Opinion ID: 710261
Heading Depth: 3
Heading Rank: 3

Heading: Admission of Lipp's Prior Convictions

Text: 81 Appellant Lipp contests the admission at trial of journal entries detailing his prior felony convictions. 14 We review the district court's decision whether to admit evidence of a defendant's prior crimes for abuse of discretion. United States v. Brinklow, 560 F.2d 1003, 1006 (10th Cir.1977), cert. denied, 434 U.S. 1047, 98 S.Ct. 893, 54 L.Ed.2d 798 (1978). 82 Lipp was charged in Counts 3, 10 and 15 of the indictment with being a felon in possession of a firearm in violation of 18 U.S.C. Sec. 922(g)(1). This statute makes it unlawful for any person ... who has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year ... to ... possess in or affecting commerce, any firearm or ammunition. Id. At trial, the government offered the journal entries to prove an essential element of the crime under section 922(g)(1)--i.e., that Lipp was a convicted felon. Lipp objected to the admission of the journal entries and offered to stipulate to the fact of his prior convictions. When the government refused to accept the stipulation, the district court overruled Lipp's objection and allowed the government to introduce the evidence. Lipp contends this was an abuse of discretion. 83 The government argues that this issue is controlled by our prior decision in Brinklow. In Brinklow, we held that the trial court did not abuse its discretion by refusing a defendant's request to strike from the indictment and keep from the jury all references to his previous felony convictions. 560 F.2d at 1006. Recognizing that a prior felony conviction is an essential element of the offense, we held that the government is not required to accept such [a stipulation] and may insist upon proving all essential elements of its case. Id. Although we remain faithful to our opinion in Brinklow, we do not believe that it is determinative of the case before us. 84 Lipp's request differs from the situation in Brinklow. In Brinklow, the defendant proposed that [the] jury instructions specify only those essential elements of the crime other than that of a previous felony conviction and that the jury be instructed that there were additional necessary elements with which they did not need to be concerned. 560 F.2d at 1006. By contrast, Lipp's stipulation did not seek to keep from the jury the fact of his felony status, but only the nature and underlying circumstances of his prior crimes. We believe this distinction to be significant. 85 Whereas the fact of a defendant's prior felony conviction is material to a felon in possession charge, the nature and underlying circumstances of a defendant's conviction are not. See United States v. Barker, 1 F.3d 957, 959 n. 3 (9th Cir.1993) (The underlying facts of the prior conviction are completely irrelevant under Sec. 922(g)(1) ...), amended on denial of reh'g, 20 F.3d 365 (9th Cir.1994). The details of the defendant's prior crime do not make it more probable or less probable that the defendant is a convicted felon. See Fed.R.Evid. 401. Rather, this information tends only to color the jury's perception of the defendant's character, thereby causing unnecessary prejudice to the defendant. See Fed.R.Evid. 403 (evidence must be excluded if its probative value is substantially outweighed by the danger of unfair prejudice). At the same time, excluding only the nature and circumstances of a defendant's prior felony conviction does not prevent the jury from being apprised of the offense charged and all of its attendant elements, [including the element of a prior felony conviction], Brinklow, 560 F.2d at 1006, nor does it impinge on the government's right to prove all essential elements of its case. See United States v. Tavares, 21 F.3d 1, 3 (1st Cir.1994) (en banc ) (A decision to honor a stipulation concerning the predicate crime in a felon-in-possession case in no way trenches upon the right of the prosecution to make a full presentation of the crime currently charged.). 86 The majority of the circuits that have addressed this issue agree with the foregoing analysis and hold that evidence concerning the nature of the predicate crime in a felon in possession case is irrelevant and prejudicial. Such evidence should therefore be excluded if possible by use of a redacted record, stipulation, affidavit, or other similar technique whereby the jury is informed only of the fact of a prior felony conviction, but not of the nature or substance of the conviction. See United States v. Jones, 67 F.3d 320, 324-25 (D.C.Cir.1995); United States v. Palmer, 37 F.3d 1080, 1084 (5th Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 1804, 131 L.Ed.2d 730 (1995); United States v. Rhodes, 32 F.3d 867, 870-71 (4th Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 1130, 130 L.Ed.2d 1092 (1995); United States v. Tavares, 21 F.3d 1, 3 (1st Cir.1994) (en banc ); United States v. Barker, 1 F.3d 957, 959 n. 3 (9th Cir.1993), amended on denial of reh'g, 20 F.3d 365 (9th Cir.1994); United States v. Gilliam, 994 F.2d 97, 103 (2d Cir.), cert. denied, --- U.S. ----, 114 S.Ct. 335, 126 L.Ed.2d 280 (1993). See also United States v. Dockery, 955 F.2d 50 (D.C.Cir.1992) (ordering severance of felon-in-possession charge where government refused to enter into a stipulation that advises the jury merely of the fact of the former conviction). 15 Today we hold that where a defendant offers to stipulate as to the existence of a prior felony conviction, the trial judge should permit that stipulation to go to the jury as proof of the status element of section 922(g)(1), or provide an alternate procedure whereby the jury is advised of the fact of the former felony, but not its nature or substance. See Tavares, 21 F.3d at 4 (citing other non-prejudicial alternatives). Correspondingly, in those situations where the defendant is willing to concede the existence of the prior felony conviction, the trial judge should ordinarily preclude the government from introducing any evidence as to the nature or substance of the conviction, as the probative value of this additional information generally will be overshadowed by its prejudicial effect under Federal Rule of Evidence 403. 87 Applying these principles to the present case, we conclude that the district court abused its discretion when, in spite of Lipp's offer to stipulate to the fact of his prior convictions, it admitted the journal entries into evidence. Lipp's proposed stipulation did not attempt to keep from the jury the fact that he was a convicted felon, nor did it seek to preclude the jury from deciding the prior conviction element of the crime. Rather, the stipulation sought only to limit the prejudice that would result from the jury being informed that Lipp had been convicted of murder and possession with intent to distribute marijuana. The government offered Lipp's prior convictions for the sole purpose of proving the status element of section 922(g)(1), and because the proffered stipulation would have satisfied this element, the additional prejudicial information regarding the nature of Lipp's prior crimes should have been excluded under Rule 403. 88 We emphasize that our holding is driven primarily by the unique nature of section 922(g), and our analysis is therefore limited to this type of case. The D.C. Circuit has expressed concern that in cases growing out of narcotics trafficking, the Government is free to charge an ex-felon firearms count together with other counts, thereby permitting the jury to hear otherwise inadmissible evidence regarding a defendant's prior conviction. United States v. Dockery, 955 F.2d 50, 50 (D.C.Cir.1992). We too recognize that section 922(g) represents a significant departure from the traditional rules of fairness concerning the admission of prior crimes evidence. However, nothing in today's opinion should be read as limiting the prosecutor's ability to present a full picture of a prior crime when it has relevance independent of simply proving prior-felony status for section 922(g)(1). 16 As the First Circuit has stated: 89 We fully concede the government's right to present to the jury a picture of the events relied upon, including proof of all elements of the crime for which the defendant has been brought to trial. The prosecution ordinarily may not be forced to eliminate gruesome details of a killing, the quantity of drugs, or the degree of malevolence exhibited by the defendant through a defense-proffered stipulation. 90 Tavares, 21 F.3d at 3 (citations and internal quotation marks omitted). Thus, the prosecution retains broad discretion to introduce the underlying circumstances of a crime when those circumstances are truly relevant to the presentation of the case. 91 Although we conclude that the admission of the journal entries in this case was erroneous, this does not end our inquiry, as we must now determine whether this error was harmless. Fed.R.Crim.P. 52(a). In conducting a harmless error analysis, this Court reviews the record de novo. United States v. Perdue, 8 F.3d 1455, 1469 (10th Cir.1992). Because Lipp did not assert a constitutional violation at trial, the error is deemed harmless unless it had a 'substantial influence' on the outcome or leaves one in 'grave doubt' as to whether it had such effect. United States v. Flanagan, 34 F.3d 949, 955 (10th Cir.1994) (quoting Kotteakos v. United States, 328 U.S. 750, 765, 66 S.Ct. 1239, 1248, 90 L.Ed. 1557 (1946)). 92 After reviewing the record, we believe the prejudice to Lipp in admitting the journal entries was slight in comparison to the overwhelming evidence of guilt. The government here properly curtailed its use of the prior crimes evidence; it did not parade Lipp's convictions before the jury or exploit them in any prejudicial fashion. Compare Dockery, 955 F.2d at 51 (government presented evidence of defendant's prior conviction on five separate occasions). On the other hand, the government presented abundant evidence at trial of Lipp's guilt on the conspiracy, distribution and firearms counts. Lipp was arrested after a search of his truck yielded a loaded 9 mm handgun, processed marijuana, and various items associated with marijuana harvesting. In addition, government witnesses at trial fully implicated Lipp as a participant in the harvesting operation and an important member of the conspiracy. 17 In light of this evidence, we cannot say that the erroneous admission of the specific nature of Lipp's prior convictions had a substantial influence on the outcome of this case, or that we are in grave doubt about such an effect. Flanagan, 34 F.3d at 955. Thus, we conclude that any error in admitting the journal entries was harmless. See United States v. Sloan, 65 F.3d 861, 865 (10th Cir.1995) (Where the evidence against a defendant is overwhelming, any error in mentioning a defendant's criminal record is harmless.); United States v. Laymon, 621 F.2d 1051, 1053 (10th Cir.1980) (in a prosecution under the predecessor statute to 18 U.S.C. Sec. 922(g), finding harmless error in view of the ample evidence of [defendant's] guilt where the jury was informed that the defendant's prior conviction was for shooting a town marshal). E. Improper Amendment of the Indictment 93 Appellant Cooley argues that his conviction on Count 7 of the superseding indictment for using a firearm in relation to a drug trafficking crime must be reversed on the ground that the district court improperly amended the indictment by submitting a nonconforming verdict form to the jury. Although we reverse and remand the trial defendants' conviction on Count 7 in light of Bailey v. United States, --- U.S. ----, 116 S.Ct. 501, 133 L.Ed.2d 472 (1995), see supra Part II.A., we address the improper amendment issue insofar as it may be relevant on retrial. 94 Count 7 of the indictment charged that Cooley and his coconspirators used Edith Wacker's .22 caliber pistol during and in relation to either the conspiracy charged in Count 1 of the indictment or the possession charge as charged in Count 4. The verdict form returned by the jury on Count 7 read as follows: 95 5. We, the jury, impaneled and sworn, hereby answer the following question propounded by the Court: 96 Do you find the defendant, Leroy Allen Cooley, not guilty or guilty as to count seven of the superseding indictment? 97 (check one) Not Guilty ---- Guilty X 98 ---- 99 If your answer to question five is guilty, indicate which crime or crimes you find that the defendant used the firearm during and in relation to: 100 (check one) Count 1 ---- 101 Count 4 ---- Count 1 and Count 4 X 102 ---- 103 (R.O.A. Vol. IV, Doc. 352). Cooley contends that the district court's use of this verdict form constructively amended the indictment by giving the jury an additional choice--that is, it permitted the jury to find that Cooley used the gun in connection with Count 1 and Count 4, whereas the indictment alleged only that he used the gun in connection with Count 1 or Count 4. 104 Cooley is correct that the Fifth Amendment forbids amendment of an indictment by the court, whether actual or constructive. United States v. Mosley, 965 F.2d 906, 915 (10th Cir.1992). However, the Constitution does not forbid all amendments of an indictment, but only those that effectively subject a defendant to the risk of conviction for an offense that was not originally charged in the indictment. Id. We do not believe that the verdict form's slight deviation from the language of the indictment violated Cooley's rights under the Fifth Amendment. Because the jury concluded that Cooley used the firearm in connection with both Counts 1 and 4, the jury clearly found Cooley guilty as charged in Count 7. The verdict form used by the trial court did not expand the scope of the indictment or expose Cooley to additional charges. Accordingly, we reject Cooley's argument that the verdict form improperly amended the indictment. F. Constitutional Challenges 105 Appellant John Wacker argues that the section of the Comprehensive Drug Abuse Prevention and Control Act of 1970 under which he was convicted, 21 U.S.C. Sec. 841(a)(1) (the Drug Act), impermissibly regulates intrastate activities which do not substantially affect interstate commerce, in violation of the Tenth Amendment. Although he does not cite United States v. Lopez, --- U.S. ----, 115 S.Ct. 1624, 131 L.Ed.2d 626 (1995), we assume that he asks us, in light of that recent decision, to reconsider our holding in United States v. King, 485 F.2d 353, 356 (10th Cir.1973), that 21 U.S.C. Sec. 841(a)(1) is constitutional. 106 This argument was recently rejected by the Fourth Circuit, see United States v. Leshuk, 65 F.3d 1105, 1111-12 (4th Cir.1995), and we agree that it is without merit. In Lopez, the Supreme Court struck down the Gun-Free School Zones Act of 1990, a congressional act making it a crime knowingly to possess a gun in a school zone. The Court noted that the Act by its terms had nothing to do with 'commerce' or any sort of economic enterprise, and that Congress had made no express findings regarding the effect on interstate commerce of possessing a gun in a school zone. Lopez, --- U.S. at ---- - ----, 115 S.Ct. at 1630-32. In contrast, the conduct regulated by the Drug Act clearly implicates interstate commerce, and Congress made explicit findings explaining the conduct's substantial and direct effect upon interstate commerce. 21 U.S.C. Sec. 801(3)-(6). The case at bar is, in fact, an example of the interstate impact of conduct regulated by the Drug Act: the evidence indicates that the drugs produced in Kansas were to have been sold in New York. We therefore hold that Lopez does not alter our previous conclusion that 21 U.S.C. Sec. 841(a)(1) is constitutional. 18 107 John Wacker further argues that the Act cannot constitutionally be applied to him because the sections under which he was convicted apply exclusively to manufacturers, dispensers, distributors, and others who are required to be licenced or registered. This argument is also without merit. The statute on its face applies broadly to any person and the case law has universally interpreted it as so applying. See, e.g., United States v. Fellman, 549 F.2d 181, 182 (10th Cir.1977) (Congress intended the statute to reach any person who deals in controlled substances without authorization).