US v. Rico BrownUS v. Rico Brown
Argued: March 10, 2023 Decided: May 3, 2023
Before NIEMEYER and HEYTENS, Circuit Judges, and FLOYD, Senior Circuit Judge.
Affirmed by published opinion. Judge Niemeyer wrote the opinion, in which Senior Judge Floyd joined. Judge Heytens wrote a separate opinion concurring in the judgment.
ARGUED: Joshua B. Carpenter, FEDERAL DEFENDERS OF WESTERN NORTH CAROLINA, INC., Asheville, North Carolina, for Appellant. Anthony Joseph Enright, OFFICE OF THE UNITED STATES ATTORNEY, Charlotte, North Carolina, for Appellee. ON BRIEF: John G. Baker, Federal Public Defender, FEDERAL DEFENDERS OF WESTERN NORTH CAROLINA, INC., Charlotte, North Carolina, for Appellant. Dena J. King, United States Attorney, OFFICE OF THE UNITED STATES ATTORNEY, Charlotte, North Carolina, for Appellee.
After pleading guilty to possession of a firearm by a felon, in violation of
Even though we held in United States v. Thompson that district courts may, consistent with the Constitution, use information “found in conclusive judicial records” to determine at sentencing that the defendant has three qualifying convictions for offenses committed on different occasions, thus triggering the ACCA enhancement, 421 F.3d 278, 285–86 (4th Cir. 2005), Brown contends that in light of the Supreme Court‘s intervening decisions in Descamps v. United States, 570 U.S. 254 (2013), Mathis v. United States, 579 U.S. 500 (2016), and Wooden v. United States, 142 S. Ct. 1063 (2022), Thompson is no longer good law. He maintains that, in light of these Supreme Court cases and the Fifth and Sixth Amendments, ACCA‘s requirement that the defendant have committed the prior offenses on different occasions must be alleged in the indictment and found by a jury or admitted by the defendant in his guilty plea because that fact increases the penalty for his crime.
I
On September 23, 2019, in Union County, North Carolina, Rico Brown sold a handgun to an undercover law enforcement officer. He was thereafter indicted for possession of a firearm while knowing that he had been convicted of a felony, in violation of
The presentence report prepared for sentencing concluded that Brown was indeed subject to ACCA‘s enhanced penalties based on three prior North Carolina convictions: (1) a 2008 conviction for robbery with a dangerous weapon, committed on July 14, 2007; (2) a second 2008 conviction for robbery with a dangerous weapon, committed on September 24, 2007; and (3) a 2013 conviction for common law robbery, committed on October 8, 2012. The proceedings following the two 2007 robbery charges were consolidated, and Brown was convicted of both robberies and sentenced to 46 to 65 months’ imprisonment on May 13, 2008.
At the sentencing hearing, the district court adopted the presentence report and concluded that each of Brown‘s North Carolina robbery convictions qualified as a conviction for a violent felony under ACCA and that, based on the information from state court records included in the presentence report, the three robberies were committed on different occasions. The court therefore sentenced Brown under ACCA to the mandatory minimum sentence of 15 years’ imprisonment.
At his sentencing hearing on May 13, 2021, Brown reiterated the same argument while again acknowledging to the district court that “it does appear that . . . current Fourth Circuit precedent forecloses [it].” He noted, however, that there was “a current Supreme Court case pending” — namely, Wooden v. United States — that might show “that Thompson [was] decided wrongly.” He also continued to press his earlier arguments made under Descamps and Mathis. The district court overruled Brown‘s objection, relying on “the existing authority of the Fourth Circuit,” i.e., Thompson.
II
ACCA provides for enhanced penalties for
To avoid the consequence of Thompson‘s binding authority, Brown argues that it has been “fatally undermined” by two different strands of “intervening Supreme Court precedent.” First, he contends that in reaching its holding, the Thompson court construed the scope of the Almendarez-Torres exception in a manner inconsistent with the Supreme Court‘s subsequent reasoning in Descamps and Mathis. Second, he contends that “the Thompson majority relied on an interpretation of the different-occasions standard that is inconsistent with Wooden.” “Taken together,” he maintains, Descamps and Mathis, combined with Wooden, “dictate that the ACCA enhancement creates an aggravated felon-in-possession offense” and that the Constitution requires that the “different-occasion element” of that aggravated offense “be charged in an indictment and either admitted by the defendant as part of a guilty plea or proven to a jury beyond a reasonable doubt at trial.”
The government initially argued that “[t]he district court properly applied the Armed Career Criminal Act without requiring an allegation in the indictment or a finding by a jury that Brown committed his predicate offenses on different occasions.” Subsequently, however, the government advised us that, in light of Wooden, “the Solicitor General has determined that a jury must find, or a defendant must admit, that a defendant‘s predicates under the Armed Career Criminal Act were committed on occasions different from one another.” As it stands, therefore, the government has changed its position and now agrees
While this is unusual, it does not follow that we are required to accede to the parties’ view of such an important issue. This is especially so when we, sitting as a three-judge panel, may not be permitted to reach that conclusion given our precedents on this issue. See McMellon v. United States, 387 F.3d 329, 332–33 (4th Cir. 2004) (en banc) (recognizing that “one panel cannot overrule a decision issued by another panel” but that one panel may conclude that the prior decision is no longer binding because it “has been overruled by an intervening opinion from this court sitting en banc or the Supreme Court“).
Thus, the precise question before us is the relatively narrow one of whether our precedent holding that the district court should determine at sentencing whether ACCA‘s recidivism enhancement is applicable — including whether the defendant committed the three predicate offenses “on occasions different from one another” — is no longer binding in light of intervening Supreme Court decisions.
Beginning with some general principles, we recognize that in a federal prosecution, the Fifth and Sixth Amendments require that the government allege in the indictment all the elements of the crime charged and, unless the defendant waives his right to a jury trial and pleads guilty, prove each element to the jury beyond a reasonable doubt. See Jones v. United States, 526 U.S. 227, 232 (1999); see also
In Almendarez-Torres, the defendant was given an enhanced penalty for an immigration offense, as authorized by
The Almendarez-Torres Court noted further that, “[c]onsistent with [the] tradition” of treating recidivism as a sentencing matter for the court, it had recognized “long ago” that the government “need not allege a defendant‘s prior conviction in the indictment or information that alleges the elements of an underlying crime.” 523 U.S. at 243–44 (emphasis omitted) (citing Graham, 224 U.S. at 624; Oyler v. Boles, 368 U.S. 448, 452 (1962); Parke v. Raley, 506 U.S. 20, 27 (1992)). Thus, the Court explained, “to hold that
Almendarez-Torres thus stands for the proposition that facts showing recidivism are distinct from other facts that alter the statutory sentencing range for the crime charged and that the Constitution does not require that facts demonstrating recidivism be treated as elements of a distinct, aggravated offense. Indeed, the Supreme Court itself confirmed this understanding of the scope of its Almendarez-Torres’ holding in Jones, stating that its “precise holding” in that case was that “recidivism increasing the maximum penalty need not be . . . charged” in the indictment and that this “holding . . . rested in substantial part on the tradition of regarding recidivism as a sentencing factor, not as an element.” Jones, 526 U.S. at 248–49.
Thereafter, in Apprendi, Almendarez-Torres was again left undisturbed. To be sure, the Apprendi Court observed that “it [was] arguable that Almendarez-Torres was incorrectly decided.” Apprendi, 530 U.S. at 489. Yet, the Apprendi Court nonetheless chose not to “revisit” Almendarez-Torres and instead to “treat the case as a narrow exception to the general rule.” Id. at 490 (emphasis added). It identified two “reasons supporting” its recognition of this recidivism exception. Id. at 496. First, tracking the rationale of Almendarez-Torres itself, the Apprendi Court explained that “[w]hereas
After Apprendi, defendants around the country who had been convicted of
While Brown accepts the continued vitality of the Almendarez-Torres exception insofar as it relates to the mere fact of a prior conviction, he contends that the Almendarez-Torres exception does not reach ACCA‘s second requirement — that the prior convictions be for offenses committed on different occasions. Yet, most, if not all, of the courts of appeals — again including our own — have also considered and rejected that argument. See Thompson, 421 F.3d at 284–87; see also, e.g., Santiago, 268 F.3d at 156–57 (Sotomayor, J.) (“[W]e are satisfied . . . that § 924(e)‘s ‘different occasions’ requirement falls safely within the range of facts traditionally found by judges at sentencing and is sufficiently interwoven with the facts of the prior crimes that Apprendi does not require
Most relevant here, of course, is our Thompson precedent, which clearly rejected the precise argument that Brown raises, relying on the full scope of the Almendarez-Torres exception. While the dissenting judge in Thompson did argue that Almendarez-Torres had been limited to the “fact of a prior conviction” and not to facts “about a prior conviction,” 421 F.3d at 292 (Wilkins, C.J., dissenting), the majority held that in applying ACCA‘s
Brown does indeed acknowledge that Thompson is squarely on point and thus would foreclose his argument if it were still good law. But he maintains that Thompson is no longer controlling because it has been “fatally undermined” by the Supreme Court‘s intervening decisions in Descamps, Mathis, and Wooden. We therefore must turn to those cases to determine whether they overruled or narrowed the Court‘s earlier holding in Almendarez-Torres.
First, the Supreme Court‘s decision in Wooden — the most recent of the cases relied on by Brown and the one prompting the government to reconsider its views on ACCA‘s sentencing enhancement — addresses specifically the meaning of the “different occasions” phrase in ACCA‘s second prong. See 142 S. Ct. at 1068. The Wooden Court concluded that the word “occasion” in ACCA should be given its “ordinary meaning” — “essentially an episode or event,” id. at 1069, and that, as a result, “a range of circumstances may be
Wooden is thus a statutory decision, not a constitutional one, and the Court stated as much, noting that while “[t]wo amici curiae [had] briefed . . . whether the Sixth Amendment requires that a jury, rather than a judge, resolve whether prior crimes occurred on a single occasion,” it was “not address[ing] that issue because Wooden did not raise it.” 142 S. Ct. at 1068 n.3. The Wooden decision not only did not address the constitutional question that is before us — whether ACCA‘s requirement that the defendant have committed his prior crimes on different occasions must be treated as an element of an aggravated offense — it did not even cite Almendarez-Torres, which held that such recidivism provisions are not elements of an aggravated offense, Almendarez-Torres, 523 U.S. at 239–47.
First, neither Descamps nor Mathis considered ACCA‘s “different occasions” phrase. Instead, both addressed ACCA‘s first requirement that the defendant have “three previous convictions . . . for a violent felony or a serious drug offense,”
Brown, however, seizes on limited portions of the Court‘s reasoning in those decisions to argue that they demonstrate that the Court has, by negative inference, narrowed the Almendarez-Torres exception to include only the fact that the defendant was previously convicted of a particular crime and that other facts establishing the defendant‘s recidivism must be alleged in indictments and proved to juries as elements of an aggravated offense.
Specifically, noting that Apprendi had “held that ‘[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt,‘” the Descamps Court observed that because a district “court‘s finding of a predicate offense [under ACCA] indisputably increases the maximum penalty[,] . . . that finding would (at
The
Sixth Amendment contemplates that a jury — not a sentencing court — will find such facts, unanimously and beyond a reasonable doubt. And the only facts the court can be sure the jury so found are those constituting elements of the offense — as distinct from amplifying but legally extraneous circumstances. Similarly, as Shepard indicated, when a defendant pleads guilty to a crime, he waives his right to a jury determination of only that offense’s elements; whatever he says, or fails to say, about superfluous facts cannot license a later sentencing court to impose extra punishment.
Id. at 269–70 (citation omitted).
Mathis subsequently echoed that “serious
This Court has held that only a jury, and not a judge, may find facts that increase a maximum penalty, except for the simple fact of a prior conviction. See Apprendi v. New Jersey, 530 U.S. 466, 490 (2000). That means a judge cannot go beyond identifying the crime of conviction to explore the manner in which the defendant committed that offense. He is prohibited from conducting such an inquiry himself; and so too he is barred from making a disputed determination about ‘what the defendant and state judge must have understood as the factual basis of the prior plea’ or ‘what the jury in a prior trial must have accepted as the theory of the crime.’ He can do no more, consistent with the Sixth Amendment , than determine what crime, with what elements, the defendant was convicted of.
Id. (emphasis added) (citations omitted).
While the Supreme Court’s decisions in Descamps and Mathis were focused on carrying out the restrictions of the categorical approach, their language at times did arguably create some tension with Thompson, where we held that a district court may, consistent with the
Moreover, the same tension suggested as existing between Descamps and Mathis, on the one hand, and Thompson, on the other, would also exist between Descamps and Mathis, on the one hand, and Almendarez-Torres, on the other. In Almendarez-Torres, the Court specifically held that the
At bottom, because
We understand Brown’s argument to be that language in Descamps and Mathis shows that Apprendi had excepted from an indictment and jury only the simple fact of a prior conviction, demonstrating that the Almendarez-Torres exception is more limited than previously understood. But the Court’s analysis in Descamps and Mathis, which did not discuss Almendarez-Torres, was guided by the binary question before the Court in both cases regarding whether the first prong of the
Indeed, against the background of Almendarez-Torres and the rationale for recognizing an exception to Apprendi based on it, Brown’s argument that the exception has been limited to the mere fact of conviction would lead to irrational consequences. To
Moreover, Almendarez-Torres was based on the rationale that “recidivism does not relate to the commission of the [instant] offense, but goes to the punishment only.” 523 U.S. at 244 (cleaned up). And recognizing this, Apprendi explained that the Almendarez-Torres exception was based on facts distinct from the facts of the crime being prosecuted. See Apprendi, 530 U.S. at 488. The Court, in its decisions subsequent to Almendarez-Torres, has not undermined or dismissed the rationale that lies at the heart of Almendarez-Torres. This “distinct nature” of recidivism, which is defined by what the defendant did in the past before the conduct of his charged crime, is a sound reason to conclude — as, indeed, the Supreme Court has held — that the
On a more practical level, and one implicating fundamental fairness, if recidivism were to be understood as an element of an aggravated offense, the result would be that any defendant who exercised his right to a jury trial could face having certain portions of his
Of course, a defendant charged with such an aggravated offense who chose to go to trial might be able to simply stipulate that he had three prior predicate convictions for crimes that occurred on different occasions. See Old Chief v. United States, 519 U.S. 172, 191–92 (1997). But “[e]ven if a defendant’s stipulation were to keep the name and details of the previous offense[s] from the jury, jurors would still learn, from the indictment, the judge, or the prosecutor, that the defendant had committed” three offenses that qualify as violent felonies or serious drug offenses. Almendarez-Torres, 523 U.S. at 235 (citation omitted). And the Supreme Court “has long recognized [that] the introduction of evidence of a defendant’s prior crimes risks significant prejudice” and that “‘evidence of the . . . nature of the prior offense’” only increases that risk. Id. (quoting Old Chief, 519 U.S. at 185). Thus, “[w]hile some defendants might benefit from a requirement that all facts — except the fact of prior conviction, interpreted in the narrowest possible sense — be found by a jury beyond a reasonable doubt, . . . such a requirement is far more likely to prejudice rather than protect defendants,” Santiago, 268 F.3d at 156, a consideration that may well
As it stands for now, we, as a court of appeals, remain bound by Almendarez-Torres, which we do not understand the Supreme Court to have narrowed or modified in the manner suggested by Brown. And the negative inferences that Brown advances based on some language in subsequent cases are for the Supreme Court to draw, not a court of appeals. See, e.g., Agostini v. Felton, 521 U.S. 203, 237 (1997) (“We do not acknowledge, and we do not hold, that other courts should conclude our more recent cases have, by implication, overruled an earlier precedent. We reaffirm that ‘if a precedent of this Court has direct application in a case, yet appears to rest on reasons rejected in some other line of decisions, the Court of Appeals should follow the case which directly controls, leaving to this Court the prerogative of overruling its own decisions’” (emphasis added) (quoting Rodriguez de Quijas v. Shearson/American Express, Inc., 490 U.S. 477, 484 (1989))). Thus, unless and until the Supreme Court expressly overturns or narrows Almendarez-Torres, we conclude that our precedent in Thompson remains good law and that, based on the Almendarez-Torres exception to Apprendi’s general rule, it does not offend the
Accordingly, the judgment of the district court is
I agree this panel may not grant relief, but only because of the “pruden[tial]” rule that “one panel cannot overrule a decision issued by another panel.” McMellon v. United States, 387 F.3d 329, 332, 334 (4th Cir. 2004) (en banc). I thus concur in the judgment.
In the past 20 years, the Supreme Court has incanted the same constitutional rule no fewer than nine times: “Other than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.” Apprendi v. New Jersey, 530 U.S. 466, 490 (2000).*
I see two routes for saying a judge may decide whether a defendant, like Brown, committed previous offenses “on occasions different from one another,”
The first avenue would be concluding the “different occasions” question presents an issue of law rather than one of fact. After all, nothing in the Apprendi line of cases disturbs “the good old rule that on questions of fact it is the province of the jury, [and] on
The second road would be saying Almendarez-Torres v. United States, 523 U.S. 224 (1998), provides a constitutional get-out-of-jail-free card for certain types of judicial factfinding, and the “different occasions” inquiry is one of them. I agree we may not overrule a Supreme Court decision or seek to predict whether the Court will do so. See Agostini v. Felton, 521 U.S. 203, 237 (1997). But Almendarez-Torres is not directly on point because it involved a different statute (the Immigration and Nationality Act) and a different question (whether the defendant in an illegal reentry prosecution was removed “subsequent to a conviction for commission of an aggravated felony”). 523 U.S. at 226 (quoting
What is more, the Supreme Court has repeatedly said the “narrow exception” to Apprendi’s general rule applies only to “the fact of a prior conviction,” Alleyne v. United States, 570 U.S. 99, 111 n.1 (2013), or “the simple fact of a prior conviction,” Mathis, 579 U.S. at 511. But as both the statutory text and Wooden make clear, determining whether Brown’s previous offenses were committed “on occasions different from one another,”
I recognize Almendarez-Torres speaks more broadly about “recidivism” and distinguishes between facts that are “sentencing factors” and those that are “elements” warranting constitutional safeguards. See, e.g., 523 U.S. at 230. But the constitutional rule we must apply comes from Apprendi, not Almendarez-Torres. So we should be guided by the Supreme Court’s repeated counsel about the scope of the “narrow exception” to Apprendi’s general rule (Alleyne, 570 U.S. at 111 n.1) rather than sweeping language and semantic distinctions that have largely been clawed back by later decisions. See, e.g., United States v. Haymond, 139 S. Ct. 2369, 2379 (2019) (noting that, since Apprendi, the Court has “repeatedly rejected efforts to dodge the demands of the
The rub is that most everything I just said has been rejected by previous panels of this Court in cases involving the same statute and the same legal question. See United States v. Span, 789 F.3d 320, 330–32 (4th Cir. 2015); United States v. Thompson, 421 F.3d 278, 284–87 (4th Cir. 2005). Indeed, the heart of my concern—that the
True, this Court’s precedent allows a panel to depart from an earlier decision that has been “overruled . . . by the Supreme Court,” McMellon, 387 F.3d at 334, or which intervening Supreme Court authority renders “no longer tenable,” United States v. Banks, 29 F.4th 168, 178 (4th Cir. 2022). But that is a high standard, and I am not confident it is satisfied here. Yes, the Supreme Court decided two cases bearing on this question—Mathis and Wooden—after this Court reaffirmed its position in United States v. Span, 789 F.3d 320 (4th Cir. 2015). But Mathis largely reiterated the teachings of Descamps v. United States, 570 U.S. 254 (2013), which, this Court concluded, did not warrant revisiting Thompson. See Span, 789 F.3d at 330–32. And Wooden, in turn, announced a case-specific and fact-intensive inquiry for the “different occasions” question not dissimilar to one this Court has applied for more than 25 years. See Thompson, 421 F.3d at 285 (discussing
Concluding the choice to revisit this issue belongs to the en banc Court rather than this panel, I concur in the decision rejecting Brown’s claim.