Opinion ID: 393714
Heading Depth: 1
Heading Rank: 1

Heading: sufficiency of the evidence

Text: 3 Both Wilson and Hendrix raise claims of insufficiency of the evidence as to each count on which each one was convicted. Specifically, Wilson contends that the evidence was insufficient to support his convictions on Count 1, the conspiracy count, Count 9, the possession with intent to distribute count, and Count 18, the distribution count. Similarly, Hendrix argues that the evidence was insufficient to sustain his convictions on Count 1, the conspiracy count, and Count 4, the possession with intent to distribute count. 4 When the sufficiency of the evidence for a criminal conviction is challenged on appeal, the standard of review inquires as to whether the jury could have reasonably found that the evidence was inconsistent with every reasonable hypothesis of innocence. United States v. Moreno, 649 F.2d 309, 312 (5th Cir., 1981); United States v. Rodgers, 624 F.2d 1303, 1306 (5th Cir. 1980), cert. denied, --- U.S. ----, 101 S.Ct. 1360, 67 L.Ed.2d 342 (1981). In applying this standard of review, we must consider the evidence and all reasonable inferences therefrom in a light most favorable to the government. Glasser v. United States, 315 U.S. 60, 62 S.Ct. 457, 86 L.Ed. 680 (1942); United States v. Moreno, 649 F.2d at 312. For purposes of clarity and order, we evaluate seriatim the sufficiency of the evidence for each conviction of each appellant.

5 Wilson first challenges the sufficiency of the evidence supporting his conviction for conspiracy. We reject this challenge. 6 The essence of a conspiracy is an unlawful agreement. United States v. Middlebrooks, 618 F.2d 273, 278 (5th Cir.), modified on other grounds, 624 F.2d 36 (5th Cir.), cert. denied, --- U.S. ----, 101 S.Ct. 401, 66 L.Ed.2d 246 (1980). Ordinarily, the fundamental elements of the offense of conspiracy are an agreement between two or more persons to commit a crime and an overt act by one of them in furtherance of the agreement. United States v. Malatesta, 590 F.2d 1379, 1381 (5th Cir.) (en banc), cert. denied, 440 U.S. 962, 99 S.Ct. 1508, 59 L.Ed.2d 777 (1979); United States v. Gordon, 580 F.2d 827, 834 (5th Cir.), cert. denied, 439 U.S. 1051, 99 S.Ct. 731, 58 L.Ed.2d 711 (1978). However, in a conspiracy prosecution under 21 U.S.C. § 846, as is involved here, the government need not prove any overt act in furtherance of the conspiracy. United States v. Gordon, 580 F.2d at 834; United States v. Littrell, 574 F.2d 828, 832 (5th Cir. 1978). Accordingly, in a prosecution under 21 U.S.C. § 846, the government must establish, beyond a reasonable doubt, that a conspiracy existed, that the defendant knew of it, and that he voluntarily participated in it. United States v. Middlebrooks, 618 F.2d at 278; United States v. Littrell, 574 F.2d at 832. The agreement between the coconspirators and the defendant need not be proved by direct evidence but may be inferred from concert of action. United States v. Malatesta, 590 F.2d at 1381; United States v. King, 532 F.2d 505, 508 (5th Cir.), cert. denied, 429 U.S. 960, 97 S.Ct. 384, 50 L.Ed.2d 327 (1976). Further, it is not necessary for all coconspirators to know each other or to work together on every phase of the criminal venture. United States v. James, 590 F.2d 575 (5th Cir.) (en banc), cert. denied, 442 U.S. 917, 99 S.Ct. 2836, 61 L.Ed.2d 283 (1979). 7 After reviewing the record, we find that there is sufficient evidence to sustain Wilson's conviction for conspiracy. The evidence indicates that Wilson obtained heroin for further distribution from a Larry Don Counter 3 and Robert Earl Turner, a codefendant in this case and a heroin distributor working for Counter. Glen Ray Johnson, a government witness, approximately thirty to forty times observed Wilson pay Counter proceeds from heroin Wilson sold for Counter. Johnson also saw Counter supply Wilson with heroin for further distribution on several occasions; and, on one occasion, Wilson accompanied Counter when the latter gave Johnson twenty five capsules of heroin for sale to third parties. 4 8 Robert Earl Turner, a distributor for Counter and a codefendant called as a prosecution witness, supplied Wilson, among others, with heroin from Counter to sell to third parties. Under the arrangement between Counter and his various distributors, the distributors sold heroin capsules to heroin users for $12.00 each. From each sale, Counter received.$7.00 and the street dealer, such as Wilson, received $5.00. Turner transferred the money received from the dealers, including Wilson, to Counter. At one point, Turner reduced the shares of Wilson and the other street dealers on a $12.00 heroin capsule from $5.00 to $4.00. Wilson objected to this cut and stated that he would from then on deal directly with Counter, eliminating his contact with Turner. In the summer of 1978, Turner supplied Wilson with heroin to sell on about six occasions, including the day Wilson was arrested, and he once saw Counter directly supply Wilson with heroin capsules. 9 This evidence clearly establishes the existence of a conspiracy to distribute heroin in South Dallas, that Wilson knew of the conspiracy, and that, with his knowledge, he voluntarily participated in the conspiracy. United States v. Middlebrooks, 618 F.2d at 278. 10 Wilson claims, however, that some of the evidence adduced at trial by the government concerning his involvement in the conspiracy was inadmissible under United States v. James, 590 F.2d 575. 5 Under James, an extra-judicial, hearsay statement of a coconspirator may be admitted against a criminal defendant only if the statement was made (1) by one who conspired with the party against whom the statement is offered, (2) during the course of the conspiracy and (3) in furtherance of the conspiracy. United States v. Grassi, 616 F.2d 1295, 1300 (5th Cir.), cert. denied, --- U.S. ----, 101 S.Ct. 363, 66 L.Ed.2d 220 (1980); United States v. James, 590 F.2d at 578. These requirements must be established by a preponderance of independent evidence. United States v. Grassi, 616 F.2d at 1300-01. 11 Wilson does not identify any specific evidence in his claim of a James violation. His contention, though, seems to be directed generally at the testimony of Robert Earl Turner. Regardless of the evidence to which Wilson is referring, however, we reject his contention that the rule of James was violated. James applies only to hearsay statements of coconspirators. See United States v. Grassi, 616 F.2d at 1300. None of the evidence upon which we rely to uphold Wilson's conspiracy conviction was hearsay. Instead, the evidence involved the witnesses' observations and personal knowledge of the acts of and arrangements between Wilson, Counter, and other persons. We therefore reject Wilson's James claim.
12 Wilson next challenges his conviction for possession of heroin with intent to distribute it. Finding the evidence insufficient, we reverse. 13 The evidence introduced to prove Wilson's guilt under this count indicates that on April 3, 1978, the Dallas police received a tip from an informant that persons at the 3700 block of Dildock Street in Dallas, Texas, were in possession of and selling heroin. Two Dallas police narcotics officers went to that location and found Wilson and two other men engaged in a small stakes dice game. The officers discovered on the ground in some bushes about ten feet from the two men two contraceptive prophylactics containing forty-four 7 capsules of heroin. Wilson had no drugs on him. He was arrested along with the other two men, but never was prosecuted by the State of Texas for this incident. Wilson subsequently was indicted by a federal grand jury for possession with intent to distribute heroin for this same occurrence. 14 Possession of a controlled substance with the intent to distribute it, in violation of 21 U.S.C. § 841(a)(1) (1976), may be either actual or constructive. United States v. Moreno, 649 F.2d at 312; United States v. Martinez, 588 F.2d 495, 498 (5th Cir. 1979). Constructive possession may be established by a showing of ownership, dominion or control over the contraband itself, or dominion or control over the premises or the vehicle in which the contraband was concealed. United States v. Moreno, 649 F.2d at 312 (quoting United States v. Martinez, 588 F.2d at 498). Like actual possession, constructive possession may be exclusive or joint, and may be proved by either direct or circumstantial evidence. Id. 15 Since Wilson was not in actual possession of any drugs during the incident on April 3, 1978, his conviction on Count 9 may be sustained only upon a constructive possession theory. The evidence presented, however, is insufficient to establish constructive possession. The evidence fails to demonstrate that Wilson had any dominion or control over the forty-four heroin capsules. Instead it shows only that Wilson along with other persons was in proximity to the heroin. (M)ere presence in the area where the narcotic is discovered or mere association with the person who does control the drug or the property where it is located, is insufficient to support a finding of possession. United States v. Moreno, 649 F.2d at 312 (quoting United States v. Stephenson, 474 F.2d 1353, 1355 (5th Cir. 1973)). That an informant had given a tip that people in the area were in possession of heroin does not add significantly to the evidence of possession. 16 In support of its argument that Wilson was in constructive possession of the heroin, the government relies upon United States v. Garza, 531 F.2d 309 (5th Cir.), cert. denied, 429 U.S. 924, 97 S.Ct. 324, 50 L.Ed.2d 292 (1976), and United States v. Ratcliffe, 550 F.2d 431 (9th Cir. 1977). Those cases clearly do not control, however. In Garza, the defendant was arrested at night, wearing dark clothing, lying face down about fifty yards from the Mexican border in an area known to be a crossing point for traffickers in contraband. When the defendant was discovered he had a .22 magnum pistol in one hand, one-half of a pair of binoculars in the other, and a .38 pistol in his pocket. Marijuana was in his hair, on his cap, and inside his jacket pockets. The agent who discovered him backtracked along the defendant's clearly visible footprints and discovered a cache of eleven one hundred pound bags of marijuana. In Ratcliffe, one defendant flew an aircraft from California to Mexico, picked up a load of marijuana, flew back to California, landed on a private air strip, and assisted in the unloading of the marijuana from the airplane. The other defendant under a false name purchased the airplane used, drove the pilot and another codefendant to the airport on the day they left for Mexico, waited at the airport for their return, and assisted in the unloading of the marijuana. Rather than support the government's position, these two cases highlight the inadequacy of the evidence of constructive possession in the instant case. 17 Since we find that the evidence that Wilson was in possession, actual or constructive, of the forty-four heroin capsules discovered on the ground in nearby bushes was insufficient, we reverse his conviction under Count 9 for possession of heroin with intent to distribute it.
18 Wilson next contends that the evidence was insufficient to support his conviction under Count 18 for distribution of heroin. We agree. 19 Count 18 of the indictment alleges that, on or about June 29, 1978, Wilson distributed twenty-five capsules of heroin to Glen Ray Johnson, and that Larry Don Counter aided and abetted Wilson. The indictment also charges Wilson with the offense of aiding and abetting the distribution. 8 20 The evidence shows that, on June 29, 1978, Wilson accompanied Counter when Counter, not Wilson, gave Glen Ray Johnson twenty-five heroin capsules for further distribution. Wilson said and did nothing during the transaction. The evidence further shows that Wilson then assisted Johnson in selling the twenty-five heroin capsules to third parties. Johnson sold about two of the capsules, keeping the money as his share, and Wilson sold the remaining capsules. There is no evidence, however, indicating any transference of any money from Johnson to Wilson or from Wilson to Counter as a result of these sales. 21 In our view, this evidence is insufficient to establish that Wilson committed the offense, narrowly charged in Count 18, that he had distributed twenty-five heroin capsules to Johnson. The term distribute, within the meaning of 21 U.S.C. § 841(a)(1), means to deliver ... a controlled substance. 21 U.S.C. § 802(11) (1976). Deliver in this usage means the actual, constructive, or attempted transfer of a controlled substance, whether or not there exists an agency relationship. 21 U.S.C. § 802(8) (1976). Since there clearly was no actual or attempted transfer of heroin by Wilson to Johnson, any delivery between these two men would have to have been constructive, with Counter having made the actual transfer to Johnson. 22 Wilson was certain to have known that the substance Counter handed to Johnson was heroin. The assistance Wilson subsequently gave to Johnson in selling the heroin to third parties indicates such knowledge. 9 Lacking in this case, however, is the type of relationship between Counter and Wilson or certain acts on Wilson's part that would support a finding of constructive distribution. Constructive distribution has been found to be established when the defendant had authority or control over the actions of the actual transferor during the transfer. See United States v. Waller, 503 F.2d 1014, 1015-16 (7th Cir. 1974), cert. denied, 420 U.S. 932, 95 S.Ct. 1137, 43 L.Ed.2d 406 (1975) (defendant instructed daughter to get bags of heroin for informant). Constructive distribution also has been found when the defendant arranges the distribution, and there is an equal or partnership relationship between the defendant and the actual transferor in the distribution, see United States v. Oquendo, 505 F.2d 1307, 1310 (5th Cir. 1975), or when there is an understanding between the defendant and the actual transferor and transferee that the transferor will act in defendant's stead if the defendant is unavailable to make the transfer himself. See United States v. Witt, 618 F.2d 283, 285 (5th Cir.), cert. denied, --- U.S. ----, 101 S.Ct. 234, 66 L.Ed.2d 107 (1980); United States v. Felts, 497 F.2d 80 (5th Cir.), cert. denied, 419 U.S. 1051, 95 S.Ct. 628, 42 L.Ed.2d 646 (1974). In addition, (a)ctivities in furtherance of the ultimate sale such as vouching for the quality of the drugs, negotiating for or receiving the price, and supplying or delivering the drug are sufficient to establish distribution. United States v. Wigley, 627 F.2d 224, 226 (10th Cir. 1980) (citations omitted); see also United States v. Chester, 537 F.2d 173 (5th Cir.), cert. denied, 429 U.S. 1099, 97 S.Ct. 1120, 51 L.Ed.2d 548 (1977). 23 None of these arrangements or actions are involved in this case. Wilson had a working relationship with Counter to the extent that he was a street dealer for Counter, but his relationship was such that he did not have any authority or control whatsoever over Counter's actions in distributing the heroin to Johnson on this occasion. In the same vein, there was no understanding between Counter and Wilson on this occasion to the effect that Counter merely was making the delivery in Wilson's stead. Moreover, Wilson engaged in no activity in furtherance of this distribution to Johnson. He merely accompanied Counter and stood mutely by as the transfer took place. 10 His mere presence and association with Counter are insufficient to establish that he distributed the heroin. See United States v. Harold, 531 F.2d 704, 705-06 (5th Cir. 1976); United States v. Horton, 488 F.2d 374, 381-82 (5th Cir. 1973), cert. denied, 416 U.S. 993, 94 S.Ct. 2405, 40 L.Ed.2d 772 (1974); United States v. Duff, 332 F.2d 702, 708 (6th Cir. 1964). The evidence demonstrates that Wilson in effect had neither actual nor constructive possession of the twenty-five heroin capsules Counter distributed to Johnson. As a matter of logic, a conviction for distribution cannot stand unless there is first possession with intent to distribute. United States v. Zule, 581 F.2d 1218, 1221 (5th Cir. 1978) (citing United States v. Littrell, 574 F.2d 828 (5th Cir. 1978)). 24 Neither can Wilson's conviction on Count 18 be sustained upon the theory that he aided and abetted in this particular episode involving the distribution of heroin. Although Wilson was indicted under 18 U.S.C. § 2 for aiding and abetting the offense under 21 U.S.C. § 841(a)(1), as well as for commission of the distribution offense, the district court gave no jury instruction on aiding and abetting in connection with Wilson. Wilson's conviction on Count 18 therefore cannot rest upon this theory. United States v. Maspero, 496 F.2d 1354, 1359 (5th Cir. 1974). We also may not uphold Wilson's Count 18 conviction upon the Pinkerton theory, Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946), which holds that the acts of one coconspirator may be attributed as a substantive offense to another coconspirator even without the latter's knowledge. United States v. Michel, 588 F.2d 986, 999 (5th Cir. 1979). The jury was not charged on the Pinkerton theory. United States v. Maspero, 496 F.2d at 1359 n. 4. 25 We accordingly reverse Wilson's conviction on Count 18 for distribution of heroin.

26 As did Wilson with respect to his conspiracy conviction, Hendrix contends that the evidence was insufficient to support his conviction on Count 1 for conspiracy to distribute heroin. We are not persuaded. 27 Hendrix first claims that there is insufficient evidence to support his conspiracy conviction because there is no evidence that he was involved in any overt acts listed in Count 1. This argument is without merit. As we have already shown, the government need not prove any overt act in furtherance of the conspiracy in a prosecution under 21 U.S.C. § 846. United States v. Robinson, 591 F.2d 1202, 1205 (5th Cir. 1979); United States v. Gordon, 580 F.2d at 834. In addition, the government is not limited in its proof of a conspiracy to the overt acts alleged in the indictment. United States v. Elliott, 571 F.2d 880, 911 (5th Cir.), cert. denied, 439 U.S. 953, 99 S.Ct. 349, 58 L.Ed.2d 344 (1978). 28 Hendrix further argues that there was insufficient evidence showing that he willfully participated in the conspiracy. The evidence, however, contradicts his assertion. Robert Earl Turner, a distributor for Larry Counter who appeared as a government witness, testified that on one occasion he (Turner) accompanied Counter while Counter supplied Hendrix and other heroin street dealers with heroin. When approached by Counter on that occasion, Hendrix indicated to Counter that he had sold out of heroin and needed more to sell. In response, Counter gave Hendrix a package containing heroin capsules. Turner further testified that on several other occasions he saw Counter collect proceeds from heroin sales from Hendrix as well as other street dealers. 29 Otis Frank Thomas, a heroin dealer for Larry Counter, testified from personal knowledge that Hendrix sold heroin for Counter. Thomas also recounted an incident in which he wanted to make a sale of heroin but had exhausted his supply, so he obtained a heroin capsule for the sale from Hendrix, who was standing nearby. 30 Two other witnesses, Herschell Lester Lincoln and Jesse Turner, both heroin users, testified that they had purchased heroin from Hendrix. Finally, Robert Earl Turner testified that after he had been arrested Hendrix told him that nothing would happen if everybody kept their mouth hushed and that he, Hendrix, would be able to take care of himself in any event. 31 Contrary to appellant Hendrix's claim, this evidence clearly establishes the requisite elements of the conspiracy offense. The evidence shows that Hendrix knew of the conspiracy in South Dallas to distribute heroin, and that he voluntarily participated in the conspiracy. United States v. Middlebrooks, 618 F.2d at 278. 32 Like Wilson, however, Hendrix makes a generalized claim that the evidence introduced against him regarding his participation in the conspiracy violated the rule of James. We dispose of this claim in the same manner in which we disposed of Wilson's James claim, supra, finding as we do that none of the evidence on which we rely was hearsay and that, therefore, the James rule is inapplicable. United States v. Grassi, 616 F.2d at 1300.
33 Count 4 of the indictment charged that on or about August 29, 1977, Hendrix and three other men with intent to distribute possessed approximately 300 capsules of heroin. Hendrix was convicted on this count. He now contends that there was no evidence at all to sustain this conviction. Since the government concedes this point, and since our review of the record reveals no evidence to support the allegation in Count 4, we reverse Hendrix's conviction on this count.