Defendants-appellants Louis Elton Stone (Stone) and Denise Sienhausen (Sienhau-sen) were convicted of conspiring to manufacture, and attempting to manufacture, in excess of one hundred grams of methamphetamine. They both appeal, raising various challenges to their convictions. We affirm.
*429 Facts and Proceedings Below
In July 1989, Stone entered the Scientific Chemical Company in Harris County, Texas and attempted to purchase three pounds of ephedrine, which is used as a precursor chemical in the manufacture of methamphetamine, but was not itself a controlled substance at that time. Scientific Chemical was out of ephedrine, so the salesman took $350 from Stone, told him that he would order the ephedrine, and asked Stone to get back in touch with him in a few days. The salesman also recorded Stone's name, driver’s license number, and address, and in accordance with the company’s practice of cooperating with the Drug Enforcement Administration (DEA) by reporting purchases of certain chemicals, called Agent Norris Rogers at the DEA office in Houston with this information. After running some checks on Stone, Rogers called the Scientific Chemical salesman back and gave him his pager number, with instructions to give the number to Stone and tell Stone he could call the number to reach someone who could procure ephedrine for him.
Several days later, Stone called Rogers’ pager number and told him that he was looking for someone who could provide him with ephedrine. Rogers arranged a meeting with Stone for the following day. At that meeting, on July 21, 1989, Rogers posed as a black market chemical salesman. Stone said that he had customers waiting for methamphetamine, and that he was anxious to supply it because he was in debt to his attorney for representation on a prior arrest for methamphetamine manufacturing. Rogers said that he was making a decent living as a black market chemical salesman, but that his real aspiration was to expand into the more lucrative area of methamphetamine manufacturing, and that he would supply the ephedrine only if Stone would teach him how to cook methamphetamine. Stone agreed. They worked out an arrangement in which Rogers would sell Stone a pound and a half of ephedrine for the $350 Stone had left with Scientific Chemical, and would give Stone another pound and a half in exchange for Stone’s teaching him how to cook methamphetamine. Stone told Rogers that, at the suggestion of his girlfriend, he was operating a methamphetamine lab in the attic of her parents’ house. Rogers asked him if he had all of the other chemicals and equipment necessary for manufacturing methamphetamine, and Stone said that he did. Stone and Rogers agreed to meet again three days later.
On July 24, they met outside a restaurant in Houston. Rogers was wearing a concealed transmitter in order to record their conversations. Stone told Rogers that there had been a change in plans; he was there to pick up his girlfriend’s mother, who was going to be at home that afternoon, making the house unavailable for methamphetamine manufacturing. Stone told Rogers to go to a pay phone and wait for Stone to page him with further instructions. Rogers did so, and a few minutes later Stone called him and told him to meet him at a convenience store. Rogers went there, and Stone arrived shortly thereafter with a woman he introduced as his girlfriend Denise. This woman was later determined to be the defendant Sien-hausen. In the back seat of Rogers’ car, Stone and Sienhausen began talking about how badly they needed the ephedrine in order to sell some methamphetamine and alleviate their financial problems. They told Rogers that the house would not be available until later that night, after Sien-hausen’s mother went to bed, but they asked Rogers to go ahead and give them the ephedrine. Stone then suggested that he and Sienhausen leave and conduct the manufacturing on their own, and bring Rogers back part of the finished product. Suspecting that they were trying to cut him out of the operation altogether and would not return with the finished product, Rogers rejected their requests. Stone and Sienhausen therefore agreed to drive him to Sienhausen’s parents’ house several blocks away.
They arrived at the house and all three entered the garage. Stone and Sienhausen again tried to persuade Rogers to leave the ephedrine with them, but Rogers said that he would not do that until he had seen some lab equipment, so that he could be *430 sure they actually knew how to manufacture methamphetamine. Stone or Sienhau-sen said that the lab equipment was under Sienhausen’s bed and was inaccessible as long as her mother was up and moving around the house. Rogers then suggested that if Stone would at least write down the formula for manufacturing methamphetamine as proof that he knew how to do it, Rogers would leave and wait until later that night to return. Stone did so, discussing some of the steps as he wrote. During this time, Sienhausen mentioned that both she and Stone knew how to “cook,” and that they never stored the lab equipment in one place, so that if either got arrested, the other would be able to continue operations and make some money to get the first one out of jail. Rogers took the recipe written by Stone and gave them about a pound of ephedrine. He left with Stone’s promise that they would call him on the pager when they started the manufacturing.
After Rogers left, surveillance agents saw Stone and Sienhausen leave the house. Stone and Sienhausen never called Rogers, and they did not return to the house during the next several days. Two days later, on July 26, the police executed a search warrant on the house. They found no methamphetamine, ephedrine, or lab equipment. On July 27, surveillance was conducted at Stone’s residence in Houston. A red truck arrived at the residence, and the officers searched the vehicle and detained the driver, a man named Gary Mock (Mock). In the truck they found Freon and sodium hydroxide, both of which are used in the methamphetamine manufacturing process. On July 31, after learning that a warrant had been issued for their arrest, Stone and Sienhausen turned themselves in.
On August 23, 1989, a two-count indictment was returned against Stone and Sien-hausen, charging them with conspiring with each other to manufacture, and aiding and abetting each other in the attempt to manufacture, in excess of 100 grams of methamphetamine, in violation of 21 U.S.C. §§ 841(a)(1), 841(b)(1)(A), 846, and 18 U.S.C. § 2. A jury found Stone and Sienhausen guilty of both counts. The district court sentenced Stone to concurrent terms of 121 months’ imprisonment and 6 years’ supervised release on each count, and imposed a special assessment of $50 on each count. Sienhausen was sentenced to concurrent terms of 120 months’ imprisonment and 5 years’ supervised release on each count, and was also ordered to pay a special assessment of $50 on each count. Stone and Sienhausen both appeal their convictions.
Discussion
I. Sufficiency of the Evidence for the Conspiracy Convictions
In a conspiracy prosecution under 21 U.S.C. § 846, the government must prove beyond a reasonable doubt (1) the existence of an agreement between two or more persons to violate the narcotics laws, (2) that each alleged conspirator knew of the conspiracy and intended to join it, and (3) that each alleged conspirator did participate in the conspiracy.
United States v. Carter,
When the sufficiency of the evidence to support a conviction is challenged on appeal, it is not necessary that the evidence exclude every reasonable hypothesis of innocence; we review the evidence in the light most favorable to the government, drawing all reasonable inferences in sup
*431
port of the verdict, and will affirm the conviction if a rational trier of fact could have found that the evidence established each essential element of the offense beyond a reasonable doubt.
United States v. Vasquez,
II. Identification of Sienhausen at Trial
Sienhausen contends that the evidence is insufficient to support her convictions because the record fails to reflect that she is the person described in Rogers’ testimony. On direct examination, in describing his meeting with Stone on the afternoon of July 24, 1989 and his initial introduction to Sienhausen, Rogers testified as follows:
“A. He [Stone] called her Denise, and he said that she was his girlfriend. “Q. Okay. Did he introduce her to you?
“A. Yes.
“Q. Okay. And is she here in the courtroom?
“A. Yes, sir.
“Q. Would you identify her for the jury?
“A. She’s the lady sitting next to — at the first table next to the defense attorney. She has on a yellow sweater and a green, lime green turtleneck. And she has sort of blondish hair.”
There is no challenge made here to Rogers’ recollection or ability to identify the woman involved in the events of July 24, 1989. The sole basis for Sienhausen’s point of error is that, because the prosecutor did not at the end of this exchange expressly request that the trial transcript reflect that Rogers had identified the defendant— which he clearly should have done — there is no way in examining the record on appeal to know whether she was in fact the woman in the lime green turtleneck.
We find this challenge, raised for the first time on appeal, creative but unavailing. As the above testimony shows, there can be no doubt that Rogers identified the person whom he was discussing with adequate specificity for the jury and others present in the courtroom. During voir dire Sienhausen was present in court and was personally identified before the entire *432 panel by the Assistant United States Attorney and by her counsel as the defendant Denise Sienhausen, and Sienhausen personally pleaded not guilty in the presence of the jury. Absent some genuine issue as to the identity of the person who committed the offense, we are not inclined to reverse a conviction based on such a technicality in the appellate record.
III. Constructive Amendment of the Indictment
Stone and Sienhausen contend that the jury instructions allowed the jury to convict them based on an agreement to manufacture not charged in the indictment — namely, a supposed agreement with undercover agent Rogers. They also suggest that the jury could have convicted them based on an agreement with Mock. This too, they assert, would represent a constructive amendment of the indictment, Count One of which alleged that Stone and Sienhausen “did knowingly and unlawfully agree, conspire and confederate between themselves to manufacture” methamphetamine.
We find no basis for this argument. The jurors were given a copy of the indictment to use during their deliberations, and in instructing the jury on the essential elements of the offense that the government was required to prove, the court repeated the indictment’s language quoted above. In addition, the instructions included a reminder that the jurors should first determine “whether or not the conspiracy existed
as charged
” (emphasis added). As discussed in Part I, there was ample evidence from which the jury could have concluded that Stone and Sienhausen agreed with each other to manufacture methamphetamine; we have been shown no reason to assume that the jury disregarded its instructions and based its guilty verdict on a different agreement.
Accord, United States v. Lokey,
IV. Refusal to Give Requested Jury Instruction
Stone and Sienhausen’s fourth point of error is that the district court erred in refusing to give to the jury their proposed instruction setting out their theory of the case. The instruction read:
“It is the Defendant’s theory that they did not unite to commit a crime. That is to say, while they stated they were planning on manufacturing methamphetamine, their statements were not an accurate reflection of their true intent. The Defendants contend that they had no agreement with each other to manufacture methamphetamine. In determining the kind of agreement or understanding that existed as to each Defendant, unless you find beyond a reasonable doubt that the agreement or understanding reached by a Defendant actually contemplated manufacturing methamphetamine, you will find that Defendant not guilty.”
Relying on
United States v. Kim,
Initially, we observe that, as this Court clarified in its opinion denying rehearing in
United States v. Stowell,
However, defendants’ argument fails here for the separate reason that their “theory” amounts to little more than suggesting the nonexistence of one of the essential elements of the offense (criminal intent underlying their agreement).
2
The
*433
refusal to give a requested jury instruction constitutes reversible error if the instruction (1) was substantially correct, (2) was not substantially covered in the charge given to the jury, and (3) concerned an important issue so that the failure to give it seriously impaired the defendant’s ability to present a given defense.
United States v. Allison,
V. Sufficiency of the Evidence to Support Convictions for Aiding and Abetting an Attempt to Manufacture Methamphetamine
Stone and Sienhausen next challenge the sufficiency of the evidence to support their convictions for attempt to manufacture methamphetamine, aided and abetted by each other. To be convicted of attempt under 21 U.S.C. § 846, a defendant “must have been acting with the kind of culpability otherwise required for the commission of the crime which he is charged with attempting,” and “must have engaged in conduct which constitutes a substantial step toward commission of the crime,”
i.e.,
conduct “strongly corroborative of the firmness of the defendant’s criminal intent.”
United States v. Mandujano,
Sienhausen argues that, because Rogers admitted that he never saw any evidence of a manufacturing lab at her parents’ house, and because there was no testimony as to what happened to the ephedrine after Rogers left the house, no rational trier of fact could have convicted Stone and her of attempt to manufacture methamphetamine. Stone argues more particularly that, viewed objectively, his conduct cannot amount to a “substantial step.” We disagree. Stone’s purchase of a precursor chemical from a purported black market salesman, while declaring a plan to use the chemical to manufacture methamphetamine and furnishing the salesman an accurate explanation of how to do so, was an act which, “without any reliance on the accompanying
mens rea,
mark[s] the defendant’s conduct as criminal in nature.”
United States v. Oviedo,
VI. Failure to Properly Instruct the Jury on the Law of Attempt
Stone and Sienhausen’s next contention is that the district court’s instruction to the jury on the offense of attempt to manufacture methamphetamine was inadequate because it failed to require that they have taken a “substantial step” toward commission of the offense. The court instructed the jury that “[t]o attempt to commit an offense means merely to willfully do some act in an effort to bring about or accomplish something the law forbids.” The defendants did not object to the instruction below, so we will reverse only if the instruction constituted plain error,
i.e.,
if “considering the entire charge and evidence presented against the defendant, there is a likelihood of a grave miscarriage of justice.”
United States v. Sellers,
Stone and Sienhausen are correct that the instruction at least inadequately described the second element of the offense as set forth in
Mandujano {see
Part V, supra). When a jury instruction omits or significantly misstates an essential element of an offense, the error may be severe enough to meet the plain-error standard.
See, e.g., United States v. Flitcraft,
VII. Admission of Audio Tapes and Use of Written Transcripts
During the investigation, the government made five tapes of Rogers’ conversations with Stone or with Stone and Sienhausen together. The first three were taped from telephone conversations and were clear recordings. The fourth and fifth tapes were made on July 24, when Rogers wore a concealed transmitter to his meetings with Stone and Sienhausen. The tapes were made by a second DEA agent, Alton Lewis (Lewis), who carried the receiver in his *435 vehicle and followed Rogers from the restaurant to the convenience store and then to Sienhausen’s parents’ house. A heavy thunderstorm during this time interfered with the reception, and large portions of the tapes are very difficult to understand. Rogers prepared written transcripts of the fourth and fifth tapes.
Prior to trial, the defendants contended that the fourth and fifth tapes were unintelligible, and that to allow the jury to consider typed transcripts of the tapes would constitute unauthorized bolstering of the evidence contained on the tapes. The defendants objected to use of the transcripts for this reason, and in a separate motion asked that the district court conduct a hearing outside the jury’s presence prior to admitting any transcripts in order to determine their accuracy. At a pretrial hearing, the court ruled that the transcripts could not be admitted into evidence or taken to the jury room during deliberations, but could merely be used as a potential guide for the jury while the tapes were being played. The court found no need to rule on defendants’ further request that it hold a hearing to determine the accuracy of the transcripts, because that motion merely requested such a hearing before the transcripts were admitted into evidence. The defendants then promptly filed written motions requesting that the government be prohibited from using the transcripts before the jury at all.
Immediately prior to trial, the district court indicated that it had listened to one tape and reviewed the transcript, and that the defendants’ objection to use of the transcript as a potential guide for the jury was overruled. During the same conference, counsel for the government notified the court that it had that morning submitted revised versions of the transcripts for the fourth and fifth tapes, which were essentially the same but contained some typographical corrections. Defense counsel did not renew its motion that the court compare the tapes to the new transcripts.
At the end of the first day of trial, the district court admitted the tapes into evidence over defendants’ objection that they were of such poor quality that they would mislead the jury. On the second day of trial, the district court allowed the government to play the fourth and fifth tapes for the jury and to submit the transcripts to the jury to be used as potential guides while the tapes were playing. The defendants renewed their objection to use of the transcripts, and the court again overruled the objection, noting that from its review it had concluded that the tape was not so unintelligible that someone familiar with the conversation could not make an accurate transcript. The court instructed the jury that the transcripts had been prepared by the government’s agent, and cautioned the jury as follows:
“Now, this [transcript] is only for your general guidance. You are directed and ordered by this Court to make your own interpretation of what you hear from that tape. This is only what the Government believes on this tape. And if you feel it’s unintelligible, then you are to disregard anything that you feel is unintelligible, notwithstanding what the Government has down as to what its position is on that tape.
“So, in effect, I will let you consider this just as — well, just as a transcript as far as the Government’s version is concerned. The defense in no way adopts this version_ However, it’s my decision to allow you to use it for whatever weight, if any, you desire to give to it. If you feel that tape is unintelligible, then disregard what the Government thinks is on that tape. And if you listen and you hear it differently from what is down here, you ought to consider what you hear as best you can from the tape.”
The court further stated: “It [the transcript] is not evidence in this case. The tape is the evidence.”
In this appeal, Stone and Sienhausen make three distinct challenges regarding the tapes and transcripts: (1) that the government failed to establish the predicate for admission of the tapes; (2) that the tapes’ unintelligibility rendered the district court’s admission of the tapes an abuse of discretion; and (3) that the district court compounded its error by wrongfully allow *436 ing use of the transcripts and restricting cross-examination of Rogers about the transcripts.
On Stone and Sienhausen’s first point, the guiding principles for this Circuit were set forth in
United States v. Biggins,
In the present case, prior to admission of the tapes, Rogers testified that they were the tapes of his conversations with Stone and Sienhausen, that they had been recorded by Lewis while Rogers was talking with the defendants and wearing a hidden transmitter, that they had been kept in a secure place from the time they were made, and that no alterations had been made. Later, after the tapes had been played for the jury, Lewis testified and went into a little more detail about the recording equipment and its capabilities. He admitted that the thunderstorm reduced the transmitter’s effective range, and that at times he had not been able to stay close enough to Rogers to make an intelligible recording.
We conclude that the government adequately laid a foundation for the tapes under Biggins. Although not all of the Big-gins factors were thoroughly covered before the tapes were played, the Biggins decision indicates that the list is not meant to command “formalistic adherence” at the expense of the district court’s discretion. Id. at 67. We perceive no abuse of that discretion here, particularly since the essence of the defendants’ opposition to the tapes at trial was not really an authentication issue. The defendants did not contend that the government had not adequately established the content of the tapes to make them admissible, i.e., the defendants did not challenge the means by which the tapes were prepared or suggest alteration or distortion of the tapes, but instead simply questioned the usefulness of the final product (and did this for the first time during the trial itself).
On the defendants’ second contention regarding the tapes, this Court has consistently held that poor quality and partial unintelligibility do not render tapes inadmissible unless the unintelligible portions are so substantial as to render the recording as a whole untrustworthy, and that this determination is left to the sound discretion of the trial judge.
United States v. Ruppel,
Finally, on Stone and Sienhausen’s third point, this Circuit’s guidelines for use of transcripts were set out in
United States v. Onori,
The situation of Stone and Sienhausen was in some ways distinct from the situation contemplated in
Onori. Onori
described an instance in which the defendants alleged specific errors in the government’s transcript.
See Onori,
However, the district court in this case went considerably beyond the minimum procedure set forth in Onori. At the beginning of trial, the district court had before it the defendants’ motion to make an in camera determination of the accuracy of the government’s transcripts, and, if it found them to be inaccurate, to suppress them. 7 In the conference immediately pri- or to the beginning of trial, the judge informed counsel that he had listened to the tape given him and had read the transcript, and that he was denying the motion to suppress the transcript. He indicated, though, that the jury would receive a thorough instruction as to the weight to give the transcript. On the second day of trial, when the defendants renewed their objection as the tapes were about to be played, the district court stated: “I listened to the tape myself, compared it to the transcript, and it was my determination that it is not so unintelligible that someone familiar with the transaction could not have made a transcript that was just for the jury’s consideration.” 8 The defendants did not request a more specific finding as to the accuracy of the transcript.
We conclude that the district court’s handling of the situation was within its discretion. Its finding that a reliable transcript
*438
could have been made by someone familiar with the conversation was a direct consideration and rejection of the objection raised by the defendants, and put the case back into the posture contemplated in
Onori:
it was the province of the jury to decide whether the government’s transcript was accurate, and the obligation of the defendants to raise specific challenges to the transcript before the jury.
9
Moreover, the district court gave a thorough limiting instruction to the jury, which the
Onori
decision indicates is “the key to protecting a defendant’s rights in this situation.”
Onori,
VIII. Lack of Effective Assistance of Counsel
Stone finally contends that he was denied his Sixth Amendment right to counsel. He makes the following arguments in support of his position: (1) that the district court refused to allow his trial counsel to withdraw in the face of a clear conflict of interest; (2) that the district court’s scheduling interfered with the representation by his new trial counsel (who represented Stone jointly with the initial attorney); (3) that the district court interfered with his counsel’s cross-examination at various points in the trial; (4) that the prosecutor made an improper remark about defense counsel during closing argument to which defense counsel failed to object; (5) that defense counsel blundered in introducing the evidence about Mock, because that evidence enabled the government to elicit testimony that the police had previously seized a methamphetamine lab from Stone’s address.
Several of these complaints — such as the scheduling issue and the alleged interference with cross-examination — are not in reality claims based on ineffective assistance of counsel; if Stone cannot identify error in the district court’s scheduling or evidentia-ry rulings themselves, then whatever disadvantage they caused him was not attributable to counsel. Nor do we perceive any reversible error in the district court’s rulings referenced in (2) and (3) above or in the prosecutor’s comment referenced in (4) above. Ineffective assistance of counsel was not raised below, so even the points that are genuine claims of this nature are not properly reviewable on this direct appeal.
See United States v. Armendariz-Mata,
Conclusion
Because we find no reversible error presented by any of Stone and Sienhau-sen’s contentions, the judgment of the district court is
AFFIRMED.
Notes
. Through a supplemental submission to this Court, Stone calls our attention to the recent Second Circuit case of
United States v. Perrone,
. We also note that defendants’ request here seeks to place before the jury a defensive theory not affirmatively raised by the evidence. Neither defendant presented any evidence at trial and none of the government’s evidence reflected that defendants did not intend to manufacture *433 methamphetamine; defense counsel’s suggestions during opening statements and argument and in his questions of Rogers on cross-examination are the only sources of that theory.
. The jury was instructed that they must be able to find beyond a reasonable doubt from the evidence:
"(1) That two or more persons in some way or manner, positively or tacitly, came to a mutual understanding to try to accomplish a common and unlawful plan, as charged in the indictment;
“(2) That the Defendant knowingly or intentionally became a member of such conspiracy."
The jury was additionally told that in order to convict they must find beyond a reasonable doubt that "Louis Elton Stone and Denise Sien-hausen did knowingly and unlawfully agree, conspire or confederate between themselves to manufacture in excess of one hundred grams of methamphetamine."
. This wording is not focused on in the appellate briefs of either defendant.
.
Cf. Lowenfield v. Phelps,
. Although
United States v. Mendoza,
. Again, Stone and Sienhausen do not raise an
authentication
issue as such. That is, they do not claim that the government failed to meet its initial burden of introducing testimony by the person who prepared the transcripts stating that they were accurate reproductions of the taped conversation.
See Sutherland,
.As noted above, at the pretrial hearing the district court found it unnecessary to consider the defendants’ first motion for the court to assess the accuracy of the transcripts before admitting them into evidence, because in the district court’s view the transcripts would not be admitted into evidence, only used as a guide for the jury while the tapes were being played. Although this broad, categorical distinction is one that has been rejected by this Circuit’s decisions,
see Onori,
. Stone and Sienhausen’s claim that the district court unduly interfered with cross-examination of Rogers is based on the same issue discussed in note 8: the district court’s arguable misuse of terminology in stating that the transcripts had not been admitted into evidence. The district court allowed defense counsel to question Rogers about the conversation as reflected in the transcript, but would not allow him to direct Rogers to a specific line and sentence in the transcript to cross-examine him about that statement, because the transcript was not "in evidence." No error is presented by this ruling, however, since imposition of a restriction such as this one is consistent with the "limited purpose" admission contemplated by Onori.
. Indeed, the district court indicated that it had listened to the only tape provided to it with the defendants’ motion, and the defendants made no further request or offer to supply the other tape.
. As to complaints of ineffective assistance of counsel (other than those referenced in (2), (3), and (4) above), our affirmance is without prejudice to same being appropriately pursued in a proper and timely proceeding under 28 U.S.C. § 2255.
