United States v. Douglas
Opinion
This direct appeal after entry of a guilty plea raises important questions under federal criminal law, particularly whether it is appropriate to use the categorical approach in determining what is a "crime of violence" under
Ishmael Douglas entered a conditional plea of guilty to charges of conspiracy to commit a Hobbs Act robbery, in violation of
After de novo review, we conclude that § 924(c)(3)(B) is not, as Douglas argues, void for vagueness. That is because the statute reasonably allows for a case-specific approach, considering real-world conduct, rather than a categorical approach, and because Douglas's conspiracy to commit a Hobbs Act robbery qualifies as a "crime of violence." We largely agree with the reasoning of the Second Circuit in a similar case,
United States
v.
Barrett
,
I. Background
A. Facts
We describe the background facts of the underlying offense, accepted by both parties, 1 because they are relevant to a case-specific, real-world analysis of a "crime of violence" under § 924(c)(3)(b).
In August 2014, Douglas, along with Kourtney Williams, Victor Lara, Jr., and Heidi Hutchinson, conspired to commit a home invasion robbery in Minot, Maine. Williams, Lara, and Hutchinson began planning the robbery on July 26; Douglas joined the conspiracy on either August 1 or August 2. 2 The conspirators targeted the house of a person they believed to be engaged in illegal drug trafficking, in order to steal Percocet (oxycodone) pills and proceeds from the drug trafficking.
On August 2, Hutchinson drove the other conspirators to the targeted house in Minot and waited outside after dropping them off. Lara, Williams, and Douglas, in partial disguise, entered the house by breaking a glass sliding door. They yelled "get down," "DEA," and "police." Williams carried a pistol; Lara had a crowbar. Douglas found in a bedroom a 9-millimeter Beretta handgun with an extended clip, which he took and brandished during the robbery.
The conspirators found three men inside the house, whom they tried to secure by placing zip ties around the men's hands. 3 But the zip ties were not large enough for the task.
Lara assaulted the three men with a crowbar. First, Lara beat and bloodied one man, striking him in the back, shoulders, and head with a crowbar because he did not look away from the conspirators when told to do so. Lara later beat him again with a crowbar when he said that he did not know the combination to a safe in the house. Lara beat a second man in the back, shoulders, arms, and thighs with a crowbar after he was found hiding under a futon. Lara also beat the third man in the face, legs, and back.
*5 Douglas and Williams also threatened the three men several times with firearms. The conspirators demanded that the men, at gunpoint, give them "the shit" and the combination to the safe. Douglas also forced the first man to the garage, with Douglas holding his hand on the man's neck and pressing a gun to his head. After the man stated that there was nothing in the garage, Lara told Douglas to shoot him, but Douglas did not do so. One of the conspirators also dragged that man down a hallway, holding him in a headlock.
After unsuccessfully searching the house for oxycodone and money, Williams and Lara then forced two of the men outside at gunpoint. The first man-believing he was about to be shot-fled to a neighbor's house. He saw the conspirators run to Hutchinson in the waiting SUV and drive away. The third man escaped and called the police from another neighbor's house.
The conspirators did not find any pills or proceeds. They did steal a video game console, six to eight ounces of marijuana, and the Beretta pistol that Douglas had found, taken, and brandished during the robbery. Police, acting with a search warrant for the house, found the crowbar and zip ties used in the robbery. DEA agents later found items at the house that the conspirators had unsuccessfully sought: 147 fifteen-milligram and 504 thirty-milligram oxycodone pills, 376 grams of powder cocaine, thirty-three pounds of marijuana, and more than $6,000 in cash. Later, pursuant to a warrant, the police searched a storage unit used by the conspirators and found the two guns brandished in the robbery.
B. Procedural History
On April 7, 2015, Douglas was charged with four counts of a seven count indictment: conspiracy to possess with intent to distribute oxycodone, in violation of
Douglas moved to dismiss the portion of Count Six containing "the allegation that he knowingly used, carried, and brandished a firearm during and in relation to a crime of violence." In effect, he claimed that a conspiracy to commit a Hobbs Act robbery does not qualify as a "crime of violence" under
The district court denied this motion in an order issued on April 15, 2016.
Williams
,
Douglas then entered a conditional guilty plea to Counts Two and Six, reserving his right to appeal the district court's denial of the motion to dismiss a portion of Count Six. At the Rule 11 hearing, Douglas affirmed that he understood the basis for the charges. Defense counsel acknowledged *6 that the "admissible part of the evidence would permit a properly instructed jury to determine beyond a reasonable doubt" that Douglas had committed the charged offenses.
The district court sentenced Douglas to 108 months' imprisonment: twenty-four months on Count Two and eighty-four months on Count Six, to be served consecutively. Douglas appealed the denial of his motion to dismiss.
II. Discussion
We address three substantive issues. First, we consider Douglas's assertion that the government has waived its key argument on appeal that the use of the term "crime of violence" in § 924(c)(3)(B) allows for a case-specific rather than a categorical approach, by not asserting it in the district court. 6 The government acknowledges it made a concession, but argues it was not a waiver. Second, we reach the merits of Douglas's argument that, under Johnson and Dimaya , the residual clause at § 924(c)(3)(B) is void for vagueness. The government does not defend the district court's alternate rationale or contend that the conspiracy charged would qualify as a "crime of violence" under the force clause at § 924(c)(3)(A), so we do not address this point. 7 Third, because we find that § 924(c)(3)(B) is not void for vagueness, we consider-by a case-specific, real-world approach-whether Douglas's particular conspiracy to commit a Hobbs Act robbery qualifies as a "crime of violence" under the residual clause. We affirm the denial of the motion to dismiss.
We review de novo the denial of Douglas's motion to dismiss a portion of Count Six of his indictment, as Douglas's appeal challenges the constitutionality of a federal statute.
See, e.g.
,
United States
v.
Hussein
,
A. Concession and Waiver
We turn to the intertwined issues of concession and waiver. At the district court proceedings, which occurred before the Supreme Court's decision in
Dimaya
, the government acknowledged that § 924(c)(3)(B)"involves a risk-based analysis of the 'ordinary case' of a predicate offense." Douglas argues, albeit solely in his reply brief, that the government has therefore waived its argument that § 924(c)(3)(B) allows for a case-specific, real-world approach rather than a categorical approach. The government asserts that its acknowledgement of the categorical approach in the district court should be viewed at most as a concession made for purposes of argument. Admittedly, the line between waiver and concession is a hazy one.
See, e.g.
,
United States
v.
Torres-Rosario
,
The law is clear that a "concession by either party in a criminal case as to a legal conclusion is not binding on an appellate court."
United States
v.
Sanchez-Berrios
,
1) whether the issue is recurrent so that decision would give guidance to the district courts, 2) whether it would be unseemly to accept, even arguendo, a mistaken legal proposition and reason from it to decide the case, and 3) whether the issues are technical and complex and not explored carefully in existing decisions so that adversary briefing would be critical.
United States
v.
Mescual-Cruz
,
First, this is a recurring issue. Section 924(c)(3)(B) has come up numerous times in district courts in this circuit, and in several cases in the past few months alone. 8 A determination on the substantive issues in this appeal would provide guidance to district courts in this unsettled area of law. Second, it would be "unseemly" to hold the government to its earlier position when an intervening Supreme Court case, Dimaya , substantially changed this area of law. Third, the proper approach to the residual clause at § 924(c)(3)(B) is a technical issue that has arisen in current form only after Dimaya , and merits our serious evaluation.
In the interests of completeness, we also address, and reject, Douglas's waiver argument. Waiver raises similar considerations as concession. Waiver is usually "treated as an 'intentional,' and therefore permanent, abandonment of a position."
Torres-Rosario
,
We do not think there was an intentional abandonment by the government, and so there was no waiver.
10
Regardless,
*8
we would in any event choose to reach the issues, and we do not "religiously hold[ ] waiver against the Government" when fairness dictates otherwise.
Dimott
v.
United States
,
Our view is consistent with that of several of our sister circuits. The Second Circuit recently considered the government's changed position regarding a case-specific, real-world approach, and held that the residual clause allowed for this approach.
Barrett
,
B. The Merits of a Case-Specific Approach versus a Categorical Approach to § 924(c)(3)(B)
Douglas asserts that the residual clause at § 924(c)(3)(B) is void for vagueness under the reasoning of Johnson and Dimaya . In relevant part, this clause reads:
(3) For purposes of this subsection the term "crime of violence" means an offense that is a felony and-...
(B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
After laying out pertinent Supreme Court precedent, we consider the text of § 924(c)(3)(B). We find that the text of § 924(c)(3)(B) can and should be reasonably construed as allowing a case-specific approach. We next consider the statute's context. Because § 924(c)(3)(B) requires consideration of a
contemporane
ous
*9
offense rather than a prior conviction, this residual clause does not raise either the practical or the Sixth Amendment right-to-trial concerns that led the Supreme Court to adopt the categorical approach in
Taylor
v.
United States
,
Unlike some other circuits, our circuit has not held definitively that either the categorical or the case-specific approach applies to the residual clause at § 924(c)(3)(B).
12
And so we have no binding precedent. In
Turner
, we held without direct reference to a categorical or case-specific approach that conspiracy to commit a Hobbs Act robbery was a crime of violence under § 924(c)(3)(B).
Turner
,
i. Supreme Court Precedent
The Supreme Court first required that the "categorical approach" be used to make a determination about a prior state conviction in
Taylor
,
In
Johnson
, which overruled
James
, the Supreme Court held that the definition of "violent felony" in the residual clause of ACCA was unconstitutionally vague.
The Court held that "[t]wo features of the residual clause conspire[d] to make it unconstitutionally vague."
Johnson
,
In
Dimaya
, an alien challenged a deportation order based on a state conviction for first-degree burglary, which immigration officials found was a "crime of violence" under the federal criminal code's residual clause at
The Supreme Court determined that the "straightforward application" of
Johnson
dictated the result in
Dimaya
.
The Supreme Court majority in
Dimaya
also referenced the Sixth Amendment right-to-trial concerns that led to the initial adoption of the categorical approach in
Taylor
.
See
Dimaya
,
*11
Importantly, in both
Dimaya
and
Johnson
, the Supreme Court dismissed the notion that uncertainty as to risk evaluation of what constitutes a crime of violence was a problem by itself: "[W]e do not doubt the constitutionality of laws that call for the application of a qualitative standard such as 'substantial risk' to real-world conduct; the law is full of instances where a man's fate depends on his estimating rightly ... some matter of degree[.]"
Dimaya
,
ii. The Text of § 924(c)(3)(B)
Douglas argues that § 924(c)(3)(B)'s text unambiguously requires a categorical, ordinary-case approach. We disagree, and find that statutory language allows for a case-specific approach.
When determining the meaning of a statutory provision that is not defined in the statute, "we look first to its language, giving the words used their ordinary meaning."
Moskal
v.
United States
,
Douglas argues that the "by its nature" language requires a categorical approach. The word "nature" is not defined in the statute. In ordinary use, "nature" means a "normal and characteristic quality,"
Webster's Third New International Dictionary
1507 (2002), or "the basic or inherent features, character, or qualities of something,"
Oxford Dictionary of English
1183 (3d ed. 2010). In the context of applying § 924(c)(3)(B), this "something" clearly must refer to the predicate offense charged. But these straightforward dictionary definitions do not answer the key question here: whether the offense whose "basic or inherent features, character, or qualities" are considered is the
particular
real-world conduct of the predicate offense charged or, instead, an "ordinary," idealized, or generic example of that same offense.
See
Barrett
,
Furthermore, although Douglas does not raise this issue, the government also points out that the term "involves" in the residual
*12
clause is used in several provisions in the Comprehensive Crime Control Act of 1984 that require looking into a defendant's underlying conduct rather than a hypothetical or idealized offense.
See, e.g.
, Pub. L. No. 98-473, § 4243,
Douglas asserts that this textual understanding is foreclosed by the Supreme Court's interpretation of the nearly identically worded provision in Dimaya , where the plurality required a categorical approach. In his reply brief, Douglas argues that Justice Gorsuch, in a concurrence, "acknowledged that the categorical approach was appropriately employed," so, according to Douglas, this approach is therefore required for § 924(c)(3)(B). This is incorrect on both counts.
A four-justice plurality suggested in
Dimaya
that the text of § 16(b) was "[b]est read" as "demand[ing] a categorical approach."
Justice Gorsuch, who concurred and was the narrowest vote in the majority,
proceeded on the premise that the Immigration and Nationality Act, as it incorporates § 16(b) of the criminal code, commands courts to determine the risk of violence attending the ordinary case of conviction for a particular crime ... because no party before us has argued for a different way to read these statutes in combination; because our precedent seemingly requires this approach; and because the government itself has conceded (repeatedly) that the law compels it.
Dimaya
,
*13
Justice Gorsuch then suggested a willingness to consider, "in another case," the textual question of whether "precedent and the proper reading of language" meant that the categorical approach, or another approach, must apply.
When the plurality dismissed the possible application of the case-specific approach to § 16(b), these justices had already stated that taking a case-specific approach would create "Sixth Amendment concerns."
iii. The Context of § 924(c)(3)(B)
We turn now to the context of § 924(c)(3)(B). As a preliminary matter, nothing from Congress suggests a preference for applying the categorical approach to § 924(c)(3)(B). Indeed, this residual clause, in exactly the same language as today, was in place before the Supreme Court applied the categorical approach for the first time in 1990.
The context of § 924(c)(3)(B) clearly distinguishes it from the textually similar provisions at issue in
Dimaya
and
Johnson
. The Supreme Court in
Dimaya
and
Johnson
dealt with statutes requiring judicial consideration of
prior
convictions in subsequent proceedings. In contrast, § 924(c)(3)(B) applies only to a predicate offense of a
pending
§ 924(c)(1)(A) charge, meaning that the predicate offense and the § 924(c)(3)(B) enhancement are considered at the same time. The Supreme Court has not yet applied the categorical approach to a residual clause that "defines a predicate offense for a crime of
pending
prosecution,"
Barrett
,
This is a crucial distinction. At its core, the categorical approach is a thoughtful judicial construct designed for a
particular context
: the judicial consideration, under federal statutes, of prior convictions, often by different tribunals. As discussed, the Supreme Court fashioned and refined the categorical approach both for practical and constitutional reasons that are specific to the consideration of a prior conviction.
See, e.g.
,
Taylor
,
*14
As to practical issues, the situation under § 924(c)(3)(B) is different from one in which a court must consider prior convictions "adjudicated by different courts in proceedings that occurred long before the defendant's [present] sentencing."
United States
v.
Robinson
,
The application of § 924(c)(3)(B) to the real-world conduct described in a pending charge means that the facts concerning the relevant predicate crime (and whether that amounts to a crime of violence) will be in front of a jury, if a case goes to trial, or will be accepted by a defendant like Douglas in a plea agreement.
See
Ovalles
, No. 17-10172,
Douglas argues further that a case-specific approach would be unworkable and, in his words, lead to "absurd results." However, Douglas provides no evidence of such a problem. Courts around the country have succeeded at this task in the sentencing context. Numerous federal criminal laws, like § 924(c)(3)(B), "require gauging the riskiness of conduct in which an individual defendant engages on a particular occasion."
Johnson
,
The Supreme Court has suggested that such a fact-specific approach, "deal[ing] with the actual, not with an imaginary condition other than the facts," can create
more
predictability that less fact-bound inquiries.
Johnson
,
Beyond these practical distinctions, the difference between evaluating a prior conviction and evaluating an alleged predicate crime charged contemporaneously in the same indictment is important with regard to the Sixth Amendment right-to-trial concerns that motivated the categorical approach. In
Dimaya
, a plurality suggested that taking a case-specific approach to § 16(b) would "merely ping-pong us from one constitutional issue to another," because the categorical approach was imposed in part to "avoid[ ] the Sixth Amendment concerns that would arise from sentencing courts' making findings of fact that properly belong to juries."
Dimaya
,
Here, because the residual clause at § 924(c)(3)(B) requires a consideration of a contemporaneous predicate offense rather than a past conviction, the finding of fact would be made by a jury (or stipulated in a plea agreement), thus raising no Sixth Amendment problem.
See
Ovalles
, No. 17-10172,
iv. Constitutional Avoidance
If we were to take a categorical approach to § 924(c)(3)(B), there could be constitutional problems of vagueness after Dimaya , given that this approach would layer the two features at issue in Johnson and Dimaya in the same problematic way. The principle of constitutional avoidance further supports our determination that a case-specific, real-world approach applies to § 924(c)(3)(B).
Constitutional avoidance is an "interpretive tool ... counseling that ambiguous statutory language be construed to avoid serious constitutional doubts."
F.C.C.
v.
Fox Television Stations, Inc.
,
Importantly, a court must start its inquiry with normal analysis: the
*16
canon "comes into play only when, after the application of ordinary textual analysis, the statute is found to be susceptible of more than one construction."
Clark
v.
Martinez
,
As discussed, there is a clearly "plausible" interpretation here that does not raise potential vagueness problems: a case-specific approach, looking at a defendant's actual conduct in determining whether a "crime of violence" has been committed. Taking this approach avoids constitutional problems and, in turn, provides due respect to Congress, in presuming that Congress does not intend to craft unconstitutional laws.
See
Diop
v.
ICE/Homeland Sec.
,
To be clear, we are not creating any new rule of constitutional law here. Nor are we saying that Dimaya compels the result in this case. Instead, we are simply noting that taking the categorical approach to this statute might create constitutional problems. Therefore, interpreting the provision in another plausible way after ordinary textual analysis obviates this issue.
C. Douglas's Conspiracy as a "Crime of Violence" Under § 924(c)(3)(B)
Finally, we turn to whether Douglas's conspiracy-when considering the "real-world conduct",
Johnson
,
To be clear, we do not hold that all conspiracies to commit Hobbs Act robbery would constitute crimes of violence under § 924(c)(3)(B). When applying a case-specific, real-world approach, some such conspiracies would not qualify. In this, we differ from Barrett , which held, as an alternative to its adoption of the case-specific approach, that conspiracy to commit a Hobbs Act robbery is necessarily a crime of violence because "conspiracy to commit a crime of violence is itself a crime of violence." 903 F.3d at 175. And the government says it disagrees with this alternative holding in Barrett .
Here, the district court properly explained the elements of the § 924(c) charge to Douglas. See Fed. R. Crim. P. 11(b)(1)(G) (requiring the district court to determine that "the defendant understands ... the nature of each charge to which the defendant is pleading"). 17 Douglas's conditional plea came after the district court's order, denying his motion to dismiss, expressly determined that his actions constituted a "crime of violence" under § 924(c). Furthermore, the acts that Douglas admitted to in his guilty plea amply demonstrate that he committed a "crime of violence" as defined in the residual clause.
This court has earlier said, without reference to whether a categorical or case-specific approach should be used, that "a Hobbs Act conspiracy is a 'crime of violence' for purposes of Section 924(c)" under the residual clause.
*17
Turner
,
Douglas's conspiracy to commit a Hobbs Act robbery qualifies as a "crime of violence" because "by its nature, [it] involve[d] a substantial risk that physical force against the person or property of another may be used in the course of committing the offense."
III. Conclusion
For the foregoing reasons, we affirm the district court's denial of the motion to dismiss a portion of Count Six and affirm Douglas's conviction under § 924(c)(3)(B).
With one exception, discussed in footnote 2, Douglas accepted the prosecution version of the facts in his brief. He did not object to the facts in the revised Presentence Report.
At his change of plea hearing, Douglas told the district court that he joined the conspiracy as the group was driving to Minot on August 2, rather than the day before as the prosecution claimed. However, mirroring the prosecution's assertion, Douglas's own brief for this court states that he joined the conspiracy on August 1. In any event, the precise date is not relevant to our analysis, because it is settled that Douglas joined the conspiracy before the armed robbery.
The government refers to all victims here as male regardless of gender, and we will do the same.
Some courts instead refer to this clause as the "elements clause."
See, e.g.
,
United States
v.
Armour
,
Some courts instead refer to this clause as the "risk-of-force clause."
See, e.g.
,
United States
v.
St. Hubert
,
As discussed later, a categorical or modified categorical approach considers an "idealized ordinary case" of the crime charged; a case-specific approach considers a defendant's "real-world conduct."
Johnson
,
The government explicitly "does not adopt the district court's holding that conspiracy to commit Hobbs Act robbery constitutes a crime of violence under the force clause.... [T]he Department of Justice's position is that a conspiracy offense does not have 'as an element the use, attempted use, or threatened use of physical force against the person or property of another.' "
At least three district court cases in this circuit have considered § 924(c)(3)(B) in light of the Supreme Court's decision in
Dimaya
.
See
LiCausi
v.
United States
, No. 16-CV-279-JD,
Waiver doctrine can be applied against any party: "in fairness, what is sauce for the defendant's goose is sauce for the government's gander."
United States
v.
Caraballo-Cruz
,
Further, Douglas has likely waived his own argument on the issue of the government's waiver, by not mentioning this somewhere in his primary brief but only in his reply brief. "[A]rguments developed for the first time in a reply brief are waived."
Small Justice LLC
v.
Xcentric Ventures LLC
,
The government's supplemental brief in Barrett made similar arguments to the government's brief here, as did the government's en banc brief in Ovalles .
By contrast, we have held in several cases that a categorical approach properly applies to the
force
clause at § 924(c)(3)(A).
United States
v.
Cruz-Rivera
, No. 16-1321,
It is true that some district courts in our circuit have held, or assumed, that the categorical approach applies.
See, e.g.
,
Rossetti
, No. CR 99-10098-RGS,
The definition at issue in the case was this:
(B) the term "violent felony" means any crime punishable by imprisonment for a term 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.
We are aware that the Supreme Court has granted certiorari, vacated judgment, and remanded for further consideration in light of
Dimaya
in several cases involving convictions under § 924(c)(3)(B).
See
United States
v.
Odum
,
The plurality said nothing about § 924(c)(3)(B) in Dimaya . Nor do we assume that similar text across the United States Code must always be interpreted in exactly the same way: context and commensurate congressional intent matter. There are clearly exceptions to any presumption that Congress uses the same term or language in precisely the same way across different statutes. As will be discussed, the general definition in § 16(b) is contextually distinct from § 924(c)(3)(B).
Even if there were error here, it would surely be harmless based on the facts that Douglas accepted in his plea agreement.
Accord
United States
v.
Taylor
,
Reference
- Full Case Name
- UNITED STATES, Appellee, v. Ishmael DOUGLAS, Defendant, Appellant.
- Cited By
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- Status
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