Professional Documents
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United States v. Cesareo-Ayala, 576 F.3d 1120, 10th Cir. (2009)
United States v. Cesareo-Ayala, 576 F.3d 1120, 10th Cir. (2009)
Elisabeth A. Shumaker
Clerk of Court
No. 08-3201
ALEJO CESAREO-AYALA,
Defendant - Appellant.
Rick E. Bailey, Conlee, Schmidt & Emerson, L.L.P., Wichita, Kansas, for
Defendant - Appellant.
James A. Brown, Assistant United States Attorney, (Marietta Parker, Acting
United States Attorney, with him on the brief), Topeka, Kansas, for Plaintiff Appellee.
district court erred in denying him a new trial on the charge because the
evidence preponderate[d] heavily against the verdict. United States v. Evans,
42 F.3d 586, 593 (10th Cir. 1994) (internal quotation marks omitted). Although
not challenging the sufficiency of the evidence to support his convictions on the
two other chargesconspiracy to distribute cocaine and distribution of
marijuanahe contends that the district court should have granted a new trial on
those charges also. In addition, Mr. Cesareo-Ayala challenges the admission into
evidence of statements made to him by an associate who had just been
apprehended and was cooperating with the police. He argues that because the
district court never determined that the statements were made in furtherance of a
conspiracy, they were inadmissible hearsay and their use at trial violated the
Confrontation Clause.
We have jurisdiction under 28 U.S.C. 1291 and affirm. We reject the
challenges to the sufficiency and weight of the evidence. And we agree with the
government that the statements made by Mr. Cesareo-Ayalas associate were not
offered into evidence for the truth of the matter asserted, so they were not hearsay
and did not implicate the Confrontation Clause.
I.
BACKGROUND
The key witness against Mr. Cesareo-Ayala was Charles Klepac. To repay
a debt that he owed Edward Mendez, Klepac agreed to connect Mendez with
cocaine buyers. In late 2006 and early 2007 he arranged kilogram transactions
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with two buyers: Raphael Hogan (who testified for the government at trial) and
Bill Pridey.
There were six transactions with Pridey. Mendez drove Klepac to Prideys
house for each transaction. Mr. Cesareo-Ayala, whom Klepac had not known
previously, accompanied them four times. On those occasions when Mr. CesareoAyala was present, he took the cocaine from his jacket and handed it to Mendez,
who passed it to Klepac. Klepac then went alone into Prideys house. When
Klepac returned to the car, he counted the money and handed it to Mendez, who
gave most of it to Mr. Cesareo-Ayala.
Klepac and Hogan did not agree at trial about how many deals involved
Hogan, but it was between seven and fourteen. They took place at Klepacs
house. Mendez always participated, but Mr. Cesareo-Ayala was present for only
three or four of these transactions, typically when the quantity of cocaine sold to
Hogan was two or more kilograms. On the first occasion, Mr. Cesareo-Ayala
observed intently, though without saying anything. On the other occasions he sat
on Klepacs couch in another room, waiting for the deal to close. When Klepac
spoke to Mr. Cesareo-Ayala, he appeared not to understand. (He and Mendez
conversed only in Spanish in Klepacs presence; Klepac does not speak Spanish.)
Although Mendez never explained to Klepac what his relationship was with
Mr. Cesareo-Ayala, he referred to Mr. Cesareo-Ayala as his uncle. Klepac
thought it obvious that Mr. Cesareo-Ayala was Mendezs superior and was in
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control of the cocaine. R. Vol. 2 at 219. And Hogan likewise believed that
Mr. Cesareo-Ayala was supplying the cocaine.
During this period Klepac also brokered a smaller cocaine transaction
between Mendez and a third buyer, Ronald Steward. Steward asked for four
ounces; but when Mendez arrived with that amount, Steward bought only one,
which annoyed Mendez. On another occasion Klepac attempted to set up a onekilogram deal with Steward. Steward, however, assumed that he was buying only
an ounce of cocaine. When he arrived at Klepacs house he did not have the
money for the kilogram that Mendez and Mr. Cesareo-Ayala brought. He
nonetheless tried to raise the necessary funds, placing phone calls while Mendez
and Mr. Cesareo-Ayala waited. The two men left before Steward could raise the
money.
On March 8, 2007, Steward was arrested on drug charges. He contacted
Officer Shane Wright of the Kansas City Police Departments narcotics unit, for
whom he had been an informant, and offered to provide his suppliers. Steward
directed Wright and other officers to Klepacs house and identified Klepac as his
source. At their instruction Steward telephoned Klepac to arrange a sale of a
kilogram of cocaine. Klepac, who was intoxicated, said to try again the next day.
On March 9 the two agreed to meet at Klepacs house for the deal. When the
time for the meeting arrived, officers instructed Steward to call Klepac to say that
he was en route but delayed. Eventually, Mendez arrived at Klepacs house with
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a kilogram of cocaine, although the usual practice had been for Klepac to have the
buyer present and his money counted before summoning Mendez. Klepac, who
suspected that something was amiss, called Steward and told him that the deal
was off and that he was sending the supplier away. Officers stationed outside the
house arrested Mendez with the kilogram of cocaine in his waistband as he
walked back to his vehicle.
Once in custody Mendez agreed to cooperate with the police to set up
another cocaine delivery and bust. About an hour later Mr. Cesareo-Ayala called
Mendez to ask whether he had Mr. Cesareo-Ayalas stuff. Supp. R. at 1.
Officer Raymond Nunez could hear the conversation and wrote down an English
translation (the mobile phone was in walkie-talkie mode, which created pauses of
about three seconds after each person spoke):
[Mendez]: Whats going on, Primo?
[Mr. Cesareo-Ayala]: What happened?, Are you ready?
[Mendez]: Nothing, I had trouble at the gas station[.]
[Mr. Cesareo-Ayala]: Do you have my stuff?
[Mendez]: Yes. Ive got your money.
[Mendez]: Do you want to meet at 7th and Central? I need two
more.
[Mr. Cesareo-Ayala]: Two more. Alright.
[Mendez]: Yeah, two more of the Stuff. Ill give you your stuff and
you give me two more.
[Mr. Cesareo-Ayala]: I dont like 7th and Central.
[Mendez]: Well, you tell me where. Ill meet you where ever. You
tell me and Ill be there.
[Mr. Cesareo-Ayala]: Remember where we played billiards? There. . . .
[Mendez]: Okay. How much time?
[Mr. Cesareo-Ayala]: 15 minutes.
[Mendez]: Okay.
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Id. (internal quotation marks omitted). The officers immediately set out for a bar
that Mendez identified for them. They brought Mendez along to point out
Mr. Cesareo-Ayala, whom they planned to arrest upon this identification.
While they were en route, Mr. Cesareo-Ayala again called Mendez to
confirm that he was on his way. Nunez committed the conversation to memory
and wrote out an English translation of the exchange about 30 minutes later.
[Mendez]: Whats going on?
[Mr. Cesareo-Ayala]: Where are you?
[Mendez]: Im almost there; I am at the gas station.
[Mr. Cesareo-Ayala]: Who do you have with you?
[Mendez]: A friend I ran into at the fuel station.
[Mr. Cesareo-Ayala]: Oh. Im not there yet, Im 7 minutes away.
[Mendez]: Okay, me to[o]. Ill be pulling in right behind you then.
[Mr. Cesareo-Ayala]: Okay.
Id. at 2 (internal quotation marks omitted).
In the bars parking lot Wright saw Mr. Cesareo-Ayala arrive and exit his
car holding a red bag. He walked to the rear of the building and returned without
the bag. Other officers then moved in and arrested him. A search of the area
behind the building yielded a red bag containing about 920 grams of marijuana.
After Mr. Cesareo-Ayala was taken into custody, Nunez interviewed him.
During an unrecorded portion of the conversation (what the officers termed a
preinterview), Mr. Cesareo-Ayala admitted that he was at the bar to obtain from
Mendez the money from the sale of a kilogram of cocaine and to give Mendez two
pounds of marijuana that had been requested earlier. R. Vol. 2 at 372.
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Mr. Cesareo-Ayala then told Nunez that he could lead police to his supplier if he
were released that night. Nunez informed him that release was impossible. The
remainder of the conversation was tape-recorded, but Mr. Cesareo-Ayala did not
repeat his admission about why he was at the bar and generally denied
involvement in drug trafficking, although at the end of the interview he spoke of
ordering a pound or two of drugs.
A superseding indictment charged Mr. Cesareo-Ayala with three offenses:
conspiracy to distribute and possess with intent to distribute more than five
kilograms of cocaine, see 21 U.S.C. 846; possession with intent to distribute
500 grams or more of cocaine, see id. 841; and distribution of marijuana, see id.
Before trial he filed a motion in limine seeking to exclude on Confrontation
Clause grounds any testimony about statements by Mendez that implicated him.
(Mendezs attorney had indicated that Mendez would invoke his Fifth Amendment
right to refuse to testify if called by either side as a witness.) The trial court
provisionally admitted Officer Nunezs reports of the two March 9, 2007,
conversations between Mendez and Mr. Cesareo-Ayala, subject to the
governments making the showing required for admission of coconspirator
statements under Federal Rule of Evidence 801(d)(2)(E). The court instructed
counsel for the government to ask the court when you believe the evidence has
been sufficiently presented for the court to make a finding. R. Vol. 2 at 3132.
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At trial the government introduced the reports into evidence during the
testimony of Officer Nunez, who described how he and his fellow officers set up
and executed the bust. The government did not at any point ask the district court
to make the predicate findings required under Rule 801(d)(2)(E).
Following the jurys verdict of guilty on all three charges, Mr. CesareoAyala sought a judgment of acquittal notwithstanding the verdict under Federal
Rule of Criminal Procedure 29 or, in the alternative, a new trial under Federal
Rule of Criminal Procedure 33, contending that the evidence was insufficient to
support his convictions. The district court denied relief.
II.
DISCUSSION
A.
Cocaine-Possession Charge
Mr. Cesareo-Ayala challenges the district courts denial of his motion for
acquittal on the cocaine-possession charge. He contends that the evidence was
insufficient to tie him to the cocaine found on Mendez upon his arrest on
March 9, 2007.
[I]n reviewing the sufficiency of the evidence to support a jury
verdict, this court must review the record de novo and ask only
whether taking the evidenceboth direct and circumstantial, together
with the reasonable inferences to be drawn therefromin the light
most favorable to the government, a reasonable jury could find the
defendant guilty beyond a reasonable doubt.
United States v. Hanzlicek, 187 F.3d 1228, 1239 (10th Cir. 1999) (internal
quotation marks omitted). While the evidence supporting the conviction must be
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substantial and do more than raise a mere suspicion of guilt, it need not
conclusively exclude every other reasonable hypothesis and it need not negate all
possibilities except guilt. United States v. Burkley, 513 F.3d 1183, 1188 (10th
Cir. 2008) (brackets and internal quotation marks omitted).
To establish that a defendant possessed a controlled substance with intent
to distribute, the government must prove that he (1) possessed a controlled
substance, (2) knew he possessed a controlled substance, and (3) intended to
distribute the controlled substance. Id. at 1189. Under 18 U.S.C. 2, anyone
who aids, abets, counsels, commands, induces or procures the commission of an
offense is punishable as a principal. The government contends that the
evidence was sufficient to show that Mr. Cesareo-Ayala aided and abetted the
offense of possession of cocaine with intent to distribute, and we agree.
To begin with, the already-summarized evidence showed that on several
occasions before March 9, 2007, Mr. Cesareo-Ayala had provided cocaine to
Mendez for Klepac-brokered deals. It would thus be reasonable to infer that he
was Mendezs supplier for the specific sale on March 9. Moreover, Mr. CesareoAyalas own statements that day could readily support a finding of guilt beyond a
reasonable doubt. His calls to Mendezto ask what had happened and whether
Mendez had his stuff, and to set up a meeting for the transfercertainly imply
that he was involved in the aborted transaction with Steward; and then he
confessed unequivocally to a police officer after his arrest.
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Mr. Cesareo-Ayala also challenges the district courts denial of his motion
for a new trial on the cocaine-possession charge because of the weakness of the
governments case. The district court should grant such a motion only in
exceptional cases in which the evidence preponderates heavily against the
verdict. Evans, 42 F.3d at 593 (internal quotation marks omitted). We review
for abuse of discretion the district courts denial of a motion for new trial. See id.
We see no abuse of discretion here. We have already held that the evidence
was sufficient to sustain the verdict on the charge. And we doubt that we could
ever find an abuse of discretion by the district court in denying a new-trial motion
based on the weight of the evidence when the evidence was sufficient to support
the verdict. We note that courts of appeals routinely affirm the denial of such
new-trial motions once they have upheld the sufficiency of the evidence. See
United States v. Rodriguez, 457 F.3d 109, 11819 (1st Cir. 2006); United States v.
Bullock, 550 F.3d 247, 251 (2d Cir. 2008); United States v. LeGrand, 468 F.3d
1077, 1080 (8th Cir. 2006); United States v. Hunt, 526 F.3d 739, 744 n.1 (11th
Cir. 2008). To be sure, the district court, which has viewed the trial evidence
first-hand, may order a new trial when it perceives that the jury improperly
weighed some of that evidence; but it would be a rare case in which an appellate
court could make that kind of judgment. We affirm the district courts denial of a
new trial on this charge.
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B.
Mr. Cesareo-Ayala challenges the denial of his motion for a new trial on
the conspiracy and marijuana charges against him. Because he has not also
challenged the sufficiency of the evidence supporting the verdicts on those
charges, we couldfor the reasons stated in the preceding paragraphsummarily
conclude that, given the uncontested sufficiency of the evidence, the district court
could not have abused its discretion in denying a new trial. Nevertheless, we will
discuss the evidence supporting these two convictions.
To establish a conspiracy, the government must prove: (1) the defendants
agreement with another person to violate the law; (2) his knowledge of the
essential objective of the conspiracy; (3) his knowing and voluntary involvement;
and (4) interdependence among the alleged coconspirators. United States v.
Chavis, 461 F.3d 1201, 1208 (10th Cir. 2006) (internal quotation marks omitted).
[T]he absence of any direct evidence of a conspiracy is immaterial so long as
there is sufficient circumstantial evidence of a conspiracy to support a finding of
guilt beyond a reasonable doubt. United States v. Nelson, 383 F.3d 1227, 1229
(10th Cir. 2004) (internal quotation marks omitted).
Mr. Cesareo-Ayala trains his fire on the knowing-and-voluntaryinvolvement element of the offense. He argues that Klepacwhose credibility he
assailswas the sole source of evidence on this point and that other witnesses
could only testify that [Mr. Cesareo-Ayala] was present during several drug
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transactions, not that he took an active role. Aplt. Br. at 23. The credible
evidence against him, he says, paints him as a mere observer of the cocaine
deals. Id. at 24.
We are not persuaded. We see no reason why a fact-finder could not
rationally credit Klepacs testimony. Although he could not be precise about
some details, his account was internally consistent. Moreover, his account was
corroborated by Hogans observations and by Mr. Cesareo-Ayalas own
confession to the police. The district court did not abuse its discretion in
rejecting the contention that the evidence preponderate[d] heavily against the
verdict. Evans, 42 F.3d at 593.
As for the marijuana count, Mr. Cesareo-Ayala argues only that the
evidence was insufficient to tie him to the marijuana found in the red sack. 1 But
Officer Wright testified that when Mr. Cesareo-Ayala exited his vehicle at the
bar, he was holding a red sack. Mr. Cesareo-Ayala then was observed going to
the rear of the building and returning without the sack, which was later found
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Aplt. Reply Br. at 23. This argument misconceives what it means to say that a
statement is offered in evidence to prove the truth of the matter asserted. Fed.
R. Evid. 801(c). It appears to say that if a statement is used as evidence of a
proposition, the declarant has asserted that proposition and the statement is
therefore hearsay. But that is not correct. To give an obvious counterexample, a
statement may be offered simply to prove that the speaker was physically able to
speak, or could speak the language in which the statement is uttered. In that
circumstance the truth of the statement is immaterial, and the statement is not
offered for a hearsay purpose, even though it may well support an assertion of the
prosecution.
The conversation between Mendez and Mr. Cesareo-Ayala helped prove
that the two men had a business relationship, but that relationship is established
by the general subject matter of their discussion, without regard to the truth of
anything that either man asserted. The probative value of the conversation
derived not from any implicit assertion made by Mendez for the benefit of the
officers but from the statements by Mr. Cesareo-Ayala, both in initiating the
conversation and in responding to Mendez. The obvious purpose of including
what Mendez said in presenting the conversation to the jury is that Mr. CesareoAyalas words can be properly understood only in the context of Mendezs
remarks. In context, Mr. Cesareo-Ayalas statements strongly suggest that he was
involved in the (aborted) transaction with Steward and wanted to get together
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with Mendez to obtain the proceeds. If the jury could not hear Mendezs side of
the conversation, however, it would have to speculate about what was really going
on. 4
The role of the hearsay rule (and the related component of the right to
confrontation) is to protect against statements that cannot be challenged by crossexamining the speaker. Cross-examination can expose problems with the
speakers perception, memory, or truthfulness. But Mendezs perception,
memory, and truthfulness were irrelevant to the purpose for which the
government offered his statements.
A recent Sixth Circuit opinion illustrates this point. In United States v.
Rodriguez-Lopez, 565 F.3d 312 (6th Cir. 2009), the defendant had acted as a
lookout for a heroin seller dealing with an undercover officer. See id. at 31314.
When federal agents moved in to arrest the seller, the defendant tried to drive out
of the parking lot where the buy had occurred. See id. at 314. Other agents
stopped him for questioning. During this questioning the defendant received
multiple calls on his mobile phone. An agent answered ten of these calls; each
time, the caller was a person seeking to buy heroin. See id. After the defendant
4
was charged with conspiracy to distribute heroin, the district court granted the
defendants motion to exclude the callers statements as hearsay. See id. The
government appealed and the Sixth Circuit reversed. The government offered the
statements, the court said,
not for their truth, but as evidence of the fact that they were made.
The fact that [the defendant] received ten successive solicitations for
heroin is probative circumstantial evidence of his involvement in a
conspiracy to distribute heroin.
Id. at 315. Although the callers may have been implicitly asserting that the
defendant was able to supply them with heroin, and although the government
s[ought] to introduce the calls because they support[ed] an inference that [the
defendant] was involved in dealing heroin, the calls were admissible because
that inference d[id] not depend on the callers truthfulness, memory, or
perceptionthe core credibility concerns that lie behind the hearsay rule. Id.
The same is true here. Given the clear nonhearsay purpose for admitting
Mendezs statements, the admission of the statements violated neither the hearsay
rule nor the Confrontation Clause.
III.
CONCLUSION
We AFFIRM the judgment of the district court.
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a higher level of scrutiny to them because of their post-arrest nature, Tr. 30. As a
result, Mr. Cesareo-Ayala did not object when the government moved to admit
Mr. Mendezs telephone statements into evidence. See Tr. 364, 370. Of course,
the better practice would have been for Mr. Cesareo-Ayala to reinforce his
objection at that time; however, in light of the district courts prior assurances,
Mr. Cesareo-Ayalas failure to do so is certainly understandable and should not
be construed as forfeited error. Notwithstanding its disagreement with Tenth
Circuit policy, had the district court followed the strongly preferred James
procedure, it would have avoided altogether the complications we now face. See
Townley, 472 F.3d at 1273; United States v. Urena, 27 F.3d 1487, 1490-91 (10th
Cir. 1994). This is exactly the type of problem that would have benefitted from
argument and a careful review by the district court.
That said, I turn now to the substance of Mr. Cesareo-Ayalas arguments.
First, I question whether any of Mr. Mendezs statements occurring after his
arrest would qualify as non-hearsay under Fed. R. Evid. 801(d)(2)(E). 1
Conspirator statements made after the conspiracy has ended are inadmissible
under Rule 801(d)(2)(E) because they are not made in furtherance of the
conspiracy. Krulewitch v. United States, 336 U.S. 440, 442-44 (1949). When the
1
conspiracys objectives have been achieved or have been rendered impossible, the
conspiracy has ended. See Wong Sun v. United States, 371 U.S. 471, 490 (1963);
United States v. Perez, 989 F.2d 1574, 1579 (10th Cir. 1993) (en banc). When a
declarant coconspirator has been apprehended, his confession and admissions to
law enforcement are not in furtherance of the conspiracy. Fiswick v. United
States, 329 U.S. 211, 217 (1946). Here, Mr. Mendezs post-arrest statements,
made for the purpose of inculpating Mr. Cesareo-Ayala and assisting law
enforcement, do not appear to be in furtherance of the conspiracy. See 4
Christopher B. Mueller & Laird C. Kirkpatrick, Federal Evidence 8.60, 8.61,
8.62 (3d ed. 2007) (suggesting that a statement by an arrested coconspirator
declarant is not made during the course of the conspiracy or in furtherance of it).
But see United States v. Alonzo, 991 F.2d 1422, 1426 (8th Cir. 1993) (holding
that it was not plain error to admit recorded statement of cooperating and arrested
coconspirator because defendants statements were clearly in furtherance of the
conspiracy and a certain amount of otherwise inadmissible conversation may be
admitted to avoid jury confusion.).
Second, and more specifically, I am not so sure that Mr. Mendezs
statements in the first conversation were not hearsay. As the court notes and as is
confirmed by the record, the government never argued in the district court that the
statements were not hearsay, let alone that they should come in as background to
understand Mr. Cesareo-Ayalas statements. Tr. 30-31. I agree with Mr.
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Yeah, two more of the Stuff. Ill give you your stuff and you give me
two more.
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engaged in narcotics distribution. Given that the evidence plainly suggests that
Mr. Mendez intended to make such an assertion, Mr. Cesareo-Ayala had a
reasonable argument that the government should not be permitted to offer these
statements without allowing him the opportunity for cross-examination. See
United States v. Reynolds, 715 F.2d 99, 103-04 (3d Cir. 1983) ([S]tatements
containing express assertions may also contain implied assertions qualifying as
hearsay and susceptible to hearsay objections.). Allowing the government to do
so results in a potential conflict with the Supreme Courts holding in Crawford.
See Crawford v. Washington, 541 U.S. 36, 59 (2004) (Testimonial statements of
witnesses absent from trial [can be] admitted only where the declarant is
unavailable, and only where the defendant has had a prior opportunity to crossexamine.). Perhaps the government could have offered another rationale for
admissibility, such as background, see Alonzo, 991 F.2d at 1426-27, with an
opportunity for the court to consider the danger of unfair prejudice or a limiting
instruction. But the government did not and Mr. Cesareo-Ayala can hardly be
faulted for not responding to an unknown purpose. Moreover, we recently
commented that admission of the hearsay statements of law enforcement
personnel to provide context for a defendants admissions has the potential for
abuse: Invoking the word context does not permit an end-run around the
hearsay rules such that the government may smuggle into evidence all interviewer
statements. United States v. Collins, No. 08-3119, slip op. at 8-9, F.3d
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(10th Cir. Aug. 4, 2009). This is even more true when the declarant has become
an instrument of law enforcement and the defendant cannot confront the
declarant.
Regardless, I am persuaded that the admission of these statements did not
have a substantial influence on the verdict and was harmless beyond a reasonable
doubt. Fed. R. Crim. P. 52(a); United States v. Rivera, 900 F.2d 1462, 1469-70
(10th Cir. 1990) (en banc). I therefore concur in the result the court has reached
on this issue.
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