United States of America, Appellee, v. Jimmy Lee Stuckey, Jr., Appellant.
No. 00-1300
United States Court of Appeals FOR THE EIGHTH CIRCUIT
Submitted: May 9, 2000 Filed: August 9, 2000
Before BOWMAN, LOKEN, and BYE, Circuit Judges.
Jimmy Lee Stuckey, Jr., appeals both his conviction for being a felon in possession of a firearm, and the sentence he received. Stuckey challenges the conviction by claiming the district court erred during jury deliberations when it gave a supplemental instruction that stated a “person who has been convicted of a felony may not knowingly possess a firearm at any time,” even though the indictment had charged possession “on or about” a date certain. Stuckey challenges the sentence by claiming that four prior drug convictions stemming from a military court martial should
BACKGROUND
Stuckey was charged in a two-count indictment, the first count of which charged him with being a felon in possession of a firearm “on or about December 25, 1998.” The second count charged Stuckey with making a false statement to a gun dealer at the time he purchased that firearm. He pleaded guilty to the false statement charge, but went to trial on the possession charge.
At trial, the jury learned that Stuckey, a resident of Memphis, Tennessee, was delivering presents to his relatives in Arkansas on Christmas Day. He was driving over ninety miles per hour down Interstate 40 when stopped by Arkansas state trooper Sam Koons. Stuckey was driving a car owned by Sheila Gray, his girlfriend.
Before Stuckey pulled over, Trooper Koons noticed him moving around in the car, leaning over as if trying to hide something. When Koons approached the vehicle to ask for license, registration, and proof of insurance, Stuckey reached into a duffle bag on the passenger‘s seat to get his wallet. In the process, Trooper Koons observed a gun clip in the duffle bag. Koons subsequently searched the vehicle and discovered a handgun under the driver‘s seat. The gun clip from the duffle bag fit the handgun found under the driver‘s seat. The other items in the duffle bag were men‘s clothes.
Gray, the girlfriend, testified that the car, the gun, the duffle bag, and all the contents of the duffle bag, belonged to her. Koons testified that, on the night of the arrest, Gray came to the police station and was asked if she owned any guns. She told Koons that she owned a long gun (gesturing to indicate the length of her gun), but that she did not own a short gun. Gray denied this conversation at trial.
During jury deliberations, the jury sent a note to the court asking: “On Element Number 2, knowingly possessed a firearm, does this mean knowingly at any time or at the time of his arrest?”1 The district court then gave the jury a supplemental instruction indicating: “A person who has been convicted of a felony may not knowingly possess a firearm at any time.” Defense counsel objected to the instruction: “I would object to the response that knowingly possessed a firearm pertained to any time because the evidence as put on today, and in the indictment itself, it‘s on the date of arrest, December 25, 1998 . . . [and] it should pertain to that date.” The jury found Stuckey guilty.
At the time of sentencing, the court found that Stuckey was subject to an enhanced sentence under
- distributed 4.52 grams of marijuana on August 26, 1988;
- distributed 66.24 grams of marijuana on September 16, 1988;
- possessed an additional 3.25 grams of marijuana with intent to distribute on September 16, 1988; and
- distributed 2.086 grams of cocaine on September 14, 1988.
Each offense carried a maximum sentence of 15 years under military law.
DISCUSSION
I. The Conviction
The first issue we must decide is whether the supplemental instruction given by the district court requires us to reverse the conviction and remand for retrial. Normally, we review instructions given to the jury under an abuse of discretion standard. See, e.g., United States v. Smith, 104 F.3d 145, 148 (8th Cir. 1997). But where the issue is whether an instruction amounts to a “variance,” the issue we ultimately decide to address,3 a different standard of review applies. Whether a variance exists, and, if so, whether that variance prejudiced Stuckey, are questions of law thаt we review de novo. See, e.g., United States v. Portela, 167 F.3d 687, 700 (1st Cir. 1999); United States v. Williamson, 53 F.3d 1500, 1512 (10th Cir. 1995). A variance that does not result in actual prejudice to the defendant is harmless error, and does not require reversal of the conviction. See United States v. Begnaud, 783 F.2d 144, 148 (8th Cir. 1986).
The jury‘s request for additional instruction was, presumably, triggered by the fact that the government introduced evidence of possession relating to periods of time other than the date of arrest alleged in the indictment. Most notably, there was evidence that Stuckey also possessed the firearm at the time of its purchase.4
Under these circumstances, the district court should have used an instruction similar to the one used in United States v. Brody, 486 F.2d 291 (8th Cir. 1973). Brody also involved a firearm possession charge where, during deliberations, the jury asked a question about the timing of the defendant‘s possession: “Does Count One of the Indictment mean at the time of the arrest or possession of the gun at any previous time covered by the evidence at trial?” Brody, 486 F.2d at 292. The court responded:
Count One of the indictment in this case charges that the offense charged therein was committed “on or about the 7th day of July, 1972.” The proof need not establish with certainty the exact date of the alleged offense. It is sufficient if the evidence in the case establishes beyond a reasonable doubt that the offense was committed on a date reasonably near the date alleged.
Deciding that a different instruction should have been given does not conclude our inquiry, however. We must determine whether the supplemental instruction that was in fact given requires reversal. In United States v. Ford, 872 F.2d 1231 (6th Cir. 1989), the Sixth Circuit addressed that question as applied to a supplemental instruction very similar to the one given here. Ford also involved a firearm possession charge where the evidence demonstrated possession at times other than the date of arrest alleged in the indictment. The first period of possession pertained to the purchase of the gun on November 2, 1986. A second period of possession was on August 8, 1987, when Ford was alleged to have shot himself in the hand with the firearm. A third period of possession was at the time of Ford‘s arrest during a domestic altercation on September 28, 1987. This third date was the “on or about” date charged in the indictment. See Ford, 872 F.2d at 1232-34.
In its initial instructions, the Ford trial court gave an instruction similar to that used in Brody: proof of possession at a time “reasonably near” the date alleged in the indictment was sufficed to convict. See id. at 1234. When the jury asked for further instruction as to what constituted a date “reasonably near” the date charged in the indictment, the court gave a supplemental instruction which indicated that a person may not possess a firearm at any time after being convicted of a felony. The court further instructed that proof of Ford‘s possession could encompass any time between the date of purchase and the date of arrest. See id.
We have frequently discussed the difference between a variance in the evidence and a constructive amendment of the indictment, most recently in United States v. Novak, ___ F.3d ___, ___, 2000 WL 781077 at *5 (8th Cir. June 20, 2000), and United States v. Emery, 186 F.3d 921, 927-28 (8th Cir. 1999). The basic difference between a constructive amendment and a variance is this: a constructive amendment changes the charge, while the evidence remains the same; a variance changes the evidence, while the charge remains the same. See Novak, 2000 WL 781077 at *5; Emery, 186 F.3d at 927-28.
The difference between the two concepts is significant. A constructive amendment is reversible error рer se, but a variance is subject to the harmless error rule. That difference stems from the underlying constitutional rights affected. A constructive amendment directly violates the Fifth Amendment right not to “be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury.”
If it lies within the province of a court to change the charging part of an indictment to suit its own notions of what it ought to have been, or what the grand jury would probably have made it if their attention had been
called to suggested changes, the great importance which the common law attaches to an indictment by a grand jury, as a prerequisite to a prisoner‘s trial for a crime, and without which the Constitution says “no person shall be held to answer,” may be frittered away until its value it almost destroyed.
Ex Parte Bain, 121 U.S. 1, 10 (1887).
Conversely, a variance in the evidence affects the defendant‘s right to adequate notice, that is, the Sixth Amendment right “to be informed of the nature and cause of the accusation.”
The distinction between a constructive amendment and a variance is clear in theory, but often blurred in application. This case presents a good example. The district court‘s supplemental instruction could be viewed as a change in the charge itself, thereby allowing the jury to convict Stuckey of an offense (possession of the firearm at the time of purchase) other than that charged in the indictment (possession
Normally, we would decide whether to examine this supplemental instruction as a constructive amendment, or as a variance. In this case, however, we feel constrained to limit our analysis to the extent that the issue was raised in the trial court and on appeal, for “[i]t is not this court‘s job to research the law to support an appellant‘s argument.” Lusby v. Union Pac. R.R. Co., 4 F.3d 639, 642 (8th Cir. 1993) (quoting United States v. Papia, 910 F.2d 1357, 1363 (7th Cir. 1990)).
At trial, defense counsel objected to the supplemental instruction by stating, “I would object to the response that knowingly possessed a firearm pertained to any time because the evidence as put on today, and in the indictment itself, it‘s on the date of arrest, December 25, 1998 . . . [and] it should pertain to that date.” That argument perhaps sufficed to preserve the objection for review on appeal without subjecting it to the plain еrror standard of review. See
Stuckey challenges the propriety of the supplemental instruction on appeal, but only in the most perfunctory manner. Stuckey does not argue that the supplemental instruction amounted to a constructive amendment of the indictment. Nor does he identify the instruction as an infringement of his constitutional rights under the Fifth or Sixth Amendments. Indeed, Stuckey neglected to develop any constitutional arguments on appeal. Cf. Voss v. Shalala, 32 F.3d 1269, 1272 (8th Cir. 1994) (declining to
Stuckey‘s opening brief cites no legal authority in its discussion of the supplemental instruction. Stuckey merely concludes that the instruction was “clearly an error of law.” The only legal authority referred to by Stuckеy, in his reply brief, cites the general principle that supplemental instructions must be “accurate, clear, neutral, and non-prejudicial.” United States v. Suppenbach, 1 F.3d 679, 683 (8th Cir. 1993).
We have encountered some difficulty identifying the legal principle or doctrinal framework upon which Stuckey relies. He has asked us simply to determine whether the supplemental instruction was “non-prejudicial.”
We conclude that Stuckey‘s request cannot be interpreted as raising a constructive amendment issue, because the resolution of that issue would not entail a “prejudice” analysis. As explained above, a constructive amеndment violates a defendant‘s Fifth Amendment grand jury right per se, that is, irrespective of prejudice. But a prejudice analysis is required under the variance doctrine. The presence or absence of prejudice in an instruction implicates a Sixth Amendment concern — whether the government properly informed a defendant of the “nature and cause of the accusation.”
Having reached this point in our analysis, we conclude that any variance in this case did not result in material prejudice. Time is not a material element of a criminal offense unless made so by the statute creating the offense. See Ledbetter v. United States, 170 U.S. 606, 612 (1898). The date of the offense is not a material element of a firearm possession charge under
Similarly, in United States v. Nunez, 668 F.2d 1116 (10th Cir. 1981), the Tenth Circuit addressed a possession charge under
Variances between the date allеged in the indictment and the proof at trial have been identified as material only when alibi is a defense. See, e.g., United States v. Goodrich, 493 F.2d 390, 393-94 (9th Cir. 1974) (discussing cases that found reversible error where a trial court instructed the jury that the offense could occur on dates other than those charged in the indictment even though alibi was raised as a defense); see also Nelson v. Solem, 795 F.2d 636, 637 (8th Cir. 1986) (discussing the propriety of giving an “on or about” instruction when alibi is a defense).
Time was not a material element of this crime, the evidence of possession was within the statute of limitations period, alibi was not an issue, and the evidence in support of the conviction was strong. We therefore conclude that any variance that existed as a result of the evidence proffered at trial, or that was created by the district court‘s supplemental instruction, did not materially prejudice the appellant. We affirm the conviction.
II. The Sentence
The next issue is whether Stuckey‘s four prior drug convictions for violating Article 112a of the Uniform Code of Military Justice,
The district court enhanced Stuckey‘s sentence under the armed career criminal provisions after concluding that his four prior military drug conviction were “serious drug offenses.” However, Congress did not include a reference to military law within § 924(e)(2)(A)‘s definition of “serious drug offense.” Subparagraph (e)(2)(A)(i) refers to three specific federal acts — the Controlled Substance Act, the Controlled Substances Import and Export Act, and the Maritime Drug Law Enforcement Act —
The government cites United States v. Martinez, 122 F.3d 421 (7th Cir. 1997), for the proposition that a military drug conviction should constitute a “serious drug offense” for enhancement purposes. The issues addressed in Martinez were (1) whether the reference to convictions in “any court” at paragraph (e)(1) of the statute included convictions in military court, and (2) whether a military conviction for housebreaking constituted a “violent felony” under subparagraph (e)(2)(B) of the statute. See Martinez, 122 F.3d at 423-24. The Seventh Circuit held that military court cоnvictions could be used as predicate offenses for enhancement purposes, because the statute‘s broad reference to “any court” included military courts. The Seventh Circuit also held that a “housebreaking” offense under military law fit the generic definition for burglary, and thus constituted a “violent felony” under subparagraph (e)(2)(B) of the statute. See id.
Relying on Martinez, the government argues it is absurd that military convictions count as predicate offenses under paragraph (e)(1), but that a military drug offense can never constitute a “serious drug offense” under subparagraph (e)(2)(A). The government also suggests it is absurd that certain military convictions count as “violent felonies” under subparagraph (e)(2)(B), but that a military drug offense can never constitute a “serious drug offense” under subparagraph (e)(2)(A). The government urges us not to give the statute a “literal” interpretation, and to ignore the fact that the statute‘s definition of “serious drug offense” does not refer to the Uniform Code of Military Justice.
We are unpersuaded by that argument, and cannot ignore our obligation to read the statute literally. Martinez did not address what offenses may constitute “serious drug offenses” under subparagraph (e)(2)(A). Furthermore, for a cоnviction to count
Congress defined two general types of predicate оffenses that would trigger the enhancement provisions of § 924(e): serious drug offenses and violent felonies. But Congress adopted different structural frameworks for defining those predicate offenses.
The term “violent felony” is initially defined as “any crime punishable by imprisonment for a term exceeding one year.”
Instead of using a “categorical approach” to define “serious drug offense,” Congress used what we will refer to as a “listing approach.” Congress did not initially define “serious drug offense” in a broad manner, as it did with “violent felony.” Instead, from the outset, Congress defined the term more precisely by specifically listing the federal provisions under which a serious drug offense might fall, see
Under these circumstances, Congressional intent to exclude from the enhancement provisions any drug offenses under the Uniform Code of Military Justice is inferred. Under the principle of inclusio unius est exclusio alterius, the fact that Congress listed certain statutes is an indication that it intended to exclude unlisted statutes. See United States v. Darden, 70 F.3d 1507, 1524-25 (8th Cir. 1995) (holding that where Congress specifically listed a number of drug-related offenses that constitute predicate acts for purpose of the RICO statute, Congress meant that offenses not specifiсally listed would not constitute predicate acts).
Congress knows how to use more inclusive language for sentence enhancement purposes when it so chooses. For example, prior to amendment in 1994, two sentence enhancement provisions for repeat drug offenders,
Section 960(b)(2), as then written, provided:
If any person commits such a violation after one or more prior convictions for an offense punishable under this paragraph, or for a felony under any other provision of this subchapter оr subchapter II of this chapter or other law of a State, the United States, or a foreign country relating to narcotic drugs . . . such person shall be sentenced to a term of imprisonment of not less than 10 years and not more than life imprisonment.
(a) Any persons convicted of any offense under this subchapter is, if the offense is a second or subsequent offense, punishable by a term of imprisonment twice that other authorized . . .
(b) For purposes of this section, a person shall be considered convicted of a second or subsequent offense if, prior to commission of such offense, one or more prior convictions of him for a felony under any provision of this subchapter or subchapter I of this chapter or other law of a State, the United States, or a foreign country relating to narcotic drugs.
A military drug conviction would fall under that broader definition, because the Uniform Code of Military Justice is an “other law of . . . the United States.” However, military drug convictions are not included within the more precise definition used by Congress at § 924(e)(2)(A)(i) & (ii).
In United States v. Tremble, 933 F.2d 925 (11th Cir. 1991), the Eleventh Circuit addressеd the fact that the prior versions of
[T]he existence of these other sentence-enhancement provisions [18 U.S.C. § 924(e)(2)(A)(i) & (ii) and U.S.S.G. § 4B1.2] requiring more than simple possession suggests that at the time Congress enacted sections 960(b)(2) and 962(b), that legislative body knew how to limit the types of prior convictions available as predicates for sentence enhancement by using more precise definitions.
Tremble, 933 F.2d at 929-30 (emphasis added).
Congress may have had good reason for not including military drug convictions on § 924(e)‘s “serious drug offense” list. The maximum penalty a soldier might receive for a drug offense in a general court martial is disproportionate to the maximum penalty a civilian might receive for the same conduct. For example, possession of marijuana with intent to distribute, in any amount (no matter how small) is subject to fifteen years confinement in a general court martial. See Punitive Articles ¶ 37(e)(2)(A), Manual for Courts-Martial United States 1984 (1994 ed.). In federal civilian cases, however, possession of marijuana with intent to distribute, in an amount up to 50 kilograms, is only subject to a maximum term of five yеars imprisonment. See
Congress intended that only “serious drug offenses” (those involving drug quantities large enough to trigger a maximum sentence of ten years or more) would be used for enhancement purposes under § 924(e). Military law is inconsistent with that intent, since military charges involving small amounts of drugs can still be treated very seriously.7
A true copy.
Attest:
CLERK, U.S. COURT OF APPEALS, EIGHTH CIRCUIT.
Notes
(e)(1) In the case of a person who violates section 922(g) . . . and has three previous convictions by any court referred to in section 922(g)(1) . . . for a violent felony or a serious drug offense, or both, committed on occasions different from one another, such person shall be . . . imprisoned not less than fifteen years . . . .
(2) As used in this subsection -
(A) the term “serious drug offense” means -
(i) an offense under the Controlled Substances Act (
21 U.S.C. 801 et seq. ), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq. ), or the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq. ), for which a maximum term of imprisonment of ten years or more is prescribed by law; or(ii) an offense under State law, involving manufacturing, distributing, or possessing with intent to manufacture or distribute, a controlled substance (as defined in section 102 of the Controlled Substances Act (
21 U.S.C. 802 )), for which a maximum term of imprisonment of ten years or more is prescribed by law.
