Case Information
*1 Before JONES, SMITH, and PRADO, Circuit Judges.
EDWARD C. PRADO, Circuit Judge:
Defendant–Appellant Pereneal Kizzee was charged with possession of ammunition and firearms by a convicted felon (count one), possession of a controlled substance with intent to deliver (count two), and possession of a firearm during and in relation to a drug trafficking crime (count three). Kizzee pleaded not guilty. At trial, the Government’s key witness was Detective Lance Schultz. The prosecutor asked Detective Schultz about questions he posed to a criminal suspect, Carl Brown, during an interrogation. In response to Detective Schultz’s questions, Brown inculpated Kizzee for distributing narcotics. But Brown did not otherwise testify, and he was not subject to cross- examination at trial. Kizzee objected based on hearsay and the Confrontation Clause, which the district court overruled. A jury found Kizzee guilty on all three counts. On appeal, Kizzee argues that the prosecutor’s questions and Detective Schultz’s testimony effectively admitted Brown’s out-of-court statements in violation of the Confrontation Clause and the rules on hearsay. Because we find that the prosecutor’s questioning of Detective Schultz admitted testimonial hearsay in violation of the Confrontation Clause, we VACATE Kizzee’s conviction for counts two and three and REMAND for a new trial.
I. BACKGROUND
On February 4, 2014, Detective Schultz and his partner, Detective Justin Lehman, were conducting surveillance at 963 Trinity Cut Off Drive in Huntsville, Texas (the “building” or “house”). [1] The officers had previously received information suggesting that drugs were being sold at that location, and they were aware that Defendant Kizzee was frequently seen there during the day. During their surveillance, the officers observed Carl Brown arrive at the house, speak with Kizzee on the porch, and depart after two to three minutes. Suspecting that Brown had purchased drugs from Kizzee, the officers contacted Officer Taylor Wilkins and requested he follow Brown in order to develop probable cause and conduct a traffic stop.
Officer Wilkins testified at trial that he stopped Brown after observing a traffic violation. Officer Wilkins ordered Brown to exit the vehicle and requested permission to search his person, which Brown granted. After searching Brown, Officer Wilkins discovered a bag containing 0.54 grams of crack cocaine inside the liner of his cap. Officer Wilkins arrested Brown and transported him to the police department. At the police department, Detective Schultz questioned Brown. In response to Detective Schultz’s questions, Brown stated that he purchased the narcotics found in his hat from Kizzee, and he had purchased drugs from Kizzee on previous occasions. Although Brown had served as a reliable informant for Schultz in the past, Brown later recanted his statements to Detective Schultz, denied implicating Kizzee, and indicated he did not want to testify.
After Detective Schultz questioned Brown, he obtained a search warrant for the building at 963 Trinity Cut Off Drive. On February 5, 2014, Officer Wilkins executed the search warrant with the assistance of other officers, including Agent Jared Yates. When the officers arrived, Kizzee opened the front door and peeked out of the doorway. Kizzee then shut and locked the door. The officers forced their way into the building within 45 seconds, and they found Kizzee in the bathroom filling the toilet with water from a five-gallon jug. Detective Schultz ordered Kizze to “show me your hands and get on the ground.” Kizzee looked at Detective Schultz, but continued to pour water into the toilet bowl until Schultz grabbed Kizzee and arrested him. Kizzee was removed from the house, searched, and placed in the back of a patrol unit.
The officers thoroughly searched the house and surrounding grounds. The officers took apart the plumbing associated with the toilet and searched the pipes, but found no evidence of narcotics. Ultimately, the search yielded less than a gram of crack cocaine, $1,183 in Kizzee’s front pockets, two rifles, and ammunition. According to Agent Yates, the search of the house revealed no evidence of crack cocaine use, nothing consistent with drug distribution, and no proof that Kizzee destroyed any evidence. The officers found a clear plastic bag containing 0.2 grams of crack cocaine in the overflow of the bathroom sink. They also found a microwave and several Pyrex dishes and plastic bowls on the bathroom shelves. Detective Schultz testified that a Pyrex dish and two plastic bowls contained a white residue on them, but Jennifer Hass, the Government’s expert witness, testified that no controlled substance was detected on these items. Two .22 caliber rifles were found in the corner of a room in the building. The officers also found several surveillance cameras still wrapped in plastic in the box, and a safe containing a money counter. Two additional rifles were found in a metal shed behind the building. The officers found three mobile phones in the house. One phone contained two missed calls from Brown’s phone number, and one outgoing call to Brown’s mobile phone. The calls were all made before Brown appeared at Kizzee’s house on the day Brown was arrested. The phone also contained a text message warning of Brown’s arrest.
Kizzee was arrested and charged with possession of ammunition and firearms by a convicted felon in violation of 18 U.S.C. § 922(g)(1) (count one), possession of a controlled substance with intent to deliver in violation of 21 U.S.C. §§ 841(a)(1) and 841 (b)(1)(C) (count two), and possession of a firearm during and in relation to a drug trafficking crime in violation of 18 U.S.C. § 924(c)(1)(A) (count three). Kizzee pleaded not guilty to all three counts.
After unsuccessfully challenging the validity of the search warrant, Kizzee stood trial. During Detective Schultz’s testimony for the Government, the prosecutor inquired about Detective Schultz’s questioning of Brown:
Prosecutor: Detective Schultz, did you ask Mr. Brown a series of questions after you arrived at the police department?
[Schultz]: Yes, sir, I did.
Prosecutor: Did you ask Mr. Brown whether or not he obtained the narcotics that were discovered in his hat from Pereneal Kizzee? [Schultz]: Yes, sir, I did.
Prosecutor: Did you ask him if he obtained the narcotics that were discovered in his hat immediately prior to being stopped?
[Schultz]: Yes, sir.
Prosecutor: Did you ask Mr. Brown whether or not he had seen any additional narcotics at 963 Trinity Cut Off?
[Schultz]: Yes.
. . .
Prosecutor: Did you ask him whether or not he obtained drugs from Mr. Kizzee on previous occasions?
[Schultz]: Yes, sir.
Prosecutor: Based on your observations the day before that involved the surveillance at Mr. Kizzee’s residence, the stop by Officer Taylor [Wilkins], the discovery of narcotics, and your subsequent interview of Mr. Brown, what did you and Detective Lehman do?
[Schultz]: I was able to obtain a search warrant for 963 Trinity Cut Off.
Defense counsel objected to this line of questioning based on hearsay and the Confrontation Clause, which the district court overruled.
The jury found Kizzee guilty on all three counts. The court sentenced him to 130 months of imprisonment, consisting of 70 months each as to counts one and two, running concurrently, followed by a consecutive term of 60 months as to count three. Kizzee timely filed a notice of appeal.
II. DISCUSSION
A. Confrontation Clause Violation
On appeal, Kizzee argues that Detective Schultz’s testimony implicitly
introduced Brown’s out-of-court statements in violation of the Sixth
Amendment Confrontation Clause and hearsay rules.
[2]
Kizzee properly raised
a Confrontation Clause objection, thus preserving his claim of error.
See United
States v. Polidore
,
The Confrontation Clause of the Sixth Amendment provides that “[i]n all
criminal prosecutions, the accused shall enjoy the right . . . to be confronted
with the witnesses against him.” U.S. Const. amend. VI. The Confrontation
Clause bars the admission of “testimonial statements of a witness who did not
appear at trial unless he was unavailable to testify, and the defendant had []
a prior opportunity for cross-examination.”
Crawford v. Washington
, 541 U.S.
36, 53–54 (2004). The Supreme Court has defined “testimony” as “[a] solemn
declaration or affirmation made for the purpose of establishing or proving some
fact.”
Id.
at 51 (alteration in original) (citation omitted). But “the Confrontation
Clause ‘does not bar the use of testimonial statements for purposes other than
establishing the truth of the matter asserted.’”
Williams v. Illinois
, 132 S. Ct.
2221, 2235 (quoting
Crawford
,
1. Testimonial Statement
We begin our analysis by examining whether the court admitted the
testimonial statement of a witness who did not appear at trial.
Crawford
, 541
U.S. at 53–54. “[A] statement is testimonial if its ‘primary purpose . . . is to
establish or prove past events potentially relevant to later criminal
prosecution.’”
Duron–Caldera
, 737 F.3d at 992–93 (quoting
Davis v.
Washington
,
Instead, the Government argues that no statement made by Brown was ever introduced at trial, and Detective Schultz testified only as to his own observations. After objecting to Detective Schultz’s testimony regarding Brown’s interrogation based on hearsay and the Confrontation Clause, counsel approached the bench to discuss Brown’s status as a nontestifying witness. The prosecutor justified his questioning of Schultz by arguing that “hearsay is an out-of-court statement. You are not going to hear this witness utter one single word that Carl Brown replied in response to any of the questions. It can’t possibly be hearsay.” The Government adopts this argument on appeal, arguing that “[n]o statement made by Brown was offered for its truth;” the only testimonial statements offered to the jury were Detective Schultz’s own statements.
This Court has recognized that police testimony about the content of
statements given to them by witnesses are testimonial under
Crawford
;
officers cannot refer to the substance of statements made by a nontestifying
witness when they inculpate the defendant.
See Taylor
,
Here, Detective Schultz’s testimony introduced Brown’s out-of-court
testimonial statements by implication. At trial, the prosecutor asked Detective
Schultz the specific questions he posed to Brown, and the content of this
testimony implicitly revealed Brown’s statements.
See Taylor
,
The Government cites two cases in support of its argument that no
statement by Brown was introduced at trial:
United States v. Flores
, 286 F.
App’x 206 (5th Cir. 2008);
United States v. Lopez-Moreno
,
The Government’s argument also disregards the fact that a prosecutor’s
questions may trigger the Confrontation Clause by revealing to the jury that a
nontestifying witness conveyed incriminating information.
See Johnston
, 127
F.3d at 394. The question in this case is not whether Detective Schultz
explicitly introduced Brown’s out-of-court statements, but whether Brown’s
out-of-court statements were readily inferred from Detective Schultz’s
testimony.
See, e.g.
,
Taylor
, 545 F.3d at 336;
United States v. Rodriguez-
Martinez
, 480 F.3d 303, 308 (5th Cir. 2007);
Favre
, 464 F.2d at 362. This
approach is consistent with the law of other circuits.
See United States v.
Meises
,
The content of Brown’s statements could be readily inferred from the prosecutor’s questions and Detective Schultz’s testimony. Detective Schultz’s testimony revealed the substance of Brown’s statements inculpating Kizzee, leading to the clear and logical inference that Brown believed and said that Kizzee was the source of his drugs. Thus, the prosecutor’s questioning of Detective Schultz introduced testimonial statement for purposes of the Confrontation Clause.
2. Statement Offered for its Truth
Next, we consider whether Brown’s statements introduced at trial
through Detective Schultz’s testimony were offered for their truth: to prove
Kizzee’s guilt in the crime charged. The Confrontation Clause does not apply
to out-of-court statements offered into evidence for a purpose other than
establishing the truth of the matter asserted.
See Williams
,
The Government argues that Schultz’s statements were limited to his own knowledge and actions, and they explained the basis for obtaining a warrant. According to the Government, Detective Schultz is permitted to testify about what he saw, what happened to Brown on February 4, and Schultz’s actions based on what he learned from Brown and other sources. The Government characterizes Detective Schultz’s testimony as follows:
The substance of Schultz’s testimony was that he saw Brown arrive at Kizzee’s, buy drugs, and then leave. Immediately after that, Brown was arrested and found in possession of drugs. Schultz and Lehman obtained a search warrant and found drugs, drug paraphernalia, ammunition, firearms at Kizzee’s house the next day. This is what Schultz saw and heard on February 4 and 5, rather than inadmissible hearsay.
Thus, according to the Government, Brown’s statements were not offered to show Kizzee’s guilt, but for a constitutionally permissible, nonhearsay purpose. Kizzee argues that a reasonable jury could only have understood Schultz’s testimony to communicate that Brown identified Kizzee as his drug source. Because the prosecutor’s implicit statements suggested Kizzee’s guilt and were not necessary to explain Schultz’s actions, we find that Detective Schultz’s testimony introduced Brown’s statements for their truth.
Testifying officers may provide context for their investigation or explain
“background” facts.
See United States v. Smith
, 822 F.3d 755, 761 (5th Cir.
2016). Such out-of-court statements are not offered for the truth of the matter
asserted therein, but instead for another purpose: to explain the officer’s
actions.
See Castro–Fonseca
,
In this case, the prosecutor’s questions and Detective Schultz’s subsequent testimony exceeded the scope required to explain Detective Schultz’s actions. Detective Schultz’s testimony left the jury with the impression that Brown’s statements were instrumental in obtaining a search warrant. While Detective Schultz no doubt observed this interrogation, his observations cannot serve as a justification to circumvent constitutional protections; testimony introducing out-of-court statements by a nontestifying witness can result in a violation of the Confrontation Clause. [3] Admitting testimony regarding Brown’s interrogation was not necessary to explain Detective Schultz’s actions; there was minimal need for Detective Schultz to explain the details forming the basis of the search warrant. Detective Schultz could have merely explained that he obtained a warrant to search Kizzee’s property following Brown’s arrest. In fact, the Government’s characterization of Detective Schultz’s testimony on appeal does just this, omitting that the prosecutor questions Detective Schultz regarding Brown’s interrogation.
Detective Schultz’s testimony was not limited to merely explaining his actions; it showed that Brown bought drugs from Kizzee, and Kizzee had more at the house. Testimony regarding questions posed to Brown was not necessary. Other circumstantial evidence and Detective Schultz’s observations would have been sufficient to explain his investigatory actions and provide background information. Thus, Brown’s out-of-court statements inculpating Kizzee were introduced for their truth—to show Kizzee’s guilt in the crime charged.
3. Unavailable Witness and Prior Opportunity to Cross-Examine
Even if a testimonial statement is admitted against a defendant at a
criminal trial, the Sixth Amendment is not violated if both the declarant is
unavailable to testify and the defendant had a prior opportunity to cross-
examine him or her.
Crawford
,
We agree. The fact that a defendant
could
call a witness cannot fairly
constitute a prior opportunity to cross-examine that witness. Otherwise, a
prosecutor could introduce hearsay statements by
any
available witness
merely by proposing that the defense could call them instead. Even if Kizzee
had a prior opportunity to examine Brown, Brown was not unavailable as
defined by the Federal Rules of Evidence.
See
Fed. R. Evid. 804(a) (listing
criteria for being unavailable as a witness). In fact, the Government concedes
that “Brown was not unavailable as a witness. The United States had
subpoenaed Brown, but elected not to call him.” The Government did not offer
any reason why it did not elect to call Brown as a witness, only that it was “not
interested in having [Brown].” Finally, a police officer’s testimony is no
substitute for a nontestifying declarant and does not cure a Sixth Amendment
violation.
See Davis
,
B. Harmless Error
Kizzee argues that the error in admitting Brown’s statements in violation of the Confrontation Clause and hearsay rules was not harmless. According to Kizzee, he was not permitted to cross-examine Brown about his out-of-court statements, which were critical to the Government’s case. Kizzee similarly questions the reliability of Brown as a witness. Kizzee also argues that no other witness in this case could provide testimony from personal knowledge about Kizzee’s drug sales. The Government only argues that Kizzee cannot show that the admission of hearsay affected his substantial rights.
Confrontation Clause violations and errors in the admission of hearsay
evidence are subject to review for harmless error.
Polidore
,
The Government referenced Detective Schultz’s testimony and Brown’s
interrogation in its closing statement. The importance of testimony to the
prosecution’s case can be underscored if it is referenced in closing statements.
United States v. Alvarado-Valdez
,
While other circumstantial evidence implicated Kizzee and corroborated Brown’s out-of-court statements, we find this evidence is insufficient to show harmless error beyond a reasonable doubt. Detective Schultz testified that the Kizzee’s property was known for drug transactions, and he regularly saw drug traffickers at the address in question. He also observed Brown briefly speak to Kizzee at the address, and he identified their interaction as a drug transaction based on his experience. After stopping and searching Brown, another officer found Brown to be in possession of crack cocaine. Schultz also testified that Kizzee was present at the house, and cell-phone logs linked Kizzee to Brown. Kizzee was found with $1,183 in his front pockets. Officers also found guns and ammunition in the house, as well as apparently new surveillance cameras. But other evidence on the record contradicts Brown’s statements. Only 0.2 grams were found in the house, less than the 0.54 grams found on Brown’s person. Dishes found in the house had no evidence of any controlled substance when tested. And other officers testified that nothing was found in Kizzee’s house that was consistent with using or distributing narcotics. There was also no evidence recovered to indicate that Kizzee destroyed any evidence in the house. This circumstantial evidence offered by the Government is inconclusive at best, and the prejudice caused by the prosecutor’s improper questioning is more likely to have contributed to Kizzee’s conviction. Thus, the Government’s has not shown beyond a reasonable doubt that the admission of Brown’s statements was harmless error.
As Kizzee argues, no other witness in this case could provide testimony
from personal knowledge that Kizzee sold drugs. Brown’s testimony was
crucial to establishing Kizzee’s guilt. But Kizzee questions Brown’s credibility
as a witness, and Brown denies ever making the statements attributed to him
in the warrant application. The only remaining evidence establishing Kizzee
as a drug dealer was circumstantial. And the remaining circumstantial
evidence does not appear to be enough to show that “there is [no] reasonable
possibility that the evidence complained of might have contributed to the
conviction.”
Chapman
,
III. CONCLUSION
For the foregoing reasons, we find that the introduction of Brown’s out- of-court statements through the prosecutor’s questioning of Detective Schultz admitted testimonial hearsay in violation of the Confrontation Clause. As a result, we VACATE Kizzee’s conviction for counts two and three and REMAND for a new trial.
Notes
[1] The structure at 963 Trinity Cut Off Drive was approximately 600 or 700 square feet. Although, there were no bedrooms and no kitchen in the structure, it is sometimes referred to as Kizzee’s residence or house.
[2] The Confrontation Clause and hearsay rules are not coextensive, but they do overlap. See Crawford v. Washington , 541 U.S. 36, 51, 53 (2004). This opinion focuses on the Confrontation Clause analysis to the extent it is dispositive.
[3] In support of its argument, the Government offers two cases holding that law
enforcement officers may testify about their own observations.
See United States v. Potwin
,
[4] Kizzee was convicted of three counts: possession of ammunition and firearms by a convicted felon in violation of 18 U.S.C. § 922(g)(1) (count one), possession of a controlled substance with intent to deliver in violation of 21 U.S.C. §§ 841(a)(1) and 841 (b)(1)(C) (count two), and possession of a firearm during and in relation to a drug trafficking crime in violation of 18 U.S.C. § 924(c)(1)(A) (count three). The testimonial statements at issue in this case pertained to Kizzee’s role in distributing a controlled substance, implicating counts two and three. The statements were not relevant to count one. Kizzee’s conviction for possession of ammunition and firearms by a convicted felon is thus undisturbed by our ruling.
