United States v. Lucien ( 1995 )

UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
__________________
No. 94-50393
__________________
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
versus
CORTNEY ANTHONY LUCIEN,
Defendant-Appellant.
______________________________________________
Appeal from the United States District Court for the
Western District of Texas
______________________________________________
(August 8, 1995)
Before WISDOM, GARWOOD and DAVIS, Circuit Judges.
GARWOOD, Circuit Judge:
Plaintiff-appellant Cortney Anthony Lucien (Lucien) appeals
his convictions, following a jury trial, of one count of possession
with intent to distribute cocaine base in violation of 21 U.S.C. §
841(a)(1) and one count of possession of a firearm during and in
relation to a drug trafficking offense in violation of 18 U.S.C. §
924(c). We reverse and remand.
Facts and Proceedings Below
On September 5, 1989, local police executed a search warrant
at 6302-D Manor Road in Austin, Texas. Upon entering the
residence, the officers observed a black male, later identified as
Lucien, running from the bathroom. Officer Valera (Valera) heard
running water in the bathroom and noticed that Lucien's hands were
wet. Valera found a plastic bag containing several aluminum foil
packets floating in the toilet and $819 in cash in the bathroom
sink. An additional $408 was found in a pair of pants in one of
the bedrooms. The police arrested Lucien and Taika Campbell
(Campbell) at the scene. No one else was present. The officers
found the keys to the Manor Road residence in Lucien's pockets as
well as an identification card bearing his picture but the name
Antwon Watson. The officers found a rental application for the
Manor Road apartment in the name of Antwon Watson in the living
room. In the course of executing the search warrant, the officers
also seized three weapons and approximately sixteen grams of crack
cocaine.1 Although Lucien's real name is apparently Corey Demetric
Lucien, he gave his name as Cortney Anthony Lucien at the time of
his arrest.2 Lucien also told the Austin police that his address
was 560 Rice in San Antonio, Texas, but the government verified
that no such address existed.
Law enforcement officials filed second-degree drug felony
charges against Lucien and Campbell in Texas state court. On
September 9, 1989, Lucien posted bail and returned to his home in
1
A police forensic chemist testified that the net weight of the
cocaine seized was 16.48 grams.
2
Both indictments as well as the caption on appeal list
Lucien's name as "Cortney Anthony Lucien." In his brief on appeal,
Lucien concedes that he gave an incorrect name when he was arrested
by the Austin police.
2
Los Angeles, California. In October 1989, all state charges
against Lucien were dropped, and state and federal authorities
agreed that the federal government would prosecute Lucien. On
October 10, 1989, an agent with the Bureau of Alcohol, Tobacco, and
Firearms (ATF) placed a hold on two of the three weapons seized
during the September 9, 1989, search. On January 29, 1992, the
hold was accidentally removed, and the two weapons were
subsequently destroyed. The third firearm had been returned to its
true owner and thus was not destroyed.
On May 9, 1991, nineteen months after the state charges were
dropped, Lucien and Campbell were indicted by a federal grand jury
on three drug-related counts, and federal warrants for their
arrests were issued. Taika Campbell was arrested on August 9,
1991, in Los Angeles, California, and federal authorities proceeded
with the case against him until the charges were dismissed on
January 9, 1992. Lucien remained at large until November 23, 1993,
when he was arrested by the California police during a routine
traffic stop after an NCIC check indicated the outstanding federal
arrest warrant. Lucien was taken into custody and subsequently
transferred to the Western District of Texas.
On January 18, 1994, a federal grand jury returned a
superseding three-count indictment charging Lucien and Campbell
with conspiracy to possess with intent to distribute cocaine base
in violation of 21 U.S.C. § 841(a)(1) & 846 (Count One), possession
with intent to distribute cocaine base in violation of 21 U.S.C. §
841(a)(1) (Count Two), and possession of firearms during and in
3
relation to the commission of a drug trafficking offense in
violation of 18 U.S.C. § 924© (Count Three).3 Lucien filed a
motion to dismiss for lack of a speedy trial and a supplemental
brief alleging that his due process rights were violated by the
period of preindictment delay. On February 10, 1994, the district
court held an evidentiary hearing on this motion.
At this hearing, Lucien maintained that, during the period
between the October 1989 dismissal of the state charges and his
November 1993 arrest, he was living openly in Los Angeles. He
testified that, after his release on bail and until January 1990,
he lived openly with his sister at 1016 Gage Street, Los Angeles,
California, an address listed on his bond application.4 According
to Lucien, he moved to his mother's house at 1717 West 45th Street
in Los Angeles in January 1990 and lived openly at her house until
his arrest in November 1993. As evidence, Lucien provided
probation records reflecting that he regularly completed his
required community service hours, copies of an income tax return,
phone bills, and a California identification card issued by the
Department of Motor Vehicles (DMV). All these documents listed
Lucien's address as 1717 West 45th Street.
Charles Meyer, an ATF agent, testified about the government's
3
Although Campbell was charged in this superseding indictment,
he was not tried with Lucien.
4
The district court noted that Lucien's sister, in an
affidavit, attested that Lucien lived with her at 1016 Gage Street
from September 1989 to September 1990. This affidavit contradicts
Lucien's testimony that he lived with his sister until January
1990.
4
efforts to locate Lucien after the federal arrest warrant was
issued. Meyer testified that he contacted the Los Angeles police
department, the sheriff's department, and the gang unit; called the
California phone numbers listed in phone records seized from the
Manor Road residence; checked several addresses associated with
Lucien; and sent flyers to Los Angeles and San Antonio. In
searching the California DMV records, Meyer used the name Cortney
Anthony Lucien. Because Lucien's California identification card
was under the name Corey Demetric Lucien, the result stated "No
record for criteria given." Meyer conceded that the government
never sent an agent to the 1016 Gage Street address listed on
Lucien's bond application. Eventually, the government obtained the
1717 West 45th Street address from a Los Angeles gang unit, and in
December 1991, Meyer requested a Los Angeles-based ATF agent,
Annette Harden (Harden), to go to the 1717 West 45th Street address
and attempt to apprehend Lucien. Harden testified that she went to
1717 West 45th Street and spoke with a middle-aged woman who
identified herself as a relative of Lucien's. After this woman
told Harden that Lucien did not live at 1717 West 45th Street,
Harden informed her that there was an outstanding federal arrest
warrant for Lucien.
On March 31, 1994, the district court denied Lucien's motion
to dismiss the indictment for pre- and post-indictment delay.
Lucien's case proceeded to trial. At the close of the evidence,
Lucien requested that the district court give the jury a lesser-
included offense instruction on simple possession. The district
5
court denied Lucien's request. Thereafter, the jury found Lucien
guilty of Counts Two and Three but acquitted him of the conspiracy
count. On May 27, 1994, the district court sentenced Lucien to 168
months of imprisonment, five years of supervised release, and
ordered him to pay a $100 in special assessments. Lucien filed a
timely notice of appeal.
Discussion
I. Preindictment Delay
Lucien argues that the delay between the dismissal of the
state charges against him and his indictment on federal charges
violated his Sixth Amendment right to a speedy trial.5
Preindictment delay, however, does not raise a Sixth Amendment
issue; rather, it is examined under the due process clause of the
Fifth Amendment. United States v. Byrd, 31 F.3d 1329, 1339 (5th
Cir. 1994), cert. denied, 115 S.Ct. 1432 (1995). Although Lucien
raised a due process argument based on preindictment delay in the
district court, we hold that he has abandoned his preindictment
delay argument on appeal by failing to adequately brief the issue.
United States v. Heacock, 31 F.3d 249, 258 (5th Cir. 1994).
Lucien's arguments on appeal focus solely on the post-indictment
delay and the relevant Sixth Amendment analysis; he never raises
5
In his brief on appeal, Lucien mistakenly states that he was
indicted on March 9, 1991, and therefore calculates the time period
between the dismissal of the state charges against him in October
1989 and his indictment on federal charges to be seventeen months.
The record, however, reflects that Lucien was indicted on May 9,
1991. Thus, the period of preindictment delay is actually nineteen
months.
6
the due process argument or cites preindictment delay cases.6
Even if Lucien had not abandoned his preindictment delay
argument, we would still reject it because he has not established
actual prejudice resulting from the delay. Citing Sixth Amendment
post-indictment delay cases, Lucien argues that the delay was
presumptively prejudicial; however, a defendant must show actual
prejudice to establish a claim of preindictment delay under the due
process clause. Lucien's argument is thus without merit. United
States v. Beszborn, 21 F.3d 62, 66 (5th Cir.) ("The concept of
presumed prejudice has no place in a due process analysis."), cert.
denied, 115 S.Ct. 330 (1994).
Lucien argues that the delay resulted in the destruction of
tangible evidence, but he never identifies what evidence was
destroyed. If Lucien is referring to the two firearms accidentally
destroyed, his argument fails. The government presented the third
weapon to the jury. Moreover, the loss of the two weapons inured
to Lucien's benefit and could hardly be said to constitute actual
prejudice. We thus reject Lucien's argument based on destroyed
evidence. United States v. Royals, 777 F.2d 1089, 1090 (5th Cir.
1985) (defendant must show that lost evidence is material,
exculpatory, and otherwise unobtainable). Lucien also argues that
the government was responsible for the disappearance of Campbell,
the only eyewitness in the case. Lucien does not explain the
6
Although his summary of the argument vaguely states that "pre-
indictment and post-indictment delay both resulted in prejudice to
the Appellant," in the body of his brief, Lucien only mentions
preindictment delay once in a passing reference to both pre- and
post-indictment delay.
7
relevance of Campbell's testimony and thus cannot rely on it to
establish actual prejudice. United States v. Neal, 27 F.3d 1035,
1043 (5th Cir.) (defendant who failed to explain relevance of lost
witness's testimony could not show prejudice), cert. denied, 115
S.Ct. 530 (1994), and cert. denied, 115 S.Ct. 1165 (1995). Because
Lucien completely fails to show that the alleged lost evidence or
missing witness in any way impaired his defense, he cannot
establish actual prejudice from the delay.7
II. Post-indictment Delay
Lucien also argues that his Sixth Amendment right to a speedy
trial was violated by the delay between his first federal
indictment and his subsequent arrest.8 In analyzing a defendant's
Sixth Amendment speedy trial claim based on post-indictment delay,
we consider four factors: (1) the length of the delay, (2) the
7
The district court rejected Lucien's preindictment delay
argument on the ground that Lucien failed to establish that the
government delayed the indictment to gain a tactical advantage. We
recently addressed this issue in United States v. Crouch, 51 F.3d
480 (1995), petition for rehearing en banc granted, 1995 WL 363762(June 14, 1994). The panel opinion in Crouch held that a defendant
may prevail on a due process claim of preindictment delay even
without showing that the government intentionally delayed the
indictment to gain a tactical advantage. Id. at 483. Instead, the
panel in Crouch held that, "after finding actual prejudice from
pre-indictment delay, the court must weigh the actual prejudice
suffered against the reasons for the delay." Id. at 485. Because
we find that Lucien has failed to establish actual prejudice, we
need not consider the conduct of the government in our
preindictment delay analysis.
8
Again, Lucien miscalculates the period of delay. In his brief
on appeal, Lucien states that the period of post-indictment delay
was fifteen months. The record, however, reflects that Lucien was
indicted on federal charges on May 9, 1991, and was arrested in
California on November 23, 1993. Accordingly, we calculate the
period of post-indictment delay to be approximately twenty-eight
months.
8
reason for the delay, (3) the defendant's assertion of his right,
and (4) prejudice to the defendant resulting from the delay.
United States v. Garcia, 995 F.2d 556, 560 (5th Cir. 1993) (citing
Barker v. Wingo, 92 S.Ct. 2182, 2192-93 (1972)). We review for
clear error a district court's findings in applying this balancing
test. Robinson v. Whitley, 2 F.3d 562, 568 (5th Cir. 1993), cert.
denied, 114 S.Ct. 1197 (1994).
The length of the delay serves as the trigger for the Barker
analysis. Doggett v. United States, 112 S.Ct. 2686, 2690-91
(1992). If the length of delay crosses a threshold level regarded
as presumptively prejudicial, the district court must make findings
regarding the remaining three factors and balance all four factors.
Robinson, 2 F.3d at 568. This Circuit generally requires a delay
of one year to trigger speedy trial analysis. Id. Because the
delay in the instant case exceeded one year, the district court
properly made findings concerning the remaining factors. Under
Barker, "different weights should be assigned to different reasons
[for the delay]," with deliberate efforts "to hamper the defense
. . . weighted heavily against the government." Barker, 92 S.Ct.
at 2192 (footnote omitted). "A more neutral reason such as
negligence or overcrowded courts should be weighted less heavily
but nevertheless should be considered since the ultimate
responsibility for such circumstances must rest with the government
rather than with the defendant." Id.Lucien argues that the government was responsible for the
delay, that its conduct "was of such a negligent nature that it
9
would appear deliberate,"9 and that his conduct did not contribute
to the delay in any way because he was unaware of the federal
indictment until his arrest in November 1993. Lucien relies
heavily on the fact that Meyer used only the name "Cortney Anthony
Lucien" in searching the California DMV records even though he knew
from the NCIC search that there were alternate spellings of
Lucien's name. If Meyer had tried these alternative names, Lucien
contends, he would have discovered Lucien's 1717 West 45th Street
address, where Lucien insists that he was living openly.
By December 1991, the government had found the 1717 West 45th
Street address and had sent ATF Agent Harden to investigate.
Although Lucien claimed that he was living openly at 1717 West 45th
Street from January 1990 until November 1993, a relative of
Lucien's told Harden that he did not live there. Moreover, Harden
told the woman that there was a federal warrant for Lucien's
arrest. This testimony, specifically credited by the district
court, undermines Lucien's argument that he did not learn of the
federal indictment until his arrest in November 1993. Even when
the government had the 1717 West 45th Street address, they could
9
In support of this argument, Lucien relies on the dismissal of
the federal case against Campbell and the accidental removal of the
hold on the two weapons. It is unclear how the dismissal of the
charges against Campbell evinces a deliberate effort to delay
bringing Lucien to trial, especially given that Campbell was
reindicted in the January 18, 1994, superseding indictment along
with Lucien. As far as the destruction of the weapons is
concerned, the loss of this physical evidence actually benefits
Lucien. His contention that the destruction of this evidence
prevents him from analyzing whether the alleged weapons were
firearms as defined by 18 U.S.C. § 924(c) is unsupported by
anything even tending to suggest they were not firearms.
10
not locate Lucien. Thus, the district court determined that, even
accepting Lucien's argument, he would still be responsible for "at
least two-thirds, if not all, of the post-indictment delay." We
agree. Lucien's characterization of the government's conduct as
deliberately dilatory is unfounded.10
The district court determined that Lucien's preindictment
silence outweighed his speedy trial assertions, reasoning that he
knew the state charges against him were dropped to allow federal
authorities to prosecute him. In addition, in December 1991, Agent
Harden told a relative of Lucien's living in the house where he
claimed he was living openly that there was a federal warrant for
his arrest. Nevertheless, Lucien failed to assert his right to a
speedy trial until after he was arrested and counsel was appointed.
Thus, we agree with the district court that Lucien's preindictment
silence outweighed his speedy trial assertions.
The fourth Barker factor is the degree of prejudice suffered
by the defendant as a result of the delay. Here, because Lucien
was responsible for most of the delay, the district court properly
held that he had to demonstrate concrete proof of prejudice
stemming from the delay. Doggett, 112 S.Ct. at 2693; see Robinson,
2 F.3d at 570 (requiring "concrete proof" of prejudice when the
defendant is responsible "for the lion's share of delay"). As we
concluded in our preindictment delay analysis, Lucien has failed to
10
We note too that Lucien's use of several variations of his
true name, his alias Antwon Watson, and the false San Antonio
address that he gave at the time of his arrest all hindered the
government's search efforts.
11
establish that he has suffered any actual prejudice.
Taking into account all the Barker factors, we hold that
Lucien has failed to show that his Sixth Amendment right to a
speedy trial was violated. The district court, therefore, did not
err in denying Lucien motion to dismiss for lack of a speedy trial.
III. Lesser-Included Offense
Lucien next argues that the district court erred in refusing
his request for an instruction on simple possession of a controlled
substance in violation of 21 U.S.C. § 844(a) as a lesser-included
offense under the indictment charging possession with intent to
distribute cocaine base under 21 U.S.C. § 841(a). Rule 31© of the
Federal Rules of Criminal Procedure provides in relevant part that
a "defendant may be found guilty of an offense necessarily included
in the offense charged." The district court may give a lesser-
included offense instruction if, but only if, (1) the elements of
the offense are a subset of the elements of the charged offense,
and (2) the evidence at trial permits a jury to rationally find the
defendant guilty of the lesser offense yet acquit him of the
greater. United States v. Browner, 889 F.2d 549, 550-51 (5th Cir.
1989). We apply a two-tiered standard of review to the district
court's application of this test: the first prong is reviewed de
novo, the second for abuse of discretion. United States v.
Harrison, 55 F.3d 163, 167 (5th Cir. 1995).
In United States v. Deisch, 20 F.3d 139 (5th Cir. 1994), we
considered what constitutes a lesser-included offense under an
indictment charging possession with intent to distribute cocaine
12
base in violation of section 841(a). In Deisch, the defendant was
indicted on one count of conspiracy to distribute approximately 66
grams of cocaine base in violation of 21 U.S.C. §§ 841(a),
841(b)(1)(A), and 846, and one count of possession with intent to
distribute the same in violation of 21 U.S.C. §§ 841(a)(1),
841(b)(1)(A), and 18 U.S.C. § 2. At the close of the evidence, the
district court, over the defendant's objection, gave an instruction
on simple possession of "a controlled substance, cocaine base,
crack" in violation of 21 U.S.C. § 844(a) as a lesser-included
offense under the possession with intent to distribute count. Id.
at 142. The jury acquitted the defendant of both counts in the
indictment but found her guilty of the lesser-included offense.
Deisch appealed, arguing that the district court erred in
submitting any lesser-included offense instruction.
The Deisch court first analyzed the structure of section
844(a)11 and concluded that "the third sentence of section 844(a)
11
Section 844(a) provides, in part,
"[1] It shall be unlawful for any person knowingly or
intentionally to possess a controlled substance unless
such substance was obtained directly, or pursuant to a
valid prescription or order . . . [2] Any person who
violates this subsection may be sentenced to a term of
imprisonment of not more than 1 year . . . except that
if he commits such offense after a prior conviction .
. . for any drug or narcotic offense . . . he shall
be sentenced to a term of imprisonment for not less than
15 days but not more than 2 years . . . except,
further, that if he commits such offense after two or
more prior convictions . . . for any drug or narcotic
offense . . . he shall be sentenced to a term of
imprisonment for not less than 90 days but not more than
3 years . . . [3] Notwithstanding the preceding
sentence, a person convicted under this subsection for
the possession of a mixture or substance which contains
13
creates a separate offense, an element of which is that the
substance possessed contains cocaine base." Id. at 148 (footnote
omitted). See United States v. Michael, 10 F.3d 838, 839 (D.C.
Cir. 1993) (holding that "the third sentence of § 844(a) . . .
creates an independent crime of possession of cocaine base").
Because possession of cocaine base is an element of the offense
proscribed in the third sentence of section 844(a) but is not an
element of any offense proscribed by section 841(a)(1), "under the
``statutory elements test' a violation of the third sentence of
section 844(a) can not be a lesser included offense under an
indictment charging possession with intent to distribute in
violation of section 841(a)(1), even if, as here, the indictment
alleges that the controlled substance is cocaine base." Deisch at
152 (citation omitted).
By contrast, the offense denounced in the first sentence of
section 844(a) is simply knowing possession of a controlled
substance. The identity of the controlled substance as cocaine
base is not an element of the offense proscribed in the first
cocaine base shall be imprisoned not less than 5 years
and not more than 20 years, and fined a minimum of$1,000,
if the conviction is a first conviction under this
subsection and the amount of the mixture or substance
exceeds 5 grams, if the conviction is after a prior
conviction for the possession of such a mixture or
substance under this subsection becomes final and the
amount of the mixture or substance exceeds 3 grams, or if
the conviction is after 2 or more prior convictions for
the possession of such a mixture or substance under this
subsection become final and the amount of the mixture or
substance exceeds 1 gram." 21 U.S.C. § 844(a) (bracket
numbering added).
14
sentence of section 844(a); nor is it an element of the
distribution offense denounced in section 841(a)(1). Thus, "simple
possession of cocaine, contrary to the first sentence of section
844(a), may be a lesser included offense under a charge of
possessing cocaine with intent to distribute it contrary to section
841(a)(1)." Id. (citations omitted).12
Applying this analysis to the facts of the instant case, we
hold that the district court erroneously concluded that it could
not give a lesser-included instruction of simple possession.13 The
12
In Deisch, although we held that the district court erred in
giving a lesser-included instruction on simple possession of
cocaine base in violation of the third sentence of section 844(a),
we did not set aside the jury's conviction because it "necessarily
found her guilty of a violation of the first sentence of section
844(a) [simple possession of a controlled substance]." Id. at 152.
Because all cocaine base is a controlled substance, the jury that
found Deisch guilty of possession of cocaine base in violation of
the third sentence of section 844(a) necessarily (albeit perhaps
implicitly) found her guilty of possession of a controlled
substance (cocaine base) in violation of the first sentence of
844(a). Thus, we affirmed Deisch's conviction under the first
sentence of section 844(a) but vacated her sentence, which was
imposed under the third sentence of section 844(a) and remanded for
resentencing. Id.13
The district court initially indicated that it would give the
requested instruction, but then apparently changed its mind based
on United States v. Michael, 10 F.3d 838 (D.C. Cir. 1993). (Our
decision in Deisch was not handed down until after Lucien's
conviction). Based on its reading of Michael, the district court
concluded that simple possession of cocaine base is not a lesser-
included offense under the indictment charging possession with
intent to distribute cocaine base in violation of section 841(a)(1)
and therefore presumed that it could not give the requested
instruction. The district court, however, appears to have
overlooked the separate offense denounced in the first sentence of
section 844(a), possession of a controlled substance. Under Deisch
and Michael, the district court could have given a lesser-included
offense instruction on simple possession of a controlled substance
contrary to the first sentence of section 844(a).
15
superseding indictment charged Lucien with possession "with intent
to distribute cocaine base, a Schedule II Narcotic Drug Controlled
Substance (here, cocaine base) in violation of [21 U.S.C. §
841(a)(1)]." Thus, under Deisch and the statutory elements test,
possession of a controlled substance (cocaine, here in the form of
cocaine base) in violation of the first sentence of section 844(a)
is a lesser-included offense under the superseding indictment in
this case.
Because Lucien satisfied the first prong of the two-prong test
for determining whether a defendant is entitled (on proper request)
to a lesser-included offense instruction, we turn now to the second
inquiry, namely, whether the evidence at trial was such that a jury
could rationally convict him of the lesser offense (possession of
a controlled substance) yet acquit him of the greater (possession
with intent to distribute cocaine base). We normally review for
abuse of discretion a district court's determination of this issue.
Harrison, 55 F.3d at 167. Because the district court in this case
erroneously concluded that it could not give Lucien's requested
lesser-included offense instruction under the statutory elements
test, it did not make a specific finding as to the second prong of
the test. The record, however, reflects that the district court
initially indicated that it would give the lesser-included
instruction but subsequently determined that it could not based on
its misreading of Michael. This implies that the district court
thought that the evidence at trial raised the possibility that a
rational jury could convict Lucien of simple possession but acquit
16
him of possession with intent to distribute cocaine base.
In Harrison, the defendant was indicted for possession with
intent to distribute five grams or more of cocaine base in
violation of section 841(a)(1). The district court refused the
defendant's request for a lesser-included instruction on simple
possession of a controlled substance in violation of section
844(a). The jury subsequently convicted Harrison of possession
with intent to distribute five grams or more of cocaine base, and
Harrison appealed, arguing that the district court should have
given his requested lesser-included instruction. On appeal, we
noted that the statutory elements prong was satisfied and thus
focused our inquiry on "whether the district court abused its
discretion in concluding that, based on the evidence, a jury could
not rationally find Harrison guilty of simple possession, yet
acquit him of possession with the intent to distribute." Id. at
167 (footnote omitted). The evidence at trial showed that the
police seized 49 grams of cocaine base from Harrison's residence
and found a loaded weapon and cash in the same drawer as the
cocaine base. Based on these facts and "unrebutted testimony that
such facts and circumstances were consistent with an intent to
distribute and not with possession for personal use," the court
concluded that "no rational juror could conclude that Harrison
possessed the crack for his personal use, with no intent to
distribute it." Id. at 168.
In Turner v. United States, 90 S.Ct. 642 (1970), the Supreme
Court held that the defendant's possession of 14.68 grams of
17
cocaine was insufficient to sustain a conviction for distribution
of cocaine. Id. at 656 (holding that possession of 14.68 grams of
a cocaine mixture "is itself consistent with Turner's possessing
the cocaine not for sale but exclusively for his personal use").
In United States v. Chase, 838 F.2d 743 (5th Cir.), cert. denied,
108 S.Ct. 2022 (1988), the defendant was indicted for, inter alia,
possession of cocaine with intent to distribute, but the jury
convicted him of simple possession of cocaine as a lesser-included
offense. On appeal, the defendant argued that the district court
erred in giving the lesser-included instruction because the
evidence at trial was inconsistent with simple possession. We held
that the district court properly instructed the jury to consider
simple possession of cocaine as a lesser-included offense because
a "rational jury was entitled to find from the evidence that Chase
intended to consume the one-quarter ounce [approximately 7 grams]
of cocaine he obtained . . . rather than distribute it." Id. at
747.
The government argues that the evidence at trial was such that
a reasonable jury could not acquit Lucien of possession with intent
to distribute cocaine base but still convict him of possession of
a controlled substance. In support of this argument, the
government relies on the amount of cocaine base seized at the Manor
Road apartment (16.48 grams), the testimony of Officer Valera that
the amount seized was a distributable quantity, the $1200 in cash
and the two guns found in the apartment, the foil wrappings found
with the cocaine base, and the fact that Lucien was flushing the
18
drugs down the toilet when the police arrived. At trial, Officer
Valera testified that, based on his experience, the amount of
cocaine seized from the Manor Road apartment was a distributive
amount and was not for personal use. The government places great
weight on this testimony and argues that it shows that a rational
jury could not find Lucien guilty of simple possession but acquit
him of possession with intent to distribute. We disagree. On
cross-examination, defense counsel asked Valera if fifteen grams of
cocaine base would be a distributive amount, and he testified that
such an amount was "still large enough for distribution in [his]
opinion." Based on our review of the entirety of Valera's
testimony, a jury could rationally have understood Valera to be
saying merely that 16.48 grams is a distributable amount; in other
words, it is not so small that it could not be distributable, but
not that it was so large that it could not be for personal use,
especially given that both Lucien and Campbell were in the
apartment in which the cocaine base was found. See United States
v. Latham, 874 F.2d 852, 863 (1st Cir. 1989) (holding that
possession of one ounce of cocaine, or 28.35 grams, by two persons
was insufficient to warrant an inference of possession with intent
to distribute).
Because here the amount alone is an insufficient basis on
which to conclude that a rational jury could not convict Lucien of
simple possession yet acquit him of possession with intent to
distribute, we consider the other evidence that the government
maintains indicates possession with intent to distribute cocaine
19
base. First, the government places great emphasis on the
packaging, asserting that the plastic bag containing several
aluminum foil wrappers indicates that the cocaine base was for
distribution rather than personal consumption. While a reasonable
juror could so conclude, not all reasonable jurors would
necessarily have to. On cross-examination, Valera conceded that a
person who purchased three packages of cocaine base for personal
use would have three aluminum foil packets. Therefore, the fact
that there were several aluminum foil wrappers in the toilet could
be considered by a reasonable juror as not inconsistent with
possession for personal use.14 Second, the government argues the
$819 in cash found in the bathroom sink and the $408 in cash found
in one of the bedrooms also show possession with intent to
distribute cocaine base. Because there is no evidence in the
record about Lucien's or Campbell's respective occupations, we note
that it is possible that Lucien or Campbell earned this money other
than from selling cocaine base. The government also asserts that
the fact that three guns were found in the apartment is evidence
that Lucien was distributing cocaine base. Although we do not
discount the prevalence of guns in drug trafficking, we do not
place undue weight on the presence of the guns in this case because
Lucien and Campbell could have untold reasons, nefarious and
14
At oral argument, the government implied that the fact that
Lucien was attempting to flush the cocaine base down the toilet was
indicative of distribution. Because it is illegal to possess
cocaine base, flushing the drugs down the toilet could be
considered by a reasonable juror as consistent with simple
possession.
20
otherwise, for keeping guns in the apartment. United States v.
Gibbs, 904 F.2d 52, 59 (D.C. Cir. 1990) ("While the presence of
weapons may be a factor in considering whether the defendants
intended to distribute the cocaine, the mere presence of weapons is
not, in and of itself, dispositive of such intent. For example,
the cautious buyer may feel the gun improves his bargaining
position; or, the drug user may also be a thief who robs persons at
gunpoint to support his habit.") (citation omitted) (emphasis in
original).
We have no doubt that the evidence at trial was sufficient to
convict Lucien of possession with intent to distribute cocaine
base, but "when the issue is the propriety of a lesser-included
offense instruction, the test is whether a reasonable jury could
nonetheless find [Lucien] guilty only of simple possession." Id.(citation omitted). We hold that, based on the evidence at trial,
a reasonable jury could find Lucien guilty of simple possession but
acquit him of possession with intent to distribute. If the amount
of the cocaine base seized at the Manor Road apartment was
significantly greater or if there was additional evidence showing
distribution, such as (by way of example only) testimony tending to
indicate that sales or distributions of some kind were being made
at or from the apartment, the evidence might support the district
court's refusal to give the lesser-included instruction of simple
possession. At some point, however, there is a range of quantities
and other circumstances where it is the jury's role to decide
whether the evidence supports simple possession or possession with
21
intent to distribute. At one extreme, there are cases in which no
reasonable jury, confronted with the facts, could find that the
defendant possessed the drug for any reason other than
distribution. See, e.g, United States v. White, 972 F.2d 590, 596
(5th Cir. 1992) (holding that the district court did not err in
refusing to give lesser-included instruction of simple possession
where the defendants were found with twenty-one kilos of cocaine
and reasoning that "no rational jury could find that they did not
intend to distribute the cocaine [and that] [t]he sheer quantity of
the drugs involved negates an inference of personal use"), cert.
denied, 113 S.Ct. 1651 (1993); United States v. Espinosa, 827 F.2d
604, 615 (9th Cir. 1987) (holding that the defendant's possession
of 69 pounds of cocaine justified an instruction on possession with
intent to distribute and that the district court did not err in
refusing to give a lesser-included instruction of simple
possession), cert. denied, 108 S.Ct. 1243 (1988).15
At the opposite extreme are cases in which no reasonable jury
could find that the defendant possessed the drug with the intent to
distribute. See, e.g., Turner, 90 S.Ct. at 655-56 (possession of
14.68 grams of cocaine was insufficient to sustain conviction for
distribution). In between these two extremes, however, there are
15
In Harrison, we affirmed the district court's refusal to give
a lesser-included instruction of simple possession of a controlled
substance where the evidence showed that the defendant possessed 49
grams of cocaine base. In addition to the fact that the defendant
alone possessed 49 grams of cocaine base, we noted that the cocaine
base was found in the same drawer as a gun and some cash and that
the government introduced unrebutted testimony that the facts and
circumstances of the case were consistent with distribution rather
than personal use. Id. at 167-68.
22
many cases in which it is the jury's province to determine whether
the evidence demonstrates simple possession or possession with
intent to distribute. See Gibbs, 904 F.2d at 58-59 (holding that
district court erred in refusing to give lesser-included offense
instruction on simple possession where evidence showed that five
persons possessed 15.5 grams of cocaine because "we cannot say that
a mere 15.5 grams of cocaine was inconsistent with personal use");
United States v. Burns, 624 F.2d 95, 104 (10th Cir.) (holding that
"the evidence was sufficient to support the jury's inference that
these appellants possessed cocaine with an intent to distribute,
but the jury was free also not to draw such inference. [The
appellants] were entitled to jury consideration of the offense of
simple possession."), cert. denied, 101 S.Ct. 361 (1980) (footnote
omitted). Accepting the argument that 16 grams is a distributive
quantity that precludes a verdict on the lesser-included offense
would effectively eliminate the range of cases in which the jury
determines what the evidence shows, thereby displacing the jury's
important role in the criminal process. Because a reasonable jury
could convict Lucien of simple possession but acquit him of
possession with intent to distribute, we hold that the district
court erred in refusing Lucien’s request for a lesser-included
instruction on simple possession of a controlled substance.16
16
We do not imply that the amount of the drugs seized is the
only yardstick by which the district court should measure whether
the evidence at trial permits a rational jury to find the defendant
guilty of simple possession but acquit him of possession with
intent to distribute. Even if the amount of drugs seized is
relatively small, the district court may refuse to give the lesser-
included instruction on simple possession when there is other
23
Accordingly, we reverse his conviction for possession with intent
to distribute cocaine base in violation of section 841(a)(1) and
remand for another trial.
The jury also convicted Lucien of possession of a firearm
during and in relation to the commission of a drug trafficking
offense in violation of 18 U.S.C. § 924(c). Specifically, the
indictment alleged that Lucien "during and in relation to [his]
possession with intent to distribute cocaine base in violation of
[21 U.S.C. § 841(a)(1), as alleged in Counts One and Two of this
indictment, did use and carry a firearm . . . in violation of
[18 U.S.C. § 924(c)]." (emphasis added). Because the jury
acquitted Lucien on Count One and we have reversed his conviction
sufficient evidence that compellingly supports distribution. See,
e.g., United States v. Johnson, 734 F.2d 503, 505-06 (10th Cir.
1984) (upholding district court's refusal to give a lesser-included
offense instruction on simple possession in a case involving 26.63
grams of cocaine when evidence showed that the defendant owned drug
paraphernalia of the kind used by drug dealers and included
testimony by a witness describing numerous drug transactions with
the defendant).
In many cases, the evidence is such that, despite the small
quantity of drugs seized, the intent to distribute is still in
dispute. In such a case, it is the province of the jury to
determine whether the evidence proves possession with intent to
distribute or simple possession. For example, in United States v.
Garcia-Duarte, 718 F.2d 42 (2nd Cir. 1983), the district court
refused to give a lesser-included offense instruction of simple
possession in a case involving 0.23 grams of cocaine, and the jury
convicted the defendant of possession with intent to distribute.
On appeal, the Second Circuit held that "the issue of intent to
distribute was clearly in dispute, and the district judge erred by
not submitting to the jury the lesser included offense charge of
simple possession." Id. at 48. In so holding, the court in
Garcia-Duarte did not imply that the evidence was insufficient to
sustain the defendant's conviction for possession with intent to
distribute. Rather, the court held that the jury should have been
permitted to weigh the evidence and determine whether to convict
the defendant of simple possession or possession with intent to
distribute. Id.24
on Count Two, his conviction on Count Three as alleged in the
indictment cannot stand.17
Conclusion
For the foregoing reasons, we reverse Lucien's convictions and
remand for retrial.
REVERSED AND REMANDED
17
Because we reverse Lucien's convictions, we need not reach his
argument concerning several alleged instances of prosecutorial
misconduct, although we note that these alleged errors appear
harmless and unpreserved in any event.
25