Opinion ID: 526743
Heading Depth: 2
Heading Rank: 1

Heading: Admissibility of the Other Acts Evidence

Text: 35 We share appellant's concern about the danger of unfair prejudice associated with the use of similar acts evidence. In determining whether to allow admission of such evidence, district courts must exercise great care to ensure that juries are not permitted to conclude that because a defendant has committed a similar crime before, he or she therefore has a criminal propensity sufficient to justify conviction in the case at hand. See United States v. Mohel, 604 F.2d 748, 751 (2d Cir.1979) (quoting United States v. O'Connor, 580 F.2d 38, 43 (2d Cir.1978), and United States v. Manafzadeh, 592 F.2d 81, 86 (2d Cir.1979)). Upon careful review of the record, we conclude that the district court in this case did not safeguard against this danger, and the judgment of conviction must be reversed. Fed.R.Evid. 404(b) provides that: 36 Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident. 37 Under the 'inclusionary' or 'positive' approach to other acts evidence that controls in this Circuit, other acts or crimes are admissible under Rule 404(b) to prove matters other than the defendant's criminal propensity. United States v. Ortiz, 857 F.2d 900, 903 (2d Cir.1988), cert. denied, --- U.S. ----, 109 S.Ct. 1352, 103 L.Ed.2d 820 (1989). 38 The standards by which a district court is to assess the admissibility of other acts evidence under Rule 404(b) are now well established. See, e.g., Huddleston v. United States, 485 U.S. 681, ----, 108 S.Ct. 1496, 1501-02, 99 L.Ed.2d 771 (1988). First, the trial court must determine whether the evidence is offered for a proper purpose, namely, a purpose other than to prove the defendant's bad character or criminal propensity. Examples of such proper purposes include those listed specifically in Rule 404(b), among these being intent. If the evidence is offered for such a proper purpose, the district court then must determine whether [t]he offered evidence [is] relevant, per Rules 401 and 402, to an issue in the case, and [whether] the evidence ... satisf[ies] the probative-prejudice balancing test of Fed.R.Evid. 403. Ortiz, 857 F.2d at 903. Finally, if requested to do so, the court must give an appropriate limiting instruction to the jury. See Huddleston, 485 U.S. at ----, 108 S.Ct. at 1501-02; Ortiz, 857 F.2d at 903. 39 The government contends that the district court correctly admitted the testimony as evidence of Colon's intent, a proper purpose under Rule 404(b). This appeal raises the question whether the similar acts evidence was relevant to an issue in this case. Colon's argument is that the district court erred in admitting the evidence because Colon's state of mind was not truly in dispute. 40 Strictly speaking, Colon's plea of not guilty to the charge that he aided and abetted Alvarado's sale of heroin put his state of mind in dispute, as the government bore the burden of proving that Colon had the specific intent that his actions bring about the sale. See United States v. Aiello, 864 F.2d 257, 262-63 (2d Cir.1988) (quoting United States v. Wiley, 846 F.2d 150, 154 (2d Cir.1988) (in turn quoting United States v. Zambrano, 776 F.2d 1091, 1097 (2d Cir.1985))). Nevertheless, in some circumstances, the nature of a defense put forth by the defendant may reveal that [k]nowledge and intent, while technically at issue, [are] not really in dispute. United States v. Benedetto, 571 F.2d 1246, 1249 (2d Cir.1978). In some cases, the defendant may specifically offer to stipulate to an issue and thereby remove it from the case. See Mohel, 604 F.2d at 752-54; Manafzadeh, 592 F.2d at 87. 41 As we stated in United States v. Figueroa, 618 F.2d 934, 942 (2d Cir.1980): 42 Whether an issue remains sufficiently in dispute for similar acts evidence to be material and hence admissible, unless the prejudicial effect of the evidence substantially outweighs its probative value, depends not on the form of words used by counsel but on the consequences that the trial court may properly attach to those words. 43 Reaffirming this approach in Ortiz, we recognized that 44 a defendant may completely forestall the admission of [the] other act evidence on the issue of intent by 45 express[ing] a decision not to dispute that issue with sufficient clarity that the trial court will be justified (a) in sustaining objection to any subsequent cross-examination or jury argument that seeks to raise the issue and (b) in charging the jury that if they find all the other elements established beyond a reasonable doubt, they can resolve the issue against the defendant because it is not disputed. 46 Ortiz, 857 F.2d at 903-04 (quoting Figueroa, 618 F.2d at 942); see also Mohel, 604 F.2d at 753-54. We thus must consider whether, either by putting forward a particular theory of defense or by specifically offering to stipulate, Colon removed the issue of intent from the case. 47 In Manafzadeh, 592 F.2d 81, upon which Colon primarily relies, we reversed convictions on two counts of unlawfully transporting or causing to be transported falsely made checks. We held that evidence of subsequent crimes was erroneously admitted to prove intent because intent had not truly been in dispute. As we noted, Manafzadeh's defense was not that he had innocently or mistakenly participated in the preparation or deposit of the ... checks.... His defense was that he had never been involved in the creation or negotiation of these fraudulent checks at all. Id. at 85. Moreover, the defendant repeatedly offered to stipulate to intent if the jury found that he had participated in the creation or deposit of the checks. Id. Thus, we concluded, intent was not in dispute and any doubt about its nonexistence as an issue was dispelled by the offer of the defendant to stipulate to the existence of the requisite intent if the other elements of the offense should be found. Id. at 87. 48 In Ortiz, a defendant was charged with possession of heroin with intent to distribute. We found that a mistaken identity defense by Ortiz claiming that she had never possessed any heroin, had it been adhered to, would have been sufficient to remove the issue of intent from the case. We stated, intent is not placed in issue by a defense that the defendant did not do the charged act at all. Ortiz, 857 F.2d at 904; see also Figueroa, 618 F.2d at 939-42 (defendant Acosta did not challenge proof that bag contained heroin, but instead denied that episode had occurred at all); Mohel, 604 F.2d at 752 (defendant did not claim that he had thought he was selling legal substance, but that he had not participated in any transaction); Benedetto, 571 F.2d at 1249 (defendant did not claim that he had taken money innocently or mistakenly, but that he had not taken it at all). 49 Our cases have thus recognized a distinction between defense theories that claim that the defendant did not do the charged act at all, and those that claim that the defendant did the act innocently or mistakenly, with only the latter truly raising a disputed issue of intent. See 2 J. Weinstein & M. Berger, Weinstein's Evidence p 404, at 404-64-404-66 (1988). 50 Colon's position is that his defense fell into the former category. That is, he argues that his defense was not based on the contention that he had innocently participated in the sale, in which case the issue of intent would be crucial. Rather, he says, his defense was that he did not do the charged act at all, and therefore intent was not in dispute. See Ortiz, 857 F.2d at 904. He thus concludes that, as in Figueroa, Manafzadeh, Mohel and Benedetto, the other acts evidence was not properly admissible to prove intent. 51 As our review of the record indicates, prior to opening statements, Colon actually put forth two different theories of defense. We turn to the question whether either of these positions was adequate to remove the issue of intent from the case.
52 Colon's initial defense theory acknowledged that he had been approached by the undercover detective who asked him about buying heroin. Colon appeared ready to concede that he had responded by pointing, perhaps in the direction of Alvarado. But he claimed to have done so innocently, without the intention of directing Detective White to Alvarado specifically, and, indeed, he claimed that he was completely unaware of Alvarado or his drug dealing. Rather, he pointed down the street generally, in the direction of known drug dealing activity. 53 Had Colon adhered to this version of events, the crucial issue in the case would have been his state of mind when he responded to Detective White by pointing. In seeking to prove that Colon aided and abetted Alvarado's sale of heroin, the challenge facing the government would have been to demonstrate that Colon had meant to send the detective not down the street, but instead directly to his associate, Alvarado, who was poised and ready to sell the drugs. Thus, it is apparent that under this defense theory, the issue of intent would not have been removed from the case. Indeed, the question of Colon's state of mind would have formed the key battleground of the case. Under these circumstances, Rule 404(b) would have permitted the government to use evidence of Colon's prior acts to prove intent, provided the balancing test of Rule 403 was satisfied. 54 Colon places great weight on his purported offer to stipulate intent out of the case: 55 If the government proves that he knew Alvarado and was in fact directing the undercover officer to Alvarado specifically in saying that you can buy the drugs from him, then I will acknowledge that he intended to violate the federal narcotics law and intended to aid in the sale of drugs. 56 We recognize the problems that faced Colon's defense counsel in clarifying his client's position in the final moments before trial. In considering the significance of an offer to stipulate intent out of the case in order to prevent admission of similar acts evidence, we are concerned not with the form of words used by counsel but on the consequences that the trial court may properly attach to those words. See Figueroa, 618 F.2d at 942. While defense counsel may have been sincerely endeavoring to stipulate intent out of the case, the proffered stipulation failed to do so. 57 The offer to stipulate was made at a time when Colon was still adhering to his initial defense theory. Again, the government's challenge in rebutting this theory would have been to demonstrate that Colon had meant to send the detective to Alvarado and not elsewhere down the street. Colon's offered stipulation would have conceded nothing on this score, as the government would still have had to prove that Colon meant to point the detective to Alvarado and not down the street. While conceding nothing, the stipulation sought to restrict the government's ability to prove the disputed determinative issue of intent by prohibiting use of the other acts evidence. The district court properly refused to accept this offered stipulation as removing intent from the case.
58 We turn now to the more problematic issues raised by Colon's amended defense theory. As recounted supra, immediately prior to opening statements, counsel for Colon stated: 59 I am advised that the defendant's version of what happened was that he was out on the street, was never approached by an undercover officer, was never asked by an undercover officer where he could find drugs, engaged in no contacts with the undercover officer, engaged in no contact with Mr. Alvarado. 60 In essence, Colon was thus contending that he had no recollection of the drug transaction at all. All that he remembered was being on the street at the time. He knew nothing of the incidents underlying the crime charged in this case. Presumably, his first pertinent recollection would be his arrest at the scene. 61 This defense theory, if adhered to, would have been sufficient to remove the issue of intent from the case. Colon's defense theory would have been analogous to the position initially taken by the defendant in Ortiz. Ortiz conceded that she had been in the vicinity of the alleged drug transaction, but she insisted that the police had arrested the wrong individual. Ortiz, like Colon, essentially said All I know about this is that I was on the street, and then I was arrested. I do not know anything about this alleged drug sale incident. 62 It is true that Colon's counsel did not repeat the offer to stipulate after he adopted the amended defense theory. Nevertheless, upon consideration of the record and of counsel's argument before us, we believe that he was endeavoring to remove intent from the case, and that he might well have agreed to an explicit stipulation if the district court had permitted further examination of the issue after the change in defense theory. It would have been preferable for defense counsel to have explicitly alerted the district court to the implications of the new defense theory as it pertained to removing intent from the case. Nevertheless, under these circumstances, we take Colon's presentation of his amended defense theory to have been an offer to stipulate intent out of the case. 63 We do not mean to suggest that intent could only have been removed from the case by means of a formal stipulation, to be put before the jury, that that issue had been conceded. We have recognized that a defendant might be reluctant to enter into such a formal stipulation as [t]he conditional nature of such a stipulation may easily be misunderstood by a jury. Figueroa, 618 F.2d at 942. Nevertheless, to take such an issue out of a case, a defendant must make some statement to the court of sufficient clarity to indicate that the issue will not be disputed. See id. at 942. A defendant may not purposely use ambiguity tactically, seeking to gain the one advantage of barring admission of prior acts evidence by proffering a particular defense theory, only to later seek the additional advantages stemming from arguing lack of intent to the jury. See Ortiz, 857 F.2d at 905. If a defendant does not wish to enter into a formal stipulation, he or she must at least express a decision, Figueroa, 618 F.2d at 942, to restrict the defense case so as not to raise the issue of intent, and to accept a jury instruction that would keep that issue out of the case. 64 We believe that Colon's proffered amended version of events had the potential of constituting a defense that [he] did not do the charged act at all. Ortiz, 857 F.2d at 904. The issue of intent would not have been raised by such a defense. See id. Had Colon agreed to an appropriate instruction, the issue for the jury could have been framed in such a way that it would only have had to decide whether the transaction described by Detective White did in fact occur, and whether Colon was the individual described by White as the steerer. There would have been no dispute over whether the alleged steerer's act of pointing was intended to direct White to Alvarado or whether the alleged steerer had knowledge of what was occurring. The jury could have been charged to find the necessary specific intent if it found the other elements. See id.; Mohel, 604 F.2d at 754. Thus, if Colon had unequivocally relie[d] on this defense theory and had agreed to a corresponding jury charge, evidence of his prior involvement in heroin sales would not have been admissible to prove his intent. See Ortiz, 857 F.2d at 904. 65 We reject the government's argument that even under Colon's amended defense theory the similar acts evidence would have been admissible because Colon acknowledged his presence at the scene. The government contends that there was no dispute that the defendant was connected to the charged events: by his own admission, he was standing in front of 703 9th Avenue at the time of the heroin sale. The government then asks us to conclude that this case is controlled by cases involving defenses of mere presence. In such cases, we have approved the use of similar acts evidence where a defendant does not contest that he was present during a narcotics transaction but denies any wrongdoing. United States v. Fernandez, 829 F.2d 363, 367 (2d Cir.1987) (per curiam); see also United States v. Bruno, 873 F.2d 555, 561-62 (2d Cir.1989); United States v. Tussa, 816 F.2d 58, 68 (2d Cir.1987); United States v. Martino, 759 F.2d 998, 1004-05 (2d Cir.1985). 66 A disputed issue of intent is apparent when a defendant claims to have had no involvement with a contemporaneous drug sale occurring in the same car, Tussa, 816 F.2d at 68, or apartment, Bruno, 873 F.2d at 559, 561-62. Similarly, a defendant's state of mind will be in dispute where the defendant acknowledges having accompanied a drug seller, but claims to have had no involvement in the sale. See Fernandez, 829 F.2d at 365, 367; see also Martino, 759 F.2d at 1001-02, 1004-05 (defendant acknowledged association with alleged co-conspirators on three separate occasions, including being present in same parking lot during transaction). But Colon, in his amended defense theory, made no similar concession with respect to being connected to the drug transaction. He claimed to know nothing about the circumstances leading to the sale. In this context, we reject the suggestion that Colon's acknowledgement that he had been on a public street, near his home and place of employment and also in the vicinity of the crime provides a sufficient connection to that crime to justify admission of similar acts evidence. Cf. Ortiz, 857 F.2d at 902, 904 (mistaken identity defense does not raise issue of intent even though defendant was arrested in the area of drug transaction). 67