Lead Opinion
OPINION OF THE COURT
This is an appeal from a judgment of conviction and imposition of sentence for violation of 18 U.S.C. § 922(a)(6) (Supp. IV 1986) and 18 U.S.C. § 922(g)(1) (Supp. IV 1986). In particular, David D. Schoolcraft appeals his conviction and enhanced sentence under the Armed Career Criminal Act, 18 U.S.C. § 924(e)(1) (Supp. IV 1986). We hold that Schoolcraft need not have been convicted of one predicate offense before committing the crime underlying a subsequent predicate offense to receive an enhanced sentence under the Armed Career Criminal Act. Because we reject School-craft’s other contentions, we will affirm the judgment of conviction and judgment of sentence.
I.
On February 10, 1988, a federal grand jury returned a two count indictment against Schoolcraft. Count one charged a violation of 18 U.S.C. § 922(a)(6), making a false statement in the acquisition of a firearm, and count two charged a violation of 18 U.S.C. § 922(g)(1), unlawful possession of a firearm by a previously convicted person. The Armed Career Criminal Act (ACCA), 18 U.S.C. § 924(e)(1), provides enhanced sentences when a defendant is convicted of § 922(g) and has at least three prior convictions. In this case, the government filed a document entitled “Information Charging Prior Offenses,” and alleged in connection with count two that School-craft’s prior convictions for six offenses supported enhanced sentencing under the ACCA. The government alleged one prior conviction for burglary, one prior conviction for escape, one prior conviction for robbery, and three prior convictions for armed robbery. The three armed robbery convictions resulted from three robberies which occurred within a two hour period on the same night.
Before trial, Schoolcraft filed numerous motions, including a motion to dismiss the indictment based on vindictive or selective prosecution. He alleged that the district attorney of Adams County, who had rеferred the case to the federal authorities for prosecution under the ACCA, was motivated by bad faith and vindictiveness. Schoolcraft requested that the indictment be dismissed with prejudice. The district court denied the motion without a hearing. At the jury trial, Schoolcraft was convicted on both counts of the indictment.
Schoolcraft filed a post-verdict notice of intent to challenge enhanced sentencing, claiming that he lacked the three prior convictions necessary to impose an enhanced sentence under the ACCA. He did not contest the burglary and the robbery offenses as predicate offensеs for the purposes of sentencing enhancement, but contended that the prior conviction for escape could not be counted as a predicate conviction under the ACCA since it was neither a violent felony nor a serious drug offense under 18 U.S.C. § 924(e)(2). He also argued that the three armed robbery convictions could not be counted as predicate offenses since the offenses took place before he was convicted of the robbery offense.
At the sentencing hearing, the district court declined to count the escape conviction as a predicate conviсtion under the
After the imposition оf sentence, our court of appeals vacated the Balascsak panel opinion that was followed by the district court in this case. United States v. Balascsak, No. 88-5089 (3d Cir. September 29, 1988) (vacating opinion and judgment and granting rehearing in banc). School-craft filed a timely notice of appeal from the judgment of conviction and imposition of sentence. He asserts that: (1) the district erred in denying without a hearing, his motion to dismiss the indictment on the basis of vindictive or selective prosecution; (2) the government failed to present sufficient evidence that he had been convicted of a crime punishable by imprisonment for a term exceeding one year; and (3) the government failed to establish predicate convictions sufficient to support enhanced sentencing under the ACCA. We have jurisdiction under 28 U.S.C. § 1291.
II.
Schoolcraft contends that when the Adams County district attorney referred the firearms offenses to the United States attorney for prosecution under the ACCA, the referral was tainted by bad faith and vindictiveness. Schoolcraft makes two principal allegations. First, he claims that the district attorney initially brought state charges against him for rape, carrying a firearm without a license, and ownership of a firearm by a former convict. According to Schoolcraft, the district attorney then referred the firearms counts to the federal authorities knowing that he would be subject to stiffer penalties under the ACCA. In the state prosecution, Schoolcraft says he was convicted of rape, but was granted a new trial.
Second, Schoolcraft alleges that the district attorney, as private counsel, represented private parties opposing Schoolcraft in a contract dispute. According to School-craft, the dispute ended in a settlement favorable to him, and the district attorney told him that if he ever came before him, the district attorney would “nail him to the wall.” Schoolcraft claims that these facts demonstrate that the district attorney’s referral of the firearms counts to the federal authorities was motivated by bad faith. He argues that the actions of the district attorney constituted both vindictive and selective prosecution and that he was deprived of his right to due process and equal protection of the law.
In both vindictive and selective prosecution claims, we review the district court’s determinations of fact under the clearly erroneous standard. United States v. Meyer,
Prosecutorial vindictiveness may occur when the government penalizes a defendant for invoking legally protected rights. United States v. Goodwin,
In this kind of case, our focus is not on the district attorney’s actions, but rather on the actions of the United States attorney who prosecuted this case. We note that the role of a separate sovereign in bringing charges against a defendant minimizes the likelihood of prosecutorial abuse. Ballester,
We have addressed the question of pros-ecutorial vindictiveness in cases with similar facts. In United States v. Fulford,
The defendant bears the initial burden of proof in a vindictive prosecution claim and is required to establish the appearance of vindictiveness. United States v. Heldt,
Schoolcraft has also failed to demonstrate that his indictment was the result of selective prosecution. A decision to prosecute is selective and violates the right to equal protection when it is made on a discriminatory basis with an improper motive. Government of Virgin Islands v. Harrigan,
In his motion to dismiss the federal indictment, Schoolcraft merely alleged,
III.
Section 922(g)(1) of title 18 makes it unlawful for a person who has been convicted of a crime punishable by a term exceeding one year to possess a firearm. Schoolcraft contends that the evidence was insufficient to convict him of this offense. He claims that the government failed to prove that he was convicted of a crime punishable by imprisonment for a term exceeding one year and that he was not “convicted of any State offense classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less.” 18 U.S.C. 921(a)(20)(B) (Supp. IV 1986).
We hold that the government presented sufficient evidence of guilt. The government presented the gun registration forms, in which Schoolcraft stated that he had not been convicted of a crime punishable for a term exceeding one year. The gun had been shipped in interstate commerce and was found in Schoolcraft’s possession. The government also presented testimony that Schoolcraft had been previously convicted of robbery. State Trooper Peck, a government witness, testified on the classification and penalties for robbery in the Commonwealth of Pennsylvania. He testified that the lowest classification of robbery is a misdemeanor punishable up to seven years in prison; the highest classification is a felony punishable up to 20 years in prison.
Schoolcraft presented no evidence but moved to dismiss count two on the basis that the government did not prove that his robbery conviction was not a misdemeanor. Schoolcraft argued that a copy of certified docket entries, admitted to show that he had been convicted of robbery, did not establish whether the crime was a misdemeanor or felony, and that Trooper Peck’s testimony was insufficient for this purpose. The district court denied the motion to dismiss.
Schoolcraft’s argument is based on the premise that the government is required to show that he had been previously convicted of a felony to support a conviction under § 922(g)(1). The statute, however, does not require the defendant to have been convicted of a felony, but only of a crime punishable by imprisonment for a term exceeding one year. 18 U.S.C. § 922(g)(1). As stated, that crime may not be а misdemeanor punishable by a term of imprisonment of two years or less. 18 U.S.C. § 921(a)(20)(B).
Our standard of review in sufficiency of the evidence claims is deferential. “ ‘It is not for us to weigh the evidence or to determine the credibility of the witnesses. The verdict of a jury must be sustained if there is substantial evidence, taking the view most favorable to the Government, to support it.’ ” United States v. Aguilar,
Given this standard, we find that there was sufficient evidence of Schoolcraft’s guilt. The evidence presented by the government, as recounted above, established each of the elements in 18 U.S.C. § 922(g)(1). The government also established that Schoolcraft was not convicted of a misdemeanor punishable by a term of imprisonment of two years or less. 18 U.S.C. § 921(a)(20)(B). The robbery School-craft had been previously convicted of could not have been a misdemeanor, nor could it have been “punishable by a term of imprisonment of two years or less.” We have reviewed the relevant Pennsylvania statutes, which show the crime of robbery as a felоny and the maximum sentences ranging from seven to twenty years. 18 Pa.Cons.Stat. §§ 3701(b), 1103 (1982). In sum, the testimony established that School-craft had been convicted of a crime punishable for a term exceeding one year and that the crime was not a misdemeanor subject to a sentence of two years or less.
Therefore, we will affirm the judgment of conviction.
IY.
The government sought enhanced sentencing under the ACCA. Upon conviction of 18 U.S.C. § 922(g), prohibiting the possession of a firearm by a previously convicted person, § 924(e)(1) of the ACCA
Schoolcraft’s sentencing took place on September 21, 1988. He argued that the escape conviction could not be counted under the ACCA, because it was neither a violent felony
The district court rejected Schoolcraft’s argument and properly followed the majority panel opinion in Balascsak. The opinion on which the district court relied, however, was subsequently vacated by this court. United States v. Balascsak, No. 88-5089 (3d Cir. September 29, 1988) (vacating opinion and judgment and granting rehearing in banc). We must now apply this court’s in banc decision, United States v. Balascsak,
A.
The issue before us is whether School-craft is subject to the mandatory sentencing provisions of the ACCA. Schoolcraft’s first predicate offense, the burglary which occurred in 1978, constitutes a conviction for purposes of sentencing enhancement. United States v. Palmer,
Thus, there is no dispute that the 1978 burglary and the 1980 robbery were properly considered as predicate offenses. The question is whether the 1981 armed robberies can be considered predicate offenses for the purposes of enhanced sentencing under the ACCA, because these offenses were committed before Schoolcraft was convicted of the 1980 robbery.
We look to our in banc decision in Ba-lascsak. Balascsak presented the question whether a criminal defendant who was convicted of burglary and later convicted of two burglaries committed on a single night could be subject to enhanced sentencing under the ACCA.
Under this view, the ACCA does not apply to a person who commits three offenses without two intervening convictions. “The sort of ‘three-time loser’ which the supporters of the bill had in mind is one who is convicted of one crime, then commits a second, is again convicted, and then commits a third.” At 682. In this case, Schoolcraft had not yet been convicted of his second сrime when he committed his third crime. Thus, were we to apply the view enunciated by Chief Judge Gibbons, Schoolcraft would not be subject to enhanced sentencing under the ACCA.
Five members of the court dissented in Balascsak, finding that the ACCA does not mandate that there be intervening convictions before offenses could be counted for enhanced sentencing. “Congress intended that the enhanced penalty provision be applied where the convictions arise from separate criminal episodes or transactions, without regard to when the defendant is convicted of the respective predicate offenses.” Id. at 685. The dissent, written by Judge Morton Greenberg, reliеd in part on the decisions of other circuits that have considered the issue
In an opinion concurring in result only, Judge Edward Becker agreed with Chief Judge Gibbons that the defendant in Ba-lascsak should not be subject to enhanced sentencing. However, Judge Becker agreed with the dissent’s analysis of the ACCA as well as the “conclusion of a number of Courts of Appeals that Congress intended that, to qualify as triggering offenses for the enhanced penalty, the three previous convictions must each have arisen from separate criminal episodes, but need not be separated by intervening convictions.” Id. at 684. Nevertheless, Judge Becker found that an enhanced sentence was improper because the government had not met its burden of proof in establishing that the second and third burglaries, committed in a relatively short period of time, were separate criminal episodes. Id. at 684.
Thus, six members of the court would require three convictions arising from separate criminal episodes to trigger enhanced sentencing under the ACCA, and six mem
B.
Upon review, we find convincing the views expressed by Judge Greenberg and Judge Becker in their dissenting and concurring opinions in Balascsak. We are also guided by the decisions of other courts of appeals that have examined this matter. The issue of enhanced sentencing under the ACCA has frequently arisen in cases whеre the defendant received multiple convictions in a single judicial proceeding. In each of these cases, courts have held that the individual convictions may be counted for purposes of sentencing enhancement so long as the criminal episodes underlying the convictions were distinct in time. United States v. Rush,
Other courts of appeal, like this court in Balascsak, have examined the ACCA to determine if multiple convictions arising out of a single spasm of criminal activity may be counted for sentencing enhancement. In these cases, courts considered whether to count merely the number of convictions obtained against the defendant, or whether to count the number of convictions obtained from separate criminal episodes. In each case, the “separate episode” test was adopted. Recently, the Second Circuit stated that “it is fairly well-established in other circuits that § 924(e)(l)’s reference to ‘convictions’ pertains to single ‘episodes’ of felonious criminal activity that are distinct in time, rather than literal convictions.” United States v. Towne,
Therefore, as noted in United States v. Towne, “every federal court of appeals that has considered the issue has adopted the multiple episodes approach ... these courts have ‘simply required that the criminal episodes be distinct in time.’ ”
C.
When we interpret a statute, the starting point must be the language of the statute itself. Lewis v. United States,
Section 924(e)(1) refers to “a person who ... has three previous convictions.” “On its face, the term ‘three previous convictions’ does not appear to be ambiguous. The government, however, through the solicitor general, has previously conceded that similar language in a statute was ambiguous.” Herbert,
By contrast, in this case* we look to the statute to determine if the language requires that the “convictions” must occur before the commission of the crime underlying a subsequent predicate сonviction. We observe no such requirement in the plain language of the statute, and find the language of the statute unambiguous in that regard. See Balascsak, at 687 (Greenberg, J., dissenting). Accordingly, “[r]esort to the legislative history is neither necessary nor appropriate in this case.” Wicks,
Even if the statutory language were not clear, “the legislative history of the statute is not inconsistent with the plain meaning of the statute.” Id. at 194. Examination of the legislative history supports the adoption of the “separate episodes” test, Towne,
D.
Based on our holding, Schoolcraft is subject to enhanced sentencing under the ACCA. Schoolcraft was convicted of (1) a burglary in 1978, (2) a robbery which occurred on May 31, 1980, and (3) three armed robberies which took place on August 21-22, 1981. Even if these three armed robberies were considered as one conviction, see United States v. Gillies,
We find the challenge to Schoolcraft’s conviction on the basis of vindictive or selective prosection to be without merit. We also reject Schoolcraft’s claim that there was insufficient evidence to convict him of possession of a firearm by a previously convicted person. We hold that the district court properly considered Schoolcraft’s armed robbery convictions for the purpose of enhanced sentencing on count two under the ACCA. On this basis, we will affirm the judgment of conviction and judgment of sentence.
Notes
. 18 U.S.C. § 921(a)(20) defines the term "crime punishable by imprisonment for a term exceeding one year” contained in § 922(g)(1) as excluding:
(A) any Federal or State offenses pertaining to antitrust violations, unfair trade prаctices, restraints of trade, or other offenses relating to the regulation of business practices, or
(B) any State offense classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less.
. 18 U.S.C. § 924(e)(1) provides:
In the case of a person who violates section 922(g) of this title and has three previous convictions by any court referred to in section 922(g)(1) of this title for a violent felony or a serious drug offense, or both, such person shall be fined not more than $25,000 and imprisoned not less than 15 years, and, notwithstanding any other provision of law, the court shall not suspend the sentence of, or grant а probationary sentence to, such person with respect to the conviction under section 922(g), and such person shall not be eligible for parole with respect to the sentence imposed under this subsection.
. This court has previously held that the ACCA did not create a new offense, but rather merely provided sentencing enhancement. United States v. Hawkins,
.Under 18 U.S.C. § 924(e)(2)(B), "the term ‘violent felony’ means any crime punishable by imprisonment for a term exceeding one year that — (i) has as an element the use, attempted
. In Balascsak, sentence was imposed pursuant to the Armed Career Criminal Act of 1984, 18 U.S.C.App. § 1202(a) (Supp. II 1984), which is the predecessor statute to § 924(e). The Firearms Owners' Protection Act, Pub.L. No. 99-308, 100 Stat. 451 (1986), repealed § 1202 and the provisions relating to penalty enhancement werе moved to 18 U.S.C. § 924(e) (Supp. IV 1986).
. United States v. Towne,
. Section 7056 of the Anti-Drug Abuse Act of 1988, Pub.L. 100-690, 102 Stat. 4181, 4402 (1988) amended § 924(e)(1) so that it now reads;
In the case of a person who violates section 922(g) of this title and has three previous convictions by any court referred to in section 922(g)(1) of this title for a violent felony or a serious drug offense, or both, committed on occasions different from one another, such person shall be fined not more than $25,000 and imprisoned not less than 15 years ...
This clarification was passed by the House and Senate on November 18, 1988 and became effective January 21, 1989.
. But see Balascsak, at 684 (judges joining in opinion of Chief Judge Gibbons “do not disagree with the alternative ground for reversal relied on by Judge Becker in his concurring opinion”).
Dissenting Opinion
dissenting.
For the reasons stated by Chief Judge Gibbons in United States v. Balascsak,
. I join in parts I, II, and III of the court’s opinion.
