Matthew Richardson v. United States
Opinion
Petitioner Matthew Richardson appeals the district court's denial of his
I. BACKGROUND
In 2012, after attempting to sell a sawed-off shotgun, Richardson pleaded guilty to possessing a firearm as a felon, in violation of
II. THE APPLICABLE LAW
We review de novo whether Richardson's prior convictions qualify as predicate violent felonies under the ACCA.
United States v. Hockenberry
,
However, not every "burglary" conviction qualifies as a predicate offense under the ACCA. As the Supreme Court explained, only "generic burglary"-defined as "an unlawful or unprivileged entry into, or remaining in, a building or other structure, with intent to commit a crime"-qualifies as a violent felony under the enumerated-crimes clause of the ACCA.
Taylor v. United States
,
Under the categorical approach, we must determine "whether the elements of the crime of conviction sufficiently match the elements of generic burglary."
This task "is straightforward when a statute sets out a single (or 'indivisible') set of elements to define a single crime."
Mathis
,
As
Mathis
explained, "[e]lements are the constituent parts of a crime's legal definition-the things the prosecution must prove to sustain a conviction."
In determining whether statutory alternatives constitute elements or means, [ Mathis ] clarified that sentencing courts should look first to state law, including judicial interpretations of the criminal statute by state courts. Alternatively, the statute itself may provide the answer. A statute might explicitly identify which things must be charged (and so are elements) and which need not be (and so are means). Moreover, if statutory alternatives carry different punishments, then under Apprendi they must be elements. On the other hand, if a statutory list is drafted to offer "illustrative examples," then it includes only a crime's means of commission.
State law can be expected to provide a clear answer to the elements-means dilemma in many cases, but, if it does not, a sentencing court may briefly look to the record of the prior conviction. Sentencing courts encountering this situation may take a "peek" at the record documents for the sole and limited purpose of determining whether the listed items are elements of the offense. Indictments, jury instructions, plea colloquies and plea agreements will often reflect the crime's elements and so can reveal whether a statutory list is of elements or means. If the charging documents reiterate all the terms of the law, then each alternative is only a possible means of commission, not an element that the prosecutor must prove to a jury beyond a reasonable doubt. The same is true if those documents use a single umbrella term like "premises." On the other hand, the record could indicate that the statute contains a list of distinct elements by referencing one alternative term to the exclusion of all others. Only if the record indicates that the listed items are elements, not alternative means, may the sentencing courts examine the Shepard documents to determine whether the crime the defendant was convicted of constituted a generic burglary. The Court cautioned, however, that such record materials will not in every case speak plainly, and if they do not, a sentencing judge will not be able to satisfy Taylor 's demand for certainty when determining whether a defendant was convicted of a generic offense.
United States v. Ritchey
,
If an alternatively phrased statute sets forth alternative
elements
of an offense, the statute is divisible and courts may proceed to apply the "modified categorical" approach to identify which crime of the alternative crimes set forth in the statute was the basis of the defendant's conviction.
Mathis
,
Here, it is undisputed that the Georgia burglary statute at issue 3 criminalizes more conduct than the generic definition of burglary set forth in Taylor because it includes vehicles, railcars, watercraft, and aircraft in its list of locations covered by the statute. Thus, our first task is to determine whether the listed locations are alternative elements or alternative means of fulfilling an element. If the Georgia statute includes alternative locational elements, the statute is divisible and we must apply the modified categorical approach. If the statute contemplates alternative means of fulfilling the locational element, the statute is indivisible and subject only to the categorical analysis.
III. THE ELEVENTH CIRCUIT'S GUNDY DECISION
In
United States v. Gundy
, the Eleventh Circuit applied the principles and tools outlined in
Mathis
to the Georgia burglary statute at issue here and found the statute to be divisible.
Gundy
first found that the Georgia burglary statute is distinguishable from both the Iowa burglary statute found to be indivisible by the Supreme Court in
Mathis
and the Alabama burglary statute, which the Eleventh Circuit had previously found indivisible in
United States v. Howard
,
Having concluded that the statute is divisible, the Gundy court found that the state indictments, which charged the defendant in two prior cases with burglarizing a "dwelling house," and in five cases with burglarizing a "business house," "satisf[ied] Taylor 's demand for certainty that Gundy's convictions were for burglary of a building or other structure, which is generic burglary." Id. at 1170.
Judge Jill Pryor dissented, advancing four arguments. First, she would have relied on a Georgia Court of Appeals case suggesting that the type of location is not an element of Georgia burglary.
Id.
at 1172 (quoting
Lloyd v. State
,
The Eleventh Circuit declined to revisit Gundy en banc. 4
IV. DISCUSSION
Because Georgia law does not clearly answer whether the locations listed in Georgia's alternatively phrased burglary statute are means or elements of the offense, we "peek" at the records of Richardson's prior state convictions, which support the conclusion that the multiple locations listed in the statute are alternative elements, rather than alternative means. We thus conclude that the statute is divisible.
1. Georgia Burglary Statute's Text
The Georgia burglary statute at issue does not set out different punishments for burglarizing different types of structures, so reference to the statutory text to see whether different punishments attach to the different variations provides no help.
Mathis
,
Further, unlike the Iowa burglary statute at issue in
Mathis
and the Tennessee aggravated burglary statute at issue in our decision in
United States v. Stitt
,
2. Georgia Burglary Statute's Structure
According to
Gundy
, the burglary statute creates three distinct and exhaustive categories of locations: "(1) dwelling house, or (2) building, vehicle, railroad car, watercraft, or other such structure designed for use as a dwelling, or (3) any other building, railroad car, aircraft, or any room or any part thereof."
However, Gundy 's conclusion that the statute's structure supports finding that the locations are elements is problematic. First, Gundy 's assertion that the statute has three subsets of different locational elements is not based on any Georgia authority (and our research reveals none). Second, even if Gundy is correct to rely on the disjunctive nature of the statute to divide it into three subsets, as the dissent in Gundy pointed out,
Mathis makes clear that alternative phrasing is a necessary-but by no means sufficient-condition to read a statute as setting out alternative elements. See136 S.Ct. at 2256 ("The first task for a sentencing court faced with an alternatively phrased statute is thus to determine whether its listed items are elements or means."). Mathis then lists two attributes of an alternatively phrased statute that would confirm its divisibility. First, "[i]f statutory alternatives carry different punishments, then under Apprendi they must be elements."Id. Second, "a statute may itself identify which things must be charged (and so are elements) and which need not be (and so are means)."Id. Neither is present in this case, however. Absent these attributes, or something equally compelling, alternate phrasing is neutral with respect to the elements-versus-means inquiry.
Gundy
,
3. Georgia Caselaw
The government argues that the clearest indication that the statute contains a locational element comes from the Georgia Supreme Court in
DeFrancis v. Manning
,
unlawfully without authority and with intent to commit a theft therein entered that certain vehicle, same being a gray Ford truck, being the property of and owned by ..., said truck being located on 10th Avenue West in the City of Cordele, Crisp County, Georgia, at the time of said entry therein by the said accused.
The government reads too much into Manning . Again, we agree with the Gundy dissent:
In [ Manning ], the Georgia Supreme Court upheld a lower court's decision overturning a defendant's conviction for burglarizing a truck.271 S.E.2d at 210 . The appellate court held the conviction was invalid because Georgia law only criminalized entering without authority "any ... vehicle ... designed for use as the dwelling of another,"id. (quoting O.C.G.A. § 26-1601 (1968) ), and "no proof was offered at trial that the truck was 'designed for the use as the dwelling of another.' "Id. For the same reason, the [ Manning ] court held that the indictment was flawed because it failed to allege that the truck was designed as a dwelling. Seeid. This omission was not error because-as the majority incorrectly surmises-Georgia burglary indictments must always include a single type of location. The question in [ Manning ] was not whether the burglary occurred in a truck versus a building, but rather whether the truck met the statute's requirement that it be designed for use as a dwelling. Thus, the indictment in [ Manning ] was flawed because it did not allege a crime at all. In other words, [ Manning ] did not bar a burglary indictment from listing "building, dwelling, truck, or railroad car designed for use as a dwelling." It merely said that an indictment must specify a location that the statute makes it a crime to enter.
Gundy
,
Further, decisions issued after
Manning
reveal that Georgia's appellate courts have not read
Manning
to hold that a specific burglary location is an element of the offense. Notably, three years after
Manning
, the Georgia Court of Appeals held that "there are two essential elements which must be established by the State: 1) lack of authority to enter the dwelling or building; 2) intent to commit a felony or theft."
Lloyd v. State
,
But
Lloyd
too does not resolve the threshold elements/means inquiry. Despite
Lloyd
's statement about the two elements of burglary,
Lloyd
"had nothing to do with the locational element" at issue here,
Gundy
,
Richardson also relies on
Weeks v. State
,
[t]he indictment charged that [the defendant] entered the "dwelling house of another: to wit, Anthony Sexton." The proof at trial, however, showed that the house was under construction. The appellate court agreed that the incomplete building was not a dwelling, but found that "Week's [sic] argument is not a challenge to the sufficiency of the evidence, for the evidence sufficed to show that this was a building under the statute and therefore could be burglarized." In holding that proof that the structure was a "building," which was not the type of structure alleged in the indictment, did not raise a sufficiency argument, the court demonstrated that the type of structure was not an essential element of the offense. The jury need not find a specific type of structure-any structure would suffice. If the type of structure was an essential element of the offense, failure of proof on that issue would have sustained a sufficiency challenge because it would have automatically affected the defendant's substantial rights.
* * *
[ Sanders ] confronted the same issue.... Sanders was charged with entering "the dwelling house of another, to wit: Aaron Fox." The evidence at trial, however, did not establish that the building was a dwelling. Nonetheless, because the evidence was sufficient to find the place entered was a building, the court found that the evidence was sufficient to uphold the burglary conviction. Thus, under Georgia law, the type of structure need not be charged-and if one type of structure was actually charged, proof of a completely different type of structure is sufficient to uphold a finding of guilt-clearly establishing that the type of structure is not an element of the offense.
(Appellant's Br. at 12-13 (internal citations omitted).)
Richardson's assertion that both
Weeks
and
Sanders
"made clear that the type of structure is not an element of burglary" (
Id.
at 12) is unconvincing because neither
Weeks
nor
Sanders
actually held that the specific type of location is not an essential element of burglary. In each case, the defendants merely argued that "the evidence fatally varied from the allegations of the indictment."
Weeks
,
Further, as the
Gundy
majority and the government here point out, the Georgia Court of Appeals has repeatedly held that
"where the defendant is charged with burglary, the indictment must specify the location of the burglary,"
Morris v. State
,
[t]he U.S. Supreme Court has told us that "[a] prosecutor charging a violation of a divisible statute must generally select the relevant element from the list of alternatives." Descamps , 570 U.S. at ----,133 S.Ct. at 2290 . That the Georgia prosecutor must select and identify the locational element of the place burgled-whether the place burgled was a dwelling, building, railroad car, vehicle, or watercraft-is the hallmark of a divisible statute.
the [ Gundy ] majority misapprehends the purpose of requiring the burglary's location to be included in indictments. The majority speculates that the multiple types of locations listed in the Georgia burglary statute must be "why under Georgia law a prosecutor must select, identify, and charge the specific place or location that was burgled." ... This speculation lacks support. Rather, as a case the majority cites makes clear, an indictment must include the location burglarized in order "to give the defendant ample opportunity to prepare a defense." Morris ,303 S.E.2d at 494 . The many indictment cases on which the majority relies never considered whether the types of locations listed in Georgia's burglary statute are alternative elements or means of committing the crime because these cases were concerned only with the need to "inform the accused as to the charges against him so that he may present his defense and not ... be taken by surprise" and to "protect the accused against another prosecution for the same offense." Smarr v. State ,317 Ga. App. 584 ,732 S.E.2d 110 , 115 (2012).
Finally, Richardson relies on Georgia's pattern jury instructions. He argues that because the instructions refer to the burglarized location only as "any building or dwelling" without listing the other locations enumerated in the statute (such as "aircraft"), the instructions support the conclusion that the type of location is not an element of burglary. (Appellant's Br. at 15-16 (citing Ga. Suggested Pattern Jury Instr., Vol. II, Crim. §§ 2.62.10, 2.62.20 [hereinafter Ga. Crim. Jury Instr.] ).) Richardson also contrasts burglary's intent element with the locational list. Because there are two types of intent (to commit theft and to commit a felony), Georgia has two sets of jury instructions for burglary. Richardson thus surmises that the lack of separate instructions as to each location enumerated in the burglary statute indicates that location is not a statutory element.
However, the proposed jury instructions also do not resolve the elements/means inquiry. First, it appears that the phrase "any building or dwelling" was intended only as a placeholder; as the instructions direct, a trial judge should "[c]harge only the appropriate language" from the recommended instruction and "adapt parentheticals to the indictment and evidence." Ga. Crim. Jury Instr., Preamble to § 2.62.10. And the requirement that the instructions be modified to comport with the indictment is well-settled in Georgia.
See, e.g.
,
Childs v. State
,
Second, although the relevant language of the burglary statute did not change from the pre-July-2012 version to the 2012-2017 version, 6 the language of the corresponding jury instructions did. 7 The jury instructions now list in parentheses each location enumerated in the statute. Thus, we would have to conclude that the statute is indivisible under one set of jury instructions (because, as Richardson argues, the instructions include the phrase "any building or dwelling" instead of the full list of locations) but divisible under a later version of jury instructions (because the instructions now include the full list of locations), even though the relevant language in the underlying burglary statute remained unchanged. Thus, Georgia's pattern jury instructions are also of little help.
4. Georgia Law Fails to Provide a Clear Answer
Richardson and the government, as well as the majority and dissent in
Gundy
, present colorable arguments and reasonable inferences. However, neither side has established its position with certainty. Unlike the Iowa burglary statute at issue in
Mathis
, which relied on a clear statement from the Iowa Supreme Court that the premises listed in the statute were "alternative method[s]" of satisfying the locational element,
Mathis
,
Although the parties' arguments do not definitively answer the threshold elements/means inquiry, they do establish that Georgia's burglary statute and the law interpreting it are ambiguous as to whether the different types of listed locations are elements or means of committing the offense. This is not surprising; "the divergence of outcomes after
Mathis
suggests that the 'elements or means' inquiry is not quite as easy as the Supreme Court thought, not the least because state legislatures and state courts do not draft their laws and craft their decisions with this particular distinction in mind."
United States v. Steiner
,
Here, even the most persuasive arguments offered by each side do not "definitively" answer the threshold question.
Mathis
,
Thus, because Georgia law fails to provide a clear answer, a Mathis "peek" at the records of Richardson's three Georgia burglaries is necessary.
5. Mathis "Peek"
As the
Mathis
Court explained, "if state law fails to provide clear answers, federal judges have another place to look: the record of a prior conviction itself."
Suppose, for example, that one count of an indictment and correlative jury instructions charge a defendant with burgling a "building, structure, or vehicle"-thus reiterating all the terms of Iowa's law. That is as clear an indication as any that each alternative is only a possible means of commission, not an element that the prosecutor must prove to a jury beyond a reasonable doubt. So too if those documents use a single umbrella term like "premises": Once again, the record would then reveal what the prosecutor has to (and does not have to) demonstrate to prevail. See Descamps , 570 U.S., at ----,133 S.Ct. at 2290 . Conversely, an indictment and jury instructions could indicate, by referencing one alternative term to the exclusion of all others, that the statute contains a list of elements, each one of which goes toward a separate crime. Of course, such record materials will not in every case speak plainly, and if they do not, a sentencing judge will not be able to satisfy " Taylor 's demand for certainty" when determining whether a defendant was convicted of a generic offense. Shepard ,544 U.S., at 21 ,125 S.Ct. 1254 . But between those documents and state law, that kind of indeterminacy should prove more the exception than the rule.
Mathis
,
Having concluded that Georgia's burglary statute is divisible, we must determine whether Richardson's three prior Georgia burglaries are generic under the ACCA. In doing so, we employ the modified categorical approach. Here, Richardson's state court indictments make clear that his burglary convictions involved three elements: (1) an unlawful entry (2) into a dwelling house or building (3) with intent to commit a crime therein. These elements substantially conform to the generic definition of burglary announced by the Supreme Court.
See
Taylor
,
Therefore, Richardson's prior Georgia burglary convictions at issue qualify as violent felonies under the ACCA's enumerated-crimes clause, and the district court did not err in sentencing Richardson as an armed career criminal.
V. CONCLUSION
We AFFIRM the judgment of the district court.
Richardson committed two of his burglaries in 1999 and one in 2003.
The district court initially refused to grant a certificate of appealability. Upon Richardson's motion, the district court reconsidered its decision and granted his request for a certificate of appealability.
At the time of Richardson's burglary offenses, Georgia's burglary statute provided as follows:
A person commits the offense of burglary when, without authority and with the intent to commit a felony or theft therein, he enters or remains within the dwelling house of another or any building, vehicle, railroad car, watercraft, or other such structure designed for use as the dwelling of another or enters or remains within any other building, railroad car, aircraft, or any room or any part thereof....
The Supreme Court recently denied Gundy's petition for a writ of certiorari.
Gundy v. United States
, --- U.S. ----,
It is also notable that not one of the Georgia cases cited by Richardson holds that an indictment may charge a generic burglary (e.g., unauthorized entry into a "building or structure") but that a jury may instead find a defendant guilty of a non-generic burglary (e.g., unauthorized entry into an aircraft).
Compare
Compare Ga. Crim. Jury Instr. § 2.62.10 with Ga. Crim. Jury Instr. § 2.62.11.
In his dissent in
Mathis
, Justice Breyer criticized the elements/means inquiry, predicting it would "produce a time-consuming legal tangle" and prove to be "not practical" in part because "there are very few States where one can find authoritative judicial opinions that decide the means/element question."
Mathis
,
The first 1999 indictment charged that Richardson "did without authority and with the intent to commit a felony or theft therein enter the dwelling house of another...." (R. 35-1, PID 135.) The second 1999 indictment charged that Richardson "did without authority and with the intent to commit a felony, to wit: theft, therein entered a building, to wit: [a café.]" ( Id. at 139.) The 2003 indictment charged that Richardson "did, without authority and with the intent to commit a theft therein, enter and remain within the dwelling house of another...." ( Id. at 141.)
Richardson's only argument here is that "[a] Mathis 'peek' invites unlawful judicial factfinding" and "invites the very collapse of the distinction between the categorical and modified categorical approach cautioned against in Descamps ." (Reply Br. at 12.) Having engaged in the analysis here, we understand the practical reality of Richardson's argument. Still, that argument demonstrates disagreement with Mathis and the Supreme Court's direction to peek at the records of a defendant's prior convictions in search of clarity. But Mathis is the law.
Reference
- Full Case Name
- Matthew Gary RICHARDSON, Petitioner-Appellant, v. UNITED STATES of America, Respondent-Appellee.
- Cited By
- 11 cases
- Status
- Published