United States v. William RogersUnited States v. William Rogers
Argued: October 25, 2023
Decided and Filed: November 6, 2023
Before: McKEAGUE, READLER, and DAVIS, Circuit Judges.
COUNSEL
ARGUED: Timothy Rodriguez, BRADLEY ARANT BOULT CUMMINGS LLP, Nashville, Tennessee, for Appellant. John Patrick Grant, UNITED STATES ATTORNEY‘S
OPINION
CHAD A. READLER, Circuit Judge. William Rogers has a history of drug offenses. He challenges the way that histоry was treated in calculating his most recent criminal sentence. Six years ago, Rogers was caught in a motel room with methamphetamine. A year later, he was found in possession of the same drug during a traffic stop. For these two incidents, Rogers was indicted for violating Kentucky drug trafficking laws, eventually receiving separate, concurrent sentences for each offense. More recently, Rogers pleaded guilty to possessing methamphetamine with the intent to distribute the drug in violation of federal law. Based on Rogers‘s two prior offenses, the district court classified Rogers as a career offender, which raised his sentencing range and, with it, his ultimate sentence.
Rogers believes that his earlier offenses should be treated as a single prior sentence, rendering the career offender enhancement inapplicable. On this point, all agree that, in the Guidelines context, prior offenses separated by an “intervening arrest” result in distinct sentences for purposes of career offender status. See
I.
In January 2017, officers arrived at a motel to investigate a drug trafficking tip. They discovered William Rogers sitting in one of the rooms with the door open. The room reeked of marijuana. Upon request, Rogers surrendered to the officers a small bag containing various drugs, including methamphetamine. Rogers was later taken into custody.
But he did not remain so confined. Under Kentucky law, a defendant in custody for “longer than 60 days” “without being indicted” can be released. See
Here, we take note of a feature in Kentucky law: a failure to indict does not “prevent any charge against such defendant from being submitted to another grand jury.” See
Fast forward a year. Officers once again found Rogers in possession of methamphetamine, which Rogers admitted he was attempting to sell. This time, the incident caught the attention of federal authorities. Following a federal indictment, Rogers pleaded guilty to possessing with the intent to distribute methamphetamine in violation of
Rogers objected to the enhancement. To his mind, the two drug offenses did not count as distinct prior felony convictions for enhancement purposes because they were not “separated by an intervening arrest,” an express requirement in the Guidelines. See
II.
Rogers renews his contention that his two state drug offenses should not have triggered the career offender designation. Whether an offense counts as a prior conviction for determining career offender status under
A. At bottom, Rogers‘s case centers on two terms of art used in the Guidelines. One is “prior sentence of imprisonment.” The other is “intervening arrest.” These terms operate in tandem.
Begin with some fundamentals of the Guidelines. A defendant‘s criminal history category (which, together with the defendant‘s underlying offense level, defines the appliсable Guidelines range) turns in part on whether the defendant has had a “prior sentence of imprisonment.” See
A nuance in the Guidelines’ terminology arises here. For a “prior sentence of imprisonment” to count for purposes of the career offender enhancement, the sentence must be tied to a “prior felony conviction[].”
Having prompted the question, the Guidelines give us the answer, at least in part. They explain that “[p]rior sentences always are counted separately if the sentences were imposed for offenses that were separated by an intervening arrest.” Id.
That takes us to the issue at the heart of this case: what counts as an “arrest” for purposes of determining a separate prior sentence under
1. The ordinary meaning of “arrest,” however, is not intuitive. See Joshua Dressler et al., Understanding Criminal Procedure § 9.01 (7th ed. 2020) (“The term ‘arrest’ is often used . . . but is rarely defined.“); Charles H. Whitebread & Christopher Slobogin, Criminal Procedure § 3.02, p. 74 (3d ed. 1993) (“Determining whether a given detention is an arrest can often be a difficult endeavor.“). The word derives from the middle-French word arreter, meaning to “stop or stay.” Legrand v. Bedinger, 20 Ky. 539, 540 (1827); see also 1 Clarence Alexander, The Law of Arrest in Criminal and Other Proceedings § 45 (1949). In turn, the common law understood an arrest as the “mere grasping or application of physical force with lawful authority.” California v. Hodari D., 499 U.S. 621, 624 (1991). But see Torres v. Madrid, 141 S. Ct. 989, 1008 (2021) (Gorsuch, J., dissenting) (maintaining that cоmmon law arrest ordinarily required possession of the criminal suspect). In so doing, the common law “distinguished the application of force,” which amounted to an arrest, “from a show of authority,” such as an order or command from law enforcement, which did not. Torres, 141 S. Ct. at 995 (majority opinion).
Informed by the criminal procedure revolution of the mid-20th century, the modern understanding of the term “arrest” has taken on a narrower meaning, one that requires more than a temporary use of force on an individual. Today‘s inquiry instead centers on whether an individual has been taken into custody by police during a criminal investigation. See 2 Wayne R. LaFave et al., Criminal Procedure § 3.5(a) (4th ed. 2015). Under this new paradigm, a routine traffic stop is considered a seizure, which implicates the Fourth Amendment to some degree, but not an arrest, which would authorize an officer to, among other things, conduct a full search of a stopped car. See Knowles v. Iowa, 525 U.S. 113, 114 (1998). Or consider the term‘s meaning for purposes of Miranda. In that setting, a suspect is deemed to be in custody when there is a “formal аrrest or restraint on freedom of movement of the degree associated with a formal arrest,” thereby triggering the suspect‘s Miranda rights. Thompson v. Keohane, 516 U.S. 99, 112 (1995) (quoting California v. Beheler, 463 U.S. 1121, 1125 (1983)); see also United States v. Salvo, 133 F.3d 943, 953 (6th Cir. 1998) (understanding “custody” under Miranda to require formal arrest). In view of this evolving history, modern dictionaries often include some variation on both the common law and more contemporary understandings when defining “arrest.” See, e.g., Arrest, Black‘s Law Dictionary (11th ed. 2019) (defining arrest as either “[a] seizure or forcible restraint, esp. by legal authority” or “[t]he taking or keeping of a person in custody by legal authority“); Arrest, Ballentine‘s Law Dictionary (3d ed. 2010) (defining аrrest as “taking, seizing or detaining” accomplished by “touching or putting hands on,” or “any act that indicates an intention to take . . . into custody” or “consent“).
2. This varied background has produced varied treatment in the circuits over the meaning of the Guidelines phrase “intervening arrest.” Start with the Seventh Circuit‘s decision in United States v. Morgan, 354 F.3d 621, 624 (7th Cir. 2003). Adopting a broad view of what constitutes an arrest, the Seventh Circuit held that a traffic stop in which a police officer issued the defendant a citation amounted tо an “arrest.” Id. It was of no moment that the officer merely stopped Morgan and did not “escort” him to jail; a “traffic stop,” our sister court reasoned, “is an ‘arrest’ in federal parlance.” Id. at 623-24. And that “arrest,” in turn, was treated as an intervening one, meaning the defendant‘s subsequent, separate arrest counted as a second prior offense under
Contrast that holding with one from the Ninth Circuit, United States v. Leal-Felix, 665 F.3d 1037, 1038-39 (9th Cir. 2011) (en banc). Presented with a fact pattern nearly identical to Morgan—two offenses separated by a traffic stop—the Ninth Circuit reached a different conclusion: an arrest requires an individual to be formally arrested, meaning a routine traffic stop in which a citation is issued is insufficient. Id.; see also id. at 1041 (understanding a formal arrest to be indicated by “informing the suspect that he is under arrest, transporting the suspect to the police station, and/or booking the suspect into jail.“) In the years that followed, two other circuits have taken the Ninth Circuit‘s side in some fashion. See United States v. Wright, 862 F.3d 1265, 1281-83 (11th Cir. 2017); United States v. Ley, 876 F.3d 103, 107 (3d Cir. 2017); see also United States v. Powell, 798 F.3d 431, 440 (6th Cir. 2015) (noting in dicta that the Ninth Circuit‘s approach was “more persuasive“).
B. So how should we construe an arrest under the Guidelines provision at issue? Text, context, and precedent together confirm that, for purposes of
These conclusions are consistent with the ways in which the term “arrest” is used in everyday parlance. A look at the most widely used corpus of English—the Corpus of Contemporary American English—confirms that society most often associatеs an “arrest” with other terms reflective of a formal or custodial arrest. See Fulkerson v. Unum Life Ins. Co. of Am., 36 F.4th 678, 682-83 (6th Cir. 2022) (recognizing that a “corpus resource can foster a more rigorous analysis of a term‘s ordinary meaning” than dictionaries). Consider the following examples:
- arrested and charged
- arrested on suspicion of
- arrested in connection with
- arrest on charges of
- arrested for the murder
- arrested and convicted of
- arrested for possession of
- arrested and taken to
- arrested and accused of
- arrested and charged in
See Brigham Young Univ., Corpus of Contemporary American English, http://corpus.byu.edu/coca (examining the top 10 “cluster” results for “arrest“). Exemplifying the point is Judge McKeown‘s concurring opinion in Leal-Felix. 665 F.3d at 1045. Canvassing a host of instances where “prior аrrests” are required to be disclosed—from government job postings and college applications to general background checks and adoption papers—Judge McKeown persuasively observed that to think these disclosure requirements encompass a prior traffic stop would defy “our common experience.” Id. After all, “an average citizen—with or without a law degree—would not believe he had been arrested if pulled over, briefly detained and issued a traffic ticket.” Id.
And then consider context. The term “intervening arrest” informs the term “prior sentence of imprisonment,” on which the computation of a defendant‘s criminal history (and the Guidelines’ consideration of recidivism) hinges. See
Decisions in this circuit interpreting
C. Reading “intervening arrest” to mean (1) a custodial arrest (2) that occurs at some point before the commission of a second offense all but answers the issue in this appеal. Recall Rogers‘s criminal history. Having been caught in January 2017 possessing methamphetamine in a hotel room, Rogers was placed in police custody and held for an indefinite period (perhaps more than 60 days, see
Rogers resists this conclusion. He begins by turning our attention away from the “intervening arrest” language to the fact that the Guidelines uses the term “offense” as the starting point for determining criminal history. But this misses the point. All agree that Rogers committed both the motel and the traffic stop offenses. Today‘s question is how to count the sentences that resulted from those offenses, when those sentences were issued on the same day. Section
Rogers next maintains that, for purposes of
Rogers‘s position also minimizes the Guidelines’ intervening arrest rule to just one purpose: to put a defendant on adequate notice that he may be subject to heightened penalties for his criminal history. But just as legislation is the “art of compromise,” with “no statute yet known ‘pursu[ing] its stated purpose at all costs,‘” Henson v. Santander Consumer USA Inc., 582 U.S. 79, 89 (2017) (quoting Rodriguez v. United States, 480 U.S. 522, 525-26 (1987)), so too with the Guidelines, see Stephen Breyer, The Federal Sentencing Guidelines and the Key Compromises Upon Which They Rest, 17 Hofstra L. Rev. 1, 2 (1988). And, as discussed, the Guidelines’ text, by delineating offenses based on an “intervening arrest,” opts for a middle ground between two poles: no notice of the offense to the defendant on the one hand (e.g., counting from the time of the offense or from a traffic stop), and very robust notice on the other (e.g., counting from the indictment, conviction, or sentencing). So even were we to agree with Rogers‘s policy outlook, “[o]ur task is to apply the text, not to improve upon it.” Pavelic & LeFlore v. Marvel Ent. Grp., 493 U.S. 120, 126 (1989). His arguments may find a better home with the Sentencing Commission or Congress.
Rogers also raises federalism-based concerns. To his mind, allowing Kentucky offenders to be indicted after charges initially were not pursued is inconsistent with the practice in jurisdictions with stricter speedy trial laws, highlighting the notice issues inherent in Kentucky‘s approach. Perhaps Rogers‘s critique is warranted. But like his other policy arguments, Rogers‘s federalism-based interpretation finds no place in the text of the Guidelines. And short of cases raising constitutional concerns, we do not use the “federalism-related consequences of” a law‘s plain meaning, as important as they may be, to “reason[] backwards” to alter the law‘s otherwise clear text. Bond v. United States, 572 U.S. 844, 870 (2014) (Scalia, J., concurring). Nor, in any event, do we see any federalism concerns at play here. The career-offender provision is based on a defendant‘s underlying offenses. Whether a particular conviction took longer to materialize in a particular state does not create “unwarranted sentence disparities among defendants with similar records” when the records of offense remain similar.
In Rogers‘s reply brief, he suggests a variation on his proposed rule—that a “defendant is not ‘arrest[ed]’ without a reasonably timed indictment providing the defendant notice that he is going to be held
At oral argument, Rogers emphasized that we should interpret “arrest” in line with the Speedy Trial Act. In that context, courts have held that an individual who is “promptly released from federal custody without the Government filing formal charges” is not deemed to be arrested within the meaning of
As an interpretive rule of last resort, see Biden v. Nebraska, 143 S. Ct. 2355, 2376 (2023) (Barrett, J., concurring), Rogers urges us to apply the rule of lenity to adopt his favored interpretation of the intervening arrest rule. In praсtice, we deploy the rule only when, “after seizing everything from which aid can be derived,” there remains “grievous ambiguity.” Pugin v. Garland, 143 S. Ct. 1833, 1843 (2023) (citations omitted). And there is no ambiguity at play here, let alone ambiguity at a level that leaves grave doubt over the term‘s meaning. Even among the circuits that have departed from the common law understanding of an intervening arrest, each has done so understanding that the Guidelines’ text plainly speaks to custodial arrests. See Leal-Felix, 665 F.3d at 1038-39 (majority opinion); Wright, 862 F.3d at 1281-83; Ley, 876 F.3d at 107-09. As the traditional tools of statutory interpretation do not leave us guessing as to the meaning of intervening arrest and its application to Rogers, the rule of lenity is a poor fit here. See Shular v. United States, 140 S. Ct. 779, 787 (2020).
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We affirm the judgment of the district court.
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