Federal Circuits, 1st Cir. (June 29, 1987)
Docket number: 86-1176
Permanent Link:
http://vlex.com/vid/molinares-charris-pimienta-isenia-pupo-37662660
Id. vLex: VLEX-37662660
Click here to download this article in graphic format (Acrobat Reader)

U.S. Court of Appeals for the 1st Cir. - United States of America, Appellee, v. John Doe, A/K/a Rafael Segundo Crespo-Herrera, Defendant, Appellant. United States of America, Appellee, v. Peter Doe, A/K/a Ricardo Mejia-Hernandez, Defendant, Appellant. United States of America, Appellee, v. Ricardo Roe, A/K/a Juan Andrades-Salinas, Defendant, Appellant. United States of America, Appellee, v. Willy Doe, A/K/a Ruben Oviedo, Defendant, Appellant. United States of America, Appellee, v. Peter Doe, A/K/a Francisco Antonio Pacheco-Lacayo, Defendant, Appellant. United States of America, Appellee, v. Richard Doe, A/K/a Luciano Amaya-Ruiz, Defendant, Appellant. United States of America, Appellee, v. Rafael Garay, Defendant, Appellant., 860 F.2d 488 (1st Cir. 1988) Appellee, v. John Doe, A/K/a Rafael Segundo Crespo-Herrera, Defendant, Appellant. United States of America, Appellee, v. Peter Doe, A/K/a Ricardo Mejia-Hernandez, Defendant, Appellant. United States of America, Appellee, v. Ricardo Roe, A/K/a Juan Andrades-Salinas, Defendant, Appellant. United States of America, Appellee, v. Willy Doe, A/K/a Ruben Oviedo, Defendant, Appellant. United States of America, Appellee, v. Peter Doe, A/K/a Francisco Antonio Pacheco-Lacayo, Defendant, Appellant. United States of America, Appellee, v. Richard Doe, A/K/a Luciano Amaya-Ruiz, Defendant, Appellant. United States of America, Appellee, v. Rafael Garay, Defendant, Appellant.
Jose E. Rossy-Valderrama, San Juan, P.R., on brief, for appellant Orlando Molinares Charris.
Olga M. Shepard, Hato Rey, P.R., for appellant Juan Pimienta Redondo.Jose M. Ortiz Miller, Hato Rey, P.R., on brief, for appellant Santiago Meneses.James D. Noel, Hato Rey, P.R., by Appointment of the Court, for appellant Alfredo Lozada.Benito I. Rodriguez Masso, Caguas, P.R., by Appointment of the Court, for appellant Jaime Isenia Garcia.Jose A. Fuentes Agostini, by Appointment of the Court, with whom Troncoso & Fuentes-Agostini, San Jose, P.R., was on brief, for appellant Alfredo Pupo.Warren Vazquez, Asst. U.S. Atty., with whom Daniel F. Lopez Romo, U.S. Atty., Hato Rey, P.R., was on brief, for appellee.Before BOWNES and BREYER, Circuit Judges, and CAFFREY,* Senior District Judge.BOWNES, Circuit Judge.Appellants are six defendants who were convicted on two counts under 21 U.S.C. Sec . 955a (1982) for possessing marijuana with an intent to distribute it. They were aboard a vessel, which had sailed from Colombia and was intercepted by the Coast Guard near the U.S. Virgin Islands. The Coast Guard found 9,540 pounds of marijuana on board. Appellants contest their two convictions for what they argue was a single offense. They also challenge the sufficiency of the evidence and claim that there were several errors in the trial proceedings. We reverse the convictions on one of the counts because they were based on an erroneous construction of the statute, but find no errors requiring a reversal of the convictions on the remaining count.I. SUMMARY OF THE FACTSIn the afternoon of May 15, 1984, the Coast Guard cutter Point Whitehorn got underway from St. Thomas, U.S. Virgin Islands, in response to information that there were two vessels in the area suspected of illegal activity. Around 7:00 P.M., when the cutter was approximately seventeen and three-quarters miles off the coast of Anegada Island, the MV Gilfon, which had a home port of San Lorenzo, Honduras, printed on its stern, was observed heading to the northwest.The Gilfon 's captain granted the Coast Guard's radio request for permission to board. The only materials being carried in the hold of the seventy-five-foot vessel were bricks and rice straw. According to the Gilfon 's captain, the bricks were for ballast and the rice straw was for later use in carrying ice.About two minutes after boarding, a member of the boarding party notified the boarding officer that he had smelled marijuana near the hatch to the main hold. The boarding officer went to that location and said he also detected it. He said the odor was intermittent, which he attributed to the wind. The Coast Guard's log indicated winds of approximately eighteen knots at the time, measured as the vessel was traveling at fifteen knots.While searching the lazarette, which is a compartment at the stern of the vessel, the boarding officer smelled wet paint. Some of it rubbed off onto his arm when he brushed against the bulkhead. It was apparent that the hatch covers on access plates leading to fuel tanks had been freshly painted.On the aft bulkhead of the main hold, on the port side of the vessel, there was a large area that obviously had been cut and rewelded. Marks on the overhead part of the compartment appeared to have been caused by a cutting torch. An oxygen and an acetylene bottle were found on board, as well as a torch and an arc welder. The paint in the welded area was noticeably different than the paint on the adjacent areas. Containers with paint matching that used on the hatch covers in the lazarette and on the welded area in the main hold were found in the pilot cabinet.The signs of recent work made the boarding party suspicious that something was hidden behind the bulkheads. It inspected two sounding tubes on the main deck that normally would be used for determining the fuel level in the tanks below. The sounding tubes indicated that the tanks were full, but the level did not vary with the vessel's motion as they normally would. Some fuel was removed from one of the tubes and none returned, indicating that they may have been rigged to conceal false tanks. The Gilfon 's captain attributed these irregularities to valves being closed. As the boarding party was preparing to go to the main hold to check the valves, the Gilfon 's captain said that he was tired and wanted the boarding party to leave. It was approximately 1:30 A.M.; the search had begun around 8:00 P.M. The boarding party left as requested.The cutter continued to track the Gilfon, which reversed course and started heading to the southeast. Meanwhile, the Coast Guard transmitted a request to Honduras for permission to board the Gilfon and enforce United States law. On the afternoon of May 16, such permission was received in the form of a statement of no objection.The nine men aboard the Gilfon were mustered on deck while the Coast Guard boarded a second time and resumed its search. Bricks were moved to gain access to the valves mentioned by the Gilfon 's captain; when they were opened no fuel came out and there was no change in the sounding tubes. Two holes were then drilled in the bulkhead near the welding marks. Air was sucked in from behind the bulkhead and there was a strong odor of marijuana. A small amount of what tested to be marijuana was extracted through the holes. The vessel was seized and the crew arrested. Later, access was gained to the false compartments by cutting a hole in the main deck. Large bales of marijuana totalling 9,450 pounds were removed from the compartments.The nine men who were aboard the Gilfon were tried together. They were all convicted of possessing marijuana with an intent to distribute it.1II. THE TWO CONVICTIONS21 U.S.C. Sec . 955a provides in pertinent part: (a) Vessels of United States or vessels subject to jurisdiction of United States on high seasIt is unlawful for any person on board a vessel of the United States, or on board a vessel subject to the jurisdiction of the United States on the high seas, to knowingly or intentionally manufacture or distribute, or to possess with intent to manufacture or distribute, a controlled substance. (b) Citizens of United StatesIt is unlawful for a citizen of the United States on board any vessel to knowingly or intentionally manufacture or distribute, or to possess with intent to manufacture or distribute, a controlled substance. (c) Vessels within customs waters of United StatesIt is unlawful for any person on board any vessel within the customs waters of the United States to knowingly or intentionally manufacture or distribute, or to possess with intent to manufacture or distribute, a controlled substance. (d) Intent or knowledge of unlawful importation into United StatesIt is unlawful for any person to possess, manufacture, or distribute a controlled substance-- (1) intending that it be unlawfully imported into the United States; or (2) knowing that it will be unlawfully imported into the United States.Each of the four offenses in section 955a focuses on a different jurisdictional basis: the vessel's nationality, the citizenship of those on board, the waters in which the vessel sails, or that it is the United States to which the illegal cargo is intended to be imported.Appellants were convicted on two counts. Count I charged them with violating subsection (a), which applies to "any person on board a vessel of the United States, or on board a vessel subject to the jurisdiction of the United States on the high seas." The district court instructed the jury that a vessel of a foreign nation "may be subject to the jurisdiction of the United States on the high seas" if the foreign nation "consents that the United States enforce its laws upon said vessel." Count II charged appellants with violating subsection (c), which applies to "any person on board any vessel within the customs waters of the United States." The court instructed the jury "that the waters wherein the vessel was located when it was boarded were in fact customs waters of the United States" if it found beyond a reasonable doubt "that there was an arrangement between the government of Honduras and the United States, allowing the United States to board and enforce its laws upon the vessel." Thus, the jury was told in effect that an arrangement between Honduras and the United States could be the jurisdictional basis for a conviction on both counts.As we construe the statute, however, the consent given by Honduras to the enforcement of United States law against the Gilfon is a jurisdictional basis covered exclusively by subsection (c). Our conclusion is based on the wording of subsections (a) and (c) of section 955a and the legislative history. Subsection (c) focuses on the waters in which the vessel sails. It was "intended to encompass all vessels and persons actually or constructively present within the Customs waters." H.R.Rep. No. 323, 96th Cong., 1st Sess. 10 (1979) (emphasis added). A foreign vessel can be constructively within customs waters, even though it is on the high seas, if there is "a treaty or other arrangement between a foreign government and the United States enabling or permitting the authorities of the United States to board, examine, search, seize, or otherwise to enforce upon such vessel upon the high seas the laws of the United States." 19 U.S.C. Sec . 1401(j) (1982); see United States v. Gonzalez, 776 F.2d 931, 935-36 (11th Cir.1985); United States v. Romero-Galue, 757 F.2d 1147, 1153-54 (11th Cir.1985).2Subsection (c), therefore, extends the reach of United States law to foreign vessels on the high seas searched pursuant to an international agreement. Nothing in subsection (a) indicates that it also was meant to address this situation. In subsection (a), Congress invoked "flag state jurisdiction," "to assert competence over U.S. vessels, wherever they may be, and over vessels without nationality on the high seas." H.R.Rep. No. 323, at 9. " 'Vessel of the United States' means any vessel documented under the laws of the United States, ... or owned in whole or in part by the United States or a citizen of the United States, ... unless the vessel has been granted nationality by a foreign nation...." 21 U.S.C. Sec . 955b(c) (Supp. III 1985). " 'Vessel subject to the jurisdiction of the United States' includes a vessel without nationality or a vessel assimilated to a vessel without nationality...." 21 U.S.C. Sec . 955b(d) (1982).The Gilfon does not fit into any of these categories. To convict appellants under subsection (a), an additional type of vessel--one registered in a foreign nation which has become subject to United States law by international agreement--would have to be read into this part of the statute. The definitional statement in section 955b(d) leaves the door open to an expansive reading. It says that a vessel subject to the jurisdiction of the United States "includes a vessel without nationality or a vessel assimilated to a vessel without nationality." (Emphasis added.) The use of the word "includes," rather than "means," implies that vessels other than those expressly mentioned would fit the definition. See Helvering v. Morgan's, Inc., 293 U.S. 121, 125 n. 1, 55 S.Ct. 60, 61-62 n. 1, 79 L.Ed. 232 (1934).By using an open-ended definition of "a vessel subject to the jurisdiction of the United States on the high seas," perhaps Congress wanted to ensure that all vessels properly subject to United States jurisdiction under the principle of "flag state jurisdiction" would be viewed as covered under subsection (a). See H.R.Rep. No. 323, at 11 (expressing congressional intent to have United States law applied to the extent international law allows). But the consent of a foreign nation to the enforcement of United States law was not an unanticipated jurisdictional basis. This situation was expressly addressed in subsection (c). One part of the statute should not be read so expansively as to render another part redundant. Furthermore, the House Report accompanying the statute indicates that Congress intentionally excluded consent of a foreign nation as a jurisdictional basis under subsection (a). The definition of a "vessel subject to the jurisdiction of the United States on the high seas" had included a "vessel flying [a] foreign flag" if the flag state gave prior consent to the enforcement of United States law. H.R.Rep. No. 323, at 7. This language was omitted from the enacted version of the statute, apparently in response to concerns expressed about the jurisdictional and constitutional validity of relying solely on prior consent as a basis for considering a foreign vessel to be "subject to the jurisdiction of the United States on the high seas." Id. at 7-9.3We decline to read into subsection (a) an alternative jurisdictional basis intentionally left out by Congress and already covered by another part of the statute. Our construction also avoids a potential constitutional problem. Other than the jurisdictional bases, the four offenses in section 955a are identical. In a previous case we upheld the constitutionality of multiple convictions under the statute partly because we construed each offense as requiring "proof of a fact not required by any other." United States v. Christensen, 732 F.2d 20, 23 (1st Cir.1984). This is not the case if the jurisdictional facts prerequisite for a conviction under subsection (c) are exactly the same for subsection (a). A statute should not be construed in such a way as to render it unconstitutional if it also can be construed in a way that is constitutional.We hold that consent by the nation of registry to the enforcement of United States law against one of its vessels on the high seas does not make that vessel "subject to the jurisdiction of the United States on the high seas" under subsection (a). Consequently, the court's jury instruction on the jurisdictional requirement for a conviction under subsection (a) was incorrect. The jury was instructed that "[a] vessel with a nationality other than the United States may be subject to the jurisdiction of the United States on the high seas if the government with jurisdiction over said vessel consents that the United States enforce its laws upon said vessel."Appellants argue that the court's error in instructing the jury entitles them to an acquittal; they say that the instructions unduly confused the jury. We are constrained in our consideration of this issue by appellants' failure to provide us with a transcript of the jury instructions. They had a duty to ensure that the necessary record was transmitted to this court. Fed.R.App.P. 11(a). We have had to rely instead on two marked-up pages of what appear to be copies of jury instructions, included in Molinares Charris's and Pimienta Redondo's briefs, which the government has treated as an accurate record of the instructions given to the jury.The only error we find is that regarding the requirements for a conviction under subsection (a). The court properly instructed the jury on the jurisdictional prerequisite for a conviction under subsection (c); it described the definition of customs waters, including the provision that allowed the Gilfon to be considered in the customs waters of the United States if it found "that there was an arrangement between the government of Honduras and the United States, allowing the United States to board and enforce its laws upon the vessel." We see no reason to conclude that the instructions so confused the jury that it misunderstood the requirements or failed to follow the law when it convicted appellants for violating subsection (c).Appellants' convictions on Count I are reversed.III. THE SUFFICIENCY OF THE EVIDENCEAppellants challenge the sufficiency of the evidence used to convict them. "Our standard of review with respect to challenges to the sufficiency of the government's evidence is whether, taken as a whole and viewed in the light most favorable to the government, the evidence and all legitimate inferences therefrom would allow a rational trier of fact to find guilt beyond a reasonable doubt." United States v. Luciano Pacheco, 794 F.2d 7, 10 (1st Cir.1986). Viewing the evidence in this way, we hold that it was sufficient to support the verdict.The government had the burden of proving that appellants knowingly or intentionally possessed marijuana with an intent to distribute it. Knowing participation in a venture to import marijuana can be inferred from circumstantial evidence. United States v. Smith, 680 F.2d 255, 259 (1st Cir.1982), 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