Professional Documents
Culture Documents
Published
Published
No. 14-4338
Appeal from the United States District Court for the Western
District of Virginia, at Harrisonburg.
Michael F. Urbanski,
District Judge. (5:12-cr-00030-MFU-1)
Argued:
Decided:
March 7, 2016
ARGUED:
Andrea Lantz Harris, OFFICE OF THE FEDERAL PUBLIC
DEFENDER, Charlottesville, Virginia, for Appellant.
Elizabeth
G. Wright, OFFICE OF THE UNITED STATES ATTORNEY, Harrisonburg,
Virginia, for Appellee.
ON BRIEF: Larry W. Shelton, Federal
Public Defender, Christine Madeleine Lee, Research and Writing
Attorney, OFFICE OF THE FEDERAL PUBLIC DEFENDER, Roanoke,
Virginia, for Appellant.
Anthony P. Giorno, Acting United
States Attorney, Roanoke, Virginia, Jean B. Hudson, Assistant
United States Attorney, Franklin Sacha, Appellate Intern, OFFICE
jury
convicted
Jean
Paul
Alvarado
of
knowingly
and
in
841(b)(1)(C).
violation
The
district
of
21
court
U.S.C.
sentenced
841(a)(1)
Alvarado
to
and
the
evidence in the record that Thomas could have died without the
heroin, the jurys verdict was necessarily consistent with the
Supreme Courts requirement of but-for causation.
v. United States, 134 S. Ct. 881, 887-88 (2014).
See Burrage
As a result,
Second,
district
court
foreseeability
district
of
court
should
have
death.
did
not
And
instructed
finally,
commit
we
reversible
the
jury
conclude
error
in
on
the
that
the
admitting
because
hearsay
(1)
even
exception,
its
if
the
hearsay
admission
did
was
not
fall
harmless;
and
under
(2)
the
I
In response to custodial police questioning on March 30,
2011, Alvarado admitted that, on the previous day, March 29, he
had sold five bags of heroin to Thomas.
Alvarado and Thomas indicated that the sale occurred during the
late
morning
hours
in
Harrisonburg, Virginia.
the
bathroom
of
grocery
store
in
which
she
and
Thomas
were
living,
she
discovered
Thomas
I knew he
He had an
His new thing was to mix them together and that will
When
phone, which led them to Alvarado, who was arrested the next
day.
A
grand
jury
indicted
Alvarado
for
heroin
distribution
to
trial,
evidence
of
Alvarado
filed
statements
made
motion
by
in
Thomas,
limine
to
including
from
Alvarado.
drug
dealer
named
Fat
Boy,
referring
to
last contact with Blass occurred on March 24, 2011 -- five days
before
Thomas
death.
Thomas
communicated
with
Alvarado,
however, with text messages on March 26, 27, 28, and 29.
In two
Thomas
wrote
that
he
wanted
from
Alvarado
In
more,
[p]retty
much
within
an
hour
span
of
Thomas had driven her to work in the morning and had indicated
6
She
stated that she knew that Thomas purchased heroin from a dealer
named Fat Boy, because he said so and because she often went
with Thomas (about once a week) when he purchased heroin from
Fat Boy, referring to Alvarado.
immediately
suppliers
over
the
obtained
heroin
in
after
purchasing
years,
2009
it.
Melewski
from
Recounting
man
said
that
named
Thomas
Thomas
Miguel
first
Rodriguez.
Thomas
started
purchasing
from
dealer
that
Thomas
the
day
after
Thomas
death,
Melewski
met
with
Melewski said
forensic
Forensic
toxicologist
Science,
Dr.
David
with
the
Burrows,
Virginia
testified
Department
that
of
drug
Dr.
heroin
and
that
the
combination
of
heroin,
Benadryl,
and
Assistant
Chief
Medical
Examiner,
Dr.
Gayle
that Thomas also had Xanax and Benadryl in his system at the
time of his death, as found by Dr. Burrows, she testified that
neither contributed to Thomas death.
without the heroin, [Thomas] doesnt die.
the
death.
heroin
or
that
the
heroin
contributed
to
[Thomas]
It is on this ground
that some courts, including our own, tell district judges not to
try to explain to a jury the meaning of beyond a reasonable
doubt.
After
the
district
court
discharged
juror
for
an
district
court
sentenced
Alvarado
to
20
years
II
Alvarado
contends
first
that,
in
light
of
the
Supreme
See 21 U.S.C.
S. Ct.
increase[s]
at
the
887
(Because
minimum
and
the
death
maximum
results
sentences
to
enhancement
which
[the
He argues
it
to
convict
if
it
found
that
heroin
was
mere
11
convicting
on
the
contributing
cause
theory
is
reversible
error.
The government contends that the district court did not
commit any error when responding to the jury because the court
accurately stated the controlling law by reciting the specific
language
of
841(b)(1)(C).
It
maintains
that,
because
the
its
causation,
further
ordinary,
the
explain
commonly
district
the
understood
court
meaning
appropriately
phrase.
In
of
decided
addition,
the
but-for
not
to
government
statutory
language
because
of
the
potential
from.
Ordinarily,
we
review
the
district
courts
52(b).
As a general matter, a district court has an obligation to
give
instructions
controlling law.
Cir.
1990).
to
the
jury
that
fairly
state[]
the
Similarly,
when
the
jury
asks
clarifying
source
of
creating
prejudice.
confusion
fairly
and
507
F.3d
Foster,
accurately
at
244
without
(internal
instructions
as
given,
leaving
it
to
apply
the
ordinary
To the
contrary,
further
she
explicitly
shared
the
view
argues,
relying
on
Burrage,
that
that
any
Nonetheless, Alvarado
the
district
courts
But, in
the context of the record in this case, Burrage does not help
Alvarado.
13
The
Burrage
Court
held
that
results
from
in
134
S.
Ct.
at
891.
And
the
ordinary
meaning
of
Id. at 888.
Or, as
Id.
Thus,
drug
that
plays
nonessential
See id.
Id. at 888-89.
the
committed
district
plain
court
error,
abused
in
its
refusing
discretion,
to
attempt
let
a
case that would allow a jury to find that heroin was only a
nonessential contributing cause of Thomas death.
Cf. Burrage,
134 S. Ct. at 890 (We need not accept or reject the special
rule
developed
for
[cases
where
multiple
sufficient
causes
no
evidence
here
that
[the
victims]
heroin
use
was
an
As Dr. Suzuki,
the
explained
heroin,
further
[Thomas]
that
neither
doesnt
the
die.
Xanax
nor
Indeed,
the
she
Benadryl
The only
evidence presented was that, but for the heroin, death would not
have
resulted.
As
such,
any
hypothesis
that
the
jury
was
abuse
of
discretion,
let
alone
plain
error.
Cf.
United
States v. Walton, 207 F.3d 694, 698 (4th Cir. 2000) (en banc)
([W]e remain convinced that attempting to explain the words
beyond a reasonable doubt is more dangerous than leaving a
jury to wrestle with only the words themselves).
We
recognize
that,
in
different
circumstances
where
the
record might suggest that the decedent ingested heroin but might
have died nonetheless from the effects of other substances, a
courts
become
refusal
a
to
problem.
clarify
In
such
the
an
phrase
results
ambiguous
from
scenario,
might
jury,
but-for
cause
of
death.
To
foreclose
such
an
erroneous
the
enhancement.
conclude
that
results-from
causation
necessary
to
apply
the
district
court
abused
its
discretion
or
III
Alvarado also contends that the district court erred in
failing to instruct the jury that defendants should only be
held liable [under 841(b)(1)(C)] for the foreseeable results
of their actions.
United
States
v.
38
F.3d
139
(4th
Cir.
1994),
134
S.
Ct.
at
887.
When
analyzed
as
an
element,
He notes, for
instance, that the Supreme Court has held that, absent clear
congressional intent to the contrary, common law requires the
government to prove that the defendants actions were not only a
cause of the result, but also that the result was a foreseeable
16
one.
(Emphasis added).
U.S. 600, 606 (1994), he also points out that offenses that
require no mens rea generally are disfavored.
The government contends that Patterson remains good law,
noting that we continue to rely on it in unpublished opinions,
and
that
other
courts
of
appeals
have
similarly
interpreted
or
offense.
language,
not
served
as
an
element
of
the
841(b)(1)(C)
requirement.
of
imposes
its
role,
to
no
reasonable
conclude
that
foreseeability
We explained that
Id.
the
Supreme
Courts
Id.
decision
does
not
The
17
in
Staples
require
no
mens
rea
generally
are
disfavored
and
that
noted
in
Burrage,
principal elements:
the
crime
As the Supreme
charged
has
two
use
of
that
drug,
(footnote omitted).
distribution
of
841(b)(1)(C).
134
S.
Ct.
at
887
heroin
--
explicitly
includes
mens
rea.
38 F.3d at 145.
Rather, it serves
law
in
refusing
to
instruct
the
jury
that
See Cobb,
IV
Finally, Alvarado contends that the district court erred in
admitting hearsay that Thomas, the deceased declarant, had said
that he purchased heroin from Fat Boy, a name referring to
Alvarado.
protects
his
right
to
cross-examine
declarants
making
testimonial statements.
The government contends that the district court properly
admitted
the
testimony
statement-against-interest
about
Thomas
exception
statements
to
the
under
hearsay
the
rule
the
Confrontation
Clause
because
Thomas
made
the
is
supported
by
corroborating
admitted
unavailable,
under
(2)
this
the
circumstances
that
clearly
exception
statement
if
is
(1)
the
genuinely
declarant
adverse
to
is
the
United
the
trustworthiness
of
the
statements.
Rather,
he
argues that the second prong, which requires that the statements
be adverse to the declarants penal interest, was not satisfied.
With respect to that prong, he concedes that the portion of
Thomas statements in which he admitted to purchasing heroin was
nominally against [his] penal interest -- although barely so
because
Thomas
friends.
Boy
as
interest,
was
speaking
only
to
other
drug
users
and
drug
source
was
and
should
have
been
never
against
appropriately
(Emphasis added).
Thomas
penal
redacted
or
We need not,
adverse
to
Thomas
interest
to
fit
the
Rule
evidence
all
but
conclusively
confirms
that
only
Alvarado sold heroin to Thomas on the day of his death and that
Thomas injected that heroin soon thereafter, resulting in his
death.
For
example,
in
addition
to
Thomas
text-message
his
Thomas
on
custodial
the
day
interrogation,
of
the
fatal
that
he
sold
overdose.
And
heroin
the
to
heroin
packaging materials found near Thomas body were of the type and
color used by Alvarado and not other suppliers from whom Thomas
had
previously
confirmed
purchased
that
purchasing it.
Thomas
heroin.
used
heroin
Also,
multiple
almost
witnesses
immediately
after
he
purchased
heroin
from
Alvarado.
No
evidence
even
suggests that Thomas obtained the heroin from anyone other than
Alvarado
on
the
day
of
his
death.
On
this
record,
we
can
21
Confrontation
unpersuasive.
enjoy
the
That
right
against him.
interpreted
Clause
Clause
provides
to
be
Clause
as
is
also
that
the
accused
confronted
with
the
argument
shall
witnesses
prohibiting
the
admission
of
defendant
declarant.
(Where
had
prior
Crawford
testimonial
v.
opportunity
Washington,
evidence
is
at
to
541
cross-examine
U.S.
issue,
36,
.
prior
opportunity
for
68
that
(2004)
the
Sixth
unavailability
cross-examination).
While
the
evidence,
the
term
encompasses
such
things
as
also
Davis
(explaining
testimonial
there
is
purpose
events
no
of
v.
that
statements
when
.
the
Washington,
the
.
an
circumstances
ongoing
interrogation
potentially
in
547
relevant
U.S.
interrogation
objectively
emergency,
is
to
813,
to
later
and
criminal
(2006)
qualify
indicate
that
establish
822
Id.;
or
the
as
that
primary
prove
past
prosecution).
See United
States v. Jordan, 509 F.3d 191, 201 (4th Cir. 2007) (To our
knowledge, no court has extended Crawford to statements made by
a declarant to friends or associates) (citing cases from the
Second, Sixth, and Eighth Circuits); see also United States v.
Dargan, 738 F.3d 643, 650 (4th Cir. 2013) (Harvey made the
challenged statements to a cellmate in an informal setting -- a
scenario
far
afield
from
the
type
of
declarations
that
515
defendant]
F.3d
plainly
260,
did
270
not
(4th
think
Cir.
he
was
2008)
(Because
giving
any
[the
sort
of
telephone
calls,
the
admission
of
these
two
taped
23
For
the
reasons
given,
we
affirm
the
judgment
of
the
district court.
AFFIRMED
24
friends
judgment
in
against
the
Jean
majority
Paul
affirm
the
Alvarado,
who
district
was
courts
convicted
of
of
twenty
841(b)(1)(C)
years
for
resulted
in
district
courts
imprisonment
distributing
Thomass
death.
jury
pursuant
heroin
The
instructions
to
majority
Eric
as
to
to
21
Thomas
holds
the
U.S.C.
that
meaning
that
the
of
of
the
distributed
substance
were
adequate
and
that
the
am
persuaded
that
Alvarado
did
not
receive
the
under
841(b)(1)(C)
and
remand
with
instructions
without
new
trial
on
the
lesser
included
25
I.
Alvarado challenges, among other things, the adequacy of
the district courts jury instructions as to the meaning of the
statutory phrase results from.
instructed
the
jury
government
has
proved
resulted
from
when
distributed
use
J.A.
841(b)(1)(C)s
determine
reasonable
of
[a
This
that
results
Alvarado
inadequate
that
from
the
death
that
Alvarado
language
tracked
sentencing
contends
and
whether
doubt
substance
947.
substance.
were
must
a
requirement
death
instructions
it
beyond
the
distributed].
applies
that
the
enhancement
use
that
therefore
of
these
the
jury
erroneous
and
prejudicial.
A.
Whether
jury
question of law.
instructions
were
properly
given
is
116
decision
(4th
to
Cir.
give
1993)).
particular
We
ordinarily
instructions
review
and
the
courts
content
of
United States v.
Kivanc, 714 F.3d 782, 794 (4th Cir. 2013); United States v.
Russell, 971 F.2d 1098, 1107 (4th Cir. 1992).
The majority
courts
decision
not
26
to
clarify
or
supplement
its
instructions
in
response
to
the
jurys
questions
during
disagree
and
believe
that
review
for
abuse
of
discretion is warranted.
Prior
to
trial,
Alvarado
proposed
alternative
jury
The
district
and
court
denied
Alvarados
proposed
instructions
Alvarado expressly
in
instructing
the
jury
on
this
matter.
J.A.
487.
the
results
notwithstanding
later
declined
language.
jury
from
Alvarados
to
instruction
failure
elaborate
on
the
to
was
object
meaning
when
of
the
adequate,
the
court
statutory
instruction
before
the
jury
retires
may
challenge
the
225 (4th Cir. 2013) (Wynn, J., concurring in part and dissenting
in part) (citing United States v. Ruhe, 191 F.3d 376, 383 n.4
(4th Cir. 1999)); see also United States v. Williams, 81 F.3d
1321, 1325 (4th Cir. 1996) ([M]otions in limine may serve to
preserve issues that they raise without any need for renewed
objections
at
trial.);
Alvarados
objection
to
Fed.
the
R.
Evid.
adequacy
of
103(b).
the
Similarly,
results
from
for
appeal,
and
Alvarado
did
not
need
to
renew
this
B.
In
assessing
whether
the
district
court
abused
its
whether
the
jury
was
properly
instructed
on
the
Herder,
F.3d 390, 398 (4th Cir. 2006) (en banc) (quoting United States
v. Prince-Oyibo, 320 F.3d 494, 497 (4th Cir. 2003)).
The key
Kivanc, 714
F.3d at 794 (quoting Noel v. Artson, 641 F.3d 580, 586 (4th Cir.
2011)).
Alvarado
contends
that
the
jury
instructions
did
not
sentencing.
things,
In
whether
Burrage,
a
the
defendant
Court
may
considered,
among
convicted
under
be
Id.
at
886.
Acknowledging
that
the
Controlled
Id. at 88788.
The
death
. . .
defendant
cannot
be
liable
under
the
Id. at 892.
Thus,
mandatory
minimum
sentence
based
on
jury
See id.
his
trial,
which
merely
directed
30
the
jury
to
determine
whether
death
resulted
from
Thomass
use
of
heroin,
were
have
been
erroneous
because
they
precisely
stated
the
to
determine
whether
controlled substance.
death
resulted
from
the
use
of
See id.
the
I disagree.
relevant
inquiry
is
whether
the
jury
added)
(quoting
Noel,
641
at
586).
It
is
ingested heroin but might have died nonetheless from the effects
of other substances, a courts refusal to clarify the phrase
results
from
majority
explains
jury,
without
apply
the
might
become
that,
[i]n
clarifying
penalty
problem.
such
an
under
at
ambiguous
instruction,
enhancement
Ante
might
14.
scenario,
be
allowed
841(b)(1)(C)
The
even
Id. at 1415.
a
to
if
The
my
study
of
the
entire
record)
that
it
does,
while
the
A guilty
Although
the
Supreme
Court
indicated
that
the
phrase
its ordinary meaning, this meaning was far from clear to the
jury
in
expressed
Alvarados
its
requirement,
case.
In
confusion
even
though
as
the
fact,
to
the
the
district
jury
unmistakably
applicable
court
had
causation
tracked
the
J.A. 747.
Once the
the
jury
repeated
its
question:
The
jury
would
like
district
court
merely
pointed
the
J.A. 922.
jury
to
In response,
the
original
The jury in this case was not alone in recognizing that the
phrase results from is susceptible to multiple meanings.
In
Ct.
at
890
interpretation
(noting
of
that
results
the
from
government
under
had
which
use
See 134
urge[d]
of
an
drug
The
Id. at 891.
results
Before
the
Burrage,
from
Supreme
the
is
not
Court
Eighth
clear
without
granted
Circuit
further
certiorari
and
affirmed
the
had
explanation.
reversed
in
defendants
conviction in that case, holding that the district court had not
erred in instructing the jury that results from meant that the
controlled substance must have been a contributing cause of
the death.
Burrage,
Id. at 886.
Justice
Ginsburg,
joined
by
Justice
Sotomayor,
invoked
only
where
statutory
language
is
ambiguous,
in
F. Supp. 3d 1287, 1295 (D. Utah 2014) (In effect the Government
asks the Court to find the statutory interpretation skills of
the common layperson juror equal to those of Justice Scalia.
The Court is unable to make such a finding when this Court, the
district court in Burrage, and the Eighth Circuit, all failed to
correctly deduce the plain meaning of resulting from.).
fact,
the
instructions
plainly
did
confuse
the
jury
in
In
this
whole
adequate
in
and
assessing
not
whether
misleading,
the
see
jury
Kivanc,
instructions
714
F.3d
at
were
794;
Herder, 594 F.3d at 359, I also note that counsel on both sides
and testifying witnesses made statements throughout the trial
that easily could have led the jury to question the applicable
causation requirement.
of
Dr.
Gayle
Diphenhydramine
death?
before
Suzuki,
[i.e.,
the
government
Benadryl]
clarifying,
So
asked,
contribute
neither
the
to
Did
Eric
the
Thomas
alprazolam
[i.e.,
time,
contributed
to
Eric
Thomas
death[?]
J.A.
621.
of
the
heroin
in
causing
Thomass
death,
this
during
closing
arguments,
the
government
role
in
[Thomass]
cause
of
death.
J.A.
689.
As
the
government
explained,
Dr.
Suzuki
had
Xanax
diphenhydramine
played
absolutely
and
death.
It
was
the
heroin.
maintained
Id.
no
Indeed,
that
role
[t]he
in
during
this
cross-
J.A. 630.
As
these
sufficiency
comments
of
statements
the
could
heroin
also
to
in
have
highlight
causing
signaled
the
Thomass
to
the
independent
death,
these
jury,
even
not
death.
have
contributed
to,
or
played
role
in,
Thomass
course
of
action.
Even
though
the
government
also
including
these
statements
throughout
trial,
in
and
not
misleading.
By
failing
to
provide
any
manifest
causation,
confusion
struggle
the
that
district
had
arisen
with
court
the
statutory
did
during
not
the
requirement
alleviate
trial,
and
any
its
of
jury
limited
In explaining the
rationale
to
behind
841(b)(1)(C)
in
its
decision
its
to
adhere
instructions,
the
the
text
district
of
court
emphasized
that
it
found
persuasive
the
Seventh
Circuits
Id. at 94950.
or
confusing
objecting party.
F.3d at 586).
the
jury
to
the
prejudice
of
the
See
Moye,
its
454
F.3d
at
398
(By
definition,
39
court
abuses
discretion when it makes an error of law. (quoting PrinceOyibo, 320 F.3d at 497)).
case,
would
adequately
hold
inform[]
that
the
jury
of
instructions
the
did
controlling
not
legal
F.3d
at
794
(quoting
Noel,
641
F.3d
at
586),
and
the
II.
The
error
majority
in
giving
841(b)(1)(C)s
occurred
concludes
in
such
death
this
that,
limited
results
case
despite
the
jury
potential
for
instructions
on
requirement,
because
the
no
record
such
error
unequivocally
cause
of
Thomass
death.
In
other
words,
the
majority
As
erroneous
on
the
record
before
us,
explore
whether
Cir. 1998).
the trial. See Olano, 507 U.S. at 73435 (recognizing that the
defendant bears the burden of establishing that plain error was
prejudicial). Thus, the district court committed plain error in
providing these jury instructions.
41
Neder v.
results
element 6
merely
required
that
the
heroin
would
hold
that
the
error
was
not
harmless.
Stated
if
we
find
otherwise.
establish
that
harmless
beyond
Alvarados
the
a
Thus,
district
the
courts
reasonable
conviction
under
government
doubt,
has
instructional
and
we
841(b)(1)(C)
failed
error
to
was
could
vacate
this
basis.
on
merely
contributing
factor.
To
begin,
the
record
to
have
caused
Thomass
death.
For
instance,
five and ten bags of heroin each day, and the day he died was no
exception.
J.A. 619.
where the substance may start doing damage to the body, harming
certain systems in the body, but it had not reached the level
associated with knowing [the substance] to have caused death.
J.A. 579.
for heroin such that he could have ingested much more of the
drug before truly reaching a level that was toxic to him.
Both
doctors who testified at trial stated that they had found the
morphine in Thomass system to be at a toxic level based on
standard
charts
that
do
not
account
conclusion
that
the
heroin
in
for
an
individuals
system,
while
that
combination
of
Alvarado
Xanax
had
and
only
heroin
recently
and
that
Shaugnessey
begun
injecting
doing
so
prompted
44
J.A. 415.
in
combination
with
Benadryleven
at
the
relatively
low
death.
testified
Dr.
that
David
Burrows,
injecting
the
forensic
substance
rather
toxicologist,
than
orally
breathing
synergistic
and
effects
heartbeat,
as
the
two
J.A. 58990.
can
have
drugs
additive
compound[]
to
and
J.A. 593.
testimony
and
disregard
it
if
the
jury
found
it
unreliable.
this point:
upon it.
J.A. 935.
concluding
basis.
otherwise
and
convicting
on
an
alternative
rational
jury
would
have
reached
the
same
outcome
had
it
cause
of
Thomass
841(b)(1)(C)s
penalty
death
and
enhancement
improperly
upon
finding
triggered
that
heroin
determining
otherwise,
the
majority
indicates
that
Ante at 2, 14.
bears
charged
the
and
burden
must
of
proving
persuade
the
all
elements
factfinder
of
the
beyond
re
Winship,
397
U.S.
358,
46
35964
(1970)
(discussing
the
charged
with
distributing
merely
contributed
to
Thomass
on
its
determination
of
Dr.
Suzukis
credibility.
cause
nor
but-for
cause
of
Thomass
death.
there
is
one
additional
consideration
in
this
case
The
The indictment
convicting
after
its
repeated
requests
of
the
court
n.3.
provide
In
the
the
help
face
the
of
the
jury
courts
was
serial
desperately
refusals
seeking,
for
Cf.
to
few
under
841(b)(1)(C)
and
remand
with
instructions
without
new
trial
on
the
lesser
included
626 F.3d 756, 760 (4th Cir. 2010); see also United States v.
Blue, 808 F.3d 226, 237 (4th Cir. 2015) (recognizing that it is
within
our
included
power
offense
to
direct
when
entry
vacating
of
judgment
greater
on
offense
lesser
if
the
the
jury
v.
insufficient
actually
Ford,
750
evidence
found
F.3d
of
952
(citations
(8th
causation
United
Cir.
2014)
and
remanding
omitted));
(finding
for
majoritys
determination
that
no
49
other
error
infected
the