Opinion ID: 506212
Heading Depth: 3
Heading Rank: 6

Heading: Existence and Number of Conspiracies

Text: 81 Four appellants urge that the evidence showed that they were guilty, at most, of participation in a single conspiracy which the government arbitrarily divided into multiple conspiracy counts, and that their convictions on these counts contravene the Double Jeopardy Clause. The other appellant, Schoenhoff, argues similarly with respect to his convictions on conspiracy counts 9, 14 and 20. All five appellants were charged in two of the conspiracy counts (14 and 20), and each is charged in at least one of the others (counts 6, 9, 11, 25 and 27). We consider whether the government met its burden in proving the existence of the separate conspiracies charged. We reserve for later consideration the sufficiency of the evidence as to each appellant's participation in particular conspiracies. 82 In a drug conspiracy case, the government must prove beyond a reasonable doubt that the charged conspiracies existed. United States v. Morgan, 835 F.2d 79, 82 (5th Cir.1987). Under 21 U.S.C. Secs. 846 and 963, the crucial element of a conspiracy is an agreement between two or more persons to commit the offense. Id.; United States v. Gardea Carrasco, 830 F.2d 41, 44 (5th Cir.1987). If there is a single agreement that has as its objective the commission of crimes on different occasions, there is still but one conspiracy. United States v. Kalish, 690 F.2d 1144, 1151 (5th Cir.1982), cert. denied, 459 U.S. 1108, 103 S.Ct. 735, 74 L.Ed.2d 958 (1983); United States v. Marable, 578 F.2d 151, 153-54 (5th Cir.1978). For each conspiracy conviction it seeks, the government must prove a corresponding separate agreement. United States v. Olivares, 786 F.2d 659, 664 (5th Cir.1986); United States v. Winship, 724 F.2d 1116, 1126 (5th Cir.1984). 83 Because it is usually difficult to identify the objectives of and the parties to an unlawful agreement, the courts must look to circumstantial evidence in order to determine the conspiracy's scope. Kalish, 690 F.2d at 1151. Such evidence may include the conduct of the alleged participants or evidence of a plan or scheme. Morgan, 835 F.2d at 82; United States v. Ayala, 643 F.2d 244, 248 (5th Cir.1981). The evidence, however, must show beyond a reasonable doubt that two or more persons came to a mutual understanding to undertake to violate the particular laws in question. Morgan, 835 F.2d at 82. This Court has established a five-step analysis in order to determine whether the record demonstrates that a given criminal venture constitutes one or more conspiracies. Our approach derives from recognition that the essence of a conspiracy offense lies in the agreement to violate the law. Winship, 724 F.2d at 1126. 84 The five inquiries are commonly referred to as the Marable factors. United States v. Marable, 578 F.2d 151, 154 (5th Cir.1978). They are: (1) the time frames during which the alleged conspiracies occurred; (2) the extent to which the same persons were involved and the nature of their involvements; (3) whether the statutory offenses charged in the indictments were the same; (4) whether the nature and scope of the defendants' activities charged in connection with each alleged conspiracy were repetitive and continuous; and (5) whether the locations where the events alleged as part of each conspiracy took place were the same. United States v. Atkins, 834 F.2d 426, 432-33 (1987); United States v. Nichols, 741 F.2d 767, 771 (1984), cert. denied, 469 U.S. 1214, 105 S.Ct. 1186-87, 84 L.Ed.2d 333 (1985); Winship, 724 F.2d at 1126; Kalish, 690 F.2d at 1151-52; Marable, 578 F.2d at 154. 85 Both in opening and closing argument, the government itself repeatedly argued that all of the charged activities, including those involving marihuana, were part of a single, on-going plan to bring in one big load of cocaine. 23 Yet the government did not charge appellants with taking part in a single, on-going conspiracy. 24 Instead, it charged appellants under seven different conspiracy counts, 25 and the jury was instructed accordingly. What the government intended by continuing to argue that appellants' activities all related to an on-going plan to bring in the big load of cocaine is unclear. Perhaps it meant for the jury to assume that appellants' putative agreement to do so would carry over to show that they had also agreed to commit the seven separate conspiracies within the year and a half time frame. If so, such argument was misleading. For each conspiracy conviction the government seeks, it must prove a corresponding, separate agreement. Winship, 724 F.2d at 1126. 86 Throughout trial, the government gave curiously scant attention to its burden of proving that two or more persons had agreed to commit the offenses charged in each of the seven conspiracy counts. 26 Much of the evidence presented was circumstantial, and was generally offered without reference to particular days, months, or even years. The government rarely focused either testimony or argument on any of the specific counts charged. The same names and locations figured in several different charged conspiracies, and it often is difficult or impossible to tell which count is being addressed. Confusion is compounded by the fact that a substantial portion of the testimony had to do with extrinsic offenses, some of which were described in great detail, although typically without reference to dates, involving many of the same persons and locations featured in the charged offenses. 87 As set out below, applying the five Marable factors, we find ample record evidence from which to conclude that the government demonstrated the existence of three conspiracies: those two charged in counts 9 and 11 or 14 and 20, and the one in count 25. We do not find sufficient evidence to establish the existence of the conspiracies charged in counts 6 and 27. 88 Count 6: The Fort Stockton cocaine conspiracy, June-October 1984 89 Because this is chronologically the first charged conspiracy we need not apply Marable analysis. The question here is whether the record reveals that the government presented strong evidence that two or more persons agreed to commit the charged offense. We find that it does not. 90 Government witness Spratlen testified as to certain conversations regarding cocaine smuggling and his understanding of what the plan would be. He testified that Goff had flown about the Fort Stockton, Texas, vicinity to show him where the load might be dropped. Another alleged conspirator testified that Goff had told him he could make $5,000 by watching a gate on the road to the site where a load of drugs from Colombia would be dropped, and that he (Goff) and Barrington would be on the plane. There is also testimony that Goff had flown over a pipeline road near Fort Stockton where a load of drugs would be dropped. Spratlen did not state he had been present when any agreement to import cocaine was reached. 91 Goff's participation in discussing possible arrangements for smuggling cocaine could indicate the existence of an agreement, and thus a conspiracy, to import cocaine and his participation in it. However, by the time Goff and Spratlen flew around Fort Stockton, the latter evidently had become a government informer. Neither Goff nor anyone else would have been able to conspire with Spratlen. 27 It is unclear from other testimony whether the drug drop he discussed with Goff was the one charged in count 6. Goff did not say when the contemplated drop would take place. Goff's reconnoitering flight near Fort Stockton may just as well have been preparatory to the Tye marihuana drop, which was to be along a pipeline road near Fort Stockton. 92 Substantial evidence at trial indicated that all discussions during the period of the alleged conspiracy were only preliminary, and that no agreement to import cocaine was reached until after the time frame of the alleged conspiracy. 28 Such testimony came directly from government witnesses who were present at these discussions. Moreover, there was testimony by a government witness that only Barrington was engaged in planning the charged importation. 29 Though circumstantial evidence could indicate Goff's participation in the charged conspiracy, before that could be shown, it must first be proved beyond a reasonable doubt that the conspiracy existed, namely, that there was an agreement to commit the unlawful act or acts charged. Morgan, 835 F.2d at 82. The existence of such an agreement may, of course, be proven by circumstantial evidence. Here, however, the circumstantial evidence was vague, undated and speculative. In contrast, there was explicit, consistent testimony from several sources including government witnesses that agreement had not been reached. We conclude that the evidence as to the existence of the conspiracy charged in count 6 is not enough, and that appellants' convictions under this count must be reversed. 93 Counts 9 and 11: The Tye marihuana conspiracy 30 94 More than ample evidence supports the jury's finding that a conspiracy existed in connection with the Tye load or episode. Several witnesses testified as to participation by Goff, Drewes, and others in preparation for and execution of the plan. Goff was said to be in charge of the operation. Two defendants rigged an auxiliary gasoline tank to provide the aircraft enough fuel for the trip to Belize. Barrington loaned his Loran instrument to the pilots. Goff and Drewes told Gantt they had the load of marihuana in his hangar. Two other defendants then transferred the marihuana to a truck, which contained over 900 pounds of marihuana when it was seized. 95 Appellants argue that separate convictions under counts 9 and 11 are multiplicious and violate the Double Jeopardy Clause. It is well settled, however, that the government can impose a separate punishment for each statute a conspirator has agreed to violate, even if there is only one agreement, provided that Congress has authorized such punishment. Sections 846 and 963 are such statutes. Albernaz v. United States, 450 U.S. 333, 101 S.Ct. 1137, 1140-41, 1145 n. 3, 67 L.Ed.2d 275 (1981); Kalish, 690 F.2d at 1151 n. 6. Since the Tye conspiracy violated both conspiracy sections, appellants may be convicted and sentenced under both counts 9 and 11. 96 Counts 14 and 20: 31 The Granbury Marihuana Conspiracy 97 Here again, more than ample testimony supports the jury's finding of a conspiracy to commit the activities charged. Though most of the testimony came from Spratlen, it was generally corroborated by other witnesses. There was testimony that a number of bags of marihuana had been picked up at the drop site. There was testimony that Barrington, Drewes, and Goff had said that they could not find seven missing bags of marihuana. Officer Lee testified that he and other government agents seized some 900 pounds of marihuana at Granbury and arrested three defendants there. Again, under Albernaz, supra, appellants were subject to conviction and sentencing under both counts 14 and 20. 98 Appellants vigorously contend that the Tye and Granbury episodes were parts of a single continuing conspiracy, and that counts 14 and 20 are multiplicious with respect to counts 9 and 11. They urge that their convictions under both sets of counts therefore violate the Double Jeopardy Clause. 99 To determine whether the evidence describes a single conspiracy or two separate ones, we apply the Marable factors, keeping in view the central question: whether the government has proven a separate, corresponding agreement for each conspiracy conviction it seeks. United States v. Levy, 803 F.2d 1390, 1394 (5th Cir.1986); Winship, 724 F.2d at 1126. Where appellants come forward with a nonfrivolous double jeopardy claim, the burden is placed upon the government to prove separate conspiracies by a preponderance of the evidence. Nichols, 741 F.2d at 771; United States v. Stricklin, 591 F.2d 1112, 1118-19 (5th Cir.1979). Appellants present such a claim here. 100 (1) Time. The Tye conspiracy allegedly occurred between November and December 3, 1984. The Granbury conspiracy allegedly took place between November 28, 1984 and January 17, 1985. Thus the Tye conspiracy overlapped the Granbury conspiracy by six days. 101 The government claims that the time overlap here is minimal. This consideration would not be dispositive, even if there were some time gap between the charged incidents, for the prosecution is not free to separate a single, on-going conspiracy into discrete conspiracies simply by dividing the time frames. United States v. Manotas-Mejia, 824 F.2d 360, 366 (5th Cir.1987), cert. denied sub nom. Ramirez-Rios v. United States, --- U.S. ----, 108 S.Ct. 354, 98 L.Ed.2d 379 (1987); United States v. Dunn, 775 F.2d 604, 607 (5th Cir.1985). See also Kalish, 690 F.2d at 1151. 102 The government's main argument for finding that the Tye and Granbury conspiracies were separate is that arrests have been held to constitute a terminal point for a conspiracy, citing Dunn, 775 F.2d at 607. This is not correct. Dunn states, in relevant part, It is well settled that a person's participation in a conspiracy ends when the person is arrested for his role in the conspiracy. Id. (Emphasis added.) See also United States v. Postal, 589 F.2d 862, 888 (5th Cir.), cert. denied, 444 U.S. 832, 100 S.Ct. 61, 62 L.Ed.2d 40 (1979). The two persons arrested on December 2 and 3, 1984, played only minor roles and their arrests are totally irrelevant as to the duration of the Tye conspiracy. Even when several members of a conspiracy are arrested, the conspiracy itself is not thereby necessarily terminated. Kalish, 690 F.2d at 1151; United States v. Michel, 588 F.2d 986, 993-94 (5th Cir.), cert. denied, 444 U.S. 825, 100 S.Ct. 47, 62 L.Ed.2d 32 (1979). Drug conspiracies involving multiple importation episodes may continue for many months. Nichols, 741 F.2d at 771 (6 months); Michel, 588 F.2d at 990 (2 years); United States v. Ruigomez, 576 F.2d 1149, 1150-51 (5th Cir.1978) (8 months); see also Atkins, 834 F.2d at 432; United States v. Stricklin, 591 F.2d 1112 (5th Cir.1979). The fact that the Tye and Granbury importations took place within a six-week time frame is exceedingly weak evidence to show that these episodes constituted separate conspiracies. 103 (2) Alleged co-conspirators. The same four principals were involved in both episodes: Barrington, Drewes, Goff, and Schoenhoff. 32 There was some turnover in other personnel. But even considerable difference or turnover in personnel between or among ventures does not prove separate conspiracies. In Kalish, all four crew members on board a shrimp boat used for the first importation were arrested when the load was seized, while two dozen or more new co-conspirators took part in the second importation. Only four persons were involved in both episodes. Kalish, 690 F.2d at 1151. Yet we held the fact [t]hat the conspiracy must take on additional members to accomplish one of its objects does not in itself establish a different conspiracy. Id. In the course of a single conspiracy various players such as off-loaders, pilots, and financiers, may move onstage and off. Nichols, 741 F.2d at 771. A mere shuffling of personnel in an otherwise on-going operation with an apparent continuity will not, alone, suffice to create multiple conspiracies. Id. at 772. 33 104 Three of the four principals had exactly the same roles in both the Tye and the Granbury episodes. Schoenhoff was the supplier in Belize for both shipments, and he also traveled to Texas after each shipment to monitor its distribution. 34 Goff and Drewes piloted the airplanes used for both flights. Two of the ground crew were the same both times. The only notable difference between the two episodes is some testimony indicating that Goff was in charge of planning the Tye load, while Barrington directed the Granbury operation. This difference, however, appears at most to be a matter of degree. Barrington was substantially involved in the Tye affair. 105 Without going into the evidence in further detail, we stress that our cases do not require that a single conspiracy must have the same person or persons direct each operation within it. In Michel, for example, the active leader of the first series of marihuana importations then receded into the background, though retaining his financial interest, while others organized subsequent ventures. Michel, 588 F.2d at 991-94. A single plan does not turn into several plans simply because some members of the conspiracy are cast in more vital roles than others, or because of internal personnel changes. Id. at 995. We conclude that possible variation in the extent to which Barrington was in charge does not constitute a difference sufficient to show that the two episodes arose in the context of separate conspiracies. 106 (3) Statutory offenses charged. The Tye conspiracy counts, 9 and 11, respectively, charged that appellants violated 21 U.S.C. Sec. 963, which prohibits conspiracies to import, and 21 U.S.C. Sec. 846, which prohibits conspiracies to possess with intent to distribute. The Granbury conspiracy counts, 14 and 20, respectively, charged violations of the same two sections. This circumstance has virtually no significance one way or the other in this case. 107 (4) Nature and scope of the activities. The government concedes that a meeting attended by Barrington, Drewes, Goff and others on November 28, 1984 at the Sunday House in Fort Worth, Texas, pertained to both the Tye and the Granbury alleged conspiracies. The Tye and Granbury episodes both followed a similar pattern. A load of marihuana, in each case weighing approximately a thousand pounds, was supplied in Belize by Schoenhoff. Both loads were transported via aircraft with the same pilots flying round-trip from Texas to Belize and back. Both loads were to be kicked or dropped off in secluded locations along an oil pipeline. Two members of the ground crew were the same both times. After each delivery, the marihuana was transferred to a truck, which was parked at an intermediate location for some interval and then driven by others for further transfer or distribution. In both cases Schoenhoff evidently traveled from Belize to supervise the distribution process. In both cases, Barrington aided in the ventures, and may have directed them. 108 In United States v. Henry, 661 F.2d 894 (5th Cir.1981), cert. denied, 455 U.S. 992, 102 S.Ct. 1619, 71 L.Ed.2d 853 (1982), where we found two separate conspiracies, the locus of one was Detroit, while the other centered in Dallas and Atlanta. Only one person was common to both conspiracies, and there was no evidence suggesting cooperation between the two groups. Id. at 897. Here the pattern of operations is much closer to the facts in Nichols and Michel, which led us, in each case, to conclude that there was but a single underlying conspiracy. In Nichols, the accused carried out three of four planned cocaine smuggling importations from Colombia to the United States during a six month period. The importation episodes had common planners. But the cocaine suppliers in Colombia were different, one of the pilots was different, different aircraft were used, and the intermediaries dropped out after the first two trips. 109 The Michel conspiracy was more loosely organized. 35 There were over a dozen separate episodes in which marihuana was flown from at least two different locations in Mexico to more than six different sites in Texas. At least three separate aircraft were flown by five different pilots. Nevertheless, we concluded: 110 That each flight was a random, separate venture discrete from the others defies belief. The group's efforts to maintain protected landing sites and the continuous planning and cooperation between the persons involved convince us that this was one scheme to import marihuana which envisioned as many flights as could safely be made. 111 Michel, 588 F.2d 986, 995. A similar comment could be made about the two marihuana ventures in the present case. 112 (5) Locations. In both cases, appellants' and other defendants' activities were alleged to have taken place in the Dallas [or Fort Worth] Division of the Northern District of Texas, and elsewhere. Belize was the source of the marihuana in both cases, and the intended drop sites, Fort Stockton and Pecos, were in the same vicinity in west Texas. 113 We conclude from our review of the record that, in the light of the Marable factors, the Tye and Granbury episodes constituted a single, on-going conspiracy. The Double Jeopardy Clause therefore prohibits appellants' convictions on more than one set of counts. The appropriate remedy for violation of the Double Jeopardy Clause is to vacate the sentences in question and remand with instructions to reverse and dismiss all but one set of the redundant convictions. Olivares, 786 F.2d at 664. The government may elect which set of counts is to be dismissed: either counts 9 and 11, or counts 14 and 20. 114 Count 25: The Maraquita cocaine conspiracy 115 The existence of the charged Maraquita conspiracy is established well beyond any reasonable doubt. Spratlen and four others involved testified concerning specific agreements, meetings and activities. This testimony constitutes strong evidence that Barrington and several others had agreed to import cocaine from Colombia during the period January to July, 1985. 116 Appellants contend that, as the government urged in opening and closing argument, there was only one conspiracy, namely to bring in the big load of cocaine and that the marihuana ventures were incidental to but part of that inclusive and continuing conspiracy. They urge that the offense charged in count 25 was part of this single conspiracy. Since we found the evidence too weak to establish the existence of the cocaine conspiracy charged in count 6, we do not consider the relation between the conspiracies charged in counts 6 and 25. But we must evaluate the relationship between the cocaine conspiracy charged in count 25 and the Tye-Granbury conspiracy, applying the Marable factors. 117 (1) Time. There is an overlap of seventeen days in January 1985, between the Granbury time frame and that of the count 25 conspiracy. None of the activities charged in connection with Granbury, however, related to preparation for the Maraquita episode. The only January, 1985, act charged in count 25 concerned Barrington's arranging for Gantt to sell his Titan aircraft, allegedly in order to raise money to finance the anticipated cocaine deal. 118 (2) Alleged co-conspirators. All appellants except Kuntze were charged in connection with the Tye episode and all five were charged under the Granbury conspiracy counts. Only Barrington and Kuntze were charged in count 25. One other person was charged under all Tye and Granbury counts, and also under count 25; two others were charged in connection with both Granbury and count 25. That is the extent of the overlap. Twelve persons including appellants Drewes, Goff, and Schoenhoff who were charged in connection with the marihuana episodes do not appear under count 25. Moreover, eight defendants named in count 25 were not charged under the Tye or Granbury counts. Barrington was in charge of the Maraquita operation, as was clearly the case in the Granbury episode. Kuntze's role, as at Granbury, was somewhat uncertain. There was a different source for the cocaine in Colombia in the place of Schoenhoff, the marihuana supplier in Belize for the Tye-Granbury loads. Three new persons appeared in the role of intermediates or brokers for the count 25 cocaine. Contrary to his pattern in the marihuana flights, Barrington, himself, went along this time. No evidence at all connects the former Tye-Granbury pilots, Drewes and Goff, with the Maraquita trip. Two new ground crew members appeared for the first time. The cast of characters in the Maraquita conspiracy was significantly different than in Tye-Granbury. 119 (3) Statutory offenses charged. Count 25 charged that appellants Barrington and Kuntze conspired to import cocaine in violation of 21 U.S.C. Secs. 952, 960 and 963. Counts 9 and 14 charged violation of these same statutes by the importation of marihuana. In addition, counts 11 and 20 charged appellants with conspiracy to possess marihuana with intent to distribute in violation of 21 U.S.C. Secs. 841(a)(1) and 846. The fact that different controlled substances were involved is not dispositive as to whether there were separate conspiracies. Winship, 724 F.2d at 1127; Marable, 578 F.2d at 154-56. It may suggest, however, that the nature of the activities was different. 120 (4) Nature and scope of the activities. The overt acts charged in connection with the Tye-Granbury conspiracy were all different from those charged under count 25. There was uncontroverted testimony by a newly named conspirator that the witness had conspired with Barrington, Kuntze, and others to commit the offense charged in count 25. There was no evidence that proceeds of the prior marihuana ventures were to be used, or were in fact used, to finance the Maraquita transaction. 36 121 The only similarity between the Tye-Granbury marihuana conspiracy and the Maraquita plan is that each involved round-trip flights from the United States to points South to pick up contraband which then would be dropped in a secluded area and picked up by a ground crew. In summary, the evidence as to the activities involved strongly suggests that the Maraquita venture was grounded in a new agreement. 122 (5) Locations. The Tye-Granbury contraband was obtained from Belize. The Maraquita contraband was to come from Colombia. Other locations differ as well. The locations factor likewise points to a separate conspiracy. 123 Although there are certain similarities between the Tye-Granbury and the Maraquita plans, the evidence compels the conclusion that the latter plan was based upon a new and distinct agreement, and thus constitutes a separate conspiracy. We cannot upset the jury verdict on this evidence. Count 27: The Aruaca conspiracy 124 Appellants Barrington, Goff, and Kuntze, and three other defendants were charged under this count with having conspired to import cocaine from Colombia to the United States between July and August 11, 1985. In order to prove the existence of a drug conspiracy, the evidence must show beyond a reasonable doubt that two or more non-governmental persons agreed to commit the alleged offense. United States v. Toro, 840 F.2d 1221, 1232-33 (5th Cir.1988). In this instance, the evidence falls far short. A government agent or informer cannot be a co-conspirator. 37 Spratlen was a government informer throughout the course of the activities charged in all counts. There is no record evidence that any of the appellants or other defendants entered into an agreement with anyone other than separately with Spratlen during the time of the so-called Aruaca conspiracy. The evidence is insufficient to support the existence of the conspiracy charged in count 27, and appellants' convictions under this count must be reversed. 125