Source: https://casetext.com/case/united-states-v-bascaro
Timestamp: 2019-05-26 00:02:22
Document Index: 619640856

Matched Legal Cases: ['§ 841', '§ 952', '§ 848', '§ 952', '§ 1962', '§ 1961', '§ 2516', '§ 557', '§ 2510', '§ 934', '§ 2516', '§ 934', '§ 2518', '§ 952', '§ 848', '§ 801', '§ 846', '§ 848', '§ 963', '§ 1962', '§ 1961', '§ 1961', '§ 1962', '§ 1961', '§ 1962', '§ 841', '§ 2', '§ 129']

United States v. Bascaro, 742 F.2d 1335 | Casetext
United States v. Bascaro
742 F.2d 1335 (11th Cir. 1984)
United Statesv.Bascaro
United States Court of Appeals, Eleventh CircuitDec 6, 1984
October 1, 1984. Rehearings and Rehearings En Banc Denied in No. 82-5547 December 6, 1984.
Weiner, Robbins, Tunkey Ross, P.A., Geoffrey C. Fleck, Dean Hartman, P.A., Miami, Fla., for Villanueva Fernandez.
Lehrman Denker, Paul A. Lehrman, Tallahassee, Fla., for F. James.
Appellants were tried and convicted in the Northern District of Florida on drug conspiracy charges. Their convictions are founded upon a series of incidents taking place in 1977 and 1978, involving the importation of massive quantities of marijuana into the United States from Colombia, South America.
One co-conspirator who turned state's evidence estimated the quantity of marijuana imported during the time of his involvement with the defendants as between .75 and 1.5 million pounds.
James was convicted on one count only — conspiracy to possess marijuana with intent to distribute. All other defendants were found guilty of conspiracy to violate the Racketeering Influenced and Corrupt Organizations Act (RICO); completed RICO substantive offenses; conspiracy to import marijuana; possession of marijuana with intent to distribute (Bascaro — four counts; Villanueva, Fernandez and Waldrop — two counts; Hobson — one count); and with the exception of Bascaro, conspiracy to possess marijuana with intent to distribute. In addition, Bascaro and Villanueva were convicted of engaging in a continuing criminal enterprise and interstate travel in aid of racketeering enterprises, and Hobson and Waldrop were convicted of importing marijuana.
21 U.S.C. § 841(a); 846.
21 U.S.C. § 952(a); 963.
21 U.S.C. § 848.
18 U.S.C. § 952(a).
I. In General — Marijuana Related Offenses as a Basis for Prosecution Under RICO
The Racketeering Influenced and Corrupt Organizations Act (RICO), 18 U.S.C. § 1962, makes it unlawful to conduct or participate in the conduct of an enterprise affecting interstate commerce, through a pattern of racketeering activity, and also makes it a crime to conspire to do so. Racketeering activity is defined in terms of a laundry list of offenses, including "the felonious manufacture, importation, receiving, concealment, buying, selling, or otherwise dealing in narcotic or other dangerous drugs, punishable under any law of the United States." 18 U.S.C. § 1961(1)(D) (emphasis supplied).
Joining appellant Hobson in his brief to this court is G. Robert Blakey, a professor of law at Notre Dame and a principal drafter of the RICO statute. Professor Blakey argues that marijuana offenses do not qualify as racketeering activity under RICO, because Congress did not intend the phrase "narcotic or other dangerous drugs" to include marijuana offenses. In support of his position, he points out that proposed drafts of the Act, listing marijuana in addition to narcotic and other dangerous drugs, were considered but ultimately rejected, and that in the federal wiretap statute, which Professor Blakey also had a hand in drafting, wiretaps were authorized for suspected offenses involving "narcotic drugs, marihuana, or other dangerous drugs." 18 U.S.C. § 2516(e) (emphasis supplied). Since Congress separately listed marijuana alongside narcotic or other dangerous drugs in the wiretap statute, its failure to do so in the RICO statute, the argument goes, reflects a congressional intent to exclude marijuana offenses from coverage under the Act.
II. Issues Relating to Matters Arising Prior to Trial [11] A. The Wiretap
Evidence discovered post-trial, calling into question the existence of probable cause for a search conducted by law enforcement officers, is properly considered by the district court in a motion for a new trial pursuant to Fed.R.Crim.Pro. 33. See, e.g., United States v. VanMaanen, 547 F.2d 50, 52-53 (8th Cir. 1976). Rule 33 provides, however, that where, as here, such a motion is filed with the district court during the pendency of an appeal, the motion may be denied but may not be granted without first having the case remanded by the court of appeals. United States v. Fuentes-Lozano, 580 F.2d 724 (5th Cir. 1978); see generally C. Wright, Federal Practice and Procedure § 557 (1982).
For our part, a court of appeals is without authority to rule on a motion for a new trial. United States v. Boberg, 565 F.2d 1059, 1062 (8th Cir. 1977). We must nevertheless decide whether to remand the case for the limited purpose of having the district court entertain such a motion, and if remanding the case would serve no valid purpose, we will decline to do so. United States v. Mack, 695 F.2d 820, 823 (5th Cir. 1983).
For the appellants to prevail in the district court on a motion for a new trial based upon newly discovered evidence, they must demonstrate, among other things, that the new evidence is such that it will probably produce an acquittal. Bentley v. United States, 701 F.2d 897 (11th Cir. 1983); United States v. Hirst, 668 F.2d 1180, 1185 (11th Cir. 1982). In order for such a result to be likely in this case, appellants must demonstrate, at the very least, that suppression of the wiretap evidence was warranted in light of information contained in Morgan's affidavit. Because we do not believe that the affidavit alone could properly result in suppression of the wiretap, it is unnecessary to remand the question to the district court for its consideration.
Information contained in Dobson's affidavit relating to Cobb's involvement in the conspiracy after June, 1978, is as follows: The affidavit indicated that from July through November 1978 a consistent pattern of telephone calls continued to be made from Cobb's telephones to persons previously linked to the conspiracy. In that time, Cobb changed his principal residence and telephone numbers several times, which Dobson indicated in his experience was a common practice of persons engaged in illegal operations, done in an effort to impede detection by law enforcement personnel. Finally, on November 24, a slip of paper was found in the pocket of one James Posey, at the time of his arrest in connection with a smuggling operation linked to the conspiracy previously connected to Cobb, on which was written Cobb's telephone number, and the message: "Bill called — emergency 1:30 (expletive deleted) panic."
It remains a fundamental principal of search and seizure law that information furnished in an application for a search warrant must be timely, and that probable cause must be found to exist "at the time the warrant issues." United States v. Hyde, 574 F.2d 856, 864 (5th Cir. 1978). A warrant application based upon stale information of previous misconduct is insufficient, because it fails to create probable cause that similar or other improper conduct is continuing to occur. United States v. Weinrich, 586 F.2d 481, 491 (5th Cir. 1978).
Bastida v. Henderson, 487 F.2d 860, 864 (5th Cir. 1973). Protracted and continuous activity is inherent in large-scale drug trafficking operations. United States v. Tehfe, 722 F.2d 1114, 1119 (3d Cir. 1983). In such cases, then, the staleness issue should be construed liberally. Id. at 1120.
In light of the liberal treatment properly accorded the staleness issue in a large drug conspiracy operation such as this, evidence of Cobb's continued complicity in the marijuana conspiracy in the seven months preceding the application was sufficient to support a finding of probable cause to authorize the wiretap. While the telephone message from Cobb found in Posey's pocket, the calls made from Cobb's telephones, and changes in Cobb's address and telephone numbers are subject to an innocent interpretation when viewed in isolation, in light of the ongoing investigation and Cobb's preexisting involvement with the conspiracy, such additional circumstantial evidence lent adequate basis for a probable cause determination that Cobb remained a part of the conspiracy and that his telephone was being used in connection with that conspiracy at the time the wiretap application was submitted. United States v. Todisco, 667 F.2d 255, 258 (2d Cir. 1981).
The appellants' final objection to the wiretap concerns the sufficiency of the January 15 and 29 applications for amendment of the January 5 authorization order. They argue that the amendment applications violated Florida law, in that they improperly incorporated by reference documents relating back to the original January 5 application.
To the extent that the amendment application cannot "piggyback" on the original, appellants make the related argument that the amendment was not properly authorized, in that only the original was officially approved by an appropriate state official.
The first question to be answered is whether federal or state law governs a federal district court's ruling in a federal drug conspiracy case on the sufficiency of a wiretap application approved by a state court and submitted by a state law enforcement agent. Both the United States and the state of Florida have enacted wiretap authorization statutes. See 18 U.S.C. § 2510 et seq.; FSA §§ 934.01 et seq. Title 18 U.S.C. § 2516(2) provides in pertinent part:
The principal prosecuting attorney of any State, or the principal prosecuting attorney of any political subdivision thereof, if such attorney is authorized by a statute of that State to make application to a State court judge of competent jurisdiction for an order authorizing or approving the interception of wire or oral communications, may apply to such judge for, and such judge may grant in conformity with section 2518 of this chapter and with the applicable State statute an order authorizing, or approving the interception of wire or oral communications by investigative or law enforcement officers having responsibility for the investigation of the offense as to which the application is made . . .
(emphasis supplied). Two courts of appeals have expressly held that the federal statute requires federal courts to defer to state law on the question of the validity of wiretap orders obtained in state court by state law enforcement agents, to the extent that state requirements are the more rigorous. United States v. McNulty, 729 F.2d 1243, 1264 (10th Cir. 1984) (en banc); United States v. Marion, 535 F.2d 697 (2d Cir. 1976). In United States v. Nelligan, court tacitly approved "the Second Circuit's conclusion that state law governs the validity of state warrants issued by state courts" as an exception to "the general rule that federal law governs the admissibility of wiretap evidence in federal criminal cases." 573 F.2d 251, 254 (5th Cir. 1978). We agree with the interpretation given the statute by our brethren in the Second and Tenth Circuits, and therefore make explicit what was only implicit in Nelligan: that the requirements of state and federal law govern a federal district court's determination of the validity of wiretap warrants obtained by state law enforcement officers in state courts.
As previously noted, the state circuit court approved Agent Dobson's applications to amend the original January 5 wiretap authorization order, on the basis of affidavits that incorporated by reference the January 5 order and stated that an amendment to that order was necessary because the subject of the wiretap had changed his telephone number. The appellants do not suggest that this procedure would run afoul of federal law, but contend that it did violate the more rigorous Florida requirements. In support of their position, appellants have brought to our attention two Florida court of appeals decisions applying the state wiretap statute, and invalidating wiretap order amendment applications that incorporated by reference documents from the original application. Bagley v. State, 397 So.2d 1036 (Fla.App. 1981); Wilson v. State, 377 So.2d 237 (Fla.App. 1979).
In both Wilson and Bagley, the original wiretap applications submitted by the state were sufficient in all respects and were properly approved. Among the requirements satisfied, was that the applicant furnish "a full and complete statement as to whether or not other investigative procedures have been tried and failed or why they reasonably appear to be unlikely to succeed if tried or to be too dangerous" — a requirement common to the Florida and federal statutes. § 934.09(1)(c), Fla.Stats.; 18 U.S.C. § 2518(1)(c). Before the thirty-day time period on the original orders had run, the subjects of the wiretaps in Bagley and Wilson changed residence and telephone number, forcing the state to return to court with applications to amend the existing orders. In neither amendment application did the state reassert that other investigative procedures continued to be too dangerous or unlikely to succeed. Rather, they simply incorporated by reference statements to that effect from the original application.
Unlike the subjects of the wiretaps in Bagley and Wilson, Cobb changed only his telephone number. As distinguished from a change in residence, a change in telephone number only could not conceivably have affected the efficacy of alternative investigative techniques. Nor in the context of this case could such a change call into question the continued existence of probable cause — to the contrary, in his initial application, Agent Dobson pointed to Cobb's frequent changes in telephone number as evidence of his continued involvement in illicit activities.
Against this background, the indictment here meets the test of specificity. Count II recites the essential elements of the offense charged against Sanes-Saavedra — knowingly conspiring to import a schedule I controlled substance into the United States, in violation of 21 U.S.C. § 952(a) and 963. It identified his alleged co-conspirators as well as the particular controlled substance. (citation omitted). The indictment also correctly set forth the time span of the conspiracy: from June 1, 1981 until the date of the indictment (November 24, 1981). (citations omitted). It further described the locale of the alleged conspiracy, at least partially, with the allegation that the criminal activity took place "in the Northern District of Florida and elsewhere." Taken as a whole, these allegations adequately set forth the offense charged.
702 F.2d 1341, 1348 (11th Cir. 1983).
C. Impaneling of the Jury [49] 1. The peremptory strike procedure
Rules 43 and 44 of the Federal Rules of Criminal Procedure embody a criminal defendant's rights under the sixth amendment to the United States Constitution to be present and to be represented by counsel at every stage of the proceedings against him, including the impaneling of the jury. Fed.R.Crim.P. 43(a), 44(a); Illinois v. Allen, 397 U.S. 337, 338, 90 S.Ct. 1057, 1058, 25 L.Ed.2d 353 (1970); United States v. Chrisco, 493 F.2d 232 (8th Cir. 1974). Those rights necessarily extend to that phase of the jury selection process involving the exercise of peremptory strikes. Chrisco, 493 F.2d at 236-37.
If the offense charged is punishable by imprisonment for more than one year, the government is entitled to 6 peremptory challenges and the defendant or defendants jointly to 10 peremptory challenges . . . If there is more than one defendant, the court may allow the defendants additional peremptory challenges and permit them to be exercised separately or jointly.
Fed.R.Crim.Pro. 24(b). The procedure utilized in the appellants' trial comported with Rule 24: the defendants were permitted jointly to exercise fifteen peremptory strikes — ten as a matter of right under the rule, and an additional five in the discretion of the trial court because there was more than one defendant involved. Appellants do not dispute this, but argue nevertheless that because the lawyers conferred among themselves outside the courtroom before exercising their peremptory strikes, their clients were simultaneously denied access to counsel and their right to be present.
We disagree. Nothing in the record suggests that counsel were rendered unable to confer with their clients in the course of the peremptory strike process. At the pretrial conference, the court told counsel that "I will give you an opportunity to confer among yourselves back in the back outside the hearing of everybody before you have to exercise your peremptory challenges," and at the voir dire, counsel took advantage of that opportunity. Nothing prevented counsel from speaking with their clients after they had conferred informally among themselves, before they made their strikes. Under these circumstances, we are unable to conclude that the appellants were deprived of their right to counsel. United States v. Alessandrello, 637 F.2d 131, 144 (3d Cir. 1980); Chrisco, 493 F.2d at 237.
We likewise hold that the defendants were not denied their right to be present during the peremptory strike phase of jury selection. This case is quite close on its facts to the Eighth Circuit's decision in United States v. Chrisco, 493 F.2d 232 (8th Cir. 1974). In Chrisco, the defendants were absent from the courtroom when their counsel informally conferred and made their peremptory strikes (a situation somewhat more troubling than in the instant case, where the defendants were in the courtroom at all times, and counsel left briefly to confer). The Chrisco court nevertheless held that the defendants had not been denied their right to be present for the peremptory strike phase of the jury selection process, in light of the following facts: the defendants were in the courtroom when the voir dire questioning took place and again when the peremptory strikes were given actual effect by the clerk's reading off the list; the defendants had the opportunity to discuss their misgivings with counsel during or immediately following the impaneling process; and no objection was made at the time to the defendants' absence from the informal peremptory strike conference. For the same reasons, we conclude that the defendants were sufficiently present at the impaneling of the jury to satisfy the sixth amendment and Rule 43 of the Federal Rules of Criminal Procedure.
The appellants' second attack upon the jury selection procedures employed in this case is directed at what they perceive to be an impermissibly brief and superficial voir dire examination conducted by the trial court. At the pretrial conference, the district judge informed counsel that he intended to conduct the voir dire himself, that counsel could submit questions they wanted asked, and that the court in turn would determine which questions were appropriate. (v. 29 at 16-17). Waldrop and Fernandez subsequently submitted lists containing 71 and 58 questions, respectively. (v. 9 at 2109-2112; 2173-2176). At the voir dire, the court posed twelve questions to the jurors, most if not all of which were among those requested by the defendants. The appellants contend that the limited number of questions asked by the court precluded the defendants from rationally exercising their jury strikes, both peremptory and for cause.
It should be added that a number of the proposed questions seeking general background information respecting the individual jurors were answered by means of questionnaires filled out and returned by the venire.
In granting the district court latitude to ask or have asked such questions "as it deems proper," Rule 24 vests considerable discretion in the court to determine the appropriate method and scope of voir dire. United States v. Brunty, 701 F.2d 1375, 1378 (11th Cir. 1983). That discretion, however, is not boundless:
United States v. Lewin, 467 F.2d 1132, 1138 (7th Cir. 1972); see also United States v. Nell, 526 F.2d 1223, 1229-30 (5th Cir. 1976). Accord United States v. Ledee, 549 F.2d 990, 993 (5th Cir. 1977) ("Peremptory strikes are worthless if counsel is not afforded an opportunity to gain the necessary information upon which to base such strikes").
In response to that question, one juror indicated that he "was going to try" to base his verdict solely on the evidence, but that it would be "a hard decision," because he disliked drugs "mighty hard." (v. 30 at 55-56). While no challenge for cause followed, the juror was subsequently removed by means of a peremptory strike. (v. 30 at 68). We are satisfied that the trial court's inquiry into the juror's bias toward marijuana offenses was sufficient to create "a reasonable assurance that prejudice would be discovered if present." United States v. Nell, 526 F.2d 1223, 1229 (5th Cir. 1976).
Appellants further challenge the sufficiency of the voir dire because of the trial court's failure to inquire into potential juror prejudice against the defendants in light of the large quantity of marijuana involved. As noted earlier, during the pretrial conference the defendants were invited to submit questions for the court to ask prospective jurors; a total of 129 questions were later submitted. Not one of those proposed questions asked whether the jurors would be affected by the quantity of drugs involved in the case. We are satisfied that the general inquiry into the jurors' opinions respecting drug offenses was sufficient to disclose relevant prejudices, and that it was well within the trial court's discretion not to pursue the matter further with additional questions concerning the jurors' attitudes toward the quantity of marijuana at issue — especially in light of the fact that the defendants never requested that such a question be posed. United States v. Eastwood, 489 F.2d 818, 819-20 (5th Cir. 1973) (general questions posed by the district court pertaining to juror bias sufficed for specific questions proposed by defendant but rejected by the court); United States v. Desmarais, 531 F.2d 632, 634 n. 4 (1st Cir. 1976) (failure of defendant to request that specific questions be asked was relevant to a determination that the trial court did not abuse its discretion in failing to ask such questions).
(v. 30 at 70-71). Having evaluated the court's remarks in the context in which they arose, it is clear that the defendants' presumption of innocence and the government's burden of proof were left fully intact. See United States v. Faulkner, 488 F.2d 328, 330-31 (5th Cir. 1974).
III. Issues Relating to Matters Arising at Trial [71] A. Closing Argument
But you serve by your verdict, you serve as a conscience of this community. If you find that the government, by its evidence, has proved these defendants guilty beyond and to the exclusion of a reasonable doubt, then it's your duty to find these defendants guilty as charged. By that verdict, you will send out a very loud and clear message to other people of a similar persuasion that will traffic —
MR. GEEKER: — That would traffic in marijuana of these quantities, that would engage in this kind of illegal activities. You have heard and you're familiar by virtue of your own common sense and experience with everyday affairs, the term, the war on drugs.
MR. DIAMOND: Continuing objection —
In order for a claim of prosecutorial misconduct during closing argument to warrant reversal, the challenged remarks must be 1) improper; and 2) prejudicial to a substantial right of the defendant. United States v. Kopituk, 690 F.2d 1289, 1341 (11th Cir. 1982). Upon evaluating the prosecutor's closing argument in light of the foregoing criteria, we hold that the challenged statements do not constitute reversible misconduct.
Act One. The circus comes to town. Well, Mr. Nick, we certainly have a good circus coming here. We've got a good show, got a lots of animals lined up for Mr. Mike. I got some great people some — rather, we've got them lined up. We are going to get that man on the high wire.
Defense counsel's extended analogy of the government's conduct to a three-ring circus "was clearly an invitation to the prosecutor to protest to the contrary." United States v. Eley, 723 F.2d 1522, 1526 (11th Cir. 1984). When the prosecutor goes no further than to take defense counsel up on his invitation, his conduct will not be regarded as impermissibly calculated to incite the passions of the jury. Id.; see also United States v. Cotton, 631 F.2d 63, 63-66 (5th Cir. 1980). The United States Attorney's likening the drug problem to a war or enemy invasion, coupled with his statement that he was interested in justice and not convictions for their own sake, could fairly be described as little more than a response to defense counsel's suggestion that the defendants' prosecution was a show put on by government counsel for their own amusement.
Turning to the specific remarks complained of, prosecutorial appeals for the jury to act as "the conscience of the community" are not impermissible, unless calculated to inflame. United States v. Kopituk, 690 F.2d 1289, 1292-93; United States v. Lewis, 547 F.2d 1030, 1036 (8th Cir. 1976); United States v. Alloway, 397 F.2d 105, 113 (6th Cir. 1968). Nor is it impermissible "to simply compare the duties of citizens serving on juries with those of citizens serving in the armed forces." Brooks v. Francis, 716 F.2d 780, 789 (11th Cir. 1983) (en banc pending). Finally, the prosecutor's reference to "tons and tons" of marijuana being "dumped" on the community was nothing more than a permissibly colorful way to describe a fact amply borne out in the record.
While we are on the record and the jury is gone, have all counsel seen the notes that the jury has, the questions they have asked and the answers given? . . . I didn't see any need in calling counsel on the questions that were asked. The main problem was, they couldn't find a piece — or some evidence. And the transcripts of the tapes.
With respect to the court's inquiry into whether the jury had reached a partial verdict as of the evening of the 25th, we find that no error was committed. The record clearly indicates that the communication was not undertaken until after counsel had been notified and had been given the opportunity to object. United States v. McDuffie, 542 F.2d 236, 241 (5th Cir. 1976). Moreover, any coercive or otherwise improper impact the note might conceivably have had, was neutralized by the court's later remarks when the jury was returned to the courtroom.
The other communications undertaken on the 25th are somewhat more troubling. It is certainly true that preferable procedure would have been for the court to have informed counsel of communications from the jury and to afford them an opportunity to be heard before written responses were returned. United States v. McDuffie, 542 F.2d 236, 241 (5th Cir. 1976). Nevertheless, counsel's failure to object to the ex parte communications at the time they were revealed may have operated as a waiver. Moreover, courts have universally held that where wholly innocuous inquiries of the sort at issue here are responded to by the court without first consulting counsel, any error thereby committed is nonprejudicial. United States v. Reynolds, 489 F.2d 4, 7-8 (6th Cir. 1973); United States v. Stone, 452 F.2d 42, 48-49 (8th Cir. 1971); United States v. Goodman, 457 F.2d 68, 72-73 (9th Cir. 1972); United States v. Freed, 460 F.2d 75, 78-79 (10th Cir. 1972). As the Fifth Circuit noted in United States v. Breedlove, 576 F.2d 57, 60 (5th Cir. 1978), "when the judge's answer to the jury's inquiry was distinctly responsive to the question, it clearly stated the law, and no prejudice is shown, the error is harmless." See also United States v. McDuffie, 542 F.2d 236, 241 (5th Cir. 1976). In this case, the court's answers were distinctly responsive to the jury's questions, and as such were at most harmless error.
Counsel for Villanueva and Fernandez make reference to a note submitted by the jury to the court on the 26th stating: "We would like to go home and come back tomorrow." (v. 15 at 3467). In their brief, Villanueva and Fernandez assert that this note was submitted to the court without the knowledge of defense counsel before the Allen charge had been given and before a verdict had been reached. They argue that the effect of the Allen charge urging the jury to attempt to resolve their differences and reach a verdict, when the jury had expressed a desire to go home, was impermissibly coercive, but that because counsel were unaware of the jury communication, no objection was possible.
I. Villanueva and Fernandez [90] A. The interview of Fernandez by a United States Attorney outside the presence of Fernandez's counsel.
Assuming the United States Attorney's behavior amounted to misconduct, the "remedies should be tailored to the injury suffered . . . ." United States v. Morrison, [ 449 U.S. 361, 364, 101 S.Ct. 665, 668], 66 L.Ed.2d 564, 568 (1981). . . . Fernandez complain(s) of two injuries. One is that the United States Attorney's actions poisoned their relationship with their lawyer. That complaint is mooted by their lawyer's disqualification. The other is that through his conversations with them the United States Attorney gained evidence and leads to even more evidence. The United States Attorney quite properly states he does not intend to introduce in his case in chief any evidence given him in the meetings and that the conversations were not used to obtain evidence. Even if, as defendants allege, evidence were procured through the conversations, the prejudice can be cured by suppression of the evidence.
Under 21 U.S.C. § 848, a person who engages in a continuing criminal enterprise shall be sentenced to a term of imprisonment of ten years to life. A person is considered to have engaged in a continuing criminal enterprise if he violates any provision of 21 U.S.C. § 801 et seq. governing drug abuse prevention and control, in the course of a continuing series of like violations undertaken in concert with five or more other persons "with respect to whom such person occupies a position of organizer, a supervisory position, or any other position of management," as a result of which that person obtains substantial income or resources. Villanueva challenges his conviction under this statute, on the grounds that the evidence was insufficient to demonstrate that he was an organizer or supervisor of the enterprise. Viewing the record in the light most favorable to the government, we conclude that the evidence was sufficient to support Villanueva's conviction.
The foregoing testimony furnishes an adequate basis for the conclusion that Villanueva occupied a supervisory role in the conspiracy. Certainly the most conclusive evidence of this fact is Abbey's testimony that Villanueva was "in charge of the complete operation," and again that he was "the top man." (v. 40 at 65-94). Such conclusions were amply supported by Abbey's previous testimony concerning Villanueva's financial control of the enterprise. United States v. Johnson, 575 F.2d 1347 (5th Cir. 1978).
In affirming Villanueva's continuing criminal enterprise conviction, we must simultaneously vacate his convictions on counts three and five for conspiracy to import and conspiracy to possess with intent to distribute marijuana, on double jeopardy grounds. The conspiracy provisions of the Controlled Substances and Controlled Substances Import and Export Acts proscribe conspiracy to commit any of the offenses defined in those acts. 21 U.S.C. § 846; 963. Similarly, the crime of continuing criminal enterprise, as defined in the Controlled Substances Act and construed by the Supreme Court in Jeffers v. United States, 432 U.S. 137, 97 S.Ct. 2207, 53 L.Ed.2d 168 (1977), includes as one of its elements a conspiracy to violate the provisions of the Controlled Substances or Controlled Substances Import and Export Acts. 21 U.S.C. § 848(b). In other words, one cannot be guilty of continuing criminal enterprise without also being guilty of conspiracy — the latter is a lesser included offense of the former. Jeffers; United States v. Michel, 588 F.2d 986, 1001 (5th Cir. 1979); United States v. Graziano, 710 F.2d 691, 699 (11th Cir. 1983). Where, as here, a defendant is convicted of engaging in a continuing criminal enterprise as well as the lesser included offenses of conspiracy to import and conspiracy to possess with intent to distribute marijuana, the proper remedy is to vacate both the convictions and sentences of the lesser included conspiracy offenses. Graziano, 710 F.2d at 699.
In order for a defendant to be found guilty of conspiracy, the government must demonstrate that a conspiracy existed, that the defendant had knowledge of it, and that he or she voluntarily became a part of it. United States v. Badolato, 701 F.2d 915, 920 (11th Cir. 1983); United States v. Lippner, 676 F.2d 456, 466 (11th Cir. 1982). The existence of a conspiracy may be demonstrated by circumstantial evidence such as inferences from the conduct of the defendant or circumstances indicating a scheme or plan. The knowledge requirement refers simply to knowledge of the essential objective of the conspiracy; a defendant may be found guilty notwithstanding that he did not have knowledge of all the details of the conspiracy or played only a minor role in the total operation. Badolato, 701 F.2d at 918-20; United States v. Corbin, 734 F.2d 643 (11th Cir. 1984).
It is settled that the existence of a simple buyer-seller relationship alone does not furnish the requisite evidence of a conspiratorial agreement. United States v. Braico, 422 F.2d 543 (7th Cir. 1970); United States v. Watson, 594 F.2d 1330, 1337 (10th Cir. 1979); United States v. Torres, 503 F.2d 1120, 1123 (2d Cir. 1974). It is equally well settled, however, that where a buyer knowingly assumes a role instrumental to the success of the conspiracy, the jury may properly infer that he is a member in it. United States v. Apollo, 476 F.2d 156, 162 (5th Cir. 1973) (finding it unnecessary "to define precisely how limited purchases, in number or size, may be in such "mere purchases' cases and still permit the intent to participate in an unlawful conspiracy to be inferred," because "in the present case, there was direct proof of a continuing relationship between Apollo and Cocroft, a known conspirator, which resulted on at least two occasions in the witting transfer of company marijuana to Apollo"); United States v. Hess, 691 F.2d 984, 988 (11th Cir. 1982) (while a fence does not automatically become a conspirator by purchasing stolen property, fences are necessary to the success of a hijacking conspiracy, and a fence who holds himself out as a place to dispose of stolen goods is a conspirator).
In order to be guilty of conspiring to import a controlled substance, in violation of 21 U.S.C. § 963, the defendant must have known that the substance was imported. United States v. Steward, 451 F.2d 1203 (2d Cir. 1971); Mason v. United States, 383 F.2d 107 (10th Cir. 1967). A defendant will not be held to have knowledge of an illegal importation solely on the basis of evidence that one or more of his alleged co-conspirators had such knowledge; nevertheless, direct or circumstantial evidence may justify an inference of knowledge. Mason v. United States, 383 F.2d 107 (10th Cir. 1967).
Here, there is no question that marijuana was imported from Colombia, South America into the United States by means of boat and airplane. There is likewise no question that Hobson and Waldrop's co-defendants were aware that the marijuana was imported. In light of the massive quantity of marijuana involved, the frequency with which Waldrop and Hobson had occasion to deal with the other members of the enterprise, the fact that Hobson, Waldrop and Cobb were described as the principal organizers of the Constellation episode in which marijuana was to be delivered by airplane from Colombia to southern Florida, and the presence of both Hobson and Waldrop at various of the organization's stash houses on numerous occasions, the jury was warranted in finding that Hobson and Waldrop knew the marijuana was imported. United States v. Corbin, 734 F.2d 643 (11th Cir. 1984); United States v. Garcia, 721 F.2d 721, 725 (11th Cir. 1983).
Subsection (c) of 18 U.S.C. § 1962 makes it unlawful to conduct or participate, directly or indirectly, in the conduct of an enterprise's affairs through a pattern of racketeering activity. Subsection (d), in turn, makes it unlawful to conspire to violate the provisions of subsection (c).
Hobson was convicted of a substantive RICO violation pursuant to subsection (c), as well as a RICO conspiracy under subsection (d). The basis for Hobson's RICO convictions arose from his involvement in the Constellation episode in connection with which he was indicted and convicted of importation and possession with intent to distribute marijuana. Hobson argues that these two convictions were the result of a single attempt on his part to procure marijuana, and that consequently he was not shown to have engaged or conspired to engage in a "pattern" of racketeering activity.
It may be recalled that Hobson was also convicted of conspiracy to possess and conspiracy to import, which would qualify as additional acts of racketeering under the Act; the indictment, however, limited the predicate acts alleged against Hobson under the RICO charges to the two substantive offenses.
"Pattern of racketeering activity" is defined in 18 U.S.C. § 1961(5) as "at least two acts of racketeering activity" committed within a ten-year period. "Racketeering activity" is defined to include "any act or threat involving murder, kidnapping, gambling, arson, robbery, bribery, extortion, or dealing in narcotic or other dangerous drugs, which is chargeable under state law and punishable by imprisonment for more than one year." 18 U.S.C. § 1961(1) (emphasis supplied). The statutory definition of pattern of racketeering activity has been construed as follows:
To be convicted of a § 1962(c) RICO charge, the evidence must show that the defendant participated in the affairs of the enterprise through a pattern of racketeering activity. This requires the commission of at least two predicate crimes.
United States v. Welch, 656 F.2d 1039, 1057 (5th Cir. 1981) (emphasis supplied). Possessing and importing marijuana are two separate crimes and consequently two separate acts for purposes of the RICO statute. The appellants' suggestion that two predicate acts cannot have arisen out of a single transaction was expressly considered and rejected in United States v. Phillips, 664 F.2d 971, 1039 (5th Cir. Unit B 1981).
Waldrop's convictions under the RICO statute stem from his involvement in both the Tallahassee warehouse and Constellation episodes. The predicate acts of racketeering activity underlying the RICO counts included: possession of marijuana with intent to distribute, in connection with the Tallahassee warehouse venture; and importation and possession of marijuana with intent to distribute in connection with the Constellation venture.
Like Hobson, Waldrop was also convicted on conspiracy charges, but again the indictment did not list those charges as predicate acts in the RICO count.
It is Waldrop's position that the Constellation venture was independently undertaken by Cobb, Hobson and Waldrop and was not an affair of the enterprise. If the predicate acts alleged in connection with Constellation venture are stripped from indictment on the ground that they were unrelated to the enterprise's affairs, only one predicate act remains — the possession of marijuana stored at the Tallahassee warehouse — which alone does not constitute a "pattern" of racketeering activity. In support of his position, Waldrop makes two related arguments. First, Waldrop assigns error to the district court's refusal to read Waldrop's requested instructions concerning the definition of the enterprise, and Waldrop's theory of defense. Second, Waldrop argues that the evidence does not support the conclusion that the Constellation venture was an affair of the enterprise.
Count 2 of the indictment alleges that from on or about January 1977 and continuously afterwards up to and including September 3, 1981, defendants Manuel Eric Villanueva, Antonio E. Bascaro, Manuel W. James, Gustavo J. Fernandez, Patrick C. Waldrop, and Russell Hobson were persons associated with an enterprise or an enterprise as defined by Title 18, United States Code, § 1961(4), that the enterprise engaged in or its activities affected interstate commerce and that the defendants knowingly and willfully participated in the enterprise's affairs through a pattern of racketeering endeavor in violation of Title 18, United States Code, § 1962(c). . . . Count 2 alleges that the enterprise consisted of a group of individuals associated in fact for the purpose of importing multi-ton quantities of marijuana into the United States from a place outside of the United States, possessing multi-ton quantities of marijuana with the intent to distribute and distributing within the United States, multi-ton quantities of marijuana, a Schedule I controlled substance. Now let me define some of the terms of this statute for you. The term enterprise, as used in the statute, includes any individual, partnership, corporation, association, or other legal entity and any group of individuals associated in fact, although not a legal entity. . . . In order to establish that any of the defendants named in Count 2 of the indictment committed the offense charged in that count, the government must prove as to that particular defendant each of the following elements beyond a reasonable doubt. First, that the defendant was associated with an enterprise as I have defined it for you. Second, that the defendant engaged in a pattern of racketeering activity as I have defined it for you by knowingly and willfully committing, or knowingly and willfully aiding and abetting at least two acts of racketeering activity as hereinafter explained. That at least two acts of racketeering activity occurred within ten years of each other, that one of such offenses took place after October the 10th, 1970, that the offenses were connected with each other by some common scheme, plan or motive so as to constitute a pattern, and not merely a series of disconnected acts. Fourth, that the commission of two or more connected offenses the defendants conducted or participated in the conduct of the enterprise. Fifth, that the enterprise engaged in or that its activities affected interstate or foreign commerce.
Waldrop is quite correct that the existence of an enterprise is an element of a RICO violation distinct from the element of a pattern of racketeering activity in which the enterprise engages. United States v. Phillips, 664 F.2d 971, 1011 (5th Cir. Unit B 1981); United States v. Lemm, 680 F.2d 1193 (8th Cir. 1982); United States v. Anderson, 626 F.2d 1358 (8th Cir. 1980). We do not agree, however, that the instruction delivered would have the effect Waldrop suggests.
A district court's refusal to deliver a defendant's requested instruction will constitute reversible error "if and only if the requested instruction (1) is correct, (2) is not substantially covered by other instructions which were delivered, and (3) deals with some point in the trial so `vital' that the failure to give the requested instruction seriously impaired the defendant's ability to defend." United States v. Stone, 702 F.2d 1333, 1339 (11th Cir. 1983). We are satisfied that the requested instruction was substantially covered by other instructions delivered. The only difference between the "theory of defense" instruction requested and the instruction given was that the instruction given defined the enterprise in terms of its participants and purpose instead of its organizers, which for reasons given above is not a difference so vital as to impair the defendants' ability to defend under the instruction delivered.
The gist of Hobson and Waldrop's contention with respect to the possession and importation counts is that they never had constructive or actual possession of the marijuana, nor were they physically responsible for the importation. Hobson candidly acknowledges that to the extent he is linked to a conspiracy to possess or import, he may be found guilty of the completed acts of possession and importation notwithstanding that he did not physically commit them. Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946). He points out, however, that before a defendant may be convicted of substantive offenses on the basis of acts committed by his co-conspirators, a jury instruction outlining that basis for liability must be given. United States v. Monaco, 702 F.2d 860, 881 (11th Cir. 1983). Inexplicably, the government did not request and the district court did not deliver a Pinkerton-type instruction. The court did, however, instruct the jury that a defendant would properly be found guilty of a substantive offense were he to aid or abet another in its commission.
Hobson and Waldrop's convictions for possession of marijuana with intent to distribute must be upheld if the evidence is sufficient to sustain the finding that they had either constructive or actual possession, or that they aided and abetted another who had constructive or actual possession. We have little trouble holding that Waldrop had constructive possession over the marijuana seized at the Tallahassee warehouse. "Constructive possession consists of the knowing exercise or the knowing power or right to exercise dominion and control over the substance." United States v. Knight, 705 F.2d 432, 433 (11th Cir. 1983). Testimony adduced at trial indicated that 40,000 pounds of the Tallahassee warehouse load was set aside for Waldrop; that Waldrop personally stacked a number of bales and set them aside with the intent to pick them up later; and finally, that he was stopped by law enforcement agents upon his return to the warehouse. Taken together, these facts amply demonstrate that Waldrop exercised dominion and control over the marijuana in question.
With respect to the Constellation venture, the evidence would not appear to support a finding that Hobson or Waldrop exercised either actual or constructive possession over the marijuana on board the aircraft. The mere fact that they had made a deposit of $1,500,000 on the incoming shipment does not satisfy the requirement that they exercised dominion and control over it. The absence of actual or constructive possession, however, does not foreclose the possibility that they were properly convicted under an aider and abettor theory of liability. Hobson is mistaken in his belief that he may not be convicted as an aider and abettor when he was indicted as a principal only: "One who has been indicted as a principal may be convicted on evidence showing only that he aided and abetted the commission of the offense." United States v. Oquendo, 505 F.2d 1307, 1310 n. 1 (5th Cir. 1975).
In United States v. Trevino, 556 F.2d 1265 (5th Cir. 1977), the court set out the requirements for aiding and abetting possession of a controlled substance with intent to distribute:
Trevino and Gonzalez were charged in this count under 21 U.S.C. § 841(a)(1) (1976), making illegal any possession of a controlled substance with intent to distribute, and 18 U.S.C. § 2 (1970), providing that "whoever . . . aids, abets, counsels, commands, induces or procures" the commission of a federal crime is punishable as a principal for the violation itself. To aid or abet another in the commission of a crime within the meaning of the statute requires that the defendant "in some sort associate himself with the venture, that he participate in it as something that he wishes to bring about, that he seek by his action to make it succeed."
The appellants' reliance upon United States v. Jackson for a contrary conclusion is misplaced. 526 F.2d 1236 (5th Cir. 1976). There, the evidence indicated that Jackson assisted his co-defendant in the distribution of cocaine already in the possession of the co-defendant. Jackson's conviction for aiding and abetting his co-defendant in the possession with intent to distribute cocaine was reversed on appeal, on the ground that while evidence was sufficient to support his conviction for aiding and abetting the distribution of cocaine, there was no evidence that he aided and abetted the possession. The court's conclusion was based upon an absence of evidence that Jackson had helped his co-defendant obtain the cocaine; rather, it was clear that Jackson did not aid or abet his colleague until after the cocaine had come into the co-defendant's possession. In contrast, Hobson and Waldrop's efforts were directed toward assisting Cobb in acquiring the marijuana. The court's opinion in Jackson is thus wholly consistent with our conclusion that Hobson and Waldrop were properly convicted of possession under an aiding and abetting theory.
The only issue raised by Bascaro that merits discussion and that was not considered previously as a common issue, is his double jeopardy claim. The government appears to acknowledge that Bascaro was previously tried and convicted of conspiracy to possess marijuana with intent to distribute in connection with a smuggling venture undertaken by the enterprise/conspiracy being prosecuted in the instant case. If true, this state of affairs would raise a question as to the validity of Bascaro's subsequent continuing criminal enterprise conviction and possibly his RICO conspiracy conviction in this case. See United States v. Phillips, 664 F.2d 971, 1015 n. 64 (5th Cir. Unit B 1981); see generally id. at 1004-1015. We do not, however, reach the merits of Bascaro's double jeopardy claim. The issue is raised for the first time on appeal; Bascaro's double jeopardy defense was thus waived by his failure to assert it at trial. Grogan v. United States, 394 F.2d 287, 289 (5th Cir. 1967).
As previously discussed in connection with Villanueva's continuing criminal enterprise conviction (CCE), conspiracy to import is a lesser included offense of CCE; in light of Bascaro's CCE conviction, we must therefore vacate his other conspiracy conviction on double jeopardy grounds.
Bascaro's motion for a bill of particulars, and his assignment of error to the court's refusal to grant that motion, relates to a different and less troubling double jeopardy claim. The function of a bill of particulars is to provide a defendant with information about the details of the charge against him if this is necessary to the preparation of his defense, and to avoid prejudicial surprise at the trial. United States v. Diecidue, 603 F.2d 535 (5th Cir. 1979); see also C. Wright, Federal Practice and Procedure § 129. A bill of particulars has been held to be appropriate where necessary to permit the defendant to plead double jeopardy in the event of a subsequent prosecution of the same offense. United States v. Gorel, 622 F.2d 100, 104 (5th Cir. 1979). The thrust of Bascaro's argument is that his activities in connection with the smuggling episode for which he had been previously convicted were not listed among the overt acts of the enterprise in the instant indictment, yet were used to convict him again here. He asserts that a bill of particulars would have revealed as much, but that as a consequence of the denial of his motion for a bill of particulars, Bascaro was unprepared to lodge a double jeopardy objection.