United States v. Gonzales
Opinion
Mr. James Gonzales pleaded guilty to possessing a firearm after a felony conviction.
See
1. While fleeing from Albuquerque police officers, Mr. Gonzales pulls a firearm and drops it.
The sentencing issue springs from a 2018 confrontation between Mr. Gonzales and Albuquerque police officers. While trying to arrest Mr. Gonzales on outstanding warrants, the police officers conducted a traffic stop. After the cars came to a stop, the officers approached and Mr. Gonzales ran away.
As Detective Eric Endzel closed in, Mr. Gonzales lifted up his shirt and pulled a gun. According to Detective Endzel, Mr. Gonzales briefly applied a "firing grip" but then dropped the gun. R. vol. 4, at 19. After dropping the gun, Mr. Gonzales reached forward, but he was unable to grab the gun and it fell to the ground. Detective Endzel believed that Mr. Gonzales was trying to hold onto the gun. Mr. *1221 Gonzales contends that the evidence also supported a finding that he had intentionally discarded the gun.
2. Section 3A1.2(c)(1) requires proof of an intent to instill fear of bodily harm.
The district court ruled that
• Mr. Gonzales had failed to present evidence regarding his intent and
• § 3A1.2(c)(1) had no intent requirement.
This reasoning reflects an erroneous interpretation of § 3A1.2(c)(1).
We engage in de novo review of the district court's interpretation of this guideline provision.
United States v. Robertson
,
A. The Common-Law Definition of Assault
We begin with the language of § 3A1.2(c)(1). It increases a defendant's base-offense level
[i]f, in a manner creating a substantial risk of serious bodily injury, the defendant or a person for whose conduct the defendant is otherwise accountable ... knowing or having reasonable cause to believe that a person was a law enforcement officer, assaulted such officer during the course of the offense or immediate flight therefrom[.]
U.S.S.G. § 3A1.2(c)(1) (emphasis added).
The parties agree that Mr. Gonzales created a substantial risk of serious bodily injury and knew that police officers were trying to arrest him. Thus, Mr. Gonzales's challenge to the § 3A1.2(c)(1) enhancement turns on whether he assaulted a law-enforcement officer.
We interpret guideline provisions in the same manner as statutes and court rules.
United States v. Duran
,
Two forms of assault are recognized under the common law:
1. an attempted battery and
2. the deliberate infliction of a reasonable fear of injury.
United States v. Hampton
,
*1222
Scholars generally describe the second form of assault as requiring the subjective intent to instill fear in another. For example, Professor LaFave defined assault to require "an actual intention to cause apprehension." 2 Wayne R. LaFave,
Substantive Criminal Law
§ 16.3(b) (3d ed. Thomson Reuters 2018) ;
see also
Wayne R. LaFave,
Criminal Law
§ 16.3(b) (5th ed. Thomson Reuters 2010). Like Professor LaFave, John Hawley and Malcolm McGregor stated that an assault is committed when someone intentionally instills fear in another. John G. Hawley & Malcolm McGregor,
The Criminal Law
155-56 (5th ed. Sprague Pub. Co. 1908). And Professor Eisenberg observed that "common law criminal assault required intent to cause fear of imminent bodily harm." Avalana K. Eisenberg,
Criminal Infliction of Emotional Distress
,
Like these scholarly commentaries, courts elsewhere have concluded that common-law assault requires specific intent to instill fear in another. 1 Together, these opinions and scholarly commentary support the existence of a specific-intent requirement for assault.
B. Our Case Law Defining "Assault"
We draw guidance not only from the common law but also from our case law defining the crime of assault. For example, we recognized in
United States v. Lynch
that an "assault" occurs in two circumstances: (1) "when a person commits a voluntary, deliberate act which constitutes an offensive touching" and (2) "when a person intentionally threatens to hurt someone else and has the apparent ability to do so."
The second form of assault is at issue here. Mr. Gonzales's conduct would constitute this form of assault only if he had "intentionally" threatened to hurt one of the officers.
The government contends that a showing of intention is unnecessary under
United States v. Calderon
,
Any willful attempt to (sic) threat to inflict injury upon the person of another, when coupled with an apparent present ability to do so, or any intentional display of force such as would give the victim reason to fear or expect immediate bodily harm, constitutes an assault.
The government misreads
Calderon
. There we merely rejected the defendant's argument that § 351(e) required an attempt to commit a battery. We didn't need to decide whether the display of a weapon (without an intent to instill fear) could constitute an assault under the common law. Indeed, in
Calderon
, the defendant stepped forward, identified himself, threw two eggs at a member of Congress, and announced why he had thrown the eggs.
Unlike the government, the district court didn't rely on
Calderon
. The court instead relied on
United States v. Ford
,
We thus gather little guidance from either Calderon or Ford . But Lynch is instructive, treating a threat to hurt someone as an assault only if the threat is intentional. See pp. 1222-23, above. Lynch thus supports treatment of assault as a specific-intent crime.
C. Other Circuits' Interpretations of § 3A1.2
The government also invokes three opinions (in other circuits) interpreting § 3A1.2(c)(1) or its predecessor: (1)
United States v. Robinson
,
Robinson
applied § 3A1.2(c)(1) without deciding whether the defendant had intended to instill fear of bodily harm.
In
Olson
, the Eighth Circuit didn't have the occasion to address the applicability of an intent requirement under § 3A1.2(c)(1).
Olson
,
Lee
is inconsistent with our precedent. There the First Circuit held that application of the predecessor to § 3A1.2(c)
2
turns on the "mere knowledge of consequences," not on the "purpose to cause fear."
Lee
,
We respectfully disagree with the First Circuit's reasoning. "Assault" either requires intent (to instill fear) or it doesn't. The difficulty of answering this question does not allow us to dispense with the guideline requirement of an assault because the victim was a public official. 3
3. The district court's error was prejudicial.
The government contends that even if it had needed to show a subjective intent to instill fear, we should find this intent. But we are not the factfinder; the district court was, and it made no finding on Mr. Gonzales's intent.
Though the district court didn't make a finding on intent, the court noted that Mr. Gonzales hadn't presented evidence about his intent. But Mr. Gonzales didn't need to present such evidence; the burden of proof fell on the government to trigger the enhancement.
United States v. Campbell
,
4. Because the district court erroneously disregarded Mr. Gonzales's subjective intent, we vacate his sentence and remand for further proceedings.
The district court erred in concluding that subjective intent is immaterial under § 3A1.2(c)(1). To the contrary, the § 3A1.2(c)(1) enhancement would apply only if Mr. Gonzales had the specific intent to put a law-enforcement officer in fear of serious bodily injury.
On that issue, the parties presented different views of the evidence. The government argues that Mr. Gonzales intended to instill fear of bodily harm when he pulled the gun from his holster. Mr. Gonzales responds that the evidence permitted a reasonable inference that he was trying to discard the gun.
Both findings would be reasonable under the evidence. We can't resolve this conflict in the evidence because we aren't a factfinder. The district court is the entity entrusted with factfinding; and on remand, that court should address the factual question of Mr. Gonzales's intent.
See
United States v. Manatau
,
See
United States v. Delis
,
The provision appeared at that time in § 3A1.2(b). U.S.S.G. § 3A1.2 (1999).
The government also argues that we need not follow the common-law definition of assault because the guidelines focus on sentencing rather than criminal liability. But § 3A1.2(c)(1) uses a term widely recognized in criminal law: "assault." This use of criminal-law terminology is common in the guidelines. See, e.g. , U.S.S.G. §§ 2L1.2 cmt. 2, 4B1.2(a)(2).
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff - Appellee, v. James GONZALES, Defendant - Appellant.
- Cited By
- 3 cases
- Status
- Published