United States v. Santiago

          United States Court of Appeals
                 For the First Circuit

No. 07-1575

                UNITED STATES OF AMERICA,

                        Appellee,

                           v.

                 JULIO CARRION SANTIAGO,

                  Defendant, Appellant.
                   ____________________

No. 07-1718

                UNITED STATES OF AMERICA

                        Appellee,

                           v.

                      PEDRO MIRANDA

                  Defendant, Appellant.
                   ___________________

No. 07-1728

                UNITED STATES OF AMERICA

                        Appellee,

                           v.

                       JUAN NUNEZ,

                  Defendant, Appellant.
                   ____________________
No. 07-2017

                    UNITED STATES OF AMERICA,

                            Appellee,

                                v.

                        JOSE O. RODRIGUEZ,

                      Defendant, Appellant.


          APPEALS FROM THE UNITED STATES DISTRICT COURT

                FOR THE DISTRICT OF MASSACHUSETTS

         [Hon. Nathaniel M. Gorton, U.S. District Judge]


                              Before

                       Lynch, Chief Judge,

                Boudin and Lipez, Circuit Judges.


     Janet Hetherwick Pumphrey, by appointment of the court, for
appellant Julio Carrion Santiago.
     John F. Palmer, by appointment of the court, and Law Office of
John F. Palmer on brief for appellant Pedro Miranda.
     Roger Witkin, by appointment of the court, for appellant Juan
Nunez.
     Robert L. Sheketoff, by appointment of the court, for
appellant Jose O. Rodriguez.
     Daniel Steven Goodman, Criminal Division, Appellate Section,
Department of Justice, with whom Michael J. Sullivan, United States
Attorney, and William F. Bloomer, Assistant United States Attorney,
were on consolidated brief for appellee.




                          March 19, 2009
            BOUDIN, Circuit Judge.          This appeal arises from the

convictions of five co-defendants (only four seek review) on drug

conspiracy charges and (as to one defendant) on associated firearms

charges.    We begin with a brief summary of the background and

proceedings    and   return   later    to   the   evidence   pertinent   to

sufficiency claims and to other trial and sentencing claims raised

by the defendants.

            The case began with a year-long investigation into a

large-scale heroin distribution operation in or around Lowell,

Massachusetts, starting in summer 2003 and ending with arrests in

October 2004.    The investigation encompassed the five defendants

who went to trial and seven others who were indicted but pled

guilty.    The four appellants before us are Julio Carrion Santiago,

Pedro Miranda, Juan Nunez and Jose Rodriguez; the fifth defendant

who was tried but has withdrawn his appeal is Carlos Sanchez.

            The investigation was led by the U.S. Drug Enforcement

Agency ("DEA") but included state and local police. In its course,

agents tracked Santiago's van with a GPS unit and conducted visual

surveillance of it; conducted court authorized wiretaps of cell

phones of the defendants; tracked and observed transactions among

the defendants revealed by cell phone conversations; and ultimately

seized Santiago's van (seizing concealed drugs) and searched his

residence and those of Rodriguez (seizing drugs) and Miranda

(seizing paraphernalia).


                                      -3-
              In the search of Santiago's residence, officers found a

drug press in the hallway between two apartments--one of them

Santiago's--and, in the attic above the press, a 9 millimeter gun

and an ammunition clip along with heroin, a digital scale, a bag

with silencers and a magazine for a smaller weapon.                         They found

additional paraphernalia inside Santiago's apartment.                          Only in

Nunez's case were no drugs or paraphernalia seized.

              Nunez,     Santiago,       Rodriguez,     Miranda      and   eight    other

defendants were charged with conspiracy to distribute heroin and to

possess    heroin      with   intent       to    distribute,    21    U.S.C.   §§       846,

841(a)(1), 841(b)(1) (2006).                    Santiago was also charged with

possessing firearms in furtherance of a drug trafficking crime, 18

U.S.C.    §    924(c)    (2006),         and    by   superceding     indictment         with

possession of unregistered firearms, 26 U.S.C. § 5861(d) (2006).

A ten day jury trial ensued for the five defendants who declined to

plead guilty.

              The jury convicted all five on the conspiracy count and

found that the conspiracy involved at least one kilogram of heroin,

triggering a statutory maximum sentence of life imprisonment.                            21

U.S.C. §§ 846, 841(b)(1).                 Santiago was found guilty on both

weapons       charges.        The     district       court     at    sentencing         made

individualized drug quantity determinations.                   On his three counts,

Santiago      was   sentenced       to    248    months'   imprisonment.           On    the




                                               -4-
conspiracy count, Rodriguez, Nunez and Miranda were sentenced to

264, 151 and 72 months, respectively.

            On appeal, Santiago disputes the sufficiency of the

evidence to support the jury's finding that the amount of drugs was

at least one kilogram of heroin.   Review, of course, requires that

we assume that the jury accepted the government's evidence and drew

inferences in its favor.   United States v. Sherman, 551 F.3d 45, 49

(1st Cir. 2008) (citation omitted).    A rational jury could easily

find that the conspiracy involved at least a kilogram of heroin.

            Almost a half kilogram (493.3 grams) was seized from

Santiago's van; another 115.9 grams were found in the attic of his

building.     An additional 180.7 grams were seized from Reynaldo

Rivera (a member of the conspiracy who pled guilty), and an

undercover agent purchased 135.4 grams through Rivera.       Agents

seized 19.8 grams that they saw Santiago place in the door of

Rivera's car. And agents recovered almost 60 grams from Rodriguez.

That adds up to over a kilo--not including additional amounts

seized from other co-conspirators.

            Santiago says that the drugs found in the attic should

not be attributed to the conspiracy and--in a different sufficiency

argument--says that the guns in the attic should not be attributed

to him.     While there were two apartments upstairs in Santiago's

building, Santiago was the only tenant on the floor below the attic

at the time of the search and had been for five months.         The


                                 -5-
building manager testified that he knew the attic existed but he

had not been there for many years, and he was not aware that it no

longer had pull-down access stairs.

            The     jury    knew    about        Santiago's      drug    dealing,    the

proximity    of     his    apartment        to    the   attic,    the    corresponding

paraphernalia in his apartment, the concealment of access to the

attic and the absence of others likely to have used the attic.

Under these circumstances, the jury was free to reason that the

drugs in the attic were part of the conspiracy and that the gun was

constructively possessed by Santiago. See United States v. Barnes,

890 F.2d 545, 549-50 (1st Cir. 1989), cert. denied, 494 U.S. 1019

(1990); United States v. Calle-Cardenas, 837 F.2d 30, 32 (1st

Cir.), cert. denied, 485 U.S. 1024 (1988).

            Santiago also says that nothing shows that the gun seized

in the attic was used in furtherance of his drug trafficking.

Relatedly,     he    objects       to   a    state      trooper's       testimony   that

individuals    who     have   drugs     keep       firearms   because      "[i]t    is   a

business that involves a large quantity of money" leading to a

"number of instances in which robberies are committed against each

individual."        Santiago's objection to the trooper's testimony is

not developed but in any event is unpersuasive, and the sufficiency

claim fails even if the testimony is disregarded.

            The trooper's testimony merely explained circumstantial

evidence from which the jury could have drawn the obvious inference


                                            -6-
that the gun was there to protect the stockpile of drugs.                    The

drugs and gun were concealed together within easy reach of the

attic opening; in addition, the gun was loaded and unregistered.

See Sherman, 551 F.3d at 50-51.        The jury's inference was entirely

appropriate.      United States v. Garner, 338 F.3d 78, 81 (1st Cir.),

cert. denied, 540 U.S. 1084 (2003); United States v. Luciano, 329

F.3d 1, 6 (1st Cir. 2003).

           Santiago and Miranda both object to testimony by Marcos

Chavez, who acted as an undercover agent during the investigation;

he testified at trial as to the meaning of code words or phrases

used by the defendants, primarily to designate drug quantities.

The objections are that Chavez had not been qualified as an expert,

that no advance disclosure of expert testimony was provided, see

Fed. R. Crim. P. 16, and that inferences drawn were speculative and

their admission an abuse of discretion.

           Chavez testified as a lay witness: such witnesses may

give   opinions    as   long   as   they    are   "rationally   based   on   the

perception of the witness," are "helpful to . . . the determination

of a fact in issue," and are "not based on scientific, technical,

or other specialized knowledge within the scope of Rule 702." Fed.

R. Evid. 701.      Testimony about coded language--like, for example,

testimony about vehicle speed--can be admissible, depending on its




                                      -7-
content    and    other   circumstances,     either    as   lay   or     expert

testimony.1

            Here, Chavez had been involved in the investigation,

listened to over 90 percent of the intercepts, learned voices and

patterns, and heard and used the coded language in his undercover

drug buys relating to the investigation.         "Rule 701 . . . is meant

to admit testimony based on the lay expertise a witness personally

acquires through experience, often on the job."             United States v.

Maher, 454 F.3d 13, 24 (1st Cir.), cert. denied, 549 U.S. 1025

(2006); United States v. Ayala-Pizarro, 407 F.3d 25, 28 (1st Cir.),

cert. denied, 546 U.S. 902 (2005) (quoting Fed. R. Evid. 701

advisory committee's note).

            Further, various of the code word interpretations were

borne out by the conduct of the defendants.           For example, Chavez's

interpretation of Rodriguez's request for "$60 out of the bank" was

supported by the seizure of 60 grams of heroin (10 from his person

and   50   from   his   home)   shortly    thereafter.      Far   from    being

speculative, Chavez's interpretations corresponded to locations,

drug quantities and the like.       There was no error in admitting the

testimony.


      1
      Compare United States v. Rivera-Rosario, 300 F.3d 1, 17 (1st
Cir. 2002) (allowing expert testimony about the meanings of "code
words"), and United States v. Hoffman, 832 F.2d 1299, 1310 (1st
Cir. 1987) (same), with United States v. Grullon, 545 F.3d 93, 95-
96 (1st Cir. 2008) (allowing lay opinion testimony on meaning of
coded language), and United States v. Gaines, 170 F.3d 72, 77-78
(1st Cir. 1999) (same).

                                     -8-
           On cross-examination, Miranda's counsel questioned Chavez

about the use of coded language in the affidavit that agents had

prepared to support the wiretap warrant and, on redirect, the

prosecutor    asked   Chavez     whether   the   agents    who   provided   the

affidavit had included interpretations of the codes' meanings,

which Chavez answered affirmatively.             Miranda objects to this

affirmative    response     as    hearsay    and    a     violation    of    the

Confrontation Clause.

           The brief reference to the affidavit was not offered for

the truth of anything said in the affidavit--the interpretations

themselves were not elicited--and so presents no hearsay problem.

Fed. R. Evid. 801.        Likewise there is no Confrontation Clause

problem.   United States v. Rodriguez-Duran, 507 F.3d 749, 769 n.28

(1st Cir. 2007), cert. denied, 128 S. Ct. 1726, 1729 (2008).                And,

if this single answer had been error, it would have been harmless

beyond a reasonable doubt in light of the overwhelming evidence.

See United States v. Earle, 488 F.3d 537, 546 (1st Cir.), cert.

denied, 128 S. Ct. 423 (2007).

           Nunez   raises   two    issues   relating      to   drug   quantity.

First, he says that the jury should have been required to make

individual drug quantity findings for each defendant, as opposed to

making a conspiracy-wide quantity determination. Nunez's challenge

to the jury's conspiracy-wide drug finding was not preserved--and

he in fact affirmatively approved the jury instruction--so at best


                                     -9-
our review is only for plain error.            United States v. Griffin, 524

F.3d 71, 76 (1st Cir. 2008).

            The Supreme Court requires a jury finding as to drug

quantity if it increases the statutory maximum sentence, Apprendi

v.   New    Jersey,     530   U.S.   466,      490    (2000),       assertedly     on

constitutional grounds; but whether the statutory maximum sentence

turns on what the conspiracy embraced or on what was foreseeable

separately    to   each   conspirator     raises      at    least    questions    of

statutory    construction.           Needless        to    say,     specific     jury

determinations     as   to    quantity   for    each      conspirator    could    be

complicated.

            Our recent case law requires that the jury decide the

conspiracy-wide quantity, which establishes the maximum penalty the

district court may impose under the statute.                See United States v.

De La Cruz, 514 F.3d 121, 136-37 (1st Cir. 2008); United States v.

González-Vélez, 466 F.3d 27, 40 (1st Cir. 2006).2                        Then, at

sentencing, the judge finds the amount reasonably foreseeable to

each defendant, which is used to determine his sentence.                       United

States v. Malouf, 466 F.3d 21, 26 (1st Cir. 2006), cert. denied,

127 S. Ct. 1892 (2007).        That is what happened here and, under our

precedents, this was the correct process.



     2
      United States v. Wiggin, 429 F.3d 31 (1st Cir. 2005), allowed
an instruction requiring an individualized jury determination, but
the focus of the challenge was to the clarity of the instruction,
id. at 38, and our later decisions govern the question before us.

                                      -10-
            Nunez's second claim is that the evidence does not

support the amount that the district court attributed to him at

sentencing--between one and three kilograms. He says that the only

drugs conclusively linked to him were the 493.3 grams seized from

Santiago's van immediately after the final visit by Santiago to

Nunez in New York.         Santiago made other visits to him but Nunez

says that it is speculation to assume drugs were involved or to

calculate   the     amounts.      The    objection    was    not   preserved   at

sentencing so review is for plain error.             United States v. Silva,

554 F.3d 13, 21 (1st Cir. 2009).

            Nunez says there is no evidence of drugs for any of the

earlier trips, but during at least one of Santiago's trips (in

September 2004) officers observed Santiago and Nunez engage in

behavior similar to that of October 2004 trip where the half kilo

was seized.   United States v. Sklar, 920 F.2d 107, 113-14 (1st Cir.

1990)   (similarity     between    transactions       permits      drug   quantity

estimates).       Conversations between Nunez and Santiago further

supported the inference that additional drugs were supplied.

            As to quantity, the district court took a conservative

approach in attributing only a quarter kilo to each of Santiago's

other trips to Nunez's apartment instead of the nearly half kilo

seized on the final visit--which the pre-sentence report had

recommended    as    the    proper      estimate     for    each    trip.      The

extrapolation was not rote but reflected similarity between the


                                        -11-
trips, the GPS evidence, the wiretap evidence and the seizure

following the final trip.         There was no error.

           Finally, Rodriguez challenges only his sentence, and his

only developed claim is for a remand in light of Kimbrough v.

United States, 128 S. Ct. 558 (2007), to give the district court a

chance to evaluate a policy-based objection to the career offender

guideline.      Based     on    drug     quantity        and    criminal    history,

Rodriguez's guideline range would have been 110 to 137 months; but

because his record also triggered the career offender guideline,

U.S.S.G. § 4B1.1, the range increased to 360 months to life.

           At sentencing, Rodriguez's primary argument was that he

barely   qualified   as    a    career    offender,       one    of   his   predicate

offenses   falling     almost    outside      of   the    guideline's       look-back

provision, and that a career offender guideline sentence would be

much higher than the sentences of his more culpable co-defendants.

The district court imposed a below-guideline sentence of 264

months, describing Rodriguez's record as "atrocious" but noting the

need to take into account his co-defendants' shorter sentences.

           We   have      remanded       pre-Kimbrough          sentences     without

preserved claims where "there [was] some explicit indication that

[the district court] might well alter its sentence." United States

v. Boardman, 528 F.3d 86, 87 (1st Cir. 2008).                    The trial judge's

comments here gave no such indication but strongly suggested, as in

United States v. King, 554 F.3d 177 (1st Cir. 2009), that the judge


                                       -12-
had no doubt "about the soundness of the career offender guidelines

as applied."   Id. at 182.

          The defendants' convictions and sentences are affirmed.




                               -13-