United States v. Terry Ann DeischUnited States v. Terry Ann Deisch
Defendant-appellant Terry Ann Deisch (Deisch) appeals her conviction and'five year sentence for simple possession of cocaine base in violation of
Facts and Proceedings Below
On August 15, 1992, Lambert, Mississippi, Police Sergeant Leon Williams (Williams) received information from a confidential informant that David Dawson (Dawson) had been in town selling drugs and planned to return for the same purpose later that evening. The informant stated that Dawson would return to Lambert at approximately 11:00 p.m. and would be driving a 1985 black Cadillac bearing Arkansas license platé WAB-185.
Williams contacted Sergeant Roy Sandefer (Sandefer) of the Mississippi Bureau of Narcotics and told him about the informant’s tip. The two officers met at approximately 10:00 p.m. and began driving an unmarked car through Lambert. As the officers were driving north of Lambert, on Route 3, they passed a car that matched the informant’s description of the Cadillac. The officers turned around and followed the Cadillac. Upon seeing that the Cadillac’s license plate matched the informant’s description, the officers turned on their car’s flashing lights. The police car followed the Cadillac into an apartment complex parking lot and pulled up behind it to block its means of exiting.
‘ Driving the Cadillac was Deisch and in the passenger seat was her boyfriend Dawson. Both Deisch and Dawson were residents of West Helena, Arkansas. Before the officers reached the ear, Dawson took plastic baggies of cocaine base, commonly known as crack cocaine, from inside his pants and threw them at Deisch, ordering her to hide them. Deisch, who was seven months pregnant at the,time, hid the baggies inside her bra and panties.
Williams and Sandefer instructed the couple to exit to the rear of the Cadillac. At the rear of the vehicle, Sandefer explained to the couple why they had been stopped. Sande-fer then shined a flashlight through the driver-side window and saw what appeared to be cocaine on the seat. Deisch. and Dawson were read their rights, arrested for possession of cocaine, and taken to jail. At that point, Dawson stated “If you find any dope ...' I’m going to claim it. It’s mine.”
A later strip search of Deisch revealed she was carrying 3 or. 4 baggies of crack cocaine weighing a total of 64.98 grams in her bra, and 3 round rocks of crack cocaine weighing in all about 1.34 grams in her panties. An inventory search of the ear also uncovered a
On October 2, 1992, a grand jury indictment was returned charging Deisch
1
with one count of conspiracy to possess with intent to distribute “approximately 66 grams of cocaine base, commonly known as ‘crack,’ a Schedule II narcotic controlled substance,” in violation of
At the close of the evidence, the district court, over Deisch’s objection, gave an instruction on simple possession of “a controlled substance, cocaine base, crack” in violation of
On appeal, Deisch argues that the trial court erred by submitting any instruction on
Discussion
I. Lesser Included Offense
The statutory elements test is the proper method for “determining when a federal criminal defendant is entitled to a lesser included offense instruction.”
United States v. Buchner,
1. Elements under section 811 — cocaine base
“[1] It shall be unlawful for any person knowingly or intentionally to possess a controlled substance unless such substance was obtained directly, - or pursuant to a valid prescription or order.... [2] Any person who violates this subsection may be sentenced to a term of imprisonment of not more than 1 year ... except that if he commits such offense after a prior conviction ... for any drug or narcotic offense ... he shall be sentenced to a term of imprisonment for not less than 15 days but not more than 2 years ... except, further, that if he commits-such offense after two or more prior convictions ... for any drug or narcotic offense ... he shall be sentenced to a term of imprisonment for not less than 90 days but not more than 3 years_ [3] Notwithstanding the preceding sentence, a person convicted under this subsection for the possession of a mixture or substance which contains cocaine base shall be imprisoned not less than 5 years and not more than 20 years, and fined a minimum of $1,000, if the conviction is a first conviction under this subsection and the .amount of the mixture or substance exceeds 5 grams, if the conviction is after a prior conviction for the possession of such a mixture or substance under this subsection becomes final and the amount of the mixture or substance exceeds 3 grams, or if the conviction is after 2 or more prior convictions for the possession of such a mixture or substance under this subsection becomes final and the amount of the mixture or substance exceeds 1 gram.” 21 U.S.C,§ 844(a) (West Supp. 1993) (bracketed numbering added).
Pursuant to the first and second sentences of
Deisch’s five year sentence was necessarily under the third sentence of
In
United States v. Michael,
There is, however, an additional consideration that is particularly influential in our conclusion that the identity of the substance knowingly possessed as being cocaine base is an element of the offense denounced by the third sentence of
For anyone, such as Deisch, not previously convicted, exposure to more than one year’s confinement for a violation of
On the other hand, an indictment need not allege mere sentencing facts.
United States v. Vasquez-Olvera,
Surely the indictment clause must be understood to mean that the defendant may not be exposed to an “infamous punishment” unless the grand jury finds probable cause to believe that he did that which the law requires him to have done before any character of infamous punishment whatever may be imposed on him. 18
Our conclusion in this regard is supported by several decisions holding that where an offense that is otherwise a misdemeanor becomes a felony if committed in a certain way or with certain consequences, the particular attribute that makes it a felony is an element of the offense, which must be alleged in the indictment and proved at trial. We have applied this rule to
For purposes of deciding if a particular factor is merely a sentencing consideration or is an offense element under
Accordingly, we hold, consistent with
Michael,
that the third sentence of
2.
Elements under
The schedules list a vast number of controlled, substances, among the more commonly known of which are heroin, Lysergic acid diethylamide, marihuana, opium, and several others.
Cocaine is, and has been ever since well prior to the offense in question, included in schedule II as set forth in
“Schedule II
(a) Unless specifically excepted or unless listed in another schedule, any of the
(4) Coca leaves except coca leaves and extracts of coca leaves from which cocaine, ecgonine, and derivatives of ecgo-nine or their salts have been removed; cocaine, its salts, optical and geometric isomers, and salts of isomers, ecgonine, its derivatives, their salts, isomers, and salts of isomers; or any .compound, mixture, or preparation which contains any quantity of any of the substances referred to in this paragraph.” (Emphasis added). 21
Neither “cocaine base” nor “crack cocaine” nor any eqüivalent term is mentioned in
There is no statutory definition of “cocaine base.” While there may be some relatively minor differences in judicial definitions, all concur that cocaine base is a form of cocaine.
See United States v. Metcalf,
We have generally held that the quantity listings in
Just as
Accordingly, we conclude that the identity of the involved controlled substance as being “cocaine base” rather than simply “cocaine” is not an element of any
In
United States v. Barnes,
“It is important to note that the court, not the jury, determines the quantity and type of controlled substance appropriate under21 U.S.C. § 841(b) ....Section 841(b) describes the penalty provisions for violations ofsection 841(a) , in this case possession of a controlled substance with intent to distribute. Therefore, as a penalty provision, the district court judge determines the facts at the sentencing....
“... questions as to whether the mixture found' was cocaine base and its specific weight were factual findings for the judge at sentencing. The jury need only have found that the three chunks seized contained some mixture of cocaine as defined in schedule II. See21 U.S.C. § 812 .” Id. at 551 n. 6. 26 .
See also United States v. Easter,
3. What may be lesser included under section 8kl(a)(i)
All cocaine base is cocaine, and all is a controlled substance; all cocaine is a controlled substance; but not all cocaine is cocaine base. That the controlled substance possessed is cocaine base
is
an- element of the offense denounced, by the third sentence of
Accordingly, Deisch’s sentence under the third sentence of
We now turn to the remaining issues presented by Deiseh’s appeal.
B. Was Simple Possession a Rational Alternative
1. Duress defense
Deisch argues that any simple possession lesser included offense instruction under
Nothing suggests that the jury accepted Deisch’s defense of duress. Indeed, a rational jury could have found that while Deisch did not have the requisite intent to distribute the -drugs, she was not under duress when Dawson asked her to hide them for him. The jury found that Deisch knowingly or intentionally took possession of drugs. This verdict is not inconsistent with the evidence produced at trial. Thus, Deiseh’s argument on this issue is without merit.
Deisch contends that the jury lacked a rational basis for finding her guilty of simple possession, because sixty-six grams of cocaine base is not consistent with personal consumption. Deisch maintains that under these facts the jury’s acquittal for the greater offense of possession with intent to distribute is logically inconsistent with its finding of guilt for the offense of simple possession.
Under the present circumstances, whether possession of sixty-six grams of cocaine base is consistent with personal use is not determinative of this issue. 28 The offense of simple possession requires qnly knowing or intentional possession of a controlled substance. Under the facts presented, the jury could rationally believe, for example, that Deisch took possession of the drugs in a split second decision in which no intention was ever formed to do anything but immediately hide the drugs to protect'her boyfriend from arrest and that in the rapidly evolving events she never formed an intention to distribute the drugs to anyone. 29 Moreover, the jury may have believed that Deisch’s intent accompanying her possession was merely to avoid physical harm by Dawson, but that her fear of immediate, serious and otherwise unavoidable physical harm was unreasonable and hence did not make out a duress defense under the district court’s instructions thereon requiring reasonableness in those respects. At least the jury may well have entertained on such a basis a reasonable doubt as to whether Deisch had the requisite intent to distribute. Under this scenario, while Deisch would not be guilty of possession with intent to distribute, she would be guilty of simple possession. The lesser offense was hence a rational alternative. 30
II. Court’s Charge to The Jury
Deisch complains that the court’s explanation of the verdict form to the jury concerning the lesser included offense of simple possession prejudicially described the lesser included offense as “simply possession ... without intent to distribute” and “[possession, what we refer to as simple possession”; thus improperly implying that the lesser included offense was insignificant. Nothing in this instruction reflects that the court misrepresented the law or implied that the lesser included offense was insignificant. The lesser included offense instruction concerned a violation of
III. Government’s Undisclosed Statement
Deisch finally contends that the government violated
We review discovery rulings for abuse of discretion and will order a new trial only when a party demonstrates prejudice to his substantial rights.
United States v. Ellender,
Conclusion
For the foregoing reasons, we REVERSE the felony conviction for possession of cocaine base under the third sentence of section 844(a), we AFFIRM the misdemeanor conviction for possession of a controlled substance under the first sentence of section 844(a), and we REMAND for resentencing under the second sentence of section 844(a).
AFFIRMED in part; REVERSED in part; REMANDED for resentencing.
Notes
. Dawson was also indicted by the grand jury. On the day of trial, Dawson pleaded guilty pursuant to a plea agreement with the government.
. Section 841(a)(1) prohibits the manufacture, distribution, or dispensing, or the possession with the intent to manufacture, dispense, or distribute, of "a controlled substance.” Section 841(b)(1) assigns the penalties for violation of 841(a)(1). Section 846 prohibits attempts or conspiracies to commit a crime within subchap-ter I of Title 21, which includes section 841(a). In addition,
The term "controlled substance" is defined in
.This instruction did require the jury to find that the controlled substance Deisch possessed was "cocaine base, crack”; it did not require any finding as to quantity.
The district court did instruct on Deisch’s duress defense.
. In
Browner II,
this Court ruled, under the statutory elements approach, that assault with a dangerous weapon (
. The maximum term of imprisonment under the first sentence of section 844(a) is "not more than 1 year” unless the defendant “commits such offense after a prior conviction ... for any drug or narcotic offense,” in which event the maximum is "not more than 2 years,” if committed after a single such prior conviction, and "not more than 3 years,” if committed after 2 or more such prior convictions. As Deisch had no prior convictions,
. The quantity of cocaine base required for the second sentence of section 844(a) varies based on whether "the conviction is after a prior conviction for the possession of such a mixture or substance under this subsection.” The statutory required quantity is less for repeat offenders. The minimum quantity is one that "exceeds 1 gram” (applicable to one whose "conviction is after 2 or more prior convictions for the possession of such a mixture or substance under this subsection”). For Deisch, who had no prior convictions, the minimum quantity of the "mixture or substance which contains cocaine base” would be a quantity thereof that "exceeds 5 grams.”
. Indeed, it is obvious that this conclusion necessarily follows from the holding that the third sentence creates a separate offense, because the third sentence deals only with possession of cocaine base. Further, it is plain that the Michael holding that a violation of the third sentence of section 844(a) was not a lesser included offense of section 841(a)(1) rested on its determination that the identity of the item possessed as cocaine base was an element of the former offense but not the latter. See id. at 839, 842.
. The third sentence of section 844(a) was added by Subtitle L (consisting only of section 6371) of the Anti-Drug Abuse Act of 1988, P.L. 100-690, 102 Stat. 4181, 4370, November 18, 1988. Subtitle L addressed no other portion of section 844, and did nothing but add the third sentence. The only other change in section 844 made by the Anti-Drug Abuse Act of 1988 was in its section 6480, a part of its Subtitle N, which removed the maximum, but not the minimum, fines provided for in the second sentence of section 844(a). 102 Stat. 4382.
. If the substance's identity as "cocaine base” is an offense element rather than merely a sentencing factor under section 844(a), then it necessarily follows that the third' sentence of section 844(a) creates a separate offense, because it is the only portion of section 844(a) that in terms deals with "cocaine base," and the identity of the substance possessed as being cocaine base is clearly not required in order to establish a violation of the first sentence of section 844(a), which merely denounces the knowing or intentional possession of "a controlled substance.” This is not to say, of course, that knowing or intentional possession of cocaine base would not also violate the first sentence of section 844(a).
. "No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger; ...."
. "The fifth amendment had in view the rule of the common law governing the mode of prosecuting those accused of crime, by which an information by the attorney general, without the intervention of a grand jury, was not allowed for a capital crime, nor for any felony,...."
Mackin v. United States,
"[I]mprisonment in a ... penitentiary, with or without hard labor, is an infamous punishment” for purposes of the indictment clause.
Mackin,
The Fifth Amendment's indictment clause is not, however, applicable to state prosecutions.
Hurtado v. California,
. Under
. The grand jury is charged with "the duty of inquiring whether there be probable cause to believe the defendant guilty of the offense charged” pnd " 'ought to be thoroughly persuaded of the truth of an indictment, so far as their evidence goes; and not to rest satisfied merely with remote probabilities.’ "
Beavers v. Henkel,
. Honea at 804: "We could not say with any assurance that the Grand Juiy would have returned a true bill had this vital element been brought home to them.”
.
Russell,
"To allow the prosecutor, or the court, to make a subsequent guess as to what was in the minds of the grand jury at the time they returned the indictment would deprive the defendant of a basic protection which the guaranty of the intervention of a grand juiy was designed to secure. For a defendant could then be convicted on the basis of facts not found by, and perhaps not even presented to, the grand juiy which indicted him.”
See also, e.g., Van Liew v. United States,
.
Stirone v. United States,
"The grand jury which found this indictment was satisfied to charge that Stirone's conduct interfered with interstate importation of sand. But neither this nor any other court can know that the grand juiy would have been willing to charge that Stirone’s conduct would interfere with interstate exportation of steel from a mill later to be built with Rider’s concrete....
The very purpose of the requirement that a man be indicted by grand jury is to limit his jeopardy to offenses charged by a group of his fellow citizens acting independently of either prosecuting attorney or judge. Thus the basic protection the grand jury was designed to afford is defeated by a device or method which subjects the defendant to prosecution for interference with interstate commerce which the grand jury did not charge.
The right to have the grand jury make the charge on its own judgment is a substantial right which cannot be taken away with or without court amendment. Here ... we cannot know whether the grand jury would have included in its indictment a charge that commerce in steel from á nonexistent steel mill had been interfered with.” (Footnote omitted).
This rationale of
Stirone
was reaffirmed in
United States v. Miller,
. Arguably, an indictment would always be required because the
potential
punishment under section 844(a) would, albeit
only
in certain instances, include "infamous punishment,”
i.e.,
confinement for longer than one year that may be in a penitentiary.
See Ex parte Wilson,
. Theoretically, one could say that in such a situation a mere sentencing factor must be alleged in the indictment, even though not an element of the offense. But, as indicated in the text, the rule is that the indictment need not allege mere sentencing factors that are not elements of the offense. Moreover, it settled that mere sentencing factors need not be submitted to the petit jury or proved beyond a reasonable doubt.
McMillen v. Pennsylvania,
. We realize that to the extent our conclusion rests on the indictment clause and felony/misdemeanor dichotomy, its logic would likewise require the quantity of cocaine base possessed — at least five grams where there are no other convictions, but more than one gram in any event — to be an element of the offense denounced by the third sentence of section 844(a). In Michael the .court expressly refused to address this issue. Id. at 842.
In
United States v. Monk,
. Similarly, under section 841(a)(2) it is unlawful to knowingly or intentionally create, distribute, or dispense, or possess with intent to distribute or dispense, “a counterfeit substance.” The term "counterfeit substance” is defined in
. The corresponding language in
“(4) Coca leaves (9040) and any salt, compound, derivative or preparation of coca leaves (including cocaine (9041) and ecgonine (9180) and their salts, isomers, derivatives and salts of isomers and derivatives), and any salt, compound, derivative, or preparation thereof which is chemically equivalent or identical with any of these substances, except that the substances shall not include decocainized coca leaves or extractions of coca leaves, which extractions do not contain cocaine or ecgo-nine." (Emphasis added).
. The sole exception to this is the provision in section 841(b)(l)(D)(4) that “distributing a small amount of marihuana for no remuneration shall be treated as provided in section 844 of this title and section 3607 of Title 18 [relating to special probation].”
For schedule V drugs, the maximum punishment does not exceed one year, except that if the offense is committed after a prior drug conviction the authorized imprisonment is not to exceed two years. § 841(b)(l)(D)(3).
The numbering of the schedules, as reflected in
.As so enacted and as presently in effect, section 841(b)(l)(A)(ii) & (iii) read as follows:
"(ii) 5 kilograms or more of a mixture or substance containing a detectable amount of—(I) coca leaves, except coca leaves and extracts of coca leaves from which cocaine, ecgonine, and derivatives of ecgonine or their salts have been removed;
(II) cocaine, its salts, optical and geometric isomers, and salts of isomers;
(III) ecgonine, its derivatives, their salts, isomers, and salts of isomers; or
(IV) any compound, mixture, or preparation which contains any quantity of any of the substances referred to in subclauses (I) through (III);
(iii) 50 grams or more of a mixture or substance described in clause (ii) which contains c.ocaine base.” (emphasis added)
Section 841(b)(l)(B)(ii) & (iii) read exactly the same as their counterparts in section 841(b)(l)(A)(ii) & (iii) except that in (B)(ii) the specified quantity is "500'grams" instead of “5 kilograms” as in (A)(ii), and in (B)(iii) the specified quantity is "5 grams" rather than "50 grams” as in (A)(iii).
. The disagreement seems to focus on whether as used in section 841(b)(l)(A)(iii) and (B)(iii), and in the sentencing guidelines, "cocaine base” is
restricted
to that which is in smokable or rock form, commonly known as "crack.”
See, e.g., United States v. Jackson,
. This is not to say that the defendant might not be entitled at some point to some character of notice that the government claimed the substance was cocaine base; but only that such notice need not be afforded by the indictment.
. See also id. at 552 n. 7:
"At the outset, we note that the use of the term 'cocaine base’ in this statute does not present a question of giving adequate notice to possible defendants. The challenged term appears in the penalty provisions of21 U.S.C. § 841(b) . As such, the term 'cocaine base’ is only relevant to enhanced penalties facing a defendant, and Congress added these penalties without altering the substantive elements of21 U.S.C. § 841(a) .... Thus, Congress did not criminalize any conduct which was not already illegal, and there is no problem of giving adequate notice of enhanced penalties to possible defendants.”
.Rejecting a vagueness attack on
" Section 841(b)(1)(B) , however, is a penalty provision. As such, it did not change the substantial elements of the offense of the possession of cocaine with the intent to distribute. Rather, it lengthened the penalties the federal law already imposed for cocaine trafficking.” Id. at 1033.
“Levy's interpretation of the statute is misguided because, as we explained above, it is a penalty provision. Undersection 841(b)(1)(B) , the district court determines the quantity and type of controlled substance for the purpose of sentencing.” Id. at 1034.
. It is certainly arguable that the quantity of cocaine base possessed, i.e. 66 grams, is not consistent with personal use. The government presented evidence that 66 grams of crack would produce approximately 280 rocks.
. We also note that Deisch testified that she had previously left Dawson when she suspected him of selling drugs.
. This case is distinguishable from
United States v. White,
. Deisch also complains that the section 844(a) charge failed to require the jury to find that more than five grams were possessed. Because of our holding that the third sentence of section 844(a) is not a lesser included offense, and because quantity is plainly irrelevant to the simple possession offense of the first sentence of section 844(a), Deisch’s complaint in this respect is moot.