Lead Opinion
BATCHELDER, J., delivered the opinion of the court, in which MERRITT, KENNEDY, NELSON, BOGGS, NORRIS, SUHRHEINRICH, and SILER, JJ., joined. RYAN, J. (pp. 673-77), delivered a separate concurring opinion, in which MARTIN, C.J., JONES, DAUGHTREY, MOORE, and COLE, JJ., joined.
Jessie Jones, Jr., appeals his conviction for being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g) (Supp.1996). A panel of this court vacated the conviction and remanded this case for a new trial. United States v. Jones,
A federal grand jury indicted Jones for being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g)(1) (Supp. 1996). His case proceeded to a jury trial, where he pleaded not guilty. At the commencement of trial, Jones stipulated with the government that he was “a prior convicted felon for the purposes of this trial.”
The district court, prior to opening statements, informed the jury that
the defendant and the government have agreed or stipulated that the defendant is — or was, in fact, a convicted felon at the date alleged in the indictment. The defendant agrees that he was convicted of a felony prior to the date alleged in the indictment, so that element of the case has been proven. So you will consider that— by agreement, that the government has proven that aspect of the ease.
During the course of the trial, Jones testified that he had previously been convicted of seven felonies, and denied that he was contesting his convieted-felon status. He emphasized that his theory of the case was that he never possessed a weapon.
At the conclusion of the evidence, the district court gave the following instruction, which is the focus of this appeal:
The first element you must find beyond a reasonable doubt before you can convict the defendant is that the defendant had been convicted of a felony in a court of the United States or any state prior to the date he is charged with possessing a firearm. To satisfy the first element, you need only find that defendant was, in fact, convicted of a felony and the conviction was prior to the receipt or possession of the firearm charged in this case. Defendant admits that he was convicted of a felony prior to the date alleged in the indictment, so this element of the offense has been proven. Since defendant admits that he was previously convicted of a felony, you will find, that the government has established this element of the offense, and you will proceed to determine if the government has proven the remaining elements of the offense.
(emphasis added). Jones did not object to this instruction at trial. The case was submitted to the jury, which returned a guilty verdict. Jones subsequently filed this timely appeal.
II. ANALYSIS
“This circuit has set a high standard for reversal of a conviction on the grounds of improper instructions.” United States v. Sheffey,
In United States v. Thomas,
Jones claims that the instruction to the jury that “you will find that the government has established this element of the offense” was a deviation from the legal rule preventing a directed verdict for the prosecútion. As a general rule, a verdict cannot be directed in favor of the prosecution no matter how strong the evidence against the defendant. See United States v. Martin Linen Supply Co.,
We decline' to decide at this time whether the instruction challenged here was error. Rather we choose to decide the case on narrower grounds, see Ashwander v. TVA
B. OCCURRENCE OF PLAIN ERROR
Assuming the existence of error for purposes of our analysis, we must next determine whether the error was plain. United States v. Thomas,
There is only sparse ease law addressing this question, and what little ease law exists is divergent and conflicting. United States v. Mason,
C. EfpeCT ON Substantial Rights
Even if we were to assume plain error, Jones cannot prevail. The third prong of our analysis requires us to determine whether the plain error affected Jones’s substantial rights. Id. “[I]n most cases [‘affect substantial rights’] means that the error must have been prejudicial: It must have affected the outcome of the District Court proceedings.” Olano,
Jones wholly fails to make a specific showing of prejudice. Indeed it would be nearly impossible to establish that the “erroneous” instruction affected the outcome of the trial when Jones stipulated to his convicted-felon status, testified about his convictions on the stand, and clearly proceeded at trial on the theory that he was a convicted felon but that he never possessed a firearm. We hold that any error in this case, plain or otherwise, did not affect Jones’s substantial rights by affecting the outcome of the trial. See Fed. R.CRIM.P. 52(a) (“Any error, defect, irregularity or variance which does not affect substantial rights shall be disregarded.”); Ola-no,
D. SeRious Effect on the FajRness, INTEGRITY OR PUBLIC REPUTATION OF JUDICIAL PROCEEDINGS
“Finally, even if all three [of the above] factors exist, we must then consider whether to exercise our discretionary power under Rule 52(b)_” Thomas,
Although courts of appeal should correct errors in eases of actual innocence, we
Even if we were to assume that Jones has shown that the error was plain and that it affected his substantial rights, we would stay our hand in the exercise of our discretionary power in this ease. It is abundantly clear that any error in Jones’s case does not create a circumstance in which a miscarriage of justice would otherwise result. There is absolutely no possibility that Jones is actually innocent of § 922(g)(l)’s eonvictedfelon element. Neither is there a chance that any alleged error in this case seriously affected the fairness, integrity or public reputation of judicial proceedings. Absent the requisite effect, we refrain from exercising our discretionary authority.
III. CONCLUSION
After careful review of the existing case law and. the facts of this case, we find no reversible error. In summary, if there was any error in the district court’s instruction, it was not plain error; if there was plain error, it did not affect Jones’s substantial rights; if there was plain error affecting Jones’s substantial rights, it did not seriously affect the fairness, integrity or public reputation of the judicial proceedings in Jones’s case. Because Jones’s assignment of error fails at nearly every level of analysis, we AFFIRM his conviction.
Notes
. "Waiver is different from forfeiture. Whereas forfeiture is the failure to make the timely assertion of a right, waiver is the ‘intentional relinquishment or abandonment of a known right.’ ” Olano,
. Jones has not provided us any basis on which to conclude that his is the rare circumstance in which, although he cannot show prejudice, his substantial rights have been otherwise affected.
. Indeed, the rule that the panel's original disposition of this case would have established could easily result in greater prejudice to defendants. As the Tenth Circuit observed, there is a danger that the original Jones decision would deprive "defendants ... of the strategic benefit of a sterile stipulation in lieu of stark evidence of both the number and character of prior felony convictions .... This result would [be] far more prejudicial to [defendants] than [an] antiseptic stipulation.” United States v. Mason,
Concurrence Opinion
concurring separately.
While we, a minority of our court’s active judges, agree that the judgment of conviction in this case should be affirmed, we do not agree with the reasoning in the majority opinion. In our view, it was plain error, indeed constitutional plain error, for the trial judge to instruct the jurors that “you will find that the government has established [one of the] elements] of the offense” charged. But, like our colleagues, we would not reverse the defendant’s conviction because we do not believe that the trial court’s instructional error resulted in a miscarriage of justice.
I.
Jessie Jones, Jr., was indicted for being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g). At his jury trial he stipulated with the government that he was a convicted felon. In addition, Jones testified that he had previously been convicted of several felonies, but he maintained that he had never possessed a firearm.
At the conclusion of the evidence, the district court gave the following instruction, which is the basis of this appeal:
The first element you must find beyond a reasonable doubt before you can convict the defendant is that the defendant had been convicted of a felony in a court of the United States or any state prior to the date he is charged with possessing a firearm. To satisfy the first element, you need only find that defendant was, in fact, convicted of a felony and that the conviction was prior to the receipt or possession of the firearm charged in this case. Defendant admits that he was convicted of a felony prior to the date alleged in the indictment, so this element of the offense has been proven. Since defendant admits that he was previously convicted of a felony, you will find that the government has established this element of the offense, and you will proceed to determine if the government has proven the remaining elements of the offense.
(Emphasis added.) Jones did not object to this instruction at trial. The case was submitted to the jury and Jones was convicted. He filed a timely appeal arguing that the instruction given on the element of prior conviction was plain error.
II.
A criminal defendant has a constitutionally guaranteed right to have a jury determine whether his guilt of every element of the crime with which he is charged has been
The lead opinion in the panel decision in this case, in holding that the trial court committed plain error in telling the jurors that the stipulated fact had been “proven,” relied heavily on this court’s decision in Mentz. In that case, the government submitted uncontested evidence in support of an element of the charged crime and the trial judge instructed the jury that that element had been “proved.” Mentz,
[t]he judge improperly cast himself in the role of trier of fact, and directed a verdict on an essential element of the bank robbery charge. His instructions had the effect of relieving the government of its burden of proving, beyond the jury’s reasonable doubt, that the accused committed the crimes charged.
Id. at 320 (footnote omitted). The Mentz court also determined that the erroneous instruction could not be considered harmless because it was the kind of constitutional error that is “so fundamental to the criminal process that reversal is required ‘without regard to the evidence in the particular case.’” Id. at 323 (quoting Rose v. Clark,
Although there is much in the reasoning of Mentz that supports reversal of the defendant’s conviction here, we think there are important differences between Mentz and this case, and that there is an even more compelling reason in this case for disapproving the trial court’s erroneous instruction.
In the first place, there is a significant difference between instructing a jury that an uncontested fact has been proved, as in Mentz, and instructing a jury that a stipulated fact has been proved, as in this case. The Supreme Court has plainly stated that “the prosecution’s burden to prove every element of the crime is not relieved by a defendant’s tactical decision not to contest an essential element of the offense.” Estelle v. McGuire,
We believe it follows, then, that when a defendant stipulates to certain facts, a trial judge may instruct the jury that those facts may be considered proved by the government; such an instruction may be given without violating the rule of Mentz. Therefore, the portion of the trial court’s instruction in this ease, that “Defendant admits that he was convicted of a felony prior to the date alleged
But in this case, the trial judge not only instructed the jurors that the stipulated fact “has been proven,” he went further and told them that “[sjince defendant admits that he was previously convicted of a felony, you will find that the government has established .this element of the offense.” (Emphasis added.) In doing so, the court removed an essential element of the crime charged from the jurors’ consideration by directing the jurors what they must “find” as to that element. Declaring that a fact is “proven,” thus relieving the government of the burden of offering evidence on the point is one thing, but directing the jurors that they must find the fact proved is quite another; it is a finding by the trial court that the stipulation has effectively proved the stipulated fact beyond a reasonable doubt and that the jurors “will” so find. Such a direction violates a defendant’s right to have a jury determine his ultimate guilt on every element of the offense with which he is charged. Muse,
In Muse, the Fourth Circuit recognized that a stipulation relieves the government of its obligation to “produce evidence ... to establish the facts stipulated to beyond a reasonable doubt.” Muse,
Although a fact stipulation may have the effect of providing proof beyond a reasonable doubt of the existence of the facts that make up an element, a conviction is not valid unless a jury considers the stipulation and returns a guilty verdict based on its finding that the government proved the elements of the crime beyond a reasonable doubt. A court may not by-pass the jury and enter its own finding that the element has been established.
Id. at 679-80 (emphasis added and in original). Relying on the Supreme Court’s decisions in Gaudin and Sullivan, the Muse court concluded that “[t]o ‘remove from the jury’s consideration an element of the crime’ would ... violate the “very foundation of the jury system.’” Id. at 679 (quoting United States v. Gilliam,
We recognize that the Tenth Circuit has recently given fact stipulations in a criminal trial a different significance than we would give them. United States v. Mason,
[w]hen the only evidence tends to establish an elemental fact, or when the parties stipulate to evidence tending to establish an elemental fact, the jury must still resolve the existence or nonexistence of the fact sought to be proved. In contrast, the jury need not resolve the existence of an element when the parties have stipulated to the facts which establish that element. In the latter circumstance, the judge has not removed the consideration of the issue from the jury; the parties have. More specifically, by stipulating to elemental facts, a defendant waives his right to a jury trial on that element. If such a partial waiver runs afoul of the Sixth Amendment, then traditional, wholesale waivers manifest in bench trials and guilty pleas must necessarily violate the right to a jury trial.
Id. at 472-73. We do not agree with the conclusion that “by stipulating to elemental facts, a defendant waives his right to a jury trial on that element.” We do not understand a defendant’s stipulation to the factual basis of an element to constitute a knowing and voluntary waiver of his constitutional
The court in Mason, referring to our panel decision in this case, stated that “[p]erhaps the most disturbing aspect of Jones [,
This court has never held that, when instructing a jury as to the correct law, a trial judge may also direct the jury as to what it “will find.” The right to a jury trial guarantees “the common-sense judgment of a jury” and “community participation in the determination of guilt or innocence ... as a defense against arbitrary law enforcement.” Duncan v. Louisiana,
We conclude that the trial judge in this case crossed the constitutionally significant line between instructing a jury that a stipulated fact may be considered “proven” and instructing a jury as to what it “will find,” thus directing a verdict against Jones on an element of the offense.
We conclude, therefore, that the instruction violated the defendant’s Fifth Amendment right to due process and Sixth Amendment right to a jury trial.
III.
Had Jones objected to the unconstitutional instruction in this case at trial, our next step would be to consider whether the error was harmless beyond a reasonable doubt. See Mentz,
“No procedural principle is more familiar to this Court than that a constitutional right may be forfeited in criminal as well as civil eases by the failure to make timely assertion of the right before a tribunal having jurisdiction to determine it.” Yakus v. United States,
Although we are satisfied that the instruction in this case was error and that the error was plain, we are nevertheless convinced that this is not a proper occasion for the exercise of our discretion under Rule 52(b). The instruction was erroneous because it directed the jury to find that Jones was guilty of an element of the crime with which he was charged. However, given that Jones not only stipulated to the fact that he was a convicted felon, but also testified that he was, a decision to vacate his conviction would serve no other purpose than to preserve the jury’s power to ignore Jones’s admissions and stipulation and nullify the law. Although we acknowledge that this power is an implicit, although logically indefensible, part of the constitutional guarantee to a jury trial— largely because there is no satisfactory way to preclude it — we are not moved to exercise our discretion so that Jones might reap the benefit of a lawless jury verdict.
We have no doubt that many structural errors are capable of causing a “miscarriage of justice” or compromising “the fairness, integrity or public reputation of judicial proceedings.” The error in this case, however, was not one of them.
As the Supreme Court explained, “[i]n our collateral-review jurisprudence, the term ‘miscarriage of justice’ means that the defendant is actually innocent.” Id. at 736,
We concur in the judgment of affirmance.
