United States v. Harold Donald Henry

749 F.2d 203, 1984 U.S. App. LEXIS 15964
Court of Appeals for the Fifth Circuit·Decided December 12, 1984·No. 83-1366·Published·Cited by 101 cases

Opinions

TATE, Circuit Judge:

We granted en banc rehearing, 727 F.2d 1373 (5th Cir.1984), to resolve a conflict in circuit precedent as to when a defendant in a criminal trial is entitled to have the jury instructed on his defense of entrapment.

Our precedential rule is uniform that a defendant may not invoke the entrapment defense by requesting that the issue be submitted to the jury while he denies committing the act charged in the indictment. United States v. Garrett, 716 F.2d 257, 270 (5th Cir.1983); United States v. Rey, 706 F.2d 145, 147 (5th Cir.1983). On the other hand, as will be described more fully below, our prior precedents are divided (or at least confusing) as to whether a defendant is entitled to have the jury decide his entrapment defense if, by his testimony, he admits the acts charged in the indictment but denies they were committed with the culpable mental state required for conviction.

For reasons to be set forth more fully, we hold that:

1. If the government’s evidence raises an entrapment issue, in order to be entitled to an entrapment instruction the defendant may simply rest on his plea of not guilty and require the government to prove beyond reasonable doubt that he is guilty both of performing the acts charged and of his criminal intent in doing so.

2. If either the government’s or the defendant’s evidence fairly raises the issue of entrapment, the defendant may take the stand or adduce evidence on his own behalf that negates his criminal intent and yet be entitled to have his entrapment defense decided by the jury. However, he may not, in that event, deny that he has committed the acts charged, because this would create an impermissible inconsistency in his defense. [206]*206We thus adopt the view of the preponderant decisions of this circuit on the issue1 and overrule expressions that may be deemed to be to the contrary in other circuit decisions.2 Accordingly, we reverse the convictions in this case, and we remand for a new trial.

Overview

By our panel opinion, 727 F.2d 1373 (5th Cir.1984), we affirmed the conviction of the defendant Henry, a licensed pharmacist, on eleven counts of dispensing controlled substances for improper purposes in violation of 21 U.S.C. § 841(a)(1) and 21 C.F.R. §§ 1306.04(a) and 1306.06. Henry admitted filling all prescriptions charged by the indictment, but he flatly and steadfastly denied that in doing so he ever intended to dispense drugs for non-medical purposes.

The evidence shows that Henry filled these prescriptions at the behest of a paid government informant and an undercover police agent. Before submission of the case to the jury, Henry requested the district court to charge the jury, in addition to standard criminal intent instructions that, if the jury found Henry had no previous intent or purpose to violate the law but was induced or persuaded by governmental agents to commit the crime, the jury should acquit him as a victim of entrapment.3 The district court refused to so charge the jury, on its belief that under circuit precedent (see note 2 supra) the defendant could not at one and the same time deny committing an act with criminal intent and also assert that he was entrapped into doing the act because any criminal intent found by the jury was first implanted into his mind by the government.

On submission to the jury without the entrapment instruction, the defendant was convicted of all counts.4

The panel conceded, as is explicated more fully in part I below, that the record evidence would support an inference “ ‘ “that the Government’s conduct created a substantial risk that the offense would be committed by a person other than one ready to commit it,” ’ ” United States v. Webster, 649 F.2d 346, 349 (5th Cir.1981) (en banc), so as to entitle the defendant to an entrapment instruction — except for his testimony as to his lack of criminal intent in dispensing the drugs.

The panel concluded that, to be entitled to an entrapment instruction, the defendant must not only concede the acts charged, [207]*207but also that “culpable intent must be conceded before entrapment’s inquiry into where the intent began becomes material.” 727 F.2d at 1377. The panel so concluded on its analysis that the entrapment defense is “in the nature of a confession and avoidance.” Id. Accordingly, to invoke the entrapment defense, the defendant’s admission must not only concede the physical act charged but also the culpable intent, because until the accused admits that “a crime, an act or acts done with an accompanying culpable intent, has been committed, no occasion arises to examine” whether the defendant’s criminal liability may be avoided on the ground that he was entrapped into committing the crime. Id.

The panel recognized that its holding was in conflict with other circuit precedents (see note 1 supra), such as United States v. Greenfield, 554 F.2d 179 (5th Cir.1977), cert. denied, 439 U.S. 860, 99 S.Ct. 178, 58 L.Ed.2d 168 (1978) — which the panel described as “a decision on facts all but identical to those of today’s case,” 727 F.2d at 1374 — , but it relied upon expressions in another line of circuit decisions (see note 2 supra) as supporting its view as better reasoned than the former.

We conclude, however, that this analysis overlooks the nature of the entrapment defense. As set forth in part II infra, under decisions of the Supreme Court, the fundamental nature of the entrapment defense available under a plea of Not Guilty is a denial that any crime within the intent of Congress was committed by the accused. The defense is thus not a plea of confession and avoidance that requires an accused to admit that he committed a crime before he may contend that his acts in so doing were the result of entrapment.

Further, by asserting the entrapment defense while denying subjective criminal intent with regard to the acts admittedly committed, under our preponderant circuit jurisprudence (see note 1, supra) the accused is not with “impermissible” inconsistency denying criminal intent in doing them. Instead of being forced to concede his criminal guilt in order to assert an entrapment defense, the accused is being permitted both to testify to his lack of subjective criminal intent, in which he himself may deeply believe, and also (should the jury conclude otherwise) to assert this defense as recognized by the Supreme Court— namely, that nevertheless no criminal violation was proved because any criminal acts by the accused found by the jury were the result of governmental inducement that he do them, despite his lack of predisposition.

We shall now discuss in more detail the facts and applicable legal principles as follows: I. The entrapment showing in this case; II. The nature of the entrapment defense under decisions of the Supreme Court and this circuit; III. The availability of an entrapment defense and entrapment instructions for a non-testifying defendant; and IV.

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United States v. Harold Donald Henry, 749 F.2d 203, 1984 U.S. App. LEXIS 15964 (5th Cir. 1984).

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