United States v. Glover, Fred M.
Opinion
United States Court of Appeals
FOR THE DISTRICT OF COLUMBIA CIRCUIT
Argued November 4, 1997 Decided September 4, 1998
No. 96-3130
United States of America, Appellee v.
Fred M. Glover, Appellant
Appeal from the United States District Court for the District of Columbia (No. 96cr00011-01)
Antoini M. Jones argued the cause for appellant, with whom Joseph L. Gibson, Jr. was on the brief.
Helen M. Bollwerk, Assistant U.S. Attorney, argued the cause for appellee, with whom Mary Lou Leary, U.S. Attor- ney, John R. Fisher, Thomas C. Black, and Richard L.
Edwards, Assistant U.S. Attorneys, were on the brief.
Before: Silberman, Williams and Garland, Circuit Judges.
Opinion for the Court filed by Circuit Judge Garland.
Garland, Circuit Judge: Defendant Fred Glover was con- victed and sentenced on multiple charges of distributing crack cocaine, and of doing so within 1000 feet of a school. Glover claimed at trial that he was merely "play-acting" when he sold crack to a government informant. But he also argued in the alternative that, even if he were guilty of distributing crack, he was "entrapped" by the government into committing the crime. His principal claim on appeal is that the district court erred by failing to give the jury an instruction on his entrap- ment defense. Glover also contends that: there was insuffi- cient evidence for a jury to conclude he distributed drugs within 1000 feet of a school; he was the victim of sentencing entrapment because the government informant caused the drug transactions to occur within 1000 feet of a school; his sentencing pursuant to a statute that classified his prior offenses as felonies violated the Ex Post Facto Clause of the Constitution; and his counsel provided ineffective assistance at trial. For the reasons set forth below, we reject each of these contentions and affirm the judgment of the district court.1 I
In August 1995, Glover was operating a restaurant on Ninth Street, N.W. in Washington, D.C. Stepney Jones came to see Glover at the restaurant. Jones and Glover had played basketball together in the neighborhood in the early 1970s, but they did not know each other well and had not seen each other in years. Glover knew that Jones operated a conve- nience store in northwest Washington, called "the Corner Store." What Glover did not know was that Jones was working as an informant for the Metropolitan Police Depart- ment (MPD) and the Drug Enforcement Agency (DEA).
Id. at 365-66. Glover testified that he agreed to participate in what he believed to be sham drug transactions in order to "impress" Jones' cousin from Detroit. He said Jones always gave him the substance to be exchanged in advance, but outside of the video camera's range. Glover said he did not know what the substance was, but that on one occasion Jones told him it was soap. Glover also said that he always returned the money to Jones after leaving the basement-- with the exception of the final transaction, when the money was found on his person. Glover said he did not know the transactions were being videotaped, but said he believed Jones' cousin was watching them through a crack in the basement wall.
In addition to asserting the "play-acting" defense, Glover also requested that the district court give the jury an entrap- ment instruction, arguing that he was entitled to such an instruction based on his testimony that Jones induced him to participate in the charged conduct. The trial judge denied the request, relying at first on the ground that Glover had not acknowledged that he committed the crime. Id. at 454.
Later, after reviewing this court's decision in United States v. McKinley, 70 F.3d 1307 (D.C. Cir. 1995), the judge rested his denial on the ground that "the factual predicate that would trigger the requirement that such an instruction be given is not present in this case." Tr. at 457. The jury subsequently convicted Glover on all charges and this appeal followed.
II
We review the district court's decision to deny Glover's request for an entrapment instruction de novo. United States v. Layeni, 90 F.3d 514, 517 (D.C. Cir. 1996). In so doing, we must take Glover's "version of the facts as true." McKinley, 70 F.3d at 1310; see United States v. Borum, 584 F.2d 424, 427 (D.C. Cir. 1978). But which version? That he was play-acting? That he never kept any money (except the money the government found on him) and never intended to distribute drugs? Or that he did keep the money and did intend to distribute drugs, but that that intent was formed as the result of government inducement?
In its first decision, the district court essentially assumed the truth of the play-acting version to which Glover testified.
It therefore concluded that since Glover said he had not intended to distribute drugs, he could not have been wrong- fully induced by the government into so doing. That was a reasonable conclusion. Indeed, it could be said that to have taken the other view would have permitted Glover's attorney to argue to the jury as follows: Even if you believe my client lied to you on the stand when he said he was play-acting, you should still find him not guilty if the government wrongfully induced his drug dealing. And "there is respectable authori- ty for concluding that no legitimate end of the criminal justice system is served by requiring a trial court to entertain such tactics, in the form of an entrapment defense which is at odds with the defendant's own testimony." Mathews v. United States, 485 U.S. 58, 71 (1988) (White, J., dissenting).
Respectable as such authority is, however, it was the dissenting rather than majority view in Mathews v. United States. In that case, the Supreme Court began with the premise that defendants are permitted to raise inconsistent defenses, even, the Court said, as inconsistent as arguing in a rape case "that the act did not take place and that the victim consented." Id. at 64 (citing Johnson v. United States, 426 F.2d 651, 656 (D.C. Cir. 1970)). It then concluded that, since inconsistent defenses are permitted, and since "a defendant is entitled to an instruction as to any recognized defense for which there exists" sufficient evidence, 485 U.S. at 63, it followed that "even if the defendant denies one or more elements of the crime, he is entitled to an entrapment instruc- tion whenever there is sufficient evidence from which a reasonable jury could find entrapment," id. at 62.
It could be said that the defendant did not really present inconsistent positions in Mathews. There, the defendant was a Small Business Administration employee who accepted loans from a government contractor who, unbeknownst to him, was cooperating with law enforcement. The government charged that the loans were a gratuity in exchange for an official act. Mathews contended they were personal loans unrelated to any official action. He also contended that the cooperator induced him to accept the loans. If that were all Mathews had argued, the two contentions would not necessar- ily have constituted inconsistent defenses. Rather, they could be regarded as two elements of a single defense of lack of criminal intent: He did not accept the loans in exchange for an official act; instead, the government had tricked him into accepting loans that he thought were unrelated to his work.2 The same would be true here if Glover had argued only that the government had tricked him into distributing what he thought was soap.
But that was not all that either Mathews or Glover con- tended. Mathews wanted both to testify that he had no intent to commit a crime, and to have the jury instructed that even if he did have such an intent (i.e., to take the loan in exchange for an official act), it should still find him not guilty if it found the government had entrapped him. Id. at 65.
Similarly, Glover wanted an instruction that even if the jury found he did intend to distribute crack (rather than soap), it should still acquit if it found the government had wrongfully induced him. Assuming there were sufficient evidence of entrapment, the Supreme Court held that Mathews was entitled to such an instruction. The same must be true for Glover.
Moreover, the necessary corollary of Mathews is that the version of the facts we must take as true for purposes of analyzing the validity of Glover's entrapment defense is the one that supports that defense ("I did it, but I was en- trapped"), and not his alternative claim of innocence ("I did it, but I was play-acting."). That means, for example, that we must assume Glover kept the money he was seen to take on the videotape, and that he knew the substance he gave Jones was crack rather than soap. Otherwise, there would be no could have been overborne." United States v. Kelly, 748 F.2d 691, 698 (D.C. Cir. 1984); see McKinley, 70 F.3d at 1313.
Glover argues that he satisfied the inducement predicate because Jones repeatedly asked him to provide drugs.3 We have held, however, that even repeated government solicita- tions do not establish inducement "unless the requests are coupled with persuasive overtures, or unless there is evidence of reluctance on the defendant's part demonstrating that the repetition of the requests may have moved an otherwise unwilling person to commit a criminal act." McKinley, 70 F.3d at 1312 (internal quotations and citations omitted).
Taking the second caveat first, Glover's best evidence of "reluctance" is his testimony that he initially avoided Jones' pages because he did not want to provide him with narcotics.
Glover only responded, he claims, when Jones entered a phony code into the pager. But even accepting this testimo- ny, it is insufficient evidence of reluctance. As soon as Jones did reach him, Glover made clear he was willing to deal.
That same day, Glover called Jones back to confirm whether he wanted it "hard or soft," and the very next day Glover delivered the crack to Jones' store--on videotape. This ready willingness to supply drugs once Jones contacted him belies Glover's claim that his will was overborne by incessant government overtures. To the contrary, it suggests the kind of "acquiesce[nce] with reasonable readiness" we found insuf- ficient to show inducement in McKinley. 70 F.3d at 1312.
Nor is there evidence of any "persuasive overtures" that go beyond those ordinarily present in a drug transaction. Even if we disregard Glover's testimony that he never took any money from Jones--as Mathews indicates we must--such Baylor, 97 F.3d 542, 546-47 (D.C. Cir. 1996) (where distance from school to building was 534 feet, jury could reasonably conclude additional distance to basement apartment did not exceed 466 feet). Indeed, common sense was not all the jurors had to rely on here. During the trial, the jury saw several videotapes showing both the inside and outside of Jones' store, and also had the benefit of a diagram of the neighborhood that could be used to roughly compare the size of the entire store to the distance between the store and the school. See Gov't Appendix (Vol.I) at 18.
IV
Glover next contends that he was the victim of "sentencing entrapment." He charges that his concurrent sentences un- der the schoolyard statute should be vacated because the government "orchestrated" the crimes to occur within 1000 feet of a school, by luring him to Jones' store to make the drug transactions. Because defendant did not raise this claim below, we review it solely for plain error. See Fed R. Crim.
P. 52(b); United States v. Olano, 507 U.S. 725, 731-32 (1993).
First, we see no evidence of "orchestration" here. As Glover himself testified, he "often went to Jones' store to play numbers [the lottery]," Glover Br. at 17, referring specifically to the period during which Jones asked him for drugs. That alone made the store a logical location for the drug deal. Nor does the government appear to have had much motive to lure Glover to the store to take advantage of enhanced sentences for distributing within 1000 feet of a school. Glover's recidi- vist history generated substantially longer sentences than did the schoolyard provision. See Part V below.
But even if the government had chosen Jones' store to increase Glover's sentencing exposure, that alone would not constitute sentencing entrapment. The usual elements of the entrapment defense--inducement and lack of predisposition-- would still have to be shown. As we have held before, even where government agents insist that cocaine be delivered in the form of crack rather than powder to ensure a stiffer penalty, that does not constitute sentencing entrapment where the defendants "showed no hesitation in committing the crimes for which they were convicted." See United States v. Shepherd, 102 F.3d 558, 566-67 (D.C. Cir. 1996) (quoting United States v. Walls, 70 F.3d 1323, 1328-30 (D.C. Cir. 1995)). There is no reason for the rule to be any different where the issue is the location of the transaction rather than the kind of drug distributed. In this case, Glover readily agreed to the drug transaction, and showed no hesitation about conducting it in Jones' store. That, alone, is "enough to destroy [his] entrapment argument." Walls, 70 F.3d at 1329.
V
Glover also argues that the enhancement of his sentences, based on prior convictions in Maryland and the District of Columbia for heroin possession, violated the Ex Post Facto Clause of the Constitution, art. I, s 9, cl. 3. Glover contends that a 1994 statute impermissibly and retroactively "reclassi- fied" these prior misdemeanors as felonies. We review this legal claim de novo. See United States v. Williams-Davis, 90 F.3d 490, 511 (D.C. Cir. 1996).
At the time Glover committed the heroin offenses, Mary- land and the District of Columbia considered them misde- meanors, even though each carried with it the possibility of imprisonment for more than one year because of Glover's prior criminal history. Moreover, until 1994, they also would have been considered misdemeanors for the purpose of en- hancing a federal sentence. See 21 U.S.C. s 841(b)(1)(A) (1988) (defining "felony drug offense" as an offense "that is a felony under any law of a State ... that prohibits or restricts conduct relating to narcotic drugs...."). But on September 13, 1994, Congress changed the law to define the term "felony drug offense" as "an offense that is punishable by imprison- ment for more than one year under any law of the United States or of a State ... that prohibits or restricts conduct relating to narcotic drugs...." Violent Crime Control and Law Enforcement Act of 1994, Pub. L. No. 103-322, tit. IX, s 90105, 108 Stat. 1987-88, 2151 (codified at 21 U.S.C. s 802(44)).
Title 21 of the U.S. Code establishes different sentences for distributing different amounts of crack cocaine, and provides for enhanced sentences if the distribution occurs "after prior conviction[s] for felony drug offense[s]." 21 U.S.C. s 841(b)(1)(A) & (B). If his prior heroin convictions had not been considered felony drug offenses, Glover would have faced statutory terms of five to forty years imprisonment for the August 23, 1995 sale of five grams or more of crack, and ten years to life for each of the subsequent sales of fifty grams or more. See 21 U.S.C. s 841(b)(1)(B)(iii) & (A)(iii); see also Gov't Br. at 32 n.32. Because the prior convictions were considered "felony drug offenses" under the statute, however, he faced terms of ten years to life for the five-gram charge and mandatory life imprisonment for distributing fifty grams or more. See 21 U.S.C. s 841(b)(1)(B)(iii) & (A)(iii).
The aspect of the Ex Post Facto Clause with the most relevance to Glover's claim is that which bars the government from retroactively "increas[ing] the punishment for criminal acts." California Dep't of Corrections v. Morales, 514 U.S. 499, 504 (1995) (internal quotations and citation omitted); Collins v. Youngblood, 497 U.S. 37, 42-43 (1990). It is well- settled, however, that a sentencing enhancement based on past offenses is not an "additional penalty for the earlier crimes," but rather "a stiffened penalty for the latest crime, which is considered to be an aggravated offense because a repetitive one." Gryger v. Burke, 334 U.S. 728, 732 (1948); see also Nichols v. United States, 511 U.S. 738, 747 (1994) ("Enhancement statutes, whether in the nature of criminal history provisions ... or recidivist statutes ... do not change the penalty imposed for the earlier conviction."). For this reason, the circuits uniformly have rejected similar Ex Post Facto attacks on other repeat offender statutes. See United States v. Cabrera-Sosa, 81 F.3d 998, 1001-02 (10th Cir. 1996); United States v. Farmer, 73 F.3d 836, 841 (8th Cir. 1996); United States v. Presley, 52 F.3d 64, 68 (4th Cir. 1995); United States v. McCalla, 38 F.3d 675, 680 (3d Cir. 1994); United States v. Saenz-Forero, 27 F.3d 1016, 1019-21 (5th Cir. 1994); United States v. Arzate-Nunez, 18 F.3d 730, 733- (9th Cir. 1994); United States v. Forbes, 16 F.3d 1294, 1301-02 (1st Cir. 1994); Covington v. Sullivan, 823 F.2d 37, 39-40 (2d Cir. 1987).
Despite Glover's characterization, the 1994 "reclassifica- tion" of his prior crimes did not add a new penalty for those crimes themselves. Like other repeat offender statutes, it did nothing more than prospectively define new, more drastic consequences if Glover committed a further crime in violation of s 841(b). Because the provision expanding the category of prior offenses that would prospectively be considered "felony drug offenses" was passed in 1994, a year before the first drug transaction at issue here, Glover had "fair warning," see Miller v. Florida, 482 U.S. 423, 430 (1987), that he would face stiffer penalties as a repeat offender if he committed another drug-related offense. Those penalties were punishments for his 1995 crimes, not for his prior crimes, and therefore do not violate the Ex Post Facto Clause even though the federal statute labeled the prior convictions differently than did the states. See Arzate-Nunez, 18 F.3d at 733.6 VI
Finally, Glover argues that he was denied effective assis- tance of counsel at trial. Where, as here, the defendant has not sought to develop a factual record of ineffectiveness in the district court, our normal practice is to remand for an eviden- tiary hearing. See United States v. Toms, 136 F.3d 176, 181 (D.C. Cir. 1998). However, we have recognized two excep- tions to this general rule: "when the trial record alone conclusively shows that the defendant is entitled to no relief and when the record conclusively shows the contrary." Id. (quoting United States v. Gaviria, 116 F.3d 1498, 1512 (D.C. Cir. 1997)); see also United States v. Fennell, 53 F.3d 1296,
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