Source: https://law.justia.com/cases/federal/appellate-courts/F3/167/965/527650/
Timestamp: 2019-05-19 11:10:51
Document Index: 302981553

Matched Legal Cases: ['§ 841', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924', '§ 924']

United States of America, Plaintiff-appellee/cross-appellant, v. Johnnie Edgar Warwick, Defendant-appellant/cross-appellee, 167 F.3d 965 (6th Cir. 1999) :: Justia
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United States of America, Plaintiff-appellee/cross-appellant, v. Johnnie Edgar Warwick, Defendant-appellant/cross-appellee, 167 F.3d 965 (6th Cir. 1999)
US Court of Appeals for the Sixth Circuit - 167 F.3d 965 (6th Cir. 1999)
Argued Dec. 9, 1998. Decided Feb. 10, 1999
On December 3, 1996, a federal grand jury in the Eastern District of Tennessee returned a twelve-count indictment against Warwick charging him with eight counts of distributing marijuana in violation of 21 U.S.C. § 841(a) (1), and four counts of using or carrying a firearm during and in relation to drug-trafficking offenses in violation of 18 U.S.C. § 924(c).
Warwick agreed to a bench trial pursuant to Fed. R. Crim. P. 23(a). At the conclusion of proof, Warwick pled guilty to all counts charging him with distribution of marijuana, and the district court took the remaining four counts (3, 5, 8 and 12), charging violations of 18 U.S.C. § 924(c), under advisement. On July 17, 1997, the district court filed a judgment and accompanying memorandum finding Warwick guilty on counts 3, 5 and 8, but not guilty on count 12, inasmuch as "count 12 [was] based on ... 'outrageous' conduct by the government" in violation of due process. This appeal and cross-appeal followed.
Warwick contends on appeal that the government did not present sufficient evidence to support a finding that he carried a firearm in relation to a narcotics sale as to each of counts 3, 5 and 8 of the indictment. The standard of review for challenges to sufficiency of the evidence is "whether, after reviewing the evidence in the light most favorable to the prosecution, 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, 99 S. Ct. 2781, 61 L. Ed. 2d 560 (1979). "A defendant claiming insufficiency of the evidence bears a very heavy burden.... Circumstantial evidence alone is sufficient to sustain a conviction and such evidence need not remove every reasonable hypothesis except that of guilt." United States v. Vannerson, 786 F.2d 221, 225 (6th Cir. 1986) (internal citations and quotations omitted).
Section 924(c) (1) imposes a minimum five-year term of imprisonment upon a person who "during and in relation to any crime of violence or drug trafficking crime ... uses or carries a firearm." Therefore, under § 924(c) (1), the government must prove that Warwick: (i) carried or used a firearm; (ii) during and in relation to a drug trafficking crime.
The government does not contend that Warwick "used" a firearm in connection with a marijuana sale as to counts 3, 5 and 8 of the indictment. However, Warwick does not dispute that he "carried" a firearm within the meaning of the statute during these marijuana sales. On each of these occasions Warwick had on his person a loaded firearm during the narcotics transaction. See United States v. McRae, 156 F.3d 708, 712 (6th Cir. 1998) (upholding the defendant's conviction under "carry" prong of § 924(c), where the government presented evidence that the defendant had a rifle close enough to grab and then physically transported the rifle and the drugs within the house).
However, Warwick argues that the evidence was insufficient to prove that he carried the firearms "in relation to" the drug trafficking offenses, as required by statute. To establish that a firearm was carried "in relation to" a drug trafficking offense, the evidence must support a finding that the firearm furthered the purpose or effect of the crime and that its presence or involvement was not the result of coincidence. See Smith v. United States, 508 U.S. 223, 238, 113 S. Ct. 2050, 124 L. Ed. 2d 138 (1993). Giving the "in relation to" element a broad reading, the Supreme Court concluded that the element is met if the gun facilitates or has the potential of facilitating the drug trafficking offense. See id.
Therefore, in determining whether a firearm was carried in relation to a narcotics sale, this Court does not focus solely on the defendant's specific intentions as he engaged in the drug trafficking offense. See United States v. Brown, 915 F.2d 219, 226 (6th Cir. 1990). Rather, we examine "the totality of the circumstances surrounding the commission of the crime: the emboldened sallying forth, the execution of the transaction, the escape, and the likely response to contingencies that might have arisen during the commission of the crime." See id. Thus, a conviction under § 924(c) (1) will withstand appellate review if the evidence is sufficient to support a finding that the defendant intended to have the firearm available for use during or immediately following the transaction, or if it facilitated the crime by emboldening the defendant. See id. The defendant's sole purpose in carrying the firearm need not have been facilitation of the drug trafficking crime. See id.
We reject Warwick's argument that his § 924 convictions must be reversed as to counts 3, 5 and 8 of the indictment simply because he might have also carried the firearms for the purpose of sale or display. Evidence that Warwick sought to sell or display these firearms does not preclude a finding that the firearms also were intended to facilitate the marijuana sales. "The fact that a gun is treated momentarily as an item of commerce does not render it inert or deprive it of destructive capacity. Rather, as experience demonstrates, it can be converted instantaneously from currency to cannon." Smith, 508 U.S. at 240, 113 S. Ct. 2050. See also Brown, 915 F.2d at 226 (stating that defendant's sole purpose in carrying the firearm need not have been facilitation of drug trafficking crime).
First, Warwick does not dispute that on each of the three occasions he carried with him a loaded weapon during the marijuana transaction. Warwick unloaded the firearms only after completion of the narcotics transaction, before handing the guns over to the undercover officer for inspection or as part of a firearm sale. Because the sale or display of these weapons did not require that they be loaded, the fact that each weapon was loaded only before and during the narcotics transaction--when the marijuana was in Warwick's possession--supports a finding that these weapons were carried "in relation to" the narcotics transaction. See, e.g., McRae, 156 F.3d at 712 (finding that evidence that the defendant had a rifle and drugs together and close enough to grab when police entered the premises supported a finding that the rifle was used or carried "during and in relation to" a drug trafficking crime); United States v. Washington, 127 F.3d 510, 515 (6th Cir. 1997) (holding that a reasonable juror could infer that a firearm in the console of the defendant's car during a drug transaction made in the vehicle was carried "during and in relation to" the offense).4
Second, the government introduced statements made by Warwick indicating that, if endangered, he was prepared to use a firearm to protect himself. When discussing a fight he had the previous night, Warwick stated that had the fight continued, he would have "blowed [his opponent] out one." The government presented evidence that during that same conversation, after Officer Lipscomb stated, " [t]hat's a nice gun right there," Warwick gestured to the gun and stated: "Right there's what I use if I have to. That mother fucker right there." Warwick's comments suggest that if a narcotics transaction were to become threatening, he was prepared to respond with use of a firearm. See, e.g., Fair v. United States, 157 F.3d 427, 431 (6th Cir. 1998) (holding that the evidence was sufficient to support a finding that the defendant carried a weapon "in relation to" the underlying narcotics transaction where his accomplice "had previously warned one of the undercover buyers that [the defendant] was not afraid to use his guns, clearly implying that [the defendant] would enforce the deal with violence if necessary").
Fourth, when Warwick was apprehended by the police, he reached into his pocket in an attempt to access the stun gun he was carrying. Although stun guns are not covered under § 924(c) (1), Warwick's action suggests that on those occasions when he was carrying a § 924(c) firearm, he was prepared to use it in an effort to evade arrest. See, e.g., United States v. Wilson, 884 F.2d 174, 177 (5th Cir. 1989) (holding that the evidence was sufficient to show that the defendant's pistol was carried "in relation to" drug trafficking where, among other things, the defendant reached for his pistol when the police approached).
Under the outrageous government conduct defense, a defendant argues that the government's involvement in creating his crime (i.e., the means and degrees of inducement) was so great "that a criminal prosecution for the [crime] violates the fundamental principles of due process." United States v. Russell, 411 U.S. 423, 430, 93 S. Ct. 1637, 36 L. Ed. 2d 366 (1973). The defendant thus must establish that the police misconduct rises to the level of a constitutional violation.
The outrageous government conduct defense is distinct from the affirmative defense of entrapment, which requires the defendant to establish that he was not predisposed to commit the crime. See United States v. Tucker, 28 F.3d 1420, 1422 (6th Cir. 1994). Under the outrageous government conduct defense, conviction may be improper even if the evidence establishes a predisposition to commit the crime: this defense looks only at the government's conduct and determines whether it is sufficiently outrageous so as to violate the Constitution. See United States v. Sneed, 34 F.3d 1570, 1576 (10th Cir. 1994).
Since Tucker, we have consistently rejected defendants' attempts to argue that the government's conduct in inducing them to commit the crimes charged was so outrageous as to deprive them of their constitutional rights. See, e.g., United States v. Rogers, 118 F.3d 466, 473 (6th Cir. 1997) (noting that a defense that sounds in inducement is limited to entrapment and, under Tucker, does not implicate due process); United States v. Branham, 97 F.3d 835, 852 (6th Cir. 1996) (noting that Tucker "rejected the 'due process' defense sounding in inducement," and therefore refusing to consider the defendant's claim of outrageous government conduct).
The district court acknowledged Tucker and its progeny, but instead seized upon language in United States v. Pipes, 87 F.3d 840 (6th Cir. 1996). In Pipes, the defendant was arrested following a reverse sting operation during which he purchased forty-two pounds of marijuana from undercover officers. However, the officers had failed to comply with a state statute that requires prior judicial approval before seized contraband may be used in a reverse sting operation. The defendant argued that the officers' statutory violation constituted outrageous government conduct that violates due process.
Warwick claims that Officer Lipscomb's conduct was outrageous not because it broke the law (as in Pipes), but because the undercover officer's involvement in creating his crime was so significant that criminal prosecution violates due process. This is precisely the defense that this Court has refused to consider since Tucker. See, e.g., United States v. Mack, 53 F.3d 126 (6th Cir. 1995) (refusing to consider the defendant's outrageous government conduct defense to a felon in possession of a firearm prosecution where the informant allegedly requested that the defendant bring a gun to a prearranged meeting). As a result, under the law of this Circuit, the district court was precluded from considering Warwick's due process defense of inducement in dismissing count 12 of the indictment.
We nonetheless affirm the district court's ruling as to count 12. In response to the government's cross-appeal, Warwick argues that even if the district court erred in applying the "outrageous government conduct" defense, his mere receipt of the shotgun as payment for drugs did not constitute a "use" under § 924(c) (1). In Bailey v. United States, 516 U.S. 137, 116 S. Ct. 501, 133 L. Ed. 2d 472 (1995), the Supreme Court held that under § 924(c) (1) the government must present evidence sufficient to show active employment of the firearm by the defendant. See Bailey, 516 U.S. at 143, 116 S. Ct. 501. Warwick argues that his mere acceptance of the shotgun fell far short of "active employment," and, therefore, the evidence was insufficient to support a finding that he "used" a firearm within the meaning of the statute as to count 12.
We believe that Warwick's conduct with respect to count 12 does not fall within the active-employment understanding of "use" set forth in Bailey. The defendant in Bailey was convicted under the "use" prong of § 924(c) (1) based upon evidence that he had a gun in the trunk while transporting drugs and drug proceeds in his car. The Court looked to the word's commonly understood definitions to determine whether the defendant's conduct fell under the statute. "The word 'use' in the statute must be given its 'ordinary or natural' meaning, a meaning variously defined as ' [t]o convert to one's service,' 'to employ,' 'to avail oneself of,' and 'to carry out a purpose or actions by means of.' ... These various definitions of 'use' imply action and implementation." Bailey, 516 U.S. at 145, 116 S. Ct. 501 (quoting Smith, 508 U.S. at 228-29, 113 S. Ct. 2050) (internal citations omitted). The Court thus held that "924(c) (1) requires evidence to show an active employment of the firearm by the defendant, a use that makes the firearm an operative factor in relation to the predicate offense."6 Id. at 143, 116 S. Ct. 501.
It does not appear that Warwick "used" or "actively employed" the shotgun under the ordinary or natural meanings of the terms. A defendant who does nothing more than accept a weapon offered to him by an undercover officer cannot be said to "actively" do anything with that weapon because receipt and acceptance is inherently passive conduct. In United States v. Westmoreland, 122 F.3d 431 (7th Cir. 1997), the Seventh Circuit found that such passive receipt--particularly where the defendant did not introduce the gun into the transaction--does not constitute "active employment" of a firearm under the ordinary or natural meaning of the term. The defendant in Westmoreland was convicted under the "use" prong of § 924(c) (1) after accepting guns from an undercover officer in exchange for drugs. As here, the government agent introduced the gun into the transaction rather than the defendant requesting the gun as payment for the drugs. See id. at 436 n. 1. The court reasoned:
Under Bailey, "use" requires some active employment of the firearm by the defendant. No matter how we phrase the events of this transaction, the defendant is on the passive side of the bargain. He received the gun. He was paid with the gun. He accepted the gun. But in no sense did he actively "use" the gun. If [the agent] had paid for the gun with a $100 bill, we would not say that [the defendant] "used" $100 in selling his gun to [the agent]. A seller does not "use" a buyer's consideration. The only person actively employing the gun in this transaction is the government agent. In fact, [the agent] testified that he purposefully introduced the gun into the transaction for the purposes of setting up a conviction on the particular offense defined in section 924(c) (1).
Similarly, in the case at bar, the government presented no evidence that Warwick, himself, affirmatively utilized the shotgun in connection with the marijuana sale. In those cases where acquiring a firearm in exchange for drugs was held to constitute a "use" of the firearm under § 924(c) (1), the defendant was the one who actively devised the plan of providing drugs in exchange for firearms. See United States v. Ulloa, 94 F.3d 949, 955-56 (5th Cir. 1996) (finding that the defendant "actively employed" firearms in connection with his drug trafficking offenses where he "required that he be furnished firearms in exchange for his drugs"); United States v. Cannon, 88 F.3d 1495, 1508-09 (8th Cir. 1996) (finding that the "Defendants 'used' the machine gun when they proposed to the agents that the Defendants' drugs be traded for weapons, and then obtained the weapons in trade"). These defendants "actively employed" the firearms because they were the ones who injected the firearms into the equation in an effort to facilitate the drug trafficking crime.
However, the record of this case makes clear that Warwick did not propose any exchange of drugs and guns, but instead only agreed to Officer Lipscomb's last-minute proposal to accept the shotgun as partial payment for the marijuana. It was Officer Lipscomb, not Warwick, who "ma [de] the firearm an operative factor in relation to the predicate offense." Bailey, 516 U.S. at 143, 116 S. Ct. 501. Under these circumstances, we hold that Warwick's passive acceptance of the shotgun did not constitute a "use" within the meaning of § 924(c) (1), and, therefore, the district court properly dismissed count 12 of the indictment.
Although bartering is one of the uses prohibited by 18 U.S.C. § 924(c), Smith v. United States, 508 U.S. 223, 113 S. Ct. 2050, 124 L. Ed. 2d 138 (1993), Warwick was not charged with this offense
Although the district court's judgment entered a "not guilty" verdict as to count 12, we alternately refer to the district court's ruling as a dismissal of count 12. Prior cases concerning the outrageous government conduct defense suggest that the proper remedy would be to dismiss the indictment where conviction of the defendant, even if he was in fact guilty of the offense charged, would violate due process. See, e.g., United States v. Tucker, 28 F.3d 1420 (6th Cir. 1994); United States v. Qaoud, 777 F.2d 1105 (6th Cir. 1985); United States v. Leja, 563 F.2d 244 (6th Cir. 1977)
The Court explained that while its active-employment understanding of "use" excludes mere possession, it includes "brandishing, displaying, bartering, striking with, and most obviously, firing or attempting to fire, a firearm." Id. at 148, 116 S. Ct. 501