United States v. Chu Kong Yin, AKA Alfred Chu

935 F.2d 990, 91 Daily Journal DAR 6394, 91 Cal. Daily Op. Serv. 4115, 1991 U.S. App. LEXIS 11047, 1991 WL 90015
CourtCourt of Appeals for the Ninth Circuit
DecidedJune 3, 1991
Docket89-10408
StatusPublished
Cited by128 cases

This text of 935 F.2d 990 (United States v. Chu Kong Yin, AKA Alfred Chu) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Chu Kong Yin, AKA Alfred Chu, 935 F.2d 990, 91 Daily Journal DAR 6394, 91 Cal. Daily Op. Serv. 4115, 1991 U.S. App. LEXIS 11047, 1991 WL 90015 (9th Cir. 1991).

Opinions

ALARCON, Circuit Judge:

Chu Kong Yin (Chu) appeals from his conviction and sentence of fifteen years imprisonment for making false statements on an Application for Status as Permanent Resident in violation of 18 U.S.C. §§ 1001 and 1546. Chu raises four arguments on appeal: (1) the district court erred in concluding that certain public documents from Hong Kong were properly authenticated; (2) the district court admitted documents containing inadmissible hearsay; (3) the jury’s verdict against Chu was not supported by substantial evidence; and (4) the district court’s sentence of fifteen years’ imprisonment constitutes cruel and unusual punishment in violation of the eighth amendment. We reverse in part and reverse and remand in part.

STATEMENT OF THE CASE

Chu filed an Application for Status as Permanent Resident on July 20, 1983. On the form issued by the Immigration and Naturalization Service (INS), Chu responded to the question “I list below all organizations, societies, clubs, and associations, past or present, in which I have held mem-bership_” with the word “None.” In response to the question “I have/have not been arrested, convicted or confined in a prison,” Chu checked the box next to “have not.” In response to the question “Aliens who have committed or who have been convicted of a crime involving moral turpitude [are not admissible].... Do any of the foregoing classes apply to you?”, Chu checked the box next to “No.” Chu was admitted to the United States as a permanent resident alien.

On September 20, 1988, a six-count indictment was filed against Chu in the district court. The indictment charged Chu with three counts of making false statements within the jurisdiction of a department of the United States Government in violation of 18 U.S.C. § 1001, and with three counts of making a false statement under oath with regard to a material fact in an application required by the immigration laws in violation of 18 U.S.C. § 1546. The indictment charged that Chu knew, when filling out the form, that he had been convicted of the following crimes: membership in an illegal triad society, larceny by finding, carnal knowledge of a girl between 13 and 16, criminal intimidation, and gambling. The indictment thus charged Chu with two counts of making a false statement when he stated that he had been a member of no organizations or societies (counts one and four), with two counts of making a false statement when he stated that he had not been convicted of a crime (counts two and five), and with two counts of making a false statement when he stated that he had not been convicted of a [993]*993crime involving moral turpitude (counts three and six). On October 19, 1988, Chu entered a plea of not guilty to all six counts.

On December 1,1988, Chu filed a motion in limine requesting a court order preventing the government from introducing documents from Hong Kong entitled “Certificate of Trial,” which contained the following entries:

(1) On August 10, 1966, Chu Ping-Yin was conditionally discharged after an arrest for larceny by finding;

(2) On March 23, 1968, Chu Kwing-Yin was conditionally discharged after an arrest for carnal knowledge of a girl between 13 and 16 years;

(3) On February 6, 1974, Chu Kwong-Yin was convicted of membership in a triad society and given a sentence of six months, suspended for two years;

(4) On March 4, 1974, Chu Kwong-Yin was convicted of three counts of criminal intimidation, fined $1500 HK, and ordered to pay $2000 HK in compensation;

(5) On July 27, 1981, Chu Kong-Yin was convicted of gambling in a gambling establishment and fined $350 HK.

These documents were later admitted into evidence as Exhibits 2 and 3. Chu alleged in this motion that he was not the person named in the Hong Kong records. Chu argued in his brief in support of the motion in limine that the Hong Kong records were improperly authenticated and contained inadmissible hearsay. Judge John P. Yukasin denied the motion without prejudice. On January 12, 1989, Judge Vu-kasin denied the government’s motion for a continuance and transferred the matter to Judge Samuel Conti for a jury trial to commence on January 19, 1989.

On January 19, 1989, Chu filed a second motion in limine seeking an order that would preclude the government from introducing into evidence certain writing contained on a fingerprint exemplar that listed alleged prior convictions in a section la-belled “Remarks.” Chu’s fingerprints were placed on the exemplar after he was arrested for gambling in 1981. The fingerprint exemplar was later admitted into evidence as Exhibit 4. After listening to defense counsel’s oral argument, the court initially commented that the remarks section on the fingerprint exemplar “could be excised, so far as that goes.” The court then asked the prosecutor how she was going to prove that the defendant was the person described in the documents listing various convictions. The prosecutor replied that she would rely on the notations in the “Remarks” section of the 1981 fingerprint card. The court examined the exhibits and noted that the identification numbers in the “Remarks” section on the fingerprint exemplar did not match those in the documents listing the prior convictions. The court stated, “I don’t see where you’ve got the nexus between those records and this gentleman here.” The court then continued the case until March 31 upon the government’s motion for a “further eviden-tiary hearing on this matter.”

On March 24, 1989, the government filed an additional evidentiary submission. This submission contained the following offer of proof of the alleged prior convictions:

A declaration by John Gilbert Hawkes-ley, Chief Inspector of Police, Royal Hong Kong Police Force, identifying defendant by photograph as the person he arrested and charged with illegal gambling in 1981;

A declaration by David William Holloway, Superintendent of Police, Royal Hong Kong Police Force, explaining an attached “criminal record” that listed the convictions contained in the 1988 “Certificates of Trial” and also listed alleged aliases used by Chu;

A declaration by Fok Hing-Keung, Detective Chief Inspector, Royal Hong Kong Police Force, explaining the coding on Hong Kong’s fingerprint record made at the time of the 1981 gambling arrest; and,

A letter from Y.C. Leung, First Clerk of the Central Magistracy, Royal Crown Colony of Hong Kong, explaining some of the coding on the 1988 certificates of trial.

Officer Holloway’s declaration and accompanying criminal record were later admitted into evidence as Exhibit 5.

[994]*994At the hearing on March 31, 1989, defense counsel stated that he “had not had the opportunity to address the addi[ ]tion[al] evidence that was filed on the 24th of March,” having only received it the day before. Judge Conti stated, “Well, I have reviewed it myself, and from what I reviewed I am going to deny your motions.” Judge Conti then stated that he would allow defense counsel to renew his motions prior to trial, and set a trial date of May 11.

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935 F.2d 990, 91 Daily Journal DAR 6394, 91 Cal. Daily Op. Serv. 4115, 1991 U.S. App. LEXIS 11047, 1991 WL 90015, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-chu-kong-yin-aka-alfred-chu-ca9-1991.