U.S. v. Mora ( 1993 )

[833] Garwood
UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
__________________
No. 92-8438
__________________
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
versus
ALFONSO MORA, JESUS MEDINA,
JUAN TORRES SOSA and RICARDO REYES LIRA,
Defendants-Appellants.
______________________________________________
Appeal from the United States District Court for the
Western District of Texas
______________________________________________
( )
Before GOLDBERG, GARWOOD and WIENER, Circuit Judges.
GARWOOD, Circuit Judge:
Challenging their convictions for drug-related offenses,
defendants-appellants Alfonso Mora (Mora), Jesus Medina (Medina),
Ricardo Reyes Lira (Lira), and Juan Torres Sosa (Sosa) raise issues
of, inter alia, entrapment, discovery abuse, and sufficiency of the
evidence. Mora and Medina contest the district court's assessment
of their sentences, disputing its findings on the amount of
marihuana involved in the offense conduct. We affirm.
Facts and Proceedings Below
Defendants' convictions arise out of a sting operation
conducted by the Drug Enforcement Administration (DEA) in El Paso,
Texas, on March 5, 1992. Shortly before noon on that day, Special
Agent Jack Geller (Geller) of the DEA, acting in an undercover
capacity, met with Medina and Mora at a Carrows Restaurant in El
Paso to negotiate the purchase and delivery of approximately five
hundred pounds of marihuana.
Geller arrived at the restaurant with Roger Russell (Russell),
a confidential informant for the DEA who had introduced him to
Medina in connection with an earlier marihuana transaction which
had fallen through.1 Medina was accompanied by Mora, whom Geller
had not met before. Upon his arrival, Medina took Geller to one
side to apologize for not carrying through with the earlier
transaction. Medina then introduced Geller to Mora. The four men,
Geller, Russell, Medina, and Mora, discussed the mechanics of the
anticipated delivery. Geller offered to provide a vehicle, a Ryder
van, to make the exchange: the defendants were to take the
vehicle, load it with marihuana, and return it to Geller at a
specified time and place. During this conversation, Medina told
Geller that he had seen three thousand pounds of marihuana at the
warehouse which was his source of supply. Medina arranged to meet
Geller again at the Carrows Restaurant at approximately 3:00 that
afternoon to exchange the vehicles; his people did not leave work
1
On February 25, 1992, Geller met with Medina to arrange the
purchase of six hundred pounds of marihuana from Medina. This
exchange did not occur, however, because, according to Russell,
Medina was unable to acquire the marihuana from his source.
2
until that time. Geller gave Medina his pager number in case of
delay.
As planned, Geller met Medina and Mora at the Carrows
Restaurant that afternoon; Russell was not present at this meeting.
Medina informed Geller that his people could not leave work yet.
When Geller hinted at backing out of the transaction, Mora insisted
that they continue with it. Geller gave Medina the keys to the
Ryder van, and Mora tried them out to ensure that they worked.
Geller and Medina, in Mora's presence, agreed upon the place for
the transfer of the marihuana and the money; Medina drew a map for
Geller, who was posing as a buyer from out of town.
Around 5:00 that afternoon, Medina called Geller's pager,
leaving the phone number of a pay phone at a Diamond Shamrock
station. When Geller returned his call, Medina told him that the
transaction was still on, but that his people were experiencing
further delays.
At 7:00 that evening, Russell called Geller to ask him to call
Medina at the same number he had used earlier. When Geller reached
Medina, Medina ensured him that the arrangement was still on but
would be delayed still further. In addition, Medina wanted to
change the structure of the transaction. Medina stated that rather
than deliver the entire five hundred pounds of marihuana in a
single exchange, his people insisted that he deliver only fifty
pounds of marihuana at first; they would deliver the remaining four
hundred fifty pounds after Geller paid for the first fifty. Geller
was reluctant to split the delivery in that manner, and he and
Medina agreed to discuss the problem in person at the Diamond
3
Shamrock station.
Geller met Medina at the station. Medina informed him that
the Mexican Federal Judicial Police owned the three thousand pounds
of marihuana that he had mentioned at the first meeting at Carrows
and that the Mexican Police wanted to deliver the marihuana in two
parts. At Geller's suggestion, Medina attempted to contact his
source, but he was unable to reach them. Geller refused to pay for
fifty pounds of marihuana separately, before receiving the full
five hundred pounds negotiated. Finally, they agreed that Medina's
people would deliver the fifty pounds, place it in Medina's
Corvette, then deliver the remaining four hundred fifty pounds,
whereupon Geller would pay for the entire shipment of five hundred
pounds with a single payment.
Medina paged Geller again shortly before 9:00 that evening;
when Geller returned the call, Medina instructed him to go to the
Stadium Bar, a bar located in a strip shopping center. When Geller
arrived, Medina took him over to the Ryder van which was parked
there and, indicating a box that was visible through the window of
the van, told Geller that the box contained marihuana. Medina
entered the Stadium Bar and returned with Mora, who opened the van.
When Geller entered the van, he smelled marihuana and could see
that the box contained small, flat bricks of marihuana. Mora
insisted that he pay for the fifty pounds before they would
continue with the transaction. When Geller realized that the
remaining marihuana would not be delivered without prior payment
4
for the first fifty pounds, he gave the arrest signal.2
Surveillance conducted throughout the day revealed defendants'
involvement in the transaction. El Paso Police Detectives Manuel
Figueroa (Figueroa) and Luis Marquez (Marquez),3 both working with
the DEA Task Force, surveilled the meeting at Carrows and upon its
conclusion followed Medina and Mora, who were in a white Volkswagen
Rabbit.4 Figueroa and Marquez dropped off their tail when Joe
Zimmerly (Zimmerly), a detective for the El Paso Police Department,
took over and followed Medina and Mora to the Best Buy Tortilla
Factory. Zimmerly observed Medina enter the factory and return
about five minutes later. Evidence at trial showed that Sosa and
Lira worked at that factory.
Figueroa and Marquez surveilled the 3:00 p.m. meeting at
Carrows. After the meeting ended, they followed the Ryder van,
which Mora was driving, to the shopping center where the Stadium
2
Geller did not want to pay for the fifty pounds of marihuana
for security reasons: the agents would have had to maintain
surveillance over the money as well as continue to monitor the
defendants' activities and provide protection for Geller as the
undercover officer.
3
We note that the Justice Department has informed us (and
counsel for appellants), by letter dated April 23, 1993, that
Detective Marquez "was recently indicted" for conspiring to
possess a quantity of marihuana with the intent to distribute it,
contrary to 21 U.S.C. §§ 841 and 846. There is nothing to
demonstrate that his indictment affects resolution of the issues
raised in this appeal. The April 23 letter observes that "to the
extent that any of the defendants believe that the newly
discovered evidence affects the judgments below, it would be
appropriate for a motion to be brought in the first instance in
the district court under Federal Rule of Criminal Procedure 33."
None of the appellants have filed any response in this Court to
the Justice Department's April 23 letter.
4
Several times later in the day, the agents spotted the
Rabbit parked at Medina's residence at 11803 Prado Del Sol.
5
Bar is located. Later in the afternoon, the agents saw Mora and
Medina near Medina's house on Prado Del Sol in the white Volkswagen
Rabbit.
Around 6:00 p.m., Figueroa and Marquez noticed a white Ford
pickup truck arrive at Medina's house; two men got out and went
inside the house. The truck was registered to Lira's wife. The
men in the pickup truck left and came back after a short time.
Around 6:30 p.m., the men left again in the white Ford pickup
truck; the agents followed the truck to a Good Time store where
they observed a man later identified as defendant Sosa making a
telephone call. Around the same time, the detectives saw Medina
leaving his house in a blue Corvette; they followed him to the Good
Time store where Medina got out and met with Sosa.
About 7:10 that evening, Zimmerly, who had been watching the
Ryder van for about four hours that afternoon and evening, saw the
white Ford pickup park behind the van. He could not identify the
occupants. He observed a person get out of the pickup truck and
drive off in the van. Zimmerly followed the van until other agents
took over the surveillance. He later drove by the parked van and
observed a meeting of two men by the van about 7:35 p.m.
Ron Ayers, a Special Agent with the Immigration Service
attached to the DEA Task Force, began his involvement with the
surveillance of the defendants around 6:00 in the evening. At 8:30
p.m., Ayers relieved another surveillance team watching the van.
He saw a gray pickup truck pull up behind the van. One defendant,
later identified by Ayers as Mora, was in the van; two other men
were in the gray pickup truck. When Ayers had established his
6
surveillance position, the three men were standing between the van
and the pickup truck. One man stood between the bumpers and looked
around, one opened the side door of the van, and the third went to
the pickup truck and took something from the front seat. The third
man walked to the van and put the object he was carrying inside the
van and closed its door. The men met once again between the
vehicles. One man got back in the van and drove off; the other two
men got into the pickup, waited for a few minutes, and then
followed the van.
Ayers followed the vehicles, attempting to get the license
plate number of the gray pickup truck. At a stoplight, he was able
to identify Mora as the driver of the van. Agents maintained
constant surveillance of the vehicles until they reached the
parking lot of the shopping center. Ayers briefly broke off
surveillance trying to set up in the parking lot. As he monitored
radio traffic, he saw Lira and Sosa walking back to the pickup
truck and position themselves at an angle looking toward where Mora
had parked the van. Ayers testified that he knew the identities of
the men who met in the parking lot to load the box with marihuana
in the van, not because he could see them clearly at the time, but
because he saw Mora at the stoplight and later saw Lira and Sosa
exit the pickup truck and because he and other agents maintained
continuous surveillance from the time the men met and loaded the
box into the van until the time they got to the shopping center.
Figueroa and Marquez were also present at the Stadium Bar to
provide support for the exchange. When Geller gave the arrest
signal, Figueroa and Marquez moved in and arrested the men who were
7
in the gray pickup that had followed the van to the location; the
pickup truck was registered to Sosa's wife. Figueroa arrested
Sosa, who was in the driver's position in the pickup truck.
Marquez arrested Lira, the other occupant of the gray pickup truck.
Following the arrest, Figueroa glanced inside the pickup truck and
noticed a weapon underneath the edge of the seat, as though it had
fallen forward. The weapon was a loaded 22-caliber semiautomatic
hand gun. No fingerprints were lifted from the gun.
Approximately fifty-two pounds of marihuana were seized from
the van.
All four defendants were indicted on two counts: (1)
conspiracy to possess, with intent to distribute, marihuana; and
(2) possession and aiding and abetting the possession of marihuana
with intent to distribute it. 21 U.S.C. §§ 841, 846. In addition,
Sosa was charged in count three with the use of a firearm during
and in relation to a drug trafficking crime. 18 U.S.C. §
924(c)(1). The government gave notice of its intent to seek an
enhanced penalty for conspiracy to possess with intent to
distribute more than one hundred kilograms of marihuana.
The defendants were convicted of all counts, as charged, in a
two-day jury trial, which concluded July 2, 1992. A presentence
report (PSR) was prepared for each defendant. The probation
officers preparing the reports applied the enhanced penalty
provisions to Medina and Mora, on the grounds that those two
defendants participated in the negotiations for the delivery of
five hundred pounds of marihuana. The probation officers
concluded, however, that Sosa and Lira could be held responsible
8
only for the fifty-two pounds actually delivered, as there was
insufficient evidence to demonstrate their active participation in
the negotiations for the larger amount. The resulting base offense
levels calculated under the United States Sentencing Guidelines
were 26 for Medina and Mora, and 18 for Sosa and Lira.5 The
district court denied defendants' objections to the PSRs and
sentenced them in accordance with the recommendations of the
probation officers.
Discussion
On appeal, Medina and Mora challenge their convictions on the
grounds that the government failed to provide them proper discovery
material. They also claim that they were deprived of a fair trial
by the government's failure to produce the confidential informant
for trial, that they were the victims of outrageous government
conduct, and that they were entrapped. Finally, they contend that
the district court erred in sentencing them based upon five hundred
pounds of marihuana rather than the fifty pounds which were
actually delivered.
Sosa and Lira contest the sufficiency of the evidence
supporting their convictions for conspiracy and possession of
marihuana; in addition, Sosa challenges the sufficiency of the
5
No adjustments were made for either Medina or Mora; their
offense levels were 26, with criminal history categories of I.
Sosa's base offense level was lowered by two points for a minor
role in the offense, and by a further two levels for acceptance
of responsibility, yielding a base offense level of 14 and a
criminal history category of III. Lira's base offense level was
raised two levels due to the presence of the gun found in the
pickup; this increase was negated by a decrease of two levels for
a minor role in the offense. Lira's resulting offense level was
18, with a criminal history category of IV.
9
evidence supporting his firearm conviction and joins Medina and
Mora in complaining of discovery abuse by the government.
I. The Confidential Informant
Because several of the defendants' claims on appeal stem from
the involvement in the investigation of Russell, the confidential
informant, some background information concerning Russell's
connections with the defendants and the DEA is appropriate.
Russell and Medina were acquainted prior to the onstart of the
DEA investigation. Medina worked for an insurance company and
established a business relationship with Russell, who ran a
business which provided medical reports for insurance companies.
The two men later developed a social relationship.
According to Medina, who testified at trial, in return for
some help with veterans benefits, Russell asked Medina to help him
out with some financial problems by participating in some drug
transactions. Medina testified that Russell confronted him three
times in December 1991 and began to use threats to force him to
sell drugs.6 Russell told Medina about a millionaire friend in
Dallas who was a drug kingpin, who would send someone to kill
Medina if he did not cooperate. Medina asked Mora, who was his
roommate at that time, to listen in on the conversations when
Russell came by the house and threatened him. Medina also
testified that when he refused to answer the pager Russell had
6
Medina testified that Russell told him he knew too much,
saying, "Look, Jessie, you better think about what I'm doing,
because if you don't things could get really nasty for you."
Other threats included: "Jesse, I can get you taken care of," and
"I will have you killed."
10
given him, Russell sent an employee to Medina's house to warn him
to answer the pages.
Medina and Mora attempted to establish at trial that, although
they were not predisposed to commit any offense, Russell had
threatened them into participating in marihuana trafficking in
order to solve his financial problems. They alleged that Russell
was to be paid a percentage of the value of any property seized
during the investigations for which he was the confidential
informant, and that he pressured them into participating in the
transaction and tried to ensure that the transaction entailed a
large amount of marihuana in order to reap the largest profit
possible.7
II. Entrapment
On the strength of the above evidence, adduced primarily
through their own testimony, Medina and Mora claim that they
established the defense of entrapment as a matter of law. The
government did not attempt to directly counter the defendants'
testimony, and Russell was not present at trial to give his side of
the story. The jury, which was fully charged on entrapment,
rejected the defense and found defendants guilty.
7
Detective Figueroa, who as the case agent in this
investigation was in charge of Russell, did not remember telling
Russell that he would receive a percentage of any property
seized, although he acknowledged that such an arrangement was
possible in some situations. Detective Marquez testified that he
never told Russell that he would be paid ten percent of anything
seized. According to Figueroa, as well as documents provided to
the district court by the government, Russell was paid a total of
$600 for his work with this investigation.
Figueroa instructed Russell in the basics of being a
confidential informant. He also told Russell he could not break
any laws, and Russell signed a document to this effect.
11
Because the jury did not accept their defense, we review this
claim under the same standard as that which applies to the
sufficiency of the evidence. See United States v. Morris, 974 F.2d
587, 588 (5th Cir. 1992).
The entrapment defense involves an analysis of two factors:
(1) inducement by the government; and (2) the defendants'
predisposition, before any contact with government agents, to
commit the crime charged. United States v. Arditti, 955 F.2d 331,
342 (5th Cir.), cert. denied, 113 S. Ct. 597 (1992). Although the
government has the burden of proving that the defendants were
predisposed to commit the offense, the defendants must first make
a prima facie showing of entrapment by presenting some evidence
that actions by the government created a substantial risk that an
offense would be committed by a person not ready to commit it. Id.
(quoting United States v. Johnson, 872 F.2d 612, 621 (5th Cir.
1989).
Generally speaking, a defendant's testimony cannot by itself
establish entrapment as a matter of law because, absent unusual
circumstances, the jury is almost always entitled to disbelieve
that testimony. Masciale v. United States, 78 S. Ct. 827, 829
(1958) (jury was entitled to disbelieve defendant's uncontradicted
testimony as to his persuasion by informant who did not testify;
hence jury could reject entrapment defense even though raised by
defendant's testimony). The jury was entitled to, and indeed
apparently did, disbelieve Medina's and Mora's descriptions of
Russell's behavior. Although the government did not introduce any
evidence directly contradicting their story about Russell's
12
threats, there was other evidence which cast doubt on the
defendants' credibility. Medina denied ever having any discussions
with Agent Geller, which was contradicted by Geller's testimony.
And, Medina's testimony exculpating Sosa and Lira was contradicted
by a wealth of circumstantial evidence. Mora and Medina
contradicted each other as to whether Medina discussed delivery of
marihuana with Geller. Moreover, neither Medina nor Mora, who is
Medina's cousin, went to the police about the threats by Russell,
even though Medina's brother is a chief of police in New Mexico.
The evidence revealed that Medina had the ability to procure
marihuana on his own from suppliers of considerable quantity. In
addition, Russell and Medina were acquainted prior to the onstart
of the investigation; Russell did not initiate their relationship
in connection with his role as a confidential informant. Further,
neither Medina nor Mora ever expressed any reservations to Geller
about the transaction or Russell. On one occasion when Medina was
under the impression that Geller was mad at him, Geller reassured
him that everything was fine.8 When Geller mentioned not going
through with the transaction, Mora urged him to continue.
8
During one of the phone calls between Medina and Geller on
March 5, Medina told Geller:
"``Why are you so mad? Why are you so -- why are you so
pissed off at me?' I said, ``I don't know what you're
talking about.' He said, ``Roger' -- referring to Roger
Russell -- ``called and said that you were all pissed at
me and you're all mad about something.' I said, ``I
haven't even talked to him. I have no idea what you're
talking about. I'm not mad.' . . . I remember telling
him, ``Why would I be mad? In fact, I'm happy that you
called because you're letting me know what's going on,
so I'm not mad at all at you. Just ignore what he says
to you.'"
13
The active, enthusiastic participation on the part of the
defendants is enough to allow the jury to find predisposition. See
United States v. Hudson, 982 F.2d 160, 162 (5th Cir. 1993),
petition for cert. filed, (April 21, 1993) ("It is well established
that a defendant's enthusiasm for the crime can satisfy the
predisposition requirement."); Arditti, 955 F.2d at 343 (willing
and active participation, with no overwhelming evidence of serious
resistance, sufficient to find predisposition); United States v.
Johnson, 872 F.2d 612, 621 (5th Cir. 1989) (initiation of scheme by
government did not preclude finding of predisposition where
defendant took active and enthusiastic part in the plan).
At no time during the day of March 5th did Medina and Mora
resist participating in the proposed transaction. Although they
proposed changes in the mechanics of the delivery of the marihuana,
they did not express any reluctance to procure the marihuana for
Geller; indeed, Mora objected when the possibility arose that
Geller would not continue with the transaction. When Medina
contacted Geller concerning the delays he was experiencing with his
people, he apologized for the wait and arranged new meeting times
rather than taking advantage of the delays as an opportunity to
withdraw. Moreover, when Geller would not assent to the proposed
delivery of the marihuana in two stages, Medina met with him in
person to try to reach an agreement, attempted to contact his
source to discuss the problem with them, and eventually agreed to
try a compromise proposed by Geller.
Faced with this evidence of participation, the jury could
certainly reject the defendants' testimony (including that as to
14
Russell's threats) and find beyond a reasonable doubt that they
were predisposed to commit the offenses.9
III. Discovery Claims
Medina, Mora, and Sosa complain that the government failed to
comply with the discovery orders of the district court and disclose
notes taken by government agents during conversations with Russell.
The district court determined, after an in camera review, that the
notes were not discoverable.10
The district court's decisions in overseeing the discovery
process are entitled to great deference on appeal. Alleged errors
are subject to review under an abuse of discretion standard; we
will reverse only if the defendants establish prejudice to their
substantial rights. United States v. Singer, 970 F.2d 1414, 1418
(5th Cir. 1992).
At the beginning of the proceedings in the district court, the
court issued a standing discovery order directing the government to
9
We also reject defendants' claims of outrageous government
conduct. In order to establish such a claim, defendants must
prove not only government overinvolvement in the charged crime,
but also that they were not active participants in the criminal
activity. Arditti, 955 F.2d at 343. Because there was
overwhelming evidence, including their own admissions, of
defendants' participation, the district court did not err in
dismissing this claim.
10
In its order denying defendants' motions for new trial,
etc., the district court stated that
"the Government complied with the discovery orders in
this case, although a more efficient and expeditious
compliance is encouraged. However, the Government's
conduct was not a ``textbook example of outrageous
government conduct' as Defendant JESUS [MEDINA] opines.
Further, the Court reviewed, in camera, many materials
before and during the course of the jury trial.
Defendants received all essential discovery materials."
15
disclose all material required under FED. R. CRIM. P. 16, the Jencks
Act (18 U.S.C. § 3500), and Brady v. Maryland, 83 S. Ct. 1194
(1963). Medina moved for additional discovery relating to Russell,
the confidential informant. The motion was heard by a magistrate
who granted defendant's request and ordered the government to
deliver to Medina any documents concerning Russell, as well as
information about law enforcement officers who had contact with
Russell and material on Russell's prior criminal history. The
government moved to modify the magistrate's order to restrict its
scope to information concerning Russell's involvement with the
instant case or with defendant Medina. The district court granted
the government's motion and modified the magistrate's order
accordingly. In considering the government's motion, the district
court had inspected information provided by the government in
camera and determined that the information was not relevant to the
case and need not be revealed to the defendants.
Defendants continued to contend before and during trial that
the government had not complied with the district court's discovery
order. Again during trial the district court inspected materials
provided by the government in camera; it orally provided some
information from those materials to the defendants and then
informed them that the materials were not discoverable.
Specifically at issue in the defendants' requests were field
notes taken by some of the DEA agents concerning their contacts
with Russell.11 Neither the district court's discovery orders nor
11
The only notes at issue were those taken by Detective
Figueroa, who stated that he made notations of names of people
16
the magistrate's order required disclosure of field notes per se.
The documents relating to Russell listed in the magistrate's order
included "[a]ll memoranda, recordings, letters, receipts, vouchers,
transcripts, reports of investigation, statements, or any other
documents."
To fall within the scope of the magistrate's order, the notes
must be able to be categorized as "statements," as they do not fall
within any other described document. The Jencks Act defines
"statement" to mean "a written statement made by [a government
witness] and signed or otherwise adopted or approved by him;" or a
recording or transcription of an oral statement or grand jury
testimony. 18 U.S.C. § 3500(e) (emphasis added). The district
court agreed with the government that the notes did not constitute
a statement. This determination is subject to reversal only if
clearly erroneous. United States v. Roemer, 703 F.2d 805, 807 (5th
Cir.), cert. denied, 104 S. Ct. 341 (1983).
Figueroa's notes consist of names of persons provided by
Russell; they are scattered jottings, not a formal memorandum or
report. Figueroa did not sign them, and nowhere is there any
indication that he has adopted them as a statement. We hold that
these notes were not discoverable statements within the coverage of
the Jencks Act. See United States v. Ramirez, 954 F.2d 1035, 1038
(5th Cir.), cert. denied, 112 S. Ct. 3010 (1992); Roemer, 703 F.2d
at 806-807.
Although the notes are not subject to disclosure under the
given him by Russell. Marquez testified at trial that he did not
take notes of his conversations with Russell.
17
Jencks Act, fundamentals of due process require the government to
produce them if the evidence they contain is exculpatory or would
be of value in impeaching government witnesses. Giglio v. United
States, 92 S. Ct. 763 (1972); Brady v. Maryland, 83 S. Ct. 1194
(1963). Uncertain whether the notes were exculpatory or of
impeachment value, the government properly submitted them to the
district court for in camera inspection. Pennsylvania v. Ritchie,
107 S. Ct. 989, 1002-03 (1987).
The district court examined the documents in camera and
concluded that nothing was discoverable. We have reviewed the
materials and determine that this decision was not clearly
erroneous.12 In addition, the defendants were able to recall
Figueroa to question him regarding some of the apparent
discrepancies between his earlier testimony and the information
provided by the district court from the materials it had reviewed
in camera. No reversible error has been demonstrated in this
connection.
IV. Production of Confidential Informant
Mora and Medina claim that the government's failure to produce
Russell at trial deprived them of their confrontation and due
process rights. When the presence of a confidential informant is
12
The materials submitted by the government to the district
court, sealed in the record for review on appeal, consist
primarily of notebooks used by Detective Figueroa to record
information in the form of the names, addresses, and other
pertinent statistics of persons subject to investigation. Most
of the information concerns separate investigations and has no
bearing on the instant case. The information which is relevant
to this case is in the form of notes of the events of March 5,
1992, which are consistent with Figueroa's testimony.
18
required at trial, the government must make a reasonable effort to
produce him. Fitzpatrick v. Procunier, 750 F.2d 473, 476 (5th Cir.
1985).
Although Mora suggests that the government was responsible for
Russell's disappearance, there is no evidence of this in the record
nor any indication that the government impeded attempts to locate
Russell. Figueroa testified that he looked for Russell at
Russell's home and place of business; there was no indication at
either place of Russell's whereabouts. Russell's former roommate
and lover did not know where he had gone. The district court
subpoenaed Russell, at the request of Medina, but even this measure
failed to secure his presence at trial.
This confidential informant was not unknown to the defendants.
Indeed, Russell's relationship with Medina predated the DEA
investigation. Medina may have known more about Russell than the
government did; Medina's testimony at trial revealed that he had
Russell's home phone number, mobile number, and pager number. In
addition, defendants knew where Russell lived and were able to
locate his roommate to testify at trial on their behalf.
The government's attempts to find Russell at his house and
place of business were reasonable.
V. Cross-Examination of Agent Geller
Mora and Medina contend that the district court abused its
discretion in not allowing them to cross-examine Geller on issues
concerning the enhanced penalty provisions, in an attempt to attack
Geller's credibility on the amount of marihuana to be delivered.
The district court retains a "wide latitude" to impose reasonable
19
restrictions on cross-examination within the context of the
confrontation clause. Delaware v. Van Arsdall, 106 S. Ct. 1431,
1435 (1986). In light of the fact that the amount of marihuana
involved is not an element of the offense, but only an issue
relevant to sentencing, there was no abuse of discretion.
VI. Sufficiency of the Evidence
Upon a claim of insufficient evidence to support a conviction,
this Court reviews the evidence, whether direct or circumstantial,
and all the inferences reasonably drawn from it, in the light most
favorable to the verdict. United States v. Salazar, 958 F.2d 1285,
1290-1291 (5th Cir.), cert. filed, 113 S. Ct. 185 (1992).
A. Marihuana charges
Sosa and Lira argue that there was insufficient evidence to
convict them of the conspiracy and possession charges. They insist
that they were merely in the wrong place at the wrong time. Medina
testified that he met Sosa and Lira in connection with some
plumbing work that Sosa wanted Mora, Medina's roommate, to do for
him and that this was the reason the two men had come to his house
on March 5, 1992.
Sosa's and Lira's argument ignores the testimony of Special
Agent Ayers, who observed two men from a pickup truck meet with the
driver of the Ryder van, load a box into the van, and then drive to
the Stadium Bar. By maintaining a constant surveillance of the two
vehicles, the DEA agents were able to identify Mora, Sosa, and Lira
as the three men who had met to load the marihuana. Once Sosa and
Lira reached the parking lot of the Stadium Bar, they moved their
pickup truck into a position where they had a good view of the van.
20
A reasonable jury could infer that Sosa and Lira knew the contents
of the box they loaded into the van, based upon the testimony of
Special Agent Geller who stated that the marihuana was unsealed and
that he could smell the marihuana in the van.
Based upon this evidence, a reasonable jury could find that
Sosa and Lira were part of the conspiracy to sell marihuana to
Geller and that they possessed marihuana with the intent to deliver
it.
B. Gun count
Sosa's conviction of use of a firearm during and in relation
to a drug trafficking offense, a violation of 18 U.S.C. section
924(c)(1), stems from Detective Figueroa's discovery of the 22-
caliber semi-automatic hand gun beneath Sosa's seat in the pickup.
The gun was loaded and functioning. Sosa contends that there is no
evidence that he had actual or constructive possession of the gun;
no fingerprints were discerned on the gun, and its ownership could
not be traced.
There was other evidence, however, which could link the gun to
Sosa. The gun was under his seat in the pickup truck, and it had
shifted in such a way as to be visible under the edge of the seat.
The jury could infer from the fact that the gun was sticking out
from under the seat that Sosa knew of its presence. The pickup
truck was registered in his wife's name, but she could not drive it
because it was a standard shift. When his wife had looked in the
truck a week before the arrests on March 5, she had not seen a gun
in it.
The government asserts that the evidence supports the jury's
21
finding that Sosa "used" the gun in relation to the delivery of
marihuana under the broad interpretation given U.S.C. section
924(c)(1). Conviction under this section "'does not depend on
proof that the defendant had actual possession of the weapon or
used it in any affirmative manner [but only that] the firearm was
available to provide protection to the defendant in connection with
his engagement in drug trafficking.'" United States v. Ivy, 973
F.2d 1184, 1189 (5th Cir. 1992), cert. denied, 113 S. Ct. 1826
(1993) (quoting United States v. Raborn, 872 F.2d 589, 595 (5th
Cir. 1989)). See also United States v. Caldwell, 985 F.2d 763, 765
(5th Cir. 1993) ("a defendant can violate § 924 where the weapon
could have been used to protect, facilitate, or have the potential
to facilitate drug trafficking") (emphasis added).
It is clear that the law in this Circuit does not require that
the firearm be actually brandished or fired or even visibly present
in order for the evidence to sustain a section 924(c) conviction.
See, e.g, United States v. Beverly, 921 F.2d 559, 562-563 (5th
Cir.), cert. denied, 111 S. Ct. 2869 (1991) (revolvers found under
mattress in room containing cocaine sufficient); United States v.
Molinar-Apodaca, 889 F.2d 1417, 1424 (5th Cir. 1989); United States
v. Coburn, 876 F.2d 372, 375 (5th Cir. 1989).
A jury could infer from the presence of the gun, loaded, at
the edge of the driver's seat, and from the position of the pickup
truck in a place to monitor the activity around the Ryder van
containing the marihuana, that Sosa knew of the presence of the gun
and that he was present at the site of the delivery to provide
backup for Medina and Mora, an activity enhanced by the gun's
22
presence.
VII. Amount of Marihuana for Sentencing Purposes
We will uphold a sentence imposed under the Sentencing
Guidelines so long as it is the result of a correct application of
the Guidelines to factual findings which are not clearly erroneous.
United States v. Alfaro, 919 F.2d 962, 964 (5th Cir. 1990).
Medina and Mora challenge the district court's determination
that their offenses involved five hundred pounds of marihuana
rather than only the fifty pounds which were actually delivered to
Agent Geller. Medina testified that his source for the marihuana
was someone he met in a bar, and that it was only fifty pounds. He
denied ever claiming to have seen three thousand pounds in a
warehouse or ever telling Russell he would get five hundred pounds
for him. Mora stated that Medina's discussions with Geller were
only for fifty pounds, not five hundred.13 In contrast, Geller
testified that the negotiations were for five hundred pounds and
that a transaction involving only fifty pounds would not be enough
to justify the time and manpower required for such a sting
operation.
Mora and Medina contend that the district court did not make
findings of facts, as required by FED. R. CRIM. P. 32(c)(3)(D) and
U.S.S.G. section 6A1.3, to explain its resolution of disputed facts
regarding the amount of marihuana involved in the offense.
The district court may accept the facts set forth in the PSR
13
Mora's testimony contradicts that of Medina, who claimed
that he never discussed anything concerning the delivery of
marihuana with Geller but only with Russell.
23
even when these facts are disputed. United States v. Rodriguez,
897 F.2d 1324, 1327-1328 (5th Cir.), cert. denied, 111 S. Ct. 158
(1990). This Court has held that a defendant is generally provided
adequate notice of the district court's resolution of disputed
facts when the court merely adopts the findings of the PSR. United
States v. Mueller, 902 F.2d 336, 347 (5th Cir. 1990).
The district court considered and expressly denied defendants'
objections to the PSR, including their argument that the offense
involved only fifty-two pounds of marihuana. In denying the
objections, the court implicitly relied upon the recommendation of
the PSR. In addition, in its judgment, the court made clear that
it adopted the findings of the PSR. This was a sufficient
determination that the object of the conspiracy was the delivery of
five hundred pounds of marihuana.
Defendants urge that we also consider the district court's
alleged failure to determine not only the amount of marihuana which
was the subject of the negotiations, but also whether the
defendants intended to deliver, and were capable of delivering,
that amount of marihuana. U.S.S.G. section 2D1.4 (1991) provides
that if a defendant is convicted of a conspiracy involving a
controlled substance, the offense level shall be the same as if the
object of the conspiracy had been completed.14 The commentary
qualifies this language, however, by providing that
14
The 1992 amendments to the Guidelines place the substance of
2D1.4 and its commentary in Application Note 12 to section 2D1.1.
Although no substantive change occurred with this amendment, we
apply the prior version of the Guidelines which was in effect
both when the defendants committed the offense and when they were
sentenced.
24
"where the court finds that the defendant did not intend
to produce and was not reasonably capable of producing
the negotiated amount, the court shall exclude from the
guideline calculation the amount that it finds the
defendant did not intend to produce and was not
reasonably capable of producing." Application Note 1,
U.S.S.G. § 2D1.4 (1991).
Neither Mora nor Medina raised this issue before the district
court. In their objections to the PSR, both written and at the
sentencing hearing, their focus is entirely on the amount of
marihuana which was the subject of the negotiations; they do not
contend that they never intended to deliver the negotiated amount
nor that they were unable to do so.
Because the defendants have failed to raise this objection
below, any failure of the district court to make explicit findings
on this issue must be reviewed for plain error. Plain error is
"'error so obvious that [this Court's] failure to notice it would
seriously affect the fairness, integrity, or public reputation of
[the] judicial proceedings and result in a miscarriage of
justice.'" United States v. Surasky, 974 F.2d 19, 21 (5th Cir.
1992), cert. denied, 113 S. Ct. 1948 (1993) (quoting United States
v. Lopez, 923 F.2d 47, 50 (5th Cir.), cert. denied, 111 S. Ct. 2032
(1991)).
Where a defendant has disputed his intent or capability to
deliver the amount of a controlled substance under negotiation, the
sentencing court should make a finding on that issue. United
States v. Stevens, 985 F.2d 1175, 1183 (2d Cir. 1993). In the
absence of some objection by the defendant, either oral or written,
however, the district court is not required to anticipate a dispute
25
over intent or ability.15 Moreover, there was sufficient evidence
at trial, primarily in the form of Agent Geller's testimony, to
support findings on amount, intent, and ability.16
The district court did not commit plain error by not making a
finding on the issues of intent and ability.
Conclusion
For the reasons stated above, the convictions and sentences of
the defendants are
AFFIRMED.
15
In finding that the district court had no duty to foresee
the issues of intent and capability in this case, we place the
burden on the defendants to raise these issues below. This
burden is not a burden of proof. Because we find that the
defendants did not adequately meet their burden of raising these
issues in a timely manner, we do not reach the question of
whether the defense or the government would bear the burden of
proving (or disproving) intent and capability, a question which
has received disparate treatment among other circuits. Compare
United States v. Barnes, No. 91-50421, 1993 U.S. App. LEXIS 11153
(9th Cir. May 17, 1993) (defendant bears burden); United States
v. Candito, 892 F.2d 182, 186 (2d Cir. 1989) (same, implicit);
United States v. Christian, 942 F.2d 363, 368 (6th Cir. 1991),
cert. denied, 112 S. Ct. 905 (1992) (same); with United States v.
Bradley, 917 F.2d 601, 604-605 (1st Cir. 1990) (burden on
government); United States v. Richardson, 939 F.2d 135, 142-143
(4th Cir.), cert. denied, 112 S. Ct. 599 (1991) (same, implicit);
United States v. Ruiz, 932 F.2d 1174, 1183-1184 (7th Cir.), cert.
denied, 112 S. Ct. 151 (1991) (same).
16
Geller testified that the negotiations concerned five
hundred pounds of marihuana, that Medina claimed to have access
to three thousands pounds of marihuana, and that both Medina and
Mora made efforts to keep the transaction alive when he expressed
displeasure with delays and proposed changes in the delivery.
26