Lead Opinion
Co-defendants Harold Jewel and Arthur Stevie Jackson were tried jointly before a jury. The jury found Mr. Jewel and Mr. Jackson guilty of violating 21 U.S.C. § 846 (conspiracy to possess with intent to distribute cocaine), 18 U.S.C. § 1952 (interstate travel to facilitate unlawful activity), and 21 U.S.C. § 841(a)(1) (possession with intent to distribute cocaine). Mr. Jewel and Mr. Jackson each received concurrent sentences of thirty years, five years, and thirty years, respectively, on the three counts. In this appeal, both challenge their convictions as well as their sentences. For the reasons set forth in this opinion, we affirm their convictions but vacate their sentences and remand for resentencing.
I
BACKGROUND
A. Facts
This case involves a complicated set of facts and a large number of participants and witnesses, some of whom frequently are referred to in the transcripts by their aliases.
From at least April 1987 to September 1989, Mr. Jewel and Mr. Jackson were involved in narcotics trafficking in Milwaukee. One individual who often was involved in their dealings was Everett Pierce. The appellants had known Pierce since childhood. Pierce and Mr. Jackson began purchasing small quantities of cocaine from Mr. Jewel for resale in 1987. Pierce later became a supplier for, rather than only a regular customer of, the appellants. In 1989, Mr. Jackson contacted Pierce and asked him to find a source of cocaine for them. Mr. Jewel and Mr. Jackson later asked Pierce to purchase cocaine for their younger brothers, Ricky Jewel and Michael Jackson. That deal fell through because the younger brothers never showed up with the purchase money. However, on three occasions in 1989, Pierce supplied a total of three kilograms of cocaine to Mr. Jackson.
Meanwhile, in the spring of 1989, Pierce was arrested on drug charges and agreed to serve as a confidential informant for Milwaukee police officers.
Pierce returned to Milwaukee, and Mr. Jewel called Donnell Pickens, a California-based drug dealer, to inform him about the five-kilogram deal.
B. District Court Proceedings
On September 26, 1989, Mr. Jewel, Mr. Jackson, Ricky Jewel, and Pickens were named in a four-count indictment. Count One charged them with conspiracy to possess with intent to distribute in excess of five kilograms of cocaine, in violation of 21 U.S.C. § 846. The period of the charged conspiracy was January 1, 1987 to September 26, 1989. Count Two charged them with interstate travel to facilitate the attempted cocaine transaction of September 21, 1989, in violation of 18 U.S.C. § 1952. In Count Three, the four men were charged with possession with intent to distribute approximately 2.3 kilograms of cocaine on September 21, in violation of 21 U.S.C. § 841(a)(1). Count Four charged Pickens with possession with intent to distribute heroin, in violation of 21 U.S.C. § 841(a)(1). Each count also expressly charged violation of 18 U.S.C. § 2 (aiding and abetting).
Pickens agreed to plead guilty to Counts Three and Four and to testify against his coconspirators. Ricky Jewel was not arrested. In February 1990, Harold Jewel and Mr. Jackson were jointly tried in a jury trial that resulted in guilty verdicts on all three counts. Mr. Jewel and Mr. Jackson were sentenced on April 24, 1990 pursuant to the United States Sentencing Guidelines (U.S.S.G. or the guidelines).
ANALYSIS
A. Challenges to Convictions
1. Admission of audiotape
Mr. Jewel and Mr. Jackson contend that the district court abused its discretion in admitting into evidence a partially inaudible copy of a tape recording of a conversation involving Mr. Jewel, Everett Pierce, and DEA Agent Regina Bledsoe. Even though the tape was never played in open court, the appellants submit that the tape’s authenticity was never established adequately and that its admission unfairly bolstered the credibility of Agent Bledsoe’s testimony.
The conversation took place on September 12, 1989 at Bucks Underground, a bar located in the Atlanta Omni Hotel. Apparently because of background noise at the bar, much of the tape was inaudible. Nonetheless, Agent Bledsoe, who secretly had recorded the conversation, testified that, to the extent the tape was audible, it accurately reflected the Bucks Underground discussion. See Tr. at 261. Furthermore, Pierce testified that he had listened to the tape and could hear parts of it. See id. at 169-70. On cross-examination by Mr. Jewel’s counsel, Pierce insisted that “you can hear it where I spoke to him [Mr. Jewel] about five keys [kilograms of cocaine] and he said he would call me.” Id. at 240. Over defense objections, the district court admitted the tape into evidence.
This court reviews district court evidentiary rulings under an abuse of discretion standard. See, e.g., United States v. Degaglia,
With specific regard to the admissibility of tape recordings, this court has noted that “the trial judge exercises broad discretion in determining whether [the government has satisfied its burden of authenticating a tape recording]. Accordingly, the trial judge’s ruling on the admissibility of the tape will not be overturned on appeal absent ‘extraordinary circumstances.’ ”
Id. (quoting United States v. Faurote,
We have reviewed the tape and the colloquy between the district court and counsel with respect to its admissibility. We cannot say that the district court abused its discretion in admitting the tape. There was ample testimony that the tape, inasmuch as it is audible, accurately reflected the conversation in the bar on the night in question. Moreover, on the basis of our own review of the tape, we believe it is somewhat corroborative of the testimony of Agent Bledsoe.
Both appellants contend that the prosecution’s rebuttal argument unfairly prejudiced their right to a fair trial by presenting facts not in evidence. The challenged statement proposed an explanation of an apparent discrepancy between testimony about a critical three-way telephone call that Mr. Jewel allegedly had placed and telephone toll records that showed no such call. The date of the call was September 21, 1989. At that time, Mr. Jewel was in Atlanta, Pierce was in Milwaukee, and Pickens had arrived in Milwaukee from California with cocaine. The call concerned plans for delivery of the cocaine. The appellants argue that both Pierce and Pickens testified that Mr. Jewel had originated the three-way call. However, telephone records presented at the trial included no such call from Mr. Jewel’s Atlanta number to Pierce in Milwaukee.
DEA Agent Jeanne Tasch was confronted with the absence of the Atlanta-to-Milwaukee call when she testified about these records. She responded that the call might have been charged to the number from which Pickens was calling in Milwaukee if he initiated the call, even if the Atlanta-to-Milwaukee leg then had been placed by Mr. Jewel: “Well, I don’t know that when you make a calling card call to one number and they three way it to another number, I don’t know that that would appear on this 404 [Atlanta’s area code] telephone bill.” Tr. at 507-08. Mr. Jewel’s counsel again pointed out the alleged discrepancy during his closing argument and suggested that the prosecution would offer the jury “an explanation” to respond to his remarks on this issue. Id. at 621.
In his rebuttal, Assistant United States Attorney (AUSA) William Lipscomb attempted to explain this “troubling fact”:
The question is how if we have this call from Pickens to L.A., Pickens to Atlanta to Harold Jewell, does the, does the three way not show up on the toll records? Well, think about it. You’ll see the two calls, who placed them, Pickens placed the calls from Milwaukee. Where was Everett Pierce? Milwaukee. That, folks just plain and simple ain’t long distance.
Id. at 647. The district court overruled an objection to this statement and reminded the jury that “the arguments, statements of counsel are not evidence in the case.” Id. The court also denied a motion for a mistrial based on the same statement.
When prosecutorial statements are challenged as based on facts not in evidence, we review them under the two-part test in United States v. Swiatek,
First, we determine whether, considered in isolation, the challenged remark was improper. If so, we reexamine the improper remark in light of the entire record to determine whether the remark deprived the defendant of a fair trial. As part of this second step, we consider whether and to what extent the improper remark was provoked by the defense counsel’s argument — the so-called “invited response” doctrine.
Id. at 730 (citing United States v. Torres,
Taken literally, AUSA Lipscomb’s assertion that “Pickens placed the calls from Milwaukee” is not supported clearly by tes
Even if we agreed with the appellants that the challenged remark was improper, we would not find this error reversible. The district court appropriately cautioned the jury that closing arguments by counsel are not evidence. Such a cautionary instruction minimized any potential prejudice from AUSA Lipscomb’s remarks. See United States v. Gonzalez,
3. Sufficiency of evidence
Mr. Jackson contends that the government failed to present sufficient evidence for a rational jury to find beyond a reasonable doubt that he was guilty on the interstate travel and possession with intent to distribute counts (Counts Two and Three). He emphasizes one part of Agent Bledsoe’s testimony that purports to establish that he was not involved in planning the September 21, 1989 deal involving Mr. Jewel, Pierce, and Pickens. On September 11, 1989, Agent Bledsoe met with Pierce and Mr. Jackson at the Lion’s Den, a bar in Atlanta’s Omni Hotel. During that conversation, Mr. Jackson advised Pierce to contact Mr. Jewel about the cocaine. However, Agent Bledsoe testified as follows about her meeting with Pierce and Mr. Jewel the next day at Bucks Underground:
[T]he conversation started when Everett Pierce asked Mr. Jewell if Stevie [Mr. Jackson] had given him the message that he had given Stevie the night prior, and Mr. Jewell stated that Stevie had not. He said that Stevie came in but, and he knew that Everett Pierce was there basically because we had talked on the phone but he stated that Stevie hadn’t actually said anything about what Mr. Pierce was there for.
Tr. at 258. Mr. Jackson thus asks this court to conclude that he had nothing to do with the plans that later developed involving Pickens.
The standard of review in sufficiency of evidence challenges is well estab
Before turning to each of the challenged substantive counts, we note that Mr. Jackson does not challenge the sufficiency of the evidence on the conspiracy count. In that count, he was indicted along with Mr. Jewel, Ricky Jewel, and Pickens. Under the doctrine of vicarious coconspirator liability, a member of a continuing conspiracy is responsible for the criminal acts committed by his coconspirators in furtherance of the conspiracy. See Pinkerton v. United States,
In Count Two, Mr. Jackson and his co-conspirators were charged with violating, or aiding and abetting a violation of, 18 U.S.C. § 1952. Prior to its amendment in 1990,
(a) Whoever travels in interstate or foreign commerce or uses any facility in interstate or foreign commerce, including the mail, with intent to—
(1) distribute the proceeds of any unlawful activity; or
(2) commit any crime of violence to further any unlawful activity; or
(3) otherwise promote, manage, establish, carry on, or facilitate the promotion, management, establishment, or carrying on, of any unlawful activity,
and thereafter performs or attempts to perform any of the acts specified in sub-paragraphs (1), (2), and (3), shall be fined not more than $10,000 or imprisoned for not more than five years, or both.
18 U.S.C. § 1952(a).
In this case, Pickens testified that he contacted both Mr. Jackson and Mr. Jewel in Atlanta just weeks before the September 1989 transactions and discussed plans to travel to Milwaukee to sell cocaine. According to Agent Bledsoe, on September 11, 1989, Mr. Jackson advised Pierce to contact Mr. Jewel about the five kilograms Pierce wished to obtain. Thus, the jury could have inferred that Mr. Jackson was involved in initiating the deal even if he did not tell Mr. Jewel exactly why Pierce was trying to contact him. The jury also heard testimony from Pickens that, about a week before he flew from Los Angeles to Milwaukee, Mr. Jewel called him to say “that he had a deal for five keys [kilograms].” Tr. at 387. Although Pickens was unable to obtain the entire five kilograms, he did travel to Milwaukee with over two kilograms of cocaine later that week. When Pickens met with Pierce to transfer the cocaine, Pickens was arrested.
B. Challenges to Sentences
The district court conducted a day-long sentencing proceeding on April 24, 1990. The court determined that the base offense level for each defendant was 34. After the government put on witnesses to support its contention that Mr. Jewel had threatened Everett Pierce twice in the days just after Pickens’ Milwaukee arrest and just before Mr. Jewel’s Atlanta arrest, the court enhanced Mr. Jewel’s offense level two levels for obstruction of justice. In addition, each defendant’s offense level was enhanced two levels for his role in the offense and two levels for possession of a firearm, resulting in an adjusted offense level of 40 for Mr. Jewel and 38 for Mr. Jackson. The court calculated Mr. Jewel’s criminal history category to be III and Mr. Jackson’s to be IV. The sentencing range for Mr. Jewel thus was 360 months to life, and the range for Mr. Jackson was 324-405 months. Each was sentenced to 360 months.
In this appeal, both Mr. Jewel and Mr. Jackson challenge the district court’s calculation of their base offense level.
1. Base offense level
Under the guidelines, the base offense level for drug offenses is determined by the type and quantity of drug involved in the offense. See U.S.S.G. § 2Dl.l(a)(8), (c). When convicted of conspiracy, a defendant is assigned a base offense level that is “the same as if the object of the conspiracy ... had been completed.” Id. § 2D1.4. Amounts negotiated but not distributed are to be counted unless “the court finds that the defendant did not intend to produce and was not reasonably capable of producing the negotiated amount_” Id. § 2D1.4 Application Note l.
According to the presentence report in this case, Mr. Jewel and Mr. Jackson each was responsible for twenty-four kilograms of cocaine, resulting in a proposed base offense level of 34. See U.S.S.G. § 2Dl.l(c)(5) (at least fifteen but less than fifty kilograms of cocaine). During the sentencing proceeding, the defendants contended that evidence regarding a number of the underlying transactions consisted of little more than the uncorroborated and unreliable testimony of Pierce. They also argued that some of these transactions, including four kilograms allegedly delivered to Mr. Jewel in 1987 by Elroy Chaney, were not part of the charged conspiracy. In addition, they argued that it was improper to include three kilograms supplied by Pierce in 1989, allegedly after he began serving as a government informant. Finally, they challenged inclusion of approximately 6.5 kilograms that allegedly were the subject of preliminary discussions but that never were delivered either because a member of the conspiracy could not produce such amounts or could not raise the money to pay for the cocaine. In all, Mr. Jewel and Mr. Jackson raised specific objections to inclusion of approximately 13.5 kilograms. Had the district court sustained all these objections and hence found them responsible for only 11.5 kilograms, their base offense level would have been 32. See id. § 2D1.1(c)(6) (at least five but less than fifteen kilograms of cocaine).
Without ruling on each specific objection, the district court reached the following conclusions on the base offense level:
It easily becomes a 34 case if there’s 15 or more kilos of cocaine involved. And based on the evidence presented in the trial, the testimony of Mr. Pierce, the lavish display of jewelry and so on from the videos, the discussions with the DEA agents, undercover agent, it is quite obvious to me that — and, again, I’m not required here to work for the bureau of weights and measures and come up with the precise exact amount of drugs involved in these kinds of cases. I’m supposed to do my best to pick out, I believe, a general area of responsibility. And I think that area of responsibility properly lies in level 34, between the 15 to 50 kilo category. So as to each defendant, and I’m not going to go through each allegation, but I find that the evidence supports a finding of responsibility within or quantity within the offense level 34.
Sentencing Tr. at 114.
Despite our recognition of the deferential standard of review appropriate on this is
all a defendant needs to show in order to be resentenced for a violation of Rule 32(c)(3)(D) is that (1) allegations of inaccuracy were before the sentencing court and (2) the court failed to make findings regarding the controverted matters or a determination that the disputed information would not be used in sentencing.13
It is uncontroverted that Mr. Jewel and Mr. Jackson triggered the protections of Rule 32(c)(3)(D) by raising specific objections to the presentencing report. The district court, however, refused to make a specific finding on each objection, nor did it make sufficiently clear that it was not relying on the disputed information in determining the base offense level of each defendant.
Under the guidelines, it is the responsibility of the district court “to resolve the purely factual questions of how much [cocaine] was involved in each actual or proposed transaction.” United States v. Buggs,
2. Role in the offense enhancement
The presentence report recommended a three-level enhancement for each defendant for his alleged managerial role in the offense. The report indicated that the conspiracy consisted of eight persons: the defendants, Pickens, Pierce, Ricky Jewel, Michael Jackson, Gilbert Lewis, and Jeanine Walker (Mr. Jewel’s girlfriend). The district court indicated some skepticism that some of these individuals had been managed by the defendants: “As to the role in the offense, my view is that many of these people involved in this case were people who didn’t need anybody to lead them around and encourage them to get involved in this activity.” Sentencing Tr. at 117. The court thus rejected the proposed three-level enhancement, but imposed a two-level enhancement for each defendant under U.S.S.G. § 3Bl.l(c), which authorizes an enhancement for “an organizer, leader, manager, or supervisor in any criminal activity” that does not involve five or more participants or is not “otherwise extensive.”
Mr. Jewel and Mr. Jackson contend that the district court failed to support its findings on this enhancement with sufficient specificity and that the findings are clearly erroneous. They argue that the individuals cited in the presentence report were either “co-equal participants] in the conspiracy” or, in the case of Walker and Lewis, not participants at all. Appellant Jewel’s Br. at 45.
Absent a contention that the district court has misconstrued the guidelines, we review the court’s enhancements under section 3B1.1 for clear error. See, e.g., United States v. Ruiz,
The district court approved the two-level enhancement rather than the recommended three-level enhancement, but gave no indication which of the alleged participants each defendant had supervised. It also remarked, as we already have noted, that at least some of the cocon-spirators could not be characterized as followers of anyone. Under these circumstances, we must conclude that the district court left unclear the “evidentiary basis for [its] sentencing determination.” United States v. Hernandez,
3. Obstruction of justice enhancement
Finally, Mr. Jewel contends that the district court erred in enhancing his offense level for obstruction of justice under U.S.S.G. § 3C1.1. Specifically, he argues that the court based the enhancement on unreliable and uncorroborated hearsay evidence presented at the sentencing proceeding. Detective James Cesar testified at the proceeding that, on September 25, 1989, he received a call from Pierce, who had been serving as his confidential informant and had assisted in setting up the sting that had led to Pickens’ arrest four days earlier. During that call, Pierce reported that Mr. Jewel had called him from Atlanta and asked “whether or not he was the person who was responsible for indictments that were going to, that were brought down.[
Neither Pierce nor McNally testified at the sentencing hearing about the alleged threats. Moreover, the government presented no evidence that Mr. Jewel had
I believe the testimony regarding threats directed in the general direction of Mr. Pierce, a witness, the close timing to reported threats to the arrest of Mr. Jewell, the testimony about snitches or remember what happened to Porter Ma-gee, those kind of activities, and the report from Attorney John McNally
Id. at 118.
At the time of Mr. Jewel’s sentencing, the guidelines provided: “If the defendant willfully impeded or obstructed, or attempted to impede or obstruct the administration of justice during the investigation or prosecution of the instant offense, increase the offense level by two levels.” U.S.S.G. § 3C1.1. One basis for triggering application of this enhancement is “threatening, intimidating, or otherwise unlawfully attempting to influence a co-defendant, witness, or juror, directly or indirectly.” Id. § 3C1.1 Application Note 1(d). As Mr. Jewel recognizes, the rules of evidence do not apply to sentencing proceedings,
Conclusion
For the foregoing reasons, the convictions of Mr. Jewel and Mr. Jackson are affirmed, but their sentences are vacated and their cases remanded to the district court for resentencing.
AFFIRMED IN PART AND VACATED AND REMANDED in Part.
Notes
. To avoid any possible confusion, we note at the outset that Mr. Jewel is referred to frequently in the transcripts as "Bear,” and that his name and that of his brothers is spelled "Jewell” throughout the transcripts. Mr. Jackson is referred to as "Stevie" in some places. Government informant and witness Everett Pierce at times is referred to as "Pierre,” and government witness Donnell Pickens is also referred to as "Parnell” and "Kenneth Knox,” the names under which he was indicted.
Citations to the consecutively paginated trial transcripts will be designated as Tr. at -. Pierce’s direct examination is in a separately paginated transcript, which we shall cite as Pierce Tr. at -. The separately paginated transcript of the sentencing proceeding will be cited as Sentencing Tr. at-.
. Actually, Pierce was jailed several times on drug charges between late 1987 and 1989. In 1988, he began providing information on drug trafficking to Milwaukee police officers. He did not, however, inform on Mr. Jewel or Mr. Jackson in the beginning of his career as a confidential informant.
. Mr. Jewel and Mr. Jackson had been using Pickens as a supplier for some time. In late 1987 and early 1988, they twice obtained one kilogram of cocaine from Pickens. Pickens spent April 1988 to early June 1989 in jail on a parole violation. Shortly thereafter, he again began transporting cocaine to Milwaukee. Pickens made several trips from California to Milwaukee between July and September. In Milwaukee, he supplied a total of five kilograms of cocaine to Mr. Jewel’s brother Ricky. According to Pickens, the negotiations regarding these sales involved Mr. Jewel.
. All citations to the guidelines are to the version in effect at the time of sentencing.
. Mr. Jewel also challenges as irrelevant and unfairly prejudicial certain testimony by Pierce. Pierce testified that defendant’s brother Ronnie Jewel had helped to introduce him to drug trafficking when Pierce was sixteen years old. Mr. Jewel contends that Pierce’s testimony on his introduction to drug trafficking bore no relevance to any issue in the case and that the jury was prejudiced against him because jurors learned that his brother had involved a minor in illegal drug activities.
We need not determine .whether the challenged testimony meets the broad definition of presumptively relevant evidence, see Fed. R.Evid. 401, nor whether its probative value was substantially outweighed by its prejudicial effect, see Fed.R.Evid. 403, because we conclude that any possible error was harmless. See Fed. R.Crim.P. 52(a); see also United States v. McClain,
Mr. Jewel contends, however, that the government has waived reliance on the harmless error rule by failing to raise that issue in its brief. This court did hold recently that a harmless error argument may be waived. See United States v. Giovannetti,
. Accord United States v. Auerbach,
. On direct examination, Pierce testified that he was at his uncle’s house in Milwaukee when Mr. Jewel "called me with Parnell [Pickens] on the telephone.” Pierce Tr. at 115. However, on cross-examination, Pierce’s testimony was somewhat more ambiguous:
A I know they called twice and on one of the occasions he was on the phone and asked for my, the address to where I was staying.
Q By he you’re talking about Parnell?
A Parnell and Jewell were on the phone at the same time.
Tr. at 178 (emphasis supplied). Pickens’ testimony about the three-way call suggests that it occurred either during or just after he placed a call to Mr. Jewel in Atlanta:
A ... I just looked [his Atlanta number] up and called him up and told him that I was, I was here in Milwaukee.
Q Okay. Did you make any arrangement with him as to what to do with the two kilos at that point?
A Well, he, that’s when he called, he called Pierre [Pierce] on a three way.
Id. at 390. Similarly, on cross-examination, Pickens indicated that he called Mr. Jewel “and told him that I was here in Milwaukee and he got Pierre on the three way telephone and we talked.” Id. at 425. This testimony was consistent with Agent Tasch’s theory that Mr. Jewel had placed the call to Pierce while he was still connected to Pickens, who had placed the call to Mr. Jewel from Milwaukee.
. Accord United States v. Lamon,
. As relevant to this appeal, the 1990 amendments did not change section 1952 substantively. See Crime Control Act of 1990, Pub.L. No. 101-647, §§ 1205(i), 1604, 104 Stat. 4789, 4831, 4843.
.In regard to the arrest, the jury did not have to rely on Pickens’ testimony. Milwaukee County Sheriffs Department Detective Mary Sage testified that she was present at his arrest and that she took possession of the cocaine seized at his hotel room.
. Both defendants also contend that the district court erred in receiving for sentencing purposes a videotape that portrayed Mr. Jewel and Mr. Jackson at a party in January 1988 wearing a “lavish display of jewelry.” Sentencing Tr. at 114. The videotape had been seized pursuant to a forfeiture warrant. Mr. Jewel contends that, even if the seizure of the videotape was legal, “viewing the videotape constituted an independent search unauthorized by the warrant, probable cause, or the plain view doctrine." Appellant Jewel’s Br. at 32 n. 8. The district court held that the exclusionary rule does not apply to sentencing proceedings. See Sentencing Tr. at 22. The court reasoned that application of the exclusionary rule at sentencing would have little deterrent effect. Id.
Because we are remanding this case for resen-tencing, we need not resolve this issue. The record is not sufficiently developed, especially on the question of whether Mr. Jackson has standing to object to the admission of the videotape. We note, however, that several courts have rejected a blanket rule that the exclusionary rule never applies at sentencing. See Verdugo v. United States,
. See also United States v. Buggs,
. Accord United States v. Montoya,
. In United States v. Sullivan,
. Cf. United States v. White,
. In United States v. Ruiz,
. U.S.S.G. § 3B1.1 provides:
Based on the defendant’s role in the offense, increase the offense level as follows:
(a)If the defendant was an organizer or leader of a criminal activity that involved five or more participants or was otherwise extensive, increase by 4 levels.
(b) If the defendant was a manager or supervisor (but not an organizer or leader) and the criminal activity involved five or more participants or was otherwise extensive, increase by 3 levels.
(c) If the defendant was an organizer, leader, manager, or supervisor in any criminal activity other than described in (a) or (b), increase by 2 levels.
Application Note 1 defines “participant” as “a person who is criminally responsible for the commission of the offense, but need not have been convicted.”
. The government contends that the record supports the conclusion that Mr. Jewel supervised Mr. Jackson as well as Ricky Jewel and Pickens. Similarly, the government argues that there is evidence that Mr. Jackson supervised Ricky Jewel, Michael Jackson, and Pierce. If the record indicated that the district court had given the matter sufficient focused attention and we were to conclude, as the government submits, that the record would have permitted a finding by the district court that a 3B 1.1(c) enhancement was appropriate, we could affirm on the point without further proceedings. See United States v. Lamon,
We note that Pierce cannot be considered a participant for the period during which he was serving as a government informant. See United States v. DeCicco,
. Although the indictment was not handed down until September 26, after Mr. Jewel allegedly made the first threat, an arrest warrant had been issued and a criminal complaint had been filed against him on September 22, the day after Pickens’ arrest. Mr. Jewel was arrested on September 26.
. See Fed.R.Evid. 1101(d)(3) (except for rules regarding privileges, Federal Rules of Evidence are inapplicable at sentencing proceedings); see abo United States v. Leung,
. See abo United States v. Miller,
.Accord United States v. Query,
Concurrence Opinion
concurring.
The prosecutor urges us to hold that the exclusionary rule may not be used in sentencing, relying on 18 U.S.C. § 3661, which provides: “No limitation shall be placed on the information concerning the background, character, and conduct of a person convicted of an offense which a court of the United States may receive and consider for the purpose of imposing an appropriate sentence.” Unless this statute is unconstitutional, or negates only the ordinary rules of evidence, the exclusionary rule is inapplicable. Is § 3661 consistent with the fourth amendment? Two recent cases hold that it is. United States v. McCrory,
McCrory and Torres, like a few pre-guidelines cases, mention the possibility— which they neither embrace nor reject— that these courts might exclude evidence that the police illegally seized expressly for use in sentencing. Judge Silberman’s opinion concurring in McCrory observes that such an exception is chimerical.
It is awfully hard to see why motive should matter on either prudential or doctrinal grounds. Is the seizure less offensive to the Constitution, or is deterrence less important, when the police drain their minds of the possibility that the seizure will contribute to a conviction? As for
Why invite a subjective inquiry that is inconsistent with the Supreme Court’s approach to the fourth amendment and at all events a false hope to defendants? In the end we will have a simple answer: the exclusionary rule applies to sentencing, or it does not. Today the scope of the exclusionary rule depends on instrumental considerations, as Leon shows vividly. See also, e.g., Illinois v. Krull,
Before November 1987 using illegally seized evidence in sentencing could not have been called a serious inroad on the exclusionary rule. Judges based their sentences on the crimes the prosecutor had proved plus the character of the defendant. To get a steep sentence the prosecutor needed to obtain a conviction on one very serious charge or multiple less serious ones. Excluding the evidence from the case in chief was a grievous, often mortal, blow. Today prosecutors often present at trial only a small fraction of the defendant’s provable conduct. The rest is reserved for sentencing. Instead of a wide-ranging inquiry into the defendant’s character in which “the punishment should fit the offender and not merely the crime”, Williams v. New York,
Changing the importance of conviction versus sentencing would not be troubling if statutes capped the effects of using illegally-seized evidence in sentencing. But the last five years have witnessed astounding increases in the maximum sentences for drug offenses. Until a few years ago the maximum penalty for distributing cocaine, no matter how much, was 15 years in prison, and the prisoner was eligible for parole after serving a third of that time. 21 U.S.C. § 841(b)(1)(A) (1982 ed.). Higher sentences could be meted out to kingpins, repeat offenders, or those who sold to minors or close to a school, but the maximum for simple distribution set the practical limit in most cases. How times have changed! The crime of which Jewel and Jackson were convicted, selling more than 5 kilograms of a mixture containing a detectable amount of cocaine, 21 U.S.C. § 841(b)(l)(A)(ii)(I), carries a minimum of 10 years and a maximum of life. Parole has been abolished. If the police seize 5 kilograms legally and another 46 illegally, this statute, coupled with § lB1.3(a)(2), allows the court to impose a sentence of life imprisonment, just as if all of the drugs had been seized in compliance with the Constitution. Someone caught with any cocaine, no matter how little, faces 20 years without parole, 21 U.S.C. § 841(b)(1)(C). One with no prior convictions cannot receive 20 years under the guidelines until offense level 37, equivalent to 150 kilograms of cocaine (or 1.5 kilograms of crack). So if the police seize a smidgen of cocaine legally, the suspect can be locked up for 20 years if the police seize another 1500 grams of rock cocaine, or 150 kilograms of powered cocaine, in violation of the fourth amendment. By any account that would be a serious inroad on the exclusionary rule.
Judge Silberman recognized that to allow the use of unconstitutionally seized evidence in sentencing is to take “a big bite out of the exclusionary rule”, McCrory,
