Mr. Rascón appeals his conviction for two counts of conspiracy to possess with intent to distribute less than fifty kilograms of marijuana. He alleges that the district court abused its discretion by failing to make certain coconspirator hearsay findings on the record pursuant to Federal Rule of Evidence 801(d)(2)(E) and the Confrontation Clause of the Sixth Amendment. The defendant further contends that there was insufficient evidence in the record to establish by a preponderance of the evidence that defendant was a member of the conspiracy and that the hearsay statements offered against him were made in furtherance thereof.
As a preliminary matter, the government argues that the defendant has not preserved his right to appeal because defense counsel failed to object specifically to each hearsay statement at trial pursuant to Federal Rule of Evidence 103(a)(1). However, prior to trial, defense counsel cited Federal Rule of Evidence 801 and requested a preliminary hearing as to the admissibility of each of the coconspirator statements that the government intended to offer. The district judge acknowledged that three separate findings had to be made before the coconspirator hearsay statements could be used against the defendant: that a conspiracy existed, that the declarants and defendant were each members of that conspiracy, and that the statements were made in furtherance of the conspiracy. (Appellant’s App. at 9-10.) The district judge denied defense counsel’s request, however, explaining that he preferred to admit the evidence and make the requisite findings at an appropriate time during the trial rather than hold a preliminary hearing. The district judge explicitly placed the responsibility on the government to notify him at the point in the trial when the government felt that it had met the Rule 801(d)(2)(E) standard, and stated that he would make admissibility determinations at that time and instruct the jury accordingly. (Appellant’s App. at 10.)
Given the understanding between the court and the parties as to how the trial was to unfold procedurally, we do not believe that the defendant had a responsibility to object to each hearsay statement in order to preserve the issue for appeal. Even were it not for the unique facts of this case, our opinion
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in
United States v. Perez,
Turning to the merits of the defendant’s appeal, the district court made only two findings on the record: 1) that a conspiracy existed, and 2) that the defendant, Manuel Rascón, Aleisa Bustillos, and Emiglio Bustillos were all members of that conspiracy. (Appellant’s App. at 109.) Thus, it appears that the district court failed to make two findings that it should have made: 1) that each of the eoconspirator hearsay statements were made in furtherance' of the conspiracy, and 2) that one of the declarants, Jose Ramon Leal-Rodriguez, was a member of the conspiracy. The court’s failure to make these required findings on the record was an abuse of discretion.
See Perez,
At the time of the defendant’s trial, a failure of a district court to make all three Rule 801(d)(2)(E) findings on the record was per se reversible error entitling the defendant to a new trial.
See United States v. Perez,
Defendant argues that we must apply the
Radeker
per se reversible error rule to his appeal because it would violate his due process rights to apply the
Perez II
harmless error analysis retroactively. At this juncture it is irrelevant which analysis is applied, however, because this case must be remanded even under the stricter
Perez II
standard. As set forth in
Perez II,
“[t]he harmless error analysis of the alleged violation of Rule 801(d)(2)(E) proceeds under the nonconstitu-tional standard of
Kotteakos v. United States,
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The record reveals that the coconspirator hearsay testimony was the most damaging and probative evidence offered by the government against the defendant. If one discounts the disputed hearsay testimony, the evidence remaining as to the defendant’s alleged involvement in the conspiracy is minimal. Thus, the district court’s error was not harmless. In addition, the “in furtherance” requirement of 801(d)(2)(E) was intended to be a significant obstacle for the government; it is to be strictly construed and narrowly applied.
Perez,
Defendant further contends that upon remand he is entitled to a new trial automatically under
Radeker,
rather than merely a hearing as to the remaining Rule 801(d)(2)(E) findings pursuant to
Perez II.
The defendant argues that, if
Perez II
were applied retroactively to deny him a new trial, his due process rights would be violated. This court applies a two-part test to determine if the retroactive application of a judicial rule violates a criminal defendant’s due process rights. First, the retroactive application of the new rule must constrict rather than expand the defendant’s rights.
United States v. Morehead,
Turning to the first step, we hold that an application of Perez II would not constrict Mr. Rascon’s rights, and thus apply it retroactively. Under the old Radeker rule, a defendant was automatically granted a new trial if the district court failed to make the Rule 801(d)(2)(E) findings — regardless of whether the coconspirator hearsay statements were erroneously admitted at trial. Recognizing that in some cases a new trial is not necessary because the statements were correctly admitted despite district court’s failure to make its findings on the record, Perez II set up a post-trial step for the district court to make the findings it failed to make originally. Thus, Perez II is merely a rule of judicial economy that does not substantively affect the merits of a trial in any way.
If, upon remand under Perez II, the district court made the Rule 801(d)(2)(E) findings and determined that the coconspirator hearsay statements were properly admitted at the original trial, then there is nothing that a new trial could correct. If a new trial were to be held anyway, the government would be entitled to put on the same evidence that it did in the first trial. The procedure and governing law would be identical to the original trial — the only exception being that the district court would make the requisite Rule 801 findings before or during trial rather than after. If upon remand, however, the district court determined that the statements were improperly admitted, Mr. Rascón would get a new trial just as he would under Radeker.
Thus, an application of Perez II, at most, would merely deny the defendant a chance to relitigate his case in front of a new jury. The only difference between the first trial and second trial would be the time at which the Rule 801(d)(2)(E) findings were made. Because he was convicted, Mr. Rascón undoubtedly would prefer a new trial outright even if the coconspirator hearsay statements were properly admitted the first time around. A criminal defendant is not entitled to have a new jury re-weigh the evidence, however, if no mistakes were made at the first trial and if a new trial would not differ substantively or procedurally from the first in any material way. Having held that a retroactive application of Perez II would not constrict Mr. Rascon’s rights, we need not reach the second step of Morehead.
Finally, the defendant argues that the evidence is insufficient to support findings by a preponderance of the evidence as to the Rule 801(d)(2)(E) requirements. When making the 801(d)(2)(E) admissibility determina
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tions, district courts may consider the hearsay statements themselves.
Bourjaily v. United States,
As we previously noted, the district court found that a conspiracy existed and that the defendant and all but one of the declarants were members of that conspiracy. In light of Bourjaily, we cannot conclude that these findings were unsupported by the record or were erroneous. In addition, although the independent evidence was not substantial, there was enough corroborating evidence apart from the coconspirators’ statements to justify these findings. As to the determinations upon remand, whether the statements were made in furtherance of the conspiracy and whether Mr. Leal-Rodriguez was a member of the conspiracy, we cannot say that, when the hearsay statements themselves are included, there is such a dearth of evidence that no court could find against the defendant on these matters by a preponderance of the evidence. Thus, the defendant’s sufficiency arguments are without merit.
In summary, we hold that Mr. Rascon’s objection to the coconspirator statements was adequately preserved for appeal. We conclude that the district court abused its discretion by not making two of the requisite findings on the record. Because this abuse of discretion was not harmless, the case is remanded for the district court to make findings on the record as to whether the hearsay statements were made in furtherance of the conspiracy and whether the government’s last declarant, Mr. Leal-Rodriguez, was a member of the conspiracy. The district court is directed to conduct the hearing in accordance with the procedure announced by this court in
United States v. Perez,
REVERSED in part and REMANDED.
Notes
. After oral argument, the government filed a statement of supplemental authority referring the court to
United States v. Mejia-Alarcon,
