United States v. Becker

UNITED STATES COURT OF APPEALS
Tenth Circuit
Byron White United States Courthouse
1823 Stout Street
Denver, Colorado 80257
(303) 844-3157
Patrick J. Fisher, Jr. Elisabeth A. Shumaker
Clerk Chief Deputy Clerk

November 3, 2000

TO: ALL RECIPIENTS OF THE OPINION

RE: 98-3361, USA v. Becker
Filed on October 31, 2000

The court’s slip opinion, issued on October 31, 2000, omitted a concurrence
written by Judge Baldock. The court’s corrected opinion, with the concurrence, is
attached.

Sincerely,

Patrick Fisher, Clerk of Court

By: Jeanne Leal
Deputy Clerk
 F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
OCT 31 2000
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT

UNITED STATES OF AMERICA,

Plaintiff - Appellee,
v.
No. 98-3361
LESLEY LEE BECKER, also known
as James Lee Becker, also known as
James Allen, also known as (nfn) Lee,

Defendant - Appellant.

Appeal from the United States District Court
for the District of Kansas
(D.C. No. 97-CR-40101)

Melody Evans, Assistant Federal Public Defender for the District of Kansas
(David J. Phillips, Federal Public Defender, with her on the briefs), Topeka,
Kansas, for the appellant.

Gregory G. Hough, Assistant United States Attorney (Jackie N. Williams, United
States Attorney, with him on the brief), Topeka, Kansas, for the appellee.

Before BALDOCK, HENRY and LUCERO, Circuit Judges.

LUCERO, Circuit Judge.
 Appealing from both his conviction after trial and his sentence for various

drug and firearms charges, defendant-appellant Lesley Lee Becker asserts as

grounds for relief several evidentiary errors, insufficient evidence to support his

methamphetamine-related convictions, and error in his sentencing. The principal

assertions require us to further analyze two developing areas of law: the

protection afforded by the Sixth Amendment Confrontation Clause against the

admission of out-of-court statements of a non-testifying confidential informant

offered to show why police sought a search warrant; and whether a prior search

and subsequent drug convictions constituted inadmissible evidence of prior bad

acts. Exercising jurisdiction pursuant to 28 U.S.C. § 1291 and 18 U.S.C.

§ 3742(a), we conclude that although hearsay testimony and evidence of prior bad

acts should not have been admitted, any errors were harmless and we therefore

affirm Becker’s conviction and sentence.

I

On March 31, 1997, police searched Becker’s residence pursuant to a

warrant. During the search, police seized glassware, chemicals, a chemical

company brochure, and other manufacturing materials consistent with the

production of methamphetamine. Although methamphetamine was not discovered

at the residence, methamphetamine residue was detected in a bottle, a zip-lock

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bag, and a mixing bowl. The police also seized two recipes for methamphetamine

production, marijuana, numerous guns, and ammunition.

As a result of the evidence obtained during the search, Becker was indicted

on five counts: (1) attempting to manufacture methamphetamine in violation of 21

U.S.C. § 846 and 18 U.S.C. § 2; (2) managing and controlling a dwelling for the

purpose of unlawfully manufacturing and storing methamphetamine in violation

of 21 U.S.C. § 856(a)(2) and 18 U.S.C. § 2; (3) possessing with intent to

distribute marijuana in violation of 21 U.S.C. § 841(a)(1) and 18 U.S.C. § 2; (4)

possessing acetone with the intent to manufacture methamphetamine in violation

of 21 U.S.C. § 841(a)(1) and 18 U.S.C. § 2; and (5) possessing firearms in and

affecting commerce as a convicted felon in violation of 18 U.S.C. §§ 922(g) and

924(a)(2). A jury found Becker guilty on all counts. The district court sentenced

him to concurrent sentences of 262 months imprisonment on Count 1, 240 months

imprisonment on Counts 2 and 4, and 120 months imprisonment on Counts 3 and

5.

On appeal, Becker argues that hearsay from a confidential informant,

profile evidence of a methamphetamine cook, and prior bad acts were erroneously

admitted into evidence. Specifically, the jury heard from Officer Bruce Voigt,

who testified that an unidentified, non-testifying confidential informant told him

that Becker was selling methamphetamine and manufacturing hash oil and that

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this informant provided “true and reliable” information. (III R. at 196.) Becker

objected to this testimony as hearsay and a violation of the Confrontation Clause.

His motion in limine and contemporaneous objections were overruled. The jury

also heard testimony from Agent Tom Walsh who, based on his training and

experience, described the characteristics of a methamphetamine cook. Although

Becker did not object to this evidence at trial, he now asserts it constitutes

inadmissible profile evidence. As to prior bad acts, the district court overruled

Becker’s objection and admitted, pursuant to Fed. R. Evid. 404(b), evidence of

Becker’s prior convictions for conspiracy to possess methamphetamine and for

failure to pay a drug tax, as well as evidence of a prior raid on his home during

which police recovered items allegedly consistent with methamphetamine

manufacturing.

In addition to these evidentiary claims, Becker argues the evidence was

insufficient to support his methamphetamine-related convictions. As to his

sentencing, he contends the district court’s determination of drug quantity was

erroneous. The district court rejected Becker’s objections and adopted the

findings and recommendations of the presentence report, concluding that Becker’s

methamphetamine lab capability, as it pertains to Count 1, was six pounds based

on the amount of muriatic acid seized from his residence.

II

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 We review for abuse of discretion the district court’s evidentiary rulings,

considering the record as a whole. 1 See United States v. Jones, 44 F.3d 860, 873

(10th Cir. 1995). Becker argues the district court abused its discretion when it

admitted incriminating out-of-court statements by a non-testifying confidential

informant, introduced through Officer Voigt’s testimony, because the statements

at issue were hearsay and violated the Confrontation Clause of the Sixth

Amendment.

Hearsay is an out-of-court statement offered to prove the truth of the matter

asserted. See Fed. R. Evid. 801(c). Testimony which is not offered to prove the

truth of an out-of-court statement, but is offered instead for relevant context or

background, is not considered hearsay. See United States v. Wilson, 107 F.3d

774, 781 (10th Cir. 1997); United States v. Freeman, 816 F.2d 558, 563 (10th Cir.

1987). “[O]ut-of-court statements by informants offered to explain the

background of an investigation . . . must be evaluated under . . . Fed. R. Evid. []

401 and 403 for relevance and to prevent confusion or prejudice.” Freeman, 816

F.2d at 563 (citing United States v. Mancillas, 580 F.2d 1301, 1309-10 (7th Cir.

1978)). On hearsay issues, we accord heightened deference to the district court

1
The government argued in its brief that the standard of review here is
plain error because Becker failed to object to the evidence at trial, but conceded
at oral argument that Becker did indeed object to the admission of this testimony.

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“because the determination of whether certain evidence is hearsay rests heavily

upon the facts of the particular case.” Wilson, 107 F.3d at 780.

The following testimony of Officer Voigt was elicited during government

questioning:

Q: [W]hat information did the confidential informant give you that
caused you to believe that there was something criminal at the
Defendant’s residence?
[DEFENSE COUNSEL]: Judge, we would raise our objection
as previously mentioned for the record.
THE COURT: Overruled.
Q: . . . Why did you– what information did the [confidential informant]
give you that caused you to seek the search warrant?
A: The informant told me that Becker was selling
methamphetamine and was manufacturing hash oil. The
informant also advised me that there were chemicals in one of
the bedrooms which might be involved in a methamphetamine
lab. The informant had never actually observed Becker
manufacturing methamphetamine, though.
....
Q: What time period had the confidential informant been at the
Becker residence?
A: For approximately two months prior to the execution of the
search warrant.
Q: And when was the latest time prior to your application for the
search warrant?
A: It would have been within 48 hours of March 28th.

(III R. at 197, 199). The government contends the statement was offered to show

why Officer Voigt applied for the search warrant.

In United States v. Cass, 127 F.3d 1218 (10th Cir. 1997), we held that

an arresting or investigating officer should not be put in the false
position of seeming just to have happened upon the scene and should
be allowed some explanation of his or her presence and conduct.

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 However, testimony that the officer acted “upon information
received,” or words to that effect, should be sufficient.

Id. at 1223 (quoting 2 McCormick on Evidence (4th ed.) § 249, at 104 (citations

omitted)). “The government’s identification of a relevant non-hearsay use for

such evidence, however, is insufficient to justify its admission if the jury is likely

to consider the statement for the truth of what was stated with significant

resultant prejudice.” Id. (quoting United States v. Forrester, 60 F.3d 52, 59 (2d

Cir. 1995) (internal quotation omitted)).

Here, as in Cass, “the hearsay problem is exacerbated because the evidence

the government presented to ‘explain the course of its investigation’ . . . go[es] to

precisely the issue the government was required to prove.” Id. Furthermore, the

government bolstered the informant’s credibility and invoked the informant’s

statements for the truth of the matter asserted. In opening arguments, the

government stated that “the confidential informant’s reliability had been proven

to Officer Voigt.” (III R. at 175.) In closing arguments, the government referred

to the out-of-court statements to support its theory of the case: “We know that at

least 48 hours prior to the search warrant application on March the 28th, there

was methamphetamine in the Defendant’s residence.” (VI R. at 540.) The

evidence directly implicates the issue of guilt and the government clearly relied

on the informant’s statements as truthful. We conclude that such evidence was

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used for more than the “limited” purpose allowed by Freeman, 816 F2d at 563,

and its admission constitutes an abuse of discretion. See Cass, 127 F.3d at 1224.

Although the Confrontation Clause “does not embrace all of the limitations

of the federal hearsay evidentiary rule,” United States v. Perez, 493 F.2d 1339,

1342 n.3 (10th Cir. 1974) (citations omitted), we also conclude the admission of

Officer Voigt’s testimony concerning the statements of the informant violated that

constitutional guarantee. Because this is a constitutional claim, we review de

novo the district court’s determination that admission of the evidence did not

violate the Confrontation Clause. See United States v. Rith, 164 F.3d 1323, 1334

(10th Cir.), cert. denied, 120 S. Ct. 78 (1999).

In Ohio v. Roberts, 448 U.S. 56, 66 (1980), the Supreme Court analyzed the

relationship between the Confrontation Clause and the hearsay rules of evidence

and established the following general approach: “[W]hen a hearsay declarant is

not present for cross-examination at trial . . . his statement is admissible only if it

bears adequate ‘indicia of reliability.’” 2 “Out-of-court testimony satisfies the

2
The Supreme Court also held in Roberts, 448 U.S. at 66, that “the
Confrontation Clause . . . requires a showing that [a hearsay declarant] is
unavailable.” The Court later modified the unavailability requirement in White v.
Illinois, 502 U.S. 346, 354-55 (1992): “[U]navailability analysis is a necessary
part of the Confrontation Clause inquiry only when the challenged out-of-court
statements were made in the course of a prior judicial proceeding. . . . Many
declarants will be subpoenaed by the prosecution or defense, regardless of any
Confrontation Clause requirement.” Thus, the right of confrontation is not denied
(continued...)

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requirements of the Sixth Amendment if it constitutes a ‘firmly rooted hearsay

exception’ or demonstrates particularized guarantees of trustworthiness.” Rith,

164 F.3d at 1335 (quoting White v. Illinois, 502 U.S. 346, 356-57 & n.8 (1992)).

Because we hold that this testimony is inadmissible hearsay, we must determine

whether the statements of the confidential informant are sufficiently trustworthy.

See id.

Trustworthiness is dependent on the totality of the circumstances. See id.;

see also Idaho v. Wright, 497 U.S. 805, 819 (1990). “Though ‘courts have

considerable leeway in their consideration of appropriate factors,’ the relevant

circumstances are those ‘that surround the making of the statement and that

render the declarant particularly worthy of belief,’ such that ‘the test of

cross-examination would be of marginal utility.’” Rith, 164 F.3d at 1335 (quoting

2
(...continued)
by the failure of the government to call the out-of-court declarant as a witness
“when the defendant neglected to exercise rights that would have enabled”
confrontation of the witnesses. Rith, 164 F.3d at 1335 (citing United States v.
Jackson, 88 F.3d 845, 847 n.2 (10th Cir. 1996)) (further citations omitted); see
also United States v. Green, 178 F.3d 1099, 1109 (10th Cir. 1999) (rejecting a
Confrontation Clause challenge because the defendant did not call the non-
testifying witness). Becker does not assert that the government or the court
denied him the opportunity to identify, subpoena, and call as a witness the
confidential informant. See Green, 178 F.3d at 1109. Accordingly, the
Confrontation Clause does not require the government to show the informant’s
unavailability.

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Wright, 497 U.S. at 819-22). There is no mechanical test for determining

reliability. See id. at 1335-36 n.12.

A totality of the circumstances analysis of the out-of-court statements does

not reveal any particularized indicia of reliability. The statements were not under

oath and were not subject to cross-examination or other scrutiny. See Perez, 493

F.2d at 1342. While Officer Voigt testified that he found “[t]he informant’s

information . . . to be true and reliable,” (III R. at 196), the jury had no basis,

such as an oath or cross-examination, to independently evaluate the informant’s

reliability. We conclude the admission of the informant’s statements violated

Becker’s Sixth Amendment rights.

Even where an error of constitutional magnitude is found, we must inquire

as to whether the error is harmless. See Chapman v. California, 386 U.S. 18, 22

(1967); see also Fed. R. Crim. P. 52(a). Such an error is harmless if “the properly

admitted evidence of guilt is so overwhelming, and the prejudicial effect of the

[improperly admitted evidence] is so insignificant by comparison, that it is clear

beyond a reasonable doubt that the improper use of the [evidence] was harmless

error.” Schneble v. Florida, 405 U.S. 427, 430 (1972). We review the context in

which the statement was admitted, how it was used at trial, and how it compares

to the properly admitted evidence. See, e.g., Bond v. Oklahoma, 546 F.2d 1369,

1376 (10th Cir. 1976).

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 In addition to the trial court’s limiting instruction to the jury charging it to

disregard the statement’s content and consider it only as support for the search

warrant, Officer Voigt explicitly stated that the informant never observed Becker

manufacturing methamphetamine. Moreover, given the wealth of evidence

presented by the government of the chemicals and materials consistent with

methamphetamine manufacturing that were seized from Becker’s residence, and

the utter implausibility of Becker’s proffered alternative explanation of their

presence, we are satisfied that the error is harmless beyond a reasonable doubt.

III

We review the admission of evidence that the defendant fit the profile of a

methamphetamine cook for plain error because Becker did not object to the

testimony. See Fed. R. Crim. P. 52(b); United States v. Enjady, 134 F.3d 1427,

1435 (10th Cir. 1998). “‘Plain errors’ are those which are obvious and

substantial, and which when viewed in light of the entire record seriously affect

the fairness, integrity, or public reputation of judicial proceedings.” United States

v. Nall, 949 F.2d 301, 309 (10th Cir. 1991) (citing United States v. Young, 470

U.S. 1, 15-16 (1984); United States v. Granville, 716 F.2d 819, 821 (11th Cir.

1983)).

“Courts have condemned the use of profiles as substantive evidence of

guilt.” United States v. McDonald, 933 F.2d 1519, 1521 (10th Cir. 1991). Rather

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than focusing the inquiry upon defining and classifying evidence into categories

of profile or non-profile, however, we have held that the better approach is to

commence the inquiry with an examination of the applicable rules of evidence.

See id. at 1522. Federal Rule of Evidence 702 instructs us to admit specialized

knowledge if it will “assist the trier of fact to understand the evidence.” That

Rule “dictates a common-sense inquiry of whether a juror would be able to

understand the evidence without specialized knowledge concerning the subject.”

McDonald, 933 F.2d at 1522.

Tools of the trade may necessitate the appearance of an expert witness if

the jury could not understand the significance of possession of those items. See

United States v. Robinson, 978 F.2d 1554, 1563 (10th Cir. 1992). We have

upheld the admission of expert testimony detailing the significance of “a drug

dealer’s tools of [the] trade: a single-edge razor blade, a pager or beeper, and a

loaded pistol,” McDonald, 933 F.2d at 1522, as well as the admission of expert

testimony to “explain[] the meaning of the physical evidence” officers “found at

the arrest scene . . . where the narcotics were confiscated,” Robinson, 978 F.2d at

1564; see also United States v. Martinez, 938 F.2d 1078, 1083 (10th Cir. 1991)

(upholding the admission of testimony regarding the possession of guns and

scales as “tools of the trade—that is, means for the distribution of illegal drugs”);

United States v. Young, 745 F.2d 733, 761 (2d Cir. 1984) (upholding the

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admission of expert testimony “to explain physical evidence [of heroin

manufacturing paraphernalia] that was in the case”).

Becker contests the admission of testimony by Agent Walsh, including

testimony describing the skills needed (or not needed) to be a methamphetamine

cook, how many recipes cooks generally have in their home, and that cooks are

gaunt and paranoid due to the effect of the chemicals on their nervous systems,

are generally methamphetamine users, are violent, seek secluded locations due to

the odor cooking produces, and only trust experienced cooks with their

equipment.

The significance of at least the location of Becker’s residence, the recipes,

and the weapons would not necessarily be obvious without specialized testimony.

Considering the fine line between potentially improper profile evidence and

acceptable specialized testimony explaining the significance of physical evidence,

we cannot conclude that there was error so “obvious and substantial [that] when

viewed in light of the entire record [it] seriously affect[s] the fairness, integrity,

or public reputation of judicial proceedings.” Nall, 949 F.2d at 309.

IV

We review for abuse of discretion the district court’s decision to admit

pursuant to Fed. R. Evid. 404(b) evidence of Becker’s prior adjudication as a drug

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dealer and other bad acts. See United States v. Lazcano-Villalobos,175 F.3d 838,

846 (10th Cir. 1999). Rule 404(b) states, in relevant part:

Evidence of other crimes, wrongs, or acts is not admissible to prove
the character of a person in order to show action in conformity
therewith. It may however, be admissible for other purposes, such as
proof of motive, opportunity, intent, preparation, plan, knowledge,
identity, or absence of mistake or accident.

Evidence is properly admitted under Rule 404(b) if four requirements are met: (1)

the evidence was offered for a proper purpose under Fed. R. Evid. 404(b); (2) the

evidence was relevant under Fed. R. Evid. 401; (3) the probative value of the

evidence was not substantially outweighed by its potential for unfair prejudice

under Fed. R. Evid. 403; and (4) the district court, upon request, instructed the

jury pursuant to Fed. R. Evid. 105 to consider the evidence only for the purpose

for which it was admitted. See Huddleston v. United States, 485 U.S. 681,

691-92 (1988).

Becker claims that three prior acts were admitted in error: (1) a prior felony

conviction for conspiracy to possess methamphetamine; (2) a prior felony

conviction for “Drug Dealer’s Failure to Pay Kansas Drug Tax” (I Supp. R. Ex.

91 at 2); and (3) a prior search of Becker’s residence, which produced

methamphetamine trafficking paraphernalia. He argues this evidence

impermissibly established his propensity to commit the crimes charged and

objects on the grounds of irrelevance and prejudice.

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 We find the first factor of the Huddleston analysis satisfied because the

evidence was introduced for the proper purpose of using “prior drug involvement

to show plan, motive or intent in a drug trafficking offense.” United States v.

Sturmoski, 971 F.2d 452, 459 (10th Cir. 1992). The government sought

admission of the evidence to show motive and intent.

As for the second Huddleston factor—relevance—we have “noted that prior

narcotics involvement is relevant when that conduct is ‘close in time, highly

probative, and similar to the activity with which the defendant is charged.’”

Wilson, 107 F.3d at 785 (quoting United States v. McKinnell, 888 F.2d 669, 676

(10th Cir. 1989)). The relevance of Becker’s prior convictions is undermined by

the length of time between the prior acts and the conduct involved in the instant

convictions—the two prior felony convictions preceded the incident by

approximately six years and the prior raid preceded it by about four years. Four

to six years transcends our conception of “close in time” as established in

Wilson,107 F.3d at 785 (quotation omitted); cf. United States v. Ramirez, 63 F.3d

937, 943-44 (10th Cir. 1995) (upholding the admission of prior acts that occurred

one year earlier); United States v. Record, 873 F.2d 1363, 1372-76 (10th Cir.

1989) (upholding the admission of prior acts that occurred approximately two to

three years earlier); United States v. Mora, 845 F.2d 233, 237 (10th Cir. 1988)

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(upholding the admission of a prior uncharged drug transaction occurring

approximately one to two months earlier).

In addition to want of temporal proximity, the similarity of these prior acts

to the instant methamphetamine offenses is limited. Under Huddleston, the illicit

substance involved in the prior acts is of some relevance. There was the prior

search and the unrelated prior conviction for conspiracy to possess, both of which

involved methamphetamine. Three of the counts on which the jury convicted

Becker involved methamphetamine as well. However, the prior recovery of

methamphetamine trafficking paraphernalia from his residence and his prior

convictions for conspiracy to possess methamphetamine and for failure to pay

Kansas drug taxes involve only possession and distribution, not manufacturing,

and thus lack a common scheme. Prior acts involving possession and distribution

have some similarity to Becker’s conviction for possession with intent to

distribute marijuana, but the prior acts did not involve marijuana.

Often, the specific factual circumstances of prior acts can allow for further

comparison to later offenses. For example, in United States v. Conway, 73 F.3d

975, 981 (10th Cir. 1995), we upheld the admission of prior arrests for selling

cocaine from motel rooms to support a charge for possession with intent to

distribute cocaine from neighboring motels. By contrast, in Wilson, 107 F.3d at

785, we held that a prior conviction arising from cocaine and marijuana found on

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the defendant’s person after a vehicle stop was not relevant to his arrest (eight

months later) and subsequent indictment for distribution of cocaine from a

residence. We cannot conduct such a comparison in the instant case because the

record only contains bare evidence of Becker’s plea of guilty to both charges

without any indication as to the underlying factual circumstances. Because of the

lack of evidence, we conclude that the prior acts are not close in time and have

only facial similarities. Accordingly, the district court abused its discretion in

admitting the evidence. The second Huddleston factor—relevance—is not met

and, thus, as to the remaining Huddleston factors, the evidence necessarily is less

probative than prejudicial and the district court’s cautionary instruction to the jury

was of limited utility.

Yet, this error is considered harmless “unless it had a ‘substantial

influence’ on the outcome or leaves one in ‘grave doubt’ as to whether it had such

effect.” United States v. Wacker, 72 F.3d 1453, 1473 (10th Cir. 1996) (quoting

United States v. Flanagan, 34 F.3d 949, 955 (10th Cir. 1994)). In determining

whether the error was harmless, we first note that, considering the defense theory

that Becker used and possessed methamphetamine—but did not manufacture or

distribute it—the evidence did have some probative value in rebutting Becker’s

theory as to his intent. His claim that the equipment was used to produce hash oil

instead of methamphetamine is unpersuasive. In addition, Becker’s admission

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that he used and possessed methamphetamine effectively informed the jury of his

involvement with methamphetamine. While this admission diminished the

necessity of admitting the prior acts, it also diminished the prejudice resulting

from the admission because the evidence was cumulative. Moreover, the district

court instructed the jury to consider the evidence only for the purpose for which it

was admitted.

“Where the evidence against a defendant is overwhelming, any error in

mentioning a defendant’s criminal record is harmless.” United States v. Sloan, 65

F.3d 861, 865 (10th Cir. 1995) (citing United States v. Van Scoy, 482 F.2d 347,

349 (10th Cir. 1973)). Because there is overwhelming evidence absent Becker’s

prior convictions to support a guilty verdict, we conclude that any error or

prejudice resulting from the admission of his prior convictions and the search of

his residence is harmless.

V

“Cumulative-error analysis applies where there are two or more actual

errors.” Moore v. Gibson, 195 F.3d 1152, 1175 (10th Cir. 1999) (internal

quotation and citations omitted). Becker contends that even if we hold the

individual errors harmless, cumulative error necessitates a new trial. As noted,

the errors in admitting the out-of-court statements and Becker’s prior acts are

harmless in light of the substantial evidence presented to support a guilty verdict.

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Considering these errors in the aggregate, we conclude upon review of the entire

record that the cumulative error is harmless.

VI

We review de novo the district court’s determination that sufficient

evidence existed to support a conviction. See United States v. McDermott, 64

F.3d 1448, 1457 (10th Cir. 1995). We view the evidence, both direct and

circumstantial, together with the reasonable inferences to be drawn therefrom, “in

the light most favorable to the government to determine whether any rational trier

of fact could have found the essential elements of the crime beyond a reasonable

doubt.” Jones, 44 F.3d at 864-65 (citation omitted); see also United States v.

Riggins, 15 F.3d 992, 994 (10th Cir. 1994).

Becker first argues that there was insufficient evidence to support his

conviction on Count 1—attempting to manufacture methamphetamine in violation

of 21 U.S.C. § 846 and 18 U.S.C. § 2. The elements of that offense are (1) intent

to manufacture methamphetamine, and (2) commission of an act which constitutes

a substantial step towards commission of the substantive offense. See United

States v. Leopard, 936 F.2d 1138, 1140 (10th Cir. 1991). Becker concedes that

there was evidence supporting an inference of intent to manufacture, but contends

that the second element of the offense is not satisfied because “[at] best, the

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evidence reflects preparatory acts divided between the two distinct methods of

making methamphetamine.” (Appellant’s Br. at 31.)

Although Becker is correct that the direct evidence is sparse, the

circumstantial evidence is more than sufficient for a jury to draw reasonable

inferences that Becker took substantial steps towards the commission of the

substantive offense, i.e., manufacturing methamphetamine. See United States v.

Yoakam, 116 F.3d 1346, 1349 (10th Cir. 1997) (holding that a “jury may draw

reasonable inferences from direct and circumstantial evidence” (citation

omitted)). The evidence presented goes beyond mere preparation. Becker

concedes that a recipe for a “hot” method of cooking methamphetamine was

present as well as some, though not all, of the ingredients for this method.

Becker also concedes that most of the ingredients were present for manufacturing

methamphetamine pursuant to a “cold” cooking method, but that no written copy

of such a recipe was found. Many of the materials necessary for manufacturing

methamphetamine were present, and it is not necessary for every chemical

matching each recipe to be present. Moreover, a juror could readily have rejected

Becker’s explanation, see id., particularly considering testimony that certain

chemicals were antithetical to the production of hash oil, which was Becker’s

proffered use for the equipment. Based on the physical evidence, coupled with

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other admissible evidence, a rational juror could conclude that Becker took a

substantial step towards manufacturing.

Becker also challenges, in a conclusory manner without citation to

supporting legal authority, his convictions on Counts 2 and 4—managing and

controlling a dwelling for the purpose of unlawfully manufacturing and storing

methamphetamine and possessing acetone with the intent to manufacture

methamphetamine. He contends that without the requisite proof of his attempt to

manufacture methamphetamine for Count 1, Counts 2 and 4 also fail. Because we

have already concluded that the evidence was sufficient to support Count 1, we

find this challenge to Counts 2 and 4 meritless. The circumstantial evidence of

ingredients, tools, and recipes is sufficient for a rational trier of fact to find the

essential elements of the methamphetamine-related counts beyond a reasonable

doubt. See Jones, 44 F.3d at 864-65.

VII

In cases where the amount of drugs seized does not reflect the scale of the

offense, the commentary to the Guidelines requires the trial judge to approximate

the quantity of the controlled substance and permits the court to consider “the size

or capability of any laboratory involved.” See U.S.S.G. § 2D1.1, comment.

(n.12); United States v. Havens, 910 F.2d 703, 704-05 (10th Cir. 1990). When

manufacturing is at issue, “the trial court, upon proper testimony, may estimate

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the ultimate quantity of producible drugs. This estimate should be equal to the

amount of drugs producible if the precursor chemicals possessed by the defendant

were combined with proportionate amounts of the missing ingredients including

processing equipment.” 3 Havens, 910 F.2d at 705. The government bears the

burden of proving quantity by a preponderance of the evidence. See, e.g., United

States v. Ortiz, 993 F.2d 204, 207 (10th Cir. 1993).

In making its quantity determination, the district court stated:

The Court finds that the U.S. Probation Office has accurately
calculated the guidelines in this case. By using the 160 ounces of
muriatic acid to approximate the capability of the methamphetamine
laboratory, the United States Probation Office took into account the
amounts of muriatic acid that the defendant likely used in a prior
cook, which utilized the recipe that would have produced 691 grams
of methamphetamine. The Court notes that when approximating drug
quantities, when the drug seizure does not reflect the scale of the
offense, the Court must base their findings on reliable information,
and where uncertainty reigns, must err on the side of caution. See
United States v. Ortiz[, 993 F.2d at 208]. The U.S. Probation Office,
with the assistance of the K.B.I. forensic laboratory, approximated
the capability of the methamphetamine laboratory in this case and
provided for error on the defendant’s part, resulting in a reduced
quantity.

(II Supp. R. at 5-6.) We “defer[] to the district court’s application of the

guidelines to the facts” and review application of the Guidelines for errors of law.

3
Becker contends that approximation of drug quantity is a violation of due
process. We have rejected this due process argument, holding that “[i]t is not a
denial of due process to determine facts based on estimates derived from expert
testimony.” Havens, 910 F.2d at 706.

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United States v. Smith, 888 F.2d 720, 723 (10th Cir. 1989) (quoting 18 U.S.C.

§ 3742(e)) (further citation omitted). Factual determinations are reviewed under

the clearly erroneous standard. See United States v. Rutter, 897 F.2d 1558, 1563

(10th Cir. 1990). We will not disturb such a finding “unless it has no support in

the record or, after reviewing all the evidence, we are firmly convinced that an

error has been made.” United States v. Bernaugh, 969 F.2d 858, 864 (10th Cir.

1992) (citing United States v. Cook, 949 F.2d 289, 296 (10th Cir. 1991)).

The district court’s findings were based on the presentence report and

quantity estimates from the testing of Becker’s recipes by KBI forensic chemist

Dwaine Worley. Extrapolating from the quantity of muriatic acid, a precursor

chemical that was found and apparently already used, the United States Probation

Office arrived at theoretical yields for Becker’s lab of up to 23 pounds of

methamphetamine. 4 The presentence report then “used the most conservative

estimate of 6 pounds of actual methamphetamine, which the defendant could have

produced to calculate the guideline.” (VII R. at 9.) The evidence presented at

trial includes Worley’s testimony that he tested one of the recipes seized from

Becker’s residence and concluded the recipe did produce methamphetamine, and

4
Contrary to Becker’s assertion, a decision to rely on one precursor
chemical rather than another does not render a quantity determination clearly
erroneous. See United States v. Lillard, 929 F.2d 500, 504 (9th Cir. 1991)
(holding that estimation of drug quantity is not limited by the least abundant
precursor chemical present).

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based on his training and experience, the other recipe also would produce

methamphetamine.

Becker challenges the trial courts determination of the approximated

capability of the methamphetamine lab and argues the resultant quantity

calculation was not supported by the evidence. Becker’s challenge to the district

court’s drug quantity approximation is very similar to one we rejected in United

States v. Short, 947 F.2d 1445, 1455-58 (10th Cir. 1991). There, the district

court, pursuant to Havens, relied on a combination of expert testimony from trial

and information in the presentence report to approximate a quantity of drugs that

could have been produced by the defendant’s methamphetamine laboratory. See

id. at 1456-57. In Short, as in the case before us, the expert testimony at trial

identified materials found in the defendant’s home as elements of a viable

methamphetamine cooking process, but did not testify as to the specific quantity

that could be manufactured from the chemicals and equipment found. See id. at

1457 & n.7. The district court then relied on approximations in the presentence

report that arrived at “what [the report] felt was an appropriate manufacturing

yield factor.” Id. at 1456. We declined to find “clear error in the district court’s

decision to base its calculations on the factual figures contained in the Amended

Presentence Report.” Id. at 1457.

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 In doing so, we noted that the defendant had failed to produce an expert of

his own to attack the proffered figures and concluded that the figures were

“supported by expert testimony.” Id. Even though that testimony did not detail

the precise means of making the calculations, we concluded that “the information

upon which the estimates are based has a minimum indicia of reliability.” Id. at

1458 (quoting United States v. Easterling, 921 F.2d 1073, 1077 (10th Cir. 1990)).

Becker likewise failed to produce an expert of his own to challenge the proffered

figures.

Because the district court’s finding has support in the record, we are not

convinced that an error has been made. See Bernaugh, 969 F.2d at 864. The

district court properly erred on the side of caution and sentenced Becker based on

the more conservative estimated yield. See Ortiz, 993 F.2d at 208. We reject

Becker’s arguments that this estimation was impermissible and that the estimate

was clearly erroneous.

VIII

The judgment of the district court is AFFIRMED.

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No. 98-3361, United States v. Becker

BALDOCK, Circuit Judge, concurring.

I join the Court’s opinion except for Part II. The Court’s ultimate

conclusion in Part II that admission of the confidential informant’s out-of-court

statements constituted harmless error is in my opinion correct. I disagree,

however, with the Court’s hearsay analysis and believe its Sixth Amendment

Confrontation Clause analysis wholly unnecessary.

The Court wrongly characterizes the confidential informant’s out-of-court

statements as hearsay. Fed. R. Evid. 801(c) defines hearsay as “a statement, other

than one made by the declarant while testifying at the trial or hearing, offered in

evidence to prove the truth of the matter asserted.” A statement not offered to

prove the truth of the matter asserted, therefore, is not considered hearsay. In this

case, the Government offered the confidential informant’s statements not for the

truth of the matter asserted, but to establish the reason for the investigation. As

we stated in United States v. Freeman, 816 F.2d 558, 563 (10th Cir. 1986):

“[O]ut of court statements are not hearsay when offered for the limited purpose of

explaining why a Government investigation was undertaken.” Because the

Government in this case offered the confidential informant’s out-of-court
statements to explain why the officer applied for a search warrant, such

statements are not hearsay within the meaning of Fed. R. Evid. 801(c). 5

The conclusion that the statements were offered to explain the reason for

the investigation, rather than hearsay statements offered to prove the matter

asserted, does not end our inquiry. Such statements must be evaluated for

relevance under Fed. R. Evid. 401 and for undue prejudice under Fed. R. Evid.

403. Freeman, 816 F.2d at 563. Applying the proper analysis, I believe the

confidential informant’s statements were unduly prejudicial under Fed. R. Evid.

403. The statements specifically identified Defendant by name and went

“precisely [to] the issue the government was required to prove.” United States v.

Cass, 127 F.3d 1218, 1223 (10th Cir. 1997). See also United States v. Pulley, 922

F.2d 1283, 1288 (6th Cir. 1991) (where propriety of investigative methods were

not at issue, out-of-court statement naming defendant substantially increased the

risk the jury would consider the out-of-court statement in determining defendant’s

guilt or innocence); 30B Michael H. Graham, Federal Practice and Procedure

§ 7005 at 49-51 (2000) (out-of-court statement indicating accused engaged in a

5
While the Government appeared to invoke the statements for the truth of
the matter asserted during closing argument, such subsequent reference does not
render the statements hearsay for purposes of evidentiary rulings during trial. The
Government’s reliance on the statements during closing argument may have been
improper but does not retroactively transform the statements from background
information into inadmissible hearsay.

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particular crime is so likely to be misused by the jury as evidence of the fact

asserted that it should be excluded on the grounds that the probative value of the

statement admitted for a non-hearsay purpose is substantially outweighed by the

danger of unfair prejudice under Rule 403).

Accordingly, I would conclude that the admission of the out-of-court

statements was unduly prejudicial and constitutes an abuse of discretion. 6

Nevertheless, I agree with the Court’s ultimate conclusion that admission of the

confidential informant’s out-of-court statements was harmless error.

6
Because the confidential informant’s statements were not hearsay, I
further disagree with the court’s conclusion that the admission of the statements
violated Defendant’s Sixth Amendment Confrontation Clause rights. See United
States v. Wilson, 107 F.3d 774, 781 (10th Cir. 1997) (no basis for asserting a
Sixth Amendment violation where defendant was not prohibited from confronting
the witness against him because no hearsay statements were admitted).

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