United States v. Perez-Greaux
U.S. Court of Appeals for the First Circuit
United States v. Perez-Greaux, 83 F.4th 1 (1st Cir. 2023)
United States v. Perez-Greaux
Opinion
United States Court of Appeals
For the First Circuit
No. 21-1699
UNITED STATES OF AMERICA,
Appellee,
v.
LUIS O. PÉREZ-GREAUX, T/N LUIS ORLANDO PÉREZ-GREAX,
Defendant, Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Francisco A. Besosa, U.S. District Judge]
Before
Gelpí, Thompson, and Montecalvo,
Circuit Judges.
Kevin E. Lerman, Research & Writing Attorney, with whom Eric
Alexander Vos, Federal Public Defender, and Franco L.
Pérez-Redondo, Assistant Federal Public Defender, were on brief,
for appellant.
David C. Bornstein, Assistant United States Attorney, with
whom W. Stephen Muldrow, United States Attorney, and Mariana E.
Bauzá-Almonte, Assistant United States Attorney, were on brief,
for appellee.
September 28, 2023
GELPÍ, Circuit Judge.
The contention that an injury can amount to a
crime only when inflicted by intention is no
provincial or transient notion. It is as
universal and persistent in mature systems of
law as belief in freedom of the human will and
a consequent ability and duty of the normal
individual to choose between good and evil.1
Defendant-Appellant Luis Orlando Pérez-Greaux
("Pérez-Greaux") was convicted of (1) possession with intent to
distribute controlled substances in violation of 21 U.S.C.
§ 841(a)(1) and § 841(b)(1)(B); (2) possession of a firearm in furtherance of a drug trafficking crime, in violation of18 U.S.C. § 924
(c)(1)(A); and (3) possession of a machinegun in furtherance
of a drug trafficking crime, in violation of § 924(c)(1)(A) and
§ 924(c)(1)(B)(ii), which carries a mandatory minimum sentence of
thirty years imprisonment. At trial, the district court instructed
the jury, over Pérez-Greaux's objection, that, to convict
Pérez-Greaux of § 924(c)(1)(B)(ii), the government need not prove
beyond a reasonable doubt that Pérez-Greaux knew that the firearm
he possessed had the characteristics of a machinegun, rather the
government only need prove that the firearm was in fact a
machinegun.
Pérez-Greaux appeals his two firearm convictions,
arguing that the district court improperly denied his Federal Rule
1 Morissette v. United States, 342 U.S. 246, 250 (1952).
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of Criminal Procedure 29 ("Rule 29") motion for acquittal on each
of these counts because there was (1) insufficient evidence at
trial that the firearm he possessed was truly possessed "in
furtherance of" his drug trafficking offense and (2) insufficient
evidence that he knew the firearm he possessed was a machinegun.
In the alternative, he requests a new trial on the basis that the
district court (1) improperly instructed the jury that the
government was not required to prove that Pérez-Greaux knew the
firearm he possessed was a machinegun, (2) made a slew of alleged
trial errors that he contends infected his right to a fair trial,
and (3) erred by denying his request for a Franks hearing. While
we rule against Pérez-Greaux's challenge to the sufficiency of the
evidence and claims of alleged pretrial and trial error, we
conclude, in a case of first impression, that the jury should have
been instructed about Pérez-Greaux's knowledge of the firearm's
characteristics. Thus, we vacate Pérez-Greaux's conviction for
possession of a machinegun in furtherance of a drug trafficking
crime and remand for a new trial as to that count.
I. Background
Because this case comes to us on a unique posture -- to
review a Rule 29 motion for sufficiency of the evidence and a
motion for a new trial based on claims of prejudicial error as a
result of faulty jury instructions -- we recount the facts only as
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necessary to frame the issues on appeal.2 Burgos-Montes, 786 F.3d
at 99.
According to testimony at trial, on June 1, 2018, Puerto
Rico Police Department ("PRPD") Agent Jose Rivera Vélez ("Agent
Rivera") was surveilling Pérez-Greaux's residence, based on a tip
that he had received from a confidential informant, who had
previously supplied him information, when he observed Pérez-Greaux
walk out of his home "carrying a black pistol around his waist."
After consulting police records, Agent Rivera learned that
Pérez-Greaux did not have a license to carry a pistol and requested
a warrant to search his residence, which was issued.
On June 5, 2018, PRPD officers and Homeland Security
Investigations ("HSI") agents executed the search warrant of
Pérez-Greaux's residence in Arecibo, Puerto Rico, and, upon their
arrival, found Pérez-Greaux outside. When PRPD Agent Carlos
Pérez-Carrasco ("Agent Pérez-Carrasco") informed Pérez-Greaux that
they had a search warrant, Pérez-Greaux responded that he did not
want his family harmed and would hand over what was inside.
Thereafter, Pérez-Greaux led officers to a locked safe in his
2 We do so because we cannot simultaneously recount the facts
in the light most favorable to the verdict or district court's
ruling -- as would be required by a Rule 29 motion -- and in a
"balanced" manner -- as would be required when we are confronted
with claims of prejudicial error. United States v. Burgos-Montes,
786 F.3d 92, 99 (1st Cir. 2015). Notwithstanding the limited facts
discussed here, we supply additional key facts as needed when we
discuss each of Pérez-Greaux's claims.
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bedroom, which contained three kilograms of cocaine, a digital
scale, and other personal belongings, including firearm
periodicals. He then led them to his children's bedroom in the
adjoining room, which he said contained a firearm. Indeed, Agent
Pérez-Carrasco, who stood at 5'6", had little difficulty reaching
a plastic bag, on the top shelf of the closet, containing a .9mm
Glock pistol (wrapped in a rag, inside paper bags), magazines, and
separately packed bullets.
Pérez-Greaux was questioned by HSI Special Agent Juan
Miranda ("Agent Miranda") at the Arecibo Drug Unit in the
Municipality of Camuy for around two hours. According to Agent
Miranda's trial testimony, Pérez-Greaux stated that he was storing
the cocaine for a drug supplier, alias "Alex," who he knew from
Rochester, New York. Pérez-Greaux also disclosed that he had been
working as a drug trafficker since March or April 2018 whereby he
would wrap cocaine with carbon paper, vacuum seal it, and box it,
along with toys and other miscellaneous items, for shipping to the
continental United States via the United States Postal Service
("USPS"). At trial, Agent Miranda recalled seeing a box in
Pérez-Greaux's residence addressed to "Alex Ortiz" in Rochester,
New York. As to the firearm, Pérez-Greaux gave Agent Miranda two
versions of how he obtained it. First, he said that he had received
the firearm and cocaine from Alex, several days before the search,
at a beach club in Isla Verde, Puerto Rico. Alex had referred to
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the firearm as "a short one with a couple of beans," and told him
to "[j]ust hold on to that while I come back." Later on, in the
same interview, Pérez-Greaux relayed a different version about the
firearm, telling Agent Miranda that he had received the firearm
from an "extremely dangerous person" that he had known for eight
years named Marcos, or Marquito Santiago, and that he had no idea
that the firearm operated as a fully automatic handgun.
An operative superseding indictment charged Pérez-Greaux
with five counts: (1) possession of a firearm in furtherance of a
drug trafficking crime; (2) possession of a machinegun in
furtherance of a drug trafficking crime; (3) illegal possession of
a machinegun; (4) possession with the intent to distribute
controlled substances; and (5) possession of a firearm by a
convicted felon. Prior to trial, the government requested the
dismissal of Counts Three and Five.
A. The Trial
On October 15, 2019, Pérez-Greaux's four-day jury trial
commenced on the three remaining counts.
Trial testimony revealed that, during the search of
Pérez-Greaux's residence, law enforcement also recovered a gun
holster, postage-stamped boxes from the children's bedroom closet,
$600, and five cellphones from Pérez-Greaux's side table. Over
Pérez-Greaux's objections, the district court allowed the
government to introduce photographs and screenshots extracted from
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the five cellphones in the days before trial, using
state-of-the-art technology. The extraction revealed images,
pre-dating June 5, 2018, of shipment receipts, toys in plastic
bags, and vacuum sealed bricks (of what appeared to be controlled
substances) and screenshots of package tracking information, money
transfers, and text messages discussing pricing. Matthew Johnson,
the computer forensic agent who performed the extraction,
testified that he could not determine who had accessed the
cellphones, captured the images, or deleted them.
At trial, Jeffrey T. Browder, a firearms expert,
testified that the recovered Glock pistol had been altered to
include an external, automatic sear that caused it to function as
a machinegun. He noted that he was able to identify the machinegun
alteration because of his training and expertise but confirmed it
by test firing the weapon.
At the conclusion of the government's case-in-chief,
Pérez-Greaux moved for judgment of acquittal pursuant to Rule 293
on the grounds that the government had failed to put forth
sufficient evidence of possession with intent to distribute a
controlled substance, failed to prove the "in furtherance of"
element of the firearm offenses, and failed to offer sufficient
Federal Rule of Criminal Procedure 29(a) provides that
3
"[t]he court . . . must enter a judgment of acquittal of any
offense for which the evidence is insufficient to sustain a
conviction."
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evidence that he knew that the weapon in his home was a machinegun.
The district court denied the motion.
As previewed and will soon be discussed in greater
detail, the district court also denied Pérez-Greaux's request that
the jury be instructed that, to convict him of possession of a
machinegun in furtherance of a drug trafficking crime, the
government had to prove he "had knowledge of the characteristics
that made the weapon a machinegun." The district court concluded,
as a matter of law, that § 924(c)(1)(B)(ii) does not include "an
implicit subjective mens rea requirement."
Ultimately, the jury convicted Pérez-Greaux on all three
counts tried.
B. Renewed Rule 29 Motion
Following the verdict, Pérez-Greaux renewed his Rule 29
motion, which the district court again denied, finding that the
evidence presented at trial sufficiently supported the
convictions. In its written decision, the district court first
held that, with respect to possession with intent to distribute
cocaine, a reasonable juror could infer that Pérez-Greaux
knowingly possessed a controlled substance after he led
Agent Pérez-Carrasco to the safe in his bedroom and identified the
substance in it as cocaine and that he had an intent to distribute
those drugs given his admission of working as a drug trafficker
and the presence of boxes, stamps, and shipping receipts in his
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home. United States v. Pérez-Greaux, 454 F. Supp. 3d 128, 136-37
(D.P.R. 2020).
As to possession of a firearm "in furtherance of" drug
trafficking, the district court held that "objective factors,"
such as being seen with a weapon outside his home and keeping the
weapon in close proximity to where he stored drugs in his home,
"tip[ped] the scale" in favor of there being sufficient evidence
that he possessed the firearm to protect the drugs. Id. at 138,
140. It also noted that a reasonable jury could have found that Pérez-Greaux furthered a drug trafficking crime when he transported the firearm and drugs back to his home in Arecibo from his meeting with Alex in Isla Verde.Id. at 137-41
. Finally, as
to possession of a machinegun in furtherance of drug trafficking,
the district court, finding no circuit precedent directly on point,
found that the jury instructions were proper, such that the
defendant need not know the firearm was a machinegun for a
conviction under § 924(c)(1)(B)(ii), and that there was sufficient
evidence that Pérez-Greaux possessed a machinegun based on the
firearms expert's identification of the weapon as a machinegun.
Id. at 140-46.
Subsequently, the district court sentenced Pérez-Greaux
to 438 months in prison, followed by five years of supervised
release. This appeal timely followed.
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II. Discussion
On appeal, Pérez-Greaux only challenges his firearms
convictions. In addition to contesting the denial of his renewed
Rule 29 motion and jury instruction requests, he asserts that the
district court erred in three evidentiary rulings -- precluding
defense witness testimony, precluding cross-examination of Agent
Miranda on Pérez-Greaux's mens rea statements, and by admitting
images extracted from cell phones in Pérez-Greaux's residence,
along with opinion testimony that these materials evidenced
specific prior illegal conduct -- all of which denied him the right
to a fair trial, that prosecutorial misconduct in closing arguments
violated his Fifth and Sixth Amendment rights, and that the
district court erred in denying his request for a Franks hearing.
Finally, he asserts that, cumulatively, these errors undermined
his right to a fair trial.
While we ultimately conclude that there was sufficient
evidence for a reasonable jury to convict Pérez-Greaux on both
firearm counts, and thereby affirm the denial of his Rule 29
motion, we also conclude that the jury was improperly instructed
as to the mens rea element of the machinegun crime. For reasons
we will explain forthwith, the government was required to prove,
beyond a reasonable doubt, that Pérez-Greaux knew that the firearm
he possessed had the characteristics of a machinegun. We thus
vacate his conviction for possession of a machinegun in furtherance
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of a drug trafficking crime and remand for a new trial as to that
count.
When a defendant raises both a challenge to a jury
instruction and to the sufficiency of the evidence to support his
conviction, we usually address the sufficiency of the evidence
first, because if the defendant prevails on the insufficiency
argument, then we need not explore any of the other trial errors
raised. See United States v. Godin, 534 F.3d 51, 61(1st Cir. 2008). "[O]nce the reviewing court has found the evidence legally insufficient" to support a conviction, "[t]he Double Jeopardy Clause precludes a second trial." United States v. Maldonado-Peña, 4F.4th 1, 50
(1st Cir. 2021) (quoting United States v. Montijo-Maysonet,974 F.3d 34, 41
(1st Cir. 2020)). However, when (as here) the challenge to the jury instruction focuses on an allegedly missing element from the charge, we address that legal argument first. See Godin,534 F.3d at 56, 61
. If we agree with the defendant about the alleged instructional error, then we normally move on to the sufficiency arguments before determining whether the instructional error was harmless.Id. at 61
. As such,
we begin our discussion with the alleged error in the jury
instructions, then address the Rule 29 motion for sufficiency of
the evidence, and finally dispense with the rest of Pérez-Greaux's
claims, concluding that none of them warrant a new trial.
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A. JURY INSTRUCTIONS FOR POSSESSION OF A MACHINEGUN IN
FURTHERANCE OF A DRUG TRAFFICKING CRIME, 18 U.S.C.
§ 924(c)(1)(B)(ii)
We begin by addressing why the jury should have been
instructed that the government needed to prove Pérez-Greaux had
knowledge that the firearm in question had the characteristics of
a machinegun in order to find him guilty of possessing a machinegun
in furtherance of drug trafficking. In broad terms, Pérez-Greaux
contends that the strong presumption in favor of finding scienter,4
principles of proportional culpability, standards of statutory
interpretation, and Supreme Court and First Circuit case law compel
this conclusion. The government counters that the presumption in
favor of scienter is inapplicable here, that the plain language of
the statute does not contain a mens rea requirement, and that the
case law that Pérez-Greaux cites to support his position is
unavailing. We review the claim de novo, id. at 56, mindful that
it is an issue of first impression in our circuit.
In 2010, the Supreme Court held that the machinegun
provision of § 924(c)(1)(b)(ii) is an element of the § 924(c)
offense, not just a factor to be considered at sentencing, but
"expresse[d] no views on the point" whether a defendant "must be
aware of the weapon's characteristics." United States v. O'Brien,
4Scienter involves "the degree of knowledge necessary to make
a person criminally responsible for his or her acts." Ruan v.
United States, 142 S. Ct. 2370, 2377 (2022).
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560 U.S. 218, 222, 235 (2010). Peeling back the layers of complexity, the question before us is simple: Did Congress intend to make a conviction for the possession of a machinegun under § 924(c)(1)(B)(ii) a strict liability crime? The D.C. and Eleventh Circuits are the only circuits that have considered the issue since O'Brien and, constrained by their own circuit precedent, both have answered yes. See United States v. Haile,685 F.3d 1211, 1218
(11th Cir. 2012); United States v. Burwell,642 F.3d 1062
(D.C. Cir. 2011), reh'g en banc granted, judgment vacated (Oct. 12, 2011), opinion reinstated and aff'd,690 F.3d 500, 516
(D.C. Cir.
2012). Our review of the statute, and both Supreme Court and First
Circuit case law, however, leads us to the opposite result.
Proof of mens rea "requires proof 'that the defendant
know the facts that make his conduct illegal.'" United States v.
Ford, 821 F.3d 63, 68(1st Cir. 2016) (quoting Staples v. United States,511 U.S. 600, 605
(1994)); id. at 70 ("Customarily, the
mens rea element is satisfied if the defendant 'know[s] the facts
that make his conduct fit the definition of the offense.'" (quoting
Staples, 511 U.S. at 607 n.3) (alteration in original)). Whether
§ 924(c)(1)(B)(ii) requires that a defendant know that the firearm
possessed has the characteristics of a machinegun is a question of
statutory interpretation and, because "[t]he definition of the
elements of a criminal offense is entrusted to the legislature,
particularly in the case of federal crimes," such an interpretation
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requires an "inference of the intent of Congress." Staples, 511
U.S. at 604-05(alteration in original) (first quoting Liparota v. United States,471 U.S. 419, 424
(1985); and then quoting United States v. Balint,258 U.S. 250, 253
, (1922)). We thus begin, as
always, with the language of the statute.
A "machinegun," as defined by § 921(a)(24), which
borrows the definition of a machinegun from the National Firearms
Act, is "any weapon which shoots, is designed to shoot, or can be
readily restored to shoot, automatically more than one shot,
without manual reloading, by a single function of the trigger."5
26 U.S.C. § 5845(b). In other words, "a fully automatic weapon [is one] that fires continuously with a single pull on the trigger" and stands in contrast to a semi-automatic firearm, which "chambers a new round automatically but requires a new pull on the trigger to fire." United States v. O'Brien,542 F.3d 921
, 922 n.1 (1st Cir. 2008), aff'd,560 U.S. 218
(2010).
5 The statute further provides that:
The term shall also include the frame or
receiver of any such weapon, any part designed
and intended solely and exclusively, or
combination of parts designed and intended,
for use in converting a weapon into a
machinegun, and any combination of parts from
which a machinegun can be assembled if such
parts are in the possession or under the
control of a person.
26 U.S.C. § 5845(b).
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Turning to the text of § 924, we note that it is entitled
"Penalties" and "is elaborate, lengthy and far from homogenous in
character." Id. at 922. Section 924(c)(1)(A) provides for
mandatory minimum sentences for any person who "uses or carries a
firearm" "during and in relation to any crime of violence or drug
trafficking crime" or any person who "possesses a firearm" "in
furtherance of" a crime of violence or drug trafficking crime.6
6 Section 924(c)(1)(A) and (B) are reprinted below:
(c)(1)(A) Except to the extent that a
greater minimum sentence is otherwise provided
by this subsection or by any other provision
of law, any person who, during and in relation
to any crime of violence or drug trafficking
crime (including a crime of violence or drug
trafficking crime that provides for an
enhanced punishment if committed by the use of
a deadly or dangerous weapon or device) for
which the person may be prosecuted in a court
of the United States, uses or carries a
firearm, or who, in furtherance of any such
crime, possesses a firearm, shall, in addition
to the punishment provided for such crime of
violence or drug trafficking crime--
(i) be sentenced to a term of
imprisonment of not less than 5 years;
(ii) if the firearm is brandished, be
sentenced to a term of imprisonment of not
less than 7 years; and
(iii) if the firearm is discharged, be
sentenced to a term of imprisonment of not
less than 10 years.
(B) If the firearm possessed by a person
convicted of a violation of this subsection--
(i) is a short-barreled rifle,
short-barreled shotgun, or semiautomatic
assault weapon, the person shall be sentenced
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Subsection (i) provides for a mandatory sentence of at least five
years for such an offense, and subsections (ii) and (iii),
respectively, provide for seven years if the "firearm is
brandished," and ten years if the "firearm is discharged." And
§ 924(c)(1)(B) further provides minimum sentences for possession
of a firearm, a minimum of ten years if the firearm in question is
a "short-barreled rifle, short-barreled shotgun, or semiautomatic
assault weapon," and at least thirty years if it is a "machinegun
or a destructive device[] or is equipped with a firearm silencer
or firearm muffler." Id. § 924(c)(1)(B)(i), (ii).
The plain text before us then is silent as to mens rea.
The government would have us conclude that without explicit mens
rea there can be none, but by now it is well-established that
"silence on this point by itself does not necessarily suggest that
Congress intended to dispense with a conventional mens rea
element." Staples, 511 U.S. at 605; see also Rehaif v. United States,139 S. Ct. 2191, 2195
(2019) (stating that "the presumption
in favor of scienter" applies "even when Congress does not specify
to a term of imprisonment of not less than 10
years; or
(ii) is a machinegun or a destructive
device, or is equipped with a firearm silencer
or firearm muffler, the person shall be
sentenced to a term of imprisonment of not
less than 30 years.
18 U.S.C. § 924.
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any scienter in the statutory text," and "applies with equal or
greater force when Congress includes a general scienter provision
in the statute itself"); Elonis v. United States, 575 U.S. 723,
734 (2015) ("We have repeatedly held that 'mere omission from a
criminal enactment of any mention of criminal intent' should not
be read 'as dispensing with it.'" (quoting Morissette, 342 U.S. at
250)); Morissette,342 U.S. at 263
("We hold that mere omission
from § 641 of any mention of intent will not be construed as
eliminating that element from the crimes denounced."); United
States v. X-Citement Video, Inc., 513 U.S. 64, 70(1994) (interpreting a statute to include a scienter requirement even where "the most grammatical reading of the statute" did not support one); United States v. U.S. Gypsum Co.,438 U.S. 422, 438
(1978)
("Certainly far more than the simple omission of the appropriate
phrase from the statutory definition is necessary to justify
dispensing with an intent requirement.").
***
Finding no explicit expression of congressional intent
as to mens rea within the plain text of the statute, we would
generally turn to legislative history and statutory structure to
determine congressional intent, but, in this case, neither
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provides guidance one way or another.7 As such, today's decision
requires that we traverse the Supreme Court's treatment of mens
rea to decipher whether statutes like the one before us should be
construed as containing a presumption of mens rea. While the
Supreme Court's jurisprudence on the precise issue that we confront
is unsettled, our decision, as we explain today, is in line with
the Court's case law, as well as with the recognized principles of
proportionality (given the thirty-year mandatory minimum imposed
by the statute), which animates the Supreme Court's mens rea
analysis.
There are a number of cases establishing that a
presumption of mens rea underlies federal criminal statutes.
Staples, 511 U.S. at 605 ("[T]he existence of a mens rea is the
rule of, rather than the exception to, the principles of
Anglo-American criminal jurisprudence." (quoting U.S. Gypsum Co.,
438 U.S. at 436)). The Court explicitly addressed the presumption
in Morissette where it considered a statute criminalizing the
conversion of government property after Morissette took bomb
7The statute's legislative history does not appear
instructive for the present case given that the one change made to
the statute in 1998 was seemingly minimal. See Castillo v. United
States, 530 U.S. 120, 129-30 (2000) (detailing some of the
legislative history of § 924(c)). While the government offers
that the statute's structure counsels against a finding of mens
rea because certain other provisions of the statute do include an
explicit mention of mens rea, we are not persuaded that we can end
the inquiry here.
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casings he believed had been abandoned from government property.
342 U.S. at 247-50. The Court applied the presumption that the statute contained a mens rea requirement and found that Morissette could not be punished because he did not know that the property belonged to the government, reasoning that failure to apply the presumption would "sweep out of all federal crimes, except when expressly preserved, the ancient requirement of a culpable state of mind."Id. at 250
.
While the statute in Morissette contained the term
"knowingly," such that the Court need only determine whether it
reached the provision regarding conversion of government property,
the Court has also applied the presumption to statutes that are
otherwise silent on mens rea. For instance, in U.S. Gypsum Co.,
the Court expressed that it was averse to reading the Sherman
Anti-Trust Act as dispensing with a mens rea requirement because
of "the simple omission of the appropriate phrase [mens rea] from
the statutory definition." 438 U.S. at 438. See also Carter v. United States,530 U.S. 255, 259, 269
(2000) (explaining that the lack of explicit mention of mens rea in a statute criminalizing the taking of bank property by "force and violence, or intimidation," still required "proof of knowledge" as to the act for conviction); Posters 'N' Things, Ltd. v. United States,511 U.S. 513, 523-24
(1994) (applying presumption of mens rea to a
statute, thereby requiring defendant to have had knowledge that
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the materials possessed were drug paraphernalia likely to be used
with illegal drugs); Staples, 511 U.S. at 605-06, 615(holding that a presumption of mens rea applies to statute otherwise silent on knowledge and thus requiring defendant to have known that the gun was an automatic); United States v. Bailey,444 U.S. 394
, 406
n.6 (1980) (reasoning that simply because there is no explicit
mention of mens rea does not mean the offense is a "'strict
liability' crime for which punishment can be imposed without proof
of any mens rea at all").
Moving on to how the Supreme Court applies the
presumption of mens rea, we note that it has drawn an important
distinction between elements of an offense and sentencing factors.
An element of an offense is a "fact necessary to constitute the
crime," Almendarez-Torres v. United States, 523 U.S. 224, 240
(1998), while sentencing factors generally "involve
characteristics of the offender -- such as recidivism, cooperation
with law enforcement, or acceptance of responsibility," O'Brien,
560 U.S. at 227 (citation omitted). Elements of a crime must be
proven to a jury beyond a reasonable doubt, while sentencing
factors only need to be proven to a judge by a preponderance of
the evidence. Id. at 224. Immediately applicable here are the
Supreme Court's decisions in United States v. Dean and O'Brien,
which, together with principles of criminal law, stand for the
proposition that the presumption of mens rea applies to elements
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of an offense. See Dean v. United States, 556 U.S. 568 (2009);
O'Brien, 560 U.S. at 227.
At issue in Dean was § 924(c)(1)(B)(ii)'s neighbor
provision, § 924(c)(1)(A)(iii),8 which imposes a mandatory ten
years' imprisonment when a defendant, during a crime of violence
or drug trafficking, "discharge[s]" a firearm. 556 U.S. at 571. In reaching a decision as to whether the discharge provision required proof of intent, the Supreme Court drew a distinction between sentencing factors and elements of the offense and held that, because § 924(c)(1)(A)(iii) was a sentencing factor, proof of intent was not required. Dean,556 U.S. at 573-74, 577
.
The Court confirmed the importance of this distinction
in O'Brien where, in assessing whether the automatic character of
a firearm as outlined in § 924(c)(1)(B)(ii) must be proven to the
jury beyond a reasonable doubt, the Court again drew a distinction
between elements of a crime and sentencing factors. 560 U.S. at
221. The Supreme Court affirmed this court and held that the
government needed to prove beyond a reasonable doubt that the
firearm in question was a machinegun given, in part, because "[t]he
immense danger posed by machineguns, the moral depravity in
choosing the weapon, and the substantial increase in the minimum
sentence provided by the statute." Id. at 230, 235. In reaching
8 See note 6 for the full statutory text.
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its conclusion, the Court emphasized the potential unfairness that
could result from classifying the machinegun provision as a
sentencing factor because it could very well produce a conflict
between the judge and the jury (given that the jury could find
that the defendant used a pistol and the judge at sentencing could
find that it was a machinegun) and result in a "drastic, sixfold
increase" in the severity of the sentence (from the five-year
mandatory minimum for a firearm to the thirty-year minimum for a
machinegun). Id. at 228-29.
O'Brien thus eliminated the underlying assumption that
other circuits had previously relied on to justify excluding a
mens rea requirement from possession of a machinegun: that
subsection (c)(1)(B)(ii) was a sentencing factor that did not
require evidence of mens rea. Taken together, Dean and O'Brien
thus indicate that the presumption of mens rea applies to elements
of an offense, but generally does not apply to sentencing factors.
See Burwell, 690 F.3d at 543 (Kavanaugh, J., dissenting) ("If a
fact is an element of the offense and not a sentencing factor, the
presumption [of mens rea] applies.").
O'Brien left open whether the government needed to prove
that the defendant knew that the firearm in question included the
characteristics relevant to the section charged, the precise issue
we confront today. See 560 U.S. at 222 ("The issues in the present
case do not require the Court to consider any contention that a
- 22 -
defendant who uses, carries, or possesses a firearm must be aware
of the weapon's characteristics. This opinion expresses no views
on the point."). However, because mens rea presumptively applies
to elements of a crime and because the Supreme Court determined
that the automatic character of a firearm is an element of the
offense, rather than a sentencing factor, it only follows that
§ 924(c)(1)(B)(ii) is subject to the mens rea presumption. See
Model Penal Code § 2.02(4) ("When the law defining an offense
prescribes the kind of culpability that is sufficient for the
commission of an offense, without distinguishing among the
material elements thereof, such provision shall apply to all the
material elements of the offense, unless a contrary purpose plainly
appears.").
The government pushes back and asserts that the
presumption of mens rea is inapplicable to § 924(c)(1)(B)(ii)
because this statute includes the predicate crime of either drug
trafficking or a crime of violence and "does not punish conduct
that would otherwise be innocent." We disagree for a number of
reasons. The Supreme Court has indeed applied the presumption to
cases where a statute criminalizes otherwise innocent conduct.
See, e.g., Liparota, 471 U.S. at 424-25 (ruling that statute
criminalizing the acquisition and possession of food stamps
contained a mens rea requirement that defendant knew his
acquisition or possession was unauthorized); Morissette, 342 U.S.
- 23 -
at 276 (holding that statute criminalizing converting government
property required criminal intent). The Court has also often
"emphasized scienter's importance in separating wrongful from
innocent acts." Rehaif, 139 S. Ct. at 2196-97 (collecting cases).
Nevertheless, it does not necessarily follow that the
presumption only applies there and nowhere else. Notably, the
Supreme Court has previously applied the presumption of mens rea
to a federal criminal statute that included a predicate crime.
See Flores-Figueroa v. United States, 556 U.S. 646(2009). Flores-Figueroa involved a statute that imposed two additional years of mandatory imprisonment to defendants who -- while engaged in the commission of certain crimes already punishable by prison time, including theft of government property or fraud -- "knowingly transfer[], possess[], or use[], without lawful authority, a means of identification of another person."Id.
at 647 (quoting 18 U.S.C. § 1028A(a)(1)). Because this
statutory provision already included the predicate crime of theft
of government property or fraud, according to the government's
argument, the presumption should not apply. However, the Supreme
Court did not rule as such. Instead, it held that the government
was required "to show that the defendant knew that the 'means of
identification' he or she unlawfully transferred, possessed, or
used, in fact, belonged to 'another person.'" Id. (quoting
- 24 -
§ 1028A(a)(1)). Thus, Flores-Figueroa directly undermines the
government's argument.
Furthermore, the Supreme Court has not explicitly
articulated a rule dictating that the presumption will only apply
where innocent conduct is at stake. Instead, the Court has
repeatedly stated that criminal offenses that dispense with a mens
rea requirement are "disfavored." Staples, 511 U.S at 606
("Relying on the strength of the traditional rule, we have stated
that offenses that require no mens rea generally are disfavored.");
U.S. Gypsum Co., 438 U.S. at 437-38 ("While strict-liability
offenses are not unknown to the criminal law and do not invariably
offend constitutional requirements, the limited circumstances in
which Congress has created and this Court has recognized such
offenses, attest to their generally disfavored status." (internal
citations omitted)). And this makes sense since "the understanding
that an injury is criminal only if inflicted knowingly 'is as
universal and persistent in mature systems of law as belief in
freedom of the human will and a consequent ability and duty of the
normal individual to choose between good and evil.'" Rehaif, 139
S. Ct. at 2196(quoting Morissette,342 U.S. at 250
). Further, the Supreme Court has made clear that "[t]he heart of the retribution rationale is that a criminal sentence must be directly related to the personal culpability of the criminal offender." Tison v. Arizona,481 U.S. 137, 149
(1987). Doing away with the
- 25 -
defendant's knowledge of the characteristics of the firearm would
make possessing a machinegun a strict liability crime, which would
eliminate the longstanding "concurrence of an evil-meaning mind
with an evil-doing hand." Morissette, 342 U.S. at 251.
Moreover, this reasoning is in accord with basic
principles of federal criminal law. Merely because a defendant
has already engaged in wrongdoing does not mean that the government
should not be held to the burden of demonstrating that the
defendant consciously chose between two distinct types of
firearms. Why should this underlying offense trigger an additional
thirty years when Congress punished that conduct elsewhere? In
other words, while a § 924(c)(1)(B)(ii) defendant might be guilty
of the predicate offense -- that is, possession of a firearm in
furtherance of a crime of violence or drug trafficking crime -- we
see no logic in dispensing with the requirement of a vicious will
for the second offense where the only additional element is that
the firearm is a machinegun. This is particularly true where the
type of firearm chosen can potentially result in a sixfold
sentencing increase. Thus, the government's arguments to the
contrary are not persuasive.
***
Having established that the presumption applies here, we
are still required to ask whether there is some specific indication
from Congress that it should not apply to § 924(c)(1)(B)(ii).
- 26 -
Staples, 511 U.S. at 606 ("[S]ome indication of congressional
intent, express or implied, is required to dispense with mens rea
as an element of a crime."). We see no indication here that
Congress sought to take the extraordinary step of making
§ 924(c)(1)(B)(ii) a strict liability offense. The Supreme Court
has said that there are certain cases where courts should depart
from the presumption of a culpable mental state. For example, the
Supreme Court has declined to apply the presumption in favor of
scienter for some "activities affecting public health, safety, and
welfare." United States v. Freed, 401 U.S. 601, 607(1971) (citing Morissette,342 U.S. at 254
). The Court has also indicated that
congressional silence concerning the mental element of the offense
may signify that Congress intended to dispense with traditional
mens rea requirements when a statutory provision involves
something like a dangerous weapon of war. See, e.g., id. at 609-10
(holding that Congress considered that the potential danger of
owning an unregistered hand grenade outweighed potentially
penalizing an innocent grenade owner). This reasoning is premised
on the understanding that individuals should be on notice that
their conduct is subject to regulation such that no mens rea need
be read into the statutory provision. The additional consideration
at play here, however, is the principle of proportionality.
Indeed, our decision accords with the Supreme Court's
jurisprudence on proportionality. Staples offers guidance.
- 27 -
There, the Supreme Court considered a nearly identical statute to
the one before us -- 26 U.S.C. § 5861(d) -- which makes it unlawful for a defendant "to receive or possess" a firearm that is not registered to them, § 5861, including a machinegun, § 5845(a)(6), and includes a penalty of up to ten years. Staples was charged with possessing a rifle that "had been filed away, and . . . assembled with an M-16 selector switch and several other M-16 internal parts," making it a machinegun. Staples,511 U.S. at 602-03
. He argued that he was ignorant as to the rifle's ability to fire automatically since, for him, it had only fired semiautomatically.Id. at 603-04
. As such, he proposed that the jury be instructed that the government was required to prove that he knew that the gun would fire fully automatically.Id.
While the plain text of § 5861(d) does not contain an
explicit mens rea requirement, the Court extended the presumption
of mens rea to the provision, concluding that a defendant must
know that the firearm is automatic. Id. at 602, 605. In doing
so, the Court emphasized that the "harsh" ten-year "penalty
attached to § 5861(d) suggests that Congress did not intend to
eliminate a mens rea requirement for violation of the section"
because "[h]istorically, the penalty imposed under a statute has
been a significant consideration in determining whether the
statute should be construed as dispensing with mens rea." Id. at
616, 619. While small penalties might complement the absence of
- 28 -
mens rea, the court noted that "[i]n a system that generally
requires a 'vicious will' to establish a crime, imposing severe
punishments for offenses that require no mens rea would seem
incongruous." Id. at 616-17 (internal citations omitted).
Moreover, it would be inconsistent to hold that no mens rea is
required in § 924(c)(1)(B)(ii) while holding that § 5861(d) does
contain a mens rea requirement since both statutes employ the same
definition of a "machinegun."
This reasoning accords with the Court's decisions in
X-Citement Video (considering 18 U.S.C. § 2252), U.S. Gypsum Co. (construing criminal violations of the Sherman Act), and Morissette (involving a statute criminalizing converting government property). Each case involved the interpretation of a federal statute imposing a maximum sentence of ten years, three years, and one year, respectively. In each instance, the Supreme Court highlighted the severity of the punishment imposed, noting that the "penalty is high," Morissette,342 U.S. at 260
, that "harsh penalties loom[ed] equally large," X-Citement Video,513 U.S. at 72
, and that "[t]he severity of the[] sanctions provide[d] further support for [the] conclusion that the [statutory provision] should not be construed as creating strict-liability crimes," U.S. Gypsum Co.,438 U.S. at 442
n.18.
Such is the case here. The penalty at issue is no light
sentence as it is an additional thirty years on top of the
- 29 -
punishment for the underlying crime. That is, it is triple that
considered in Staples and X-Citement Video, ten times that
considered in U.S. Gypsum Co., and thirty times that considered in
Morissette. Because a minimum of thirty years hang in the balance
for defendants charged with § 924(c)(1)(B)(ii), it does not make
sense that Congress would impose such a draconian sentence for a
crime and not hold the government to the burden of proving
knowledge of the specific characteristics of the firearm that make
the defendant culpable under that particular section. Common sense
and the above-referenced cases indicate that Congress could not
have intended a strict liability crime for a crime with a
thirty-year sentence attached.
Ultimately, "[t]he purpose and obvious effect of doing
away with the requirement of a guilty intent is to ease the
prosecution's path to conviction." Morissette, 342 U.S. at 263. But where thirty years are at stake, holding the government to its burden of establishing the defendant's knowledge beyond a reasonable doubt is paramount to maintaining our understanding of the choice between good and evil. Holding otherwise would mean that a defendant "can be subject to [an additional thirty years] imprisonment, despite absolute ignorance of the gun's firing capabilities, if the gun [used in a crime of violence or drug trafficking offense] turns out to be an automatic." Staples,511 U.S. at 615
. And we know that ignorance is indeed possible since
- 30 -
"virtually any semiautomatic weapon may be converted, either by
internal modification or, in some cases, simply by wear and tear,
into a machinegun." Id. As such, these Supreme Court cases and
the shared definition of a machinegun between § 924(c)(1)(B)(ii)
and the statute at issue in Staples support our conclusion that
the jury should have been instructed that, to convict of possession
of a machinegun in furtherance of drug trafficking, the government
had to prove Pérez-Greaux knew the firearm had the characteristics
of an automatic weapon.
This ruling accords with this court's previous
observations of the importance of considering the severity of the
penalty as outlined by Staples. For instance, in United States v.
Nieves-Castaño, we considered a conviction under 18 U.S.C.
§ 922(o), which makes it "unlawful for any person to transfer or possess a machinegun."480 F.3d 597
, 599 (1st Cir. 2007) (quoting
§ 922(o)). At issue was whether the government had proved that
the defendant knew the rifle in question, an AK-47, had the
characteristics of a machinegun to withstand conviction since
§ 922(o) contains a mens rea requirement. Id. at 598. We
ultimately reversed the conviction on the basis of insufficient
evidence of the defendant's mens rea. Id. at 602. While we did
not have to decide whether § 922(o) contained a mens rea
requirement because the government conceded that the "Staples's
scienter requirement also applies to prosecutions under 18 U.S.C.
- 31 -
§ 922(o)," we noted that this concession was correct given the
"harsh penalty" attached to § 922(o), up to ten years. Id. at
600.
Overall, we think that "if Congress had intended to make
outlaws of gun owners who were wholly ignorant of the offending
characteristics of their weapons, and to subject them to lengthy
prison terms, it would have spoken more clearly to that effect."
Staples, 511 U.S. at 620.
***
We recognize that other circuits have come out
differently when confronted with the § 924(c)(1)(B)(ii) mens rea
issue. Prior to the Supreme Court's decision in O'Brien, every
court of appeals to consider the issue held that the statute did
not contain a mens rea requirement. However, those decisions were
based on the presumption that § 924(c)(1)(B)(ii) was a sentencing
enhancement and not an element of the crime, which O'Brien
debunked. See, e.g., United States v. Ciszkowski, 492 F.3d 1264,
1269 (11th Cir. 2007) ("[B]ecause § 924(c) is an enhancement
statute, it does not require proof of 'particularized knowledge'
of the weapon['s] characteristics."); United States v. Gamboa, 439
F.3d 796, 812 (8th Cir. 2006) ("Because the facts concerning the
type of firearm used in § 924(c)(1) are sentencing factors, and
not elements of the offense, we also conclude that the United
States was not required to show that Gamboa subjectively knew that
- 32 -
the firearm was a machinegun."); United States v. Brown, 400 F.3d
1242, 1255 n.9 (10th Cir. 2005) ("Knowledge that a gun is a machine
gun is not an element of the third count against Mr. Brown for
carrying a gun during and in relation to a drug trafficking
crime."); United States v. Morrow, No. CRIM.A. 04-355CKK, 2005 WL
3163804, at *4 (D.D.C. June 20, 2005), aff'd sub nom. Burwell,642 F.3d 1062
(D.C. Cir. 2011), reh'g en banc granted, judgment vacated (Oct. 12, 2011), opinion reinstated and aff'd,690 F.3d 500
(D.C.
Cir. 2012) ("[T]he type of a firearm used or carried under § 924(c)
[is] a sentencing enhancement rather than an element of the offense
and, therefore, a separate mens rea for the type of weapon need
not be proven." (quoting United States v. Nava-Sotelo, 354 F.3d
1202, 1206(10th Cir. 2003)) (second alteration in original)); see also United States v. Eads,191 F.3d 1206, 1214
(10th Cir. 1999)
("[W]e agree with the Fifth Circuit that the type of firearm used
or carried is a sentencing enhancement rather than an element of
the offense . . . .").
As we mentioned earlier, the only two Circuits that have
considered this issue post O'Brien are the D.C. and Eleventh
Circuits, which held that the statutory provision did not contain
a mens rea requirement. See Burwell, 690 F.3d at 500; Haile,685 F.3d at 1211
. Both decisions were based, in large part, on each
circuit's precedent, to which we are not bound. For instance, in
Haile, the Eleventh Circuit reasoned that because it had previously
- 33 -
held in Ciszkowski that § 924(c)(1)(B)(ii) did not require proof
of the defendant's knowledge of the weapon's characteristics, and
because O'Brien did not explicitly overrule Ciszkowski, it was
bound "[u]nder the prior precedent rule . . . to follow [] prior
binding precedent 'unless and until it is overruled by [the] court
en banc or by the Supreme Court.'" Haile, 685 F.3d at 1218 (quoting
prior cases). As such, and without discussing the merits of the
claim, the Eleventh Circuit held that the government was not
required to prove knowledge.
Similarly, in Burwell, the D.C. Circuit held en banc
that, given the court's prior decision in Harris v. United States,
536 U.S. 545(2002) and the "high burden imposed on any party who urges [the] [c]ourt to depart from the principle of stare decisis," it simply could not "set aside a circuit precedent that . . . governed [its] interpretation for twenty years." Burwell,690 F.3d at 504
. Because in determining congressional intent "[n]othing [in Harris] turned on whether the machinegun provision was considered an element of the offense or a sentencing factor," the Burwell court insisted it was bound by its circuit precedent to find no mens rea requirement. Burwell,690 F.3d at 505
. Unlike Haile and Burwell, we write on somewhat of a blank
slate and are not bound by our own circuit precedent holding one
way or the other.
- 34 -
Our decision today is consistent with prior discussions
within our Circuit even though this is the first time this
particular issue has been squarely presented to us. Recall that,
in O'Brien, we did not answer the question of the defendant's
knowledge. 542 F.3d at 925. Two other cases decided after our court's decision in O'Brien bolster our conclusion that § 924(c)(1)(B) contains a knowledge requirement. See United States v. Laureano-Pérez,797 F.3d 45, 74-75
(1st Cir. 2015); United States v. Rivera-Rivera,555 F.3d 277
, 291 n.14 (1st Cir.
2009).
First, in addressing a challenge to a violation of
§ 924(c)(1)(C)(i), which mandates a minimum sentence of
twenty-five years following a subsequent conviction under this
subsection, we held that § 924(c)(1)(C)(i) constitutes a
sentencing enhancement rather than an element of the offense.
Rivera-Rivera, 555 F.3d at 291. In a footnote, however, we construed our earlier decision in O'Brien,542 F.3d 921
, as "conclud[ing] that knowing possession of a machine gun is an element of the crime that must be proven to the jury."Id.
at 291 n.14. While Pérez-Greaux would have us accept this footnote as binding precedent, we cannot do so because the issue in Rivera-Rivera was whether § 924(c)(1)(C)(i), not § 924(c)(1)(B), was an element of the offense. See United States v. Starks,861 F.3d 306, 323
(1st Cir. 2017) (finding that certain language was
- 35 -
dicta since "[i]t was presented without analysis and, because it
addressed a broader argument . . . it was not necessary to the
court's conclusion"); Rivera-Rivera, 555 F.3d at 291 n.14 (stating
in the same footnote, that the issue then before the court did not
"make any allegations regarding the possession of a machine gun").
Notwithstanding that this case did not directly address the issue
now before us, it buttresses our conclusion, since we clearly
arrived at the same conclusion.
Second and more recently, in Laureano-Pérez, we
considered, among other things, a challenge to convictions for
possession of a machine gun under § 924(c)(1)(B)(ii) and § 922(o).
797 F.3d at 74. While the court held that there was sufficient
evidence to conclude that the defendant knew he possessed a weapon
having the characteristics which brought it within the definition
of a machinegun, the court assumed that § 924(c)(1)(B)(ii) and
§ 922(o) shared the same mens rea requirement. Id. at 74-75. Even
though Laureano-Pérez does not bind us to a specific ruling, it
suggests that applying a knowledge requirement to
§ 924(c)(1)(B)(ii) is in keeping with our prior interpretations
when possession of a firearms is an element of the charged crime.
***
Having determined that the district court instructed the
jury in error, we would now typically turn to assessing whether
the error was harmless. United States v. Fernández-Jorge, 894
- 36 -
F.3d 36, 54 (1st Cir. 2018) ("When jury instructions fail to
account for an element of the crime charged, that error is harmless
only if we can conclude 'beyond a reasonable doubt that the omitted
element was uncontested and supported by overwhelming evidence,
such that the jury verdict would have been the same absent the
error.'" (quoting United States v. Pizarro, 772 F.3d 284, 297-98
(1st Cir. 2014)). Pérez-Greaux briefly asserts that the error was
not harmless, but the government does not address this point in
its briefing. Instead, at oral argument, the government stated
that if we were to find that the district court failed to give the
appropriate instruction, we "would have to vacate" and remand for
a new trial. Given this concession, we vacate Pérez-Greaux's
§ 924(c)(1)(B)(ii) conviction and remand his case for a new trial
on this count.9
B. SUFFICIENCY OF THE EVIDENCE
As we noted up front, despite concluding Pérez-Greaux's
conviction under § 924(c)(1)(B)(ii) must be vacated and remanded
for a new trial based on the erroneous jury instruction, we still
address his argument that there was insufficient evidence to prove
he knew the firearm in question had been altered to allow automatic
firing because, if we agree with him, the result would be the
9 While we vacate and remand for a new trial on Count Two, we
do not ascribe fault to the district court in not giving the jury
the mens rea instruction we now require since at the time of the
trial there was scant guidance from our circuit as to the issue.
- 37 -
reversal of the conviction and instructions to dismiss this count
and not simply a remand to the district court for a new trial.
See Godin, 534 F.3d at 61 (citations omitted).
Rule 29 provides that a court may acquit a defendant if
the evidence is insufficient to establish factual guilt. We review
a district court's determination on a Rule 29 motion for acquittal
de novo, viewing the evidence in the light most favorable to the
government. United States v. Bristol-Mártir, 570 F.3d 29, 38 (1st Cir. 2009). Pérez-Greaux faces a formidable standard. While we apply de novo review to preserved sufficiency claims, "[i]t is not our job to re-weigh the evidence or second-guess the jury's credibility determinations." United States v. Bobadilla-Pagán,747 F.3d 26, 32
(1st Cir. 2014) (citation omitted). Instead, we must credit the government's witnesses, draw all reasonable inferences in its favor, and uphold the verdict if it is "supported by a plausible rendition of the record."Id.
(quoting United States v. Cortés–Cabán,691 F.3d 1, 16
(1st Cir. 2012)). In other words, reversal is warranted only if we find that "no levelheaded jury could have found [Pérez-Greaux] guilty."Id.
(quoting United States v. Guerrier,669 F.3d 1, 7
(1st Cir. 2011)). For the
reasons we explain below, we conclude that the government presented
sufficient evidence for the jury to convict Pérez-Greaux of
(1) possessing a firearm in furtherance of a drug trafficking crime
- 38 -
and (2) possessing a machinegun in furtherance of a drug
trafficking crime. We address each in turn.
1. Possession of a Firearm in Furtherance of a
Drug Trafficking Crime
We first address Pérez-Greaux's challenge to his
conviction for possession of a firearm "in furtherance of" a drug
trafficking crime. § 924(c)(1)(A). To convict Pérez-Greaux under
§ 924(c)(1)(A), the government must establish at trial that he
(1) possessed a firearm (2) in furtherance of (3) a drug
trafficking crime. § 924(c)(1)(A), (2); United States v.
Gonsalves, 859 F.3d 95, 111(1st Cir. 2017). On appeal, Pérez-Greaux does not dispute that he possessed a firearm, nor that he committed a drug trafficking crime. Indeed, he himself led law enforcement to the firearm's precise location when they entered the home, and there was ample evidence that he engaged in drug trafficking given that he told Agent Miranda that he had been working as drug trafficker since March or April of 2018. See United States v. Rodríguez-Martinez,778 F.3d 367, 373
(1st Cir.
2015) ("A finding of constructive possession requires a showing
'that the person knows (or has reason to know) that the firearm is
within easy reach, so that he can take actual possession of it
virtually at will.'" (quoting United States v. Robinson, 473 F.3d
387, 399 (1st Cir. 2007))). Thus, we are only left to determine
whether, as he contends, the evidence is insufficient that he
- 39 -
possessed the firearm "in furtherance of" the undisputed drug
trafficking crime.
Mere presence of a firearm in an area where a criminal
offense occurred is not enough to sustain a conviction,
Bobadilla-Pagán, 747 F.3d at 35; rather, for a person to possess a gun "in furtherance of" a drug offense, the government must establish "a sufficient nexus between the firearm and the drug crime such that the firearm advances or promotes the drug crime," United States v. Ramirez-Frechel,23 F.4th 69, 74
(1st Cir. 2022) (quoting United States v. Pena,586 F.3d 105, 113
(1st Cir. 2009)). We analyze "in furtherance of" evidence from both objective and subjective viewpoints, taking into account that the element lacks "a settled, inelastic, definition."Id.
As to objective factors, we consider "(1) the proximity of the firearm to drugs or contraband; (2) whether the firearm was easily accessible; (3) whether the firearm was loaded; and (4) the surrounding circumstances." Bobadilla-Pagán,747 F.3d at 35
(citation omitted). A subjective factor could be, for example, evidence "that a defendant obtained a firearm to protect drugs or proceeds"; but, where subjective indicators are absent, the jury is able to infer intent from objective circumstances.Id.
(citation
omitted).
Here, objective factors point in favor of concluding
that the "in furtherance of" element is satisfied. First, the
- 40 -
government offered testimony that Pérez-Greaux led law enforcement
to the firearm, which was recovered on the top shelf of his
children's bedroom closet. This demonstrates that the firearm was
located in the same residence as the drugs. Had the government
stopped here, this would have been insufficient to satisfy the "in
furtherance of" element since "[t]he mere presence of a firearm in
the area where the drug offense occurred," id.,is not enough. However, the government also proffered testimony that the firearm was found in close proximity to the cocaine found in the adjoining room, was easily accessible since the officer who recovered the firearm stood at 5'6" and had little difficulty recovering it, and accompanying the firearm, though not necessary to uphold a conviction, were magazines and bullets. See United States v. Mendoza-Maisonet,962 F.3d 1, 15
(1st Cir. 2020) (holding that the
firearm was accessible even though it was in a child's bedroom and
needed to be reached by standing on a chair). The close proximity
and accessibility of the firearm thereby indicate that a reasonable
jury could draw the inference that there was some connection
between the firearm and the drug trafficking crime.
Moreover, we have previously held that the "in
furtherance of" element may be established where there is some
indication that the firearm is possessed "to protect drugs or sales
proceeds." United States v. Alverio-Meléndez, 640 F.3d 412, 420(1st Cir. 2011) (quoting United States v. Marin,523 F.3d 24
, 27
- 41 -
(1st Cir. 2008)). Pérez-Greaux presented shifting stories as to
how he acquired the firearm -- he first told officers that he was
storing it for a drug supplier, alias "Alex," who asked him to
"[j]ust hold on to that while I come back," but later, in the same
interview, Pérez-Greaux said the firearm belonged to someone named
"Marcos" whom he feared. While Pérez-Greaux's statements as to
how he came to possess the firearm changed, a reasonable jury could
have accepted his initial version of the facts -- that he had
obtained the firearm from Alex -- and inferred that, because Alex
gave him the firearm when he gave him the cocaine, his "taking
possession of the firearm from Alex [w]as advancing or promoting
the drug trafficking." Pérez-Greaux, 454 F. Supp. 3d at 140.
Moreover, as the district court points out, the jury could have
also inferred that when Alex gave Pérez-Greaux the firearm and
cocaine in Isla Verde, the firearm was used to protect the drugs
as Pérez-Greaux made his way home to Arecibo. See id. at 140-41.
Further, the jury could have inferred that he possessed
the firearm to safekeep the drugs and/or proceeds inside his
residence since he used his home to package and ship the cocaine.
See Mendoza-Maisonet, 962 F.3d at 15 (holding that one such way a
firearm might be said to be possessed "in furtherance of" a drug
crime is for a jury to find that it was possessed to protect the
defendant's drug supply). Such was the case in Bobadilla-Pagán.
There, the evidence showed that the defendant kept a loaded,
- 42 -
unlicensed firearm just a few feet away from drugs in a minivan.
747 F.3d at 29. While the defendant, like Pérez-Greaux, argued that the mere presence of the firearm where drugs were kept could not be said to be "in furtherance of" a drug trafficking crime, we held that, given "the extremely high bar set for a sufficiency challenge," those facts, taken together with the jury hearing testimony that "drug traffickers often possess firearms for protection of drug trafficking activities," were sufficient evidence for a rational jury to find that the defendant possessed the firearm "in furtherance of" his drug trafficking activities.Id. at 36
. Because a jury is entitled to make these inferences,
we cannot say that no level-headed jury could have found otherwise
here.
Pérez-Greaux insists that the evidence does not move
beyond mere possession. He argues that the firearm was unloaded
and not easily accessible because it was "packed-up" (since it was
wrapped in bags) and stored in an entirely separate room from the
drugs that were uncovered. But standing up next to our case law,
these arguments fall flat. We have previously held that a firearm
was possessed "in furtherance of" a drug crime even when the
firearm was by no means easily accessible. For instance, in United
States v. Grace, we concluded that there was sufficient evidence
to establish that Grace possessed the unloaded firearm "in
furtherance of" her drug crimes even though the firearm was stored
- 43 -
in a drawer under her bed, in her bedroom, to protect the drug
supply found in her computer room. 367 F.3d 29, 32-33, 35-36(1st Cir. 2004). And in United States v. Luciano, we had "no difficulty" concluding that the defendant's possession of a firearm to protect his drugs provided a sufficient nexus between the drugs and the firearm even though the firearms were discovered in a crawlspace in the defendant's apartment ceiling.329 F.3d 1, 3-4, 6
(1st Cir. 2003) (concluding sufficient nexus after law enforcement officers discovered heroin, drug paraphernalia, two handguns, and two loaded, but detached, magazines in the crawlspace of the apartment where defendant, who had been arrested on the street while carrying heroin, had just been, based on the "close proximity of the firearms and loaded magazines to the significant stockpile of heroin"). The firearm in Pérez-Greaux's residence was surely more easily accessible on the top shelf of a closet than hidden underneath a bed or in the crawlspace of a ceiling. And it is of no moment that Pérez-Greaux argues that the firearm was unloaded since Grace also involved an unloaded firearm. See367 F.3d at 36
("[A] gun does not even have to be operational, let
alone loaded, to qualify as a firearm for section 924 purposes.").
Thus, viewing the evidence in the light most favorable
to the verdict, we conclude that based on the proximity of the
drugs, accessibility of the firearm, and the surrounding
circumstances, a rational factfinder could conclude that
- 44 -
Pérez-Greaux possessed the firearm "in furtherance of" the drug
trafficking crime and thus in violation of the § 924(c) charges.
2. Possession of a Machinegun in Furtherance of a
Drug Trafficking Crime
In addition to challenging the "in furtherance" part of
his firearms convictions, Pérez-Greaux also contends that there is
insufficient evidence to conclude that he possessed a machinegun
in furtherance of a drug trafficking crime. To impose an
additional mandatory minimum sentence of thirty years for
possession of a machinegun under § 924(c)(1)(B)(ii), the
government must establish beyond a reasonable doubt that the
defendant (1) possessed a machinegun (2) in furtherance of (3) a
drug trafficking crime and, based on today's holding, (4) that the
defendant knew that the firearm he possessed had the
characteristics that brought it within the definition of a
machinegun. § 924(c)(1)(B)(ii); see supra. Pérez-Greaux argues
that there is insufficient evidence to prove he knew the firearm
he possessed was a machinegun, while the government argues that,
notwithstanding that it did not set out to present mens rea
evidence about the type of firearm at trial (given that the
district court decided that a mens rea instruction was not
appropriate), the evidence it did present was sufficient to prove
knowledge. Viewing the evidence and all reasonable inferences
drawn therefrom in the light most favorable to the verdict, we
- 45 -
conclude that there was sufficient evidence for a jury to establish
that Pérez-Greaux knew that the firearm he possessed had the
characteristics of a machinegun. Thus, acquittal on this count is
not warranted. We explain.
"To meet the knowledge requirement threshold [under
§ 922(o)], the government must prove that 'the defendant had
knowledge of the characteristics that brought the gun within the
statutory definition, and not that []he had knowledge that the gun
was in fact considered a machine gun under federal law.'" United
States v. Torres-Pérez, 22 F.4th 28, 32(1st Cir. 2021) (second alteration in original) (quoting Nieves-Castaño, 480 F.3d at 599). Further, "[t]he requisite mens rea may be established by circumstantial evidence." Id. at 32-33 (quoting Nieves-Castaño, 480 F.3d at 601). And while "[i]ndividual pieces of evidence viewed in isolation may be insufficient in themselves to prove a point, . . . in cumulation [they] may indeed meet the mark." United States v. Shaw,670 F.3d 360, 362
(1st Cir. 2012). Thus, at the Rule 29 posture, the question before us is whether the "evidence, including all plausible inferences drawn therefrom, would allow a rational factfinder to conclude beyond a reasonable doubt that the defendant committed the charged crime." Torres-Pérez,22 F.4th at 32
(quoting United States v. Troy, 583
U.S. F.3d 20, 24 (1st Cir. 2009)). We conclude that, in this case,
a rational factfinder could reach this conclusion.
- 46 -
Here, crediting the government's witnesses, as we must
on a Rule 29 motion, the cumulation of evidence reveals that the
firearm in question was indeed a machinegun as federal law defines
it and that a reasonable jury could draw the reasonable inference
that Pérez-Greaux knew it was one. First, the government offered
testimony from a firearms expert that the firearm in question was
a semiautomatic Glock 26 pistol that had been converted into a
fully automatic machinegun through the installation of an
automatic sear, created by an individual and not by Glock, on the
back of its slide. The expert also testified that, based on his
training and expertise, he could simply look at the firearm and
conclude that it is a machinegun but that he confirmed this
conclusion by test firing the weapon. While "a juror may not
reasonably infer merely from the fact that one constructively
possesse[d] a machinegun that the defendant knows . . . about the
characteristics of that weapon," United States v. Pina-Nieves, 59
F.4th 9, 14 (1st Cir. 2023), here, the jury was given the
opportunity to view the machinegun and the visible alterations
made as described by the government's expert. Moreover, the
government presented evidence that Agent Rivera witnessed
Pérez-Greaux carrying a firearm in a holster on his hip, that
Pérez-Greaux stored the firearm in the same bag as a thirty-round
magazine, told the agents carrying out the search warrant where
the firearm was located, possessed firearm periodicals, and had an
- 47 -
extended magazine. From this evidence, a reasonable jury could
have inferred that the firearm Agent Rivera saw Pérez-Greaux
carrying was the same machinegun recovered by law enforcement,
meaning Pérez-Greaux had "handled" the firearm. Because he
"handled" the firearm and was familiar with firearms -- inferred
from his possession of firearm periodicals -- a reasonable jury
could have thus concluded that he knew it had been altered to fire
automatically.
This court has affirmed the denial of a Rule 29 motion
for acquittal on less evidence. For instance, in Torres-Pérez, we
concluded that the defendant knew the firearm was a machinegun
where the defendant was seen removing the firearm from the
waistband of his shorts and throwing it into a truck via the open
driver's side window. 22 F.4th at 30, 33. There, as here, the government presented evidence that the defendant handled the weapon (when he threw it into a truck), as well as expert testimony that the weapon's chip was visible just from looking at the firearm, officer testimony that "he could tell by looking at the Glock that [it] had been altered," evidence that the alterations to the firearm were "obvious and visible," and evidence that the defendant had "run from police," from which the jury could infer "consciousness of guilt."Id. at 33
. Additionally, since "the
jury could view the Glock for themselves during trial and had the
opportunity to decide whether the chip was visible and obvious to
- 48 -
[the defendant,]" the jury could infer that the defendant "knew
the Glock could fire multiple bullets with one pull of the trigger"
based on the "extended magazine." Id. As we have already
described, similar evidence was also presented at Pérez-Greaux's
trial.
The government also presented evidence that: (1) the
firearm was found in the same bag as a thirty-round magazine, from
which the jury could have drawn the inference that the firearm
could fire multiple bullets; (2) Pérez-Greaux possessed firearm
periodicals, evincing his knowledge of firearms; and
(3) Pérez-Greaux and the person who gave him the firearm, whether
crediting Pérez-Greaux's first or second version of how he came to
possess it, were close, such that they would have told him that
the firearm was a machinegun had he not in fact seen the weapon.
See Laureano-Pérez, 797 F.3d at 76 ("Given this apparent closeness,
a jury could rationally conclude that [the co-conspirator] would
have confided in [the defendant] regarding the [contents] of the
bag."). Thus, we cannot say that, given the cumulation of all of
this circumstantial evidence, no levelheaded jury could have found
Pérez-Greaux guilty. See Bobadilla-Pagán, 747 F.3d at 32.
Pérez-Greaux counters that the government failed to
present sufficient evidence because it did not present evidence
that a layperson (rather than an expert) could draw the conclusion,
simply by looking at the firearm, that it had been modified to a
- 49 -
machinegun. But this argument is unavailing since such evidence
was not required in Torres-Pérez where we affirmed on similar
facts. See 22 F.4th at 33. He further argues, in a cursory
manner, that his facts are analogous to those in Nieves-Castaño,
where we reversed a conviction based on insufficient evidence of
knowledge. See 480 F.3d at 600-02. There, however, we considered
a rifle, not a Glock pistol, and the firearm had been modified via
an internal alteration, such that the only external evidence that
the firearm had been modified was a "small mark or hole" that was
not easily noticeable, and thus was unlike the visible alteration
present here. Id. at 600. Further, unlike here, no evidence was
presented to show that the defendant had "any expertise in
firearms." Id. at 601. For all of these reasons, Pérez-Greaux is
not entitled to an acquittal on this count.
C. PRETRIAL AND TRIAL ERRORS
Finally, Pérez-Greaux separately requests a new trial on
the basis that (1) the district court erred in three evidentiary
rulings, which denied him the right to a fair trial; (2) that
prosecutorial misconduct in closing arguments violated his Fifth
and Sixth Amendment rights; (3) that the district court erred in
denying his motion to suppress without a Franks hearing; and
(4) that, cumulatively, the errors already outlined undermined his
right to a fair trial. We address each argument in turn,
- 50 -
ultimately concluding that a new trial is unnecessary based on
these purported errors.
1. Evidentiary Rulings
Pérez-Greaux first contends that the district court
erred in three evidentiary rulings, namely that the district court
(a) precluded defense witness testimony; (b) excluded
cross-examination of Agent Miranda on Pérez-Greaux's mens rea
statements; and (c) admitted images extracted from two phones in
Pérez-Greaux's house and opinion testimony that these materials
evidence specific prior illegal conduct. All asserted errors
having been preserved, we review for abuse of discretion, United
States v. Greaux-Gomez, 52 F.4th 426, 434(1st Cir. 2022), affording the district court discretion so long as it did not make an error of law, Koon v. United States,518 U.S. 81, 100
(1996).
a. Preclusion of Testimony by DRNA Lieutenants
Pérez-Greaux first argues that the district court erred
in preventing him from presenting testimony from three lieutenants
who worked for the Puerto Rico Natural Resources Department
("DRNA") on the Caño Tiburones Reserve near his residence. At
trial, the government offered testimony from Agent Rivera that he
had surveilled Pérez-Greaux's house from an empty lot belonging to
the DRNA and had seen Pérez-Greaux carrying a weapon on his hip.
To rebut this testimony, Pérez-Greaux sought to
introduce the testimony of three lieutenants who would testify, in
- 51 -
essence, that they were the only three lieutenants that were on
duty to oversee the reserve, that no one requested permission to
surveil Pérez-Greaux's residence from the reserve, and that even
if someone had requested permission, they would not have been able
to grant such permission because they were not the agents
responsible for granting such requests. This testimony would show,
according to Pérez-Greaux, that Agent Rivera did not actually enter
the reserve to conduct surveillance, and consequently, could never
have seen Pérez-Greaux with a gun on his hip. The government
objected to this testimony, arguing that it constituted
impeachment of a witness on a collateral matter via extrinsic
evidence prohibited by Federal Rule of Evidence 608(b). The
district court agreed with the government and excluded the
testimony, finding that the testimony offered would go to whether
or not Agent Rivera was in the lot, rather than whether he actually
(from some site) saw Pérez-Greaux with the firearm. On appeal,
Pérez-Greaux argues that the testimony was impermissibly excluded
as collateral.
"A matter is collateral if 'the matter itself is not
relevant in the litigation to establish a fact of consequence,
i.e., not relevant for a purpose other than mere contradiction of
the in-court testimony of the witness.'" Maldonado-Peña, 4 F.4th
at 35-36 (quoting United States v. Marino,277 F.3d 11, 24
(1st
Cir. 2002)). We do not see how the district court abused its
- 52 -
discretion in excluding this testimony. Testimony from these three
lieutenants would not be that they never saw Agent Rivera in the
lot or that Agent Rivera never saw Pérez-Greaux with a firearm.
Rather, said testimony would concern whether Agent Rivera had
entered the lot with or without permission, and no proffer was
made that the reserve could only be entered with permission. Given
this, we agree with the district court that such a matter was
collateral because it did not go directly to the issue of whether
Agent Rivera actually saw Pérez-Greaux with the firearm.
"[W]hether a matter is collateral or material is within the
district court's discretion," id. at 36 (citation omitted), and we
conclude that the district court did not abuse its discretion.10
b. Preclusion of Cross-Examination of ICE Agent Miranda
Pérez-Greaux also argues that the district court abused
its discretion in preventing him from cross-examining Agent
Miranda regarding the defendant's post-Miranda statement that he
"had no knowledge that the firearm had been modified to operate as
a fully automatic handgun." We do not dive into this claim of
error because it goes directly to the mens rea count that we have
concluded must be vacated and remanded for a new trial, and the
10Pérez-Greaux also argues that the district court violated
his due process right to "present a defense." However, not having
developed this argument, we deem it waived. United States v.
Zannino, 895 F.2d 1, 17 (1st Cir. 1990) ("[I]ssues adverted to in
a perfunctory manner, unaccompanied by some effort at developed
argumentation, are deemed waived.").
- 53 -
ruling will likely be reconsidered. See United States v. Sasso,
695 F.3d 25, 31 (1st Cir. 2012) (commenting that, because a new
trial was warranted for an erroneous jury instruction, the court
would not examine some alleged trial errors).
c. Admission of Prior Bad Acts Evidence
Pérez-Greaux further argues that the district court
abused its discretion in its decision to admit into evidence
photographs of what appear to be bricks of cocaine, thousands of
dollars in cash, various money transfer receipts, USPS tracking
information, and a series of text messages, contending that the
images were propensity evidence that should have been excluded
under Federal Rule of Evidence 404(b) ("Rule 404(b)").
Rule 404(b) governs the admissibility of evidence of
"crimes, wrongs, or acts" other than that for which the defendant
is on trial. Fed. R. Evid. 404(b). Generally, such evidence is
"not admissible to prove a person's character in order to show
that on a particular occasion the person acted in accordance with
the character." Id.This is known as the forbidden "propensity inference." See, e.g., United States v. Varoudakis,233 F.3d 113, 122
(1st Cir. 2000). However, exceptions exist. If the evidence is being offered for another purpose, such as to show "motive, opportunity, intent, preparation, plan, knowledge," et cetera, Fed. R. Evid. 404(b)(2), then such evidence is admissible if it passes a two-step analysis, Varoudakis,233 F.3d at 118
. "First,
- 54 -
the evidence must have 'special relevance' to an issue in the case
such as intent or knowledge, and must not include 'bad character
or propensity as a necessary link in the inferential chain.'" Id.(quoting United States v. Frankhauser,80 F.3d 641, 648
(1st Cir. 1996)). Second, even if the evidence is "special[ly] relevant,"id.,
it may still be excluded under Federal Rule of Evidence 403
("Rule 403") "if its probative value is substantially outweighed
by the danger of," among other things, unfair prejudice. Fed. R.
Evid. 403. And "[i]n reviewing Rule 403 challenges, we are
extremely deferential to the district court's determination."
United States v. Otero-Méndez, 273 F.3d 46, 53 (1st Cir. 2001).
Pérez-Greaux argues that the district court erred when
it failed to engage in the correct, two-step analysis in
determining the admissibility of the photos. While it is true
that the district court did not explicitly outline that it was
engaging in the two-step approach, the record reveals that the
court made the requisite considerations implicitly, and that is
enough. See United States v. Breton, 740 F.3d 1, 14 (1st Cir.
2014) ("We give great deference to a district judge's balancing of
probative value versus unfair prejudice . . . . This is true even
when a judge does not expressly explain the Rule 403 balancing
process on the record."). First, when the government argued that
the evidence was admissible to show that Pérez-Greaux had possessed
the cocaine with the intent to distribute it, the district court
- 55 -
agreed, noting that it would "at most" be evidence of "intent,
knowledge, [etc.]." Second, the district court asked Pérez-Greaux
to focus his argument on issues of "prejudice, bad faith, [and any
other] evidentiary reason" to suppress the images. (Emphasis
added). Such a request indicates that the court was considering
step two (probative value and prejudice) in its assessment of the
issue, especially since we have repeatedly held that "the absence
of an express Rule 403 finding . . . does not mean the district
judge failed to perform this analysis." Breton, 740 F.3d at 15; see United States v. García-Sierra,994 F.3d 17, 29-34
(1st Cir.
2021) (explaining that while the court failed to explicitly address
Rule 403 balancing, the record as a whole reveals that the court
engaged in the required analysis via its questioning of counsel).
Even so, Pérez-Greaux argues that the images should not
have been admitted because he was prejudiced by the last-minute
disclosure of the images (the government moved to admit them the
day before trial). The district court found that the delay in
disclosing the evidence was not prejudicial because Pérez-Greaux
could have requested a continuance and did not. We find no fault
in the district court's logic and find no abuse of discretion by
admitting these images.
2. Prosecutorial Misconduct
We now reach Pérez-Greaux's contention that the
government made improper remarks at two parts of its closing
- 56 -
argument, which he implies poisoned the well and affected the
trial's outcome. We review preserved challenges to closing
arguments de novo and unpreserved challenges for plain error.
United States v. González-Perez, 778 F.3d 3, 19 (1st Cir. 2015). Statements are harmful if they "so poisoned the well that the trial's outcome was likely affected, thus warranting a new trial." Id. (quoting United States v. Rodríguez,675 F.3d 48, 62
(1st Cir.
2015)). Ultimately, we disagree with Pérez-Greaux's arguments for
the reasons set forth below.
First, Pérez-Greaux takes issue with the government's
emphasis on Agent Rivera's supposed description of the black
firearm he saw on Pérez-Greaux's hip as "match[ing] the black
pistol that was found in the closet" days later when officers
executed the search warrant. The district court overruled
Pérez-Greaux's objection that this was a misstatement of the
evidence. Properly preserved, we review this challenge de novo.
See id.
On appeal, Pérez-Greaux focuses his argument on
allegations that Agent Rivera was not truthful in his testimony
about seeing a gun on Pérez-Greaux's hip, and we understand his
argument to be that the government improperly carried this
misstatement forward into its closing argument to the jury. While
our review of the record demonstrates that Agent Rivera did not
specifically state that the firearm "matched" the weapon seized,
- 57 -
as the government stated in its closing, he did say that the
firearm looked similar to his own Glock pistol and that it was
indeed a Glock-brand machinegun that was eventually found. Taking
context into account, it appears that in making its closing
argument, the government was inviting the jury to infer that the
firearm Agent Rivera says he observed matched the firearm found in
the children's bedroom. While prosecutors cannot refer to facts
not in evidence during closing remarks, they can ask the jury to
draw reasonable inferences. United States v. Ponzo, 853 F.3d 558,
583(1st Cir. 2017). And this inference was reasonable given the brand of the firearm recovered and its resemblance to Agent Rivera's personal weapon. As such, we cannot say that this statement was improper or that the prosecutor engaged in misconduct. See González-Perez,778 F.3d at 19
.
Moving on to his second complaint about the government's
closing statement, Pérez-Greaux contends that the government also
"misstated both the law and the facts and implied special knowledge
amounting to personal testimony" when the prosecutor stated to the
jury in rebuttal that "[d]rugs and a gun go like rice and beans,
'co[mo] arroz y habichuelas.'11 They go together. That gun was
there to protect the drugs," in attempting to make the case that
the firearm was used "in furtherance of" the drug trafficking
11"Como arroz y habichuelas," is Spanish for "like rice and
beans," which the government translated for the jury.
- 58 -
crime. Perez-Greaux did not object to this statement, so we review
for plain error. On plain error review, Pérez-Greaux "must show
that '(1) an error occurred (2) which was clear or obvious and
which not only (3) affected the defendant's substantial rights,
but also (4) seriously impaired the fairness, integrity, or public
reputation of the proceedings.'" United States v. Spencer, 873
F.3d 1, 15(1st Cir. 2017) (alteration omitted) (quoting United States v. Kasenge,660 F.3d 537, 541
(1st Cir. 2011)). Pérez-Greaux, however, fails to address the four prongs of plain error in his opening brief, so we deem his argument waived and say no more about it.12 See United States v. Espinoza-Roque,26 F.4th 32
, 36 (1st Cir. 2022) (explaining that the appellant waived a
"claim on appeal by failing to address the governing standard of
plain error review in his opening brief").
3. Franks Hearing
We next turn to Pérez-Greaux's contention that the
district court erred in denying him a Franks hearing. Under the
Supreme Court's decision in Franks v. Delaware, 438 U.S. 154
(1978), a defendant may obtain an evidentiary hearing "to challenge
the truthfulness of statements made by law enforcement agents in
a search warrant affidavit" should the defendant make "'a
Even if we were to look beyond Pérez-Greaux's opening brief
12
and turn to his reply brief, there too he fails to develop his
argument for plain error since he acknowledges the standard but
fails to address the four prongs.
- 59 -
substantial preliminary showing' that: 1) the warrant affidavit
contains a false statement made 'knowingly and intentionally, or
with reckless disregard for the truth' and 2) that 'the allegedly
false statement was necessary to the finding of probable cause.'"
United States v. Hicks, 575 F.3d 130, 138(1st Cir. 2009) (quoting Franks,438 U.S. at 155-56
). We review a district court's denial of a request for a Franks hearing for clear error. United States v. Austin,991 F.3d 51, 57
(1st Cir. 2021) (citing United States v. Graf,784 F.3d 1, 6
(1st Cir. 2015)). "[W]hen we are left with the definite and firm conviction that a mistake has been committed," clear error exists. Graf,784 F.3d at 6
(quoting Hicks,575 F.3d at 138
).
On appeal, Pérez-Greaux maintains, as he did below,13
that he was entitled to a Franks hearing because the statement
made by Agent Rivera in support of the search warrant -- that on
June 1, 2018, he saw Pérez-Greaux leave his residence with a pistol
13Pérez-Greaux filed a motion to suppress the evidence
obtained from the search of his residence on the sole basis that
Agent Rivera's affidavit supporting the search warrant application
included a false statement -- that of Agent Rivera observing
Pérez-Greaux with a firearm on his hip -- and that without this
statement the affidavit did not establish the requisite probable
cause for the issuance of the search warrant. Pérez-Greaux's
motion included a request for a Franks hearing. As the parties
know well, the court initially scheduled a Franks hearing,
continued the hearing date a few times, and ultimately vacated the
hearing date over Pérez-Greaux's objection. The district court
denied the motion to suppress, adopting (over Pérez-Greaux's
objection) a magistrate judge's report and recommendation that
Pérez-Greaux was not entitled to a Franks hearing.
- 60 -
on his hip -- was false and, absent this statement, Agent Rivera's
affidavit provided insufficient probable cause to issue a search
warrant. In support of this Franks hearing motion, Pérez-Greaux
supplied nothing beyond his own affidavit stating that, from
May 29, 2018 to June 5, 2018, he had "never been outside [his]
residence with any type of firearm."14 The magistrate judge found
that Pérez-Greaux "failed to make a substantial preliminary
showing that he was entitled to a Franks Hearing" because he only
attacked one of the factual bases within Agent Rivera's affidavit
and failed to meet his burden to show the stated observation was
false. He did not provide any indication that the information
from the confidential informant, upon which Agent Rivera was
relying, was false or unreliable in any way or show that the
information was immaterial. The district court denied
Pérez-Greaux's motion to suppress, finding the magistrate judge's
recommendation "well-supported" and concluding that the
information from the confidential informant -- on its
Pérez-Greaux belatedly submitted additional evidence for
14
the court's consideration when he objected to the magistrate
judge's report and recommendation, including (1) a logbook from
the security company for the residential development (in which
Agent Rivera averred he had observed Pérez-Greaux) purporting to
show the absence of an entry for law enforcement on June 1, 2018,
and (2) an affidavit from an investigator who had interviewed a
security guard for the residential development, stating that the
security guard did not recall law enforcement's presence at the
development on June 1, 2018. The district court concluded that
the evidence was "insufficient to vitiate the probable cause
underlying the search warrant."
- 61 -
own -- "establishe[d] probable cause for the search warrant."
After reviewing the record, we cannot conclude that this decision
was wrong. See Graf, 784 F.3d at 6.
We begin our discussion with the first prong of the
"substantial preliminary showing" test: that the "warrant
affidavit contains a false statement." Hicks, 575 F.3d at 138. While Pérez-Greaux's sworn statement challenges the truthfulness of Agent Rivera's statement about what he purportedly observed, "[n]ot every challenge to an affiant's veracity will lead to an evidentiary hearing." United States v. Southard,700 F.2d 1, 8
(1st Cir. 1983). "To mandate an evidentiary hearing, the challenger's attack must be more than conclusory and must be supported by more than a mere desire to cross-examine. There must be allegations of deliberate falsehood or of reckless disregard for the truth, and those allegations must be accompanied by an offer of proof."Id.
(quoting Franks,438 U.S. at 171-72
). Pérez-Greaux's statement that he was not outside of his residence with any type of firearm during the relevant period amounts to what we have described in the past as a conclusory assertion. It also neither illustrates that Agent Rivera acted "knowingly and intentionally, [n]or with reckless disregard for the truth," as required by Franks.438 U.S. at 155
.
We have previously held that flat denials of
allegations, like Pérez-Greaux's, fall short of the "substantial
- 62 -
preliminary showing" required to justify a Franks hearing because
this only "set[s] up a swearing contest" -- one side has to be
lying -- but a flat denial alone "do[es] not demonstrate a
substantial possibility of affiant perjury." Southard, 700 F.2d
at 10(holding bare denials of the facts stated in law enforcement's affidavit "do not demonstrate a substantial possibility of affiant perjury" and therefore did not help the defendants meet the "substantial preliminary showing" of falsehood). We have also held that a defendant was unsuccessful in discrediting the affidavit made in support of a warrant to search his residence -- which had been based on a detective's statements that a confidential informant had purchased drugs from the defendant and that the police department had observed controlled buys, including one within 72 hours -- because the defendant's own statement that he had not sold drugs to anyone in the past 72 hours could not fill the "factual gap in [his] attempt to show the affidavit's inaccuracy -- and thus its knowing or reckless falsity." United States v. Moon,802 F.3d 135, 148-50
(1st Cir. 2015).
Even if we, like the district court, consider the two
exhibits first submitted to the court when Pérez-Greaux objected
to the magistrate judge's report and recommendation, see supra
note 14, we are still not persuaded that the district court clearly
erred by concluding Pérez-Greaux failed to show Agent Rivera made
- 63 -
a false statement. The exhibits purport to show that Agent Rivera
was lying because the security guard on duty at the time did not
record or recall law enforcement entering the neighborhood on
June 1, 2018. But the warrant affidavit indicates that, the two
times Agent Rivera surveilled Pérez-Greaux's residence, he was in
an unmarked car with tinted windows. Further, there is no
indication from the proffered exhibits that law enforcement
announced or were required to announce its presence to the security
guards each time they entered the neighborhood. These exhibits,
therefore, do not help Pérez-Greaux show Agent Rivera lied about
seeing him with a firearm on June 1, 2018. See Moon, 802 F.3d at
149 (records from the American Automobile Association allegedly
showing that the defendant was out of town during at least one of
the controlled buys were insufficient to "discredit the
affidavit's report of the controlled buys" because, at most, the
records showed that the defendant was out of town for only part of
the time period at issue).
Because Pérez-Greaux has not made a "substantial
preliminary showing" that Agent Rivera's "warrant affidavit
contain[ed] a false statement," we need not discuss the test's
second prong -- whether he showed "that 'the allegedly false
- 64 -
statement was necessary to the finding of probable cause.'"15
Hicks, 575 F.3d at 138(quoting Franks,438 U.S. at 155-56
). We
thus conclude that the district court was not clearly wrong to
deny the Franks hearing.16
III. Conclusion
For the reasons set forth above, we affirm
Pérez-Greaux's conviction as to Count One (possession of a firearm
in furtherance of a drug trafficking crime) but vacate his
conviction as to Count Two (possession of a machinegun in
15 Pérez-Greaux invites us to consider the probable cause
prong of the "substantial preliminary showing" test de novo, while
the government argues, after acknowledging some contradictory case
law on this point, that said prong should be reviewed for clear
error. We leave this discussion for another day because we need
not reach the second prong, pertaining to probable cause, in this
case.
16 Pérez-Greaux's last claim is that the cumulative effect of
all his asserted errors (the evidentiary rulings, inadequate jury
instruction, and prosecutorial misconduct) undermined his right to
a fair trial and warranted reversal of his convictions. Cumulative
error exists where "a column of errors may [] have a logarithmic
effect, producing a total impact greater than the arithmetic sum
of its constituent parts" "even though the same compendium of
errors, considered one by one, would not justify such relief."
United States v. Padilla-Galarza, 990 F.3d 60, 85(1st Cir. 2021) (alteration in original) (quoting United States v. Sepulveda,15 F.3d 1161, 1196
(1st Cir. 1993)). With respect to the count of conviction for possession of a firearm in furtherance of a drug trafficking crime, Pérez-Greaux's claim of cumulative error goes nowhere because we have not found any errors making this count of conviction reversible. See Maldonado-Peña,4 F.4th at 50
. As to
the count of conviction for possession of a machinegun in
furtherance of a drug trafficking crime, we need not address the
"cumulative error" claim because we agree with Pérez-Greaux's
asserted instructional error, vacate his conviction, and remand
for a new trial on this count.
- 65 -
furtherance of a drug trafficking crime) and remand for a new trial
as to Count Two.
- 66 -
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