Case Information
*1 Before MARCUS, JULIE CARNES, and KELLY, [*] Circuit Judges.
MARCUS, Circuit Judge:
Raymon Marquell Harris appeals a 210-month sentence imposed after he pled guilty to one count of being a felon in possession of a firearm, in violation of 18 U.S.C. § 922(g)(1). The district court enhanced appellant’s sentence under the Armed Career Criminal Act (“ACCA”) based, in part, on his prior conviction for attempted first-degree assault under Alabama Code § 13A-6-20(a), which the sentencing court counted as a “violent felony” under the ACCA’s elements clause. On appeal, Harris argues that the district court erred in concluding that his § 13A-6-20(a) conviction qualified as a violent felony because (1) the government’s proffered transcript of the plea colloquy taken from his state conviction did not qualify as a Shepard [1] document and therefore could not be considered by the sentencing court, and (2) the plea colloquy itself failed to establish under which subsection of § 13A-6-20(a) he pled guilty, and some of the offenses contained in § 13A-6-20(a) involve reckless assault and, therefore, do not qualify as predicates for the ACCA. Harris has raised no challenge to the other predicate convictions. After careful review, we affirm.
I.
Harris was indicted for, and pled guilty to being a felon in unlawful possession of a firearm, in violation of § 922(g)(1). Under 18 U.S.C. § 924(e), a person convicted of violating § 922(g) is subject to a fifteen-year minimum sentence as an armed career criminal if he has at least three prior convictions for a “violent felony” or a “serious drug offense.” The probation office determined that Harris was subject to this enhancement based on his three prior Alabama felonies: two 2004 convictions for unlawfully distributing a controlled substance, as “serious drug offenses”; and a 2011 conviction for attempted first-degree assault, as a “violent felony.” Only the last conviction is at issue today and forms the basis of this appeal.
Harris timely objected to the designation of his assault conviction as a violent felony. At sentencing, the government offered the transcript of a plea colloquy taken from the Alabama state convicting court. The transcript showed that, after Harris confirmed that he understood his rights and waived them, the State proffered the following factual basis for the plea:
. . . [O]n April the 5th, 2008, around three o’clock in the morning, that [victims D.T.] and [M.T.] were at the Shell station located at the intersection of Greensboro and Skyland. While at the Shell station, this defendant’s brother, Keandre Harris, got into an altercation. During the course of the altercation, witnesses including [M.T.] and [D.T.], observed this defendant come out of his vehicle with a pistol and began shooting at the two [victims]. . . . [D.T.] was hit multiple times. [M.T.] was also hit by bullet fragments and received injuries. . . . [As Harris’s] vehicle . . . was leaving the parking lot of the Shell station, a police officer arriving at the scene attempted to stop the vehicle, but it did not stop, and he fired shots at the vehicle striking it three times. The vehicle was stopped on Greensboro Avenue, and inside the vehicle being driven by this defendant was a magazine for a .9 millimeter pistol that was found on the floorboard . . . and a magazine in the pistol that would hold twelve nine millimeter bullets. Seven were missing from the gun. When police searched the scene at the Shell station, they recovered seven .9 millimeter shell casings.
Harris pled guilty to attempted first-degree assault. And the state court found that he entered the plea knowingly, intelligently, and voluntarily. Notably, Harris was not asked and never said whether the government’s factual proffer was accurate.
At the sentencing hearing for the instant § 922(g)(1) offense, the district court overruled Harris’s objections to the ACCA enhancement, concluded that his attempted first-degree assault conviction met the ACCA’s definition for a violent felony, and, therefore, determined that Harris had three qualifying felonies under § 924(e)(1). Accordingly, the court sentenced Harris to a term of imprisonment of 210 months, followed by 5 years’ supervised release.
Harris has timely appealed his sentence to this Court.
II.
We review de novo a district court’s determination that a defendant’s prior
conviction qualifies as a violent felony under the ACCA. United States v. Davis,
A.
Generally, a defendant convicted of being a felon in possession of a firearm
under § 922(g)(1) is subject to a maximum sentence of ten years’ imprisonment.
See 18 U.S.C. § 924(a)(2). But the ACCA mandates a minimum sentence of 15
years’ imprisonment for any defendant convicted of being a felon in possession of
a firearm who has three prior convictions “for a violent felony or a serious drug
offense, or both, committed on occasions different from one another.” Id. §
924(e)(1). The government bears the burden of establishing that an ACCA
sentencing enhancement is warranted. United States v. Lee,
The ACCA defines the term “violent felony” as any crime punishable by a term of imprisonment exceeding one year that:
(i) has as an element the use, attempted use, or threatened use of physical force against the person of another; or (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.
18 U.S.C. § 924(e)(2)(B). Subsection (i) is called the “elements clause,” the first
part of subsection (ii) generally is known as the “enumerated crimes clause,” and
the second part of subsection (ii) is the “residual clause.” United States v. Pickett,
Plainly, Harris’s attempted first-degree assault conviction does not fall under
the enumerated crimes clause; the parties only argue about whether it falls under
the elements clause. See 18 U.S.C. § 924(e)(2)(B)(ii). We hold that it does. “To
qualify under the elements clause, a state offense must require the defendant to
commit, to attempt, or to threaten physical acts that are directly or indirectly
capable of causing physical pain or injury.” Hylor v. United States,
In deciding whether a defendant’s prior state offense contains a use-of-force
element, we employ a “categorical approach,” which means we look to the
statutory definition -- i.e., the elements -- of the offense, not the particular facts
underlying the conviction. Id.; see Shepard,
If the prior conviction was for violating a “divisible statute” -- meaning one
that sets out one or more elements of the offense in the alternative -- the Supreme
Court has instructed us to apply a “modified categorical approach.” See Descamps
v. United States,
Harris was convicted of attempted first-degree assault under Alabama Code § 13A-6-20(a). The judgment of conviction does not tell us, however, which of five iterations of first-degree assault he pled guilty to attempting. The language in the statute defines five different ways of committing first-degree assault:
(a) A person commits the crime of assault in the first degree if: (1) With intent to cause serious physical injury to another person, he or she causes serious physical injury to any person by means of a deadly weapon or a dangerous instrument; or (2) With intent to disfigure another person seriously and permanently, or to destroy, amputate, or disable permanently a member or organ of the body of another person, he or she causes such an injury to any person; or
(3) Under circumstances manifesting extreme indifference to the value of human life, he or she recklessly engages in conduct which creates a grave risk of death to another person, and thereby causes serious physical injury to any person; or (4) In the course of and in furtherance of the commission or attempted commission of [certain enumerated felonies, including] robbery in any degree, . . . or any other felony clearly dangerous to human life, or of immediate flight therefrom, he or she causes a serious physical injury to another person; or (5) While driving under the influence of alcohol or a controlled substance or any combination thereof . . . he or she causes serious physical injury to the person of another with a vehicle or vessel.
Ala. Code § 13A-6-20(a)(1)–(5). The parties concede, as they must under our
controlling case law, that Alabama’s first-degree assault statute is divisible
“because it ‘lists multiple offenses.’” See In re Welch,
B.
Harris first argues that he never assented to the State’s factual proffer
supporting his § 13A-6-20(a) conviction as recited at the plea colloquy. Thus, he
says, we cannot look to the factual foundation in order to determine which offense
he pled guilty to. However, he conceded at oral argument that this was not his
primary argument, and for good reason. In the first place, he has raised this
argument only for the first time on appeal, having argued in district court just that
those facts, as accepted, still failed to establish to which subsection he pled guilty.
See Walker v. Jones,
Finally, and most important, Harris invited any error. He told the district
court unambiguously at the sentencing hearing that “there was never a dispute
about the facts,” but rather only a “dispute as to which prong [of § 13A-6-20(a)] he
was convicted under.” Doc. 34 at 4–5 (emphasis added); see United States v.
Love,
C.
Harris’s second argument, and his main one, is that even if the plea colloquy
containing the State’s factual proffer constitutes a Shepard document and was
properly considered by the sentencing court, the recited facts still did not establish
which offense (of the five possibilities) he was convicted of, or, put differently,
whether he pled guilty to reckless or intentional conduct. And if we can’t tell
whether Harris pled guilty to attempted reckless first-degree assault or attempted
intentional first-degree assault, he argues this state conviction cannot serve as a
predicate violent felony under the ACCA because a crime resting upon reckless
intent cannot serve as a violent felony under the ACCA. Harris cites specifically to
United States v. Palomino-Garcia,
Under Alabama law, “[a] person is guilty of an attempt to commit a crime if, with the intent to commit a specific offense, he does any overt act towards the commission of such offense.” Ala. Code § 13A-4-2(a) (emphasis added). Thus, since Harris pled guilty to the crime of attempt, he must have intended to commit a first-degree assault and taken an intentional, overt act towards committing the assault in order to attempt to commit it. See id.
And while Harris urges us that he could have pled guilty to attempted reckless first-degree assault under (a)(3), the Alabama Court of Criminal Appeals has held that one cannot attempt to commit a reckless offense because “‘intentional’ and ‘reckless’ are inconsistent terms.” Stennet v. State, 564 So. 2d 95, 96 (Ala. Crim. App. 1990). In Stennet, Alabama’s Court of Criminal Appeals considered whether a trial court erred in instructing the jury on the offense of attempted manslaughter. See id. at 95. Alabama law defined manslaughter as “recklessly caus[ing] the death of another person.” Id. at 95 (citing Ala. Code § 13A-6-3). To commit attempted manslaughter, then, a person “must intend to recklessly cause the death of another” -- a logical impossibility. Id. at 96. Where a crime “by definition may be committed recklessly or negligently but not intentionally, . . . it is impossible to conceive of an attempt.” Id. at 96 (quotation omitted). Thus, for instance, whenever a defendant attempts to cause the death of another person, the defendant is guilty of attempted murder, not attempted manslaughter. Id. at 96. Because it is legally impossible to intend reckless conduct, the court concluded that attempted manslaughter is not an offense under Alabama law. See id. at 96–97.
Similarly, in Minshew v. State,
that “[a] person commits the crime of reckless endangerment if he recklessly
engages in conduct which creates a substantial risk of serious physical injury to
another person.” Id. (quoting Ala. Code § 13A-6-24(a)). The court explained that
attempted reckless endangerment was “legally impossible,” since “the offense of
reckless endangerment involves recklessness and an attempt as defined by § 13A–
4–2 involves intent.” Id. Again, the court explained that “‘[i]ntentional’ and
‘reckless’ are inconsistent terms.” Id. (quoting Stennet,
Harris points, nevertheless, to two cases in which he says Alabama defendants were convicted of attempted first-degree assault where they acted recklessly and without specific intent. We are unpersuaded. For starters, neither decision actually addressed this discrete legal question. In Weeks v. State, 257 So. 3d 894 (Ala. Crim. App. 2018), the court expressly stated that the only issue on appeal was the defendant’s competency to stand trial; it said nothing at all about the defendant’s specific intent to commit the attempted first-degree assault crime. Id. at 896 (“Resolution of this appeal requires us to address only Weeks’s argument that the circuit court erred in failing to order an evaluation of his competency to stand trial.”). The brief recitation of facts at the outset of the opinion could be read to suggest that his conduct was reckless -- the defendant had struck a police officer’s vehicle during a chase after the officers attempted to box him in -- but it is not at all clear from the limited discussion of the facts that he did not attempt to intentionally assault the officer. Regardless, the issue of whether the defendant had the requisite intent to commit attempted first-degree assault was not an issue on appeal.
Harris also relies on an opinion dissenting from the Alabama Supreme Court’s per curiam order quashing a writ of certiorari. See Ex parte Hollander, 164 So. 3d 1123, 1123 (Ala. 2014) (Moore, C.J., dissenting). A dissenting opinion is not, of course, a binding exposition of state law. And, even if the dissenting Hollander opinion were governing law in Alabama, the only issues actually before the Alabama Supreme Court were whether counsel had ineffectively advised the defendant to plead guilty and ineffectively failed to obtain and review a piece of evidence. See id. at 1127. The court was not asked to decide whether attempted reckless assault stated an offense under Alabama law, and the dissenting opinion -- like the court’s opinion in Weeks -- does not come close to discussing that issue, beyond briefly stating the facts underlying the conviction. See generally id. at 1123–30. Neither case contradicts the repeated holdings of Alabama’s courts that one cannot attempt to commit an offense recklessly; rather, specific intent is a necessary element of any attempt to commit a crime.
Thus, Alabama law dictates that Harris could not have pled guilty to
attempting to commit a form of unintentional first-degree assault. That means that
he could not have been convicted under § 13A-6-20(a)(3) for “recklessly
engag[ing] in conduct which creates a grave risk of death to another person,” or
under (a)(4) for causing serious injury in the course of another dangerous felony.
See Knotts v. State,
Only two possibilities, therefore, remain: Harris either pled to the offense set out in (a)(1) or (a)(2), the only two subsections that set out offenses requiring intentional conduct. See Ala. Code §§ 13A-4-2(a), 13A-6-20(a)(1)–(2). We need not go further and determine whether the State’s factual basis in the plea colloquy for Harris’s conviction illuminated whether he pled guilty to either (a)(1) or (a)(2) in particular.
First off, we’ve already held in Welch that a conviction for completed first-
degree assault under § 13A-6-20(a)(1) is a violent felony under the ACCA’s
elements clause.
Harris argues, albeit only for the first time in his reply brief, that we should
not follow Hylor’s holding because in that case we relied heavily upon St. Hubert,
which he asserts was based upon flawed reasoning. This argument fails for two
independent reasons. First, we “decline[] to consider issues raised for the first time
in an appellant’s reply brief.” See United States v. Levy,
Moreover, we now hold, as a matter of first impression in this Circuit, that a conviction for first-degree assault under § 13A-6-20(a)(2) also is a violent felony under the ACCA’s elements clause. Again, a person commits first-degree assault under (a)(2) when, “[w]ith intent to disfigure another person seriously and permanently, or to destroy, amputate, or disable permanently a member or organ of the body of another person, he or she causes such an injury to any person.” Ala. Code § 13A-6-20(a)(2). Alabama’s pattern jury instructions on (a)(2) provide that, in order to convict a defendant under this subsection of the law, the State must prove beyond a reasonable doubt the following elements:
(1) The defendant disfigured another person . . . seriously and permanently, or destroyed, amputated, or disabled permanently a member or organ of another person . . .; (AND)
(2) The defendant did so intentionally.
Ala. Pattern Jury Instr. - Crim. Proceedings § 13A-6-20(a)(2).
This Court sitting en banc recently held that a similar offense -- felony
battery as set forth in Florida Statutes § 784.041 -- is a crime of violence under the
elements clause of § 2L1.2 of the Sentencing Guidelines. United States v. Vail-
Bailon,
The same analysis applies to § 13A-6-20(a)(2) too. Here, the language
crafted by the Alabama legislature in § 13A-6-20(a)(2) specifically requires that
the defendant cause physical pain or injury to a victim by either seriously and
permanently disfiguring the victim or by permanently destroying, amputating, or
disabling a member or organ of the victim’s body. See Ala. Code
§ 13A-6-20(a)(2); Hylor,
Because § 13A-6-20(a)(2) “certainly appear[s] to” call for “violent force that is
capable of causing physical pain or injury to another,” we hold that first-degree
assault, and, based on Hylor, attempted first-degree assault, under Alabama Code
§ 13A-6-20(a)(2) qualify as ACCA violent felonies. See Ala. Code
§ 13A-6-20(a)(2); Hylor,
AFFIRMED .
Notes
[*] The Honorable Paul J. Kelly, Jr., United States Circuit Judge for the Tenth Circuit, sitting by designation.
[1] Shepard v. United States,
[2] Although the Alabama Supreme Court has published no cases on this issue, it has denied
certiorari in several cases standing for the proposition that attempt to commit a reckless offense is
a legal impossibility. See, e.g., Minshew,
[3] While the St. Hubert opinion cited to in Hylor was subsequently vacated by the panel and
superseded by the panel with a new opinion, the superseding opinion expressly re-adopted
portions of the section in which the quoted language appears and relied upon that same language.
See St. Hubert,
