United States v. Heath A. Singleton and Douglas Joseph AlemanUnited States v. Heath A. Singleton and Douglas Joseph Aleman
The United States appeals the dismissal on double jeopardy grounds of a firearms charge brought against two criminal defendants who were also charged with “carjacking”. Although we agree with the district court that the firearms offense is not factually distinct from the carjacking offense, we hold that Congress has clearly indicated its intention to impose cumulative punishments. Therefore, we REVERSE the dismissal and REMAND the case to the district court with
I.
This case arose out of the armed carjacking and murder of William Mullers in Hammond, Louisiana on November 15,1992. The United States gives the following facts, which the defendants/appellees in their brief, for purposes of this appeal, do not contest. On November 15, 1992, defendants Heath Singleton, his brother George Singleton, and Douglas Joseph Aleman, and also Stephanie Durr conspired to steal a car from a supermarket parking lot in Hammond, Louisiana. Aleman was armed with a .38 caliber pistol and Heath Singleton was armed with a .22 caliber pistol. The four conspirators saw William Mullers arrive in his red 1991 Nissan Sentra and selected him as their victim. Ale-man hijacked Mullers at gunpoint, ordering him to move over to the passenger side of his vehicle. Aleman drove Mullers’s ear to Ale-man’s home. The Singleton brothers and Durr followed. After they reached Aleman’s home, Heath Singleton joined Aleman in Mullers’s car. The two of them drove Mul-lers to an automatic teller machine and forced him to withdraw two hundred dollars from his bank account. They then drove to a location west of Hammond. George Singleton and Durr did not follow. When Aleman, Heath Singleton, and their captive reached their destination, Aleman shot Mullers three times in the head, killing him. Heath Singleton shot Mullers once in the back. Aleman and Heath Singleton then drove Mullers’s car to Singleton’s home, where they met George Singleton and Durr and described what they had just done to Mullers.
On January 8, 1993, Aleman and both Singleton brothers were indicted on federal charges arising out of the events of November 15,1992. A superseding indictment filed on April 23, 1993 charged the defendants with: (1) conspiracy to commit armed carjacking, 1 - (2) the completed carjacking offense, 2 and (3) using and carrying a firearm during and in relation to the commission of a violent crime. 3 Aleman was also charged with a fourth count of attempted escape from custody. 4 George Singleton pleaded guilty to the first and third counts of the indictment and his case was severed.
Appellees Aleman and Heath Singleton moved to require the prosecution to elect between counts (2) and (3) on the grounds that the constitutional principle of double jeopardy barred punishment for both offenses. The district court agreed and ordered the firearms count dismissed. 5 The United States timely appealed the dismissal of that count to this Court. 6 The question whether the Fifth Amendment’s double jeopardy clause bars prosecution for both armed carjacking and possession of a firearm in the commission of a violent crime is one of first impression in this Court. 7 We review de novo the district court’s legal conclusion that such a dual prosecution is indeed barred.
A Sections 2119 and 924(c) Fail the Block-burger Test
The Fifth Amendment’s double jeopardy clause protects a criminal defendant against, inter alia, “multiple punishments for the same offense”. 8 We apply the Blockburger v. United States 9 test to determine whether two different statutes punish the same offense. Blockburger requires us to compare the two statutes at issue and ask “whether each provision requires proof of an additional fact which the other does not”. 10 If either statute contains no element not also found in the other statute, the statutes “fail” the Blockburger test and the defendant may not be punished under both of them “in the absence of a clear indication of contrary legislative intent”. 11 The two statutory offenses need not be identical to constitute the same offense for double jeopardy purposes. 12 The Blockburger inquiry focuses on the statutory elements of the offenses, 13 not on their application to the facts of the specific case before the court. 14 Thus, the question is not whether this violation of § 2119 also constituted a violation of § 924(c), but whether all violations of the former constitute violations of the latter.
The second count of the indictment against Aleman and Heath Singleton charged them with carjacking in violation of
Whoever, possessing a firearm as defined in section 921 of this title, takes a motor vehicle that has been transported, shipped, or received in interstate or foreign com-meree from the person or presence of another by force and violence or by intimidation, or attempts to do so, shall—
(1) be fined under this title or imprisoned not more than 15 years, or both,
(2) if serious bodily injury (as defined in section 1365 of this title) results, be fined under this title or imprisoned not more than 25 years, or both, and
(3) if death results, be fined under this title or imprisoned for any number of years up to life, or both.
We read
The third count of the indictment charged Aleman and Heath Singleton with using or carrying a firearm during a crime of violence in violation of
(1) Whoever, during and in relation to any crime of violence ... uses or carries a firearm shall, in addition to the punishment provided for such crime ... be sentenced to imprisonment for five years....
(3) For purposes of this subsection the term “crime of violence” means an offense that is a felony and—
(A) has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
The relevant portions of
We agree with the district court that
1. “Using or Carrying” A Firearm
Carjacking is a crime only when the defendant has a gun.
There is nothing manufactured or suspect about the legislative histories of
2. “During and in relation to” a “crime of violence”
Carjacking is always and without exception a “crime of violence” as that term is defined in
We are left, then, with the government’s argument that it is possible to commit armed carjacking without using or carrying a firearm “during and in relation to” a crime of violence. Of course, because possession of a firearm is an element of carjacking, a firearm will always be used or carried “during” the offense. That leaves the requirement that the firearm be used or carried “in relation to” the crime.
The government urges that a
The legislative history of § 2119 supports the view that a firearm must be possessed “in relation to” the carjacking. 22 The House Judiciary Committee’s report on the bill that became § 2119 defined “armed carjacking” this way:
The most recent development in auto theft is “armed carjacking.” In these incidents, two or three criminals approach a car waiting at a traffic light, or stopped by means of a deliberate “fender-bender” accident, and force the driver to turn over the keys at gunpoint. 23
Representative Schumer, an initial sponsor of the legislation that became § 2119, gave this description of the conduct at which the bill was directed:
This bill.... would create a new offense for armed carjacking — this is the most recent innovation in auto theft, in which the criminal brazenly walks up to a car waiting at a traffic light, points a gun at the driver, and demands that the car be turned over. 24
That § 2119 now requires that the gun be possessed “in relation to” the offense is further demonstrated by the recent introduction in Congress of legislation to repeal that requirement.
25
We conclude that a require
B. Congress Clearly Indicated an Intent to Punish Cumulatively Violations of §§ 2119 and 924(c) 27
Congress is presumed to know the Blockburger test and to legislate with it in mind. 28 Thus, when two statutes fail the Blockburger test, a presumption arises that Congress intended only a single punishment. 29 That presumption can be overcome, however, by a “clear indication of contrary legislative intent”. 30 Although the issue is not free from doubt, we are satisfied that Congress has clearly indicated its intent to punish cumulatively violations of §§ 2119 and 924(c).
1. The Text of § 924(c)
We begin with the text § 924(c), 31 which provides, in part, that:
Whoever, during and in relation to any crime of violence or drug trafficking crime (including a crime of violence or drug trafficking crime which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device) ... uses or carries a firearm, shall, in addition to the punishment provided for such crime of violence or drug trafficking crime, be sentenced to imprisonment for five years,... , 32
The italicized clause states that Congress intended for § 924(c)’s five-year sentence to be imposed cumulatively with the punishment for the predicate drug-related or violent crime 33 Accordingly, § 924(c) clearly indicates Congress’s intent to punish cumulatively violations of §§ 924(c) and 2119. That clear indication of Congress’s intent saves the statutes from the double jeopardy bar even though they fail the Blockburger test.
We shall next deal with two objections to this conclusion, one based on the legislative history of § 924(c) and the other based on the chronological order in which §§ 2119 and 924(c) were enacted. Although neither objection is without force, we do not find them persuasive.
2. The Legislative History
The defendants/appellees’ chief argument turns on the legislative history of the 1984 amendments to
The defendants’ argument is as follows.
[T]he Supreme Court’s decisions in Simpson v. United States, and Busic v. United States, have negated [§ 924(c) ]’s use in cases involving statutes ... which have their own enhanced, but not mandatory, punishment provisions in situations where the offense is committed with a dangerous weapon. These are precisely the type of extremely dangerous offenses for which a mandatory punishment for the use of a firearm is the most appropriate.
[S]ubsection 924(c) should be completely revised to ensure that all persons who commit Federal crimes of violence, including those crimes set forth in statutes which already provide for enhanced sentences for their commission with a dangerous weapon, receive a mandatory sentence, without the possibility of the sentence being made to run concurrently with that for the underlying offense or for any other crime and without the possibility of a probationary sentence or parole. 38
What Congress was concerned about in 1984, the defendants contend, was the absence of
mandatory
minimum penalties for using a firearm even when the statutes included an “enhancement” provision for the use of a firearm.
39
The 1984 amendments to
Although this reading of the 1984 amendments has some force, we do not think it sufficient to support the defendants’ position. The statute uses the phrase
“including
a crime of violence or drug trafficking crime which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device”. Similar language
Part D of title X is designed to impose a mandatory penalty without the possibility of probation or parole, for any person who uses or carries a firearm during and in relation to a Federal crime of violence. 40
That broad statement does not purport to limit the application of § 924(c) to statutes containing an “enhancement” provision for the use of a firearm. The use of “any person” in the text just quoted, and the use of “all persons” in the earlier quotations from the legislative history, make it clear that Congress wanted to stack § 924(c)’s punishment atop all predicate crimes that came within the statute, not just the Simpson/Bu-sic variety of predicate crimes for which the statutes included “enhancement” provisions. 41 Because carjacking is a “crime of violence” under § 924(c)(3), we hold that Congress clearly indicated its intent to cumulate the punishment of § 924(c) with the punishment of § 2119.
3. The Chronological Order of the Statutes
We turn next to an objection not raised by the defendants, but considered persuasive by many of the district courts that have found a double jeopardy violation in cases involving §§ 2119 and 924(c). These courts have noted that § 2119 is the newer statute, having been enacted two years after the most recent amendments to § 924(c). Because § 2119 does not refer to § 924(e), according to this line of reasoning, cumulative punishments for carjacking and the firearms charge are not clearly indicated.
The district court in this case stated that “[a]s the more specific statute and the later expression of Congress, section 2119, ‘carjacking’, takes precedence over the general firearm statute, section 924(c)”. 42 The district court in United States v. Moore also thought the order of the statutes’ enactment dispositive:
If § 924(c)(1) had been enacted after § 2119, instead of vice versa, there might be an argument that Congress intended to punish the same conduct twice. However, this court is as unwilling to conclude that Congress intended in 1992 to do in a convoluted and strained way what it could so easily have accomplished by the use of plain English as it is to doubt Congressional constitutional understanding. 43
This line of reasoning relies on two crucial facts. First, § 2119 is the newer statute, and second, § 2119 does not refer to § 924(c). We consider neither fact sufficient to support the conclusion that double jeopardy bars cumulative punishments for violating §§ 2119 and 924(c). Congress may make a plain
Second, the
Moore
approach is in tension with a line of eases upholding cumulative punishments under § 924(c) and
Congress’s authorization of multiple punishments in § 924(c) establishes a general rule of enhancement from which Congress is free to depart in later statutes if it chooses. Absent language expressing a departure from § 924(c), however, we must read the later enacted statutes in harmony with Congress’s previously expressed intent to impose cumulative punishments. 47 Accordingly, we hold that Congress may clearly indicate its intent to impose cumulative punishments in either of two challenged statutes; it need not do so in both. We further hold that the order in which the statutes are enacted is irrelevant to the analysis — as long as Congress has clearly indicated an intent to impose cumulative punishments in either statute, the statutes pass constitutional muster.
This is a close case and we do not consider the analysis we have given of §§ 2119 and 924(c) to be the only one a reasonable mind could accept. The issues involved are important and have provoked thoughtful debate among the members of the panel. We are satisfied, however, that Congress has made a sufficiently clear indication of its intent to impose cumulative punishments for violations of § 924(c) and all crimes of violence, including “carjacking”, to satisfy the requirements of the Double Jeopardy Clause. Accordingly, we REVERSE the district court’s dismissal of Count III of the indictments in this case, and REMAND the case to the district court with instructions to reinstate those charges. 48
Notes
.
.
.
. 2 Rec. 430.
.
United States v. Singleton,
.
. We have uncovered no opinions of other Circuits bearing directly on this question. The issue has split the district courts, although a small majority of the reported district court cases agree with our conclusion that double jeopardy does not bar cumulative punishment for carjacking and a firearms charge under
.
North Carolina v. Pearce,
.
.
Id.
at 304,
.
Whalen
v.
United States,
.
See Brown v. Ohio,
.
Iannelli v. United States,
.
See, e.g., United States v. Woodward,
. We do not disapprove of the
Sabini
court’s division of these same facts into six elements.
See Sabini,
.
Smith v. United States,
508 U.S. -, -,
. A firearm need not be used
as a weapon
to violate § 924(c).
Smith v. United States
upheld a defendant's conviction for violating § 924(c) when the defendant had merely traded his gun for cocaine. 508 U.S. at -,
The Supreme Court’s opinion in Smith did not discuss the term “carry” in § 924(c). Congress, however, must have intended for that term to be given a similarly broad reading. See S.Rep. No. 225, 98th Cong., 2d Sess. 314 n. 10, reprinted in 1984 U.S.C.C.A.N. 3182, 3492 n. 10 ("Evidence that the defendant had a gun in his pocket but did not display it, or refer to it, could nevertheless support a conviction for 'carrying' a fire-arm_”).
. As discussed below, we do not read § 2119 to authorize conviction on proof of "mere possession" of the firearm. Rather, there must be some relation between the possession of the firearm and the taking of the vehicle. Therefore, the cases the government cites distinguishing "using or carrying” from "mere possession” are inappo-site.
See, e.g., United States v. Featherston,
. S.Rep. No. 225, at 314 n. 10, 1984 U.S.C.C.A.N. at 3182, 3492 n. 10 (emphasis added).
. Senator DeConcini expressed reservations about "the provision [of § 2119] that makes the use of a firearm an essential element of the crime". 138 Cong.Rec. S17.960 (daily ed. Oct. 8, 1992) (emphasis added). Senator Pressler stated that a related bill "represented a giant step forward in slowing down auto theft by subjecting carjackers who use firearms to severe Federal criminal penalties”. Id. (emphasis added).
.
Sabini,
. See, e.g., supra note 20.
. H.R.Rep. No. 851(1), 102d Cong., 2d Sess. 15, reprinted in 1992 U.S.C.C.A.N. 2829, 2831 (emphasis added).
. 138 Cong.Rec. E800 (daily ed. Mar. 24, 1992) (emphasis added).
. Senators Lieberman and Pressler jointly introduced S. 942 for this purpose. Senator Lieberman described the need for the new legislation this way:
We were all sickened by the Basu case — the carjacking in suburban Maryland. It was the collective horror over that case that prompted Congress last year to federalize carjacking and provide stiff penalties for the crime. Ironically, the law we passed last year could not be used to prosecute that crime, even if it had occurred after the law’s enactment, because a gun was not used in taking the car, although the carjacking resulted in that innocent woman's death.
139 Cong.Rec. S5821 (daily ed. May 12, 1993) (emphasis added).
. Section 924(c) itself did not always contain the “in relation to” language. After Congress added the phrase "in relation to” to § 924(c), then-Judge Anthony Kennedy, speaking for the Court of Appeals for the Ninth Circuit, held that the amendment had merely made explicit a requirement that was always implicit in the statute.
See United States
v.
Stewart,
. I am indebted to Judge Higginbotham for much of the analysis and language of this section of the opinion.
.
Albernaz v. United States,
.
See Whalen,
.
Id.
(emphasis added);
see also Albernaz,
. The text of the statute is the best indicator of Congress's intent to impose cumulative punishments.
See United States v. Zabaneh,
.
.
See United States v. Gibbons,
.
.
.
. The defendant in
Simpson
was convicted of bank robbery under a statute which authorized an enhanced penalty (a maximum fíne of $10,000 instead of $5,000, and a maximum prison term of 25 3'ears instead of 20) if the robbery was committed "by the use of a dangerous weapon or device”.
. S.Rep. No. 225, at 312-13, 1984 U.S.C.C.A.N. at 3184, 3490-91 (footnotes omitted, emphasis added).
. Section 2119 is not such an "enhancement” statute. The kinds of statutes at issue in Simpson and Busic provided one level of punishment if the offense was committed without a dangerous weapon, and another higher punishment if a dangerous weapon was used. Carjacking, however, as defined in § 2119, always requires a gun. Thus, there is no "enhanced” sentence if a gun is used; rather, if no gun is used, there is no violation of § 2119.
. S.Rep. No. 225, at 312, 1994 U.S.C.C.A.N. at 3182, 3490 (emphasis added).
. In 1981, Congress considered and rejected an amendment to
[T]he purpose of this section [§ 924(c) ] is to create a separate basis of criminal liability for the possession or employment of any firearm, destructive device, or dangerous weapon in the commission of a crime because of the .potential danger posed to human life by such conduct. ... Where, however, the nature of the offense itself involves using or possessing a weapon, the factor of potential danger to life has already been taken into account, and there is no reason to permit the pyramiding of offenses and punishment through application of this section. Accordingly, the Committee does not intend that this section be construed to apply where the underlying offense is one involving the use or possession of a weapon of the type here covered....
S.Rep. No. 307, 97th Cong., 1st Sess. 890,
micro-formed on
Sup.Docs. No. Y 1.1/5:97-307 (U.S. Gov't Printing Office). Congress rejected the proposed change to
.
.
Moore,
.
.
See, e.g., United States v. Lanzi,
. The House Judiciary Committee’s report on § 2119 indicates that federal robbery statutes like § 2113 served as models for the new carjacking statute:
This Section creates a new federal offense for armed carjacking, punishable by imprisonment for up to 15 years. The definition of the offense tracks the language used in other federal robbery statutes (18 U.S.C. § 2111 , 2113, and 2118). The offender must possess a firearm during the crime, and the stolen automobile must have moved in interstate commerce.
H.R.Rep. No. 851(I), at 17, 1992 U.S.C.C.A.N. at 2829, 2834.
.We agree with the district court’s assessment of this argument in United States v. Sabini:
Congress has already made clear its intent of permitting cumulative punishment undersection 924(c) , through the 1984 amendment tosection 924(c) . Nothing in the previously discussed Supreme Court cases requires Congress to reassert such intent as to subsequently enacted statutes that involve firearms. Therefore, Congress' failure to explicitly address the interplay of the two statutes when it enacted section 2119 does not serve to negate the broad intent: ofsection 924(c) .
Sabini,
. The defendants/appellees also face state charges for murder and kidnapping arising out of the events of November 15, 1992. For that reason, the Texas Criminal Defense Lawyers Association and the National Association of Criminal Defense Lawyers, as amici curiae, invite us to reconsider the constitutionality of the "dual sovereignty” exception to double jeopardy in this case. We decline the invitation. None of the appellants raised the constitutionality of the “dual sovereignty” exception in their briefs, and we generally do not allow amici to raise issues not raised by the parties absent exceptional circumstances.
See Resident Council of Allen Parkway Village v. United States Dep't of Housing & Urban Development,