Federal Circuits, 11th Cir. (June 22, 1987)
Docket number: 86-5277
Permanent Link:
http://vlex.com/vid/ayarza-zuarez-alcadio-cotex-curvelo-37154654
Id. vLex: VLEX-37154654
Click here to download this article in graphic format (Acrobat Reader)

John D. Lazarus, Peggy Fisher, Miami, Fla., for Carmelo Ayarza-garcia.
Dennis G. Kainen, Miami, Fla., for Enrique Zuarez-Calderon.Jeffrey A. Rynor, Miami, Fla., for Jorge Ariza-Cortex.Leon E. Tozo, Coconut Grove, Fla., for Alberto Gabriel Lopez.Jorge A. Sibila, Miami, Fla., for Jorge Curvelo-Fuentes.Kathy Hamilton, Miami, Fla., for Cristobal Caicedo-Angulo.Sheryl J. Lowenthal, Coral Gables, Fla., for Perez-Cardona.Ellen L. Leesfield, Coral Gables, Fla., for Montano-Ocampo.Jose R.E. Batista, Hialeah, Fla., for Domingo Guerra-Villareal.Leon B. Kellner, U.S. Atty., Charles V. Senatore, David O. Leiwant, Linda C. Hertz, Asst. U.S. Attys., Miami, Fla., for the U.S.Appeals from the United States District Court for the Southern District of Florida.Before JOHNSON and CLARK, Circuit Judges, and MORGAN, Senior Circuit Judge.JOHNSON, Circuit Judge:Appellants seek reversal of their convictions for conspiracy to possess marijuana on the high seas with intent to distribute and possession of marijuana on the high seas with intent to distribute in violation of 21 U.S.C.A. Secs. 955a(a), 955c and 18 U.S.C.A. Sec. 2. Appellants assert that the district court erred in denying their motions for judgment of acquittal, in determining that the issue of the sufficiency of the evidence to establish subject matter jurisdiction was not appropriate for decision by pretrial motion to dismiss, in failing to grant Appellants' motions for severance and in denying Appellants' post-trial motions based on alleged jury impropriety without conducting an evidentiary hearing. Because we find no error in the district court's rulings on these issues, we affirm Appellants' convictions.I. BACKGROUNDAppellants were nine of the ten members of the crew of the vessel Somape IV.1 On or about December 28, 1985, the Coast Guard cutter Diligence, on routine patrol in the Yucatan Channel, picked up the Somape IV on its radar. The Somape IV was traveling in a northwesterly direction on a heading which, if continued, would cause it to come ashore at a point along the Louisiana coastline. Upon interception of the Somape IV by the Diligence approximately two hours later, the Coast Guard determined that the Somape IV was a converted fishing vessel. The vessel's name was displayed on the bow and stern, but the vessel flew no flag and bore no home port designation.After unsuccessful attempts to hail the Somape IV by radio in both English and Spanish, the Coast Guard cutter moved closer to the vessel and contact with the vessel was attempted through use of a loudhailer, again in both English and Spanish, and by means of short blasts on the ship's whistle. Appellant Ariza-Cotex, after making one initial appearance and disappearing into the pilothouse, returned and responded to questions by the Coast Guard. According to the government's evidence, one of these questions was the nationality of the vessel, to which Ariza-Cotex responded "Colombiano." Ariza-Cotex also gave the Coast Guard permission to board the Somape IV where a subsequent search by Coast Guard officers revealed papers showing the vessel was in fact of Panamanian registry and 18,000 pounds of marijuana.Appellants were indicted for conspiracy on the high seas to possess marijuana with intent to distribute and possession of marijuana on the high seas with intent to distribute. Appellants filed pretrial motions for severance and to dismiss for lack of subject matter jurisdiction. The district court denied the motion to sever and reserved ruling on the motion to dismiss because it determined that the jurisdictional issue was inappropriate for determination by pretrial motion. At the close of the government's case, Appellants made a motion for judgment of acquittal pursuant to Fed.R.Crim.P. 29, arguing that there was insufficient evidence to establish subject matter jurisdiction over the Somape IV, which motion was denied. Appellants did not present any evidence. The jury returned a verdict against Appellants on both counts and each Appellant was sentenced to a term of imprisonment and fined.After the trial, one of the jurors, Charles Whited, who was a columnist for the Miami Herald, wrote a newspaper article describing the jury deliberations in Appellants' case and indicating that one juror, Robert S. Leeds, had voted for conviction "under duress." Appellants filed post-trial motions alleging, inter alia, possible jury impropriety. The district court denied these motions without an evidentiary hearing. This appeal followed.II. DISCUSSIONA. Sufficiency of the Evidence to Establish JurisdictionSection 955a(a) provides in pertinent part that "[i]t is unlawful for any person on board ... a vessel subject to the jurisdiction of the United States on the high seas, ... to possess with intent to ... distribute a controlled substance." 21 U.S.C.A. Sec. 955a(a). The term "vessel subject to the jurisdiction of the United States" includes "a vessel without nationality or a vessel assimilated to a vessel without nationality, in accordance with paragraph (2) of article 6 of the Convention on the High Seas, 1958." Id. Sec. 955b(d). The Somape IV was validly registered in Panama and thus was not a vessel without nationality. Assertion of jurisdiction over the Somape IV was based on the vessel being one "assimilated to a vessel without nationality."Under the Convention on the High Seas, a ship is required to sail under the flag of only one state and is subject to the exclusive jurisdiction of that state while on the high seas. Convention on the High Seas, Art. 6(1), opened for signature, April 29, 1958, 13 U.S.T. 2312, T.I.A.S. No. 5200. However, Article 6(2) of the Convention, incorporated into section 955b(d) as the definition of a vessel assimilated to statelessness, provides that "[a] ship which sails under the flags of two or more States, using them according to convenience, may not claim any of the nationalities in question with respect to any other State, and may be assimilated to a ship without nationality." Id. Art. 6(2). Thus, a vessel is subject to the jurisdiction of the United States under section 955b(d) even if validly registered in another country if it "sails under the authority of two or more states, and uses them according to convenience" or falsely claims a nationality other than that of the country in which it is registered. United States v. Gonzalez, 810 F.2d 1538, 1541 (11th Cir.1987) (quoting United States v. Batista, 731 F.2d 765, 767 (11th Cir.1984)); accord, United States v. Martinez, 700 F.2d 1358, 1362 (11th Cir.1983) (United States has jurisdiction if defendants "intended to use two flags or nationalities 'according to convenience' ").In determining whether there was sufficient evidence to establish that the Somape IV was a vessel assimilated to statelessness, the standard of review is whether, viewing the evidence in the light most favorable to the government, a reasonable trier of fact could find that the evidence established this element beyond a reasonable doubt as to each appellant. See United States v. Cole, 755 F.2d 748, 755 (11th Cir.1985). All reasonable inferences must be drawn in favor of the jury's verdict. Id. Appellants assert that the evidence regarding Ariza-Cotex's statement that the vessel was Colombian had been substantially impeached. Appellants argue that the question to which Ariza-Cotex replied "Colombiano" had in fact been (or at least had been understood to be) "what is your nationality?" Ariza-Cotex is Colombian. In support of this theory, Appellants point to the entry from the Diligence's log relating to this conversation, which was made contemporaneously with the conversation by Petty Officer Amador, who was serving as Spanish translator in questioning Ariza-Cotex. The entry originally had stated that the person on the vessel said Colombia was his nationality, but the "his" had been crossed out by Amador's superior officer and replaced with "its" to indicate that the response referred not to Ariza-Cotex but to the vessel. Appellants also point to testimony indicating that the statement was made at a distance of 30 yards, that Ariza-Cotex spoke without amplification, and that there was engine noise from the Coast Guard cutter. There also was somewhat conflicting testimony as to whether the Coast Guard had sought a non-objection statement from Panama or from Colombia before arresting Appellants. Appellants further argue that, even assuming Ariza-Cotex did say the vessel was Colombian, this statement was insufficient to establish an intent to sail under the authority of two states, using them for convenience, particularly when made by a mere crew member rather than the captain of the vessel.We find that there was sufficient evidence from which a reasonable jury could conclude that the Somape IV was a vessel assimilated to statelessness. Credibility choices in deciding which version of a story to believe are a matter for the jury. Cole, 755 F.2d at 755. The government need not prove that the facts of the case are inconsistent with the defense's theory of the case; the jury is free to choose among alternative reasonable constructions of the evidence. Id. The government introduced evidence that the alteration in the ship's log was to correct a grammatical error, that the log entry had been altered in other respects to correct grammatical errors, that the Coast Guard officers could hear Ariza-Cotex clearly and that the word used by Amador in asking the question regarding nationality of the vessel was "barco," while the word Amador would have used to ask the nationality of the crew would have been "miembros." The jury's decision in this case to believe the Coast Guard's explanation that recordation in the Diligence's log of the word "his" instead of "its" was the result of a grammatical mistake and that Ariza-Cotex's response was clearly and accurately heard was well within the jury's province. Cf. Martinez, 700 F.2d at 1362 (it was within jury's province to resolve factual dispute as to whether captain misunderstood question when asked nationality of ship in determining whether defendants were claiming two nationalities according to convenience).There also was evidence from which a reasonable jury could have found that Ariza-Cotex was acting as a spokesman for the crew when he made the statement that the vessel was Colombian. Ariza-Cotex initially appeared from the pilot house, and, after first having disappeared into the pilot house again, returned alone to communicate with the Coast Guard. In addition, when the Coast Guard questioned the crew on the deck of the Somape IV, Ariza-Cotex spoke for the crew and the other crew members agreed with his statements, including statements that there was no captain, that all the crew members were second in command, and that the crew were "pirates" (this remark accompanied by laughter from the crew). There also was testimony that it was Ariza-Cotex who had the crew assemble on the fantail of the Somape IV in response to a request from the Coast Guard, that it was he who gave the Coast Guard permission to conduct a tour of the Somape IV and to search the hold and that he told the Coast Guard that the Panamanian registration papers were in the pilot house. Cf. Gonzalez, 810 F.2d at 1542 (statement by acting captain that vessel was of one nationality when it was in fact registered in another nation was a factor indicating that vessel was assimilated to statelessness).Finally, there was evidence that the vessel displayed no home port designation and flew no flag, thus facilitating its ability to claim whatever nationality it chose. Cf. United States v. Matute, 767 F.2d 1511, 1513 (11th Cir.1985) (absence of permanent home port designation was a factor indicating that crew wanted to be able to manipulate vessel's nationality on short notice). Viewing this evidence in the light most favorable to the government, a reasonable jury could find that the Somape IV carried no home port designation and flew no flag in order to allow its crew to manipulate its nationality, and that Ariza-Cotex, acting as a spokesman for the crew, did in fact make such a false claim of Colombian nationality when he knew that the Somape IV was registered in Panama. Cf. Martinez, 700 F.2d at 1362 (evidence that captain initially stated vessel was Costa Rican, then stated that it was Honduran, together with conflicting testimony as to whether vessel was flying a flag, was sufficient to support jury instruction regarding assimilation to statelessness).B. Proper Procedure to Challenge JurisdictionAppellants argue that the district court erred in reserving decision on Appellants' motion to dismiss for lack of subject matter jurisdiction and ruling that the jurisdictional issue should go to the jury. They assert that the jurisdictional issue was a matter of law that should have been decided by the trial court on the pretrial motion to dismiss. We find that the district court was correct in its determination that Appellants' subject matter jurisdiction challenge was not appropriate for determination by the court on a pretrial motion to dismiss.Fed.R.Crim.P. 12(b) provides that "[a]ny defense, objection, or request which is capable of determination without the trial of the general issue may be raised before trial by motion." Questions of subject matter jurisdiction may be raised under Rule 12(b), but also may be raised at any time during the pendency of the proceedings. Rule 12(b)(2); C. Wright, Federal Practice and Procedure (Criminal) Sec. 193, at 693-94 (2d ed. 1982). As the language of the rule indicates, when the issue raised involves a question that may not be determined without "trial of the general issue" it is not proper for decision by pretrial motion. The "general issue" has been defined as evidence relevant to the question of guilt or innocence. United States v. Barletta, 644 F.2d 50, 58 (1st Cir.1981).It follows that a pretrial motion to dismiss the indictment cannot be based on a sufficiency of the evidence argument because such an argument raises factual questions embraced in the general issue. United States v. Mann, 517 F.2d 259, 267 (5th Cir.1975), cert. denied,Try vLex for FREE for 3 days
Access legal information from United States including:
Try vLex without any commitment for 3 days and see why you need it.
3
days of Free Access