United States Court of Appeals
For the First Circuit
Nos. 06-2670
06-2671
06-2672
UNITED STATES OF AMERICA,
Appellee,
v.
SAÚL FLORES-DE-JESÚS,
DANIEL FELICIANO-RODRÍGUEZ,
and RAFAEL SABINO-MORALES,
Defendants, Appellants.
APPEALS FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Jay A. García-Gregory, U.S. District Judge]
Before
Torruella and Lipez, Circuit Judges,
and DiClerico,* District Judge.
Edward J. O'Brien for appellant Flores-de-Jesús.
Luis R. Rivera González for appellant Feliciano-Rodríguez.
Irma R. Valldejuli for appellant Sabino-Morales.
Vernon B. Miles, Assistant United States Attorney, with whom
Rosa E. Rodriguez-Velez, United States Attorney, Nelson Pérez-Sosa,
Assistant United States Attorney, Chief, Appellate Division, and
German A. Rieckehoff, Assistant United States Attorney, were on
brief, for appellee.
June 18, 2009
*
Of the District of New Hampshire, sitting by designation.
LIPEZ, Circuit Judge. This case requires us to assess
the propriety of the government's use of a law enforcement officer
as the first witness in a multi-defendant drug prosecution to
provide an "overview" of the prosecution's case. While we have
condemned aspects of this practice before, most notably in United
States v. Casas, 356 F.3d 104, 117 (1st Cir. 2004), we must
regrettably revisit the overview witness issue in some detail
because of the abuse of that practice in this case and others.
Appellants Saúl Flores-de-Jesús, Rafael Sabino-Morales,
and Daniel Feliciano-Rodríguez were three of twelve co-defendants
charged in a four-count indictment with various crimes related to
a drug trafficking enterprise at a public housing facility in
Trujillo Alto, Puerto Rico. After a jury trial, all three were
convicted of conspiracy to possess with intent to distribute at
least five kilograms of cocaine, in violation of 21 U.S.C. § 846.
Flores-de-Jesús and Sabino-Morales, but not Feliciano-Rodríguez,
were also charged with conspiracy to possess, use, brandish, or
carry firearms in relation to a drug trafficking crime, in
violation of 18 U.S.C. § 924(c) and (o), but only Flores-de-Jesús
was convicted on this count. Flores-de-Jesús, Sabino-Morales, and
Feliciano-Rodríguez were sentenced to terms of imprisonment of 235
months, 210 months, and 121 months, respectively.
Two of the appellants, Flores-de-Jesús and Sabino-
Morales, assert a number of evidentiary errors and contend that the
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district court wrongly denied their motions for acquittal pursuant
to Rule 29 of the Federal Rules of Criminal Procedure. All three
raise distinct objections to their sentences. We affirm the
challenged convictions and the sentence imposed upon appellant
Feliciano-Rodríguez. However, because we find that the district
court improperly applied the manager/supervisor enhancement to
defendants Flores-de-Jesús and Sabino-Morales, we vacate their
sentences and remand for resentencing.
I.
Appellants were convicted for their participation in a
conspiracy that operated out of the Nuestra Señora de la Covadonga
public housing development ("Covadonga") in Trujillo Alto, Puerto
Rico. Between 1998 and 2004, "the Covadonga drug point operated as
a thriving drug marketplace in which different dealers sold various
brands, or lines, of crack, cocaine, heroin, and marijuana, with
the organized assistance of runners and lookouts equipped with
walkie talkies." United States v. Rodríguez, 525 F.3d 85, 93 (1st
Cir. 2008) (summarizing facts established at the trial of Wilfredo
Feliciano Rodríguez, one of the leaders of the drug point).
Appellants and nine other individuals were named in a
four-count superseding indictment rendered by a District of Puerto
Rico Grand Jury on March 11, 2004. Count One charged defendants
with conspiracy to possess with intent to distribute, and
conspiracy to distribute, controlled substances in a public housing
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project, in violation of 21 U.S.C. §§ 841(a)(1) and (b)(1)(A), 846,
and 860. The indictment alleged that the conspiracy involved the
following drugs: five kilograms or more of cocaine, and/or fifty
kilograms of cocaine base (crack), and/or one kilogram or more of
a substance containing a detectable amount of heroin, and/or one
thousand kilograms or more of marijuana. Flores-de-Jesús and
Sabino-Morales were further charged in Count Two of the indictment
with conspiracy to use, carry, or possess a firearm in violation of
18 U.S.C. § 924(c)(1)(A) and 924(o).
According to the indictment, Flores-de-Jesús and Sabino-
Morales assisted the leaders and organizers of the conspiracy in
the administration of the drug-trafficking organization. Flores-
de-Jesús and Sabino-Morales were also classified as
managers/runners, whose role was to "supervise the operations of
the drug points, to obtain the drugs, and to ensure a sufficient
supply of drugs to the point so that there would be continual
distribution." The managers/runners would "receive packaged
narcotics and would deliver them to the sellers for sale at the
drug points. Then the managers/runners would collect the proceeds
derived from the drug sales." Feliciano-Rodríguez was charged as
a seller who "distribute[d] the drugs at various drug points"
within Covadonga. At trial, the majority of the government's
evidence against appellants was presented through three witnesses:
the lead-off witness, Special Agent Anthony Toro Zambrana of the
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Special Investigations Bureau of the Puerto Rico Department of
Justice; confidential informant (CI) Oscar Espada; and cooperating
co-conspirator Omar Medina Torres. Importantly, the government
introduced surveillance videotapes and photographs of various drug
and firearm transactions at the drug point. Also testifying for
the government was an agent involved in an undercover drug purchase
at the drug point, as well as several forensic chemists. The
chemists presented their analyses of drugs obtained during several
controlled purchases at Covadonga, as well as those seized by Agent
Toro from building 32 of the housing project. The jury convicted
all three defendants on the conspiracy charge, but only Flores-de-
Jesús was convicted on the charge of using or brandishing a firearm
in relation to a drug trafficking crime.1
Feliciano-Rodríguez does not challenge his conviction,
but contends that the trial judge failed to correctly compute the
amount of drugs individually attributable to him for sentencing
purposes. Flores-de-Jesús and Sabino-Morales challenge both their
1
Although the jury verdict states that Sabino-Morales was
found guilty only on Count One (the drug conspiracy charge) and not
Count Two (the firearms conspiracy charge), the judgment actually
entered against him states that he was convicted on both counts.
In January 2008, counsel on behalf of Sabino-Morales moved to
correct his sentence because the court had imposed a special
monetary assessment of $200, suggesting that it was imposed for
both counts. The government agreed that it was a clerical error
that should be corrected. On February 11, 2008, the district court
granted Sabino-Morales's motion and stated that "[a]n amended
judgment shall be issued." To date, an amended judgment has not
been docketed. Accordingly, the district court is directed to
enter the appropriate amended judgment as to Sabino-Morales.
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convictions and their sentences on various grounds. Their primary
claim is that their convictions must be reversed because the
district court improperly admitted the testimony of Agent Toro,
whom the government used as a so-called "overview witness." In
order to address that contention and determine whether the
erroneous admission of portions of Agent Toro's testimony requires
a new trial, we first describe the legal principles applicable to
overview witnesses. Next, we recount Agent Toro's testimony in
significant detail because that detail is crucial to our resolution
of the overview witness issue. We then proceed to the harmless
error analysis, where we describe the most significant inculpatory
evidence against these two defendants. Finally, we briefly address
the remaining objections of Flores-de-Jesús and Sabino-Morales to
their convictions before turning to the various sentencing issues
raised by each of the three appellants. Throughout, the facts are
conveyed in the light most favorable to the verdict. United States
v. Avilés-Colón, 536 F.3d 1, 8 (1st Cir. 2008).
II.
A. The Casas Decision
In Casas, we criticized the government's "misguided use"
of a government agent as an overview witness to "map out its case
and to describe the role played by individual defendants." 356
F.3d at 117. In that case, DEA Agent Stoothoff described an
elaborate drug trafficking organization that he said included the
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defendants, and he testified that this organization handled
"specific massive quantities of cocaine and heroin." Id. at 118.
We held that this testimony was "improper," id. at 120-21, and
"fatally flawed" for a number of reasons. Id. at 119. First, the
agent's testimony "went well beyond his personal knowledge," and he
"did not differentiate the testimony that was based on personal
knowledge from other sources of information, often hearsay." Id.
at 118-19. Second, instead of "present[ing] testimony about the
characteristics of large-scale drug organizations in general," he
"essentially testified that each of the defendants was guilty of
the conspiracy charged." Id. at 119. This was particularly
troubling because there was
no indication that Agent Stoothoff's
conclusions that the defendants were members
of the drug organization were even based on
testimony that was eventually presented at
trial and could be evaluated by the jury
. . . . In fact, Agent Stoothoff's testimony
was likely, at least in part, based on the
statements of a witness that the government
chose not to call at trial; the record shows
that the purported leader of the conspiracy,
Israel Perez-Delgado, cooperated with the
government and provided information. But
Israel Perez-Delgado did not testify. The
defendants had no chance to cross-examine him,
did not know what he had said to the
government, and had no basis to challenge a
conclusion drawn from what he had said.
Id.
Casas identified three characteristics of overview
testimony that make it "inherently problematic." Id. First, "such
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testimony raises the very real specter that the jury verdict could
be influenced by statements of fact or credibility assessments .
. . not in evidence." Id. Second, "there is . . . the possibility
that later testimony might be different than what the overview
witness assumed." Id. at 119-20. Finally, "[o]verview testimony
by government agents is especially problematic because juries may
place greater weight on evidence perceived to have the imprimatur
of the government." Id. at 120.
Unfortunately, prosecutors from the United States
Attorney's Office for the District of Puerto Rico have not heeded
our warning in Casas. Since that opinion was issued, we have
repeatedly been forced to chide the government for its continued
improper use of overview witnesses despite our admonitions about
this practice.2 Indeed, the government itself must now concede
that portions of Toro's testimony were "precisely the type of
testimony condemned by this Court in United States v. Casas." This
statement is eerily familiar. See Rodríguez, 525 F.3d at 96 ("As
2
See Avilés-Colón, 536 F.3d at 21 n.13 ("It is troubling to
us that the government's use of the overview testimony indicates an
unawareness of our decision in Casas."); Rodríguez, 525 F.3d at 95
("This court on several occasions has strongly cautioned the
Government against the practice of having a case agent make
conclusory statements about a defendant's culpability at the
beginning of the prosecution's case, before any supporting evidence
has been offered."); see also United States v. Casas, 425 F.3d 23,
50-51 (1st Cir. 2005) ("Casas II") (criticizing government for
improper use of overview testimony, though trial was held before
Casas was published); United States v. García-Morales, 382 F.3d 12,
16-17 (1st Cir. 2004) (same).
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the Government concedes, Agent Toro's statement . . . was precisely
the sort of improper overview testimony from a case agent that we
have condemned.")3 This regrettable history requires us to address
once again the problematic nature of overview testimony and to
clarify the limited scope of its proper use.
B. Legal Principles Concerning Overview Witnesses
1. The imprimatur problem
The problem with overview testimony is obvious if the
evidence promised by the overview witness never materializes; we
repeat our condemnation of the use of overview witnesses in such
circumstances. However, even if all of the overview testimony is
corroborated during the course of the trial, there is still the
problem with such testimony that was identified in Casas:
"[o]verview testimony by government agents is especially
problematic because juries may place greater weight on evidence
perceived to have the imprimatur of the government." 356 F.3d at
120; see also United States v. Garcia, 413 F.3d 201, 214 (2d Cir.
2005) (noting that even if the testimony of an overview witness
does prove to be "a summary of later-admitted evidence, it is
3
The behavior of the U.S. Attorney's Office in Puerto Rico is
particularly troubling because it is not the first time that
numerous warnings from this court have gone unheeded. See United
States v. Martínez–Medina, 279 F.3d 105, 127-28 & n.12 (1st Cir.
2002) (Torruella, J., concurring) (describing our repeated
admonishments, made over the course of fifteen years, to
prosecutors in Puerto Rico concerning improper statements in
closing arguments).
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"generally viewed as 'improper . . . for a party to open its case
with an overview witness who summarizes evidence that has not yet
been presented to the jury'" and that "[t]he law already provides
an adequate vehicle for the government to 'help' the jury gain an
overview of anticipated evidence as well as a preview of its theory
of each defendant's culpability: the opening statement") (quoting
6 Jack B. Weinstein, Weinstein's Federal Evidence § 1006.04[3]);
Avilés-Colón, 536 F.3d at 21 n.13 (expressing concern about the use
of a government agent "to endorse the testimony of other witnesses,
who testify from personal knowledge about the involvement of the
defendant in the conspiracy, and thereby add the imprimatur of the
government to those witnesses' testimony"). The overview testimony
of a law enforcement official is not simply a repetition (at best)
of other evidence. It is also, in effect, an endorsement of the
veracity of the testimony that will follow. Garcia, 413 F.3d at
213 (noting that an overview witness did more than simply summarize
the trial testimony; in addition, he "told the jury that . . . an
experienced DEA agent[] had determined, based on the total
investigation of the charged crimes, that [the defendant] was a
culpable member of the conspiracy").
We prohibit this endorsement when it takes the form of a
prosecutor affirming a personal belief in the veracity of a
government witness. That practice is called vouching, and it is
prohibited "because of its potential to shore up a witness's
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credibility by putting the prestige of the United States behind him
and thereby inviting the jury to find guilt on some basis other
than the evidence presented at trial." United States v. Vazquez-
Botet, 532 F.3d 37, 53 (1st Cir. 2008); see also United States v.
Perez-Ruiz, 353 F.3d 1, 9 (1st Cir. 2003) ("A prosecutor improperly
vouches for a witness when she places the prestige of her office
behind the government's case by, say, imparting her personal belief
in a witness's veracity or implying that the jury should credit the
prosecution's evidence simply because the government can be
trusted."). In our view, there is no meaningful difference between
the endorsement of credibility offered by the government's overview
witness and the endorsement offered by the vouching prosecutor.
Indeed, Casas itself raised the comparison between overview
testimony and vouching by citing to Perez-Ruiz after observing that
overview testimony by government agents is especially problematic
because of the effect on juries of "evidence perceived to have the
imprimatur of the government." Casas, 356 F.3d at 120.
The problematic nature of overview testimony (even when
the testimony accurately anticipates the testimony of subsequent
witnesses) is further confirmed by the cautious approach that
courts have taken to so-called "summary witnesses," who testify at
the end of the government's case instead of the beginning. The
testimony of a "summary witness" must, by definition, be completely
consistent with the other evidence introduced at trial. United
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States v. Stierhoff, 549 F.3d 19, 28 (1st Cir. 2008). Still,
courts have allowed such witnesses only in limited circumstances.
For example, in United States v. Fullwood, 342 F.3d 409, 413 (5th
Cir. 2003), the Fifth Circuit endorsed the limited use of summary
witnesses in complex cases, but also recognized the inherent
dangers of such testimony where an agent had been "allowed, without
justification, to simply recap substantial portions of the
Government's case-in-chief." Collecting cases, the court
identified several of these potential dangers, including the fact
that the practice unfairly allowed a prosecution witness merely to
repeat the testimony of another, and the possibility that the
credibility of the summary witness may be substituted for the
credibility of the evidence summarized. Id. at 413-14. Other
courts have admitted summary testimony only in the most complicated
of cases, and only where the potential prejudice is minimized
through the use of procedural safeguards such as limiting
instructions and extensive cross-examination. See, e.g., United
States v. Ray, 370 F.3d 1039, 1046-47 (10th Cir. 2004)4 (twenty-
three day drug conspiracy trial with over fifty witnesses); United
States v. Johnson, 54 F.3d 1150, 1161 (4th Cir. 1995).
4
Although Ray was reversed and remanded in the aftermath of
United States v. Booker, 543 U.S. 220 (2005), see Ray v. United
States, 543 U.S. 1109 (2005), the Tenth Circuit later reinstated
all non-sentencing portions of its original opinion. United States
v. Ray, 147 Fed. App'x 32, 34 (10th Cir. 2005).
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The reluctance of courts to allow the government an
additional opportunity to present its case in a tidy package at the
end of its presentation of evidence, even when the summary evidence
is, by definition, completely consistent with the rest of the trial
record, confirms that the imprimatur problem with such repetitive
testimony is inescapable whether that testimony comes at the
beginning or end of the government's case. There is no
justification for presenting an overview witness who simply
anticipates the testimony of other government witnesses, even if he
does so accurately. However, as we shall explain, there may still
be value and legitimacy in government overview testimony that
serves a different purpose.
2. Summary of the case vs. summary of the investigation
There may be value in having a case agent describe the
course of his investigation in order to set the stage for the
testimony to come about the nature of the conspiracy and the
defendants involved. Indeed, in considering a defendant's
challenge to the testimony of an IRS agent, we have explicitly
distinguished between the kind of "overview" testimony that we
described in Casas and an agent's "description of his
investigation" into the defendant's activities, which is based on
personal knowledge. United States v. Hall, 434 F.3d 42, 57 (1st
Cir. 2006). The officer's testimony, if properly limited to
"constructing the sequence of events in the investigation," could
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be valuable to "provide background information and to explain how
and why the agents even came to be involved with th[e] particular
defendant." United States v. Goosby, 523 F.3d 632, 638 (6th Cir.
2008) (quotation marks and citation omitted).
Absent a basis in personal knowledge, however, the
overview witness may not offer substantive testimony about the
nature of the conspiracy or the involvement of particular
defendants. When a law enforcement witness "express[es] opinions
as to defendants' culpability based on the totality of information
gathered in the course of their investigation[]," Garcia, 413 F.3d
at 211, these conclusory statements often involve impermissible lay
opinion testimony, without any basis in personal knowledge, about
the role of the defendant in the conspiracy. Id. at 211-13; Fed.
R. Evid. 701.
Additionally, such overview testimony may have serious
Crawford/Confrontation Clause implications. In Crawford v.
Washington, 541 U.S. 36 (2004), the Supreme Court held that a
declarant's "testimonial" out-of-court statement is inadmissible
under the Confrontation Clause unless "(1) the declarant testifies
. . . or (2) the defendant had a prior opportunity for cross
examination and the declarant is unavailable . . . or (3) the
evidence is admitted for purposes other than establishing the truth
of the matter asserted." United States v. Maher, 454 F.3d 13, 19-
20 (1st Cir. 2006). Therefore, "[p]ost-Crawford, the admission of
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non-testifying informants' out-of-court testimonial statements,
through the testimony of police officers, is a recurring issue in
the courts of appeals." Id. at 19. Overview testimony frequently
reflects reliance on the statements of non-testifying informants,
who implicate the defendants in criminal activity. The problematic
nature of such testimony is self-evident. Finally, and more
generally, such overview testimony is almost certain to be rife
with hearsay. Rodríguez, 525 F.3d at 96 (overview testimony also
"constituted improper hearsay testimony"). While the subsequent
trial testimony of the out-of-court declarant resolves the Crawford
issue, which is based on the Confrontation Clause, it does not cure
the hearsay problem more generally.
3. The intersection of overview and expert testimony
Delineating the boundaries of acceptable overview
testimony becomes even more complicated when the "overview" witness
is also qualified as an expert. Overview witness testimony is
normally limited by the rule that lay opinion testimony is
admissible only if it is 1) not grounded in scientific or
specialized knowledge but "rationally based on the perception of
the witness," and 2) helpful to the jury in acquiring a "clear
understanding of the witness's testimony or the determination of a
fact in issue." Fed. R. Evid. 701. In contrast, the Federal Rules
permit experts to provide opinions so long as "(1) the testimony is
based upon sufficient facts or data, (2) the testimony is the
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product of reliable principles and methods, and (3) the witness has
applied the principles and methods reliably to the facts of the
case." Fed. R. Evid. 702. Experts, unlike lay witnesses, may base
their opinions on facts or data that need not be admissible, as
long as these facts are "of a type reasonably relied upon by
experts in the particular field in forming opinions or inferences
upon the subject." Fed. R. Evid. 703. Facts or data that are
otherwise inadmissible are not to be disclosed to the jury unless
the court determines that their "probative value in assisting the
jury to evaluate the expert's opinion substantially outweighs their
prejudicial effect." Id.
The Casas court thus appropriately noted that "expert
witnesses have leeway other witnesses do not," although the
government had never sought in Casas to qualify Stoothoff as an
expert, and, "[m]ore fundamentally, . . . Agent Stoothoff's
testimony that particular persons were members of the conspiracy
was not an appropriate subject for expert testimony. It was not in
any way linked to the 'specialized knowledge' that Rule 702
requires." Casas, 356 F.3d at 120; see also Johnson, 54 F.3d at
1157 ("Rule [703] does not afford the expert unlimited license to
testify or present a chart in a manner that simply summarizes the
testimony of others without first relating that testimony to some
‘specialized knowledge' on the expert's part as required under Rule
702 of the Federal Rules of Evidence."). Thus, as with any other
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witness, courts cannot allow an overview witness to testify as an
"expert" as to matters that are not appropriately the subject of
expert testimony.
On the other hand, we have often allowed expert testimony
regarding the operation of criminal schemes, "[i]n particular,
expert testimony regarding the description of a typical drug
network." García-Morales, 382 F.3d at 18-19 (quotation marks and
citation omitted). Therefore, we have held that, while portions of
an overview witness's testimony were improperly admitted, other
sections of the testimony were acceptable in his capacity as an
expert qualified to describe the structure and operation of a
typical drug conspiracy. Id. at 17-19.
Nevertheless, even appropriate expert testimony under
Rule 702 "may be excluded under Fed. R. Evid. 403 if its probative
value is substantially outweighed by the risk of unfair prejudice
it creates." United States v. Lopez-Lopez, 282 F.3d 1, 15 (1st
Cir. 2002) (quotation marks and citation omitted). While there is
no prohibition against a witness testifying as both an expert and
a fact witness, "courts must be mindful when the same witness
provides both lay and expert testimony," United States v. Upton,
512 F.3d 394, 401 (7th Cir. 2008), because of the heightened
possibility of undue prejudice. The problem is especially acute
where the dual roles of expert and fact witness are filled by a law
enforcement official, in part because "the jury may unduly credit
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the opinion testimony of an investigating officer based on a
perception that the expert was privy to facts about the defendant
not presented at trial." Id. at 401. See also United States v.
Dukagjini, 326 F.3d 45, 53 (2d Cir. 2003) (observing that "the use
of the case agent as an expert increases the likelihood that
inadmissible and prejudicial testimony will be proffered," in part
because when the case agent functions as an expert for the
government, "the government confers upon him the aura of special
reliability and trustworthiness surrounding expert testimony, which
ought to caution its use") (quotation marks and citation omitted);
United States v. Brown, 776 F.2d 397, 401 n.6 (2d Cir. 1985)
(observing that the risk of a jury conflating expert and fact
testimony "is increased when the opinion is given by the very
officers who were in charge of the investigation") (quotation marks
and citation omitted). The law enforcement/overview witness who
testifies as both a fact witness and an expert thus exacerbates the
imprimatur problem we have noted earlier.
C. Agent Toro's Testimony
Agent Toro was on the witness stand for an entire day of
trial. Some of Agent Toro's testimony suffered from the
infirmities that have led us to condemn overview testimony in the
past. Some of his testimony was acceptable. In the discussion
below, we distinguish between the permissible portions of his
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testimony and those portions that were inappropriate under Casas
and its progeny.
1. Background and qualification as an expert
After taking the stand, Agent Toro first explained that
his division, the Special Investigations Unit, was responsible for
investigating organized crime and governmental corruption in Puerto
Rico. Agent Toro testified that he had worked for the Unit for
eleven years and three months. During that time period, he had
been assigned to a federal agency (the Alcohol, Tobacco and
Firearms Agency) for eight and a half years.
Agent Toro's primary job responsibility was conducting
investigations related to drug trafficking and weapons, which often
involved surveillance, interviewing informers, executing search
warrants, seizing contraband, and making arrests. He testified
that he had, in the past, worked undercover at various drug points,
including in public housing projects. Over the course of his
career, he had been involved with more than seventy-five undercover
"transactions" (though he did not himself conduct any undercover
drug purchases at Covadonga) and had, in the past, been qualified
as an expert for two trials involving another public housing
project in Puerto Rico. The government tendered Agent Toro as an
"expert in sales and distribution of illegal narcotics controlled
substances." Although this phrase is ambiguous, the prosecutor
apparently intended that Toro would testify as an expert on the
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structure and typical operation of drug distribution conspiracies
at Puerto Rico housing projects.
During the course of voir dire by defense counsel, Agent
Toro testified that he had received formal training after being
sworn in as an agent through his participation in the Special
Investigations Unit Academy, the Puerto Rico Police Academy,
several trainings with the DEA, and five trainings at the Institute
of Police and Management in Florida. However, he had received no
specific training as to "drug quantities or the amount of
drugs . . . sold in Puerto Rico" or "the movement and amounts of
drugs specifically as to the public housing project known as
Nuestra Señora de Covadonga." Instead, he presented himself as an
expert "based on [his] daily work for the last eleven years and a
half."
At sidebar, the defense attorneys expressed reservations
about Toro's qualifications as an expert. They protested that Toro
should not testify as to the specific drug quantities for which
each defendant was responsible, stating that he had no "factual
basis to be able to form an opinion as to how much drugs were being
sold at a point in Covadonga," much less the amounts attributable
to each defendant. Defense counsel argued that Toro had only
learned about the case by interviewing informants and therefore his
testimony was based on hearsay rather than personal knowledge. The
government, for its part, maintained that Agent Toro's experience
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made him an expert as to the sale and distribution of controlled
substances at drug points in general, and also that in other
aspects of his testimony (presumably as a fact witness,) he would
be testifying about "Covadonga and the drug conspiracy [of] which
he ha[d] direct knowledge." The government also repeatedly assured
defense counsel and the court that Agent Toro would not attribute
specific drug quantities to each defendant, and that he would
instead provide "expert" testimony as to "drug distribution methods
and so forth, of people involved in this type of operation . . .
and how the drug point was run, the different roles within the drug
point and the quantities sold in Covadonga." The court accepted
Agent Toro as an expert over the vigorous objections of all
defendants.
2. Covadonga and drug points generally
Drawing on his expertise and testifying as an expert
witness,5 Agent Toro explained the basic concept of a drug point,
noting that drug points in public housing projects are
strategically chosen so that the drug dealers may avoid arrest.
5
While Agent Toro was qualified as an expert on the typical
operation of drug conspiracies, see García-Morales, 382 F.3d at 18-
19, we are not suggesting that only an expert could properly
provide similar testimony. See, e.g., United States v. Santiago,
560 F.3d 62, 66 (1st Cir. 2009) (observing that testimony about
coded language in drug transactions may be admissible as either lay
or expert testimony); United States v. Pinillos-Prieto, 419 F.3d
61, 71 (1st Cir. 2005) (holding that case agent's testimony
regarding his experience with general operation of drug
conspiracies was permissible lay opinion testimony under Rule 701).
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Next, on the basis of personal knowledge and testifying as a fact
witness, he described the layout of Covadonga itself, including the
entrances and location of a police precinct at the main entrance.
He explained that his office's involvement in the investigation
into Covadonga began when he met with the police commander
responsible for the area. After that meeting, and based on
documents they received from the Puerto Rico police, his Unit
decided to embark on an undercover investigation of the drug point,
which was located in a common area between buildings 10, 11, and 13
of the housing project. Using an aerial photograph, Agent Toro
again described the layout of the project and pointed out the
location of the drug point, the vehicle entrance, an additional
pedestrian exit, and the police precinct. None of this testimony
was problematic.
3. Installation of Oscar Espada and his role in the
investigation
Agent Toro then recounted the reasons for the NIE's
installation of a confidential informant - Oscar Espada - at the
housing project in October 2002. Espada was a professional
photographer who was "introduced into the public housing project to
become known by and make friendship with the persons involved in
the drug point and to collect evidence and information." The
government installed him in a second-floor apartment in building
13, which overlooked the suspected drug point. From that location,
Espada was able to conduct surveillance of illicit activity in the
-22-
area. Over the course of seven months in 2002 and 2003, he
recorded approximately 70 videotapes documenting the activities at
the drug point. Espada also took still photographs of various drug
and firearm transactions at Covadonga.
Agent Toro appropriately testified that he had watched
Espada's tapes, characterizing them as videos of "people selling
and buying drugs. There will be people with firearms at the drug
points, people collecting money. People counting money. People
delivering drugs." He also permissibly stated, on the basis of his
personal involvement in the investigation, that the agency had
decided to send in Espada to befriend the individuals involved in
the drug trafficking because it was the only way to obtain evidence
about the internal operations of the conspiracy. However, when the
prosecutor asked Toro a question about how Espada was able to make
friends with the conspirators and gain their confidence, defense
counsel objected. In response, the court told the jury that "[t]he
information is based on the information [Espada] gave [Toro]," and
admitted the information conditionally, pending confirmation of
Toro's testimony by Espada.
The judge's instruction to the jury missed the point.
Toro's testimony was unquestionably hearsay. It unnecessarily
anticipated testimony that Espada would give himself. It had the
imprimatur problems we have described. The fact that Espada later
-23-
testified as Toro said he would did not redeem these deficiencies
in Toro's testimony.
4. The shootings at Covadonga
The government asked Agent Toro why Espada's videotaping
stopped in 2003. Despite defendants' protestations, the court
allowed Toro to testify that, following the murder of Luis Osorio,
a/k/a/ "Trompi," one of the leaders of the drug conspiracy, there
was a wave of violence against those who had been associated with
him. Toro explained that Espada had been linked to Trompi and, as
a result, the new owners of the drug point had tried to shoot him
and then set fire to his apartment. Although the source of Toro's
knowledge on these points is unclear, the testimony was not being
offered for the truth of the matter asserted, but rather as an
explanation for the end of the surveillance. Accordingly, it was
not hearsay. Nevertheless, at the defendants' urging, the district
court gave three limiting instructions because of Rule 403
concerns.6
5. Roles in the conspiracy
The most troubling part of Agent Toro's testimony
involved his conclusions about the roles of the defendants in the
6
The court first stated that Toro's testimony was meant to
explain why the surveillance was stopped, and not to imply that
"any of the[] three defendants were connected with any of those
events;" therefore, the jury was to draw no adverse inferences as
to the defendants. Its second and third limiting instructions were
essentially identical.
-24-
conspiracy. He "essentially testified that each of the defendants
was guilty of the conspiracy charged." Casas, 356 F.3d at 119.
Over defendants' objection, and upon receiving the AUSA's assurance
that subsequent witnesses would also testify as to the respective
roles of the co-conspirators, the court allowed Toro to identify by
name and role in the drug conspiracy twenty-five individuals
(including appellants) who, during the course of the video
surveillance, had been "involved in drug distribution activities in
Covadonga." Toro then circled the three defendants' pictures on a
chart that contained the names and photographs of these twenty-five
alleged co-conspirators (the photographs were apparently screen
captures from the videos), stating that Flores-de-Jesús and Sabino
Morales were both sellers and runners, and that Feliciano was a
seller.
The government concedes that this testimony - identifying
the names and roles of the conspiracy members with the use of the
accompanying chart - was "precisely the type of testimony" we
condemned in Casas. This concession was unavoidable. Toro stated
that he had been able to identify the names and roles of the
individuals on the chart using the surveillance videotapes,
information from the company that managed the housing project,
reports from the Puerto Rico police, and information obtained from
-25-
CI Espada. This testimony was not based on Agent Toro's personal
knowledge.7 Most of it was based on inadmissible hearsay.
For example, Toro stated that some of his testimony was
based on information gleaned from interviews with CI Espada. It is
true that defense counsel later had a chance to cross-examine
Espada.8 The fact that Espada confirmed much of Toro's testimony
with respect to the roles of the various defendants is certainly
relevant to the harmless error analysis. Moreover, this
confrontation ensures that there is no Crawford problem with this
aspect of Agent Toro's testimony. Nevertheless, even if
corroborated, the portion of Toro's role testimony that was based
on Espada's statements was still hearsay and squarely raises the
imprimatur issue discussed above. Moreover, neither Espada nor any
other witness corroborated all of Toro's testimony about each co-
conspirator and his role. Finally, to the extent that Toro's role
testimony was based on police reports and information from the
7
Because of the government's concession with respect to this
testimony, and because Agent Toro did not identify which portions
of his testimony, if any, were based solely on the surveillance
tapes, we need not determine whether a law enforcement officer's
personal viewing of surveillance footage would ever be a
permissible basis for such testimony.
8
This situation contrasts with Casas, where we specifically
noted that Agent Stoothoff's testimony was likely based on the
testimony of a cooperating co-conspirator whom the government chose
not to call at trial. Casas, 356 F.3d at 119. This scenario was
particularly problematic because "t[]he defendants had no chance to
cross-examine him, did not know what he had said to the government,
and had no basis to challenge a conclusion drawn from what he had
said." Id.
-26-
manager of the housing project that were never admitted into
evidence, it was improper yet again on hearsay grounds.9
6. Seizure of drugs from Covadonga
Agent Toro then appropriately testified as a fact witness
that on July 1, 2003, he seized heroin, marijuana, and crack from
a vacant apartment on the first floor of building 32 of the housing
project. He later permissibly provided a detailed description of
the kinds (and quantities) of drugs and drug paraphenalia that were
recovered in the specific seizure in which he had participated; he
also identified some of these items, which were introduced by the
prosecution as physical evidence, along with several photographs of
other materials confiscated during the seizure.
7. Testimony about stash houses
Stepping back from the specific raid at Covadonga, Toro
properly explained to the jury, based on "[his] training and
experience as a law enforcement officer," (i.e., in his expert
9
Just before Toro began listing the co-conspirators and
identifying their roles, the trial court asked the government
whether it planned to introduce evidence to corroborate his
testimony. After the government answered in the affirmative, the
court stated to the jury that "[Toro's testimony] will be taken by
the jury as something [that was] related to him." We cannot be
sure what the trial judge was trying to convey to the jury with
this statement. Perhaps he was reminding the jury that Toro
obtained the information and conclusions to which he was about to
testify from other sources, and thus that this evidence was not
based on personal knowledge. Accordingly, the jury could have
inferred that they should not give the testimony as much weight as
they otherwise would have given it. Whatever the purpose of the
judge's instruction, it does not avoid the error in allowing Toro
to give a preview of the testimony of other witnesses.
-27-
capacity), that large quantities of drugs intended for sale at a
drug point are often stored in a remote location so that if the
police arrived at the location where the drugs were sold, they
would only be able to seize a small quantity of the product.
However, Toro then added that there were other stash houses in
Covadonga where drugs were kept (besides the location from which he
had seized the drugs). Upon defendants' objection, the government
inquired as to the basis for his knowledge of the stash houses.
Although Toro responded that he had obtained this information from
"[r]eports from the Puerto Rico Police and information from the
informant," thereby exposing the impropriety of his testimony on
this topic, the court did not strike the testimony from the record.
This ruling was erroneous.
8. Drug quantities and drug sales at Covadonga
The prosecutor asked Agent Toro this question: "Based on
the investigation and based on all of your training and experience
as a law enforcement officer, approximately how much cocaine was
being sold in Covadonga between the years 2002 until [the end of
the investigation in 2003]?" Toro responded with estimates of the
amounts of cocaine, crack, heroin, and marijuana sold monthly
during that time period, stating that his estimates had been
arrived at "using the videos and interview of witnesses and
reports." The government concedes that this drug quantity
testimony was impermissible under Casas.
-28-
In Casas, part of the overview testimony we found
inappropriate was testimony "that the organization handled specific
massive quantities of cocaine and heroin." 356 F.3d 118. That
statement may account for the government's concession that Agent
Toro's drug quantity estimates were inappropriate. Agent Stoothoff
was not testifying as an expert in Casas, and, based on Agent
Toro's testimony that he had arrived at his drug quantity
estimation based on, inter alia, witness interviews and other
reports, it appears that Agent Toro's testimony as to drug quantity
may not have been offered in his expert capacity but rather as a
fact witness. In any event, in light of the government's
concession, this is not an issue that we need decide here.
Moreover, while we accept the government's concession that Toro's
drug quantity testimony was improper under these circumstances, we
do not imply that a properly qualified expert may never offer valid
drug quantity testimony where that testimony comports with the
other requirements for expert testimony under the Federal Rules.
Additionally, we note that because Agent Toro's drug quantity
testimony appears to have been based at least in part on interviews
with individuals who did not testify at trial, such testimony also
has the potential to raise Crawford problems.
D. Summary
Generally, and based on the principles we described in
Part II.B., supra, Agent Toro's testimony was permissible to the
-29-
extent that he was testifying either 1) as a case agent describing
the course of the investigation and events in which he had
personally participated, or 2) as an expert whose testimony
provided background and context on drug conspiracies and
distribution in public housing projects in Puerto Rico. More
specifically, in his capacity as a case agent and fact witness, the
district court properly allowed Agent Toro to testify to: the
general layout and other specific descriptions of Covadonga and the
course of his unit's investigation of the drug point, including the
use of Oscar Espada as an informant and his own visits to the
project and seizure of drugs from the property. As an expert, Toro
properly described the operation of drug points generally,
including the various "roles" typically involved in an intricate
drug conspiracy and the practice of storing drugs intended for
sale, as opposed to immediate distribution, at a remote location
from the drug point itself.
In contrast, the government concedes that Toro's
testimony "identifying the names and roles of the conspiracy
members, the accompanying chart, and his estimates of the amount of
cocaine sold monthly at Covadonga10 - was precisely the type of
testimony condemned by this Court in United States v. Casas."
Specifically, all of Toro's testimony about the role of the
10
We reiterate that we do not foreclose the possibility that
a properly qualified expert could offer appropriate expert
testimony as to drug quantity.
-30-
defendants in the conspiracy that was based on information gathered
from police reports, other documents not introduced into evidence,
and interviews with CI Espada, cooperating co-conspirator Medina
Torres, or other individuals, was hearsay and inappropriate
overview testimony. Even though some of this objectionable
testimony was later repeated by other witnesses, thereby obviating
any potential Crawford problem, the repetition did not validate the
admission of the overview testimony. Later repetition of testimony
by a witness with first-hand knowledge does not eliminate the
hearsay nature of the initial overview testimony. And the
imprimatur problem remains a barrier to such overview testimony,
even if it is repeated -– a problem that is exacerbated by the
agent's dual role as both a fact witness and an expert. Finally,
the repetition is problematic in itself.
As we have already noted, the law enforcement officer
providing the overview testimony is essentially endorsing the
testimony of other witnesses in what can only be viewed as an
attempt by the government to bolster the credibility of those later
witnesses. From the government's point of view, that enhancement
effort may seem particularly critical in these drug cases where so
much of the government's case relies on the often problematic
testimony of confidential informants with unsavory pasts or
cooperating co-defendants with myriad credibility problems.
Although we do not minimize these problems for the government, we
-31-
cannot condone the use of overview witnesses in the impermissible
ways we have described here to overcome those problems. We made
that view clear in Casas. We restate that view here with renewed
emphasis.
Henceforth, there can be no justification in this circuit
for the government's repetition of the errors that we have
identified here in the use of overview testimony in criminal cases.
If somehow prosecutors in the U.S. Attorney's Office in Puerto Rico
did not get the message before about the dangers of such testimony,
they should surely get it now. And they should draw no comfort
from the fact that the harmless error analysis we are now required
to undertake saves these convictions despite the misuse of overview
testimony. The Supreme Court has made clear that we may not vacate
appellants' convictions simply out of indignation at the repeated
failure of the U.S. Attorney's office in Puerto Rico to abide by
the strictures on the use of overview testimony. That is, the
harmless error inquiry may "not be avoided by an assertion of
supervisory power" to "discipline the prosecutors of [a particular]
jurisdiction." United States v. Hasting, 461 U.S. 499, 505
(1983).11 Nevertheless, if prosecutors fail to heed our guidance
in the future, they may be referred for sanctions to the Department
11
"Supervisory power to reverse a conviction is not needed as
a remedy when the error to which it is addressed is harmless since
by definition, the conviction would have been obtained
notwithstanding the asserted error." Id. at 506.
-32-
of Justice or to the appropriate Puerto Rico attorney disciplinary
body. See id. at 506 n.5 (stating that such disciplinary sanctions
would be more appropriate remedies for prosecutorial misconduct
where the error is harmless). Such conduct will also subject
government counsel to disciplinary actions before this court. See
Rules of Attorney Disciplinary Enforcement for the Court of Appeals
for the First Circuit, Rule IV (2002) (governing our authority to
sanction an attorney admitted to practice before this court for
misconduct).
E. Harmless Error Analysis
We must now undertake a harmless error analysis in order
to determine whether the erroneous admission of the overview
evidence requires the reversal of appellants' convictions.12
The admission of improper testimony is harmless if it is
"highly probable that the error did not influence the verdict."
Casas, 356 F.3d at 121; see also United States v. Garcia-Ortiz, 528
F.3d 74, 80 (1st Cir. 2008). "The government, not the defendants,
bears the burden of establishing harmlessness." United States v.
Rodriguez-Marrero, 390 F.3d 1, 18 (1st Cir. 2004) (quotation marks
and citation omitted). "There is no bright-line rule" as to how to
properly conduct this inquiry; instead, the
12
Because Flores-de-Jesús and Sabino-Morales properly
preserved their claims of error by repeatedly objecting to Agent
Toro's testimony, there is no question that our review is for
harmless error and not plain error.
-33-
harmlessness determination demands a
panoramic, case-specific inquiry considering,
among other things, the centrality of the
tainted material, its uniqueness, its
prejudicial impact, the uses to which it was
put during the trial, the relative strengths
of the parties' cases, and any telltales that
furnish clues to the likelihood that the error
affected the factfinder's resolution of a
material issue.
United States v. Sepúlveda, 15 F.3d 1161, 1182 (1st Cir. 1993).
Accordingly, it is impossible to assess whether the improper
admission of portions of Agent Toro's testimony was truly harmless
without engaging in a detailed analysis of the evidence against
each defendant apart from Toro's improper testimony. In so doing,
we must be careful not to conflate the standard for harmlessness
with a sufficiency standard. Here, the appropriate inquiry is not
whether a reasonable jury could have looked at the evidence and
reasonably found defendants guilty, but rather whether it is
"highly probable" that the error did not influence the verdict.
1. Flores-de-Jesús
Flores-de-Jesús was the only defendant to be convicted of
both the drug conspiracy and the firearms conspiracy charges. We
turn first to the evidence regarding the drug conspiracy count.
Trial testimony established that in 2002, the leader of
the drug point, Bebe La Rubia, was murdered after a power struggle,
and the point was taken over by Luis Osorio, a/k/a "Trompi," and
Cristian Villegas, a/k/a "Casi." In 2003, Trompi himself was
murdered and Casi was driven out of the drug point. At this point,
-34-
Wilfredo Feliciano Rodríguez ("Wilfre") and Alex Trujillo assumed
control of the drug point, which they maintained until the
organization was dismantled by a series of arrests in 2004.
Confidential informant Espada testified that two or three
days after he had moved into Covadonga in approximately October
2002, he met Flores-de-Jesús in the stairwell of his building,
where Flores-de-Jesús was selling drugs. Espada told him that he
was a professional photographer who was unemployed and had lost his
equipment, and was badly in need of money to support his family.
Flores-de-Jesús promised to help Espada, and Trompi, one of the
leaders of the drug point at the time, eventually gave Flores-de-
Jesús the money to lend Espada so that he could buy a camera. With
his new camera, Espada would take photographs of some of the
individuals associated with the drug point and then print those
pictures on T-shirts for them. Flores-de-Jesús was the first
person Espada contacted about these photographs, one of which was
introduced into evidence by the government.
As part of his undercover operation, Espada purchased
fifty packages of cocaine from "Casi," who was also one of the
leaders of the drug point at that time (the government later played
a videotape of this transaction). Espada also testified that he
had seen all three defendants associating with Casi, at times when
Casi was "distributing substances and weapons." Espada stated that
Flores-de-Jesús and the others working at the drug point took no
-35-
measures to hide their activities and that drug-related activity
was obvious from the first day he moved into the project. This
account was later corroborated by the testimony of cooperating co-
conspirator Omar Medina Torres, who stated that drugs were being
sold at the point 24 hours a day, "in the open air."
Cooperating co-conspirator Omar Medina Torres stated that
he had known Flores-de-Jesús for most of his life. According to
Medina, Flores-de-Jesús started selling drugs at Covadonga in 2000,
and continued until the time he was arrested. Flores-de-Jesús
would almost always work the shift from 2:00 pm until 9:00 pm, the
same shift that Medina worked. When he first began selling drugs,
Flores-de-Jesús sold "black-vial" crack cocaine, $5 "clown" cocaine
(the clown symbol identified the seller), $20 cocaine, and $5
heroin. These sales were for an individual nicknamed "Surdo."
During this period, Medina estimated that Flores-de-Jesús would
sell 200-300 baggies of clown cocaine and maybe five baggies of the
$20 cocaine during one shift.
Medina stated that, over the history of the drug point,
Flores-de-Jesús sold for several different individuals who changed
with the leadership of the drug point: "Surdo" was first, then
"Trompi," and finally Wilfre Feliciano. During the latter part of
his career, when he was selling for Feliciano, Flores-de-Jesús sold
pink-cap crack, black-vial crack, $5 cocaine, and $5 heroin.
Medina estimated that Flores-de-Jesús could sometimes sell 250-300
-36-
of the black vials of crack, the same amount of pink-cap crack, and
50-150 packages of heroin per shift.
Medina also characterized Flores-de-Jesús as a runner and
a manager. He initially served this role for "Trompi," and ended
up working as a runner/manager for Alex Trujillo and Feliciano when
they took over the drug point. As a runner, Flores-de-Jesús would
stay at the point to see that everything was "running OK." He
would go get more drugs if the supplies at the point were running
low, and he would collect the money from the point and deliver it
to whoever was the owner at the time, first to Trompi, and later to
Alex Trujillo and Wilfre Feliciano. Medina knew this was so
because Flores-de-Jesús often worked during shifts when Medina was
selling drugs at the point. Medina stated that, although he was
the best seller at the drug point, Flores-de-Jesús was the second-
best, and would sell about the same quantities of drugs per shift
as Medina (Medina had already provided extensive testimony on
exactly how much this was).
There were also several videotapes introduced into
evidence that corroborated the testimony of Medina and Espada. A
video taken on December 10, 2002, showed Flores-de-Jesús selling
crack and cocaine and holding bags of drugs, along with Medina and
some of the other alleged members of the conspiracy. Another
recording, dated December 16, 2002, showed Flores-de-Jesús selling
drugs, including cocaine and heroin, near Medina and several other
-37-
co-conspirators. Medina testified at trial that he was upset on
the tape because Flores-de-Jesús was "moving in on him."13 A video
taken December 26, 2002, showed Flores-de-Jesús with two other
conspirators "balancing out the shift," i.e., sorting and
distributing the money earned in a particular shift. Later on that
same day, another runner was seen delivering cocaine to Flores-de-
Jesús, who was selling. Another recording dated December 30, 2002,
again showed Flores-de-Jesús selling cocaine. Medina, Flores-de-
Jesús, and Casi all appeared in a January 3, 2003 video in which
Flores-de-Jesús was conducting a drug sale. Finally, Flores-de-
Jesús was also seen selling drugs and holding a walkie-talkie in a
video dated February 12, 2003.
We contrast the "substantial evidence of [a]ppellant's
guilt" that we have described, which included not only the
testimony of two different witnesses, but numerous video recordings
of Flores-de-Jesús conducting drug transactions over the course of
several months, with the "defense's case [which] was relatively
weak, largely limited to cross-examination of the prosecution's
witnesses." Rodríguez, 525 F.3d at 97. None of the cross-
examination yielded any exculpatory evidence with respect to
Flores-de-Jesús (or, for that matter, any of the defendants).
13
Medina testified that at this time he felt that Flores-de-
Jesús was his competition, and that although they sold drugs
"belonging" to different individuals (with the different "lines" of
drugs designated by the packaging), they were both working for the
same individual, Casi.
-38-
There were no witnesses presented to contradict the government's
evidence respecting defendants' involvement in the conspiracy.
Nevertheless, we acknowledge that the evidence against
Flores-de-Jesús came primarily from a confidential informant and a
cooperating co-defendant. As we have mentioned, testimony from
such individuals is often problematic. Moreover, because Agent
Toro's repetition of such testimony was interspersed with proper
expert testimony, the risk of undue prejudice was higher than it
would have been if he were simply a fact witness for the
government. Therefore, the bolstering of the government's case by
the improper overview testimony of Agent Toro was a significant
part of this trial. It squarely implicates the imprimatur problem
that we noted in Casas and that we discussed at length above.
Although the issue is close, we conclude that the
harmless error analysis saves the government's convictions. The
videotapes played for the jury clearly depicted appellant's
interactions with members of the alleged conspiracy, as well as his
involvement with illegal narcotics. The videotapes corroborate the
testimony of the confidential informant and the cooperating co-
conspirator. That corroboration does not depend on any endorsement
of their testimony by Agent Toro through his overview testimony.
Nor did the government, in closing, refer to Agent Toro's improper
testimony or use it to try to prove their case. In short, on these
facts, we conclude that it is highly probable that the improper
-39-
assertion by Agent Toro - that Flores-de-Jesús was a manager and a
runner in the Covadonga drug conspiracy - was "the same
determination that the jury would have drawn in the absence of the
inadmissible testimony." Casas, 356 F.3d at 122.
There is also enough evidence supporting Flores-de-
Jesús's conviction on the firearms conspiracy charge that we find
it "highly probable" that the erroneous admission of Agent Toro's
testimony did not influence the verdict on this count either.
Espada testified that he occasionally photographed some of the co-
conspirators with weapons. In the photograph of Flores-de-Jesús
and three other alleged members of the drug conspiracy that was
introduced into evidence, one of the other individuals was holding
a weapon. Espada also testified that all three defendants often
saw "Casi" carrying weapons at the point. Additionally, Medina
stated that he frequently saw individuals at the drug point
carrying weapons, and that Flores-de-Jesús was often present at
these times. He explained that "there are always going to be
weapons at a drug point, always . . . that's a drug point." More
specifically, Medina stated that he himself would carry a weapon,
a .38 caliber, while selling drugs at the point, and that all three
defendants had seen him carrying it before. He said that not only
the so-called "enforcers" carry weapons, but "nearly all of [the
conspirators] would [go around] with them" in order to protect the
drug point. Finally, a videotape dated December 16, 2002 showed
-40-
Flores-de-Jesús with a radio (perhaps looking out for police), and
then, more importantly, loading a magazine with a bullet. An April
10, 2003 video showed one of the drug conspiracy's "enforcers" with
a pistol; Flores-de-Jesús was present in the frame.14 Because none
of Agent Toro's improper testimony specifically pertained to
whether Flores-de-Jesús conspired with others to use a firearm in
connection with the drug conspiracy, it is highly probable that the
14
In view of the evidence we have described, we summarily
reject Flores-de-Jesús's claim that he is entitled to a judgment of
acquittal on the firearms conspiracy charge pursuant to Federal
Rule of Criminal Procedure 29. "[C]hallenges to the sufficiency of
the evidence and to the denial of the motion for judgment[] of
acquittal raise a single issue," United States v. Morillo, 158 F.3d
18, 22 (1st Cir. 1998), which we review de novo. United States v.
Thompson, 449 F.3d 267, 275 (1st Cir. 2006). We inquire "whether
the evidence presented at trial, together with all reasonable
inferences and viewed in the light most favorable to the verdict,
would allow a rational jury to establish the defendant's guilt
beyond a reasonable doubt." United States v. Combs, 555 F.3d 60,
65 (1st Cir. 2009). In this case, there is no question that the
evidence we have recounted was sufficient to permit a reasonable
jury to conclude that Flores-de-Jesús was guilty of the charged
offense. He was convicted of conspiring to use, carry, or possess
a firearm in furtherance of a drug trafficking crime in violation
of 18 U.S.C. § 924(o). Therefore, the jury did not even need to
find that Flores-de-Jesús himself ever used or possessed a firearm
in furtherance of the drug conspiracy. It would be sufficient to
find that he was part of an agreement to do so. In light of the
testimony we have described, there was ample evidence to allow the
jury to reasonably infer that Flores-de-Jesús had agreed with
"fellow members of the Covadonga drug market to possess guns in
order to provide protection and enforcement for their drug trade."
Rodríguez, 525 F.3d at 104; see also id. at 104-05 (jury could have
inferred such an agreement from Medina's testimony that "drug
owners and sellers regularly carried guns at Covadonga while
dealing in drugs" even absent any direct evidence "showing an
agreement to possess weapons between [defendant] and four [other]
individuals" named in Count Two of the indictment).
-41-
error did not influence the verdict. Indeed, when asked on cross
examination whether he had ever seen Flores-de-Jesús with a weapon
on his person, Toro explicitly stated that he had not.
2. Sabino-Morales
Although Rafael Sabino-Morales was charged with both the
drug conspiracy and firearms conspiracy counts, he was convicted
only of the former. Because the witnesses occasionally made
general statements about all three of the defendants at once, some
of the evidence against Sabino-Morales overlaps with the evidence
we recounted above with respect to Flores-de-Jesús.
We first recall Espada's testimony that all three
defendants had associated with "Casi," one of the leaders of the
conspiracy, while he was "distributing substances and weapons."
Espada had also linked Juan Carlos, the individual who had tried to
kill Espada, with all three defendants.
Medina testified that he had known Sabino-Morales for
almost his whole life. Medina had seen Sabino-Morales "working the
table" a few times, decking cocaine. Sabino-Morales began this
work when Bebe la Rubia was still one of the leaders of the drug
point. On one occasion during that time period, Sabino-Morales
packaged the drugs in his own home. Medina also testified that
when Wilfre Feliciano and Alex Trujillo took over the point in
2003, everyone was scared because of the recent power struggles,
and no one wanted to run drugs. At that point, Sabino-Morales
-42-
began to act as a runner and, in fact, because of the tense
atmosphere, he was the only runner at the point for some period of
time.
As a runner, Sabino-Morales would pick up money from the
sellers, including Medina himself, and bring new supplies of drugs
to the point. Sabino-Morales would run drugs and money to and from
the drug point two to three times a day, every day. On several
occasions, Medina saw the leader of the point, Feliciano, in
Sabino-Morales's apartment.
The video evidence against Sabino-Morales was not as
overwhelming as the recorded evidence against Flores-de-Jesús, but
it provided significant corroboration of the witness testimony. A
video showed that on December 26, 2002, Sabino-Morales gave a
seller marijuana. On April 10, 2003, conspiracy leaders Wilfre
Feliciano and Alex Trujillo appeared in a video at the drug point,
and several minutes later, Sabino-Morales appeared on the tape,
collecting money, and, later, holding a bag of cocaine. Once
again, therefore, we conclude that it is highly probably that the
admission of Toro's improper overview testimony did not influence
the verdict against Sabino-Morales.
However, unlike Flores-de-Jesús, Sabino-Morales also
asserts another, more specific, objection related to Agent Toro's
overview testimony. In addition to his general objections about
the impropriety of the overview testimony, Sabino-Morales further
-43-
challenges his conviction by arguing that the district court erred
by admitting into evidence the drugs that Agent Toro identified as
the ones he seized in building 32. Sabino-Morales asserts that
Agent Toro's testimony was the only evidence linking these drugs to
the conspiracy, and that this was an insufficient foundation for
their admission into evidence.
There was no error in the admission of this testimony.
During Medina's testimony, he identified the drugs seized in
building 32 by their packaging as those sold at the Covadonga drug
point with which he was involved, thereby providing a sufficient,
if belated, basis for their admission. Specifically, Agent Toro
stated that heroin seized in building 32 was decked in aluminum
foil, that marijuana was sold in plastic baggies pressure-sealed
with symbols of marijuana leaves, and that crack was packaged in
vials with different colored lids. Medina confirmed that this was
the manner in which all of these drugs were packaged at Covadonga.
Additionally, Medina was even shown samples of the various drugs
that Agent Toro had previously identified as those that he had
seized in Building 32. Medina specifically identified the "weed
baggies" and vials of crack as the kind used at the drug point, and
also stated that the aluminum packaging containing the heroin was
the same kind used at the drug point, although he stated that a
different color had been used. Accordingly, there was no error in
-44-
admitting these drugs, and we reject Sabino-Morales's challenge to
his conviction on this basis.
III.
Flores-de-Jesús also argues that his convictions should
be set aside because he was unfairly prejudiced by the admission
into evidence of certain testimony about several murders and other
violent episodes at Covadonga. Flores-de-Jesús claims that the
erroneous admission of this testimony cannot be considered
harmless.
The challenged evidence of violence at the housing
project came from several witnesses. We have already recounted
Agent Toro's testimony citing the shootings at Covadonga and the
attempt on Espada's life as the reasons that the video surveillance
was terminated. See supra II.C.4 and n.5. We see no error in the
admission of this testimony. However, CI Espada himself also told
the jury about the attempt on his life in April 2003. As he
described these events in detail, including how he had been forced
to flee the housing complex with his wife and child, he became
visibly emotional. Espada further stated that the individual who
had tried to kill him was associated with the defendants as a
lookout for the point. This individual also distributed drugs.
Additionally, Medina was asked about another individual ("Fredito")
who used to be at Covadonga but was no longer there because he had
been gunned down.
-45-
Espada's testimony about the shootings and attempts on
his life was cumulative and more detailed than necessary to explain
why the video surveillance had ended, a fact which had already been
established. The admission of that detail was erroneous. Medina's
testimony regarding Fredito was also erroneously admitted. The
government's brief merely notes that this testimony regarding
Fredito "does not implicate the defendants in any way," but makes
no further attempt to explain the relevance of this testimony. In
the absence of any apparent relevance, it was unfairly prejudicial
within the meaning of Rule 403. See Fed. R. Evid. 403. The court
did provide a limiting instruction after Espada's testimony,
stating that "[t]he jury will take note of the fact that there was
an attempt on his life, but it is in no means to be attributed to
the defendants on trial." The court gave a similar limiting
instruction after Medina's testimony: "you have heard testimony
concerning a murder here or someone being gunned down. Under no
circumstances are you to impute that to any of the three defendants
in this case."
In considering the significance of these errors, we note
again the substantial evidence against Flores-de-Jesús that we
recounted in the course of our analysis of the improper overview
testimony. In addition to that substantial evidence, we note the
court's repeated curative instructions, and the fact that the
government, in closing, did not even mention this testimony, let
-46-
alone dwell on it. Under these circumstances, we conclude that it
is highly probable that this erroneously admitted testimony did not
influence the jury's verdict against Flores-de-Jesús. Hence, the
error was harmless.15
IV.
Having affirmed the convictions of Flores-de-Jesús and
Sabino-Morales, we now address each appellant's sentencing
challenges in turn.
A. Flores-de-Jesús
The Presentence Investigation Report (PSR) for Flores-de-
Jesús, the only defendant convicted of both the drug conspiracy and
the firearms conspiracy charges, grouped the two counts together
for a combined base offense level of 32. See U.S.S.G. § 3D1.2(c)
(providing for such grouping where one of the defendant's
convictions "embodies conduct that is treated as a specific offense
characteristic in, or other adjustment to, the guideline applicable
to another of the counts"); U.S.S.G. § 2D1.1 (c)(4) (setting a base
offense level of 32 for a conspiracy to possess with intent to
distribute at least five but less than fifteen kilograms of
cocaine). The PSR then added a two-point enhancement for the
15
We have noted that a combination of multiple errors may have
a cumulative effect that is not harmless. See, e.g., United States
v. Meserve, 271 F.3d 314, 332 (1st Cir. 2001). However, the
defendants have not made this argument on appeal; therefore,
without suggesting that the argument would be meritorious, we do
not consider it.
-47-
possession of a firearm in furtherance of the conspiracy, see
U.S.S.G. § 2D1.1(b)(1), and three points for appellant's role as a
supervisor/manager of criminal activity involving five or more
participants, see U.S.S.G. § 3B1.1(b). The total offense level was
thus 37, which, for someone in appellant's criminal history
category of II, yielded a guidelines sentencing range (GSR) of 235-
293 months.
Flores-de-Jesús timely objected to both enhancements. At
the sentencing hearing, the district court stated that it found
"the three level enhancement [] justified on the basis of the
evidence presented in this case" and, regarding the two level
firearm enhancement, similarly stated that "from what I have seen
here, from the evidence, I believe the enhancement is justified."
The court sentenced Flores-de-Jesús to 235 months imprisonment, the
minimum sentence within the GSR, as well as five years of
supervised release on count one and three years on count two, to be
served concurrently. On appeal, Flores-de-Jesús argues that the
court improperly applied both the three-level upward adjustment for
his role as a manger/supervisor in the drug conspiracy and the two-
level firearms enhancement.
For all of appellants' sentencing challenges, we review
the district court's factual determinations for clear error.
United States v. Pierre, 484 F.3d 75, 88 (1st Cir. 2007). "We will
not find clear error unless on the entire evidence we are left with
-48-
the definite and firm conviction that a mistake has been
committed." United States v. Arbour, 559 F.3d 50, 53 (1st Cir.
2009) (internal quotation marks and citations omitted). However,
we review questions of law in sentencing determinations de novo.
United States v. Ramos-Paulino, 488 F.3d 459, 463 (1st Cir. 2007).
"A question about whether the evidence is sufficient to support a
particular guideline determination is a question of law and,
therefore, engenders de novo review." Id.
1. The Manager/Supervisor Enhancement
U.S.S.G. § 3B1.1(b) prescribes a three-level enhancement
to the base offense level if "the defendant was a manager or
supervisor . . . and the criminal activity involved five or more
participants or was otherwise extensive." Although the terms
"manager" and "supervisor" are not defined in the Sentencing
Guidelines, the terms are described in U.S.S.G. § 3B1.1 cmt.4 as
involving
the exercise of decision making authority, the
nature of participation in the commission of
the offense, the recruitment of accomplices,
the claimed right to a larger share of the
fruits of the crime, the degree of
participation in planning or organizing the
offense, the nature and scope of the illegal
activity, and the degree of control and
authority exercised over others.
U.S.S.G. § 3B1.1 cmt.4; see also United States v. Soto-Beniquez,
356 F.3d 1, 54 (1st Cir. 2004). Evidence of the defendant's role
in the conspiracy "may be wholly circumstantial," and need only
-49-
show that he "exercised authority or control over another
participant on one occasion." García-Morales, 382 F.3d at 19-20.
"It is not enough, however, that the defendant merely controlled,
organized, or managed criminal activities; rather, he must instead
control, organize, or manage criminal actors." United States v.
Ofray-Campos, 534 F.3d 1, 40 (1st Cir. 2008) (emphasis added).
Flores-de-Jesús argues that there is no evidence that he
ever exercised control over other conspirators, since his role was
"simply to deliver drugs to the point and to collect the money and
to sell." The government contends that the record shows that
Flores-de-Jesús also "oversaw" the drug point to make sure the
operation was running smoothly, and that this oversight included
collecting the money from the sellers and restocking the point when
the drugs sold out. The government claims that this establishes
the requisite supervisory or managerial role. We disagree.
The district court did not make specific findings of fact
pertaining to whether the manager/supervisor enhancement should be
applied to Flores-de-Jesús. Nor does the PSR contain specific
findings of fact on this topic; instead, it merely characterizes
appellant as a "manager/runner" whose job was to "supervise the
operation of the drug point, to obtain the drugs, and to ensure a
sufficient supply of drugs to the point so that there would be
continual distribution." Thus, the PSR, like the government's
brief, merely asserts a connection between drug runners and
-50-
"oversight" of the drug point. This link is not borne out by the
record.
Omar Medina Torres, the sole valid source of the "role"
testimony at trial, was asked: "Other than simply selling drugs,
did Saul Flores de Jesús have any other roles or jobs on the drug
point?" Medina answered that appellant was also a runner and a
manager. The questioning continued:
Q: And as a runner, what was his function or
what were his duties?
A: To stay at the point, to see that
everything was running okay. If anything was
needed, to go get it. To collect the money. .
. .
Q: Who ended up as the manager?
A: "Saulito" Flores.
Q: And as the manager, what did "Saulito" do?
What were his responsibilities?
A: Picking up the money and taking more drugs
to the drug point.
Q: So were these jobs or roles
interchangeable, the roles of runners and
managers?
A: The thing is that you all - - in more
decent words, you all say "manager." But we
others, we guys from the housing project, we
say "runners."
Finally, cross examination yielded the following exchange:
Q: You stated in your direct testimony that
you equate - - that you understand that the
Government equates the term "manager" to that
of what you referred to as "runner."
A: Yes.
Q: That is your understanding.
A: Yes, as a runner.
Q: And the runner's job is simply to go take
drugs to the point whenever their supply is
running down, as well as pick up monies that
would be there to take it back to wherever.
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A: Yes.
Thus, even though Medina used the word "manager" at trial
to characterize appellant's role in the conspiracy, he used this
term interchangeably with "runner," and his particular choice of
language is not a proper basis for the enhancement. As a runner,
Flores-de-Jesús unquestionably played an essential role in the drug
trafficking operation. But keeping the drug point well-stocked and
collecting the proceeds to deliver to the point's owners or leaders
is insufficient to establish the requisite control over another
criminal actor that our case law requires. See, e.g., Ofray-
Campos, 534 F.3d at 40; Ramos-Paulino, 488 F.3d at 464. "[T]he
record is devoid of any evidence to show that [Flores-de-Jesús]
exercised control over any individual . . . [or] oversaw their
activities." Ofray-Campos, 534 F.3d at 40. Although there is
certainly evidence that Flores-de-Jesús was deeply involved in the
operation of the drug point and that he worked with other
individuals to carry out this purpose, there was nothing to show
that these individuals were his "subordinate[s] in the chain of
command" or that he oversaw their activities. Ramos-Paulino, 488
F.3d at 464. Any argument that Flores-de-Jesús "qualified for the
upward enhancement on the basis of his control over the property,
assets or activities of a criminal organization is squarely
foreclosed" by our precedent. Ofray-Campos, 534 F.3d at 41
-52-
(internal quotation marks and citation omitted). The application
of this enhancement was an error.
2. The Firearms Enhancement
We find no merit in Flores-de-Jesús's other challenge to
his sentence. In order to justify an enhancement under U.S.S.G. §
2D1.1(b)(1), the government must prove by a preponderance of the
evidence that "it was reasonably foreseeable that a co-conspirator
would possess a gun in furtherance of the criminal activity."
Casas, 356 F.3d at 129. The evidence presented at trial included
a photograph and a video of Flores-de-Jesús with co-conspirators
holding weapons, a video of Flores-de-Jesús himself loading a
magazine with a bullet, and Medina's testimony that he, like other
co-conspirators, would consistently carry firearms at the drug
point in order to protect it, and that all three appellants had
seen at least Medina with a weapon. This evidence is more than
sufficient to sustain the imposition of the § 2D1.1(b)(1)
enhancement. We therefore find no error in the application of the
firearm enhancement.
B. Sabino-Morales
After finding appellants guilty on the conspiracy count,
the jury filled out a special verdict form indicating its finding
that the drug conspiracy as a whole involved 5 kilograms or more of
cocaine. On January 9, 2006, the district court ordered a United
States Probation Officer to determine the specific amount of drugs
-53-
attributable to each individual defendant in accordance with this
court's decision in United States v Colón-Solís, 354 F.3d 101 (1st
Cir. 2004). After reviewing the trial transcripts, the probation
officer recommended that Sabino-Morales be held responsible for
86.68 kilograms of cocaine, which would have placed him at a base
offense level of 36.16 However, on October 6, 2006, the district
court ruled that, for sentencing purposes, the amount of drugs it
would attribute to each defendant would be the five kilograms found
by the jury. Accordingly, the PSR for Sabino-Morales started with
a base offense level of 32. He then received the same enhancements
for firearms (two levels) and his role as a manager/supervisor
(three levels) as Flores-de-Jesús, yielding a total offense level
of 37. Because he had no criminal record, however, the GSR was
210-262 months, which was lower than the calculated range for
Flores-de-Jesús. The district court sentenced Sabino-Morales at
the lowest end of the sentencing range (210 months), to be followed
by five years of supervised release.
Sabino-Morales now raises the same argument as Flores-de-
Jesús with respect to the manager/supervisor enhancement. He also
claims that the district court failed to adequately compute the
correct amount of drugs individually attributable to him and that
the sentence he received was disproportionate to the offense
16
A similar computation was made with respect to Flores-de-
Jesús. However, he does not challenge the court's drug quantity
determination.
-54-
charged and to the sentences imposed upon other defendants. We
take each argument in turn.
1. The Manager/Supervisor Enhancement
Our analysis of Sabino-Morales's challenge to the
imposition of this enhancement is no different than his co-
defendant's. At Sabino-Morales's sentencing hearing, the court's
only specific findings regarding this enhancement focused on his
role as a runner. The court was
satisfied from what it has heard and from what
appears in the trial transcripts of this case,
and that has been presented to this court that
certainly it is justified. It believes that a
runner has a supervisory role, otherwise he
would not be able to comply with the duties of
a runner.
Thus, the court based its decision to impose the enhancement on its
understanding of the general responsibilities of drug runners. As
we have already explained, the description of runners offered by
Medina-Torres is insufficient to warrant an enhancement that is
designed for individuals who exercise control over other members of
the organization. The record reveals no other basis on which
Sabino-Morales may have warranted this enhancement. Accordingly,
the enhancement was wrongly applied.
2. The Drug Quantity Computation
"In determining drug quantity for purposes of calculating
a defendant's base offense level under the Guidelines, the
sentencing court may attribute to the defendant 'all reasonably
-55-
foreseeable quantities of contraband that were within the scope of
the criminal activity that he jointly undertook.'" United States
v. Jones, 523 F.3d 31, 41 (1st Cir. 2008) (quoting U.S.S.G. § 1B1.3
cmt. n.2(ii)). Absent "an individualized finding as to drug
amounts attributable to, or foreseeable by" a particular defendant,
a court may not automatically assume that he is responsible for the
total amount attributable to the conspiracy as a whole, Colón-
Solís, 354 F.3d at 102-03. However, "a drug dealer who engages in
criminal activity with others to further their collective interests
may be held liable for the quantities of drugs sold by his
partners, if those sales were a reasonably foreseeable consequence
of the jointly undertaken actions." United States v. Laboy, 351
F.3d 578, 582 (1st Cir. 2003). The government must prove drug
quantity by a preponderance of the evidence, and we "will uphold
the sentencing court's estimate as long as it is reasoned and finds
support in the record." Jones, 523 F.3d at 41.
Sabino-Morales argues that the "most the evidence showed
at trial was that defendant-appellant was a late-joining
conspirator, who worked sporadically and was a runner only for a
certain period of time during 2003." He claims that because there
was no evidence that he continued running drugs into 2004, it was
improper for the district court to include 2004 in the
calculations, and that his sentence reflected the court's improper
-56-
attribution to him individually of the drug amount for which the
entire conspiracy was responsible.
This argument is unavailing. In the first place, the
district court obviously understood the need for individualized
drug quantity determinations pursuant to Colón-Solís, because it
asked the probation office to produce reports with respect to each
defendant. Moreover, at a sentencing proceeding involving counsel
for all defendants, the court heard extensive arguments challenging
these determinations, and explained its position that the evidence
amply supported the fact that each defendant could have reasonably
foreseen that the conspiracy would move at least five kilograms of
cocaine. This determination is supported by the record.
The probation officer's report was based on Medina's
testimony. Medina testified that prior to 2003, Sabino-Morales
would sometimes work the table at Covadonga, decking drugs. In
2003 (on one occasion Medina characterized the date as "mid-2003"),
Sabino-Morales began to act as a runner for Wilfre Feliciano.
Indeed, Sabino-Morales was the conspiracy's only runner for at
least some period of time, meaning that during that time period he
was running drugs "every single day." According to Medina, runners
would bring fresh supplies of drugs to the point up to five times
a day. The cocaine would arrive in packages of one-hundred small
baggies. The report also noted the expert testimony of a forensic
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chemist who stated that it would take approximately 1,759 of the
small baggies of cocaine to equal 1 kilogram.
The probation officer's report on Sabino-Morales
calculated that he was responsible for a total of 86.68 kilograms
of cocaine.17 As we have described, however, the district court did
not adopt the report's calculation. Instead, it used only the more
conservative five kilogram quantity to sentence Sabino-Morales.
The record easily justifies that quantity determination, even on
the most conservative assumptions.
If one credits Sabino-Morales's assertion that he worked
as a runner only during 2003, and assumes that Medina was correct
that Sabino-Morales only began working as a runner in the middle of
that year, and assumes further that Sabino-Morales worked for only
one day a week during that time period and not "every single day,"
these factors would still lead to the conclusion that, during his
time as a drug runner, Sabino-Morales personally handled 7.39
kilograms18 of cocaine. Even this estimate, which certainly gives
17
The PSR described the following calculation: assuming that
Sabino-Morales delivered 100 bags of cocaine at least 5 times per
day, 6 days a week, he would deliver 3,000 bags of cocaine per
week. Multiplying this by the 52 weeks in 2003 would yield 156,000
bags of cocaine. Dividing the 156,000 baggies by the chemist's
estimate of bags/kilogram, this yields the 86.68 kilogram amount.
18
Assuming five deliveries of 100 baggies a day, once a week,
this would mean 500 baggies a week. Multiplied by 26 weeks in 2003,
this equals 13,000 baggies. Divided by 1,759 (the number of
baggies in a kilogram), this yield the conservative estimate of
7.39 kilograms of cocaine.
-58-
Sabino-Morales the benefit of the doubt, is more than the five
kilograms used by the district court for sentencing purposes. And
this figure does not even include the drugs foreseeably handled by
other members of the conspiracy. Accordingly, we find no error in
the district court's determination as to drug quantity with respect
to Sabino-Morales.
3. Proportionality
Sabino-Morales contends that the sentence imposed by the
district court is unreasonable under 18 U.S.C. § 3553(a)(6) in
light of certain sentencing disparities between himself and what he
claims are similarly situated defendants. Specifically, Sabino-
Morales points to the sentences received by the leader of the drug
point, Cristian Villegas (135 months), his assistant (108 months),
an enforcer and four sellers (70 months each), and two more co-
defendants with unspecified roles (57 months each). Sabino-Morales
mechanically compares his 210-month sentence with those of the
other defendants, claiming that the lower sentences imposed upon
individuals who were more "culpabl[e], in need of much more
rehabilitation and [who posed] much more danger to the community"
make the disparities "outrageous and untenable."
We disagree. The key difference between Sabino-Morales
and the co-defendants he cites is that all of them pled guilty. A
defendant who chooses to enter into a plea bargain is not similarly
situated to a defendant who contests the charges against him. See,
-59-
e.g., United States v. Rodríguez, 162 F.3d 135, 152 (1st Cir. 1998)
(plea bargains lead to "sentencing disparity for the defendants who
chose to put the government to its burden in proving its case.
Nevertheless, the law allows the government to do this, even if it
results in sentences of such disparity as would strike many as
unfair"). We do not think it unreasonable that Sabino-Morales was
sentenced to significantly more time than other members of the
conspiracy who chose to plead guilty when his sentence was at the
lowest end of a GSR that was arrived at using an extremely
conservative estimate of drug quantity.
C. Feliciano-Rodríguez
The PSR for Feliciano-Rodríguez began with a base offense
level of 32. The PSR once again noted that, although the probation
officer had attributed 17.74 kilograms of cocaine to Feliciano-
Rodríguez individually, a quantity which would have carried a base
offense level of 34, the court had ruled that it would use the five
kilogram quantity for sentencing purposes. The PSR then
recommended the same two-level firearm enhancement that his co-
defendants had received, but also a two-level decrease pursuant to
U.S.S.G. § 3B1.2(b) because his participation in the conspiracy was
minor. Because of several prior convictions, and because
Feliciano-Rodríguez was on probation when he committed the offense,
he fell into a criminal history category of III. Accordingly, the
PSR computed a GSR of 151-188 months.
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Feliciano-Rodríguez then moved for a downward departure
based on diminished capacity pursuant to U.S.S.G. § 5K2.13. In
support of this motion, he presented the results of several
psychiatric evaluations. The court determined that a two-level
downward departure was warranted under the circumstances, and,
accordingly, sentenced Feliciano-Rodríguez based on a total offense
level of 32 and a criminal history category of II. The court once
again sentenced appellant to the lower end of the guidelines
sentencing range, which was 121-151 months. He was also sentenced
to five years of supervised release.
Feliciano-Rodríguez's sole claim on appeal is one he
shares with Sabino-Morales: namely, that the district court failed
to adequately compute the correct amount of drugs individually
attributable to him. He argues that the evidence does not support
the district court's decision to attribute five kilograms of
cocaine to him for sentencing purposes. Once again, this argument
fails.
The probation officer's report recounted Medina's
testimony that Feliciano-Rodríguez first became involved in the
conspiracy in 1998. He then acted as a runner for "Toño" until
2001. At this time, he ran crack daily. Starting in 2001, Medina
stated that Feliciano-Rodríguez would sell "any [drug] that might
be available" at the point once or twice a week until he was
arrested in early 2004. Medina testified that Feliciano-Rodríguez
-61-
would sell for 24-hour shifts on Sundays. He also stated that
during one seven-hour shift, a person might sell 200-300 small bags
of cocaine. The probation officer's report used this testimony.
Taking account only of Feliciano-Rodríguez's time as a seller, and
not a runner, the officer arrived at an individualized drug
quantity of 17.74 kilograms of cocaine for Feliciano-Rodríguez.19
Once again, however, the district court used the more
conservative estimate of five kilograms, which was certainly a
reasonable amount to attribute to him. Even assuming that he only
sold for one day a week for one year, this would still put the
amount he himself sold over the five kilograms used by the
sentencing court. Once again, this figure does not even take into
account the amount that Feliciano-Rodríguez could have reasonably
foreseen his co-conspirators selling. We therefore reject
Feliciano-Rodríguez's challenge to the sentence imposed on him by
the district court.
V.
For the foregoing reasons, we affirm the convictions of
both Flores-de-Jesús and Sabino-Morales, but vacate their sentences
and remand for resentencing due to the district court's erroneous
imposition of the manager/supervisor enhancement. However, on
19
The report assumed that Feliciano-Rodríguez sold only on
Sundays, selling 200 bags of cocaine each time. In a year, he
would have sold 10,400 bags, and in three, 31,200. Dividing 31,200
by 1759 bags per kilogram yielded 17.74 kilograms of cocaine.
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remand, we leave open the possibility that the government can cite
evidence in the record not relied upon here, nor apparent to us
from our own review of the record, that would justify the
application of the manager/supervisor enhancement. See Ramos-
Paulino, 488 F.3d 465. With respect to Sabino-Morales, we also
direct the court, in accordance with footnote 1 of this opinion, to
enter an amended judgment that accurately reflects his conviction
on Count One of the indictment only. Feliciano-Rodríguez's
sentence is affirmed.
So ordered.
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