I.
On September 23, 2001, Reginald Shelley was lawfully arrested following a traffic stop. The arresting officer asked Shelley whether he had any drugs or weapons in his car, and Shelley stated that he did not. When the officer conducted a search of the car incident to the arrest, however, he discovered both a gun and some marijuana under the front seat. As an ex-felon, 1 Shelley was prohibited from possessing a gun by 18 U.S.C. 922(g). 2 Shelley then told the officer that the gun belonged to his wife and that he did not know to whom the marijuana belonged.
Several months later, an agent with the Bureau of Alcohol, Tobacco, and Firearms (ATF) contacted Shelley, and Shelley agreed to come to the agent’s office to give his side of the story. The agent advised Shelley of his
Miranda
rights at the outsеt of the interview. Shelley then told the agent that he owned two vehicles — a car, which he normally drove, and a truck, which his wife normally drove. Shelley claimed that his wife kept a gun in the truck for protection but that the night before he was arrested he moved the gun from the truck to the car because he anticipated driving the truck to “the Foot-wash”
3
the next day. When the truck would not start the next morning, Shelley took the car, forgetting that the gun was
Shelley was indicted and charged with possessing a firearm as a conviсted felon in violation of 18 U.S.C. § 922(g). Before trial, Shelley’s attorney filed a motion in limine seeking to prohibit the Government from making any reference to the marijuana found under Shelley’s seat on the ground that such evidence was not relevant to any issue in this case charging only possession of a firearm and would be highly prejudicial to the defendant. The district court granted the motion.
At trial, the Government called two witnesses^ — the arresting officer and the ATF agent who interviewed Shelley. 4 The arresting officer testified that at the time of the arrest he asked Shelley whether there were any weapons in the car and that Shelley replied that there were not. Because of the court’s pretrial order, however, the officer made no mention of drugs in his trial testimony. Thе ATF agent then took the stand, recounted his conversation with Shelley, and then read Shelley’s signed, handwritten statement, including the portion that stated, “[The arresting officer] ask me did I have any drugs or weapons. I told him no.”
After the Government rested, Shelley took the stand to testify to the same story he gave the ATF agent: The gun belonged to his wife, but he put it in his car the night before he was arrested because he anticipated driving the truck that day. Then, when the truck wouldn’t start, he drove the car instead, forgetting that the gun was underneath the seat. On cross-examination, the prosecution asked Shelley whether there was “something else” under the seat when he was arrested.
The defense objected and moved for a mistrial. The court sustained the objection and retired thе jury. After hearing argument on the motion, the court reviewed its pretrial order and stated, “Let’s bring the jury in. This case is over.” The court then told the jury, “I am dismissing the case as a sanction.” A few days later, the court entered an order styled “Judgment of Acquittal.” The order stated, “As a sanction, the Court has granted the defendant’s motion for judgment of acquittal. The case is hereby DISMISSED with prejudice, and the defendant is DISCHARGED.” The Government now appeals this order.
II.
Judgment of Acquittal — Reviewable?
Because the district court styled its order a judgment of acquittal, we must first determine whether we have jurisdiction to hear this appeal. Ordinarily, the Double Jeopardy Clause of the United States Constitution bars the Government from appealing a judgment of acquittal.
United States v. Torkington,
In this case, the district court’s order did not represent a ruling on the merits of the factual elements of the offense charged.
5
Rather, the court determined that the Government had violated the pretrial ruling that the marijuаna evidence was inadmissible and dismissed the case “as a sanction.” We faced this exact issue in
United States v. Torkington,
III.
Double Jeopardy?
Alternatively, Shelley argues that the Double Jeopardy Clause precludes the appeal and subsequent retrial because the Government provoked his motion for a mistrial. Ordinarily, when “a defendant successfully seeks to avoid his trial prior to its conclusion by a motion for mistrial, the Double Jeopardy Clause is not offended by a second prosecution.”
Scott,
In the instant case, the prosecutor pursued a line of questioning regarding the “something else” under the seat which he was prepared to assert did not violate the court’s pretrial order because he made no mention of marijuana. After the court sustained Shelley’s objection and retired the jury, thе prosecutor explained that he intended only to highlight the fact that Shelley disclaimed all knowledge of how one “object” (the marijuana) ended up under the front seat of his car but testified that he had placed the gun in the same place. He had argued—in response to the pretrial motion in limine and repeated the argument in response to Shelley’s objection and motion for a mistrial—that this possible inconsistency undermined Shelley’s credibility. He asserted that he could pursue this issue without identifying the “object” under the seat as marijuana. The court, however, concluded that the jury would necessarily infer that the “object” was drugs about which the arresting officer had questioned him and for which Shelley had been convicted.
See supra
note 4. In response, the prosecutor, although continuing to maintain that he had not violated the court’s ruling, assured the court that he would “simply stay away from that” issue in the future. In short, the prosecutor argued that he had not violated the court’s order, contested the defense’s motion for a mistrial, and even assured the court that he would “stay away” from the issue in the future. There is thus nothing in the record to suggest that the prosecutor
intended
to provoke a mistrial, and “that is the end of the matter for purposes of the Double Jeopardy Clause.”
Kennedy,
IV.
In limine Order—Appropriate?
We need not tarry long to decide whether the district judge ruled correctly in the order in limine. We conclude that it was not an abuse of the trial judge’s discretion. If the presence of marijuana might be argued as having some attenuated materiality to the charge of possession of a firearm, the prejudice to the defendant clearly appears. It is the province of the trial judge to weigh any materiality against any prejudice and, unless the judge’s reading is “off the scale,” his discretion is not abused.
Second, assuming that the presence of the marijuana was, as we believe, not material, and the mistrial properly ordered, the district court’s judgment of acquittal was not justified on grounds of prosecuto-rial misconduct.
V.
Prosecutorial Misconduct?
“A district court may dismiss an indictment pursuant to the federal courts’ supervisory power. However, ‘dismissal of an indictment for prosecutorial misconduct is an extreme sanction which should be infrequently utilized.’ ”
United States v. White,
The judgment of acquittal is REVERSED. The dismissal of the case with prejudice is REVERSED and the case is REMANDED to the district court for trial following the declared mistrial.
TJOFLAT, Circuit Judge, specially concurring:
I concur in the court’s judgment and Parts I—III and V of the majority opinion; I dissent from Part IV of the opinion, which concludes that the district judge did not abuse his discretion in excluding evidence of the marijuana found under the seat of Shelley’s car. It is clear that this evidence was relevant and that its probative value was not substantially outweighed by any danger of unfair prejudice. Therefore, its exclusion was an abuse of discretion. I do not address this ruling in some vain attempt to undo a mistrial order that is now historical fact. See ante at 1201-1202. Even though, as the majority notes, there are ample alternative grounds for reversing the district court, it is important to address this issue for two reasons. First, when we remand this case to the district court for a new trial, the same evidentiary dispute will inevitably arise again. Second, if we review the district court’s order entering a judgment of acquittal and dismissing the indictment without mentioning the evidentiary ruling that led to it, we will give the impression that the evidentiary ruling was correct. I think that it was not—indeed, I think that it was a clear abuse of discretion—for reasons that I explain in Part I. In Part II, I briefly explain that the district judge should have, at a minimum, realized that the admissibility of the evidence might be affected by how the trial unfolded and, therefore, he should have reserved judgment on the issue when it was raised pretrial. 1
Under Federal Rule of Evidence 404(b), “Evidence 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
United States v. Beechum,
On appeal, we framed the primary issue as “whether the district court properly allowed the credit cards to be admitted as extrinsic offense evidence going to the issue of Beechum’s intent to possess the silver dollar unlawfully.”
Id.
at 905. We answered this question in the affirmative and established a two-part test
3
for determining whether “extrinsic offense evidence” should be admitted under Rule 404(b): first, the evidence must be “relevant to an issue other than the defendant’s character,” and, second, it “must possess
As to step one, we elaborated:
Where the issue addressed is ... intent ..., the relevancy of the extrinsic offense derives from the defendant’s indulging himself in the same state of mind in the preparation of both the extrinsic and charged offenses. The reasoning is that because the defendant had unlawful intent in the extrinsic offense, it is less likely that he had lawful intent in the present offense.
Id.
Because Shelley stipulated that he was a convicted felon and that the gun had traveled in interstate commerce, the only contested issue was whether he “was in knowing possession” of the gun.
United States v. Deleveaux,
Of course, this inference “is valid only if an offense was in fact committed and the defendant in fact committed it.”
Beechum,
Under step two of the
Beechum
analysis, we consider whether the relevant extrinsic offense evidence should be excluded under Rule 403. In this case, the only significant Rule 403 question is whether the probative value of the evidence is “substantially outweighed by the danger of unfair prejudice.” Given the significance of the evidence to proving knowing possession, it is clear that the probative value of the evidence was not outweighed by the danger of unfair prejudice, much less substantially so. Without this evidence, as in
Beechum,
the intent “issue would have been decided wholly by the jury’s assessment of the credibility of the[ ] witnesses.”
Beechum,
Although evidence that Shelley possessed a small amount of marijuana has some potential for unfair prejudice, such prejudice should not have been severe, and certainly would not have been enough to substantially outweigh the evidence’s probative value. To begin with, the evidence would have shown only that Shelley had a very small amount of marijuana in his car, not that he was a dangerous drug lord. In a very similar case, the Sixth Circuit expressed doubt that the “possession of a relatively modest amount of marijuana, even if thought to be for distribution,” would seriously prejudice the defendant in the eyes of the jury.
United States v. James,
[Shelley] has two prior felonies. Those are drug-related charges. He has an addiction. He had an addiction. And he is in a halfway, and he has completed a program of sobriety which we will show you a certificate. He has done that. He has completed his program.
Given that his own lawyer had already announced that Shelley was still “in a halfway house,” I seriously doubt that the jury would have been too surprised to learn that he had a small amount of marijuana in his car when he was arrested on his way home from the Footwash nearly a year before the trial. Indeed, after counsel’s vague statement that Shelley had two “drug-related” convictions, a clarification that he only had a small amount of marijuana might have been more helpful than prejudicial.
Although we review this ruling under an abuse of discretion standard, “the court’s discretion to exclude evidence under Rule 403 is narrowly circumscribed. Rule 403 is an extraordinary remedy which should be used only sparingly since it permits the trial court to exclude concededly probative evidence. The balance under the Rule, therefore, should be struck in favor of admissibility.”
United States v. Norton,
In sum, I agree that “the prosecutor had an arguable basis for” the question asked so that it did not constitute “egregious” or “flagrant” misconduct,
ante
at 1202; thus, it was an abuse of discretion for the district judge to dismiss the indictment on account of it.
7
Id.
at 1248-49 (“The dis
II.
Even assuming that the admissibility of the marijuana was debatable when it was addressed prior to the start of the trial, the issue should have become clear by the time Shelley’s direct examination was complete. ,For this reason, when faced with a debatable evidentiary question, a district judge would be wise to reserve ruling on the issue until the correct resolution becomes clear, or at least as long as is practically possible. See supra note 1. In any event, whenever a district court makes an in limine evidentiary ruling prior to trial, it is always subject to reconsiderаtion based on what happens at trial.
One of our primary concerns in
Beec-hum
was that a defendant should not be allowed to turn the shield of Rule 403 into a sword: “It is derogative of the search for truth to allow a defendant to tell his story of innocence without facing him with evidence impeaching that story. A basic premise of our adversary system of justice is that the truth is best attained by requiring a witness to explain contrary evidence if he can.”
Beechum,
Because the district judge abused his discretion in excluding the marijuana evidence from the Government’s case-in-chief and, even more clearly, by refusing to permit questioning on this point during Shelley’s cross-examination, I dissent from Part TV of the majority opinion.
Notes
. Shelley was convicted of two counts of possession of cocaine in an Alabama state court on August 31, 2001 (i.e., a little over three weeks before his September 23 arrest).
. The statute provides,
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 сommerce.
18U.S.C. § 922(g).
. The Footwash is a large festival held every fourth weekend in September in Hale County, Alabama. Over 100,000 people from all over the United States attend annually. The festival has a religious origin, tracing its roots to the Fairhope Benevolent Society, but it "has evolved into much more.” University of Alabama African American Studies Program, Fo-otwash; An Alabama Black Belt Festival, at http://www.bama.ua.edu/~aast/foot/wash.htm (last modified Dec. 13, 2002).
The parking lots usually resemble an oversized tailgate party ....
... Vendors are selling almost everything — food, jeweliy, clothing, bootleg CDs and DVDs, lap dances — anything that can fit in a booth or a tent. Large quantities of alcohol are being sold and displayed ....
A lot of people gamble at the Footwash. There are all sorts of games from craps to pokerfj [ajlthoughf] joining in ... can be intimidating if you don’t know how to play
Scantily clad women walk around advertising the more erotic forms of entertainment
Local law enforcement usually is not present on the private property where the Foot-wash is held .... Even though there aren’t police, there are several men walking around the property with guns. Some people say these men are working as the event’s security guards, but others aren’t so sure. Shootings and fights are rumored to occur late at night.
University of Alabama African American Studies Program, What Happens at Footwash?, at http://www.bama.ua.edu/~aast/foot/wha-happn.htm (last modified Dec. 5, 2002).
. Shelley stipulated that the firearm had traveled in interstate commerce. He also stipulated that he had been convicted of a crime punishable by a term of imprisonment exceеding one year, and the court instructed the jury to that effect, but it did not specify the nature of the conviction. The jury became aware that Shelley’s prior convictions were drug offenses only because Shelley's lawyer had already told them so during his opening statement, stating, "[Shelley] has two prior felonies. Those are drug-related charges. He has an addiction. He had an addiction. And he is in a halfway house, and he has completed a program of sobriety which we will show you a certificate. He has done that. He has completed his program.”
. The only ruling the district court made on the factual elements of the offense was at the close of the Government’s case-in-chief. At that time, Shelley moved for a judgment of acquittal. The сourt denied the motion, stating that Shelley “decided on his own that he would go down and give a statement, and that statement has been received in evidence, and the jury may very will decide, based on what he did, that he is guilty.” The district court thus ruled that the evidence the Government had adduced was sufficient to sustain a conviction.
. 18 U.S.C. § 3731 provides in part:
In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment or information ... except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution.
An appeal by the United States shall lie to a court of appeals from a decision or order, entered by a district court of the United States, granting the release of a person charged with or convicted of an offense, or denying a motion for revocation of, or mod-ificalion of the conditions of, a decision or order granting release.
It further provides that its “provisions ... shall be liberally construed to effectuate its purposes.”
Id.
By enacting this section, "Congress intended to remove all statutory barriers to Government appeals and to allow appeals whenever the Constitution would permit.”
United States v. Wilson,
. At this point in the case, there was some suggestion that the court might revisit its ruling later. The Assistant U.S. Attоrney argued,
The defendant was the only person in the car. Right next to the gun was found what appeared to be marijuana .... [T]hat would ordinarily be irrelevant, but for the fact that the defendant volunteered to the officer, well, that's my wife's gun. I don't know whose marijuana it is. Now the government suggests that goes to the defendant's credibility, particularly should he elect to testify.
. In
Bonner v. City of Prichard,
. The United States Supreme Court endorsed the
Beechum
analysis in
Huddleston v. United States,
. Federal Rule of Evidence 403 provides: "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.”
.
Beechum
is admittedly not on all fours with respect to step one of that case's two-step analysis. In
Beechum,
the charged offense and the extrinsic offense were both unlawful possession of property stolen from the mails; therefore, the extrinsic offense was relevant on the theory "that because the defendant had unlawful intent in the extrinsic offense, it [was] less likely that he had lawful intent in the [сharged] offense.”
. I have, not surprisingly, found few cases applying Rule 404(b) to similar circumstances. For this issue to arise, an ex-felon must be found possessing a gun in close proximity to drugs or some other contraband. He
Nonetheless, the authority that I have found supports what I believe is intuitively obvious: such evidence is admissible for the purpose of showing knowing possession. For example, in a prosecution for transporting firearms, the Eighth Circuit upheld admission of three baggies of marijuana, drug paraphernalia, stolen pharmaceutical drugs, and burglary tools found next to the firearms because they were relevant to show that the defendant knowingly possessed the guns, which he denied.
United States v. Richards,
These cases are factually different from the instant case in a few minor respects. In both, the admitted contraband was more clearly connected to the defendant than the marijuana in this case is to Shelley.
Richards,
. There is yet another reason why this action constituted an abuse of discretion. We have held that “prejudice to the defendant is an essential element when a criminal defendant seeks dismissal of an indictment due to prose-cutorial misconduct.”
United States v. O’Keefe,
One might argue that a court should have the option of dismissing an indictment as a sanction for prosecutorial misconduct during trial that, although not of the type that precludes retrial under the Double Jeopardy Clause, is sufficiently serious to warrant some greater sanction than a simple mistrial. But this argument lacks support in our precedent. Under
O’Keefe,
we require the defendant to show prejudice,
O’Keefe,
