Opinion ID: 710962
Heading Depth: 1
Heading Rank: 4

Heading: Obstruction of Justice and Perjury Convictions

Text: 23 In his testimony in 1990, Gilbert--as part of his theory of defense that he lacked criminal intent--denied knowing that boxes he delivered contained cash and denied authorizing a wire transfer of $15,000 to Miami. Based on these denials, Gilbert was convicted of perjury and obstruction of justice in the 1993 trial. See, 18 U.S.C. Secs. 1623; 1503. Gilbert challenges these convictions on two grounds. First, he says the convictions are barred by collateral estoppel. Second, he argues that the convictions must be reversed in the light of U.S. v. Gaudin, --- U.S. ----, 115 S.Ct. 2310, 132 L.Ed.2d 444 (1995).
24 Gilbert argues that his 1993 convictions are barred by the doctrine of collateral estoppel. 12 He says that to permit these charges would allow the government to rehash in 1993 an argument that failed to persuade the jury in 1990. See, e.g., U.S. v. Sarno, 596 F.2d 404, 408 (9th Cir.1979) (using collateral estoppel to bar perjury prosecution where acquittal in prior proceeding was based on jury accepting defendant's testimony as true). 25 The doctrine of collateral estoppel is included within the constitutional prohibition of double jeopardy. Ashe v. Swenson, 397 U.S. 436, 445-46, 90 S.Ct. 1189, 1195-96, 25 L.Ed.2d 469 (1970). But, collateral estoppel bars a later prosecution only where a fact or issue necessarily determined in the defendant's favor in the former trial is an essential element of conviction at the second trial. U.S. v. Brown, 983 F.2d 201, 202 (11th Cir.1993). 26 Therefore, Gilbert must persuade us that the jury's 1990 acquittal on the conspiracy charge was based on a finding that he lacked the criminal intent to further the money laundering enterprise. This Gilbert cannot do. Because Gilbert was convicted on several of the Travel Act counts, the jury necessarily concluded that he had the intent to promote the unlawful scheme. Thus, instead of relying on Gilbert's testimony, the jury actually rejected parts of it. 13 27 Also, a collateral estoppel claim must fail where a rational jury could have grounded its verdict upon an issue other than that which the defendant seeks to foreclose from consideration. Ashe v. Swenson, 397 U.S. at 444, 90 S.Ct. at 1194. In this case, a rational jury could have based its conspiracy acquittal on a finding that Gilbert failed to agree to join the conspiracy. 14 Because Gilbert has been unable to carry his burden of persuasion, we conclude that the perjury and obstruction of justice convictions are not barred by collateral estoppel.
28 In the 1993 trial, the jury did not decide whether Gilbert's false statements were material because it was then well established that materiality was a question of law. See, e.g., U.S. v. Dennis, 786 F.2d 1029, 1041 (11th Cir.1986). Thus, the trial court made the finding of materiality and so instructed the jury. We now know, however, that the constitution requires that the jury determine whether an allegedly false statement is material in a section 1623 prosecution. See U.S. v. Gaudin, --- U.S. ----, 115 S.Ct. 2310, 132 L.Ed.2d 444 (1995); Porat v. U.S., --- U.S. ----, 115 S.Ct. 2604, 132 L.Ed.2d 849 (1995). The rule announced in Gaudin applies retroactively to this direct appeal. See Griffith v. Kentucky, 479 U.S. 314, 328, 107 S.Ct. 708, 716, 93 L.Ed.2d 649 (1987). 29 We review assertions of error which were not objected to at trial for plain error. See Fed. Rule Crim.P. 52(b); U.S. v. Olano, 507 U.S. 725, 732-34, 113 S.Ct. 1770, 1777, 123 L.Ed.2d 508 (1993). Gilbert, who did not object to the materiality instruction, asserts that plain error review is inappropriate and too unfavorable to him because no error occurred at trial to which he could object, except that shown by a later Supreme Court decision. Gilbert urges us to adopt a per se reversal rule for Gaudin violations. Cf. U.S. v. Pearson, 897 F.Supp. 1147, 1148 (C.D.Ill.1995). 30 Instead, we follow the lead of the other circuits confronting this situation and conclude that Rule 52(b) plain error review is all that we are authorized to undertake. 15 See U.S. v. Keys, 67 F.3d 801, 809 (9th Cir.1995); U.S. v. Rogers, 18 F.3d 265, 268 (4th Cir.1994); U.S. v. Retos, 25 F.3d 1220, 1230 (3d Cir.1994); U.S. v. Viola, 35 F.3d 37, 42 (2d Cir.1994); U.S. v. Jones, 21 F.3d 165, 172-73 (7th Cir.1994); but see U.S. v. Washington, 12 F.3d 1128, 1138 (D.C.Cir.1994) (suggesting non-Rule 52(b) based supervening-decision doctrine applies). 31 Under these circumstances, reversal for unobjected-to error is possible (but not required) where error is both (1) plain and (2) affects substantial rights. Olano, 507 U.S. at 732-36, 113 S.Ct. at 1777-78. As we now know, the failure to submit the question of materiality to the jury is plain error. 16 But, Gilbert cannot show that the failure to submit the issue of materiality to the jury affected his substantial rights (that is, affected the outcome of his trial). 17 32 From the record before us, it is clear that Gilbert's denials of criminal knowledge (which the 1993 jury found--in a conclusion not challenged on appeal--to be lies) were capable of influencing the 1990 jury. See Dennis, 786 F.2d at 1041 n. 15 (defining materiality). Gilbert does not assert that the failure to submit the materiality issue to the jury affected the outcome of his case. (He instead argues for a per se rule of reversal.) He does not assert he was truly harmed, we presume, because a review of the record shows conclusively that the district court properly determined--and we are unconvinced that a reasonable juror could have found otherwise--that Gilbert's lies had the capability of influencing the 1990 jury. 18 Because Gilbert has failed to show that the failure to submit the issue of materiality to the jury affected the outcome of his trial, we affirm the perjury and obstruction of justice convictions. 19 33 In addition, we stress that we see, given the evidence, no miscarriage of justice here. 20 Given the way in which the matter of materiality was handled in this case, we question that the fairness, integrity or public reputation of judicial proceedings were actually seriously affected. Thus, even if we had not placed the burden to satisfy the Olano prejudice requirement on Gilbert, we--on alternative grounds--would probably still decline to reverse Gilbert's convictions. See Keys, 67 F.3d at 810-812 (explaining why, under similar facts, court refused to reverse conviction).