UNITED STATES OF AMERICA, Plaintiff-Appellee, v. MICHAEL LEON BRANDON, Defendant-Appellant.
No. 00-4323
UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT
Decided: April 17, 2001
PUBLISHED. Argued: January 26, 2001.
Before WILLIAMS and TRAXLER, Circuit Judges, and Gerald Bruce LEE, United States District Judge for the Eastern District of Virginia, sitting by designation.
Vacated and remanded by published opinion. Judge Traxler wrote the opinion, in which Judge Williams and Judge Lee joined.
COUNSEL
ARGUED: Eric David Placke, Assistant Federal Public Defender, Greensboro, North Carolina, for Appellant. Lisa Blue Boggs, Assistant United States Attorney, Greensboro, North Carolina, for Appellee. ON BRIEF: Louis C. Allen, III, Federal Public Defender, Greensboro, North Carolina, for Appellant. Walter C. Holton, Jr., United States Attorney, Greensboro, North Carolina, for Appellee.
OPINION
TRAXLER, Circuit Judge:
Durham police officers investigating complaints of drug activity saw Michael Leon Brandon and another individual smoking crack cocaine. Brandon, carrying a black bag and a crack pipe, walked away from the scene despite the officers’ requests to the contrary. Brandon then ran, shedding many of his clothes and the black bag along the way. After several blocks, the officers apprehended Brandon and then located the black bag, which contained a stolen .45 caliber semiautomatic pistol. Brandon, a convicted felon, pleaded guilty to unlawful possession of a firearm. See
I.
Federal law prohibits the possession of a firearm by certain people, including those “who ha[ve] been convicted in any court of[ ] a crime punishable by imprisonment for a term exceeding one year.”
Brandon has three prior drug-related convictions. He concedes that two of the convictions satisfy section 924’s definition of a serious drug offense, but he contends that the third conviction does not. The challenged conviction (the “1994 conviction“) is Brandon’s 1994
II.
When determining whether a prior conviction can support enhanced sentencing under section 924(e), courts use a “categorical approach, looking only to the statutory definitions of the prior offenses, and not to the particular facts underlying those convictions.” Taylor v. United States, 495 U.S. 575, 600 (1990). In a “narrow range of cases,” however, the sentencing court may go beyond the fact of conviction and the statutory definition of the underlying crime to determine whether the conviction may be used as a predicate conviction under section 924(e). Id. at 602.
This narrow exception applies in cases where the state statute can be violated in several ways, some of which would support enhancement under 924(e) and some of which would not. In those cases, the sentencing court may examine the indictment, other charging papers, or jury instructions to determine whether the defendant was charged with a crime that meets the requirements of section 924(e). See id.; see also United States v. Coleman, 158 F.3d 199, 202 (4th Cir. 1998) (en banc); United States v. Cook, 26 F.3d 507, 509 (4th Cir. 1994).1
The indictment underlying the 1994 conviction alleges only that Brandon possessed more than twenty-eight grams but less than two hundred grams of cocaine. As previously noted, section 924(e)(2)(A)(ii) defines a serious drug offense as an offense under state law that involves “manufacturing, distributing, or possessing with intent to manufacture or distribute, a controlled substance.” Thus, it would appear that Brandon’s 1994 conviction, which seems to involve only possession, not possession with intent to distribute, does not satisfy the requirements for sentence enhancement under section 924(e).
The government, however, contends that while section 924(e)(2)(A)(ii) requires a predicate conviction to “involve[ ] possess-
As the government points out, Congress defined “violent felony” in section 924(e) as a crime that ”has as an element the use, attempted use, or threatened use of physical force against the person of another,”
Section 924(e)’s definition of serious drug offense speaks not in terms of the elements of the underlying crimes, but in terms of crimes ”involving manufacturing, distributing, or possessing with intent to manufacture or distribute” illegal drugs.
Moreover, the word “involving” itself suggests that the subsection should be read expansively, see, e.g., American Heritage College Dictionary 717 (3d ed. 1997) (defining “involve” as “[t]o have as a necessary feature or consequence” (emphasis added)), as evidenced by this court’s decision in United States v. James, 834 F.2d 92 (4th Cir. 1987). In James, the question was whether a conviction for possession of cocaine with intent to distribute was a drug trafficking conviction under
[V]iolations “involving” the distribution, manufacture, or importation of controlled substances must be read as including more than merely the crimes of distribution, manufacturing, and importation themselves. Possession with intent to distribute is closely and necessarily involved with distribution. In fact, the line between the two may depend on mere fortuities, such as whether police intervene before or after narcotics have actually changed hands.
Accordingly, we agree with the government that a prior conviction constitutes a serious drug felony if the underlying crime involves possession with intent to manufacture or distribute, even if that intent is not a formal element of the crime under state law.2 It does not follow
In cases where enhancement under section 924(e) is hinged not on the elements of the underlying crime but on whether the crime “involves” particular conduct, courts follow the approach outlined in Taylor and ask whether the proscribed conduct is an inherent part or result of the generic crime of conviction, without regard to the facts surrounding the underlying conviction, or, stated somewhat differently, whether the abstract crime intrinsically involves the proscribed conduct. See Stephens, 237 F.3d at 1033 (holding that a conviction for carrying a weapon in connection with a drug trafficking offense is a
Distribution of drugs is a greater threat to society than is mere use of the drugs, though both constitute great dangers, and it is natural and reasonable to assume that those who possess very large quantities of drugs intend to distribute those drugs. And this very reasonable assumption is likely the reason that many states have enacted trafficking statutes that severely punish possession of large quantities of drugs without making intent to distribute those drugs an element of the crime. What quantity of drugs must be possessed before this presumption of an intent to distribute is appropriate, however, is difficult to answer definitively, as evidenced by the widely varying quantities that states have established as the threshold for a trafficking-by-possession conviction. For example, possession of five grams of cocaine is considered trafficking in Delaware, see
Most people might agree that intent to distribute is inherent in the possession of two hundred grams of cocaine, but Brandon was alleged to have been in possession of between twenty-eight grams (which is just under an ounce) and two hundred grams of cocaine. Quantities at the lower end of this range are not so large that the only reasonable inference is that one who possesses that amount must intend to distribute it. While that may be a reasonable inference, another reasonable inference is that an ounce of cocaine, or even more, is intended for personal use only. Cf. United States v. Baker, 985 F.2d 1248, 1260 (4th Cir. 1993) (concluding that the defendant was entitled to an instruction on simple possession as a lesser-included offense of possession with intent to distribute, noting trial testimony establishing that the defendant, a cocaine user, “bought one to three ounces of cocaine a week, which is a large amount but which could be consistent with personal consumption“); United States v. Latham, 874 F.2d 852, 863 (1st Cir. 1989) (finding evidence that two people jointly possessed one ounce of cocaine insufficient to establish possession with intent to distribute and noting trial testimony that “a heavy user could go through an ounce of cocaine in 1 1/2 — 2 days“). Certainly society’s comfort level in equating possession to possession-with-intent increases as the quantity of drugs possessed increases, and it decreases as the quantity of drugs possessed decreases. Nevertheless it is clear that some defendants possess very small quantities of drugs for the sole purpose of distributing them and that some defendants possess significant quantities of drugs solely for personal use. Therefore, while the quantity of drugs possessed can serve as an indicator of the purposes for which the drugs were possessed, at certain levels it is a rough and imprecise indicator at best.
If Brandon had been convicted under a statute with a sufficiently high minimum quantity—for example, a statute like Missouri’s that considers possession of more than one hundred and fifty grams of cocaine to be trafficking—then we would have no difficulty conclud-
Preliminarily, we question whether such a factual inquiry is consistent with the categorical approach used when determining whether a prior conviction is a predicate conviction under section 924(e). See Taylor, 495 U.S. at 600 (concluding that section “924(e) mandates a formal categorical approach, looking only to the statutory definitions of the prior offenses, and not to the particular facts underlying those convictions“).
The indictment for the 1994 conviction states only that Brandon possessed between twenty-eight and two hundred grams; it does not mention the specific quantity involved. The amount, however, is mentioned in the presentence report, and Brandon does not challenge that amount as inaccurate. Whether it is proper under Taylor to look to facts contained in a presentence report when the fact of conviction is
As will be explained in more detail later, the Supreme Court in Taylor determined that “burglary” as used in section 924(e) referred to a generic burglary, with certain elements specified by the Court, and not simply to any crime that happened to be called burglary under state law. See Taylor, 495 U.S. at 592. Because some states may define burglary more broadly, the Court explained that the categorical approach nonetheless permits the sentencing court to look to “the charging paper and jury instructions” to determine whether the jury was “actually required . . . to find all the elements of generic burglary in order to convict the defendant.” Id. at 602.
Taylor thus allows consideration of information other than the fact of conviction only for the purpose of determining what facts the jury was required to find to convict the defendant. In effect, then, this inquiry simply determines the elements of the particular permutation of a crime with which the defendant was charged when the statute defines a crime that can be committed in several ways; it does not allow consideration of the defendant’s particular conduct if that conduct does not help determine the elements of the crime with which the defendant was actually charged. See United States v. Watkins, 54 F.3d 163, 166 (3rd Cir. 1995) (explaining that if the “‘statutory definition of the prior offense’ is broad enough to permit conviction based on
Moreover, while there is no dispute here as to the quantity involved in the 1994 conviction, that may not always be the case. In cases where the underlying conviction is the result of a trial with hotly contested evidence, determination of the quantity involved might well be difficult, if not impossible, without resort to the mini-trials the Supreme Court frowned upon in Taylor. See Taylor, 495 U.S. at 601 (noting that “the practical difficulties and potential unfairness of a factual approach are daunting“); United States v. Preston, 910 F.2d 81, 85 n.3 (3d Cir. 1990) (noting that “a case-by-case, fact-specific approach” when determining whether a prior conviction satisfies the requirements of section 924(e) “could force sentencing courts to hold mini-trials, hear evidence and witnesses and otherwise engage in a detailed examination of the specific facts involved in the prior offenses“).
Nonetheless, even if inquiry into the amount actually possessed by Brandon were proper, our conclusion that the 1994 conviction is not a predicate conviction under section 924(e) would not change. The record reveals that Brandon’s 1994 conviction involved possession of thirty-five grams, or approximately one and a quarter ounces, of cocaine. If it is proper under section 924(e)(2)(A)(ii) to conclude from
The government, however, suggests that we can infer the requisite intent from North Carolina’s designation of Brandon’s crime as “trafficking.” According to the government, trafficking as it is commonly used refers to regular buying and selling. Thus, the government argues that the North Carolina legislature, by defining Brandon’s possession offense as trafficking, has decided that anyone who possesses at least twenty-eight grams of cocaine intends to distribute the cocaine. See State v. Pipkins, 446 S.E.2d 360, 363 (N.C. 1994) (“Unlike
We believe it is an oversimplification to say that all trafficking offenses in North Carolina involve an intent to distribute. While the
Moreover, even if we were to accept the government’s contention that the word “trafficking” as it is commonly used and as it is in fact used in the North Carolina statute encompasses an intent to distribute, the government’s argument would still fail. In Taylor, the Supreme Court was faced with the question of what crimes should be considered burglary under section 924(e)(2)(B)(ii), which defines “violent felony” for purposes of sentencing enhancement to include “burglary, arson, or extortion, or [other crime that] otherwise involves conduct that presents a serious potential risk of physical injury to another.” The Court rejected the view that “burglary” as used in section 924 means any crime denominated as burglary under state law. The Court noted that the states define burglary in widely different ways—for example, burglary includes shoplifting in California and theft from a coin-operated vending machine in Texas. See Taylor, 495 U.S. at 591. The Court concluded that Congress intended the sentencing enhancements of section 924 to apply to those who have engaged in certain specific conduct, regardless of the label attached to that conduct by state law:
It seems to us to be implausible that Congress intended the meaning of “burglary” for purposes of § 924(e) to depend on the definition adopted by the State of conviction. That would mean that a person convicted of unlawful possession of a firearm would, or would not, receive a sentence enhancement based on exactly the same conduct, depending on whether the State of his prior conviction happened to call that conduct “burglary.”
The Court determined that “‘burglary’ in § 924(e) must have some uniform definition independent of the labels employed by the various States’ criminal codes.” Id. at 592. Under Taylor, a prior conviction is considered a burglary conviction for purposes of section 924(e) only if the conviction was for a crime “having the basic elements of unlawful or unprivileged entry into, or remaining in, a building or structure, with intent to commit a crime.” Id. at 599. If the crime does not have those basic elements, the conviction is not a predicate conviction under section 924(e) even if state law considers the crime to be burglary.
Taylor thus requires us to reject the government’s argument that Brandon’s conviction must have involved possession with intent to distribute simply because the North Carolina legislature has labeled his crime “trafficking.” As noted above, states have widely varying definitions of trafficking. To accept the government’s argument would mean that defendants with prior convictions for possessing the same quantity of cocaine would or would not be subject to sentencing as armed career criminals depending on the state where the underlying conviction occurred, and thus would create the very inconsistencies in punishment that the Supreme Court in Taylor found impermissible. See Id. at 588-89 (“Congress intended that the enhancement provision be triggered by crimes having certain specified elements, not by crimes that happened to be labeled ‘robbery’ or ‘burglary’ by the laws of the State of conviction.“).
III.
To summarize, we conclude that “intent to manufacture or distribute” need not be an element of the crime underlying a state conviction
VACATED AND REMANDED
