Lead Opinion
Henry Peterson was convicted of five federal narcotics and firearms offenses on August 27, 1999. Peterson challenges the federal prosecution as vindictive and a violation of equal protection under the Fourteenth Amendment because it was based on the same underlying criminal activities as a prior Rhode Island prosecution. Peterson also claims that the trial judge abused his discretion by not reopening the
In addition, Peterson challenges the district court’s application of the Sentencing Guidelines, which, based on his offense level, his criminal history, and the court’s finding that three prior convictions qualified him as an “armed career criminal” under 18 U.S.C. § 924(e), prescribed a sentence between 262 and 327 months. He argues that one of the predicate offenses used to determine his armed career criminal status should not count as a “violent felony” under 18 U.S.C. § 924(e)(2)(B)(ii). Peterson further claims that the sentencing court incorrectly enhanced his sentence for the use of weapons “in connection with” his narcotics offenses.
We agree with Peterson that one of his offenses does not quality as a “violent felony” for purposes of § 924(e), but reject his remaining arguments. Accordingly, we affirm the conviction and remand for resen-tencing.
BACKGROUND
Henry Peterson was arrested in Cran-ston, Rhode Island on February 4, 1998, while in possession of five grams of crack cocaine. A consented-to search of his apartment revealed marijuana, drug paraphernalia, several firearms, and ammunition. A search of Peterson’s girlfriend’s apartment uncovered more marijuana and an additional firearm. The girlfriend, Tanya Baptiste (who had also been arrested), claimed that the drugs and gun found in her apartment both belonged to Peterson.
In state court, Peterson pled nolo con-tendere to possession with intent to distribute controlled substances, firearm possession after conviction for a crime of violence, and possession of stolen goods. He received a ten-year sentence, seven years of which were suspended.
Federal prosecutors, apparently dissatisfied with the length of the state sentence, then sought indictment under federal narcotics and firearms law. At trial, the defense rested without offering evidence. The court alerted the jury that closing statements were forthcoming, recessed, and then held a charging conference. At that belated point, Peterson’s counsel informed the court that Peterson now wished to testify on his own behalf, despite having decided not to testify during his case-in-chief. The district judge refused to reopen the evidence to allow Peterson to testify.
Peterson was ultimately convicted on all five counts, including two counts of 18 U.S.C. § 922(g), being a felon in possession of a firearm. Based on three prior state convictions for breaking and entering, he was sentenced as an armed career criminal under 18 U.S.C. § 924(e)(1), which provides for a fifteen-year minimum sentence. The combination of his armed career criminal status and the finding that his weapon possession was “in connection with” a controlled substance offense resulted in an offense level of 34 under the Sentencing Guidelines. Peterson was sentenced accordingly.
DISCUSSION
We first dispose of Peterson’s trial-related claims and then address his claims relating to sentencing.
I. Vindictive Prosecution Claim
Peterson admits that prosecution on both state and federal charges is constitutionally permissible under the dual sovereignty doctrine. See Heath v. Alabama,
Peterson thus premises his objection to his federal prosecution on either prosecutorial vindictiveness or an equal protection violation. Because Peterson failed to raise a claim of vindictive prosecution prior to trial, the claim is waived and we review for plain error. See United States v. Gary,
Peterson fails to make either showing. First, to show selective prosecution, Peterson must show “that [he] was prosecuted while others similarly situated were not.” Bassford,
Alternatively, Peterson suggests that his federal prosecution violated the Equal Protection Clause. It is a violation of equal protection for the government to base prosecution on an unjustifiable standard or arbitrary classification. See Gary,
We therefore find no error in Peterson’s prosecution.
II. Failure to Reopen the Evidence to Permit Peterson to Testify
At trial, after the defense rested, the court told the jury to expect closing arguments within the hour and went into recess; after recess, the court held a brief charging conference. At the end of the conference, counsel for Peterson told the court that Peterson now wished to testify on his own behalf. Counsel noted that, until now, Peterson had agreed with his attorney’s decision not to put on any evidence in the case. Furthermore, counsel advised the court that for ethical reasons he could not examine Peterson if Peterson were allowed to testify. The district court refused to reopen the evidence in order to allow Peterson to testify. Peterson claims that the district court’s refusal to do so violated his constitutional right to testify in his own defense.
It is true that a criminal defendant has a constitutional right to testify in
Thus, in reviewing whether the district court properly exercised its discretion not to reopen the evidence, we look to whether the court properly weighed the defendant’s right to testify against the need for order and fairness in the proceedings. See Rock,
In exercising its discretion, the court must consider the timeliness of the motion, the character of the testimony, and the effect of the granting of the motion. The party moving to reopen should provide a reasonable explanation for failure to present the evidence in its case-in-chief. The evidence proffered should be relevant, admissible, technically adequate, and helpful to the jury in ascertaining the guilt or innocence of the accused. The belated receipt of such testimony should not imbue the evidence with distorted importance, prejudice the opposing party’s case, or preclude an adversary from having an adequate opportunity to meet the additional evidence offered.
Walker,
Peterson argues that, given the timeliness of his motion to reopen, it posed no threat of disrupting or prejudicing the proceedings. We agree that the small delay posed a relatively small threat. Peterson moved to reopen approximately a half-hour after the defense rested. During that time, counsel for both sides prepared their closing arguments during recess, and the court then conducted a very simple charging conference lasting no more than a few minutes; other than that, nothing of substance took place. Thus, while reopening the evidence always can be expected to disrupt trial proceedings to some extent, here the disruption would have been comparatively minor. Compare United States v. Parker,
Nonetheless, while small, the potential for disruption upon reopening the evidence was not insignificant. For example, reopening the evidence may have confused the jurors after they had been told to expect closing arguments when they returned from recess. Moreover, Peterson’s attorney had indicated he would not be able to participate in any examination of Peterson, posing procedural problems for the judge if Peterson were permitted to testify. Given the potential for disruption in this sense, the district court was at liberty to deny the motion to reopen if Peterson’s testimony was likely to be of little value. And the record sufficiently supports that conclusion. Peterson gave the court hardly any indication as to what he wished to testify about, stating only he “just want[ed] to bring out certain facts about certain issues” that his counsel allegedly failed to develop during cross-examination of the government’s witnesses. In the court’s opinion, Peterson was “playing games,” possibly maneuvering to lay the grounds for a future § 2256 petition — a suspicion bolstered by the fact that throughout the trial, Peterson had, on the record, accused his attorney of working for the government and deliberately attempting to throw the trial. Cf. United States v. Stewart,
Finally, as to the reasonableness of Peterson’s excuse for not testifying during his case-in-chief, Peterson offered no excuse, let alone a reasonable one. Peterson had ample time during his case-in-chief to offer testimony; he admitted that he and counsel had agreed that he would not exercise this option. Even assuming Peterson’s testimony would have been valuable, Peterson still owed the court some sort of reasonable explanation for his sudden change in tack. Cf, e.g., Parker,
In these circumstances, we find no abuse of discretion and no infringement of Peterson’s constitutional right to testify.
III. Armed Career Criminal Status
The Armed Career Criminal Act, 18 U.S.C. § 924(e), imposes a fifteen-year minimum sentence on offenders of section 922(g) who have three previous “violent felony” convictions. What constitutes a “violent felony” for the purposes of this section is a question of federal law, see Taylor v. United States,
*108 any crime punishable by imprisonment for a term exceeding one year ... that—
(ii) is burglary, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
Peterson admits that this language covers two of his prior state convictions, but challenges the inclusion of a third conviction for breaking and entering under R.I. Gen. Laws § 11-8-2. The sentencing court held the conviction to fall within the section’s scope and so imposed the mandatory minimum required by the ACCA. We review de novo, United States v. Sacho,
In determining whether Peterson’s conviction under § 11-8-2 qualifies as a “violent felony,” we look to the statutory definition, rather than the specific facts, of Peterson’s crime. See Taylor,
Unlawful breaking and entering of dwelling house. Every person who shall break and enter at any time of the day or night any dwelling house or apartment, whether the same is occupied or not, or any outbuilding or garage attached to or adjoining any dwelling house, without the consent of the owner or tenant of such dwelling house, apartment, building, or garage, shall be imprisoned for not less than one (1) year and not more than five (5) years or fined not more than two thousand dollars ($2,000) or shall suffer both such fine and imprisonment.
R.I. Gen. Laws § 11-8-2.
Peterson argues that § 11-8-2 does not rise to the level of a “violent felony” because it does not include a requirement that the defendant break and enter with intent to commit a crime.
As a matter of statutory construction, we agree with Peterson that the lack of a criminal intent requirement places § 11-8-2 outside the realm of a “violent felony.” Congress specified in § 924(e) the type of breaking and entering offense that qualifies as a violent felony — burglary — and that offense requires criminal intent. Burglary is one of a handful of offenses specifically listed in § 924(e)(2)(B) as a violent felony. As the Supreme Court made clear in Taylor v. United States,
We do not think that § 924(e)(2)(B)(ii)’s catchall clause — covering'crime that “otherwise involves conduct that presents a serious risk of physical injury to another” — changes the analysis. In specifying burglary as a violent felony, Congress made its own categorical judgment as to what subset of breaking and entering offenses “presents a serious potential risk of physical injury to another.” Had Congress wished to cast a wider net, it could have easily used the more general term “breaking and entering” instead. But it chose to single out burglary, and it defined that term to include a criminal intent requirement. We are not at liberty to dilute or eliminate that criminal intent requirement; yet that is precisely , the effect that would result were we to determine that § 11-8-2 falls under the “otherwise” clause. If breaking and entering is to be considered a violent felony regardless of any criminal intent requirement, then that limitation placed on the definition of burglary is rendered meaningless.
Our reading of § 924(e)(2)(B)(ii) is corroborated by its legislative history. As explained in Taylor, the original version of § 924(e) included as predicate offenses only “robbery or burglary.” Burglary was defined in the statute to include a criminal intent requirement. See Taylor,
What the legislative history instead suggests is that, in expanding § 924(e) to cover arson, extortion, explosives crimes, and crimes otherwise presenting serious risk of physical injury, Congress sought to add to § 924(e)’s coverage not new species of breaking and entering crimes beyond burglary, but crimes of entirely different genera. See, e.g., Armed Career Criminal Legislation: Hearing on H.R. 4639 and H.R. 4768 before the Subcommittee on Crime of the House Committee on the Judiciary, 99th Cong., 2d Sess. 33 (1986) (describing as “fundamental premise” of proposed amendments “that it makes no sense to single out robbery and burglary as qualifying prior offenses while omitting more serious felonies such as murder or major drug dealing”) (statement of Bruce Lyons, President-elect of National Association of Criminal Defense Lawyers); Armed Career Criminal Act Amendments: Hearing on S.2312 before the Subcommittee on Criminal Law of the Senate Committee on the Judiciary, 99th Cong., 2d Sess. 12 (1986) (‘We support this expand
Our prior cases do not argue for a different conclusion. It is true that this court has twice before found statutory breaking and entering crimes to fall under § 924(e)’s “otherwise” clause. See United States v. Payne,
We do not suggest that no breaking and entering offense except one precisely meeting the Taylor definition of burglary could ever fall under § 924(e)(2)(B)(ii) through its “otherwise” clause. See Taylor,
For the foregoing reasons, we remand for resentencing.
IV. Weapons Enhancement
The district court enhanced Peterson’s sentence for the use of a firearm “in connection with” his narcotics offenses pursuant to U.S.S.G §§ 2K2.1(b)(5) and 4B1.4(b)(3)(A). We review the district court’s application of a particular sentencing guideline de novo, but the factual findings underlying that application are reviewed for clear error. See United States v. Thompson,
Because we have found that Peterson’s conviction for breaking and entering is not a predicate violent felony, see supra, we do not apply the Sentencing Guideline relevant to armed career criminals, U.S.S.G. § 4B1.4(a), but rather apply only U.S.S.G. § 2K2.1(b)(5), a largely similar provision that applies generally to firearms offenders. Section 2K2.1(b)(5) provides for an offense level enhancement of 4 “if the defendant used or possessed any firearm or ammunition in connection with another felony offense.”
We construe the phrase “in connection with” broadly. See United States v. Thompson,
In this case, the government established at trial that Peterson kept two guns in the same apartment where he stored marijuana. It was also established that a third gun was stored near additional marijuana at Peterson’s girlfriend’s house. All of the guns were readily accessible. 'The district court concluded that it was Peterson’s “modus operandi to have guns near his stash of marijuana.” Given that Peterson had firearms in close' proximity to his drugs in two different locations, this factual finding was not clear error. And the finding sufficiently supports the legal conclusion that the firearm possession was “in connection with” the underlying narcotics offense. In Thompson, we noted that “the usual case” in which the Guideline applies is one in which the defendant “had the firearm available to protect his supply of drugs.”
CONCLUSION
We find none of Peterson’s trial-related claims persuasive. We are also unconvinced by his attempt to avoid a weapons-related sentencing enhancement. : We do conclude, however, that his conviction under R.I. Gen. Laws § 11-8-2 was not a conviction for a violent felony for purposes of 18 U.S.C. § 924(e). Accordingly, we
Notes
. The policy requires federal prosecutors to obtain permission from the Department of Justice before engaging in a prosecution based on "alleged criminality which was an ingredient of a previous state prosecution against that person.” McCoy, supra, at 712
. For a summary finding of vindictive prosecution from this court, the defendant faces an even higher burden. See Bassford,
. Walker was decided prior to Rock’s determination ol a constitutional right to testify. The Walker court explicitly refrained from answering the question whether a defendant has a constitutional right to testify, but the court noted that it did not wish to "imply that if we were to determine that a defendant had a constitutional right to testify we would necessarily apply a different analysis to the issue.” Walker,
. Peterson also points out that § 11-8-2 covers break-ins of both occupied and unoccupied dwellings, the latter of which, he contends, are non-violent crimes; accordingly, he concludes, the sentencing court was obliged to examine the indictment and jury instructions in Peterson's case to determine whether Peterson was convicted of breaking into an occupied dwelling. We do not address this argument.
. Our analysis rests on the definition Congress chose to give the term "burglary” for the purposes of the ACCA. We do not mean ió suggest that this analysis governs with respect to the terms "arson,” "extortion,” or "[a crime that] involves use of explosives.”
. We have also held breaking and entering offenses to fall under the "otherwise” clause of U.S.S.G. § 4B1.2(a), which tightly parallels § 924(e)(2)(B). Again, each of these offenses required criminal intent and met the Taylor definition of burglary. See United States v. Sawyer,
. The government argues in its brief that the risk of violence posed by a breaking and entering "has little or nothing to do with the criminal's subjective intentions in breaking and entering.” On the contrary, it seems obvious that a person who breaks into a building intending to steal, rape, or murder poses a greater risk of violence than one who breaks and enters without such intentions. Indeed, in contrast to generic burglary, §11-8-2 easily encompasses vagrants and pranksters among its ranks; thus, the average
Dissenting Opinion
dissenting in part.
Although I agree with the majority on the bulk of this opinion, I would find that the breaking and entering statute here, R.I. Gen. Laws § 11-8-2, qualifies as a “violent felony” with respect to 18 U.S.C. § 924(e) under, both Taylor v. United States,
The majority focuses on the fact that the Supreme Court’s definition of “burglary” in Taylor required that a criminal statute include two elements to qualify: that the defendant break and enter into a “building or structure” and that the defendant break and enter “with intent to commit a crime.” Id. at 599,
However, I can not conclude that the Taylor decision, which only interpreted § 924(e)(2)(B)(i), necessarily excluded breaking and entering crimes such as this one from the “otherwise” clause of § 924(e)(2)(B)(ii). Although the majority is correct that the legislative history concentrates on “entirely different genera” of property crimes (such as arson and extortion), the history also discusses at length the reasons why Congress considered burglary to be a prototypical violent felony. The legislative sponsor, cited in the House Report, found burglary to be “one of the ‘most damaging crimes to society,’ because it involves ‘invasion of [victims’] homes or workplaces’ and ‘violation of their privacy.’ ” Taylor,
This Court’s prior decisions have realized that the motivation for including a breaking and entering felony as “violent” under the “otherwise” clause rests primarily on the negative effects of the intrusion and minimally on the reason why the criminal enters the structure. In United States v. Payne,
Although the majority does not need to reach the issue, Peterson also argues that the “unoccupied” status of the building should pull it out of the ambit of the “otherwise” clause. Again, neither the Supreme Court nor this Court has premised the risk of harm on the occupied or unoccupied status of the dwelling. See Taylor,
Our analysis requires us to examine whether “the probability of physical harm presented by the mine-run of conduct that falls within the heartland of the statute” is sufficient to meet the “violent felony” standard of § 924(e)(2)(B)(ii). United States v. De-Jesús,
