Court Opinion

ID: 9468364
Source: CourtListenerOpinion
Date Created: 2023-08-05 02:12:57.705125+00
Date Added: 2024-06-11T17:40:50.183903
License: Public Domain

ALARCON, Circuit Judge,
dissenting.
I dissent.
I would reverse the judgment on the grounds that the evidence is legally insufficient to connect appellant to the commission of any crime. In addition, I would hold that the district court’s errors in the admission of the binoculars and the notebook were prejudicial in view of the woeful weakness of the government’s case against Federico.
The government produced overwhelming evidence including a judicial confession that John Miller agreed to sell cocaine to a law *1345enforcement agent. We are not, however, concerned here with the sufficiency of the evidence against Miller. Putting aside Miller’s hearsay statement to agent Cintron, the evidence produced against Federico consisted of the following facts.
One. Miller parked his car in a parking lot next to a brown Pontiac containing Federico who was in the driver’s seat, and a woman, seated on the passenger side of the vehicle.
Two. Miller approached the passenger side of the vehicle. There is no evidence in the record which would establish or from which it could be inferred that this meeting was prearranged or a chance meeting. Nor is there any evidence that Federico had ever met or seen Miller before.
Three. Miller had a conversation with the woman and Federico. There is no evidence as to what was said.
Four. Miller returned to his car.
Five. Federico drove two blocks to an air freight terminal. There is no evidence as to whether Federico planned to go to this location prior to his conversation with Miller, or that they agreed to meet there.
Six. Miller drove to the same location.
Seven. The two cars were parked near each other.
Eight. Federico approached Miller while holding his shirt in his hand with his forearm level to the ground. There is absolutely no evidence from which it can be inferred that anything was handed to Miller by Federico.
Nine. Miller and Federico had a conversation. There is no evidence in the record as to what was said in this conversation.
Ten. Federico drove to Miller’s motel, made a U-turn and continued on without stopping.
Eleven. A pair of binoculars were found in Federico’s car.
Twelve. A notebook was found in Federico’s possession. The terms in this notebook were commonly used in the illicit drug market. There was no evidence that any of these notations were connected in any way with the Miller-Gilbert cocaine transaction.
Based on this evidence my colleagues have concluded that the facts show that Federico conspired with Miller to possess and distribute cocaine. The majority concedes that “no direct evidence linked Federico to the plan to procure the cocaine and distribute it to Gilbert.” Ante at 1341. In fact, there is absolutely no evidence, direct or indirect, to show that Miller entered into a plan with any other person to procure and distribute cocaine to Gilbert. There is no evidence that Federico and Miller had met until after Miller left the motel after he had agreed to procure cocaine for Gilbert. The majority assumes that the meeting with Federico was prearranged because there is no evidence in the record to show that it was arranged before hand. In other words, the majority suggests that the absence of any evidence of a plan to meet is sufficient proof from which it can be inferred that a meeting was planned if two people are later seen together. I know of no rule of evidence which would support such sophistic reasoning.
The majority concludes that “Federico cannot avoid responsibility for these actions by arguing that he was a mere passenger when the suspicious activities occurred.” Ante, at 1343. I find this enigmatic passage quite baffling. To sustain this conviction the majority creates convenient straw men and then tears them apart triumphantly. First, what were Federico’s actions? He had two conversations with Miller at two different locations. We do not know what was said. During one conversation he had his shirt in his hand. There is no evidence of any conversation between Federico and Miller concerning cocaine or any other subject. Second, Federico nowhere has argued that he was a mere passenger. In fact, the evidence shows that he was the driver of a car containing a woman passenger. The guilt of the woman passenger is not before us. It is interesting to note, however, that when Miller first approached the Federico car he went to the passenger side. There is no evidence as to what was said to Miller by the woman, or *1346whether she, unbeknownst to Federico, handed the cocaine to Miller. Nor for that matter do we have any evidence as to whether she directed Federico to follow Miller without advising Federico of the reasons for so doing. Since we have no evidence of any agreement to transfer any cocaine, we can just as easily speculate that she passed the cocaine to Miller, after conspiring with Miller to distribute it to Gilbert. I must assume that if Miller had said “I am going to get the cocaine from the woman who supplies my cocaine” my colleagues would have affirmed a conviction as to her, as well, despite the total absence of any evidence that she was aware of Miller’s agreement to supply cocaine to Gilbert or that she had cocaine in her possession. There simply is no evidence in this record that Federico had any cocaine in his possession or that he handed anything to Miller, or that he conspired to commit the crime charged.
In determining whether a jury verdict rests on sufficient evidence the reviewing court must view the evidence in the light most favorable to the prosecution and determine whether “ ‘any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.’ ” United States v. Bailey, 607 F.2d 237, 243 (9th Cir. 1979), cert. denied, 445 U.S. 934, 100 S.Ct. 1327, 63 L.Ed.2d 769 (1980) (quoting Jackson v. Virginia, 443 U.S. 307, 319, 99 S.Ct. 2781, 2789, 61 L.Ed.2d 560 (1979) (emphasis in original)). All reasonable inferences from the evidence must be drawn in favor of the Government. United States v. Jabara, 618 F.2d 1319, 1328 (9th Cir.), cert. denied, 446 U.S. 987, 100 S.Ct. 2973, 64 L.Ed.2d 845 (1980).
Circumstantial evidence is sufficient to sustain a conviction unless a rational trier of fact would have concluded that a reasonable hypothesis of innocence could be drawn from the evidence. United States v. Nelson, 419 F.2d 1237, 1241 (9th Cir. 1969). This test must be considered merely a reformulation of the basic reasonable-doubt standard required as an essential of due process in order that “no person shall be made to suffer the onus of a criminal conviction except upon sufficient proof.. . .” Jackson, 443 U.S. at 316, 99 S.Ct. at 2788.
The essential elements of conspiracy are “ ‘an agreement to accomplish an illegal objective, coupled with one or more overt acts in furtherance of the illegal purpose and the requisite intent necessary to commit the underlying substantive offense.’ ” Bailey, 607 F.2d at 243 (quoting United States v. Friedman, 593 F.2d 109, 115 (9th Cir. 1979)). Once the existence of a conspiracy is shown, “ ‘evidence establishing beyond a reasonable doubt a connection of a defendant with the conspiracy, even though the connection is slight, is sufficient to convict him with knowing participation in the conspiracy.’ ” Jabara, 618 F.2d at 1328 (quoting United States v. Dunn, 564 F.2d 348, 357 (9th Cir. 1977) (emphasis in original)). The defendant’s connection to the conspiracy must be shown to be knowledgeable, i. e., the Government must prove beyond a reasonable doubt that the defendant knew of his connection to the charged conspiracy. United States v. Smith, 609 F.2d 1294, 1299 (9th Cir. 1979); United States v. Spanos, 462 F.2d 1012, 1014-17 (9th Cir. 1972). Such knowledge must be shown by clear unequivocal evidence. Miller v. United States, 382 F.2d 583, 587 (9th Cir. 1967), cert. denied, 390 U.S. 984, 88 S.Ct. 1108, 19 L.Ed.2d 1285 (1968) (citing Direct Sales Co. v. United States, 319 U.S. 703, 711, 63 S.Ct. 1265, 1269, 87 L.Ed. 1674 (1943)).
Hearsay statements of Federico’s co-conspirator were admissible as against Federico only if evidence from a source apart from the statements established that a conspiracy existed and that Federico had knowledge of and participated in the particular conspiracy alleged. United States v. Weaver, 594 F.2d 1272, 1274 (9th Cir. 1979).
In order for the extrajudicial statement of a co-conspirator to be admissible, there must be substantial independent evidence of the conspiracy and, once the conspiracy is shown, slight evidence is required to connect the co-conspirator to it. Id. The evidence aside from Miller’s statements that he did not have the cocaine in his possession *1347and would have to obtain it from his supplier did not establish a conspiracy nor Federico’s connection to it. See Spanos, 462 F.2d at 1016 (failure to show prima facie case of conspiracy based on one large sale in the absence of evidence that the seller agreed to the charged conspiracy); Ong Way Jong v. United States, 245 F.2d 392, 394-95 (9th Cir. 1957) (failure to prove prima facie case where the buyer, who had multiple sources, met with the defendant and no one else several times shortly before delivery). Consequently, the statements were improperly admitted against Federico.
Aside from Miller’s statement the only evidence against Federico consisted of two brief conversations. The fact that Federico spoke to Miller does not establish his knowing participation in a criminal conspiracy.
The standard for determining the existence of a single conspiracy and, therefore, its scope, is “ ‘whether there was one overall agreement among the various parties to perform various functions in order to carry out the objectives of the conspiracy....’” Jabara, 618 F.2d at 1327 (quoting United States v. Kearney, 560 F.2d 1358, 1362 (9th Cir.), cert. denied, 434 U.S. 971, 98 S.Ct. 522, 54 L.Ed.2d 460 (1977). Evidence of prior drug dealings, and association with co-conspirators known to deal in drugs cannot be used to prove that a defendant committed the acts charged if the prior acts are unrelated to the conspiracy. See United States v. Testa, 548 F.2d 847, 851 (9th Cir. 1977); Fed.R.Evid. 404(b). The court correctly instructed the jurors that they also could not infer from such evidence “a propensity to commit the offenses charged.” Id. Moreover, unrelated drug activities are inadmissible as evidence of a defendant’s association with a conspiracy. See United States v. Bosley, 615 F.2d 1274, 1277-78 (9th Cir. 1980); Testa, 548 F.2d at 851-52.
Although the notebook containing the allegedly drug-related terms was probative of Federico’s knowledge of drugs and possible intent to engage in drug trafficking, it is not relevant to prove Federico agreed to engage in the charged conspiracy in the absence of evidence that the notebook related to the sale of the cocaine in question to Gilbert. See Bosley, 615 F.2d at 1277-78 (finding proper a ruling that a prior delivery of cocaine by the defendant outside-the scope of the charged conspiracy was inadmissible to prove the defendant’s association with the conspiracy). The binoculars similarly had no probative value on the question whether Federico conspired to effectuate the delivery of the cocaine to Gilbert.
There are instances where an agreement constituting a conspiracy may be inferred from a concert of action, all the parties working together with a single design for the accomplishment of a common purpose. United States v. Camacho, 528 F.2d 464, 469 (9th Cir.), cert. denied, 425 U.S. 995, 96 S.Ct. 2208, 48 L.Ed.2d 819 (1976). Nevertheless, the acts of the parties must reasonably support a conclusion that the particular defendant in question willfully participated in the unlawful plan with the intent to further some object or purpose of the conspiracy. See Testa, 548 F.2d at 853. The fact that proof of a conspiracy must ordinarily rest on inferences drawn from circumstantial evidence does not relieve the prosecution from showing that each defendant had some knowledge, explicit or implied, of the conspiracy. Miller, 382 F.2d at 586.
The question is whether an agreement to obtain the cocaine and sell it to Gilbert, the conspiracy charged, may reasonably be inferred from the concerted acts of the alleged co-conspirators, Federico and Miller. The indictment charged that Federico, Miller and others had conspired to possess and to distribute approximately one pound of cocaine. It alleged that Federico had participated by discussing the sale of the cocaine to Gilbert with Miller, securing the drug, and giving it to Miller.
The evidence was overwhelming that Miller, at Gilbert’s instigation, arranged to obtain the cocaine and deliver it to Gilbert in Los Angeles. Assuming arguendo that Federico did give the cocaine to Miller during one of his two contacts with him, the record is devoid of evidence establishing that Federico knew that the overall plan *1348was to procure the drugs for delivery to Gilbert. Mere knowledge on the part of the seller that the person who buys a large quantity of drugs from him probably intends to distribute the drug to third persons is not sufficient to sustain the seller’s conviction of conspiracy with the buyer to resell. See Direct Sales Co., 319 U.S. at 709, 63 S.Ct. at 1268; Spanos, 462 F.2d at 1014-17. Moreover, it would ignore the longstanding recognition that the commission of the substantive offense and a conspiracy to commit the substantive offense are separate and distinct offenses. See United States v. Batimana, 623 F.2d 1366, 1370 (9th Cir. 1980).
The acts charged concern a single drug transaction. A single sale of drugs, the getting together to consummate the transaction, without more, does not establish conspiracy. United States v. Izzi, 613 F.2d 1205, 1210 (1st Cir.), cert. denied, 446 U.S. 940, 100 S.Ct. 2162, 64 L.Ed.2d 793 (1980). In Izzi, the court found that the defendant’s delivery of a large quantity of heroin and his presence at a prior meeting with the proposed buyer was not enough to prove that he had knowledge of the common plan and purpose of a large-scale ongoing conspiracy. Id. The vital link — Federico’s knowledge of the admittedly small-scale distribution scheme charged — is similarly not shown by the evidence and cannot reasonably be inferred from it. Id.; Bailey, 607 F.2d at 243-45 (an occasional buyer from a member of a large-scale conspiracy not shown to be a participant); United States v. Harbin, 601 F.2d 773, 784 (5th Cir.), cert. denied, 444 U.S. 954, 100 S.Ct. 433, 62 L.Ed.2d 327 (1979) (single sale to a number of conspirators for their personal use not sufficient evidence of conspiracy); United States v. DeNoia, 451 F.2d 979, 981 (2nd Cir. 1971) (single delivery in transaction planned by others insufficient to sustain conspiracy conviction) (conviction sustained under concurrent sentence doctrine). Cases in which the evidence has been found sufficient are distinguishable by facts from which it would be reasonable to infer knowledge of the object of the charged conspiracy. See, e. g., United States v. Vargas-Rios, 607 F.2d 831, 834-35 (9th Cir. 1979) (knowledge of conspiracy to distribute inferred from defendant’s substantial role in an illegal transaction as chauffeur of the car containing the drug and from his numerous appearances with co-conspirators during the course of negotiations with the prospective buyers); United States v. Thomas, 586 F.2d 123, 127-29 (9th Cir. 1978) (continuing involvement with members of a conspiracy and role as messenger sufficient to show knowledge of conspiracy); United States v. Young, 573 F.2d 1137, 1139 (9th Cir. 1978) (knowing participation inferred from defendant’s meeting with co-conspirator at 1:00 A.M. in a secluded alley after the latter had made several phone calls and immediately before co-conspirator delivered the drugs).
The probable explanation for the fact that the jury did draw the inference that Federico had cocaine in his possession is its possible reliance on Miller’s statements to the effect that he was going to meet with his supplier. As previously stated, those statements were improperly admitted as against Federico. Clearly, the other evidence presented was insufficient to support an inference that Federico had possession of the cocaine in the absence of any evidence that he ever touched the paper bag containing the drug or handed anything to Miller. As the government conceded, at oral argument, despite Miller’s statements about meeting his supplier, Miller may have had the cocaine in the van when he initially arrived at the airport. Thus, it was entirely possible that Miller had exclusive possession of the cocaine at all times.
Even without the exclusion of Miller’s highly prejudicial statements, the evidence was insufficient to support his conviction of possession and distribution of the cocaine.
Circumstantial evidence alone may be sufficient to sustain a conviction even where it does not exclude every reasonable hypothesis consistent with innocence, so long as the jury weighs it against the standard of reasonable doubt. Nelson, 419 F.2d at 1241. Accord, United States v. Grayson, 597 F.2d 1225, 1229 (9th Cir.), cert. denied, *1349444 U.S. 873, 100 S.Ct. 153, 62 L.Ed.2d 99 (1979); see Jackson, 443 U.S. at 319, 99 S.Ct. at 2789. Nonetheless, where the evidence permits either of two rational inferences — one of innocence and the other of guilt — the reasonable-doubt standard requires a finding of innocence. See Grayson, at 1230.
The jury could reasonably infer from the evidence that: (1) Federico met and conversed with Miller during the time between his leaving the motel (having previously stated that he was going to obtain the cocaine from his supplier) and the time he returned and gave the drug to Gilbert; (2) Federico and the passenger in his car were the only persons to have met with Miller during this period; (3) Federico had a prior association with Miller; (4) Federico may have been involved in other drug transactions. Although Federico’s actions may have been suspicious, and he probably had the opportunity to transfer the contraband to Miller, there simply is no evidence in the record that Federico ever had the cocaine in his possession. Federico’s conviction cannot be sustained on mere speculation that he delivered the cocaine to Miller and there is no evidence in the record to support such an inference. It cannot be said that any rational trier of fact could have found Federico guilty of possession of the cocaine beyond a reasonable doubt. Compare United States v. Perez, 491 F.2d 167, 170 (9th Cir.), cert. denied, 419 U.S. 858, 95 S.Ct. 106, 42 L.Ed.2d 92 (1974) (evidence that defendant carried a purse and shopping bag containing large quantities of heroin and handed the purse to her husband who gave the heroin to an officer sustained her conviction for possession and distribution of heroin) with United States v. Camarillo, 431 F.2d 616, 618 (9th Cir. 1970) (presence in a house coupled with knowledge of a drug transaction occurring in another room and association with the seller insufficient to sustain conviction for selling heroin). I would vacate the judgment of conviction of appellant and remand with instructions to dismiss the indictment.