United States v. Marcos L. Anderson, A/K/A Marcos Loinas AndersonUnited States v. Marcos L. Anderson, A/K/A Marcos Loinas Anderson
Lead Opinion
Opinion for the Court filed by Circuit Judge SILBERMAN, in which HARRY T. EDWARDS, Chief Judge, and WALD, BUCKLEY, RANDOLPH, and TATEL, Circuit Judges, concur.
Concurring opinion filed by Circuit Judge BUCKLEY.
Concurring opinion filed by Circuit Judge RANDOLPH.
Dissenting opinion filed by Circuit Judge GINSBURG, in which STEPHEN F. WILLIAMS, SENTELLE, KAREN LeCRAFT HENDERSON, and ROGERS, Circuit Judges, join.
Marcos Anderson appealed inter alia from four convictions under
I.
Appellant was convicted of conspiracy to distribute and possess with intent to distribute cocaine in violation of
Each of Anderson’s four
Anderson argued on appeal that multiple
II.
Appellant, supported by the court-appointed amicus, contends that he may only be convicted of one violation of
Amicus quarrels with the government’s premise and joins appellant in challenging the government’s conclusion. Amicus asserts that
Section§ 924(e)(1) states in relevant part: 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) for which he may be prosecuted in a court of the United States, 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, and if the firearm is a short-barreled rifle, short-barreled shotgun, or semiautomatic assault weapon, to imprisonment for ten years, and if the firearm is a machinegun, or a destructive device, or is equipped with a firearm silencer or firearm muffler, to imprisonment for thirty years. In the case of his second or subsequent conviction un*1326 der this subsection, such person shall be sentenced to imprisonment for twenty years, and if the firearm is a machinegun, or a destructive device, or is equipped with a firearm silencer or firearm muffler, to life imprisonment without release____
Amicus, relying heavily on Judge Moore’s dissent in United States v. Hill,
In any event, the language of the statute does not appear to us to support the government’s conclusion — and certainly not to do so clearly. The crucial question, which has divided the circuits, is the meaning of the phrase “whoever, during and in relation to any crime of violence or drug trafficking crime ... uses or carries a firearm.” The government contends that the statute has a “plain meaning,” and that the interpretive focus should be on the verb “uses” and not on the phrase “during and in relation to” or “crime of violence or drug trafficking crime.” But that grammatical argument is hardly decisive. Cf. Smith v. United States, — U.S. -,
The difficulty with the government’s emphasis on the word “uses” is that, as we have previously recognized, see United States v. Bailey,
The machine gun clause in
For that matter, if Congress had for a moment contemplated — or intended the prospect — that a defendant would be charged, as was appellant, with four
Although the legislative history of
[T]Ms bill provides for the first time a separate and additional penalty for the mere act of choosing to use or carry a gun in committing a crime under Federal law. If that choice is made more than once, the offender can in no way avoid a prison sentence regardless of the circumstances.
115 Cong.Rec. at 34,838 (Nov. 19, 1969) (emphasis added). That formulation of the statute’s purpose — to penalize the choice of using or carrying a gun in committing a crime— seems to us to imply that
Seven of our sister circuits have determined that only one
The government, consistent with its assertion that Congress sought to “federalize the proMbition against the use and carrying of firearms” and that “the underlying crime per se was not the focus of Congress’ concern,” appears to have repeatedly targeted guns as the basis of violations of
In perhaps the government’s most ambitious pursuit of guns qua guns, in Lindsay,
The Eighth Circuit nevertheless in United States v. Lucas,
As Missouri v. Hunter,
Subsequently, the Eighth Circuit, focusing on the word “a” in “uses or carries a firearm,” did go so far as to hold explicitly that each gun possessed created a separate and distinct
More recently, the Fourth Circuit, in an opinion that seems to depart from its circuit precedent, compare United States v. Luskin,
With due respect, we do not follow the Fourth Circuit’s reasoning. The underlying drug offense or crime of violence is already made a federal crime under another section of the federal code. To be sure, if
As is apparent, the government’s litigation position regarding the meaning and application of
It seems particularly anomalous for the government to assert that in a situation such as this, where a defendant is storing drugs with the intention of distributing at two locations, placing a gun at each location gives rise to separate
This anomaly helps to illustrate how awkward it would be to apply
Even assuming arguendo that the “separate transaction” limitation can be imposed as an interpretation of the Act,
The government (and the dissent) rely on early Supreme Court cases to support the argument that the word “uses” refers only to a discrete act, not to one of a continuing nature or (most relevantly) a conditional status. Compare In Re Snow,
We are led, then, to the ultimate conclusion that at a very minimum,
It is not to be denied that argumentative skill, as was shown at the Bar, could persuasively and not unreasonably reach either of the conflicting constructions. About only one aspect of the problem can one be dogmatic. When Congress has the will it has no difficulty in expressing it— when it has the will, that is, of defining what it desires to make the unit of prosecution and, more particularly, to make each stick in a faggot a single criminal unit. When Congress leaves to the Judiciary the task of imputing to Congress an undeclared will, the ambiguity should be resolved in favor of lenity. And this not out of any sentimental consideration, or for want of sympathy with the purpose of Congress in proscribing evil or antisocial conduct. It may fairly be said to be a presupposition of our law to resolve doubts in the enforcement of a penal code against the imposition of a harsher punishment____
Bell v. United States,
The government and the dissent nevertheless argue that to interpret the statute as we do is to ascribe to Congress the illogical (“it borders on the absurd,” dissent at 1339) purpose of permitting “every use after the first use [to be] a free use.” This argument assumes its conclusion; it defines “uses” (significantly, it avoids the word “carries,”) as referring to a distinct act — the “every time” meaning — and then asks the circular question why would Congress not want to punish “a use” every time. We think that Congress’ explicit concern for disincentives — through punishment of second and subsequent violations with 20-year sentences each — rather suggests that if Congress had wished the statute to be interpreted as the dissent has done, it would have indicated so clearly.
Unless the government wishes to retain the option to seek a de facto life imprisonment penalty in many routine drug cases by simply charging
Further, at oral argument, counsel for the government agreed that appellant’s separate
Depending then on just how extensive and pervasive is the government’s concession in Camps concerning multiple guns, obliging the government to tie a
******
Whatever the practical implications, however, we agree with the Second Circuit that, at minimum, the statute is quite ambiguous with respect to the issue before us. Accordingly, we hold that only one
Notes
. The current version of
. The dissent points to an avowed penally enhancement statute that relates to the District of Columbia,
. Thus, in Taylor,
. In Cappas,
. In the face of a double jeopardy challenge to overlapping crimes proscribed by state statute, the Supreme Court in Missouri v. Hunter clarified the inquiry facing reviewing courts. According to the Court, "the Double Jeopardy Clause does no more than prevent the sentencing court from prescribing greater punishment than the legislature intended," and the Blockburger approach to statutory construction is simply a means of ascertaining legislative intent, having no independent analytical force if that legislative intent is otherwise evident. See Hunter,
. The dissent would avoid this point by asserting that defendant "admits for purpose of this appeal that he used firearms on these four different occasions ” as if they occurred at four separate times. Appellant's counsel (we also appointed an amicus) was not the most artful in stating in his brief that the
. In Bell v. United States,
. The dissent compares
. The dissent's policy argument regarding incentives is overdrawn. Since four
Concurrence Opinion
concurring:
The Oracle at Delphi would have been proud of
Dissenting Opinion
Marcos Anderson managed an extensive drug distribution network that operated in the Washington, D.C. area for several years. He bought drugs from suppliers in several other cities around the country and ran five “distribution centers” in Maryland, Virginia, and the District of Columbia. For this, Anderson was indicted along with 31 co-conspirators, tried, and convicted of, among other things, conspiring to distribute cocaine, in violation of
At trial, the Government also proved that Anderson had used at least five firearms on four separate occasions during the course of the conspiracy. In February 1989 Anderson gave two juveniles a .9mm pistol to take to Los Angeles, where Anderson planned to rob a drug supplier. In March of that same year he sent two more guns to Los Angeles with another individual, again in o^der to rob the supplier. When Anderson was arrested in May 1989 at one of his distribution centers, he had a Browning .380 semiautomatic pistol. That same day the police seized another ,9mm semiautomatic pistol at another of Anderson’s distribution centers. For this, Anderson was convicted on four counts of using a firearm during and in relation to the drug-trafficking conspiracy, in violation of
Anderson admits for the purpose of this appeal that he used firearms on these four different occasions over the course of the conspiracy. He argues, however, that he can be convicted under
I. The Statute
Anderson does not dispute that the Congress has the power to punish as a separate
The amicus curiae arguing on Anderson’s behalf (at our request) makes an argument that is logically anterior to any pressed by Anderson. The amicus submits that in
The argument advanced by the amicus is easily disposed of by reference to the text of
For his part, Anderson submits that the statute “emphasizes the relationship” between the use of a firearm and the connected drug-trafficking crime, thus indicating that the Congress “did not intend a separate violation for each [use of a] firearm.” I agree that the requirement that the firearm have been used in connection with (literally, “during and in relation to”) a drug-trafficking crime limits the application of
There are, of course, statutes that criminalize a course of conduct rather than an individual act;
Blockburger itself concerned a statute making it “unlawful for any person to ... sell ... drugs.” Id. at 300 n. 1,
This understanding of § 924(c)(1) is confirmed by a long line of decisions, in addition to Blockburger, dealing with the question of precisely what act a particular statute makes criminal. All of these decisions conclude that the particular act referred to in the statute is the determining factor. Whether that act is of a discrete or of a continuing nature is therefore critical. The source of this distinction is a pair of cases decided by the Supreme Court in 1887 and still as instructive as they were then. In re Snow,
Other decisions in which the Supreme Court distinguishes between statutes that prohibit an individual act and those that prohibit a course of conduct include Ebeling v. Morgan,
As the Government suggests, one way of succinctly stating the rule to be derived from these cases is that the operative verb in the statutory definition of the crime defines the unit of prosecution. Regardless whether this proves always to be true, in this case there is no gainsaying the substantive distinction between § 924(c)(1) as written — “whoever uses a firearm during and in relation to a drug-trafficking crime shall be punished” — and § 924(c)(1) as Anderson and the Court would rewrite it — “whoever commits a drug-trafficking crime with a gun shall be punished.”
The rule that a crime is committed each time a defendant performs the proscribed act is so obvious that courts rarely pause to comment upon it. Consider a variation on § 924(c)(1) simply making the use of a firearm a crime; the proposition that each separate use would be a separate violation of the statute would scarcely warrant any mention. That § 924(c)(1) narrows the prohibited conduct to the use of a firearm in connection with another criminal offense does not alter the appropriate unit of prosecution from “use” of a firearm to the other offense. As noted above, the requirement that the defendant’s use of a firearm take place in connection with a drug-trafficking crime merely reflects the Congress’s intention to single out as federal offenses those uses of a gun that facilitate the commission of such crimes and not others. The resulting doctrinal structure is in all respects like “the classic formulation of the felony-murder doctrine [which] declares that one is guilty of murder if a death results during the commission of any felony,” Model Penal Code § 210.2, comment 6, but not in connection with a misdemeanor. Causing two deaths during a single felony yields two punishments for felony murder, see, e.g., State v. Girdler,
Had it so chosen, of course, the Congress could easily have drafted § 924(e)(1) to make it but one crime to use a firearm any number of times in connection with a drug-trafficking offense. Indeed, in fashioning the law of the District of Columbia, it took just that approach to the use of guns in connection with a crime of violence. See
Our obligation is to read the statute as written, and thus to apply the expressed intent of the Congress. So doing, I think it is clear that an offender violates § 924(c)(1) as he would any other statute, each time he commits the act that it proscribes, i.e., using a firearm in connection with a drug-trafficking crime.
II. Legislative History
Anderson seeks to obscure the clear meaning of § 924(c)(1) with the diversionary claim that there is no indication in the sparse legislative history of the statute that the Congress meant to prohibit each use of a firearm in connection with a drug-trafficking crime. Cf. American Civil Liberties Union v. FCC,
Second, there is no indication that the Congress meant to limit its prohibition of the use of a firearm during a drug-trafficking crime to the first such use. Rather, all indications are to the contrary. Consider: “The penalties in this amendment were not addressed to the base felony---- The amendment was addressed to the use of a firearm in the commission of the base felony. It was designed to persuade the man who has decided to set forth on a criminal venture to leave his gun at home.” Statement of Rep. Poff, 114 Cong.Rec. 30583 (Oct. 10, 1968). As explained by Senator Mansfield, the sponsor of an amendment to make it clear that a second violation would result in a mandatory consecutive sentence:
[T]his bill provides for the first time a separate and additional penalty for the mere act of choosing to use or carry a gun in committing a crime under Federal law. If that choice is made more than once, the offender can in no way avoid a prison sentence regardless of the circumstances.
115 Cong.Rec. 34838 (Nov. 19,1969) (emphasis added). Thus, the “act of choosing to use ... a gun” is precisely what the legislators meant to prevent and to punish, and it should be no surprise if the text of the statute accomplishes precisely that result.
Indeed, it borders on the absurd to acknowledge, as Anderson and the Court must do, that the Congress wished to deter and to punish “the act of choosing to use ... a gun” and yet to maintain that it did not wish to punish again the criminal who chooses again to use a gun. Under the Court’s interpretation of § 924(c)(1), however, every use after the first use is a free use. That is, once a drug conspirator has used his gun once in furtherance of the conspiracy, he may as well use, carry, display, brandish, and fire his weapon throughout the conspiracy, for no matter what he does with his firearm, he can be punished under § 924(c)(1) for only one use. He has the same perverse incentive that a thief faced when at common law, see Blackstone, 4 Commentaries *68, virtually all felonies were punishable by death: “As well be hanged for a sheep as a lamb.”
Anderson responds by claiming that the Government can still prosecute a defendant for multiple violations of § 924(c)(1); it has only to prosecute him for multiple drug crimes. His own conduct belies his point, however. Anderson twice sent to Los Angeles guns with which to rob a supplier. Since robbery is not a federal crime (nor, obviously, a drug-trafficking crime) the only reason that he could be charged under § 924(c)(1) at all for those two episodes is that the guns were both tied (via the intended robberies) to his on-going drug-trafficking conspiracy. While the Government may have been able to link one of his other uses of a gun to the Park Towers possession-with-intent-to-distribute count, there is no basis for assuming (as the Court does at 22) that the Government could have linked Anderson’s other two uses to the Travel Act or to some other inchoate crime, much less that there will always be enough qualifying felonies to sup
The difficulty with the Court’s theory of the case is even more apparent when one considers its effect upon that aspect of the statute that specifies a higher penalty for the use of an especially dangerous weapon, such as a maehinegun. If Anderson could not be punished for a second use of a firearm to rob his L.A. supplier, then he might as well have used a maehinegun. Perhaps he would reply that he could then be prosecuted and sentenced for the use of the maehinegun rather than for the use of the pistol; but that would be to say that his first use of a gun (the pistol) was a crime only until his second use (the maehinegun), whereupon his first use (the pistol) was somehow rendered not a crime. See Ct.Op. at 1326-27. To attribute such uncertainty and illogic to a Congress that intended straightforwardly to outlaw “the act of choosing to use ... a gun” is simply not tenable. I can see nothing in the legislative history of § 924(c)(1) that casts doubt upon the proposition that one violates the statute anew, and can be convicted and sentenced for, each time one uses a firearm in connection with a drug-trafficking crime.
III. The Rule of Lenity
Anderson maintains in the alternative that even if it is possible to construe § 924(c)(1) to allow multiple convictions for multiple uses of a gun in connection with a single drug-trafficking offense, the statute is at least ambiguous and, under the rule of lenity, he should receive the benefit of a more favorable interpretation.
The mere possibility of articulating a narrower construction ... does not by itself make the rule of lenity applicable. Instead the venerable rule is reserved for cases where, “after seiz[ing] every thing from which aid can be derived,” the Court is “left with an ambiguous statute.”
Smith, — U.S. at -,
The traditional canons of statutory interpretation are not to be cast aside merely because a criminal defendant can point to the possibility of a different reading, no matter how implausible, and as the above analysis shows, Anderson has done no more than that. It may even be true, as Anderson claims, that § 924(c)(1) “emphasizes the relationship” between the use of a firearm and the commission of a drug-trafficking crime— whatever that implies; the fact remains that we cannot imagine, and he does not suggest, any way in which the limitation of § 924(c)(1) to the use of a firearm in connection with the commission of some other crime could have been expressed in a way that would not give rise to precisely the same arguments that Anderson now makes. In effect, Anderson would say that a statute providing, for example, that “whoever sells drugs shall be punished” is ambiguous on the question whether one who sells drugs twice may be punished twice, and therefore that the Congress, if it would avoid the rule of lenity must provide: “whoever sells drugs shall be punished for each sale.” Indeed, the Court seems (at 1327) to require as much. The rule of lenity
As brought out at great length during the argument of this case, there is indeed an ambiguity lurking in § 924(c)(1), but it is not whether a defendant may be held to have violated the statute more than once in connection with a single drug-trafficking offense. Rather, it concerns the difficulty of saying, in some factual circumstances, whether a defendant has embarked upon a second (or subsequent) use of a firearm. Unfortunately for Anderson, however, this potential ambiguity is in no way implicated in his case. Especially in light of Anderson’s own admission, for the purposes of this appeal, that he used at least four different firearms on four different occasions over the course of the extended drug conspiracy of which he stands convicted, there is simply no room for the argument that any two or more of the four uses constituted but one continuing use.
Nonetheless, much of the argument in this ease — oral, on brief, and in the opinion of the Court — concerns whether upholding Anderson’s convictions would lead to draconian results in other cases yet to come before us. The claim is that, in view of the broad interpretation we gave to the term “use” in United States v. Bailey,
Two threshold considerations must be kept in mind while addressing this argument. First, it is clear that the Congress is free to provide, and the judiciary therefore constrained to impose, a severe punishment for a crime or series of crimes, limited only by the cruel and unusual punishments clause of the eighth amendment. See, e.g., Deal v. United States, — U.S. -,
It is not difficult to posit other cases where it may not be clear whether the defendant has “used” a firearm once, twice, or even twenty times. For example, while it is easy to say that a defendant used a firearm once by deciding not to leave it at home but to take it with him to a drug sale, it is not at all obvious that the same defendant used the firearm again if he then decided to brandish it in order to intimidate his buyer. The matter is still more doubtful if he went on to make a second sale without adverting anew to the gun. In short, while it may be relatively easy to say that a gun-toting defendant has used a firearm at least once and has thus violated § 924(e)(1), it is not necessarily easy to say that the same defendant has used a firearm two or more times so that he might be convicted of multiple violations of the statute. As it happens, however, it is clear in Anderson’s case that he used a firearm at least four times in connection with a single drug-trafficking conspiracy.
The question that Anderson raises and to which the Court lends its ear is not really one about the appropriate unit of prosecution under the statute as written; as explained above, that is each “use.” Rather, the question is that of when, in view of the relatively flexible and “expansive” meaning of the verb “to use,” see Smith, — U.S. at -,
The Supreme Court has made clear, in some of the same cases that help to demonstrate that the use of a firearm is the appropriate unit of prosecution under § 924(c)(1), that where there is doubt concerning the number of separate criminal acts a defendant has engaged in, that doubt should be “resolved against turning a single transaction into multiple offenses.” Bell,
Whether an individual act constitutes a separate use is determined under the rule set out in Blockburger, as glossed in Bell: “[W]hen the impulse is single, but one indictment lies, no matter how long the action may continue. If successive impulses are separately given, even though all unite in swelling a common stream of action, separate indictments lie.” Blockburger,
In sum, this is not a case for invoking the rule of lenity. As Judge Leventhal once stated:
Under a general rule of lenity an accused merits the benefit of any reasonable doubt as to legislative intent, but where a man commits a crime with intent, and then expands or modifies his purpose and invades another interest, I see no reasonable basis for inferring a general legislative intent that the change means [no] possibility of a second punishment.
Irby v. United States,
IV. Other Court Decisions
Two circuits agree that the Government need not connect each of a defendant’s multiple violations of § 924(c)(1) to a separate drug-trafficking crime. See United States v. Camps,
Nonetheless, six federal courts of appeal have spoken approvingly of what some of them denominate the “predicate offense test,” which states that one drug-trafficking crime can serve as the basis for only one violation of § 924(c)(1). See, e.g., United States v. Lindsay,
Other decisions, emphasizing the purported ambiguity of the statute, apply the rule of lenity. See, e.g., Lindsay,
Only one other circuit has expressly acknowledged the precise issue presented today and held that the “predicate” drug of
V. Conclusion
This is a troublesome case for a number of reasons. It is easy to confuse the statute at issue with a similar one that the Congress might well have written instead but did not. Moreover, it is tempting to avoid the possibility of having to decide in future cases whether particular facts constitute separate and distinct uses of a gun. Nevertheless, I agree with the Fourth Circuit that the appellant’s construction of the statute is “unsupported by either text or logic.” Camps,
The Ml text of the statute in effect at the time reads:
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) for which he may be prosecuted in a court of the United States, 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, and if the firearm is a machinegun, or is equipped with a firearm silencer or firearm muffler, to imprisonment for thirty years. In the case of his second or subsequent conviction under this subsection, such person shall be sentenced to imprisonment for twenty years, and if a the firearm is a machinegun, or is equipped with a firearm silencer or firearm muffler, to life imprisonment without release. Notwithstanding any other provision of law, the court shall not place on probation or suspend the sentence of any person convicted of a violation of this subsection, nor shall the term of imprisonment imposed under this subsection run concurrently with any other term of imprisonment including that imposed for the crime of violence or drug trafficking crime in which the firearm was used or carried. No person sentenced under this subsection shall be eligible for parole during the term of imprisonment imposed herein.
. The opinion of the Court (at 7) notwithstanding, there is nothing to the contrary to be found in the statutory prohibition of “carrying” a gun. If anything, it is easier to say that a drug dealer who takes up his gun on two separate occasions in connection with the same drug-trafficking offense has "carried" his firearm more than once than it is to decide whether he has "used” his gun once or twice.
. The Court's attempt (at 19) to distinguish the mail fraud statute upon the ground that it refers to the mailing of "any letter or packet in any post office” is unpersuasive in light of the Supreme Court's focus upon the defendants’ separate acts in Snow and Henry. Even if the Government’s ability to prosecute multiple counts under the mail fraud statute turned solely upon the number of letters sent (rather than upon the number of times the defendant sends one or more letters), the result under § 924(c)(1) would be a "separate guns” test — not the "predicate offense” or "at any time" approach advanced by the Court.
. Contrary to the Court's assertion (at 1327-28), the original version of § 924(c)(1) did in fact
. It is no answer for the Court to point out (at 1333 n. 9) that even under the Government's theory there comes a point at which an additional “use” of a gun is "free," owing to the fact that an incremental prison term that starts after the defendant's life expectancy is not an effective deterrent; the same may be said of any penalty of imprisonment as applied to a multiple offender.
. This argument is the only one accepted by a majority of the court, notwithstanding dicta in the Court’s opinion that the statute is better read to prohibit the use of a gun "at any time” during the commission of a drug-trafficking crime. See Ct.Op. at 1325-28.
Concurrence Opinion
concurring:
We are asked to consider the single question of whether the proper unit of prosecution under
In this case, the textual debate has reached stalemate not merely because the judges on either side are effective advocates for their positions, but because of the deep ambiguity actually present in
In this case, where the government proved four separate uses of a firearm but alleged only a single predicate offense, the rule of lenity dictates that Anderson may be convicted of only one