United States v. Flores-Chapa

                 UNITED STATES COURT OF APPEALS
                      for the Fifth Circuit

              _____________________________________

                           No. 93-2722
              _____________________________________

                       UNITED STATES OF AMERICA,

                                                    Plaintiff-Appellee,

                                 VERSUS

                       JOSE REGOLO FLORES-CHAPA,

                                                    Defendant-Appellant.

     ______________________________________________________

          Appeal from the United States District Court
               for the Southern District of Texas
     ______________________________________________________
                        (March 10, 1995)

Before REAVLEY, DUHÉ and PARKER, Circuit Judges.

DUHÉ, Circuit Judge:

     Appellant Jose Regolo Flores-Chapa appeals from the jury's

verdict finding him guilty of conspiracy to possess with intent to

distribute in excess of 5 kilograms of cocaine and aiding and

abetting possession with intent to distribute in excess of 5

kilograms of cocaine, in violation of 21 U.S.C. §§ 841(a)(1),

(b)(1)(A) and 18 U.S.C. § 2.     For the reasons set forth below, we

reverse and remand with instructions.

                       I.   PROCEDURAL BACKGROUND

     Jose   Regolo     Flores-Chapa   (Appellant),      Mario   Gonzales

(Gonzales) and Juan Jose Castillo (Castillo) were indicted in a

two-count indictment charging them with the crimes noted above.

Gonzales and Castillo pleaded "guilty" and Appellant pleaded "not

guilty" and was found guilty on both counts.
       Appellant raises four points of error on appeal:                         1)    The

evidence was insufficient to prove guilt beyond a reasonable doubt;

2)   The district court abused its discretion by failing to grant a

mistrial after the government referred to previously excluded

evidence before the jury;              3)       The district court abused its

discretion under Fed. R. Evid. 404(b) by allowing the government to

introduce evidence of Appellant's prior drug conviction;                         4)   The

government    committed       plain    error     when       it    referenced    excluded

evidence in its closing argument. Because we find the government's

closing     argument--when      combined         with       the    previous     improper

statements--constituted plain error requiring reversal and that the

admissible evidence was insufficient to sustain the conviction, we

do not decide the remaining issues.

                                      II.   FACTS

       In April of 1993, a confidential informant (CI) advised the

Drug   Enforcement      Administration          (DEA)       of    a   pending    cocaine

transaction at the Marriott Hotel located at the Intercontinental

Airport in Houston.           Under DEA supervision, the CI agreed to

purchase    40    kilograms    of     cocaine     at    a    price    of   $16,500    per

kilogram.        The CI understood that the cocaine would be delivered

by Mario Gonzales.        On April 2, 1993, Mario Gonzales flew to

Houston from his home in Roma, Texas.                       As agreed, the CI met

Gonzales at the airport, and gave him the keys to a van.1                       Gonzales

left the airport in the van and was followed by the DEA to an


1
     Unknown to Gonzales, the van was actually a DEA undercover
vehicle.

                                            2
Econolodge motel. Gonzales testified that the arrangements for the

delivery of the cocaine were made by a man named Ramirez, who was

also from Roma.

      Delivery was to be made at a prearranged site in Houston by a

young man driving an orange pick-up.        To confirm his readiness to

take delivery, Gonzales had been instructed to call either a pager

or a residence telephone number.       He first tired to call the pager,

but discovered that the hotel telephone system would not allow

calls to be placed to a pager.    Next, Gonzales called the residence

number, and a woman informed him that "no one was there."         He gave

the woman his telephone and room numbers, and asked her to call the

pager. After waiting unsuccessfully for a return call, he left for

the   designated   meeting   site--a    Chevron   gas   station--followed

closely by the DEA.     At the station, Gonzales began to call the

pager, but decided not to when he discovered that the public phone

would not receive incoming calls.        Instead, Gonzales again phoned

the residence, and a woman informed him that the orange truck was

on its way.

      A short time later, Juan Castillo pulled into the station

driving an orange, 1981 Ford pick-up. Castillo and Gonzales traded

keys, and Gonzales told Castillo that he would call when he was

ready to exchange the pick-up for the van.        At this point, the DEA

surveillance team divided.     Part of the team followed Gonzales in

the orange pick-up back to the Marriott, while the remaining agents

followed Castillo in the DEA van. After returning to the Marriott,

Gonzales met the CI and took him to the orange pick-up.         Gonzales


                                   3
opened a built-in tool box in the truck bed, and showed the CI the

cocaine.     As Gonzales closed the tool box, the CI gave the DEA

surveillance team a pre-arranged signal, and Gonzales was arrested.

     In the meantime, the other DEA surveillance team followed

Castillo to the Arbor Oaks Apartments--located almost directly

across     the    street    from   the   Chevron       station.      After   this

surveillance team learned that Gonzales had been arrested, they

obtained Castillo's apartment number from the apartment manager,

and proceeded to his apartment.              The agents were greeted at the

door by Alma Flores (Mrs. Flores) and Esmeralda Castillo (Mrs.

Castillo). Mrs. Flores and Mrs. Castillo confessed to ownership of

the truck, and gave the agents permission to search the apartment.

     After       entering   the    apartment,        the   agents   conducted   a

"protective sweep," and discovered Castillo sitting on a bed

watching T.V.       Castillo was escorted to the front porch where he

was interviewed by some of the agents.                     As a result of the

interview, the focus of the investigation shifted to the Appellant.

In addition to Mrs. and Mr. Castillo, the agents discovered that

Appellant and his wife Mrs. Flores (the parents of Esmeralda) also

occupied the apartment.

     Several      agents    remained     at    the     apartment    to   continue

surveillance, while the rest transported Castillo to the Harris

County Jail.        Shortly after the agents transporting Castillo

departed, Appellant returned and was immediately arrested.                   While

searching Appellant, an agent discovered a small quantity (11.8

grams) of cocaine in his boot and a pager on his person.                 The agent


                                         4
was able to retrieve three telephone numbers from Castillo's pager.

One of the numbers matched the phone number and room number of

Gonzales' room at the Econolodge.            Another number corresponded to

Gonzales'    pager.     The    identity      of   the   third    number     was   not

disclosed.

                         III.    IMPROPER ARGUMENT

     During the course of the trial, the district court ruled that

certain testimony adduced by the government was inadmissible and

instructed the jury to disregard the testimony.                 Nevertheless, the

government    made    reference    to       the   excluded      testimony    during

examination of the very next witness. Defendant again objected and

moved for a mistrial.         The court denied the mistrial, admonished

the government at the bench and instructed the jury that the

lawyer's statements were not evidence.                  Despite two sustained

objections, a specific warning to government counsel and two

specific instructions to the jury, the government again made

reference to the excluded testimony during its closing argument.

Appellant asserts that this government conduct deprived him of a

fair trial.

     Appellant objects to the government's closing for the first

time on appeal, therefore, we review for plain error.                     Under our

recent en banc decision in United States v. Calverley,2 we review

for plain error using a three-part test.                 First, there must be




2
     37 F.3d 160 (5th Cir. 1994)(en banc).

                                        5
error,3 next, that error must be plain,4 and finally, the error must

affect substantial rights.5

     Our analysis must begin with the allegedly objectionable

statement.     Appellant complains of the following portion of the

government's closing,

          He [Appellant] gets the pager message from his wife,
     everything--he's ready to go, he thinks the--the broker
     says everything is ready, he sends his son-in-law with
     the dope. Son-in-law arrives, makes the exchange, and
     unfortunately for them, good for us, he's making it under
     DEA supervision. He is arrested.

(emphasis supplied).6

A.   Was there Error?

     Without    question,   the    government's    statement   during    its

closing constituted error.        The impropriety of the statement is

keyed to the district court's initial ruling finding certain

hearsay evidence inadmissible.        Therefore, we must first examine

the court's initial ruling.

     The   original   hearsay     evidence   was   adduced   during   direct

examination of DEA Agent Cheryl Roberts:

     A.   He [Castillo] stated that he was driving the orange
     truck.   He was--he picked it up.     His father-in-law

3
     Id. at 162.
4
     Id.
5
     Id. at 164.
6
     In the government's rebuttal argument a similar statement was
made, "That's what's happened here. The father-in-law is telling
the son-in-law, `Got the page.     Take the drugs.' He does, and
they're arrested." (emphasis supplied). While Appellant fails to
raise this statement on appeal, it provides further indicia of how
the error was magnified by the government's conduct throughout the
trial.

                                     6
     [Flores-Chapa] told him to pick it up at a store and
     drive it to the Chevron station.

(emphasis supplied). Appellant immediately objected to the hearsay

testimony.     The   district       court        sustained   the   objection   and

instructed the jury to disregard Roberts' answer.7                 However, during

direct examination of the very next witness, the following exchange

occurred:

          MR. GARCIA [for Appellant]: Your Honor, before we
     get into a situation of something that he shouldn't
     testify to, I think perhaps he should be admonished
     regarding the statement we just approached the bench
     about.

                                M    M       M    M

          MR. MAGLIOLO [for Government]:      Your Honor, I
     instructed the witness as per your prior ruling not to go
     into what Mr. Castillo said about who told him to drive
     the truck. He's already been instructed.

            MR. GARCIA:    Your Honor, may I approach the bench?

            THE COURT:     Yes.

     (Discussion at Bench as Follows:)

          MR. GARCIA:    At this time the defendant would move
     for a mistrial. The Government just made a statement
     into the record reciting the very statement that the
     Court has just said is not admissible. The record would
     speak for itself that Mr. Magliolo just said--you told
     him not to get into the statement and then he read--he
     recited the statement for the jury in open court. And I-
     -

          COURT:     I'm going to deny the motion because the
     previous witness, Roberts, already answered the same
     question, and I have instructed the jury to disregard it.


7
     Appellant objected on the basis that Castillo's statement was
made post-arrest, and therefore, if a conspiracy involving Flores-
Chapa existed, the statement was made after the conspiracy had
ended, and therefore was not admissible under Fed. R. Evid.
801(d)(2)(E). The district court sustained the objection.

                                         7
          Just a minute. I will instruct the Government not
     to go into any type of conduct like that.

          And you [Garcia] need to make objections to
     particular questions.    I don't know yet whether you
     objected to the last question asked this witness.

          MR. GARCIA:     I am objecting. The problem is that
     they are blurting it out before a question is asked. In
     other words just going on a narrative, Judge. And I'll--
     I'm having to deal with that.

          THE COURT:     You need to object when the question
     is asked. Not after the question has been answered. Are
     you objecting to that question?

            MR. GARCIA:   Yes, I am.

          THE COURT:      All   right.     The   objection is
     sustained.

     (In Open Court)

          MR. GARCIA:     I will ask the Court instruct the
     jury to disregard Mr. Magliolo's statements, and instruct
     them that whatever he says is not evidence, Judge.

          COURT:   The jury will disregard any comments made
     by the prosecutors or the defense lawyer.       I will
     instruct you later that what the lawyers say is not
     evidence.

          What you may consider as evidence is what the
     witnesses say under oath, unless I told you to disregard
     anything that the witness has said, and such written
     exhibits, if any, that I admit.

          What the lawyers say is not evidence and should not
     be considered by you for any purpose.

(emphasis supplied).

     The government contends that the questioned statement was not

made in reference to the excluded evidence, but rather was a fair

comment on the testimony of DEA agents Donald Barnes and Kevin

Stanfill.    Agent Barnes was accepted by the district court as an

expert witness.    He testified regarding the general structure of


                                 8
drug organizations, stating that drug organization were often

comprised of family members and usually had an "overseer" or

"broker" who arranged or monitored the transaction.

     Agent Stanfill was not offered or accepted as an expert, and

basically acted as a fact witness recounting the events of the drug

transaction.       He    did   not   mention    Appellant   during   direct

examination, and admitted on cross-examination that he had no

indication of Appellant's involvement with the transaction until he

saw Appellant at the DEA office after his arrest.           Nonetheless, on

redirect examination, the following exchange occurred,

     Q.   Agent Stanfill, based on your experience as a DEA
     agent, are the only people involved in a drug conspiracy
     the people that are arrested at the scene of the crime?

     A.     No, sir.

     Q.   All right. And would it be fair to say that someone
     was in control of the Houston end of this 40 kilos?

     A.     Yes, sir.

     Q.   And if it wasn't the 19-year-old, 20-year-old Mr.
     Juan Castillo, who would it be?

     A.   I would think it would be Mr. Chapa, sir, based on
     my experience.

(emphasis supplied).      No objection was made to this testimony.

     While both agents expressed their opinion that Appellant was

a member of the conspiracy and in charge of the cocaine, neither

agent opined or inferred that Appellant instructed Castillo to

drive the truck to the meeting site.           Therefore, the government's

statement can only be regarded as a direct reference to the

testimony   that   the   district    court   had   specifically   excluded.

Acceptance of the statement was therefore error.

                                      9
B.   Was it Plain?

     As we set out in Calverley,

     The Supreme Court has taught repeatedly that "plain"
     errors are errors which are "obvious," " c l e a r , " o r
     readily apparent;"     they are errors which are so
     conspicuous that "the trial judge and prosecutor were
     derelict in countenancing [them], even absent the
     defendant's timely assistance in detecting [them]."

United States v. Calverley, 37 F.3d at 163 (footnotes omitted). As

discussed previously, the government's statement cannot be read to

be anything other than a comment on the excluded evidence.           We also

recognize that while the Appellant could and indeed should have

objected,   he   would   have   done   so   with   the   risk   of   calling

additional, and unwanted, attention to the remark. See e.g. United

States v. Garza, 608 F.2d 659, 666 (5th Cir. 1979).         We find that,

even absent objection from Appellant, the district court should

have recognized the obvious impropriety of the statement.

C.   Did the Error Affect Substantial Rights?

     Having found that the statement was "error" that should have

been "plain" to the trial judge, we must address whether the error

affected the Appellant's substantial rights.         "[I]n most cases the

affecting   of   substantial    rights   requires    that   the   error   be

prejudicial; it must affect the outcome of the proceeding." United

States v. Calverley, 37 F.3d at 164.        Viewing the statement in the

context of the entire trial, we find that the statement was

prejudicial.

     In this case, the prejudicial significance of the statement

was magnified by two factors.      First, the error was magnified by

the government's conduct at the trial.         As discussed previously,

                                   10
the government itself not only elicited the original hearsay, but

then repeated the excluded evidence in front of the jury.         Second,

the error had a more profound effect due to the paucity of evidence

of Appellant's involvement.8

     We find that the government's conduct at trial, combined with

the paucity of evidence, magnified the effects of the government's

statement. As a result, we find that the error affected Appellee's

substantial rights.

                    IV.    SUFFICIENCY OF THE EVIDENCE

A.   Standard of Review

     Convictions must be affirmed if the evidence, viewed in the

light most favorable to the verdict, with all reasonable inferences

and credibility choices made in support of it, is such that any

rational trier of fact could have found the essential elements of

the crime beyond a reasonable doubt.        Jackson v. Virginia, 443 U.S.

307, 319 (1979); United States v. Kim, 884 F.2d 189, 192 (5th Cir.

1989).   In making this determination, we need not exclude every

reasonable hypothesis of innocence.         United States v. Henry, 849

F.2d 1534, 1536 (5th Cir. 1988).           Juries are free to use their

common   sense   and      apply   common   knowledge,   observation,   and

experience gained in the ordinary affairs of life when giving

effect to the inferences that may reasonably be drawn from the

evidence.   United States v. Cruz-Valdez, 773 F.2d 1541, 1546-47

(11th Cir. 1985) (en banc), cert. denied, 475 U.S. 1049 (1986).

B.   The Elements

8
     See section IV infra.

                                     11
       In a narcotics conspiracy prosecution, the government must

prove beyond a reasonable doubt:              (1) that an agreement to violate

the narcotics laws existed between two or more persons, (2) that

each alleged conspirator knew of the conspiracy and intended to

join it, and (3) that each alleged conspirator did participate in

the conspiracy.         United States v. Medina, 887 F.2d 528, 530 (5th

Cir.   1989).         Proof   of   any   element      may   be    by   circumstantial

evidence,       and    "'[c]ircumstances         altogether       inconclusive,       if

separately considered, may, by their number and joint operation, .

. . be sufficient to constitute conclusive proof.'" United States

v. Roberts, 913 F.2d 211, 218 (5th Cir. 1990) (quoting United

States v. Lechuga, 888 F.2d 1472, 1476 (5th Cir. 1989)).                       As the

Court noted in Marx, "assent to a conspiracy may be inferred from

acts which furthered the purpose of the conspiracy." United States

v. Marx, 635 F.2d 436, 439 (5th Cir. Unit B 1981); see also United

States v. Middlebrooks, 618 F.2d 273, 278 (5th Cir.), cert. denied,

449 U.S. 984 (1980).

       In   a   case     brought      pursuant    to    section        841(a)(1),    the

government must prove that Appellant knowingly possessed cocaine

with the intent to distribute it.                     United States v. Molinar-

Apodaca,     889      F.2d    1417,    1423    (5th    Cir.      1989).      Proof   of

constructive possession is sufficient; thus, any showing that the

defendant exercised ownership, dominion, or control of the drugs,

or of the premises on which they are found, will suffice.                            See

United States v. Diaz-Carreon, 915 F.2d 951, 954-55 (5th Cir.

1990); United States v. Thompson, 700 F.2d 944, 952 (5th Cir.


                                          12
1983).



C.   The Evidence

     The   only     evidence   tendered   by   the   government   to   show

Appellant's guilt was:

     1)   Appellant's beeper containing          the   phone   numbers   to
     Gonzales' motel room and pager;

     2)    The quantity of cocaine found in Appellant's boot;9

     3)   Appellant's wife's driver's license listing her address
     in Cleveland, Texas;10

     4)   Testimony from a DEA agent (accepted as an expert
     witness) relating his experience regarding the organization of
     drug conspiracies;

     5)   Testimony from a second DEA agent (not accepted as an
     expert witness) and offering his unfounded opinion that a man
     as young as Castillo would typically not be trusted with such
     a large quantity of cocaine, but that such responsibility



9
     The probative value of the cocaine found on Appellant's person
was called into question for two reasons.        First, the record
reflects that DEA chemists determined that the cocaine retrieved
from Appellant's boot was 87 percent pure while the 40 kilograms
found in the orange truck was 89.9 percent pure. Appellant asserts
that this discrepancy is proof that the cocaine in his boot did not
come from the larger quantity.      Appellee, on the other hand,
asserts that the purity of the samples is sufficiently close so
that an inference could be drawn that the smaller came from the
larger. Second, during cross examination of DEA Agent Foye, the
agent admitted that Appellant might be a cocaine user, thereby
implying--as Appellant argued in his closing--that Appellant
possessed the cocaine for personal use.
10
     The DEA believed that a stash of cocaine was being stored in
a house in the vicinity of Conroe and Cleveland, Texas. Appellee
asserts that the driver's license provides a link between Appellant
and the location from which the DEA believed that the 40 kilograms
originated.    However, on cross-examination, Agent Barnes admitted
that none of the DEA reports reflected the suspected location of
the house in Cleveland, rather they all indicated that the stash
house was thought to be located in Conroe.

                                    13
     would more likely be given to the Appellant;11

     6)   Fed. R. Evid. 404(b) evidence showing a nine year old
     conviction for possession of 28 grams of cocaine.12

At most, the evidence adduced by the government provides a weak

inference   of   Appellant's   involvement   in   the   conspiracy.   In

application, however, with the exception of the beeper--which is

admittedly the government's most damaging evidence--Appellant's

cross-examination disclosed deficiencies in the evidence which

further lowered its probative value.

     At most, the government provided three pieces of tangible

evidence, the beeper, the small quantity of cocaine, and the

driver's license, plus a nine-year old conviction for possession of

cocaine13 and the testimony of two DEA agents who did little more

than opine that Appellant was the overseer of the transaction.14

11
     As noted previously, this testimony was presented without
objection.
12
     A Houston police sergeant testified that in 1984 Appellant was
arrested with a small quantity of cocaine and charged with simple
possession. On cross-examination, he testified that he had not
witnessed Appellant or any of his five co-defendants selling drugs
during his 32 hour surveillance of their motel room.
13
     While we make no finding whether this evidence was properly
admitted under Fed. R. Evid. 404(b), we note that Appellant was
again caught with a small quantity of cocaine on his person.
Appellant has apparently been charged by the state with possession,
and the simple fact that he has been known to possess small
quantities of cocaine does not necessarily mean that he is involved
in the distribution of larger quantities.
14
     While we have no intention or desire to impugn the veracity of
the highly qualified agents who testified in this case, we express
severe reservations regarding the type of opinion testimony that
was permitted. We are especially concerned with the testimony of
Agent Stanfill who testified, without being accepted as an expert
witness and further without foundation or factual basis that "based
on my experience" Appellant controlled the cocaine transaction.

                                   14
The proffered evidence is too attenuated for a reasonable jury to

find Appellant guilty of the conduct charged.15 Simply put, but for

the government's misconduct in this trial Appellant would never

have been convicted.

                              V.    CONCLUSION

     For the foregoing reasons, we find that the government's

closing argument constituted plain error requiring reversal of

Appellant's conviction.       We further find that the evidence was

insufficient   to   support   his    conviction.   We   REVERSE,   VACATE

Appellant's sentence and REMAND the case to the district court with

instructions to enter judgment of acquittal.




15
     Cf. United States v. Carrillo-Morales, 27 F.3d 1054 (5th Cir.
1994), cert. denied sub nom., Austin v. United States, ___ U.S.
___, ___ S.Ct. ___, 1994 WL 737587 (1995); United States v.
Mergerson, 4 F.3d 337 (5th Cir. 1993), cert. denied, ___ U.S. ___,
114 S.Ct. 1310 (1993); United States v. Alvarado, 898 F.2d 987 (5th
Cir. 1990).

                                      15