Eugene Chambers, III (Chambers) appeals his conviction under 18 U.S.C. § 922(g)(1) for being a felon in possession of ammunition. We reverse his conviction and remand to the district court with instructions to dismiss that count of the indictment.
Facts and Proceedings Below
Chambers, along with two co-defendants, stood trial in June of 2008 on a 20-count superceding indictment that alleged an elaborate drug conspiracy and other related crimes. Chambers was charged in five counts of the indictment, namely in one count of conspiracy, from January 1998 to August 2002, to manufacture and distribute more than 50 kilograms of cocaine base, in two counts of aiding and abetting the distribution of cocaine base on, respectively, October 9 and November 17, 2001, in one count of conspiracy, from January 1998 to August 2002, to launder money, and, finally, in count 19, with being a felon in possession of ammunition on or about August 8, 2002, contrary to section 922(g)(1). The money laundering conspiracy count was dismissed before the case was submitted to the jury. The jury on July 1, 2003 returned a verdict of not-guilty as to three drug counts but found Chambers guilty of Count 19, the ammunition count.
With respect to Chambers’ conviction, the evidence at trial established the following. First, Chambers was a convicted felon. Second, although the only evidence on the subject indicated that the ammunition belonged to Chambers’ father and had been inadvertently included among Chambers’ things when he moved out of his father’s San Antonio apartment, Chambers was aware of the ammunition’s presence in his new home. Finally, the ammunition in question, as alleged in the indictment, consisted of “104 rounds of .40 caliber S&W jacketed hollow-point ammunition, distributed by Houston Cartridge Company.” The authorities discovered the rounds at Chambers’ new residence while executing a search warrant there connected to the
At the close of the government’s case in chief Chambers moved for judgment of acquittal under Rule 29(a), Fed.R.Civ.P., as to the ammunition count on the ground that there was “not evidence that the ammunition which was manufactured in Houston was in interstate commerce” and that to look to some of the component parts “is a constructive amendment to the indictment, which is improper.” The district court denied the motion. At the close of all the evidence, Chambers renewed his Rule 29(a) motion and the district court again denied it.
The court instructed the jury that to convict on the ammunition count it had to find “that the possession of the ammunition was in and affecting commerce, that is that before the defendant possessed the ammunition, it had travelled at sometime from one state to another,” and, over Chambers’ objection (
After the jury returned its verdict on July 1, 2003 finding Chambers guilty of the ammunition count and not guilty of the other counts with which he was charged, Chambers timely moved under Rule 29(c) for judgment of acquittal as to the ammunition count on the ground that there was no evidence any of the “104 rounds of .40 caliber ... ammunition, distributed by the Houston Cartridge Company ... had been transported in interstate commerce” as alleged in the indictment, and that conviction could not rest on evidence that some component parts had separately moved in interstate commerce before being assembled into such rounds as that would constitute a constructive amendment of the indictment contrary to
Stirone v. United States,
361
Chambers was subsequently sentenced to 235 months’ imprisonment to be followed by five years of supervised release.
In his timely appeal to this court, Chambers contends, inter alia, that the evidence is insufficient to support his conviction because there is no evidence that his possession of ammunition was “in and affecting” commerce as alleged in the indictment in that none of the completed rounds charged in the indictment were shown to have moved in interstate commerce, and that his conviction may not be sustained on evidence that some component parts of those rounds had traveled interstate before Houston Cartridge Company assembled them into the completed rounds, as that would constitute a constructive amendment of the indictment. 2
Discussion
Count 19 of the indictment alleges that “On or about August 8, 2002, in the Western District of Texas, Defendant, Eugene Chambers, III, having been convicted of a crime punishable by imprisonment for a term exceeding one year did knowingly possess in and affecting commerce ammunition, to wit: 104 rounds of .40 caliber S&W jacketed hollow-point ammunition, distributed by the Houston Cartridge Company, which had been transported in interstate commerce, in violation of Title 18, United States Code, Sections 922(g)(1) and 924(a)(2).”
Section 922(g)(1) provides in relevant part that
“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 or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce.”
Section 917(a)(17)(A) of Title 18 provides that “[a]s used in this chapter” (chapter 44, which consists of sections 921-931):
“The term ‘ammunition’ means ammunition or cartridge cases, primers, bullets, or propellant powder designed for use in any firearm.”
It is plain that the word “ammunition” as it appears just following “means” in section 917(a)(17)(A) refers to completed rounds. Substituting the section 917(a)(17)(A) definition into section 922(g)(1), the latter statute would read in relevant part as follows:
“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 ... possess in or affecting commerce, any firearm or ammunition [i.e., completed rounds] or cartridge cases, primers, bullets, or propellant powder designed for use in any firearm.”
An essential element of a section 922(g)(1) possession of ammunition offense, which the government is required to prove beyond a reasonable doubt in order to obtain a conviction, is that the defendant’s charged possession of the ammunition was “in or affecting commerce.”
United States v. Ybarra,
The government contends that at most there was a harmless variance, not a constructive amendment of the indictment. However, as we said in
United States v. Adams,
“Stirone requires that courts distinguish between constructive amendments of the indictment, which are reversible per se, and variances between indictment and proof, which are evaluated under the harmless error doctrine. The accepted test is that a constructive amendment of the indictment occurs when the jury is permitted to convict the defendant upon a factual basis that effectively modifies an essential element of the offense charged [in the indictment].... In such cases, reversal is automatic, because the defendant may have been convicted on a ground not charged in the indictment.” (emphasis added).
Stirone is directly analogous. There the defendant was charged and convicted of extortion in violation of the Hobbs Act, 18 U.S.C. § 1951, which denounces “[w]hoever in any way or degree obstructs, delays, or affects commerce ... by robbery or extortion or attempts or conspires so to do.” The indictment alleged that the victim, Rider, had a contract to supply concrete from his Pennsylvania plant to be used in the construction of a steel processing plant in Pennsylvania, and that to perform his contract Rider caused supplies and materials to be shipped from outside of Pennsylvania to his Pennsylvania plant.
The Supreme Court noted that:
“The indictment went on to charge that Stirone, using his influential union position, ‘did ... unlawfully obstruct, delay [and] affect interstate commerce between the several states of the United States and the movement of the aforesaid materials and supplies in such commerce, by extortion ... of $31,274.13 ... inducted by fear and by the wrongful use of threats of labor disputes and threats of the loss of, and obstruction and prevention of, performance of his contract to supply ready mixed concrete.’ ” Id., 80 S.Ct. at 271 .
The district court, over objection, permitted “evidence of an effect on interstate commerce not only in sand brought into Pennsylvania from other states but also in interference with steel shipments from the steel plant in Pennsylvania into Michigan and Kentucky”,
id.,
and permitted the jury to find the requisite commerce element on either basis.
Id.
at 272. The Court of Appeals affirmed the conviction, holding that the evidence was sufficient to satisfy that element under either theory, and that although the indictment did not allege an effect on commerce on the basis of steel shipments that amounted only to “a variance,” which did not require reversal as the defendant clearly was not surprised and did not object on the basis that such evidence went beyond the indictment.
United States v. Stirone,
The Supreme Court reversed. It noted that the Hobbs Act’s “in any way or degree” language manifested an intent “to use all the constitutional power Congress has to punish interference with interstate commerce by extortion,” and that the evidence was sufficient as to the sand shipped into Pennsylvania.
Stirone,
“... destroyed the defendant’s substantial right to be tried only on charges presented in an indictment returned by a grand jury. Deprivation of such a basic right is far too serious to be treated as nothing more than a variance and then dismissed as harmless error .... The very purpose of the requirement that a man be indicted by grand jury is to limit his jeopardy to offenses charged by a group of his fellow citizens acting independently of either prosecuting attorney or judge. Thus the basic protection the grand jury was designed to afford is defeated by a device or method which subjects the defendant to prosecution for interference with interstate commerce which the grand jury did not charge.” Id. at 273-74 (footnote omitted).
The Court concluded in words fully applicable here:
“... when only one particular kind of commerce is charged to have been burdened a conviction must rest on that charge and not another, even though it be assumed that under an indictment drawn in general terms a conviction might rest upon a showing that commerce of one kind or another had been burdened.” Id. at 274.
We note that in Stirone there was no departure from the indictment in respect to what the defendant did, or when, where or to whom he did it, or what his conduct immediately threatened, namely Rider’s contract to supply concrete to the steel plant construction job. Nor was there any departure from the indictment so as to allow conviction under any different language segment or portion of the statute alleged in the indictment.
Following Stirone we have found constructive amendments in a number of analogous contexts.
In
Adams,
a prosecution under 18 U.S.C. § 922(a)(6), proscribing the knowing furnishing, in connection with the purchase of a firearm from a dealer, of “false,
“in connection with his acquisition of a firearm ... from ... a licensed dealer, did knowingly furnish ... a false, fictitious and misrepresented identification, that is, a Mississippi Driver’s License Number 367-60-7243, to the firearms dealer, which identification was likely to deceive the firearms dealer with respect to a fact material to the lawfulness of the acquisition of the firearm by [defendant] ... in that [defendant] represented that he was Ernest Cole, whereas, in truth and in fact, as he then well knew, he was Ernest Adams .... ”
The driver’s license identified in the indictment, which was placed in evidence, was in the name of Ernest Cole and showed an address in Meridian, Mississippi, although Adams’s residence was actually in Detroit, Michigan. We held it error to allow conviction on the basis that the driver’s license was false as to either the name or the address on it, although the evidence would sustain either, and that the allegation as to the falsity of the name could not be disregarded as surplusage. Citing Sti-rone we stated:
“when only one particular kind of falsity is charged to have been made in furnishing a license, a conviction must rest on that charge and not another, even though a conviction might have rested on a more general indictment that omitted the reference to Ernest Cole.”
Other decisions of this court are to like effect.
See United States v. Davis,
The government relies on our decisions in
United States v. Munoz,
Robles-Vertiz
is inapposite for the same reason. There the defendant was charged with transporting an illegal alien. The evidence showed he was stopped by the border patrol while driving his car carrying a single passenger, an alien “woman named Anna Guerro, also known as Monica Martinez-Salazar.” The indictment, however, alleged that the alien transported was “Monica Ramirez-Sanchez,” and “no evidence was introduced concerning anyone named ‘Monica Ramirez-Sanchez.’ ”
Id.,
“... here the error was merely one of transcription. Indeed, there is a common first name, and the surnames evince a certain phonetic congruity. The government was not ... arguing a theory different from what it had alleged in the indictment. The change in names did not reflect a change in the alleged conduct.
The error in the indictment was analogous to a spelling error. The government intended to name Anna Guerrero, also known as Monica Martinez-Salazar, but through a mistake ... government erroneously entered her name as Monica Ramirez-Sanchez.
Were ‘Monica Ramirez-Sanchez’ a person involved in Robles-Vertiz’s smuggling scheme, this would be a different case. That is because the indictment would have been broadened — the prosecution could have secured a conviction by proving the smuggling of either woman. In that circumstance, the government would be prosecuting a theory that it had not presented to the grand jury.” Id. at 729 (footnote omitted).
Here, by contrast, the government seeks to uphold the interstate commerce element of the offense on the basis of facts — transportation of powder from Tennessee to Texas, of primer from South Dakota to Texas and of projectiles from Montana to Texas before any of those items were incorporated into any completed rounds— which facts are all wholly different than and distinct and separate from the only facts alleged in the indictment in respect to commerce, namely the necessarily subsequent transportation in interstate commerce of the completed rounds (as to which there was no evidence).
In
Mosby
the Eighth Circuit held that where the section 922(g)(1) indictment charged defendant, a felon, with “ ‘possessing], in or affecting commerce,. ... ammunition,’ ”
id.,
“... when only one particular kind of commerce is charged to have been burdened a conviction must rest on that charge and not another, even though it be assumed that under .an indictment drawn in general terms a conviction might rest upon a showing - that commerce of one kind or another had been burdened.” Id.,80 S.Ct. at 274 (emphasis added).
See also Adams, 778
F.2d at 1125.
5
Cf. United States v. Williams,
Danielson is more closely in point. There the opinion quotes the section 922(g)(1) indictment as alleging that the defendant
“... ‘did possess ammunition in and affecting commerce, and did receive ammunition which had been shipped and transported in interstate and foreign commerce, to wit, 7 rounds of .45 calibre ammunition.’ (emphasis added).” Id.,199 F.3d at 668 .
The government’s expert testified that the “exterior or brass shell casing (the ‘shell’)” on each of the seven completed rounds defendant was found in possession of in New York bore the stamp of the manufacturer of the completed round and reflected that the rounds had been manufactured in states other than New York and had traveled in interstate commerce. However, on cross examination the expert:
“admitted that while the shells definitely traveled in interstate commerce into New York, it was possible that the rounds could have been ‘reloaded’ entirely in New York. In this process, a gun ‘buff could have saved money by refilling a spent shell with a new bullet, propellent powder, and primer.” Id. at 668-69.
The trial court, over defense objection, instructed in terms of the definition of ammunition contained in section 921(a)(17)(A). The Second Circuit rejected the defendant’s claim that this constituted a constructive amendment of the indictment. It distinguished
Stirone
merely by stating that “the challenged deviation is so much less significant than the deviation[] that led to the overturning of the conviction[] in
Stirone.” Danielson
at 670. We note that there are some at least
Conclusion
Since there was no evidence that any of the completed rounds distributed by Houston Cartridge Company which appellant possessed had been transported in interstate commerce as alleged in the indictment, appellant’s conviction must be reversed. Evidence that prior to the Texas assembly of the completed rounds by Houston Cartridge Company, the powder, primer and bullets (projectiles), which later became component parts of the completed rounds, had separately traveled to Texas from, respectively, Tennessee, South Dakota and Montana, none of which was in any way alleged in the indictment, may not be relied on to establish the “in or affecting commerce” element of the offense because to do so would allow that element to be established on the basis of a set of facts wholly different, separate and distinct from the one set of facts particularly alleged in the indictment relevant to that element, and would thus constitute an impermissible constructive amendment of the indictment, contrary to Stirone and our decisions implementing it.
We accordingly reverse the conviction and order count 19 of the superceding indictment dismissed. 6
REVERSED.
Notes
. There is no evidence as to either the source or any interstate movement of any of the few rounds (or any components thereof) found in the closet at Chambers’ residence which were not identified as Houston Cartridge Company rounds.
. Our disposition of this contention makes it unnecessary to address Chambers' other points of error, including his contention that as applied here the component parts definition of ammunition (18 U.S.C. § 917(a)(17)(A)) exceeds Congress's Commerce Clause power. We assume, arguendo, no exceeding of Commerce Clause power in the instant conviction.
. The evidence shows Houston Cartridge Company acquired some of its casings ("brass”) "locally” and some from a supplier in Dallas (there was no evidence of where the supplier got them) and some from Colorado. There was no estimate of the fraction of casings from any of the three sources nor any other evidence which would allow the jury to find beyond a reasonable doubt that the casings on any of the rounds in question had traveled in interstate commerce.
With respect to the bullets (projectiles), Butz of Houston Cartridge Company testified that he acquired jacketed bullets from South Dakota or Montana, but the lead projectiles “I buy locally.” He also testified that of the rounds found in Chambers' residence "the full metal jacket ammunition is not mine.” However, when then asked “if that’s your ammunition ... those bullets came from South Dakota or Montana,” he responded "Those came from Montana.”
. Overruled in other respects,
United States v. Adamson,
. Adams states (after quoting the above passage from Stirone):
"Similarly, when only one particular kind of falsity is charged to have been made in furnishing a license, a conviction must rest on that charge and not another, even though a conviction might have rested on a more general indictment that omitted the reference to Ernest Cole." Adams at 1125 (footnote omitted).
. Where the indictment has been construe-tively amended, by prosecution evidence
Here, however, as Chambers urged in his motions for judgment of acquittal, there is no evidence to support the "in or affecting commerce” element of the offense on the factual basis alleged in the indictment.. Chambers’ rpotions for judgment of acquittal should have been granted.
See United States v. Eaton,
However, in
Salinas,
The dismissal we order here' precludes retrial on count 19 of the instant superceding indictment because we held the evidence is insufficient to support its allegation that the completed rounds in question had traveled in interstate commerce, the only commerce nexus alleged.
Burks v. United States,
