UNITED STATES OF AMERICA v. COREY BROADNAX
No. 08-10494
United States Court of Appeals for the Fifth Circuit
March 19, 2010
Aрpeal from the United States District Court for the Northern District of Texas
EMILIO M. GARZA, Circuit Judge:
No member of the panel nor judge in regular active service of the court having requested that the court be polled on Rehearing En Banc (
Corey Broadnax appeals his conviction for being a felon in possession of a firearm, in violation of
I
The following facts are undisputed. An undercover narcotics officer with the Dallas Police Department made an “undercover buy” of crack cocaine from a person at the window of the back of a house located at 915 North Jester Street in Dallas, Texas. The officer identified the seller as Corey Broadnax. The officer conducted additional surveillance and witnessed Broadnax entering and exiting the house. Based on the “buy,” the police obtained an arrest warrant for Broadnax and a search warrant for the premises at 915 North Jester. They executed the warrants and arrested Broadnax as he was walking out the front door of the premises. The police seized from the house an RG Industries, Model RG 31, .38 caliber revolver, serial number 019420; rocks of crack cocaine; cash; a digital scale; and documents linking Broadnax to the residence.
The grand jury returned a single-count indictment charging Broadnax with violation of
Broadnax is a convicted felon with a lengthy criminal history.1 Rather than submitting evidence to the jury of his prior convictions, the government and Broadnax agreed to the following stipulation:
The undersigned agree that the following facts are true and correct and that they are to be accepted as evidence by the jury in this case. Prior to February 5, 2007, the defendant, Corey Jerome Broadnax, had been convicted in a court for a crime punishable by
imprisonment for a term exceeding one year, that is, a felony offense.
To establish the interstate nexus element, the government presented testimony of Special Agent Daniel Meade of the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF). Meade is formally trained in trafficking techniques for firearms in the United States and his job is to determine whether or not a particular firearm traveled in or affected interstate commerce. Meade testified that the RG Industries, Model RG 31, .38 caliber revolver, serial number 019420 was a firearm. He testified that RG Industries is located in Miami, Florida, “where this firearm would have been assembled” and also stated that “[t]his particular firearm, the frame was manufactured in Miami, Florida . . . .” Meade further testified that “[o]thеr than the gun] being bought and sold through interstate commerce, I don‘t know how it particularly got to Texas in this instance, but it would have been bought and sold in commerce.”
At the close of the government‘s case, Broadnax moved for acquittal pursuant to
In his timely appeal to this court, Broadnax contends, inter alia, that the district court‘s definition of “firearm” resulted in a constructive amendment of the indictment by allowing the government to prove only that the frame of the RG revolver, rather than the specified, completed weapon moved in interstate commerce. Broadnax also argues that his conviction may not be sustained on the evidence before the jury because the government did not prove that the revolver identified in the indictment was “in or affecting interstate commerce” and that the prior felony stipulation did not prove a “crime punishable by
II
Broadnax makes his constructive amendment argument for the first time on appeal. “[T]his circuit applies plain error review to forfeited constructive amendment arguments.” United States v. Daniels, 252 F.3d 411, 414 n.8 (5th Cir. 2001). Under that standard, we will correct forfeited errors only if: (1) there was an error; (2) the error was clear or obvious; and (3) the plain error affected the substantial rights of the defendant. United States v. Griffin, 324 F.3d 330, 356 (5th Cir. 2003). If these three conditions are met, we may, in our discretion, correct a forfeited error only if it “seriously affect[s] the fairness, integrity, or public reputation of the judicial proceedings.” United States v. Olano, 507 U.S. 725, 736 (1993) (citation omitted).
A criminal defendant has a Fifth Amendment right to be “tried only on charges presented in a grand jury indictment.” United States v. Chandler, 858 F.2d 254, 256 (5th Cir. 1988). Only a grand jury has the power to amend an indictment. See id. “A jury charge constructively amends an indictment . . . if it permits the jury ‘to convict the defendant upon a factual basis that effectively modifies an essential element of the crime charged.‘” United States v. Daniels, 252 F.3d 411, 413-14 (5th Cir. 2001) (citing Chandler, 858 F.2d at 257). The acceрted test is that a “constructive amendment occurs if the jury is permitted to convict on an alternative basis permitted by the statute but not charged in the indictment.” Id. at 414 (internal quotation marks and citation omitted).
It shall be unlawful for any person . . . who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year . . . to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any firearm.
The issue is whether the indictment is to be read as requiring proof beyond a reasonable doubt that Broadnax pоssessed a “firearm,” as that term is defined under
We begin our analysis with the indictment itself. The indictment charged that Broadnax “did knowingly possess, in and affecting interstate commerce, a firearm, to wit: a RG Industries, Model RG 31, .38 caliber revolver, serial number 019420.” Contrary to Broadnax‘s argument, the indictment does not charge “that a specific completed weapon--the RG Industries, Model RG 31, .38 caliber revolver, serial number 019420--had been possessed in and affecting interstate commerce.” Rather, it charges simply that he рossessed, “in and affecting interstate commerce, a firearm.” The “in and affecting interstate commerce” element is not specifically alleged as to the RG revolver, but more broadly as to “a firearm.” Thus, the indictment requires proof of a nexus between interstate commerce and a “firearm,” as that word is defined. Accordingly, because the definition of “firearm” includes the frame, proof that the frame was “in and affecting interstate commerce” would be sufficient for a conviction under this indictment.4 See United States v. Gresham, 118 F.3d 258, 265 (5th Cir. 1997) (finding that the “jurisdictional nexus of
The Chambers indictment differs in a critical way from the indictment charging Broadnax. It charged that the 104 specific, completed rounds of “.40 caliber S&W jacketed hollow-point ammunition . . . distributed by the Houston Cartridge Company . . . had been transported in interstate commerce.” Id. at 240 (emphasis added). Thus, because the indictment charged that those specific rounds had been transported in interstate commerce, the government was required to prove that fact and could not satisfy its burden by proving some other ammunition or component that could have been charged under
For similar reasons, we find Broadnax‘s reliance on United States v. Doucet, 994 F.2d 169 (5th Cir. 1993), inapposite. Doucet involved a challenge to a conviction under
No constructive amendment occurred here because neither the evidence at trial nor the jury instructions implied that Broadnax could be convicted of anything other than being a felon in possession of a firearm that had been in and affecting interstate commerce in violation of
III
Broadnax contends that the evidence was insufficient to prove two elements of the offense: (1) that the specific weapon identified in the indictment
A
To prove a violation of
Broadnax argues that this testimony conflates the “gun” or “firearm” and the “frame” such that it is unclear whether Agent Meade‘s testimony asserts that the gun itself, the RG revolver bearing serial number 019420, was manufactured in Florida or whether only the “frame” was.5 Essentially, Broadnax reargues his
constructive amendment claim that the government showed only that the frame of the RG revolver (not the entire revolver) was manufactured in Miami, Florida and was, therefore, in and affecting interstate commerce. As discussed above, this is a distinction without a difference. See, e.g., Munoz, 150 F.3d at 417 (noting that
Moreover, considering the entirety of this testimony in the light most favorable to the prosecution, a rational trier of fact could have found beyond a reasonable doubt that the RG revolver itself was “in and affecting interstate commerce.” Broadnax is correct that Meade testified that the frame was manufactured in Florida. But Meade also testified that the gun, “a .38 caliber revolver . . . serial number . . . 019420” made by RG Industries, “would have been assembled” in Miami. Thus, a rational juror could have concluded from this testimony not only that the frame was manufactured by RG Industries in
B
any Federal or State offenses pertaining to antitrust violations, unfair trаde practices, restraints of trade, or other similar offenses relating to the regulation of business practices, or . . . any State offense classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less.
Our precedent is clear that “[t]he question whether a felony conviction may serve as a predicate offense for a prosecution for being a felon in possession of
The record reveals no explicit finding by the district court that Broadnax was convicted of a prior felony that was not excluded under the definition found in
The only question that we must decide is whether the stipulation is, in fact, legally sufficient. Our review is plenary. Daugherty, 264 F.3d at 514. Broadnax stipulated that he had been convictеd of “a crime punishable by imprisonment for a term exceeding one year.” To accept Broadnax‘s argument that the stipulation does not satisfy the predicate felony offense element of
IV
Broadnax‘s final argument is that the district court erred in not giving the jury an instruction as to the definition under
Whether we consider Broadnax‘s argument about the jury instructions waived or review for plain error, he cannot prevail. We find plain error only if the district court committed an error, that error is “plain,” and the error “affects substantial rights.” United States v. Betancourt, 586 F.3d 303, 306 (5th Cir. 2009) (citations omitted). There was no error, plain or otherwise, in the jury instructions. Because the definition under
V
For the foregoing reasons, we AFFIRM.
EMILIO M. GARZA
UNITED STATES CIRCUIT JUDGE
Notes
The Old Chief footnote, on which Broadnax relies heavily, is dicta and inapposite. The Supreme Court‘s discussion focused on a jury instruction, which paraphrased the definition in
Hayes is likewise inapposite. The question before the Court was not whether the definitions in
The view that whether a conviction falls within a
