United States v. Bell, 10th Cir. (1998)
United States v. Bell, 10th Cir. (1998)
United States v. Bell, 10th Cir. (1998)
TENTH CIRCUIT
UNITED STATES OF AMERICA,
v.
Plaintiff - Appellee,
Nos. 97-6164
and 97-6167
The opinion filed in this appeal on July 28, 1998, is amended to reflect a
revision on page 11, lines two and three, of the courts slip opinion. A copy of
the amended opinion is attached.
The mandate shall issue forthwith.
Entered for the Court
Patrick Fisher, Clerk of Court
By:
Keith Nelson
Deputy Clerk
F I L E D
PUBLISH
SEP 4 1998
PATRICK FISHER
TENTH CIRCUIT
UNITED STATES OF AMERICA,
v.
Plaintiff - Appellee,
Clerk
Nos. 97-6164
and 97-6167
841(a)(1) and 846. In this consolidated appeal, 1 Bell contends that the
evidence was insufficient to support his conviction. He also contends that,
because his conviction was based on a general jury verdict which failed to specify
the object of the conspiracy (i.e., whether the conspiracy involved cocaine powder
or whether it involved cocaine base), it must be reversed and the case must be
remanded for a new trial. Alternatively, he contends that his sentence must be
vacated, and that he must be resentenced under the assumption that the conspiracy
involved only cocaine powder. We affirm.
BACKGROUND
On May 21, 1996, Bell was indicted on one count of conspiracy to possess
with intent to distribute and to distribute cocaine powder and cocaine base,
crack, a Schedule II Controlled substance, in violation of Title 21, United
States Code, Section 841(a)(1). R. Vol. I, Tab 5/21/96 2 at 2. As required by 21
U.S.C. 851, the government filed an information to establish Bells prior felony
Bell filed two Notices of Appeal, each of which received a separate case
number; subsequently, the clerks office consolidated the cases.
1
The documents in this record volume are not uniformly numbered and
tabbed. Several documents are designated with tabs that specify only the date
they were filed; others are designated with tabs that specify numbers
corresponding to the docket numbers for this case.
2
-2-
-3-
dealers. Id. at 81-82. Although both Pierce and the prosecutor occasionally
referred simply to the drugs which where being distributed and sold in Pierces
apartment, when the prosecutor specifically asked, what drug . . . are you talking
about, Pierce answered, Crack cocaine. Id. at 87.
Apparently, Bell returned to California sometime in May 1995 and did not
come back to Oklahoma. However, after he left, he made several long distance
collect calls to Pierces apartment, to direct others to pick up drugs for transport
back to Oklahoma. On one occasion at the end of July, Bell called to ask Pierce
to fly to California to pick up a certain amount of drugs. Id. at 89. On at least
four or five other occasions, he called the apartment and asked to speak to other
dealers, generally E. T. or Nino. Id. at 105. During those calls, he would often
ask E. T. to fly back and pick up a certain amount of crack cocaine, to bring
back to Oklahoma. Id. Although Pierce was not a party to those conversations,
after the conversation ended, E. T. would generally tell the others about the
conversation and ask if anyone wanted to go in on the deal. 4 Id.
Taleno Bowens (Nino), one of Bells codefendants who had pleaded
guilty to the conspiracy charge prior to trial, also testified for the government.
Pierce also testified to receiving a mailed box which contained a coffeepot
filled with powder cocaine. R. Vol. III at 80. However, neither that shipment of
cocaine powder nor any other amounts of cocaine powder were quantified or
attributed to Bell for sentencing purposes. See R. Vol. V; R. Vol. I, Tab 118 at 4,
and discussion infra.
4
-4-
Bowens testified that he made his living selling crack cocaine, which he
purchased from Bell and the other codefendants. Id. at 110. According to his
undisputed testimony, on at least ten occasions, he purchased $200 quantities (six
grams) of crack cocaine from Bell, and he purchased $500 quantities (thirteen
grams) from Bell at least six times. Id. at 110-11, 115. Moreover, on two
separate occasions Bell fronted Bowens two ounces of crack cocaine on credit.
Id. at 115, 127. The street value of the fronted crack was at least $4800, id. at
118, and after Bowens sold the fronted crack, he paid Bell a total of $4000 for it.
Id. at 127. Bowens also testified to seeing Bell with twelve ounces of crack
cocaine taped to his body. Id. at 111.
Following Bells conviction, a Presentence Investigation Report (PSR)
was prepared. See R. Vol. V. Based on the quantity of drugs involved (340.2
grams of cocaine base), the filed PSR sets Bells offense level at 34, and then
adds 2 points for possession of a firearm, for a total offense level of 36, and it
sets Bells criminal history category at VI. 5 See id. 19, 20, 39. In the
Apparently the originally prepared PSR held Bell accountable both for the
twelve ounces of crack that Bowens saw taped to Bells body and also for the
quantities of crack which Bowen purchased from Bell. However, in his
Objections to Presentence Report, R. Vol. I, Tab 100 at 2-3, Bell contested the
inclusion of both drug quantities, contending that:
5
We presume the probation officer conceded the argument, since the filed
PSR, which was used at the sentencing hearing and which indicates that it is a
revised version, holds Bell accountable for only the twelve ounces (340.2 grams)
of crack cocaine which Bowens saw taped to Bells body. See R. Vol. V, 5-14.
-6-
DISCUSSION
A. Sufficiency of the Evidence
Bell contends that the evidence was insufficient to support his conviction
for conspiracy. Sufficiency of the evidence presents a question of law which we
review de novo. United States v. Wilson, 107 F.3d 774, 778 (10th Cir. 1997).
We will affirm if the evidence and reasonable inferences drawn therefrom, viewed
in the light most favorable to the government, would allow a reasonable jury to
find the defendant guilty beyond a reasonable doubt. United States v. Johnson,
130 F.3d 1420, 1428 (10th Cir. 1997), petition for cert. filed, (U.S. Apr. 1, 1998)
(No. 97-8558). In examining the evidence, we consider the collective inferences
drawn from the evidence as a whole, and we will not overturn a conviction unless
no reasonable jury could have reached the disputed verdict. Id.
To find a defendant guilty of conspiracy in violation of 21 U.S.C.
841(a)(1) and 846, the jury must find, beyond a reasonable doubt, (1) an
agreement with another person to violate the law, (2) knowledge of the essential
objectives of the conspiracy, (3) knowing and voluntary involvement, and (4)
-7-
-9-
carrying the lesser penalty. Pace, 981 F.2d at 1128-29. That is, historically this
circuit has found plain error in circumstances similar to Bellswhere an
indictment charged dual objects of a conspiracy, the jury failed to specify the
particular conspiracy object upon which it based its guilty verdict, and the court
based its sentence upon the object bearing the greater penalty. See id. But cf.
Johnson, 130 F.3d at 1428 (involving a drug distribution rather than a conspiracy
charge and upholding an instruction that required the jury to find only that
defendant distributed a controlled substance). 6
However, while this appeal was pending, the Supreme Court issued its
opinion in Edwards v. United States, 118 S. Ct. 1475 (1998). As in this case,
Johnson involved a defendants claim that the district court erred in giving
the noted instruction and in refusing to give the defendants proposed instruction
stating that the government was required to prove that the substance sold was
cocaine base. Johnson, 130 F.3d at 1428. Quoting United States v. Deisch, 20
F.3d 139, 151 (5th Cir. 1994), we stated the identity of the involved controlled
substance as being cocaine base rather than simply cocaine is not an element
of any section 841(a)(1) offense. Johnson, 130 F.3d at 1428. Thus, Johnson
concluded that the indictment need only allege, and the jury need only find, that
the substance was cocaine, and whether or not it was the cocaine base form of
cocaine is purely a sentencing factor. Id. (quoting Deisch, 20 F.3d at 151).
6
While Johnson may have cast doubt upon our previous analysis respecting
dual-object conspiracies to violate 841, Johnson did not (and could not, without
en banc consideration) overrule Newman or Pace. See In re Smith, 10 F.3d 723,
724 (10th Cir. 1993). However, since Edwards v. United States, 118 S. Ct. 1475
(1998), directly implicates Tenth Circuit precedent respecting dual-object
conspiracies, see discussion infra, this panel is now free to reconsider the issue in
light of the superseding Supreme Court opinion. In re Smith, 10 F.3d at 724;
Hurd v. Pittsburg State Univ., 109 F.3d 1540, 1542 (10th Cir. 1997).
-12-
Because the Edwards opinion issued only a month prior to oral argument,
when all briefs had been filed, at oral argument we directed counsel to file
supplemental briefs regarding Edwards applicability to this case. We have
received and considered those briefs.
7
-13-
Thus, rejecting this circuits general approach, Edwards settled the conflict
among the circuits:
We agree that in the circumstances of this case the judge was
authorized to determine for sentencing purposes whether crack, as
well as cocaine, was involved in the offense-related activities. The
Sentencing Guidelines instruct the judge in a case like this one to
determine both the amount and the kind of controlled substances
for which a defendant should be held accountable--and then to
impose a sentence that varies depending upon amount and kind.
Consequently, regardless of the jurys actual, or assumed, beliefs
about the conspiracy, the Guidelines nonetheless require the judge to
determine whether the controlled substances at issue--and how
much of those substances--consisted of cocaine, crack, or both. And
that is what the judge did in this case.
Id. at 1477 (internal citations omitted). Explaining its rejection of the petitioners
argument that the drug statutes and Constitution required the judge to assume that
the jury convicted them of a conspiracy involving only cocaine, the Court further
stated that
even if [the petitioners] are correct, it would make no difference to
their case. That is because the Guidelines instruct a sentencing judge
to base a drug-conspiracy offenders sentence on the offenders
relevant conduct. USSG 1B1.3. And relevant conduct, in a
case like this, includes both conduct that constitutes the offense of
conviction, id., 1B1.3(a)(1), and conduct that is part of the same
course of conduct or common scheme or plan as the offense of
conviction, id., 1B1.3(a)(2). Thus, the sentencing judge here
would have had to determine the total amount of drugs, determine
whether the drugs consisted of cocaine, crack or both, and determine
the total amount of each--regardless of whether the judge believed
that petitioners crack-related conduct was part of the offense of
conviction, or the judge believed that it was part of the same
-14-
-15-
-16-
urged. See id., Tab 100 at 2-3. In fact, Bells own arguments, filings, and
representations before the court make it clear that, at all times, he, the jury, and
the court fully understood and appreciated that the object of the conspiracy was
the distribution of cocaine base. 9 Under the circumstances, the courts adoption
of the PSRs findings was not plain error.
Moreover, unlike the situation excepted by Edwards, Bells case does not
involve any ambiguity. 10 Although the trial transcript contains generic references
By contrast, the illustrative case which Edwards cites in support of its
proviso regarding the statutory trumping of guideline sentences involved a
situation in which the jurys verdict was truly ambiguous to the defendants
detriment. That is, although the evidence presented in Orozco-Prada contained a
single statement which might have supported a finding of cocaine transactions,
the government conceded that the most compelling evidence adduced at trial
would have supported a conviction based only on a marijuana transaction. See
Orozco-Prada, 732 F.2d at 1083. Additionally, although we are unable to
determine the exact procedural posture of Orozco-Prada, the cases which it cites
and upon which it relies clearly involve review of appropriately preserved
objections. See id. (citing United States v. Quicksey, 525 F.2d 337 (4th Cir.
1975) and Brown v. United States, 299 F.2d 438 (D.C. Cir. 1962).
9
to drugs and cocaine, the evidence relating to Bells distribution and conspiracy to
distribute clearly involves cocaine base or crack. To the extent that the evidence
indicated that Bell brought in cocaine powder along with cocaine base, the same
undisputed evidence established that, when powder cocaine did come in, Bell or
others cooked the powder into crack. See R. Vol. III at 78-79, 87.
Accordingly, we conclude that, in light of the overwhelming evidence of
Bells involvement in a conspiracy whose object was the distribution of crack
cocaine and the district courts findings regarding the amount of crack cocaine
attributable to him, Bell has failed to demonstrate any clear and obvious error
which seriously affect[ed] the fairness, integrity or public reputation of [his]
judicial proceedings. Johnson, 117 S. Ct. at 1550 (internal quotations omitted).
Therefore, as in Edwards, we need not, and we do not, consider the merits of
[Bells] statutory and constitutional claims which he raises for the first time on
appeal. Edwards, 118 S. Ct. at 1478.
AFFIRMED.
(...continued)
conduct, which is distribution of crack cocaine. R. Vol. IV at 183.
10
-18-
F I L E D
PUBLISH
JUL 28 1998
PATRICK FISHER
TENTH CIRCUIT
UNITED STATES OF AMERICA,
v.
Plaintiff - Appellee,
Clerk
Nos. 97-6164
and 97-6167
841(a)(1) and 846. In this consolidated appeal, 1 Bell contends that the
evidence was insufficient to support his conviction. He also contends that,
because his conviction was based on a general jury verdict which failed to specify
the object of the conspiracy (i.e., whether the conspiracy involved cocaine powder
or whether it involved cocaine base), it must be reversed and the case must be
remanded for a new trial. Alternatively, he contends that his sentence must be
vacated, and that he must be resentenced under the assumption that the conspiracy
involved only cocaine powder. We affirm.
BACKGROUND
On May 21, 1996, Bell was indicted on one count of conspiracy to possess
with intent to distribute and to distribute cocaine powder and cocaine base,
crack, a Schedule II Controlled substance, in violation of Title 21, United
States Code, Section 841(a)(1). R. Vol. I, Tab 5/21/96 2 at 2. As required by 21
U.S.C. 851, the government filed an information to establish Bells prior felony
Bell filed two Notices of Appeal, each of which received a separate case
number; subsequently, the clerks office consolidated the cases.
1
The documents in this record volume are not uniformly numbered and
tabbed. Several documents are designated with tabs that specify only the date
they were filed; others are designated with tabs that specify numbers
corresponding to the docket numbers for this case.
2
-2-
-3-
dealers. Id. at 81-82. Although both Pierce and the prosecutor occasionally
referred simply to the drugs which where being distributed and sold in Pierces
apartment, when the prosecutor specifically asked, what drug . . . are you talking
about, Pierce answered, Crack cocaine. Id. at 87.
Apparently, Bell returned to California sometime in May 1995 and did not
come back to Oklahoma. However, after he left, he made several long distance
collect calls to Pierces apartment, to direct others to pick up drugs for transport
back to Oklahoma. On one occasion at the end of July, Bell called to ask Pierce
to fly to California to pick up a certain amount of drugs. Id. at 89. On at least
four or five other occasions, he called the apartment and asked to speak to other
dealers, generally E. T. or Nino. Id. at 105. During those calls, he would often
ask E. T. to fly back and pick up a certain amount of crack cocaine, to bring
back to Oklahoma. Id. Although Pierce was not a party to those conversations,
after the conversation ended, E. T. would generally tell the others about the
conversation and ask if anyone wanted to go in on the deal. 4 Id.
Taleno Bowens (Nino), one of Bells codefendants who had pleaded
guilty to the conspiracy charge prior to trial, also testified for the government.
Pierce also testified to receiving a mailed box which contained a coffeepot
filled with powder cocaine. R. Vol. III at 80. However, neither that shipment of
cocaine powder nor any other amounts of cocaine powder were quantified or
attributed to Bell for sentencing purposes. See R. Vol. V; R. Vol. I, Tab 118 at 4,
and discussion infra.
4
-4-
Bowens testified that he made his living selling crack cocaine, which he
purchased from Bell and the other codefendants. Id. at 110. According to his
undisputed testimony, on at least ten occasions, he purchased $200 quantities (six
grams) of crack cocaine from Bell, and he purchased $500 quantities (thirteen
grams) from Bell at least six times. Id. at 110-11, 115. Moreover, on two
separate occasions Bell fronted Bowens two ounces of crack cocaine on credit.
Id. at 115, 127. The street value of the fronted crack was at least $4800, id. at
118, and after Bowens sold the fronted crack, he paid Bell a total of $4000 for it.
Id. at 127. Bowens also testified to seeing Bell with twelve ounces of crack
cocaine taped to his body. Id. at 111.
Following Bells conviction, a Presentence Investigation Report (PSR)
was prepared. See R. Vol. V. Based on the quantity of drugs involved (340.2
grams of cocaine base), the filed PSR sets Bells offense level at 34, and then
adds 2 points for possession of a firearm, for a total offense level of 36, and it
sets Bells criminal history category at VI. 5 See id. 19, 20, 39. In the
Apparently the originally prepared PSR held Bell accountable both for the
twelve ounces of crack that Bowens saw taped to Bells body and also for the
quantities of crack which Bowen purchased from Bell. However, in his
Objections to Presentence Report, R. Vol. I, Tab 100 at 2-3, Bell contested the
inclusion of both drug quantities, contending that:
5
We presume the probation officer conceded the argument, since the filed
PSR, which was used at the sentencing hearing and which indicates that it is a
revised version, holds Bell accountable for only the twelve ounces (340.2 grams)
of crack cocaine which Bowens saw taped to Bells body. See R. Vol. V, 5-14.
-6-
DISCUSSION
A. Sufficiency of the Evidence
Bell contends that the evidence was insufficient to support his conviction
for conspiracy. Sufficiency of the evidence presents a question of law which we
review de novo. United States v. Wilson, 107 F.3d 774, 778 (10th Cir. 1997).
We will affirm if the evidence and reasonable inferences drawn therefrom, viewed
in the light most favorable to the government, would allow a reasonable jury to
find the defendant guilty beyond a reasonable doubt. United States v. Johnson,
130 F.3d 1420, 1428 (10th Cir. 1997), petition for cert. filed, (U.S. Apr. 1, 1998)
(No. 97-8558). In examining the evidence, we consider the collective inferences
drawn from the evidence as a whole, and we will not overturn a conviction unless
no reasonable jury could have reached the disputed verdict. Id.
To find a defendant guilty of conspiracy in violation of 21 U.S.C.
841(a)(1) and 846, the jury must find, beyond a reasonable doubt, (1) an
agreement with another person to violate the law, (2) knowledge of the essential
objectives of the conspiracy, (3) knowing and voluntary involvement, and (4)
-7-
-9-
carrying the lesser penalty. Pace, 981 F.2d at 1128-29. That is, historically this
circuit has found plain error in circumstances similar to Bellswhere an
indictment charged dual objects of a conspiracy, the jury failed to specify the
particular conspiracy object upon which it based its guilty verdict, and the court
based its sentence upon the object bearing the greater penalty. See id. But cf.
Johnson, 130 F.3d at 1428 (involving a drug distribution rather than a conspiracy
charge and upholding an instruction that required the jury to find only that
defendant distributed a controlled substance). 6
However, while this appeal was pending, the Supreme Court issued its
opinion in Edwards v. United States, 118 S. Ct. 1475 (1998). As in this case,
Johnson involved a defendants claim that the district court erred in giving
the noted instruction and in refusing to give the defendants proposed instruction
stating that the government was required to prove that the substance sold was
cocaine base. Johnson, 130 F.3d at 1428. Quoting United States v. Deisch, 20
F.3d 139, 151 (5th Cir. 1994), we stated the identity of the involved controlled
substance as being cocaine base rather than simply cocaine is not an element
of any section 841(a)(1) offense. Johnson, 130 F.3d at 1428. Thus, Johnson
concluded that the indictment need only allege, and the jury need only find, that
the substance was cocaine, and whether or not it was the cocaine base form of
cocaine is purely a sentencing factor. Id. (quoting Deisch, 20 F.3d at 151).
6
While Johnson may have cast doubt upon our previous analysis respecting
dual-object conspiracies to violate 841, Johnson did not (and could not, without
en banc consideration) overrule Newman or Pace. See In re Smith, 10 F.3d 723,
724 (10th Cir. 1993). However, since Edwards v. United States, 118 S. Ct. 1475
(1998), directly implicates Tenth Circuit precedent respecting dual-object
conspiracies, see discussion infra, this panel is now free to reconsider the issue in
light of the superseding Supreme Court opinion. In re Smith, 10 F.3d at 724;
Hurd v. Pittsburg State Univ., 109 F.3d 1540, 1542 (10th Cir. 1997).
-12-
Because the Edwards opinion issued only a month prior to oral argument,
when all briefs had been filed, at oral argument we directed counsel to file
supplemental briefs regarding Edwards applicability to this case. We have
received and considered those briefs.
7
-13-
Thus, rejecting this circuits general approach, Edwards settled the conflict
among the circuits:
We agree that in the circumstances of this case the judge was
authorized to determine for sentencing purposes whether crack, as
well as cocaine, was involved in the offense-related activities. The
Sentencing Guidelines instruct the judge in a case like this one to
determine both the amount and the kind of controlled substances
for which a defendant should be held accountable--and then to
impose a sentence that varies depending upon amount and kind.
Consequently, regardless of the jurys actual, or assumed, beliefs
about the conspiracy, the Guidelines nonetheless require the judge to
determine whether the controlled substances at issue--and how
much of those substances--consisted of cocaine, crack, or both. And
that is what the judge did in this case.
Id. at 1477 (internal citations omitted). Explaining its rejection of the petitioners
argument that the drug statutes and Constitution required the judge to assume that
the jury convicted them of a conspiracy involving only cocaine, the Court further
stated that
even if [the petitioners] are correct, it would make no difference to
their case. That is because the Guidelines instruct a sentencing judge
to base a drug-conspiracy offenders sentence on the offenders
relevant conduct. USSG 1B1.3. And relevant conduct, in a
case like this, includes both conduct that constitutes the offense of
conviction, id., 1B1.3(a)(1), and conduct that is part of the same
course of conduct or common scheme or plan as the offense of
conviction, id., 1B1.3(a)(2). Thus, the sentencing judge here
would have had to determine the total amount of drugs, determine
whether the drugs consisted of cocaine, crack or both, and determine
the total amount of each--regardless of whether the judge believed
that petitioners crack-related conduct was part of the offense of
conviction, or the judge believed that it was part of the same
-14-
-15-
-16-
urged. See id., Tab 100 at 2-3. In fact, Bells own arguments, filings, and
representations before the court make it clear that, at all times, he, the jury, and
the court fully understood and appreciated that the object of the conspiracy was
the distribution of cocaine base. 9 Under the circumstances, the courts adoption
of the PSRs findings was not plain error.
Moreover, unlike the situation excepted by Edwards, Bells case does not
involve any ambiguity. 10 Although the trial transcript contains generic references
By contrast, the illustrative case which Edwards cites in support of its
proviso regarding the statutory trumping of guideline sentences involved a
situation in which the jurys verdict was truly ambiguous to the defendants
detriment. That is, although the evidence presented in Orozco-Prada contained a
single statement which might have supported a finding of cocaine transactions,
the government conceded that the most compelling evidence adduced at trial
would have supported a conviction based only on a marijuana transaction. See
Orozco-Prada, 732 F.2d at 1083. Additionally, although we are unable to
determine the exact procedural posture of Orozco-Prada, the cases which it cites
and upon which it relies clearly involve review of appropriately preserved
objections. See id. (citing United States v. Quicksey, 525 F.2d 337 (4th Cir.
1975) and Brown v. United States, 299 F.2d 438 (D.C. Cir. 1962).
9
to drugs and cocaine, the evidence relating to Bells distribution and conspiracy to
distribute clearly involves cocaine base or crack. To the extent that the evidence
indicated that Bell brought in cocaine powder along with cocaine base, the same
undisputed evidence established that, when powder cocaine did come in, Bell or
others cooked the powder into crack. See R. Vol. III at 78-79, 87.
Accordingly, we conclude that, in light of the overwhelming evidence of
Bells involvement in a conspiracy whose object was the distribution of crack
cocaine and the district courts findings regarding the amount of crack cocaine
attributable to him, Bell has failed to demonstrate any clear and obvious error
which seriously affect[ed] the fairness, integrity or public reputation of [his]
judicial proceedings. Johnson, 117 S. Ct. at 1550 (internal quotations omitted).
Therefore, as in Edwards, we need not, and we do not, consider the merits of
[Bells] statutory and constitutional claims which he raises for the first time on
appeal. Edwards, 118 S. Ct. at 1478.
AFFIRMED..
(...continued)
conduct, which is distribution of crack cocaine. R. Vol. IV at 183.
10
-18-