to clarify “results from” allowed the jury to convict
him even if heroin was only a contributing cause of Thomas’
death, a more lenient standard than but-for causation.

But, in

the context of the record in this case, Burrage does not help
Alvarado.
13

Appeal: 14-4338

Doc: 75

The

Filed: 03/07/2016

Burrage

Court

Pg: 14 of 49

held

that

“results

from”

in

§ 841(b)(1)(C) invokes the “ordinary, accepted meaning” of the
phrase.

134

S.

Ct.

at

891.

And

the

ordinary

meaning

of

“results from” is but-for causation -- i.e., that death would
not have occurred in the absence of heroin.

Id. at 888.

Or, as

the Court explained, a drug qualifies as a but-for cause of
death “if, so to speak, it was the straw that broke the camel’s
back.”

Id.

Thus,

a

drug

that

plays

a

“nonessential

contributing role” does not suffice to apply the § 841(b)(1)(C)
penalty enhancement.

See id.

The Court further noted that

“results from” was employed in § 841(b)(1)(C) in a way similar
to other phrases of but-for causation, such as “because of,”
“based on,” and “by reason of.”

Id. at 888-89.

In light of Burrage and in the context of this case, we do
not find that
alone

the

committed

district
plain

court

error,

clarification of “results from.”

abused

in

its

refusing

discretion,
to

attempt

let
a

There was no evidence in this

case that would allow a jury to find that heroin was only a
nonessential contributing cause of Thomas’ death.

Cf. Burrage,

134 S. Ct. at 890 (“We need not accept or reject the special
rule

developed

for

[cases

where

multiple

sufficient

causes

independently, but concurrently, produce a result], since there
was

no

evidence

here

that

[the

victim’s]

heroin

independently sufficient cause of his death”).
14

use

was

an

As Dr. Suzuki,

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 15 of 49

the only person who testified on causation, stated, “it’s the
heroin in [Thomas’] blood . . . that caused his death,” and
“without

the

explained

heroin,

further

[Thomas]

that

neither

“contributed to” Thomas’ death.

doesn’t
the

die.”

Xanax

nor

Indeed,
the

she

Benadryl

Moreover, no party suggested

that, even without the heroin, Thomas would have died.

The only

evidence presented was that, but for the heroin, death would not
have

resulted.

As

such,

any

hypothesis

that

the

jury

was

allowed to convict Alvarado because the heroin played merely a
nonessential contributing role in Thomas’ death has no support
in the record.

In this context, the district court’s decision

not to further define “death results from” cannot be found to be
an

abuse

of

discretion,

let

alone

plain

error.

Cf.

United

States v. Walton, 207 F.3d 694, 698 (4th Cir. 2000) (en banc)
(“[W]e remain convinced that attempting to explain the words
‘beyond a reasonable doubt’ is more dangerous than leaving a
jury to wrestle with only the words themselves”).
We

recognize

that,

in

different

circumstances

where

the

record might suggest that the decedent ingested heroin but might
have died nonetheless from the effects of other substances, a
court’s
become

refusal
a

to

problem.

clarify
In

such

the
an

phrase

“results

ambiguous

from”

scenario,

a

might
jury,

without a clarifying instruction, might be allowed to apply the
penalty enhancement under § 841(b)(1)(C) even if heroin was not
15

Appeal: 14-4338

a

Doc: 75

but-for

Filed: 03/07/2016

cause

of

death.

Pg: 16 of 49

To

foreclose

such

an

erroneous

finding, the court would likely have an obligation to explain
that a drug that plays a nonessential contributing role does not
satisfy

the

enhancement.
conclude

that

results-from

causation

necessary

to

apply

the

But, based on the record in this case, we cannot
the

district

court

abused

its

discretion

or

committed plain error.

III
Alvarado also contends that the district court erred in
failing to instruct the jury that “defendants should only be
held liable [under § 841(b)(1)(C)] for the foreseeable results
of their actions.”
United

States

v.

While he acknowledges that our decision in
Patterson,

38

F.3d

139

(4th

Cir.

1994),

directly contradicts his position, he argues that Patterson no
longer controls in light of Burrage, where the Supreme Court
held that § 841(b)(1)(C) was an element of the offense, see
Burrage,

134

S.

Ct.

at

887.

When

analyzed

as

an

element,

according to Alvarado, § 841(b)(1)(C) becomes subject to the
same protections as other elements of an offense.

He notes, for

instance, that the Supreme Court has held that, absent clear
congressional intent to the contrary, common law “requires the
government to prove that the defendant’s actions were not only a
cause of the result, but also that the result was a foreseeable

16

Appeal: 14-4338

one.”

Doc: 75

Filed: 03/07/2016

(Emphasis added).

Pg: 17 of 49

Citing Staples v. United States, 511

U.S. 600, 606 (1994), he also points out that “offenses that
require no mens rea generally are disfavored.”
The government contends that Patterson remains good law,
noting that we continue to rely on it in unpublished opinions,
and

that

other

courts

of

appeals

have

similarly

interpreted

§ 841(b)(1)(C) as containing no foreseeability requirement.
We agree with the government that Patterson remains good
law on this issue.
whether

or

offense.
language,

not

§

The analysis in Patterson did not depend on
841(b)(1)(C)

served

as

an

element

of

the

Rather, we focused on the meaning of the statutory
regardless

Ҥ 841(b)(1)(C)
requirement.”

of

imposes

its

role,

to

no

reasonable

Patterson, 38 F.3d at 145.

conclude

that

foreseeability
We explained that

“the plain language of § 841(b)(1)(C) does not require, nor does
it indicate, that prior to applying the enhanced sentence, the
district court must find that death resulting from the use of a
drug distributed by a defendant was a reasonably foreseeable
event.”

Id.

Indeed, we concluded that the “plain language

reveals Congress’ intent” to “put[] drug dealers . . . on clear
notice that their sentences will be enhanced if people die from
using the drugs they distribute.”
And

the

Supreme

Court’s

Id.
decision

does

not

suggest that § 841(b)(1)(C) should be construed otherwise.

The

17

in

Staples

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 18 of 49

Staples Court did observe, as Alvarado notes, that “offenses
that

require

no

mens

rea

generally

are

disfavored”

and

that

“some indication of congressional intent, express or implied, is
required to dispense with mens rea as an element of a crime.”
511 U.S. at 606.

But the crime for which Alvarado was convicted

does in fact contain a mens rea requirement.
Court

noted

in

Burrage,

principal elements:

“the

crime

As the Supreme

charged

.

.

.

has

two

(i) knowing or intentional distribution of

heroin, § 841(a)(1), and (ii) death caused by (‘resulting from’)
the

use

of

that

drug,

(footnote omitted).
distribution

of

§

841(b)(1)(C).”

134

S.

Ct.

at

887

The first element -- knowing or intentional

heroin

--

explicitly

includes

a

mens

rea.

Staples does not suggest that every element of an offense must
contain a mens rea, directing only that we should think twice
before concluding that an offense, viewed as a whole, contains
no mens rea requirement.

See 511 U.S. at 606.

As we pointed out in Patterson, § 841(b)(1)(C) does not
contain a separate mens rea.

38 F.3d at 145.

Rather, it serves

to elevate the crime of knowingly or intentionally distributing
heroin to a more serious level.
Thus, we conclude that the district court fairly stated the
controlling

law

in

refusing

to

instruct

the

§ 841(b)(1)(C) contains a foreseeability requirement.
905 F.2d at 789.
18

jury

that

See Cobb,

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 19 of 49

IV
Finally, Alvarado contends that the district court erred in
admitting hearsay that Thomas, the deceased declarant, had said
that he purchased heroin from “Fat Boy,” a name referring to
Alvarado.

Alvarado argues that the hearsay did not fall within

any exception to Rule of Evidence 802 (the hearsay rule) and,
moreover, that its admission violated the Confrontation Clause,
which

protects

his

right

to

cross-examine

declarants

making

“testimonial” statements.
The government contends that the district court properly
admitted

the

testimony

statement-against-interest

about

Thomas’

exception

contained in Rule of Evidence 804(b)(3).

statements
to

the

under

hearsay

the
rule

It also maintains that

admitting Thomas’ statements did not violate Alvarado’s rights
under

the

Confrontation

Clause

because

Thomas

made

the

statements to friends in an informal context and therefore the
statements were not “testimonial.”
Rule 804(b)(3) provides, in relevant part, that a hearsay
statement made by a declarant who is unavailable as a witness
may nevertheless be admitted as evidence if the statement was
one that “a reasonable person in the declarant’s position would
have made only if the person believed it to be true because,
when made, it . . . had so great a tendency to . . . expose the
declarant to civil or criminal liability” and if the statement
19

Appeal: 14-4338

is

Doc: 75

Filed: 03/07/2016

“supported

by

corroborating

indicate its trustworthiness.”
be

admitted

unavailable,

under
(2)

Pg: 20 of 49

this

the

circumstances

that

clearly

Stated otherwise, “hearsay may

exception

statement

if

is

(1)

the

genuinely

declarant

adverse

to

is
the

declarant’s penal interest, and (3) ‘corroborating circumstances
clearly indicate the trustworthiness of the statement.’”

United

States v. Bumpass, 60 F.3d 1099, 1102 (4th Cir. 1995).
Alvarado does not, in making his argument, appear to rely
on the first prong, requiring that the declarant be unavailable,
or the third prong, requiring corroborating circumstances that
indicate

the

trustworthiness

of

the

statements.

Rather,

he

argues that the second prong, which requires that the statements
be adverse to the declarant’s penal interest, was not satisfied.
With respect to that prong, he concedes that the portion of
Thomas’ statements in which he admitted to purchasing heroin was
“nominally against [his] penal interest” -- although “barely so”
because

Thomas

friends.”
Boy’

as

interest,

was

speaking

“only

to

other

drug

users

and

Rather, he argues that the “identification of ‘Fat
Thomas’

drug

source

was

and

should

have

been

excluded in its entirety.”

never

against

appropriately

(Emphasis added).

Thomas’

penal

redacted

or

We need not,

however, resolve whether the identification of “Fat Boy” was
sufficiently

adverse

to

Thomas’

interest

to

fit

the

Rule

804(b)(3) exception because we conclude that, even if there was
20

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 21 of 49

error, it was harmless in light of the strength of the other
evidence against Alvarado.

See United States v. Banks, 482 F.3d

733, 741 (4th Cir. 2007).
That

evidence

all

but

conclusively

confirms

that

only

Alvarado sold heroin to Thomas on the day of his death and that
Thomas injected that heroin soon thereafter, resulting in his
death.

For

example,

in

addition

to

Thomas’

text-message

exchanges with Alvarado, in which Thomas indicates his intent to
buy a bundle of heroin from Alvarado, Alvarado himself admitted,
during

his

Thomas

on

custodial
the

day

interrogation,

of

the

fatal

that

he

sold

overdose.

And

heroin
the

to

heroin

packaging materials found near Thomas’ body were of the type and
color used by Alvarado and not other suppliers from whom Thomas
had

previously

confirmed

purchased

that

purchasing it.

Thomas

heroin.

used

heroin

Also,

multiple

almost

witnesses

immediately

after

The evidence here indicates as much, as an array

of drug paraphernalia was discovered around Thomas mere hours
after

he

purchased

heroin

from

Alvarado.

No

evidence

even

suggests that Thomas obtained the heroin from anyone other than
Alvarado

on

the

day

of

his

death.

On

this

record,

we

can

conclude “with fair assurance, after pondering all that happened
without stripping the erroneous action from the whole, that the
judgment was not substantially swayed by the error,” if indeed

21

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

there was error.

Pg: 22 of 49

United States v. Heater, 63 F.3d 311, 325 (4th

Cir. 1995) (internal quotation marks and citation omitted).
Alvarado’s

Confrontation

unpersuasive.
enjoy

the

That

right

against him.”
interpreted

Clause

.

.

.

Clause

provides

to

Clause

also

“the

accused

confronted

be

as

is

that

with

the

U.S. Const. amend. VI.
the

argument

shall

witnesses

The Supreme Court has

prohibiting

the

admission

of

“testimonial” statements from an unavailable declarant, unless
the

defendant

declarant.
(“Where

had

a

prior

Crawford

testimonial

v.

opportunity

Washington,

evidence

is

at

to

541

cross-examine
U.S.

issue,

.

36,
.

Amendment demands what the common law required:
and

a

prior

opportunity

for

.

68

that

(2004)

the

Sixth

unavailability

cross-examination”).

While

the

Court has not provided an exhaustive list of what constitutes
“testimonial

evidence,”

the

term

encompasses

such

things

as

“prior testimony at a preliminary hearing, before a grand jury,
or at a former trial; and . . . police interrogations.”
see

also

Davis

(explaining
“testimonial
there

is

purpose
events

no
of

v.

that

statements

when
.
the

Washington,

.

the
.

an

circumstances
ongoing

interrogation

potentially

in

547

relevant

U.S.

interrogation
objectively

emergency,
is
to

813,

to
later

and

criminal

(2006)

qualify

indicate

that

establish

822

Id.;

or

the

as
that

primary

prove

past

prosecution”).

But it is undisputed that testimonial evidence does not include
22

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 23 of 49

statements made to friends in an informal setting.

See United

States v. Jordan, 509 F.3d 191, 201 (4th Cir. 2007) (“To our
knowledge, no court has extended Crawford to statements made by
a declarant to friends or associates”) (citing cases from the
Second, Sixth, and Eighth Circuits); see also United States v.
Dargan, 738 F.3d 643, 650 (4th Cir. 2013) (“Harvey made the
challenged statements to a cellmate in an informal setting -- a
scenario

far

afield

from

the

type

of

declarations

that

represented the focus of Crawford’s concern”); United States v.
Udeozor,

515

defendant]

F.3d

plainly

260,
did

270
not

(4th
think

Cir.
he

was

2008)

(“Because

giving

any

[the

sort

of

testimony when making his statements to the victim during the
recorded

telephone

calls,

the

admission

of

these

two

taped

conversations into evidence did not violate [the defendant’s]
rights under the Confrontation Clause”).
In this case, the challenged testimony included statements
that Thomas made to his fiancée and to one of his best friends - in an informal setting -- that he purchased his heroin from
“Fat Boy.”

Because such statements were not testimonial, their

admission did not implicate the Confrontation Clause.

*

*

23

*

Appeal: 14-4338

Doc: 75

For

the

Filed: 03/07/2016

reasons

given,

we

Pg: 24 of 49

affirm

the

judgment

of

the

district court.
AFFIRMED

24

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 25 of 49

DAVIS, Senior Circuit Judge, concurring in part and dissenting
in part:
My

friends

judgment

in

against

the

Jean

majority
Paul

affirm

the

Alvarado,

who

district
was

court’s

convicted

of

violating 21 U.S.C. § 841(a)(1) and sentenced to a mandatory
minimum

of

twenty

§ 841(b)(1)(C)

years’

for

resulted

in

district

court’s

imprisonment

distributing

Thomas’s

death.

jury

pursuant

heroin
The

instructions

to

majority

Eric

as

to

to

21

Thomas

holds
the

U.S.C.

that

meaning

that
the
of

§ 841(b)(1)(C)’s requirement that “death . . . results from” the
use

of

the

distributed

substance

were

adequate

and

that

the

district court neither abused its discretion nor committed plain
error in its instructions.
close,

I

am

persuaded

Although the question presented is

that

Alvarado

did

not

receive

the

minimally fair trial the Constitution guarantees him, one in
which a properly instructed jury holds the government to its
obligation to prove the elements of the charged offense beyond a
reasonable doubt.

Accordingly, I respectfully dissent.

For the reasons that follow, I would vacate the judgment of
conviction

under

§ 841(b)(1)(C)

and

remand

with

instructions

that Alvarado either (1) be accorded a new trial or (2) be
resentenced

without

a

new

trial

§ 841(a)(1) distribution offense.

on

the

lesser

included

In all other respects, I join

the majority in affirming the judgment of the district court.

25

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 26 of 49

I.
Alvarado challenges, among other things, the adequacy of
the district court’s jury instructions as to the meaning of the
statutory phrase “results from.”
instructed

the

jury

government

has

proved

resulted

from

when

distributed

use
J.A.

§ 841(b)(1)(C)’s

.

“determine

reasonable

of

[a

.

.

a

results

Alvarado

inadequate

death

that

Alvarado
tracked

sentencing
from

contends

and

that

the

language

This

that

whether

doubt

substance

947.

substance.
were

must
a

requirement

“death

instructions

it

beyond

the

distributed].”

applies

that

At trial, the district court

the

enhancement
use

that

therefore

of”

these

the
jury

erroneous

and

prejudicial.
A.
“Whether

jury

question of law.”

instructions

were

properly

given

is

a

United States v. Herder, 594 F.3d 352, 359

(4th Cir. 2010) (quoting United States v. Morrison, 991 F.2d
112,

116

decision

(4th
to

Cir.

give

1993)).

particular

We

ordinarily

instructions

review

and

those instructions for abuse of discretion.

the

a

court’s

content

of

United States v.

Kivanc, 714 F.3d 782, 794 (4th Cir. 2013); United States v.
Russell, 971 F.2d 1098, 1107 (4th Cir. 1992).

The majority

suggests, however, that because Alvarado failed to object to the
district

court’s

decision

not
26

to

clarify

or

supplement

its

Appeal: 14-4338

Doc: 75

instructions

Filed: 03/07/2016

in

response

to

Pg: 27 of 49

the

jury’s

questions

during

deliberations, our review should be limited to that of plain
error.

I

disagree

and

believe

that

review

for

abuse

of

discretion is warranted.
Prior

to

trial,

Alvarado

proposed

alternative

jury

instructions regarding § 841(b)(1)(C)’s causation element.

The

district

and

court

denied

Alvarado’s

proposed

instructions

instead decided that it would “instruct the jury only on what
the statutory language is”—that is, it would instruct the jury
only that § 841(b)(1)(C) requires “that death resulted from the
use of [the] heroin.”

J.A. 481, 486–87.

Alvarado expressly

objected both to the court’s denial of his proposed instructions
and to the court’s decision to “use[] the statutory language
only”

in

instructing

the

jury

on

this

matter.

J.A.

487.

Whether or not the former objection was sufficient to preserve
the issue, see Jones v. United States, 527 U.S. 373, 387 (1999),
in my view, the latter objection, which Alvarado raised before
the jury retired, effectively preserved for appeal the issue of
whether

the

“results

notwithstanding
later

declined

language.
jury

from”

Alvarado’s
to

instruction

failure

elaborate

on

the

to

was

object

meaning

when
of

the

adequate,
the

court

statutory

See id. (recognizing that a party that objects to a

instruction

before

the

jury

retires

may

challenge

instruction on appeal); Fed. R. Crim. P. 30(d), 51(b).
27

the

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 28 of 49

In analogous situations, this Court has “held that when a
party moves in limine to exclude evidence, the party need not
renew its objection when evidence within the scope of the motion
is introduced at trial.”

United States v. Cone, 714 F.3d 197,

225 (4th Cir. 2013) (Wynn, J., concurring in part and dissenting
in part) (citing United States v. Ruhe, 191 F.3d 376, 383 n.4
(4th Cir. 1999)); see also United States v. Williams, 81 F.3d
1321, 1325 (4th Cir. 1996) (“[M]otions in limine may serve to
preserve issues that they raise without any need for renewed
objections

at

trial.”);

Alvarado’s

objection

to

Fed.
the

R.

Evid.

adequacy

of

103(b).
the

Similarly,

“results

from”

instruction prior to deliberations most assuredly preserved the
issue

for

appeal,

and

Alvarado

did

not

need

to

renew

this

objection when the district court provided its instructions and
later declined to expand on them.

Accordingly, I would review

for abuse of discretion. 1

1

Further, by failing to argue in its appellate brief for
application of plain error review and instead recognizing the
propriety of review for abuse of discretion, the government has
“waived the waiver argument” regarding Alvarado’s purported
failure to object to the jury instructions.
See United States
v. Carthorne, 726 F.3d 503, 509 n.5 (4th Cir. 2013) (citation
omitted) (collecting cases), called into question in part on
other grounds by Johnson v. United States, 135 S. Ct. 2551, 2560
(2015).
Although the government ultimately sought plain error
review at oral argument, this belated effort was insufficient to
preserve the government’s contention that Alvarado waived his
jury instruction challenge at trial.
See United States v.
Powell, 666 F.3d 180, 185 n.4 (4th Cir. 2011) (“By not
(Continued)
28

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 29 of 49

B.
In

assessing

whether

the

district

court

abused

its

discretion, this Court must “review the entire jury charge to
determine

whether

the

jury

was

properly

instructed

elements of the offenses and the accused’s defenses.”
594 F.3d at 359.

on

the

Herder,

“By definition, a court ‘abuses its discretion

when it makes an error of law.’”

United States v. Moye, 454

F.3d 390, 398 (4th Cir. 2006) (en banc) (quoting United States
v. Prince-Oyibo, 320 F.3d 494, 497 (4th Cir. 2003)).

The key

inquiry is “whether the instructions construed as a whole, and
in light of the whole record, adequately informed the jury of
the controlling legal principles without misleading or confusing
the jury to the prejudice of the objecting party.”

Kivanc, 714

F.3d at 794 (quoting Noel v. Artson, 641 F.3d 580, 586 (4th Cir.
2011)).
Alvarado

contends

that

the

jury

instructions

did

not

adequately convey that § 841(b)(1)(C) requires a showing that
Thomas’s use of the heroin that Alvarado distributed was either
independently sufficient to cause Thomas’s death or a but-for
cause of Thomas’s death.

Alvarado bases this argument on the

presenting any of these arguments in its appellate brief, the
Government has abandoned them.” (citing Snyder v. Phelps, 580
F.3d 206, 216 (4th Cir. 2009), aff’d, 562 U.S. 443 (2011))).
Thus, review for abuse of discretion is appropriate for this
reason as well.
29

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 30 of 49

Supreme Court’s decision in United States v. Burrage, 134 S. Ct.
881 (2014), which the Court decided after the jury’s verdict but
before
other

sentencing.
things,

In

whether

Burrage,
a

the

defendant

Court
“may

considered,

among

convicted

under

be

[§ 841(b)(1)(C)’s] ‘death results’ provision . . . when the use
of the controlled substance was a ‘contributing cause’ of the
death.”

Id.

at

886.

Acknowledging

that

the

Controlled

Substances Act does not expressly define the phrase “results
from,” the Court determined that the phrase’s “ordinary meaning”
requires actual, or but-for, causation.

Id. at 887–88.

The

Court held that, “at least where use of the drug distributed by
the defendant is not an independently sufficient cause of the
victim’s

death

. . .

a

defendant

cannot

be

liable

under

the

penalty enhancement provision of 21 U.S.C. § 841(b)(1)(C) unless
such use is a but-for cause of the death.”

Id. at 892.

Thus,

the Court in Burrage recognized that a court may not impose
§ 841(b)(1)(C)’s

mandatory

minimum

sentence

based

on

a

jury

finding that use of the drug distributed by the defendant merely
contributed to someone’s death; rather, use of the drug must
have been an independently sufficient cause or a but-for cause
of the death for the penalty enhancement to apply.

See id.

Accordingly, Alvarado argues that the jury instructions provided
at

his

trial,

which

merely

directed

30

the

jury

to

determine

Appeal: 14-4338

Doc: 75

whether

“death

Filed: 03/07/2016

resulted

from”

Pg: 31 of 49

Thomas’s

use

of

heroin,

were

erroneous, i.e., prejudicially incomplete.
The government maintains that the jury instructions could
not

have

been

erroneous

because

they

precisely

stated

the

controlling law—that is, the district court merely tracked the
language of the Controlled Substances Act in instructing the
jury

to

determine

whether

controlled substance.

death

resulted

from

the

use

of

a

Further, the government argues that the

meaning of the language “results from” is clear and unambiguous
in light of the Supreme Court’s recognition in Burrage that butfor causation is the “ordinary meaning” of the phrase.
at 887–88.

See id.

In other words, the government contends that the

statutory language is plain on its face and therefore did not
require further explanation.
Significantly,

the

I disagree.

relevant

inquiry

is

whether

the

jury

instructions “adequately informed the jury of the controlling
legal principles without misleading or confusing the jury to the
prejudice of the objecting party.”
(emphasis

added)

(quoting

Noel,

641

Kivanc, 714 F.3d at 794
F.3d

at

586).

It

is

therefore not enough for jury instructions merely to parrot the
controlling law where the statutory text itself may mislead or
confuse the jury.

My friends in the majority and I are in

agreement on this matter, as they expressly recognize that, in
circumstances “where the record might suggest that the decedent
31

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 32 of 49

ingested heroin but might have died nonetheless from the effects
of other substances, a court’s refusal to clarify the phrase
‘results

from’

majority

explains

jury,

without

apply

the

might

become

that,

a

“[i]n

clarifying

penalty

a

problem.”
such

an

under

at

ambiguous

instruction,

enhancement

Ante

might

14.

scenario,

be

allowed

§ 841(b)(1)(C)

heroin was not a but-for cause of death.”

The

even

Id. at 14–15.

a
to
if

The

majority and I differ, however, in our analyses of whether this
case presents such an “ambiguous scenario,” as I conclude (based
on

my

study

of

the

entire

record)

that

it

does,

while

the

majority determines that it does not.
By failing to clarify the causation requirement in its jury
instructions, the district court (acting without the forthcoming
guidance from the Supreme Court) certainly confused or misled
the jury, and it left open the possibility that the jury could
convict Alvarado upon determining that Thomas’s use of heroin
was merely a contributing factor in Thomas’s death.

A guilty

verdict on this basis would plainly have prejudiced Alvarado;
indeed, the Supreme Court reversed a conviction in Burrage where
the jury had relied on this “markedly different understanding of
the statute.”

See 134 S. Ct. at 892.
C.

Although

the

Supreme

Court

indicated

that

the

phrase

“results from” imports an actual causation requirement based on
32

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 33 of 49

its “ordinary meaning,” this meaning was far from clear to the
jury

in

expressed

Alvarado’s
its

requirement,

case.

In

confusion

even

though

as
the

fact,
to

the

the

district

jury

unmistakably

applicable
court

had

causation

tracked

the

language of the Controlled Substances Act in its instructions.
During deliberations, the jury produced a note stating, “We
have a question regarding whether ‘death resulted from the use
of the heroin’ means solely from the use of heroin, or that
heroin ‘contributed to [Thomas’s] death.’”

J.A. 747.

Once the

reconstituted jury began its deliberations anew the following
day,

the

jury

repeated

its

question:

“The

jury

would

like

clarification on . . . [t]he section that says ‘death resulted
from the use of the heroin.’

Should this be interpreted as

meaning death resulted ‘exclusively’ from the heroin, or that
the heroin contributed to the death?”
the

district

court

merely

pointed

the

J.A. 922.
jury

to

In response,
the

original

instruction containing the “results from” language, providing no
further guidance to alleviate the ambiguity that the jury had
highlighted. 2

2

Even though Alvarado did not object to the district
court’s response to these inquiries, I nonetheless consider the
jury’s questions and the district court’s response in assessing
the adequacy of the instructions, as our precedent requires us
to consider the instructions in light of the entire jury charge
and the whole record. See Kivanc, 714 F.3d at 794; Herder, 594
F.3d at 359.
33

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 34 of 49

The jury in this case was not alone in recognizing that the
phrase “results from” is susceptible to multiple meanings.

In

Burrage, the Solicitor General argued before the Supreme Court
that “results from” did not require but-for causation.
S.

Ct.

at

890

interpretation

(noting
of

that

‘results

the

from’

government
under

had

which

use

See 134

“urge[d]
of

a

an

drug

distributed by the defendant need not be a but-for cause of
death, nor even independently sufficient to cause death”).

The

Supreme Court, however, “decline[d] to adopt the Government’s
permissive interpretation of § 841(b)(1)” and instead held that
“[t]he language Congress enacted requires death to ‘result from’
use of the unlawfully distributed drug, not from a combination
of factors to which drug use merely contributed.”

Id. at 891.

Moreover, other courts and judges have disagreed about the
meaning of § 841(b)(1)(C)’s text, demonstrating that the meaning
of

“results

Before

the

Burrage,

from”
Supreme

the

is

not

Court

Eighth

clear

without

granted

Circuit

further

certiorari

and

affirmed

the

had

explanation.
reversed

in

defendant’s

conviction in that case, holding that the district court had not
erred in instructing the jury that “results from” meant that the
controlled substance must have been a “contributing cause” of
the death.
Burrage,

Id. at 886.
Justice

Moreover, in a separate opinion in

Ginsburg,

joined

by

Justice

Sotomayor,

explained that she would apply the rule of lenity, a doctrine
34

Appeal: 14-4338

Doc: 75

invoked

only

Filed: 03/07/2016

where

Pg: 35 of 49

statutory

language

interpreting § 841(b)(1)(C)’s text.

is

ambiguous,

in

See id. at 892 (Ginsburg,

J., concurring in the judgment); cf. Bifulco v. United States,
447 U.S. 381, 387 (1980) (recognizing that the rule of lenity
“applies not only to interpretations of the substantive ambit of
criminal prohibitions, but also to the penalties they impose”).
Thus, even though the Supreme Court has now clarified the
meaning of “results from” by interpreting the phrase’s “ordinary
meaning,” the language of the Controlled Substances Act, without
any further instruction, could certainly have confused or misled
the laypersons on the jury—just as it has confused many jurists—
to the prejudice of Alvarado.

Cf. United States v. MacKay, 20

F. Supp. 3d 1287, 1295 (D. Utah 2014) (“In effect the Government
asks the Court to find the statutory interpretation skills of
the common layperson juror equal to those of Justice Scalia.
The Court is unable to make such a finding when this Court, the
district court in Burrage, and the Eighth Circuit, all failed to
correctly deduce the plain meaning of ‘resulting from.’”).
fact,

the

instructions

plainly

did

confuse

the

jury

in

In
this

case, as evidenced by the jury’s questions. 3

3

Although the reconstituted jury reached its decision
fairly quickly after the court addressed (or, more accurately,
declined to address) its last question, the jury’s questions
nonetheless illustrated its confusion regarding the “results
from” requirement.
Further, while the jury’s efficiency in
(Continued)
35

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 36 of 49

As we must consider the entire jury charge and the record
as

a

whole

adequate

in

and

assessing

not

whether

misleading,

the

see

jury

Kivanc,

instructions
714

F.3d

at

were
794;

Herder, 594 F.3d at 359, I also note that counsel on both sides
and testifying witnesses made statements throughout the trial
that easily could have led the jury to question the applicable
causation requirement.
of

Dr.

Gayle

Diphenhydramine
death?”

before

For instance, during direct examination

Suzuki,
[i.e.,

the

government

Benadryl]

clarifying,

“So

asked,

contribute

neither

the

to

“Did

Eric

the

Thomas’

alprazolam

[i.e.,

Xanax] or Diphenhydramine, even though they were there at the
same

time,

contributed

to

Eric

Thomas’

death[?]”

J.A.

621.

While these questions might be viewed as probing the independent
sufficiency

of

the

heroin

in

causing

Thomas’s

death,

this

phrasing could certainly have prompted the jury to believe that
the proper inquiry was which drugs did or did not “contribute[]
to” Thomas’s death.
Likewise,

during

closing

arguments,

the

government

repeatedly emphasized Dr. Suzuki’s testimony that Xanax “played
no

role

in

[Thomas’s]

cause

of

death.”

J.A.

689.

As

the

reaching a verdict might indicate that the jury promptly
concluded that the statutory language required a finding of
independent sufficiency or but-for causation, it could just as
easily demonstrate that the jury quickly concluded that “results
from” required only contributory causation.
36

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 37 of 49

government

explained,

Dr.

Suzuki

had

Xanax

diphenhydramine

played

absolutely

and

death.

It

was

the

heroin.”

maintained

Id.

no

Indeed,

that
role

“[t]he
in

during

this

cross-

examination, Dr. Suzuki described her determination that, even
though Thomas had had Xanax in his system when he died, the
Xanax had not “contributed or helped him to die.”

J.A. 630.

As

above, although the government might have intended to elicit and
emphasize

these

sufficiency
comments

of

statements
the

could

heroin

also

to
in

have

highlight

causing
signaled

the

Thomas’s
to

the

independent
death,

these

jury,

even

unintentionally, that it must determine which substances may or
may

not

death.

have

contributed

to,

or

played

a

role

in,

Thomas’s

And a simple “but for” instruction could have readily

dispelled this possibility; sometimes saying less is not the
best

course

of

action.

Even

though

the

government

also

highlighted Dr. Suzuki’s testimony that Thomas would not have
died had he not ingested heroin (recalling Dr. Suzuki’s opinion
that the heroin was a but-for cause of death), the government’s
questions of witnesses and statements during closing arguments
did not make clear to the jury that one standard of causation
was more appropriate than another. 4

4

The government was not alone in making statements that
likely confused the jury as to the proper standard for
determining whether heroin actually caused Thomas’s death.
In
(Continued)
37

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 38 of 49

While it is not specifically the responsibility of counsel,
and certainly not that of an expert witness, to inform the jury
of the applicable legal standard, we must consider the whole
record,

including

these

statements

throughout

trial,

in

assessing whether the district court’s jury instructions were
adequate

and

not

misleading.

By

failing

to

provide

any

clarifying instruction on the meaning of “results from” before
the jury retired to deliberate or, of even greater significance,
in response to the jury’s subsequent questions highlighting the
jury’s

manifest

causation,
confusion

struggle

the
that

district
had

arisen

with
court

the

statutory

did

during

not

the

requirement

alleviate

trial,

and

any

its

of

jury

limited

instructions likely perpetuated this confusion.
D.
It is of no moment that the district court declined to
elaborate on the meaning of “results from” in an effort to avoid
the risk of causing further jury confusion.

In explaining the

rationale

to

behind

§ 841(b)(1)(C)

in

its

decision

its

to

adhere

instructions,

the

the

text

district

of

court

her closing arguments, defense counsel stated that the jury
would need to “determine whether the death resulted from heroin,
whether the death resulted from Xanax, [or] whether it resulted
from the combination of the different drugs,” without clarifying
whether a guilty verdict would be more or less appropriate on
any one of these bases. J.A. 718.
38

Appeal: 14-4338

Doc: 75

emphasized

Filed: 03/07/2016

that

it

found

Pg: 39 of 49

persuasive

the

Seventh

Circuit’s

decision in United States v. Hatfield, 591 F.3d 945 (7th Cir.
2010) (Posner, J.).

The court in Hatfield had explained that

“[e]laborating on a term often makes it less rather than more
clear” and noted that “[p]robably the same is true of ‘results
from.’”

Id. at 949–50.

To be sure, as the Supreme Court had

not yet decided Burrage at the time of Alvarado’s trial, the
district court had little guidance on how best to instruct the
jury on the phrase’s meaning, especially since courts were so
divided on the issue.

Nevertheless, the question before us is

whether the instructions that the court provided, in light of
the entire jury charge and the record as a whole, “adequately
informed the jury of the controlling legal principles without
misleading

or

confusing

objecting party.”
F.3d at 586).

the

jury

to

the

prejudice

of

the

Kivanc, 714 F.3d at 794 (quoting Noel, 641

It is therefore irrelevant that the court might

have had difficulty providing more specific instructions.
In light of the Supreme Court’s holding in Burrage that
§ 841(b)(1)(C) requires a finding that use of the controlled
substance was an independently sufficient or but-for cause of
death, the district court’s instructions, which merely directed
the jury to determine whether death “resulted from” the use of
heroin, were insufficient, no matter how well intended.

See

Moye,

its

454

F.3d

at

398

(“By

definition,
39

a

court

‘abuses

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 40 of 49

discretion when it makes an error of law.’” (quoting PrinceOyibo, 320 F.3d at 497)).
case,

I

would

“adequately

hold

inform[]

that
the

Thus, based on the record in this
the
jury

jury
of

instructions
the

did

controlling

not
legal

principles without misleading or confusing the jury,” Kivanc,
714

F.3d

at

794

(quoting

Noel,

641

F.3d

at

586),

and

the

district court abused its discretion in providing these limited
instructions. 5

5

By the same logic, I would hold that the district court’s
decision to limit its instruction on causation to the “results
from” language of the statute was also plain error were it
necessary to apply that standard of review.
To satisfy the
plain error standard, a defendant must show that “(1) an error
was made; (2) the error is plain; and (3) the error affects
substantial rights.” United States v. Massenburg, 564 F.3d 337,
342–43 (4th Cir. 2009) (citing United States v. Olano, 507 U.S.
725, 732 (1993)).
The third prong typically “means that the
error must have been prejudicial:
It must have affected the
outcome of the district court proceedings.” Olano, 507 U.S. at
734.
Before the judgment against Alvarado became final, the
Supreme Court held in Burrage that it is reversible error for a
district court to instruct a jury in a manner that allows the
jury to find that “death resulted” under § 841(b)(1)(C) based on
a determination that the substance the defendant distributed
merely contributed to the death.
As the jury instructions in
this case did not foreclose the possibility that the jury would
convict upon finding contributory causation, the instructions
were erroneous, and the error in this case was plain at the time
of appellate review. See Henderson v. United States, 133 S. Ct.
1121, 1124–25 (2013) (“[A]s long as the error was plain as of
. . . the time of appellate review . . . the error is ‘plain’
within the meaning of [Federal Rule of Criminal Procedure
52(b)].”).
Further, as demonstrated throughout this opinion,
Alvarado has shown that the error was prejudicial, as it likely
influenced the jury’s determination that “death resulted” from
the heroin that Alvarado distributed, affecting the outcome of
(Continued)
40

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 41 of 49

II.
The
error

majority
in

giving

§ 841(b)(1)(C)’s
occurred

concludes

in

such

“death

this

that,
limited

results”

case

despite

the

for

instructions

jury

potential

on

requirement,

because

the

no

record

such

error

unequivocally

demonstrates that heroin was an independently sufficient or butfor

cause

of

Thomas’s

death.

In

other

words,

the

majority

essentially determines that the jury instructions in this case
could not have misled or confused the jury “to the prejudice of
the objecting party.”

Id. (quoting Noel, 641 F.3d at 586).

As

I have already determined that the district court’s instructions
were

erroneous

on

the

record

before

us,

I

explore

whether

prejudice may have resulted from that error.
A.
When a district court “erroneously instructs the jury on an
element of the offense, the error may be disregarded as harmless
if a reviewing court can determine, beyond a reasonable doubt,
that a correctly instructed jury would have reached the same
conclusion.”

United States v. Hastings, 134 F.3d 235, 241 (4th

Cir. 1998).

In other words, the relevant inquiry is whether it

the trial. See Olano, 507 U.S. at 734–35 (recognizing that the
defendant bears the burden of establishing that plain error was
prejudicial). Thus, the district court committed plain error in
providing these jury instructions.
41

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 42 of 49

is “clear beyond a reasonable doubt that a rational jury would
have found the defendant guilty absent the error.”

Neder v.

United States, 527 U.S. 1, 15–16 (1999); United States v. Brown,
202 F.3d 691, 699 (4th Cir. 2000).
Because the jury instructions in this case allowed the jury
to convict Alvarado based on a misinterpretation of an element
of the charge—that is, based on a belief that § 841(b)(1)(C)’s
“death

results”

element 6

merely

required

that

the

heroin

“contributed to” Thomas’s death—and because the record does not
foreclose the possibility that a rational jury might have done
so,

I

would

hold

that

the

error

was

not

harmless.

Stated

differently, I cannot conclude beyond a reasonable doubt that a
rational jury given the correct instructions would have reached
the same outcome.
It is important to note that, while the government bears
the burden of proving harmlessness, United States v. Lovern, 293
F.3d 695, 701 (4th Cir. 2002), the government failed to address
this issue at all in its briefing.

It contends only that the

jury instructions were adequate without suggesting what results

6

Burrage made clear that, “[b]ecause the ‘death results’
enhancement increased the minimum and maximum sentences to which
[the defendant] was exposed, it is an element that must be
submitted to the jury and found beyond a reasonable doubt.” 134
S. Ct. at 887 (citing Alleyne v. United States, 133 S. Ct. 2151,
2162–63 (2013); Apprendi v. New Jersey, 530 U.S. 466, 490
(2000)).
42

Appeal: 14-4338

if

Doc: 75

we

find

otherwise.

establish

that

harmless

beyond

Alvarado’s

Filed: 03/07/2016

the
a

Pg: 43 of 49

Thus,

district

the

court’s

reasonable

conviction

under

government

doubt,

has

instructional
and

we

§ 841(b)(1)(C)

failed
error

to
was

could

vacate

this

basis.

on

Nevertheless, I will explore the issue further for the sake of
completeness.
B.
Although Dr. Suzuki testified that, in her expert opinion,
heroin intoxication was the cause of Thomas’s death, and she
essentially testified that the heroin was both an independently
sufficient and but-for cause of death, other evidence presented
at trial could have led a rational jury to conclude that heroin
was

merely

a

contributing

factor.

To

begin,

the

record

contained evidence suggesting that heroin was not independently
sufficient

to

have

caused

Thomas’s

death.

For

instance,

Thomas’s fiancée, Monica Shaugnessey, testified that Thomas had
ingested heroin on a daily basis and had done so for years prior
to his death.

In 2011, Thomas purchased and ingested between

five and ten bags of heroin each day, and the day he died was no
exception.

Yet he had only previously suffered cardiac arrest

and stopped breathing when he injected a combination of heroin
and Xanax, as he did when he died.

This history suggests that

heroin alone was likely insufficient to have caused Thomas’s
death.
43

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 44 of 49

It is also significant that the morphine in Thomas’s system
from his ingestion of heroin was found to be at a toxic, not
lethal, level.

J.A. 619.

In other words, it was at the level

where the substance may “start doing damage to the body, harming
certain systems in the body,” but it had not reached the level
“associated with knowing [the substance] to have caused death.”
J.A. 579.

Further, Thomas had likely developed a high tolerance

for heroin such that he could have ingested much more of the
drug before truly reaching a level that was toxic to him.

Both

doctors who testified at trial stated that they had found the
morphine in Thomas’s system to be at a toxic level based on
standard

charts

that

do

not

account

particular tolerance for the substance.
the

conclusion

that

the

heroin

in

for

an

individual’s

This evidence supports
Thomas’s

system,

while

harmful, was not an independently sufficient cause of his death.
The record also does not contain uncontroverted evidence
that heroin was a but-for cause of Thomas’s death.
testified

that

combination

of

Alvarado
Xanax

had

and

only

heroin

severe reactions in Alvarado:

recently
and

that

Shaugnessey

begun

injecting

doing

so

a

prompted

“His new thing was to mix them

together and that will kill you and he knew this.”

44

J.A. 415.

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 45 of 49

It is unclear, however, that Thomas’s injection of Xanax alone 7
or

in

combination

with

Benadryl—even

at

the

relatively

low

levels that Thomas used these substances–could not have caused
his

death.

testified

Dr.
that

David

Burrows,

injecting

a

the

forensic

substance

rather

toxicologist,
than

orally

ingesting it causes the drug to have a faster additive effect.
J.A. 596.

He also stated that mixing Xanax and Benadryl, which

are both central nervous system depressants that can affect a
person’s

breathing

synergistic

and

effects”

heartbeat,

as

“aggravate” one another.

the

two

J.A. 589–90.

can

have

drugs

“additive

“compound[]”

to
and

Dr. Suzuki corroborated

this testimony, as she confirmed that mixing Xanax and Benadryl
together can have an “adverse effect.”

J.A. 593.

Finally, the jury was free to assess the credibility of Dr.
Suzuki’s

testimony

and

disregard

it

if

the

jury

found

it

unreliable.

Indeed, the jury was specifically instructed on

this point:

“Expert testimony should be considered just like

any other testimony.

You may accept or reject it, and give it

as much weight as you think it deserves. . . .

The same as with

any other witness, it is up to you to decide whether to rely

7

While Dr. Suzuki did indicate that, in her expert opinion,
the relatively low level of Xanax in Thomas’s system would have
been insufficient to have independently caused his death, she
did not speak to the effect that Thomas’s intravenous injection
of the substance may have had.
45

Appeal: 14-4338

Doc: 75

upon it.”

Filed: 03/07/2016

J.A. 935.

Pg: 46 of 49

Accordingly, simply because Dr. Suzuki’s

testimony suggested that heroin was an independently sufficient
and but-for cause of Thomas’s death did not preclude the jury
from

concluding

basis.

otherwise

and

convicting

on

an

alternative

Thus, I cannot conclude beyond a reasonable doubt that a

rational

jury

would

have

reached

received a proper instruction.

the

same

outcome

had

it

Rather, a rational jury could

certainly have concluded, based on the record, that the use of
heroin was neither an independently sufficient cause nor a butfor

cause

of

Thomas’s

§ 841(b)(1)(C)’s

penalty

death

and

enhancement

improperly

upon

finding

triggered
that

heroin

merely “contributed to” Thomas’s death.
In

determining

otherwise,

the

majority

indicates

that

“[t]here was no evidence in the record that Thomas could have
died without the heroin” and that “no party suggested that, even
without the heroin, Thomas would have died.”

Ante at 2, 14.

These considerations appear to impermissibly shift the burdens
of proof and persuasion to Alvarado, the criminal defendant.
See Sullivan v. Louisiana, 508 U.S. 275, 277–78 (1993) (“The
prosecution
offense

bears

charged

the
and

burden
must

of

proving

persuade

the

all

elements

factfinder

of

the

‘beyond

a

reasonable doubt’ of the facts necessary to establish each of
those elements.” (emphasis added) (citations omitted)); see also
In

re

Winship,

397

U.S.

358,
46

359–64

(1970)

(discussing

the

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 47 of 49

“vital” and “indispensable” nature of the government’s burden to
prove guilt of a criminal charge beyond a reasonable doubt).
Alvarado had no duty to present evidence that the heroin he
was

charged

with

distributing

merely

contributed

to

Thomas’s

death; nor did he have any responsibility to argue that Thomas
would have died absent the heroin.

Rather, the government bore

the burden of proving beyond a reasonable doubt that the heroin
Alvarado distributed was an independently sufficient or but-for
cause of Thomas’s death.

The only evidence that the government

presented on this matter was Dr. Suzuki’s testimony, to which
the jury was free to assign little weight or reject entirely
based

on

its

determination

of

Dr.

Suzuki’s

credibility.

Further, even though Alvarado had no duty to present evidence,
the record did in fact contain evidence, including Shaugnessey’s
and Dr. Burrows’s testimony, that could well have led a rational
juror to conclude that the heroin was neither an independently
sufficient

cause

nor

a

but-for

cause

of

Thomas’s

death.

Accordingly, I would hold that the erroneous instruction was not
harmless beyond a reasonable doubt.
And

there

is

one

additional

consideration

in

this

case

worthy of notice that bolsters the claim of prejudice.

The

indictment in this case contained but one count, that alleging a
violation of § 841(b)(1)(C), the death count.

The indictment

contained no separate count for mere distribution of heroin.
47

Appeal: 14-4338

Doc: 75

Filed: 03/07/2016

Pg: 48 of 49

Thus, given the manner in which the government elected to charge
and present the case, the jury was faced with a choice of either
acquitting an avowed drug trafficker or throwing up its hands
and

convicting

after

its

repeated

requests

of

the

court

clarification of the causation requirement were rebuffed.
supra

n.3.

provide

In

the

the

help

face
the

of

the

jury

court’s

was

serial

desperately

refusals
seeking,

for
Cf.
to
few

laypersons would be willing to say “not proven” and return a
verdict in favor of the drug dealer.
III.
For the foregoing reasons, I would vacate the judgment of
conviction

under

§ 841(b)(1)(C)

and

remand

with

instructions

that Alvarado either (1) be accorded a new trial or (2) be
resentenced

without

a

new

trial

§ 841(a)(1) distribution offense.

on

the

lesser

included

Cf. United States v. Hickman,

626 F.3d 756, 760 (4th Cir. 2010); see also United States v.
Blue, 808 F.3d 226, 237 (4th Cir. 2015) (recognizing that “it is
within

our

included

power

offense

to

direct

when

entry

vacating

a

of

judgment

greater

on

a

offense”

lesser
if

the

commission of the lesser offense “can be established from facts
that
States

the

jury

v.

insufficient

actually

Ford,

750

evidence

found”
F.3d
of

952

(citations
(8th

causation

United

Cir.

2014)

and

remanding

resentencing on lesser included drug offense).
48

omitted));

(finding
for

I agree with the

Appeal: 14-4338

Doc: 75

majority’s

Filed: 03/07/2016

determination

that

Pg: 49 of 49

no

proceedings in this case.

49

other

error

infected

the