United States v. Michael Shane Phipps and Dean Rayburn GilleyUnited States v. Michael Shane Phipps and Dean Rayburn Gilley
Michael Phipps and Dean Gilley appeal several aspects of their kidnaping, carjacking, and firearms convictions and sentences. Because
I.
On December 13-14, 2000, Paula Vasta-no-Pasquariello departed work and drove to her home outside Dallas; defendants and their accomplice, Julian Medina, followed her in Medina’s car. As Pasquariel-lo pulled into her carport, defendants approached her, Phipps put a gun to her head, Gilley restrained her in the back seat of her car, and they drove away with Phipps at the wheel. They stopped briefly to give the gun to Medina, then headed for the highway. Once they were on the highway, Gilley forced Pasquariello to perform sex acts with him, and he raped her. During and after the rape, Gilley continuously
Defendants switched positions near the Texas-New Mexico border. With Gilley driving, Phipps commanded Pasquariello to perform sex acts with him again. Gilley warned Phipps to wait until they arrived in Albuquerque, lest passing drivers see them. Upon arriving in Albuquerque, defendants forced Pasquariello to buy clothes for them and checked into a motel. Phipps again announced his desire to rape Pasquariello, but Gilley, who had become nervous, again intervened.
Defendants drove to a nearby alley. Pasquariello apparently believed that defendants planned to kill her, so she fled, screaming. Defendants did not give chase.
The FBI quickly apprehended defendants, no criminal masterminds. By the evening of December 15, just twenty-four hours after Pasquariello had escaped, an FBI agent swore a criminal complaint before a federal magistrate judge. The complaint included all of the foregoing facts and charged defendants with one count of kidnaping in violation of
On January 3, 2001, a grand jury indicted defendants on one count of kidnaping,
The jury convicted defendants on all five counts. The district court sentenced them to 405 months’ imprisonment on each of the conspiracy, kidnaping, and carjacking counts, with these sentences to run concurrently. It sentenced them to 84 months on count 3 (using a firearm during and in relation to the kidnaping) and 300 months on count 5 (using a firearm during and in relation to the carjacking), with these sentences to run consecutively to each other and to the 405-month sentence. The total sentence is therefore 789 months, or 65 years and 9 months. The court also imposed, as a special condition of supervised release, that defendants shall not possess “sexually oriented or sexually stimulating materials.”
Defendants challenge the timeliness of their indictments, their multiple
II.
Defendants argue that all counts but the kidnaping count were untimely under the Speedy Trial Act (“STA”),
The STA requires an “indictment charging an individual with the commission of an offense” to be filed within thirty days of arrest.
Our precedents involve two kinds of allegedly untimely indictments. First, a defendant is charged in a complaint, arrested, and timely indicted for the offense charged in the complaint. Later (and after the STA period has run), a superseding indictment charges new offenses not contained in the complaint.
United States v. Bailey,
In
Giwa
and
Bailey,
defendants were charged and arrested for a specific offense and, after the STA period had run, were charged, in a superseding indictment, with other offenses.
1
The court rejected the STA challenge in both cases and stated the general rule in
Giwa:
“If the Government fails to indict a defendant within thirty days of arrest, the Act requires
dismissal of only the offense or offenses charged in the original complaint.” Giwa,
At the same time,
Giwa
identified, and
Bailey
elaborated on, a “gilding” exception to this general rule. “[A] gilded charge is one that merely annotates in more detail the same charge alleged in the initial accusatory instrument.”
Bailey,
Defendants rely on an old and irrelevant Ninth Circuit case and a secondary treatise to cobble together the argument that the complaint really charges all five counts because the facts in the complaint are sufficient to establish each charge. They cite no caselaw for this argument, nor could they, because the theory directly contradicts Giwa and Bailey.
Moreover, the government may have had a good reason to charge defendants solely with kidnaping in the complaint and first indictment: The evidence
III.
A.
Defendants challenge their multiple § 924(c)(1) convictions, arguing that they may be convicted under that statute only once for the single use of a single firearm. We review questions of statutory interpretation
de novo. United States v. Hanafy,
1.
Section 924(c)(1) states in relevant part that “any person who, during and in relation to any crime of violence ... uses or carries a firearm, or who, in furtherance of any such crime, possesses a firearm, shall, in addition to the punishment provided for such crime of violence,” be sentenced to varying terms of imprisonment based on the kind of firearm or the nature of its use.
The government answers that
United States v. Pñvette,
Privette,
then, is a constitutional decision based on the Double Jeopardy Clause. It does not address the precise statutory question whether
In fact, Privette does not plainly indicate the number of firearms involved. The factual part of the opinion contains a singular reference to “weapons,” which could mean that multiple firearms were involved, though not all weapons are necessarily firearms. Id. at 1261. The analysis part of the opinion, however, contains multiple and contradictory references to “a firearm” and “firearms.” Id. at 1262-63. It is most likely that Privette involved multiple firearms, but at best the opinion is ambiguous on this point. Either way, Pri-vette does not explicitly or implicitly control this case.
Privette
is not completely beside the point, however, because it forecloses defendants’ constitutional argument. They contend that the Double Jeopardy Clause prohibits multiple convictions for a single use of a single firearm based on multiple predicate offenses, even if
If the predicate offenses are “separated by the measure of the double jeopardy clause,”
id.
at 1261, there can be no constitutional infirmities with multiple convictions authorized by
2.
Having dispensed with these preliminary matters, we now reach the main issue, namely, whether
a.
The parties dispute what is the unit of prosecution for
This court has not expressly decided the unit of prosecution for
Although
Correa-Ventura
did not directly address the question, this passage nonetheless suggests that the unit of prosecution is the use, carriage, or possession of a firearm during and in relation to a predicate offense, with slightly more emphasis on the use, carriage, or possession of a firearm. The text of
The decision in
Simpson v. United States,
Though the emphasis is on the use, carriage, or possession of a firearm, and not on the predicate offense, simple use, carriage, or possession of a firearm also is not the unit of prosecution. Many citizens
b.
This unit of prosecution aptly frames our task. Were the unit of prosecution the predicate offense, we easily could affirm defendants’ multiple
“Congress could no doubt” authorize such convictions; “[t]he question is: did it do so?”
Bell,
By its text,
True enough, this single use allowed defendants to commit two crimes. By brandishing the firearm, they forced Pasquariel-lo to surrender her car, and they abducted her. They could have committed either offense without committing the other: They could have taken Pasquariello’s car without abducting her, or
vice versa.
In this sense, the single use of the firearm served two purposes. Yet, just as motive often is the essential fact at trial but gen
The legislative history of
We readily acknowledge, however, the reasonableness of the government’s position. The government’s initial premise that the unit of prosecution for
The crux of this argument would be the unusual neither-fish-nor-fowl quality of
Though the government’s position does not persuade us, it is not unreasonable, but the statute’s ambiguity compels us to apply the rule of lenity, under which a court should resolve doubts about an ambiguous criminal statute in favor of the defendant.
United States v. Reedy,
Only two other circuits seem to have addressed the precise question whether
In
United States v. Finley,
By discussing
Wilson
and
Finley,
we do not mean to suggest that we agree with their interpretation of
Finally, we stress that our holding is limited by the unusual fact that defendants gave the firearm to Medina immediately after using it. Had, for example, they kept the firearm and used it to restrain or intimidate Pasquariello later, we might
These examples, however, are not the facts before us. In what surely must be a rare event, defendants used a single firearm a single time for a dual criminal purpose, then immediately discarded it. In light of this extraordinary fact,
“The proper remedy for multiplication of punishment is to vacate the sentences on all the counts and remand for resentencing with instructions that the count elected by the government be dismissed. The defendant^ are] then to be resentenced.”
Privette,
B.
Gilley argues that the district court committed reversible error by inadvertently instructing the jury, on one occasion, that it could find him guilty of the conspiracy count by a preponderance of the evidence.
13
Gilley did not object to the instruction at trial, so we review the inadvertent instruction for plain error.
14
See
Plain error review is very limited. There must be “error” that is “plain” and that affects “substantial rights,” and even then we have discretion not to correct the error unless it “seriously affects the fairness, integrity or public reputation of judicial proceedings.”
United States v. Olano,
The question is not whether the court’s unwitting mention of the preponderance of the evidence standard while discussing count 1 is erroneous
15
— every
Gilley argues that the misstatement infected the entire jury instruction and irretrievably prejudiced his conviction on all counts by allowing the jury to find him guilty by less than beyond a reasonable doubt.
See In re Winship,
Moreover, Gilley concedes that the general jury instruction on reasonable doubt, plus all other jury instructions, correctly stated the law. In the nearly identical case of
United States v. Musgrave,
Finally, we have affirmed several convictions with worse errors in the general jury instruction on reasonable doubt; we disapproved of some particular wording but upheld the instruction as a whole. 19 The isolated and inadvertent error here is certainly no worse than are the errors we excused in those cases. Though we encourage the courts to be vigilant in then-jury instructions, we rarely will reverse a conviction based on a district court’s insignificant slip of the tongue.
IV.
A.
Phipps contends that the district court should not have sentenced him under
The district court used the criminal sexual abuse guideline, U.S.S.G. § 2A3.1, instead of the kidnaping guideline, U.S.S.G. § 2A4.1, to sentence Phipps, because § 2A3.1 has a higher total offense level. See U.S.S.G. § 3D1.3(a). The court reasoned that § 2A3.1 applies to Phipps even though he did not assault Pasquariello, because he was responsible for Gilley’s assault under the relevant conduct guideline, U.S.S.G. § lB1.3(a)(l). Phipps argues that the court clearly erred in that he did not assault Pasquariello and could not have foreseen Gilley’s assault.
The court did not clearly err by applying § 2A3.1. Medina testified that defendants declared their intent to steal a car from a woman whom they could also kidnap for the purpose of raping her. Phipps forced Pasquariello into the car at gunpoint and restrained her by driving the car while Gilley forced her to perform sex acts on him and then raped her. Phipps attempted sexually to assault Pasquariello, and he stopped only because of Gilley’s fear of detection by passing drivers. Given this evidence, the court easily concluded that Phipps reasonably could foresee Gilley’s sexual assault on Pasquariello and thus could be hable for the assault under § lB1.3(a)(l).
B.
Defendants assert the district court clearly erred by enhancing their sentence under the obstruction of justice guideline, U.S.S.G. § 3C1.1. Reviewing the court’s factual findings for clear error,
United States v. Smith,
Section 3C1.1 permits a two-level enhancement for obstruction of justice during an investigation. The enhancement is not appropriate merely because a defendant denies his guilt. U.S.S.G. § 3C1.1, cmt. n. 2, but only if the defendant “pro-vid[es] a materially false statement to a law enforcement officer that significantly obstructed or impeded the official investigation or prosecution of the instant offense.” Id. at cmt. n. 4(g) (emphasis added).
Both defendants misidentified Medina during the FBI’s investigation. Gilley identified him as an unnamed and unknown black man to whom he paid five dollars to drive him and Phipps to Pas-quariello’s home. Phipps identified Medina as a local man named Javier, whose identity he otherwise did not know. The investigating agent testified that these lies delayed her inquiry for several months.
Because of the conflicting false statements and defendants’ untrustworthiness, the agent was forced to subpoena and search defendants’ telephone records for the unknown third defendant. She eventually interviewed Medina, who confessed to his involvement. This discovery was critical to the investigation, because Medina, who . gave the firearm to defendants, provided the only evidence, other than Pasquariello’s testimony, that defendants had used a firearm. Based on these facts, the district court found that defendants’ misidentification of Medina “significantly obstructed” the FBI’s investigation, so the court enhanced the sentences by two levels.
Defendants argue that the district court clearly erred, because the investigating agent did not fully believe their lies and would have subpoenaed their telephone
C.
The district court erred by sentencing defendants to 405 months on the carjacking count, because the maximum sentence is 300 months.
Ordinarily, we would let this kind of erroneous sentence stand without correction. Defendants give no good reason to create make-work for ourselves, the district court, or counsel. We correct plain error only where we determine that the error “seriously affects the fairness, integrity, or public reputation of judicial proceedings.”
United States v. Meshack,
If we had affirmed defendants’ convictions and sentences in all other respects, we would not disturb this sentence. Yet, we vacate their sentences and remand for resentencing on all counts as a result of the § 924(c)(1) error. Because further proceedings are now unavoidable, we remand for resentencing on the carjacking conviction, as well.
Moreover, at the sentencing hearing the district court announced its desire to sentence defendants to the maximum term permitted by law. When the court made the carjacking sentence run concurrently with the conspiracy and kidnaping sentences, it assumed two valid § 924(c)(1) convictions. With only one valid § 924(c)(1) conviction, the court may wish to reconsider whether the carjacking sentence should run concurrently or consecutively with the conspiracy and kidnaping sentences. We therefore remand with instruction that the district court may reconsider this question under our limited remand rule.
See United States v. Marmolejo,
D.
Defendants aver that their special condition of supervised release is unconstitutionally vague. They did not object at or after the sentencing hearing, so we review for plain error.
United States v. Wright,
As a special condition of supervised release, the district court prohibited defendants from possessing “sexually ori
Defendants rely on
Guagliardo
and
United States v. Log,
Although we have not yet encountered this kind of condition, our general approach to other vague conditions leads us to reject defendants’ argument. In
United States v. Paul,
The category of “sexually oriented or sexually stimulating materials” admittedly is somewhat vague, but Paul requires it be read in a commonsense way. Such a construction compels us to disagree with defendants’ suggestion that the condition could apply to newspapers and magazines that contain lingerie advertisements or even to the “Song of Solomon.” Moreover, the prohibition on patronizing sexually oriented establishments refers, with sufficient precision, to places such as strip clubs and adult theaters or bookstores.
We therefore read this second condition to narrow the first condition to the kind of sexually explicit materials available at such places. Though a more definite condition might be desirable, the district court has “wide discretion in imposing terms and conditions of supervised release,”
Paul,
Furthermore, this question comes to us on plain error review. Assuming that the court on remand imposes the same sentence minus the twenty-five-year consecutive sentence for the invalid § 924(c)(1) conviction, defendants will have a 489-month sentence. Thus, they will not be released until they are at least nearly sixty years old, and even then only if they are model prisoners. (Of course, the district court on remand might impose a longer sentence, which would delay the release date further.) Under these circumstances, it is hard to say that the special condition affects their substantial rights or warrants the exercise of our plain-error discretion. Once defendants are released from confinement, they can request a more definite and precise condition in light of forty more years’ development of the sexually orient
For the reasons stated, we AFFIRM the convictions, VACATE the sentences, and REMAND for resentencing on all counts remaining after, one of the § 924(c)(1) counts is dismissed.
Notes
.
Bailey,
.
See also Bailey,
. The government does not actually offer this explanation for the delay, but we assume it must occur often during investigations. Moreover, § 3162(a)(1) establishes a strict rule, so not even the less justifiable explanation of "negligent management” by the United States Attorney undermines an otherwise valid indictment.
Giwa,
. Defendants also argue that the Double Jeopardy Clause makes count 3 untimely under the STA. In particular, they contend that count 2 (kidnaping) and count 3 (using a firearm during and in relation to the kidnap-ing) fail the "same elements” test of
Blockburger v. United States,
Defendants concede that
United States v. Martinez,
. Likewise, the parties cite several cases from other circuits that are not precisely on point, because they do not address the nature of the use, carriage, or possession of a firearm or firearms necessary to support multiple § 924(c)(1) convictions. Instead, they address the nature of the predicate offenses necessary to support such convictions or whether multiple convictions from the same indictment can be a "second or subsequent conviction” for sentencing purposes.
See, e.g., United States
v.
Casiano,
. See United States
v.
Taylor,
. From this point forward, we speak only of use, not of carriage or possession, because defendants undoubtedly used the firearm during their crimes.
See Bailey v. United States,
. Or, if defendants had not used their firearm, the language allows as many counts as the number of firearms carried or possessed.
.
See also Smith v. United States,
. Two Tenth Circuit cases appear, on their facts, to uphold multiple § 924(c)(1) convictions for a single use of a single firearm based on multiple predicate offenses.
See United States v. Romero,
. In particular, we are skeptical of, and do not adopt, the Second Circuit's holding in
Finley,
.
See Wilson,
. Phipps adopts Gilley’s argument, but the erroneous instruction refers only to Gilley. Phipps therefore cannot challenge his convictions on this ground.
. Gilley contends that an erroneous instruction on the burden of proof is not susceptible to plain error review. In
Sullivan v. Louisiana, 508 U.S.
275,
.The district court stated:
Now, once the jury has reached a unanimous decision as to Count 1 of the indictment as it affects Defendant Gilley, then the foreperson will write in the decision, the unanimous decision, either guilty or not guilty.
If the jury concludes from a preponderance of the evidence that the defendant has committed the offense charged by Count 1 of the indictment, that is, Defendant Gilley, then the verdict is guilty and the foreperson will write that in. If the jury concludes unanimously that the government has notproved beyond a reasonable doubt that Defendant Gilley committed the offense charged by Count 1 of the indictment, then the foreperson will write in not guilty.
(Emphasis added.)
. In Cage, the Court suggested the speculative “could have” inquiry. McGuire, however, expressly overruled that suggestion and oriented the inquiry to what the jury in fact did.
. Gilley counters with
United States v. Murray,
.
See Musgrave,
.
See, e.g., Dupuy v. Cain,
. Because we review the special condition for plain error, we reserve the question whether we would uphold a similar special condition if the objection is preserved in the district court and reviewed
de novo. United States
v.
Reyes-Maya,