UNITED STATES OF AMERICA v. ALCIDES RODRÍGUEZ-DURÁN, et al.
Nos. 06-1400, 06-1401, 06-1402, 06-1403, 06-1404, 06-1405, 06-1406, 06-1407, 06-1408
United States Court of Appeals For the First Circuit
November 21, 2007
Hon. Jose Antonio Fuste, U.S. District Judge
Before Lipez and Newman,* Circuit Judges, and Selya, Senior Circuit Judge.
Lorenzo J. Palomares for appellant Rodríguez-Durán; Luis M. Cháves Ghigliotty for appellant Cabello-Acuno; Johnny Rivera González for appellant Morelis-Escalona; David W. Roman and Brown & Ubarri on brief for appellant Minoungou; Gary H. Montilla-Brogan and Aldarondo & Lopez-Bras, P.S.C. on brief for appellant Okley; Jorge Luis Gerena-Méndez for appellant De La Rosa; Michael R. Hasse for appellant González-Valero; Luis A. Guzmán Dupont for appellant Padilla-Moreno; Guillermo A. Macari-Grillo for appellant Almonte.
Timothy R. Henwood, Assistant United States Attorney, with whom Rosa Emilia Rodríguez-Vélez, United States Attorney, and
*Of the Federal Circuit, sitting by designation.
I.
The facts underlying this case are largely undisputed; to the extent they are contested, we view the evidence in the light most favorable to the jury‘s verdict. United States v. Downs-Moses, 329 F.3d 253, 257 (1st Cir. 2003).
Surveillance continued, and shortly before midnight, radar transmissions indicated that the cargo ship - later identified as the Sea Atlantic - came into direct contact with the small boat. The small vessel turned off its radar once the two vessels appeared to merge; it was not seen departing the area. The next morning, a helicopter was launched with a Coast Guard law
Officer Richard Young, a linguist who was part of the enforcement team, then initiated radio contact with the captain of the Sea Atlantic, appellant Alcides Rodríguez-Durán. The captain reported that the vessel was registered in Bolivia, its last port of call was Curaçao, its next port of call was Vera Cruz, Mexico, and the purpose of the current voyage was to carry cargo. However, when asked the nature of the cargo, Rodríguez-Durán explained that he was bringing the ship to Mexico to be sold. The inconsistencies in the captain‘s report raised Cieblik‘s suspicions, and he told the USCG Command Center in Miami, Florida - Coast Guard District 7 - that he wanted to board the vessel. The Coast Guard secured the
The investigation turned up a variety of information and items of interest, including a nautical chart of the Caribbean with two markings, one of which was the approximate location where the Sea Atlantic and the small boat had appeared to rendezvous. The USCG officers also noticed that two sets of blueprints for the vessel showed different uses for one particular area and, upon a close examination of the ship‘s layout and measurements, they detected a space below a berthing room - a crew bedroom - that was not readily accessible. A strong odor of fresh paint emanated from the room, which had new carpet and new walls - unlike the other
An ion scan of the vessel showed traces of cocaine in various locations,5 including in multiple berthing areas and the ship‘s galley, and on a forklift inside the cargo hold. Tests performed on the crew members and their clothing showed cocaine on the hands of two of them, Padilla and Cabello. Through testimony
According to Young, when the first bale was brought on deck, in view of the crew members, their previous lighthearted demeanor changed and they became silent and seemingly dejected. The men were detained in the bow area as the USCG officers directed the ship to Puerto Rico, a trip that took more than a week. On September 3, 2005, after the Sea Atlantic reached Puerto Rico, a search of the vessel produced three items of evidence introduced at trial. First, a piece of paper found in the cabin occupied by appellant Cabello bore two telephone numbers and the notation “Jose Luis” - the first names of the tenth defendant in this case, Jose Luis Tejeiro-García (“Tejeiro“).6 A second piece of paper was found in a cardboard box used as a trash can in Cabello‘s berth; it
On a third piece of paper, found on the nightstand in Rodríguez-Durán‘s berth, was the word “encuentro,” which means “meeting,” and some coordinates that appeared to designate a location in the ocean. Rodríguez-Durán admitted that the paper belonged to him.
After their arrival in Puerto Rico, the crew members were interviewed by Immigration and Customs Enforcement (“ICE“) agents. Special Agent José Rosado-Santiago (“Santiago“) testified at trial that Morelis told him that he had been hired in Venezuela by a man named Tejeiro to work as a longshoreman on the Sea Atlantic for $600 per month. Morelis reported that Tejeiro told him the vessel would travel from Venezuela to Curaçao and that a load of illegal merchandise would be delivered by boat. Payment for transporting the contraband would be $40,000. Morelis told the agent that a “go-fast” boat brought the drugs to the Sea Atlantic after the vessel left Curaçao.
Rodríguez-Durán was the only defendant to testify at trial. He reported that he had been hired by Tejeiro in early 2004 to master a vessel named Paola. However, he did not see the ship until May 2005 when he flew from Venezuela to the Dominican
In August, Rodríguez-Durán received orders from Tejeiro to take the vessel to Curaçao to pick up cargo; in Curaçao, Rodríguez-Durán again met up with Tejeiro, who told him that the original plan had been to transport drugs from Curaçao in asphalt drums. That plan fell through and Tejeiro instead gave Rodríguez-Durán a set of coordinates on the high seas that designated a meeting point. Tejeiro ordered the captain not to leave the ship and to conceal the real purpose of the trip from his crew; he was instructed to tell the others that the vessel was being transported to Mexico because it had been sold. Rodríguez-Durán testified that Tejeiro threatened to harm his family if he disobeyed the instructions.
The Sea Atlantic set off on a course toward Mexico on the night of August 24, and, according to Rodríguez-Durán‘s testimony, about two hours before they reached the designated meeting point,
Rodríguez-Durán also testified that, at approximately midnight, the crew members helped transfer sacks of drugs from the small boat into the hiding place on the Sea Atlantic. Once the bales of cocaine were sealed in the space beneath the bunk bed, the crew members cleaned the area with Clorox. On cross-examination, Rodríguez-Durán admitted that, while the crew members were gathered on the deck of the ship after the Coast Guard search, they agreed that they would all deny knowing when the drugs came on board. Rodríguez-Durán first reported the alleged threat against his family at his third meeting with the FBI, in early October 2005.
On September 14, 2005, a federal grand jury returned a three-count indictment against appellants and Tejeiro. Count One charged a conspiracy to possess cocaine on board a vessel subject to the jurisdiction of the United States, with the intent to distribute, in violation of
A five-day jury trial began on October 24. Relying on Rodríguez-Durán‘s testimony, appellants defended against the charges in large part by claiming they participated in the drug transfer only because they had no choice. Rodríguez-Durán‘s closing argument highlighted the threats against his family. The other eight appellants, who did not testify, emphasized in closing arguments that they could not leave the ship when they learned at the last minute about the impending drug transfer and that, if they refused to cooperate, they faced certain death at the hands of the Colombians. Appellants requested, and received, a jury instruction on the defense of duress, and the court also told the jury that the defendants’ mere presence on the ship was insufficient to establish guilt.
board a vessel subject to the jurisdiction of the United States.” The statute was in all material respects recodified in October 2006 at
On appeal, defendants collectively raise nine different issues concerning their convictions and sentences, with three recurring most frequently among them: (1) the evidence was insufficient to support their convictions, (2) they were given inadequate time to prepare for trial and pursue plea negotiations, and (3) the district court erred in refusing to grant “safety valve” credit in sentencing. We begin with these three contentions and then turn to the remaining six claims of error.
II.
Seven defendants claim that the evidence was insufficient to support their convictions, including Cabello, the only one of that group found guilty of both substantive counts.10 All seven moved for judgment of acquittal, pursuant to
Five of the defendants who were convicted only on the possession charge (Minoungou, Okley, De La Rosa, González-Valero and Almonte) are factually in like circumstances and make similar
A. Sufficiency Claim of Minoungou, Okley, De La Rosa, González-Valero, Almonte
To prove that defendants aided and abetted the cocaine venture, the government needed to show that they participated in it and sought by their actions to make it succeed. Downs-Moses, 329 F.3d at 261. “[M]ere association with the principal or presence at the scene of the crime is insufficient, even with knowledge that the crime is to be committed.” United States v. García-Carrasquillo, 483 F.3d 124, 130 (1st Cir. 2007). A violation of
These five appellants challenge only the sufficiency of the evidence on the third element, asserting that the government offered no proof of their willing involvement in the cocaine
The primary difficulty with appellants’ argument is a familiar one: the jury may reject even a “reasonable hypothesis inconsistent with guilt,” United States v. Guerrero-Guerrero, 776 F.2d 1071, 1075 (1st Cir. 1985), so long as the evidence also reasonably supports culpability, see, e.g., United States v. Ortiz, 447 F.3d 28, 33 (1st Cir. 2006) (“[T]he possibility of innocuous explanations for [a defendant‘s] behavior does not foreclose the jury‘s contrary inferences.“); Guerrero-Guerrero, 776 F.2d at 1075 (“[T]he jury is free to choose among varying interpretations of the evidence, as long as the interpretation they choose is
Despite these explicit instructions, the jury concluded that the defendants were guilty of aiding and abetting the possession of the cocaine. Ample evidence supported that determination. Unquestionably, the jury could have found that all crew members were involved in transferring the cocaine between the two vessels; Rodríguez-Durán said as much, and the number of bales and the nature of the concealment strongly indicated that many hands were necessary to accomplish the transfer and then seal the drugs in the hidden compartment during the early morning hours of
In addition, the affirmative evidence suggesting Cabello‘s more active involvement and, possibly, prior knowledge - the “code on board” list and the paper with phone numbers and Tejeiro‘s name that were found in his berth - reasonably could be viewed as discrediting Rodríguez-Durán‘s testimony that none of the crew was aware in advance of the purpose of the trip, thus undermining the duress defense for all of the defendants.14
Rodríguez-Durán‘s testimony was further discredited by the captain‘s admission that he had lied to law enforcement officers on multiple occasions.15 That fact not only entitled the jury to reject his testimony, but also to presume that “the fabrication was
In addition, Officer Young‘s testimony that the crew members became silent and dejected when they realized the cocaine had been discovered reinforces the inference of culpable participation. The jury also heard testimony from Officer Vidal of the Drug Enforcement Administration task force that persons who transport shipments of drugs “do it with full knowledge and for purely economic reasons” and that drug traffickers would not entrust a multi-million-dollar shipment to anyone in whom they did not have confidence.
To be sure, this was a case in which the government‘s evidence of complicity by these five defendants was wholly circumstantial and the jury reasonably could have concluded that they were initially unwitting, and later unwilling, participants in the venture.16 On this record, however, “the jury could certainly
B. Sufficiency Claim of Morelis
Given the previous sufficiency analysis, Morelis‘s sufficiency claim need not detain us. In addition to the evidence recited above, the jury heard Agent Santiago‘s testimony that Morelis had admitted being informed by Tejeiro about the illicit purpose of the Sea Atlantic‘s voyage and also had been told that $40,000 would be paid for the undertaking. The secret compartment was under the bed in his berth,18 and Rodriguez-Duran testified that Tejeiro told him to put the sacks of drugs there. As noted above, the government‘s narcotics expert, Vidal, testified that a drug shipment of such a high value would not be entrusted to someone in whom the ringleader had no confidence. The jury thus could have drawn the inference that Morelis‘s proximity to the drugs reflected Tejeiro‘s trust in him. In light of Morelis‘s acceptance of the job and the inferences that plausibly could be drawn concerning both the crew as a whole and Morelis individually, the jury reasonably could conclude that the evidence supported the “‘requisite two-step inference‘: (1) that the vessel was engaged in obviously illegal activity, and (2) . . . Appellant was ready to assist in the criminal enterprise.” Bravo, 489 F.3d at 9 (quoting Jimenez-Perez, 869 F.2d at 11).
C. Sufficiency Claim of Cabello
Cabello was found guilty of both substantive counts. To prove his guilt on the conspiracy charge, the government needed to show “‘that an agreement existed to commit the underlying offense . . . , that the defendant knew of the agreement, and that he opted to join in it, intending to commit the substantive offense,‘” United States v. Gonzalez-Velez, 466 F.3d 27, 37 (1st Cir. 2006) (quoting United States v. Gomez, 255 F.3d 31, 35 (1st Cir. 2001)). The jury could have concluded that he conspired with Rodriguez-Duran and Tejeiro based, among other things, on the piece of paper
III.
Five defendants assert that the district court abused its discretion in denying motions for continuance that were made both by the government and by nearly all of the defendants, allegedly rushing the defendants to trial at great cost to their ability to defend the charges against them and pursue plea negotiations.19 In addition, two of the five defendants claim that they were denied
A. Denial of the Continuance Motion
The decision whether to grant a continuance is a matter of discretion for the trial judge, and assessing whether denial of a request to postpone the start of trial constitutes an abuse of discretion requires a careful review of the facts of the particular case. Ungar v. Sarafite, 376 U.S. 575, 589 (1964); see also United States v. Saccoccia, 58 F.3d 754, 770 (1st Cir. 1995) (“[E]ach case is sui generis.“); United States v. Torres, 793 F.2d 436, 440 (1st Cir. 1986) (“In deciding whether denial of a continuance constitutes an abuse of discretion, we cannot apply a mechanical test, but must evaluate each case on its own facts.“). The relevant factors include the reasons contemporaneously presented in support of the request, the amount of time needed for effective preparation, the complexity of the case, the extent of
In this case, the district court held a status conference on September 30, 2005 - two weeks after defendants’ arraignment - and told counsel at its conclusion that the trial would begin on October 24 and that that was a “[f]irm date.” On October 13, the government filed a motion requesting a three-week continuance, noting that it was still in the process of finalizing discovery and, to date, had provided approximately 1,000 pages of discovery to defense counsel. The government also reported that plea negotiations had begun and expressed its belief that “a brief extension of time is needed in order for the attorneys to timely
Meanwhile, activity in the case was proceeding along two fronts: the government continued to release discovery material, and it exchanged plea offers with defendants. On October 17, the government told defense counsel by letter that it would consider plea offers, and it recommended that a proposed package deal be submitted by the close of business the next day. The letter also identified three witnesses the government intended to call at trial22 and stated that it would provide all of the defendants’ post-arrest statements to all parties on October 18. The record indicates that three additional discovery packages were provided: on October 17, defendants received four pages of documents and a CD that contained nautical charts and deck plans for the Sea Atlantic; on October 18, they received about 30 pages of materials consisting
On October 19, before the defendants were able to respond to the government‘s October 17 invitation for plea offers, the government sent counsel a letter offering to recommend a deal in which the defendants would plead guilty to both substantive counts of the indictment in exchange for sentences between 135 and 168 months’ imprisonment; the government said it would not oppose a sentence at the lower end of that range and also invited “reasonable counter-offers.” On October 22 - the Saturday before the Monday start date for the trial - defendants responded with an offer to accept seventy months’ incarceration in lieu of trial. The government rejected the offer, noting that “[t]his could have been a possible recommended sentence if a formal counter-offer had been received in a timely fashion.” However, because trial was about to begin, a jury panel had been summoned, witnesses had flown in from San Diego, and “the government has spent valuable time and resources in preparing for trial,” the government rejected the offer.
In arguing that the court abused its discretion in refusing to delay the trial‘s start date, defendants point in particular to their need for more time to complete plea negotiations - reflected in both the government‘s refusal to consider their offer on October 22 and the court‘s observation that
We recognize that the arrest-to-trial period here was extraordinarily short, particularly for a case in which nine separate defense counsel needed to coordinate schedules in order to collaborate on trial strategy. We also appreciate that counsel may have felt discomfort at proceeding without greater intimacy with the many pages of discovery materials. “‘The focus, [however], is on what constitutes a reasonable period of time for preparation, not on defense counsel‘s subjective satisfaction with his level of preparedness.‘” United States v. Moore, 362 F.3d 129, 135 n.7 (1st Cir. 2004) (quoting United States v. Marrero-Ortiz, 160 F.3d 768, 777 (1st Cir. 1998)). Even if we were to conclude that the court erred in pushing the case to trial so quickly, “[a] defendant is generally not entitled to a new trial unless he or she can identify
The Supreme Court has said that, in assessing the circumstances surrounding a continuance request, we should give particular attention to “the reasons presented to the trial judge at the time the request is denied.” Ungar, 376 U.S. at 589; see also Torres, 793 F.2d at 440. In addition, because lack of time to identify supportable defenses or crucial evidence frequently will be the harm alleged from denial of a continuance in a criminal case, evidence of prejudice developed during or after trial that is consistent with the original request for delay also may play a pivotal role in our review. Indeed, it may only be on appeal, after counsel has had time to carefully review the record, that the magnitude of the prejudice can be specifically shown. For example, when a defendant seeks a continuance because of voluminous discovery material, his later claim of prejudice from a denial will be enhanced if he identifies particular significant, exculpatory evidence that would have been available to him if the continuance had been granted. Cf. Rodriguez-Marrero, 390 F.3d at 22 (“Although
Here, defendants’ motions largely asserted generalities - the complexity of the case and the thousands of pages to review, the challenge of preparing a defense for foreign defendants unfamiliar with the United States’ justice system,23 the desire to continue plea negotiations and the need to find maritime experts. Even with the benefit of hindsight, they have pointed to no pivotal evidence or theories that realistically could have made a difference had they been allotted more time to prepare for trial. We now briefly address each point that has been raised on appeal, explaining why we conclude that none merits vacating the judgments.
1. Inability to Complete Plea Negotiations
Defendants cite the government‘s rejection of their October 22 plea offer based on the imminent start of trial as evidence that a postponement in the trial date would have enabled them to successfully complete plea negotiations. Even assuming, for argument‘s sake, that denying or curtailing the time to conduct plea negotiations can be a basis for a claim of abuse of discretion
It is apparent that the negotiations were not on the brink of completion, and defendants’ general claim that an unspecified amount of additional time would have made a difference
2. Certification of Consent
Defendants Morelis, De La Rosa and Rodriguez-Duran complain that they needed more time to obtain direct evidence from Bolivia to challenge the validity of the Coast Guard‘s consent to board the Sea Atlantic. However, defendants received copies of the official certification document on September 29. They concede that the certification is all that is required under the MDLEA to prove consent, see
In his brief and at oral argument, Rodriguez-Duran also contended that the certification contained an incorrect location for the vessel and that more time was needed to retain a maritime expert to explore the implications of that mistake. Specifically,
Consequently, we conclude that the alleged lack of time to pursue this issue lends no support to defendants’ claim that the court erroneously denied a continuance.
3. Voluntariness of Morelis‘s Statement
Before Agent Santiago testified about Morelis‘s statement admitting that Tejeiro told him that the Sea Atlantic would carry contraband, the court observed that no voluntariness issue had been raised with respect to the statement. Morelis‘s counsel responded that he had not yet done so, but had filed a continuance motion because he had not had time “to explore the whole contents of all the documents.” De La Rosa points to this exchange in arguing that the court‘s denial of a continuance was an abuse of discretion.
4. Rodriguez-Duran‘s Duress Claim
At oral argument on appeal, counsel for Rodriguez-Duran asserted for the first time that a continuance was necessary so that he could travel to Venezuela to investigate an alleged abduction of his client‘s daughter. Counsel implied that such an investigation would substantiate Rodriguez-Duran‘s claim that Tejeiro had threatened to retaliate against his family if he refused to cooperate in the drug trafficking scheme. At trial, Rodriguez-Duran testified that Tejeiro had told him that, in particular, his daughter and mother-in-law were being watched, and stated that Tejeiro had made contact with his family in Puerto Cabello. He further testified that he felt that “serious injury or death may be placed upon her.”26 However, Rodriguez-Duran never
5. General Claims of Prejudice
Finally, we find no merit in the miscellaneous generalities invoked by defendants, including their characterization of this case as complex and their invocation of the foreign citizenship of the defendants. Although the government provided a substantial quantity of discovery, the factual circumstances were not particularly complicated; the indictment stemmed from a single episode with a fixed cast of participants. Cf. Rodriguez-Marrero, 390 F.3d at 5, 9, 22 (considering continuance claim in case involving an alleged four-year drug conspiracy, four-week trial, more than forty witnesses, at least 4,500 pages of discovery, and twelve defendants charged in a twelve-count second superseding indictment). The defendants’ foreign nationalities are likewise without significance absent some identifiable, particular prejudice from their status, such as a
In sum, “[w]hile the trial judge held defendants to a tough schedule, in the absence of a showing of unfair prejudice to defendants, there was no manifest abuse of discretion.” United States v. Orlando-Figueroa, 229 F.3d 33, 41 (1st Cir. 2000).
B. Speedy Trial Act
Rodriguez-Duran and Morelis also claim that the district court‘s trial schedule violated the Speedy Trial Act, which guarantees that, unless a defendant consents in writing, a trial may not start sooner than thirty days from the date a defendant first appeared through counsel or expressly elected to proceed pro se. See
IV.
Defendants Rodriguez-Duran and Cabello assert that the admission into evidence of Morelis‘s statement recounting Tejeiro‘s offer of a $40,000 payment for the transport of contraband violated their rights under the Confrontation Clause of the Sixth Amendment. We exercise de novo review over Confrontation Clause challenges raising questions of law. United States v. Earle, 488 F.3d 537, 542 (1st Cir. 2007).
The Confrontation Clause guarantees a criminal defendant the right “to be confronted with the witnesses against him.”
When the out-of-court statement at issue was made by the defendant, it is typically classified as an admission and not
But a limiting instruction will not always be adequate to protect the Sixth Amendment rights of the declarant‘s co-defendants. In Bruton v. United States, 391 U.S. 123 (1968), the Supreme Court concluded that in certain instances - where a non-testifying defendant‘s extrajudicial statement is “powerfully incriminating” against other defendants - the statement may not be used in a joint trial at all. Id. at 126, 135-36; Vega Molina, 407 F.3d at 518-19; see also Gray v. Maryland, 523 U.S. 185, 192 (1998). In such a case, “the risk that the jury will not, or
Defendants argue that Morelis‘s statement was “powerfully incriminating” within the meaning of Bruton and that its admission into evidence through Agent Santiago‘s testimony was thus reversible error. The testimony was given during questioning by the prosecutor about Santiago‘s interview with Morelis after the Sea Atlantic arrived in Puerto Rico. Asked if Morelis indicated whether Tejeiro had told him the purpose of the trip at the time he was hired in Venezuela, Santiago answered affirmatively. He then elaborated:
He stated that they were going from Venezuela to Curacao to pick up a load. But Tejeiro told to him that a load with illegal merchandise will arrive to the boat, and he will pay $40,000 for that.
According to Rodriguez-Duran and Cabello, the statement was unduly prejudicial because it conflicted with the captain‘s testimony that the crew members had no knowledge of the drug deal before they boarded, undermining the duress defense and allowing the jury to infer intent to participate that was otherwise unsupported by the evidence.
Bruton, however, applies only to a statement that is “inculpatory on its face,” Vega Molina, 407 F.3d at 520 (citing
The statement at issue here made no explicit reference to any defendant other than Morelis and Tejeiro, and Rodríguez-Durán and Cabello point only to prejudicial inferences the jury could have drawn from the statement in light of other evidence presented at trial. As our discussion makes clear, this is not a Bruton problem, and the district court therefore did not err by admitting Santiago‘s testimony about Morelis‘s statement.
However, our conclusion that Bruton is inapt does not necessarily mean that there was no Sixth Amendment violation as recognized by Crawford.28 As we have explained, Morelis‘s statement was admissible only as to him, and the court should have instructed the jury not to consider it in assessing the other defendants’ involvement in the charged criminal activity.
That Bruton and its progeny do not absolutely preclude the introduction of a confession against the declarant-defendant at a joint trial . . . does [not] suggest condonation of the use of the declarant‘s out-of-court confession against the other defendants. Indeed, the case law unambiguously requires the trial court to instruct the jury that an out-of-court confession may not be considered as evidence against the declarant‘s codefendants.
Vega Molina, 407 F.3d at 522. The government does not urge any alternative basis for admitting Agent Santiago‘s testimony against Rodríguez-Durán and Cabello. Rather, it asserted in its brief and at oral argument that Santiago‘s testimony was admitted only as to Morelis. The record, however, is to the contrary. We have found no indication that the court gave such a limiting instruction either when the evidence was admitted or when the government relied on it in closing. In advance of Santiago‘s testimony, the court explicitly sought to avoid a Bruton-Crawford problem by limiting the evidence that could be introduced about Morelis‘s statement,29 but it did not advise the jury to consider the evidence only against Morelis.
Think about the postarrest statement of Ronald Jose Morelis that was made on September 3rd, 2005. This is very important. This is before any alleged duress. State the name who hired you. What does he say. Jose Luis Tejeiro hired him.
An objection from Morelis‘s attorney that “[t]hat is not what he testified” was overruled, and the prosecutor continued:
What was that postarrest statement. He said that Jose Luis Tejeiro hired him to bring illegal merchandise for $40,000 while he was in Curaçao. And that the drugs or the merchandise were going to be delivered while he was at sea. That is not duress.
Again, no limiting instruction was given, and the failure to do so was error. See Vega Molina, 407 F.3d at 521 (“Such an instruction would have been proper and should have been given.“).30 Rodríguez-
These two appellants are unable to satisfy that standard. Accepting that an error occurred and that it was obvious, they additionally must show impact on their substantial rights. United States v. Andújar-Basco, 488 F.3d 549, 554 (1st Cir. 2007). If all three of these prerequisites are satisfied, there is yet a further prerequisite; we may reverse only to prevent a miscarriage of justice. Id.; see also United States v. Robinson, 473 F.3d 387, 396-97 (1st Cir. 2007) (explaining that error under the plain error standard will not be noticed “unless it caused a miscarriage of justice or seriously undermined the integrity or public reputation of judicial proceedings” (internal quotation marks omitted)). The
The most damaging aspect of the statement for both defendants is that it conflicted with Rodríguez-Durán‘s testimony that none of the other crew members knew about the drugs until they were on board. While this inconsistency may have tainted their duress defense, we cannot conclude that it was a sufficiently serious defect to satisfy the plain error standard. Morelis‘s statement did not directly incriminate either of them. In addition, the challenged testimony included no indication that other crew members had similar conversations with Tejeiro or that Rodríguez-Durán had knowledge of Morelis‘s conversation. Thus, the jurors could have credited Santiago‘s hearsay report of the Morelis
Moreover, the government‘s case against these two defendants was otherwise strong. Incriminating papers were found in each of their berths, and the list of code words found in Cabello‘s room contained code names for both him and Rodríguez-Durán. Their positions as captain and first officer reinforced the documentary evidence suggesting that they were willing participants, and the paper found in Cabello‘s berth with Tejeiro‘s first names and phone numbers was particularly significant in linking him — as well as Rodríguez-Durán — to the crime‘s mastermind. Rodríguez-Durán testified, and the jury was thus able to appraise his credibility directly. This evidence was more than sufficient for us to conclude that there was no impact on these defendants’ substantial rights.
V.
Six defendants claim that the district court erred in denying them the benefit of the “safety valve” provision of the Sentencing Reform Act,
Whether a defendant is eligible for safety valve relief is determined by the district court at sentencing, United States v. White, 119 F.3d 70, 73 (1st Cir. 1997), and we review the district court‘s factual findings on that question for clear error, United States v. Rodríguez-Ortiz, 455 F.3d 18, 25 (1st Cir. 2006). Such review is “‘extremely deferential,‘” Bermúdez, 407 F.3d at 542 (quoting United States v. Marquez, 280 F.3d 19, 26 (1st Cir. 2002)), and “‘an appellate court ought not to disturb either
The district court conducted nine back-to-back sentencing hearings for the defendants, for the most part relying in the later proceedings on the explanations that it previously had given for its conclusions. At the first hearing, Almonte‘s, the government argued that the defendants were not entitled to the safety valve benefit because they had clung to the same duress story they presented at trial. Quoting from the Seventh Circuit‘s decision in United States v. Thompson, 106 F.3d 794, 801 (7th Cir. 1997), the government asserted that defendants’ adherence to “a false version of events and disput[ing] their own culpability, up to and including the sentencing hearing, is a sufficient basis for refusing to invoke the safety valve provision.” Id. at 801. Almonte‘s counsel responded that the defendants did not change their story because it was true, and he argued that the acquittals on the conspiracy count meant that “the jury believed that [defendants] learned about the drugs when they were in the high seas” — thus validating what the defendants said in their debriefings.
But the problem with this is what the 7th Circuit said in that case. It is simply this, the safety valve cannot be an automatic two point downward adjustment for the mere fact that be[cause] someone goes to an interview and sits down and says exactly what the theory of the defense was that was not accepted. There must be something more than that. There must be some acceptance of the facts and some explanation and recital of how is it that it happened. Some sort of mini confession, if you will. That is what the guidelines require. It is not a full cooperation. It is not expected that he will go and give all the information that nobody would expect him to have, but there must be that.
. . .
. . . I am not going to make a mockery out of the safety valve situation. The truth of the record is there is nothing on the record that suggests to me that I should grant the safety valve [] when there is not even a minimal contribution of the facts of how this happened with what is consistent of what I
heard happened in this trial. A small boat, a small number of crew members. It is unbelievable.
On appeal, defendants argue that the government presented no evidence establishing that they did not provide full, truthful information in their debriefings and that the court likewise failed to particularly identify instances of false or inconsistent statements or omissions. In effect, defendants argue that the court did not make the required independent factual assessment of their proffers to the government.
Although safety valve cases may involve detailed examination of a defendant‘s trial testimony and proffer, and specific factual findings comparing the consistency of various statements, see, e.g., Bermúdez, 407 F.3d at 542-43; Marquez, 280 F.3d at 23; White, 119 F.3d at 74, such specificity is not always required. We have observed that, while particular factual findings are preferable, “a district court may rest its decision on conclusory statements if those conclusions have ‘easily recognizable support in the record,‘” Bravo, 489 F.3d at 12 (quoting United States v. Miranda-Santiago, 96 F.3d 517, 529 (1st Cir. 1996)). In addition, the government is not required to offer objective rebuttal evidence to show that a defendant has been “untruthful or unforthcoming.” Marquez, 280 F.3d at 24.
In this case, the district court‘s ruling was undetailed, but specific. It found the defendants’ trial defense of duress,
VI.
Defendants Cabello and González-Valero each raise two additional claims of error, none of which warrants extended discussion. We address each in turn.
A. Cabello‘s Claims
1. Failure to Admit Proof of Certification
Cabello claims that the document certifying Bolivia‘s consent to the Coast Guard‘s boarding of the Sea Atlantic was marked as an exhibit but never formally introduced into evidence. Bolivia‘s consent was necessary to establish United States jurisdiction over the vessel, and Cabello argues that, without the certification, there was insufficient evidence to support his conviction. Because Cabello did not raise this issue in the district court, it is subject to review only for plain error. See United States v. Pratt, 496 F.3d 124, 127 (1st Cir. 2007). We find no such error.
2. Failure to Impose Reasonable, Individualized Sentence
Cabello, who was convicted of both the conspiracy and aiding and abetting counts, was sentenced to 235 months’ imprisonment, which was the low end of the applicable guidelines range. His counsel requested a three-year sentence based on his particular circumstances. On appeal, Cabello argues that the district court erred in failing to give him the benefit of various mitigating factors, including his status as both an alien and first-time offender, and his age (63), arguing that these
Challenges to the reasonableness of a sentence are reviewed with deference to the district court‘s determination. United States v. Dixon, 449 F.3d 194, 204 (1st Cir. 2006). If the court has made no legal error and “has offered a plausible explication of its ultimate sentencing decision, we are quite respectful of that decision.” Id. Although Cabello‘s sentence is substantial, it reflects the seriousness of the crimes of which he was convicted. He was found guilty of two charges involving transport of nearly 2,000 kilograms of cocaine, and significant inculpatory evidence was found in his berth. The court noted that the amount and type of narcotics involved triggered a base offense
In sum, the district court imposed a sentence that reflects the severity of the crime and reasonably rejected any deviation from the guidelines. We find no reversible error.
B. González-Valero‘s Claims
1. Courtroom Seating
Throughout the trial, the defendants were seated in the first two rows of the courtroom rather than at the defense table with their attorneys. On the second day of trial, González-Valero submitted an emergency motion stating that he could not communicate effectively with his attorney and requesting that he be seated beside counsel so that he could “interact and communicate regarding the evidence presented to fully exercise his rights to effectively confront and cross-examine testimony presented against him.” The next day, González-Valero‘s counsel asked the court if another table could be obtained because “[i]t is difficult to communicate.” The judge responded that he already had spoken with the marshals and that another table would not fit. The court then said: “Counsel, you can communicate.”
González-Valero contends that his distance from his attorney deprived him of his Sixth Amendment right to the effective assistance of counsel, and he argues that the district court abused its discretion in failing to either probe his claim of inadequate communication or make alternative arrangements. See United States v. Balsam, 203 F.3d 72, 82 (1st Cir. 2000) (noting that courtroom seating arrangements for defendants and counsel are reviewed for abuse of discretion).
2. Prison Clothing
González-Valero also claims that he was compelled to wear prison clothing for the first three days of the five-day trial,40 in violation of his constitutional right not to be forced to wear “identifiable prison garb” in court, United States v. Pina, 844 F.2d 1, 8 (1st Cir. 1988). See also Estelle v. Williams, 425 U.S. 501, 512 (1976) (holding that an accused may not be compelled to stand trial before a jury while dressed in identifiable prison clothes); Moore v. Ponte, 186 F.3d 26, 35 (1st Cir. 1999) (explaining that compelling a defendant “to attend trial in prison or jail clothing . . . could impair the presumption of innocence“) (citing Williams, 425 U.S. at 504-05). Defendant asserts that he first filed a motion asking that he be allowed to wear civilian clothing on October 23, 2005 — the day before the trial started. Receiving no response, he filed a second motion on October 25, after trial had started. That motion was granted the same day.
A due process violation occurs not from an accused‘s appearance in prison clothes but from the compulsion that he so appear. Williams, 425 U.S. at 512-13. Neither in his motions nor on appeal has González-Valero established or argued that he was
VII.
Unquestionably, counsel for the nine defendants in this case faced a formidable challenge: to prepare for a trial that began less than two months after their clients were arrested on serious drug trafficking charges. Despite the challenge, we cannot conclude that the district court abused its discretion in refusing to postpone the trial; defendants have identified no particular prejudice from the denial of their motions for continuance. The related claim that the trial court‘s schedule violated the Speedy Trial Act was waived. Nor did we find a lack of evidence to
Affirmed.
Notes
To prove a defendant guilty when a duress defense is raised you must conclude beyond a reasonable doubt that the defendants participated in the commission of the offense, that no such threat occurred or that the threat was not immediate or that the defendants had a reasonable opportunity to escape or otherwise frustrate the threat, but did not exercise this opportunity or that the defendants did not have a well-grounded belief that the threat would be carried out.
There are going to be some questions posed to the agent, period. And the areas of inquiry will not touch upon Bruton. There is going to be nothing against the law in this questioning. I assure you that.
