Lead Opinion
Defendant-Appellee Larry Lujan is charged with the capital crime of kidnapping resulting in the death of a victim, in violation of 18 U.S.C. § 1201(a)(1), for the kidnapping and subsequent murder of Dana Joe Grauke II in March 2005 (the “Grauke murder”). In its pursuit of the death penalty, and for purposes of the sentencing phase only, AppellanMJnited States sought to have evidence admitted that Lujan had previously committed a double homicide in New Mexico in December 1998 (the “Chamberino murders” or the “double homicide”). The United States asserted that this double homicide evidence would prove Lujan’s future dangerousness-a non-statutory aggravating factor for the death penalty. Lujan argued that this evidence cannot be admitted because it is unfairly prejudicial, particularly because Lujan has been charged by New Mexico with the Chamberino murders but not convicted of them. The district court agreed with Lujan and ordered the evidence excluded pursuant to 18 U.S.C. § 3593(c) of the Federal Death Penalty Act of 1994. The United States filed an interlocutory appeal of this order. Under 18 U.S.C. § 3731, we have jurisdiction to hear an interlocutory appeal of a district court’s pretrial order excluding evidence from the sentencing phase. See also United States v. Pepin,
BACKGROUND
The details of the Grauke murder as alleged by the United States depict a gruesome scene in which Lujan (and his cohorts) severely beat Grauke over a significant period of time, sexually assaulted Grauke, and engaged in other acts to terrify and isolate Grauke. The handful of allegations necessary to understand this case begin when Lujan
The facts of the Chamberino murders as alleged by the United States are equally gruesome. As a result of a drug dispute between Lujan and Alfredo Gonzales, in early December 1998, Lujan went to Gonzales’s home in Chamberino, New Mexico, at which Juana Olmeda also resided. Lujan slit Alfredo’s throat because of the drug dispute and slit Olmeda’s throat because she witnessed Lujan killing Alfredo. Lujan left the Gonzales home, obtained gasoline, and returned with a friend, Pablo Renteria, only to find Alfredo still alive. At this point, Lujan repeatedly kicked Alfredo in the head and body, telling him “[tjhis is what happens when you mess with me.” (Id. at 90.) Lujan then searched the house for drugs and, ultimately, poured gasoline over the victims’ bodies, including the apparently still-breathing Alfredo, and set them on fire. Lujan then absconded to El Paso, Texas, where he called Daniel Quintana and told him what happened. The victims’ eleven-year-old daughter discovered the bodies the next afternoon.
In the sentencing phase of the Grauke murder, assuming there is a conviction, the United States would like to introduce at least the following evidence to prove Lujan committed the Chamberino murders: (1) evidence that a bloody rag found on Gonzales’s body contained DNA matching Lujan’s DNA, but did not contain the DNA of the victims; (2) testimony of Daniel Quintana about how he had been with Lujan prior to the homicides, that Lujan had become upset with Gonzales over drugs, and that Lujan had disappeared for a while at the time the homicides occurred; (3) a statement from Pablo Renteria about what he saw when he returned with Lujan to the Gonzales home; and (4) testimony from a medical examiner as to the wounds and manner of the victims’ deaths. The United States offered to sanitize some of this evidence, including Renteria’s statement. The Government also proposed a summary witness as an alternative. Nonetheless, the court excluded from the sentencing phase all evidence related to the Chamberino murders.
DISCUSSION
I. Standard of Review
We review a district court’s order excluding evidence from the penalty phase of a capital case under 18 U.S.C. § 3593(c) for an abuse of discretion. See United States v. McVeigh,
I. Analysis
The precise issue before us is whether the district court abused its discretion by excluding evidence under 18 U.S.C. § 3593(c). Section 3593(c) sets forth the following evidentiary standard for the penalty phase:
At the sentencing hearing, information may be presented as to any matter relevant to the sentence, including any mitigating or aggravating factor permitted or required to be considered under section 3592.... The government may present any information relevant to an aggravating factor for which notice has been provided under subsection (a). Information is admissible regardless of its admissibility under the rules governing admission of evidence at criminal trials except that information may be excluded if its probative value is outweighed*854 by the danger of creating unfair prejudice, confusing the issues, or misleading the jury.
(emphasis added). Section 3593(c) further requires that the government prove the aggravating factors beyond a reasonable doubt. Id. (“The burden of establishing the existence of any aggravating factor is on the government, and is not satisfied unless the existence of such a factor is established beyond a reasonable doubt.”).
Based on § 3593(c), therefore, the threshold limitation on introducing information at a capital sentencing is that such information must be “relevant” to sentencing. Although § 3593(c) fails to define “relevant,” we have interpreted it as “the same standard used throughout the federal courts under Federal Rule of Evidence 401.” McVeigh,
If the district court makes a threshold finding that the information is relevant, § 3593(c) provides that the district court should admit the information unless it concludes that “its probative value is outweighed by the danger of creating unfair prejudice, confusing the issues, or misleading the jury.”
Here, we agree with the district court that the double homicide evidence was relevant and of considerable probative value to Lujan’s future dangerousness. (Dist. Ct. Ord. at 7 (concluding that evidence of the double homicide “is clearly relevant and probative of the issue of dangerousness”).) If proven, Lujan’s commission of a double homicide has a “tendency” to make it “more probable” that he poses a future danger, even if that future danger is limited to a penal setting. See United States v. Fields,
It is at this point, however, that we part ways with the district court. The district court found that the high probative value of the double homicide evidence was outweighed by three countervailing interests: (1) that admission of the evidence would undermine Lujan’s presumption of innocence regarding the Chamberino murders; (2) that the evidence would unfairly prejudice the jury against Lujan because of the gruesome nature of the Chamberino murders; and (3) that the evidence would confuse the jury by causing them to consider the double homicide as an independent aggravating factor instead of as evidence tending to prove the non-statutory aggravating factor of future dangerousness. We address each of these reasons separately, and we conclude that none justify the district court’s complete exclusion of the double homicide evidence. Therefore, we hold that the district court abused its discretion in excluding the evidence.
A. Impinging Lujan’s Presumption of Innocence
The district court’s primary rationale for excluding evidence of the Chamberino murders from Lujan’s sentencing phase for the Grauke murder is that the district court concluded that admitting the evidence would infringe upon Lujan’s presumption of innocence for those murders. (Dist. Ct. Ord. at 10 (“[I]t is unreasonable to expect that a jury, which would have just convicted Mr. Lujan of murder, would still be capable of according to him the benefit of a fully operational presumption of innocence with respect to allegations that he committed the Chamberino murders.”).) We disagree.
Introducing evidence in the sentencing phase of the Grauke murder trial that tends to prove Lujan engaged in other unadjudicated murders neither undermines, nor even implicates, Lujan’s presumption of innocence with respect to those other crimes. The presumption of innocence attaches to each element of a particular offense or charge, not the conduct underlying the offense. That is, if a defendant is charged with a criminal offense, the presumption of innocence “operates at the guilt phase of a trial [on that offense] to remind the jury that the State has the burden of establishing every element of the offense beyond a reasonable doubt.” Delo v. Lashley,
In this case, Lujan has been charged only with kidnapping resulting in Grauke’s death. The federal government will need to prove each element of that offense beyond a reasonable doubt to convict Lujan.
Neither the Supreme Court nor this Court has ever held that admitting evidence at sentencing that tends to prove the defendant engaged in other unadjudicated criminal conduct infringes on the defendant’s presumption of innocence pertaining to the other unadjudicated conduct. Instead, both the Supreme Court and this Court have repeatedly held that the district court may admit evidence of such unadjudicated conduct in the penalty phase of a capital trial without violating the defendant’s constitutional rights. See Williams v. New York,
In fact, even evidence tending to prove that the defendant engaged in criminal conduct for which he has already been prosecuted and acquitted may be introduced at sentencing in a trial charging a separate offense. United States v. Watts,
The district court’s conclusion that Lujan’s presumption of innocence would be undermined by the admission of the double homicide evidence at sentencing stemmed largely from its reading of Johnson v. Mississippi
In its opinion the Mississippi Supreme Court drew no distinction between petitioner’s 1963 conviction for assault and the underlying conduct that gave rise to that conviction. In Mississippi’s sentencing hearing following petitioner’s conviction for murder, however, the prosecutor did not introduce any evidence concerning the alleged assault itself; the only evidence relating to the assault consisted of a document establishing that petitioner had been convicted of that offense in 1963. Since that conviction has been reversed, unless and until petitioner should be retried, he must be presumed innocent of that charge. Indeed, even without such a presumption, the reversal of the conviction deprives the prosecutor’s sole piece of documentary evidence of any relevance to Mississippi’s sentencing decision.
Id. at 585,
Our analysis coheres with Johnson because we also draw a distinction between a prior conviction for an offense and the conduct underlying that conviction. In Johnson, the aggravating factor was the petitioner’s prior felony conviction. Once that conviction was overturned, the jury had no basis for finding that aggravating factor. In this case, however, the aggravating factor is Lujan’s future dangerousness, which must be proven beyond a reasonable doubt. 18 U.S.C. § 3593(c). With respect to the Chamberino murders, however, the federal government is simply attempting to prove Lujan engaged in violent conduct that tends to prove he poses a future danger; it is not seeking to prove Lujan has been convicted of criminal offenses for the Chamberino murders.
In sum, the introduction at sentencing of evidence tending to prove a defendant engaged in other unadjudicated criminal conduct neither implicates nor infringes upon the defendant’s presumption of innocence with respect to a separate criminal prose
B. Unfair Prejudice
The district court’s second reason for excluding the Chamberino murders evidence was that the gruesome nature of the Chamberino murders posed too great a risk of causing the jury to reach an impassioned, unreasoned sentencing decision at the Grauke sentencing stage. (Dist. Ct. Ord. at 8 (explaining that the “powerfully emotive” nature of the Chamberino murder evidence “creat[es] a substantial risk that the jury could impose a sentence that is based on, or appears to be based on, emotional considerations rather than instructed reason”).) We disagree and conclude that the district court abused its discretion in concluding that, in this case, any evidence of the double homicide posed such a great risk of unfair prejudice that it outweighed its high probative value.
Section 3593(c) permits balancing of probative value against “unfair prejudice,” not all prejudice. The objective of the sentencing stage of a capital case is to allow the jury a full appraisal of the defendant. See Gregg v. Georgia,
The risk that introducing graphic evidence of brutal murders will give rise to emotional reactions poses a legitimate risk of unfair prejudice; however, the vicious, brutal nature of a defendant’s conduct is not itself sufficient to justify a complete exclusion of evidence tending to show the defendant engaged in those acts. In the guilt phase of a trial, courts have not allowed defendants to benefit from a Rule 403 exclusion for unfair prejudice simply because their conduct was of a grisly nature. See, e.g., United States v. Sounding-sides,
Moreover, the importance of reliable, informed decisionmaking actually counsels in favor of admitting evidence of the double homicide, notwithstanding its grisly nature. The Supreme Court has emphasized that the jury should receive “as much information as possible when it makes the sentencing decision,” Gregg,
Finally, the district court has sufficient discretion to control the presentation of the evidence to minimize adequately the risk of unfair prejudice to Lujan. The double homicide at issue here certainly entails brutal characteristics. Two individuals were severely beaten and their throats slit. One of those individuals was apparently burned alive. And the allegations suggest Lujan engaged in these acts with a cold, calculated demeanor. Nonetheless, the government has offered some means of sanitizing this evidence. While not all of those means may work, the district court can use its discretion to ensure the jury receives the evidence that is highly probative of Lujan’s future dangerousness, while at the same time excluding details carrying lesser probative value that is unnecessarily gruesome and poses a real risk of causing unfair prejudice. See McVeigh,
C. Juror Confusion
The district court’s final reason for excluding the double homicide evidence was its fear that admission would cause juror confusion. Specifically, the district court worried that there was a “substantial risk” that the jury would treat Lujan’s alleged
The district court correctly identified a concern about juror confusion, but we feel it overstated that concern. In the trial context we regularly allow the admission of evidence for one purpose but not another, and we use a limiting instruction to channel the jury to consider that evidence properly. See Fed.R.Evid. 105 (“When evidence which is admissible ... for one purpose but not admissible ... for another purpose is admitted, the court, upon request, shall restrict the evidence to its proper scope and instruct the jury accordingly.”). Although the Chamberino murders evidence at issue here will be admitted in the penalty phase of the trial, the situation is the same as in the guilt phase insofar as the double homicide evidence is being admitted for the limited purpose of proving a non-statutory aggravating factor. See Corley,
We are confident that this experienced and well-respected district court judge can form a jury instruction that will make it clear to the jury that the double homicide evidence is being admitted on the issue of whether the government has proven the non-statutory aggravating factor of future dangerousness and that its consideration is limited to that purpose only. We presume the jury will follow those instructions. See United States v. Castillo,
CONCLUSION
In sum, we conclude that the district court abused its discretion in excluding all evidence that Lujan committed the Chamberino murders from the sentencing stage of the Grauke murder trial should Lujan be convicted. None of the reasons that the district court offered (either singly or cumulatively) justify a complete exclusion of that evidence.
REVERSED AND REMANDED.
Notes
. Although the United States alleges other individuals were involved, our focus is on Lujan's presence and participation.
. Although § 3593(c) imposes only two limitations on the admission of information at sentencing — relevancy and that the probative value not be outweighed by countervailing interests — other limitations, which are not at issue here, may also arise. See United States v. Bulks,
. If Lujan is convicted of the offense of kidnapping resulting in the victim’s death stemming from the Grauke murder, his presumption of innocence for that charge has been overcome and the presumption “disappears.” See Delo,
. In our analysis, we examined each of the district court’s three reasons as if they were completely separate from the others. Whether those reasons are considered independently or cumulatively, however, they cannot justify a complete exclusion of the double homicide evidence in these circumstances. Moreover, the district court’s legal
Dissenting Opinion
dissenting:
The majority’s opinion is well-reasoned and lucidly states the governing law. I agree with much of its analysis: future dangerousness must be found beyond a reasonable doubt; prior unadjudicated criminal conduct can be relevant evidence; and the presumption of innocence does not bar the introduction of evidence regarding the Chamberino murders. However, in order to conclude that a distinguished jurist has abused his discretion, I must have a firm conviction that the judge was wrong. In this case, such a conviction eludes me, and I therefore respectfully dissent.
I. BACKGROUND
Several legal principles are important in this case and are worth restating. First, “the penalty of death is different in kind from any other punishment.” Gregg v. Georgia,
Next, it is important to emphasize that this court reviews the district court’s decision to exclude evidence pursuant to the Federal Death Penalty Act (FDPA) for abuse of discretion. See United States v. Corley,
When applying an abuse of discretion standard of review, we necessarily recognize that there may be no single right answer to the question at hand, but a range of possible outcomes sustainable on the law and facts. “[W]e will defer to the district court’s judgment so long as it falls within the realm of these rationally available choices.” United States v. McComb,
The statutory framework and plain language indicates a balance, allowing the evidence to be admitted but giving district courts greater deference to exclude it based on the stated factors. As noted by the Seventh Circuit, although it is constitutionally permissible to admit unadjudicated conduct, “[tjhat does not mean that such conduct may be considered in all cases.” Corley,
It is also important to note that the admissibility of unadjudicated conduct during the penalty phase has troubled jurists for some time. See Williams v. Lynaugh,
II. ANALYSIS
The FDPA explicitly states certain factors for the district court to weigh in determining the admissibility of unadjudicated prior offenses: “[Ijnformation may be excluded if its probative value is outweighed by the danger of creating unfair prejudice, confusing the issues, or misleading the jury.” 18 U.S.C. § 3593(c).
I agree with the majority that Supreme Court precedent instructs that the jury should receive “as much information as possible when it makes the sentencing decision.” Maj. op. at 859 (quoting Gregg,
the character of the evidence that the United States seeks to introduce at the prospective sentencing phase could have the doubly deleterious effect of inflaming and confusing the jury, thereby creating a substantial risk that the jury could impose a sentence based on, or appears to be based on, emotional consideration rather than instructed reason.
Aplt’s App. at 187 (Dist. Ct.’s Mem. Op. and Order).
The majority’s opinion acknowledges the presence of this analysis — but finds that “concern about juror confusion ... [is] overstated,” maj. op. at 860, and that “there is nothing inherently ‘unfair’ with allowing the government some latitude to present the unfavorable aspects of the defendant, so long as that evidence is relevant to a properly identified aggravator and does not involve gratuitous gruesomeness or inflammatory detail beyond what is necessary to reveal to the jury the true nature of what happened.” Id. at 858.
Although the majority’s view is a reasonable one, it is important to note that any discussion about what impact admitting evidence before a jury might have is necessarily going to be a prediction and speculation. Every prosecution, and every jury, is different, and no one can be certain of the precise effect. It seems the majority opinion and the district court both draw plausible conclusions about the possible impact of the evidence. However, it also seems to me that the local district judge has a larger and better “feel of the case,” as well as possessing a knowledge of the community that might inform his discretion.
In my view, the case law invoked by the majority does not establish that exclusion of the evidence “falls [outside] the realm of these rationally available choices.” McComb,
In addition, I do not share the concern that “reliable, informed decisionmaking” may be jeopardized by the district court’s ruling here. Maj op. at 859. From the parties’ submissions in this appeal it seems that, even without the evidence of the Chamberino murders, the government will be able to introduce ample evidence supporting its claim of Mr. Lujan’s future dangerousness. The presence of that additional evidence, discussed clearly by the district court, also suggests that there was no abuse of discretion here.
Finally, one overriding concern I have with the majority opinion is the difficulty I foresee that district courts will have in the future exercising their discretion to exclude evidence. For example, if the assigned judge, who probably knows more about New Mexico juries than we do, concludes that the Chamberino evidence is so
III. CONCLUSION
In fairness, I cannot say whether, if I were the trial judge, I would have ruled the evidence admissible or inadmissible. That would be a difficult decision. But we are not faced with that decision de novo. We are reviewing an experienced judge’s decision for abuse of discretion in an area, where the statute has expressly granted the court significant discretion, and in an area that has no easy answers. Accordingly, I would defer to his judgment on this matter. I appreciate the fine and thorough work of the panel, but I cannot join its conclusion. When reasonable judges can reasonably disagree, I see no abuse of discretion.
