Lead Opinion
Opinion for the Court filed by Senior Circuit Judge OAKES.
Dissenting opinion filed by Circuit Judge HARRY T. EDWARDS.
This appeal involves Rules 8 and 14, the joinder rules, of the Federal Rules of Criminal Procedure, and certain of the Federal Rules of Evidence. James Brown appeals from a judgment of conviction on six drug charges and two firearms charges following a jury verdict in the United States District Court for the District of Columbia, William B. Bryant, Judge. While we hold that there was a misjoinder of firearms offenses under Rule 8(b), we hold that there was no plain error resulting in actual prejudice to Brown. We also hold that the district judge did not abuse his discretion in joining defendants and counts under Rule 14. Accordingly, we affirm the judgment of the district court.
Background
This case arises from an undercover investigation of drug trafficking out of the residence of Victoria Williams located at Apartment 11, 2371 Eleventh Street, N.W., Washington, D.C. On November 20, 1990, Metropolitan Police Department (the “police”) undercover officers bought a fifty-dollar rock of crack cocaine from Williams. In making the sale, Williams directed her minor daughter, Heaven Sinclair, to distribute the drugs to the officers and receive the money in return. According to chemical analysis, the rock consisted of .347 grams of cocaine base.
The November 20 purchase of the crack cocaine from Williams’ apartment by undercover officers enabled the police to obtain a warrant to search her apartment (the “November Search”). Upon entry, the police found five individuals inside the apartment: Williams, Sinclair, the father of Sinclair’s child, and two other relatives of Sinclair. Among other things, during the search, the police found in the apartment a replica Uzi pistol, several hundred dollars in cash, traces of cocaine, cocaine base, a scale, packaging material, firearms, and ammunition. At some point during the search, the police measured the distance from the back door of the apartment to the Meyer Elementary School to be twenty feet.
In Sinclair’s bedroom the police found a metal safe and pried it open.' The police recovered from the safe two pistols, a clip containing nine rounds of .32 calibre ammunition, a box containing forty rounds of nine millimeter ammunition, a digital scale, two razor blades with traces of white powder, two cardboard boxes containing sandwich-type bags, a number of empty zip-lock bags, and two larger zip-lock bags together containing over one hundred and thirty-five grams of cocaine base. Sinclair told police that the drugs and firearms belonged to appellant James Brown (a.k.a. “Steven Brown,” “Cookie”). Although the police also found in Sinclair’s bedroom identification cards for several people, no identification cards or other papers were found relating to Brown; however, the police did lift Brown’s fingerprints from inside the door of the safe, as well as from the scale inside the safe.
On February 21, 1991, based on Sinclair’s statement that the drugs and firearms belonged to Brown, and the corroborating fingerprint evidence, a federal grand jury sitting in the District of Columbia indicted Brown on two counts of possession with intent to distribute 50 grams or more of cocaine base, on November 20, within 1,000 feet of a school, see 21 U.S.C. §§ 841(a)(1), 841(b)(1)(A)(iii), and 845a(a)
That day, based on the Original Indictment against Brown, a judge issued a bench warrant for his arrest. The police arrested Brown that evening, and conducted a search of his person incident to that arrest (the “February Search”). During this search, police recovered a semiautomatic pistol (which had been shipped in interstate commerce and the serial number of which had been defaced) and a telephone pager. The police also found a safe key, which fitted into the cylinder of the safe in Sinclair’s bedroom, and which contained a four-digit number matching three of the digits of the number on the safe found in Sinclair’s bedroom, the fourth number having been obliterated.
On April 9, 1991, a grand jury issued a nine-count superseding indictment. Counts four, five, and seven (the “Original Offenses”) were identical to the three counts contained in the February 2 indictment. The April 9 indictment also included three additional counts of unlawful distribution of cocaine base to a person under the age twenty-one on November 19 and/or within one thousand feet of a school, see 21 U.S.C. §§ 841(a)(1),
On May 14, 1991, Brown filed two motions under FED.R.CRIM.P. 14, one to sever the drug trafficking and firearms possession charges, and the other to sever the trials of Brown and Williams. The only mention of Fed.R.Crim.P. 8, prior to this appeal, occurred at the motions hearing, where counsel for Brown argued “I do and I maintain even orally that the indictment, that those [drug trafficking and firearms possession] offenses should not have been joined as a violation of Rule 8.” Transcript of Motion Hearing, United States v. Brown, Crim. No. 91-0082-01 (D.D.C. June 25, 1991). Judge Bryant orally denied each motion.
On July 1, 1991, a four-day trial commenced in which Brown and Williams were tried together on all counts. At trial, in addition to the facts presented above and other evidence, the government’s drug expert testified that the amount and packaging of the crack found inside the safe were consistent with an intent to distribute. On July 8, 1991, a jury found Brown guilty on counts one through six, eight, and nine, but not guilty as to count seven.
On November 14,1991, Brown filed a timely notice of appeal. Brown appeals the join-der of defendants and counts pursuant to Rules 8 and 14.
II.
Jurisdiction
The district court had jurisdiction over the case under 18 U.S.C. § 3231 (1988). This court has jurisdiction under 28 U.S.C. § 1291 (1988).
III.
Standard of Review
Before setting forth the standard of review applicable to joinder under Fed.R.Crim.P. 8(a), 8(b), and prejudicial joinder under Fed.R.Crim.P. 14, we must first examine the difference between Rules 8 and 14, and then determine whether any claims of misjoinder under these rules were preserved for appeal.
As Judge Friendly remarked, “[t]he question of the propriety of joinder under Rule 8 and of refusal to grant relief from prejudicial joinder under Rule 14 are quite different in nature.... The former is a question of law, subject to full appellate review. ... In contrast, the grant of relief under Rule 14 lies within the discretion of the trial judge and refusal to sever counts or
Without doubt, Brown has properly preserved the Rule 14 issue for appeal. Therefore, we review the court’s denial of the Rule 14 motion for abuse of discretion. See, e.g., Lane,
In contrast, as we have said, wé review the Rule 8 issue under the plain error standard because, as we explain below, Brown failed to preserve this issue' for appeal. See Fed.R.CrimP. 52(b); United States v. Bailey,
IV.
Discussion
A. Application of Rule 8
This Circuit has long established that “‘the propriety of joinder in cases where there are multiple defendants must be tested by Rule 8(b) alone and ... Rule 8(a) has no application.’ ” United States v. Jackson,
Under Rule 8(a), “[t]wo or more offenses may be charged in the same indictment ... if the offenses charged ... are of the same or similar character or are based on the same act or transaction or on two or more acts or transactions connected together or constituting parts of a common scheme or plan.” Fed.R.Crim.P. 8(a) (emphasis added). In contrast, under Rule 8(b), “[t]wo or more defendants may be charged in the same indictment ... if they are alleged to have participated in the same act or transaction or in the same series of acts or transactions constituting an offense or offenses. Such defendants may be charged in one or more counts together or separately and all of the defendants need not be charged in each count.” Fed.R.Crim.P. 8(b) (emphasis added).
In this case, although the Original Offenses were “of the same or similar character” as the Additional [firearms] Offenses, Fed.R.Crim.P. 8(a), the Original Offenses and the Additional [firearms] Offenses do not belong to “the same act or transaction or in the same series of acts or transactions.” Fed.R.Crim.P. 8(b). Thus, had Brown brought Rule 8(b) to the attention of the district court in his pre-trial motion to sever, the court probably would have granted Brown a severance of counts under Rule 8(b) as a matter of law.
B. Standard of Review for Rule 8 Errors
Rule 8 not only may shield a party from prejudicial joinder but also serves to protect a variety of other interests served by joint trials including the interests in “ ‘consenting] state funds, diminishing] inconvenience to witnesses and public authorities, and avoiding] delays in bringing those accused of crime to trial.’ ” Lane,
For this reason, normally, we will reverse the district court’s denial of a defendant’s motion to sever unless the misjoinder constitutes harmless error. See Fed.R.Crim.P. 52(a); United States v. Werner,
We first examine the question whether Brown preserved the Rule 8 issue for appeal.
C. Rule 12(f) Waiver of Rule 8(b) Issue
Under Rule 12(f), “[f]ailure by a party to raise defenses or objections or to make requests which must be made prior to trial ... shall constitute waiver thereof.” Fed.R.Crim.P. 12(f); see also Bailey,
Prior to trial, as we have said, Brown filed two motions under Fed.R.Crim.P. 14, one to sever the drug trafficking and firearms possessions, and the other to sever the trials of Brown and Williams. Neither motion mentions Rule 8. In fact, in citing Rule 14, the motions in effect assume that joinder was permissible, but that joinder would be prejudicial. As we have noted, the only mention
Instead, we hold that Brown failed to raise Rule 8 at all. His passing reference to Rule 8 at the pretrial hearing was insufficient to preserve the issue for appeal. Further, this passing reference does not supply the “cause” necessary to apply the Rule 12(f) exception whereby “the court for cause shown may grant relief from the waiver.”
D. Plain Error Rule
Under the plain error rule, “[p]lain errors or defects affecting substantial rights may be noticed although they were not brought to the attention of the court.” Fed.R.Crim.P. 52(b). The plain error rule gives us, as an appellate court, “the latitude to correct particularly egregious errors on appeal regardless of the defendant’s trial default.” Frady,
Rule 52(b) was intended to afford a means for the prompt redress of miscarriages of justice. By its terms, recourse may be had to the Rule only on appeal from a trial infected with error so “plain” the trial judge and prosecutor were derelict in countenancing it, even absent the defendant’s timely assistance in detecting it. The Rule thus reflects a careful balancing of our need to encourage all trial participants to seek a fair and accurate trial the first time around against our insistence that obvious injustice be promptly redressed.
Id. (footnotes omitted).
Applying the plain error rule to Brown’s appeal, we note that the Supreme Court has held that “an error involving misjoinder ‘affects substantial rights’ and requires reversal only if the misjoinder results in actual prejudice because it ‘had substantial and injurious effect or influence in determining the jury’s verdict.’ ” Lane,
In this case, the misjoinder of the Original Offenses with the Additional [firearms] Offenses did not result in actual prejudice to Brown, however, because (1) the government had presented overwhelming evidence against Brown, (2) the judge presented the jury instructions in such a way as to minimize any risk of actual prejudice to Brown, (3) the acquittal on count seven, the Original [firearms] Offense, demonstrates that the jury was able to compartmentalize the charges, and (4) the evidence of the Additional [firearms] Offenses would have been cross-admissible had Brown been tried alone on the drug trafficking offenses. See Fed.R.Evid. 403, 404(b).
1. Overwhelming Evidence Against Brown
The government’s ease featured overwhelming physical evidence corroborated by the insider testamentary evidence of Heaven Sinclair. The November Search revealed the safe in Sinclair’s bedroom, from the door of which the police lifted two of Brown’s fingerprints, as well as two of his fingerprints from a digital scale inside the safe. The other evidence found inside the safe included, as we have said, two pistols, nine rounds of .32 calibre ammunition, forty rounds of nine millimeter ammunition, two razor blades with traces of white powder, packaging material, and over one hundred and thirty-five grams of cocaine base. A jury could have found Brown guilty of firearms possession and drug trafficking charges beyond a reasonable doubt on this physical evidence alone.
This evidence was corroborated by the sworn statements of Sinclair. On the day of the November Search, Sinclair told police that the drugs and firearms belonged to
The admission into evidence of the pistol and the pager raises the issue of prejudice under Rule 8 and Rule 14. Nevertheless, from the other evidence, for example, a jury could have found, beyond a reasonable doubt, that the safe belonged to Brown, that Brown was an armed drug dealer who cajoled Williams and Sinclair into using their home perhaps because it was so close to the Meyer Elementary School, and that Brown had placed the safe in Sinclair’s bedroom to store the tools of his trade: the drugs, scale, firearms, and packaging material. The safe key and its four-digit number matching three of the digits of the number on the safe confirm the case against Brown.
2.Jury Instructions
To ward against potential prejudice, the judge explained the concept of multiple defendants and multiple counts and then directed the jury to consider “each count and the evidence pertaining to it ... separately.” After giving these general instructions, the judge charged the jury with the elements of the law on each count for each defendant separately. Furthermore, the judge informed the jury that it was to assess the credibility of each witness. The jury knew that Sinclair was the daughter of Williams, and therefore understood that Sinclair might be biased. The judge explained that Sinclair, a government witness whose testimony was very damaging to Brown, was an alleged accomplice whose “testimony ... should be received with caution and scrutinized with care. You should give it such weight as in your judgment it is fairly entitled to receive.” We may presume that the jury follows its instructions. See Zafiro v. United States, - U.S. -, -,
3. The Acquittal on Count Seven
The jury acquitted Brown on count seven which alleged that “[o]n or about November 20, 1990, within the District of Columbia, [Brown] did knowingly use and carry a firearm, that is, a .32 calibre semiautomatic pistol and a 7.65 millimeter semiautomatic pistol, during and in relation to a drug trafficking crime ... that is, the offense set forth in Count Four.” The jury found Brown guilty of count four, possession with intent to distribute. The jury also found Brown guilty on counts eight and nine, almost identical firearms possession charges committed in February. The acquittal on count seven, therefore, is some evidence that the jury did follow the instructions and was able to discriminate among charges and evidence.
4. Cross-Admissibility of Evidence
The joinder of the Original Offenses with the Additional [firearms] Offenses does raise issues of relevance, admissibility, and prejudice under Fed.R.Evid. 401, 402, 403, and 404(b). Brown argues that some of the evidence found on his person during the February Search (the semiautomatic pistol, and the pager, but not the safe key) was inadmissible as evidence to prove the Original Offenses because it was relevant only to show propensity, which is forbidden under Rule 404(b); therefore, its “probative value is substantially outweighed by the danger of unfair prejudice.” Fed.R.Evid. 403.
In general, all relevant evidence is admissible. See Fed.R.Evid. 402. The Rules define “relevant evidence” to mean “evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.” Fed.R.Evid. 401. Our first question, then, is whether the gun, or the pager, were relevant in proving the Original Offenses: Does either the gun, or the pager, tend to make the existence of any fact of consequence more probable or less probable? Fed.R.Evid. 401, 402. We then ask whether the purpose for which the evidence is being
a. Relevancy Requirements of Rules 401, 402
Brown was charged with dealing in drugs and firearms possession. When arrested in February for the Original Offenses, Brown was in possession of the equipment of an armed drug dealer: a pager, a gun, and, of course, the key to the safe that contained drug paraphernalia, drugs, and firearms. Thus, the gun and the pager were relevant evidence; they tended to make more probable the existence of the fact that Brown was an armed drug dealer who used Williams’ apartment, and, more specifically, Sinclair’s bedroom, to inventory cocaine and to cache the tools of his trade.
b. Inadmissibility of Relevant Evidence under Rule 404(b)
Under Rule 404(b), “[ejvidence 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.” In this case, the pager is relevant to show intent to distribute, and, therefore, admissible for a proper purpose under Rule 404(b). See United States v. Rogers,
The gun is more difficult. At trial, the gun was actually admitted as evidence in reference to counts eight and nine: “On or about February 21, 1991, within the District of Columbia [Brown] having been convicted of a crime punishable by imprisonment for a term exceeding one year ... did unlawfully, knowingly and intentionally transport, ship or receive, in interstate or foreign commerce, a firearm.” The question, however, is whether the evidence would have been admitted had Brown been tried alone on the Original Offenses.
A reasonable person could come to the conclusion that a person who carries a gun with a serial number effaced is a person of the type who would deal drugs to elementary school children; therefore, the gun would be inadmissible if used to show Brown’s propensity to deal in drugs or to show “action in conformity” with the character of a drug dealer, whatever that may be. Nevertheless, the gun is cross-admissible under Rule 404(b) because it was relevant to show intent, knowledge or absence of mistake with respect to the firearms found in the safe during the November Search.
c.Balancing Requirements of Rule 403(b)
Under Rule 403, “[although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence.” Fed.R.Evid. 403. In balancing probative value against prejudicial effect, this court “lean[s] toward admitting evidence in close cases.” United States v. Miller,
First, we question whether admission of the pager into evidence would have had any prejudicial effect. The admission of a pager is neither prejudicial nor probative in proving the character of a person. Although the pager may be one of the many items associated with a drug dealer, many others including doctors, legal assistants, and emergency medical technicians carry pagers as part of their legitimate jobs in our modern world of advanced technological communications. Thus, the pager had little if any prejudicial effect. Second, the pager may have had some probative value. Therefore, we hold
5. Conclusion as to Rule 8
In short, we hold that Brown did not preserve the Rule 8 issue for appeal, and that the misjoinder under Rule 8 was not plain error, did not result in actual prejudice to Brown, and therefore does not require us to set aside Brown’s conviction.
E. Rule 14 Relief from Prejudicial Join-der
As a preliminary matter, our application of Rule 52’s harmless and plain error rule does not eviscerate Rule 14, “which provides the trial court with discretion to grant a severance ... when it believes the defendants or the Government may be prejudiced by a joinder.” Lane,
Rule 14 provides the trial judge flexibility when it appears, before trial, that a joint trial or jointly tried offenses may pose a risk of prejudice to a party. See Lane,
Nonetheless, we hold that the district judge did not abuse his discretion in denying Brown’s Rule 14 motion for severance of defendants. Further, the district judge did not abuse his discretion in denying Brown’s Rule 14 motion for severance of counts because, as we have said, the evidence of firearms possession offenses was cross-admissible had Brown been tried alone on the drug-trafficking offenses. We take each issue in turn.
1. Rule 14 Relief from Prejudicial Join-der of Defendants
Rule 14 provides that “[i]f it appears that a defendant or the government is prejudiced by a joinder ... of defendants in an indictment or information or by such joinder for trial together, the court may ... grant a severance of defendants or provide whatever other relief justice requires.” Fed.R.Crim.P. 14; see also United States v. Washington,
Brown argues that the district judge abused his discretion because he and his co-defendant were presenting antagonistic or mutually exclusive defenses. See, e.g., Manner,
To show abuse of discretion, however, the defendant must show more than “ ‘the presence of some hostility”’ among co-defendants, see id. at 326 (quoting United States v. Wright,
Brown did not demonstrate a high risk of prejudice. He argues that his and Williams’ defenses demonstrate an “ ‘irreconcilable inconsistency,’ ” Manner,
In short, we cannot say that the district judge abused his discretion in denying the motion to sever defendants.
Rule 14 also provides that “[i]f it appears that a defendant or the government is prejudiced by a joinder of offenses ... in an indictment or information or by such join-der for trial together, the court may order an election or separate trials of counts, ... or provide whatever other relief justice requires.” In reviewing the district court’s denial of the Rule 14 motion to sever counts, we find no abuse of discretion in this case primarily for the reasons stated in Section IV.d.4. of this opinion, namely, that the evidence of firearms possession offenses was cross-admissible had Brown been tried alone on the drug-trafficking offenses. See Fed.R.Evid. 403, 404(b).
V.
Conclusion
In conclusion, we hold that the Rule 8(b) misjoinder did not constitute plain error resulting in actual prejudice to Brown; and we affirm the order of the district court denying the motions to sever counts and defendants.
Judgment affirmed.
Notes
. 21 U.S.C. § 845a was transferred to 18 U.S.C. § 860. See Pub.L. No. 101-647, § 1002(b), 104 Stat. 4827 (1990).
. 21 U.S.C. § 845 was transferred to 18 U.S.C. § 859. See Pub.L. No. 101-647, § 1002(a)(1), 104 Stat. 4827 (1990).
. 21 U.S.C. § 845b was transferred to 21 U.S.C. § 861. See Pub.L. No. 101-647, § 1002(c), 104 Stat. 4827 (1990).
. Williams was tried on six drug offenses including possession with intent to distribute fifty grams or more of cocaine base, see 21 U.S.C. §§ 841(a)(1) & 841(b)(1)(A)(iii), and using and carrying a firearm during a drug trafficking offense. See 18 U.S.C. § 924(c)(1). At trial, the district court granted a motion for judgment of acquittal on the firearm count. The jury acquitted Williams on each of the remaining counts. While the Williams appeal was pending before this court, Williams challenged her convictions under 28 U.S.C. § 2255 (1988). This court remanded the case and the district court vacated the convictions. Williams then pleaded guilty to possession with intent to distribute fifty grams or more of cocaine base. On April 28, 1993, the district court sentenced Williams to time served.
. Brown’s main appellate brief relies on Rule 8(a) rather than Rule 8(b). See Appellant's Reply Br. at 1-2 (correcting citation in main brief). We do not rely on this inaccuracy in holding that Brown failed to preserve the Rule 8 issue.
Dissenting Opinion
dissenting:
I cannot join the majority opinion because, in my view, the District Court erred in denying appellant’s pre-trial motion to sever counts under Rule 14 of the Federal Rules of Criminal Procedure. As this court long ago recognized, “the admissibility of the other crimes evidence in separate trials is a highly significant factor in determining whether joinder is prejudicial....” Drew v. United States,
Appellant James Brown was tried on nine counts charged in a superseding indictment returned on April 9, 1991. Of those nine counts, seven were drug trafficking and related charges stemming from the November 20,1990 search of an apartment belonging to appellant’s co-defendant, Victoria Williams. That search revealed, inter alia, a locked safe containing crack cocaine, drug paraphernalia, two operable firearms, and ammunition. Appellant’s fingerprints were found on the inside of the safe itself and on a digital scale discovered in the safe. The remaining two counts arose from appellant’s arrest on February 21, 1991, at which time Brown, a convicted felon, was found to be carrying a semi-automatic pistol with a defaced serial number. A search incident to arrest further revealed that appellant carried a telephone beeper and a key bearing four numbers, three of which matched the serial number on the safe seized in November, the fourth number on the safe having been obliterated during its seizure.
I cannot agree with the majority’s conclusion that the gun and the beeper recovered in February 1991 would have been admissible in a trial of the November drug trafficking charges. Under the Federal Rules of Evidence, the trial court must undertake a two-step inquiry to determine the admissibility of such extrinsic evidence. United States v. Washington,
Although Rule 404(b) does not automatically bar evidence of a bad act that occurred after the crime charged, we have recognized that “[t]he temporal (as well as the logical) relationship between a defendant’s later act and his earlier state of mind attenuates the relevance of such proof.” United States v. Watson,
Moreover, there are no circumstances in this case to suggest that the subsequent act “in some material way [was] connected with the prior event.” United States v. Gallo,
In Rogers, the defendant’s attorney had waived his Rule 404(b) objection with respect to the beeper and our analysis proceeded under Rule 403. Therefore, we declined to address the questions whether Rule 404(b) applies only to “bad" or criminal acts and if so, whether possession of a beeper constitutes such an act. See Rogers,
