Federal Circuits, 3rd Cir. (September 20, 1990)
Docket number: 89-5833
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U.S. Supreme Court - Cuyler v. Sullivan, 446 U.S. 335 (1980)
U.S. Supreme Court - Holloway v. Arkansas, 435 U.S. 475 (1978)
U.S. Supreme Court - United States v. Tucker, 404 U.S. 443 (1972)
U.S. Supreme Court - Burgett v. Texas, 389 U.S. 109 (1967)
U.S. Supreme Court - Gideon v. Wainwright, 372 U.S. 335 (1963)
U.S. Court of Appeals for the 3rd Cir. - USA v. Tucker (3rd Cir. 2008)
U.S. Court of Appeals for the 11th Cir. - USA v. Jerome Wilkerson (11th Cir. 2002)
James V. Wade (Argued), Harrisburg, Pa., for appellant.
Dennis C. Pfannenschmidt (Argued), Asst. U.S. Atty., U.S. Attorney's Office, Harrisburg, Pa., for appellee.Before HIGGINBOTHAM, Chief Judge, HUTCHINSON and COWEN, Circuit Judges.OPINION OF THE COURTHUTCHINSON, Circuit Judge.Dale M. Preston (Preston) appeals from an enhanced sentence imposed under the Career Criminals Amendment Act of 1986 (Act), Subtitle I of the Anti-Drug Abuse Act of 1986, Pub.L. No. 99-570, Sec. 1402, 100 Stat. 3207-39 to -40 (1986), 18 U.S.C.A. Sec. 924(e) (West Supp.1990). The Career Criminals Amendment Act--which amended the Armed Career Criminal Act of 1984, Pub.L. No. 98-473, ch. 18, 98 Stat. 2185 (1984), 18 U.S.C.A. Sec. 1202, as recodified at 18 U.S.C.A. Sec. 924(e) by the Firearm Owners' Protection Act of 1986, Pub.L. No. 99-308, Sec. 104, 100 Stat. 458 (1986)--requires an enhanced sentence in convictions for possession of firearms when the defendant has three prior convictions for violent felonies. After convicting Preston for illegal possession of firearms by a felon, the government produced evidence of three prior felony convictions on his record.On appeal, Preston contends that two of the three prior convictions introduced by the government cannot properly be used to enhance his sentence under the Career Criminals Amendment Act. He argues that one of the prior convictions, for criminal conspiracy to commit robbery, is not a "violent felony" under the Act. He argues that another of the prior convictions should not be considered because a potential conflict of interest in the 1971 proceedings that led to the conviction casts doubt upon whether he received effective assistance of counsel. Preston also argues that some, or all, of his prior convictions are now too stale to be considered during sentencing. Finally, Preston challenges the fine imposed by the district court after conviction.We find no merit in any of Preston's arguments. Criminal conspiracy to commit robbery is a "violent felony" that can properly be counted for purposes of sentencing under the Career Criminals Amendment Act. Evidence of a potential conflict of interest is insufficient to support a claim of ineffective assistance of counsel made in collateral proceedings, and hence Preston's 1971 conviction can be considered in the absence of a showing of an actual conflict of interest in the earlier proceedings. The sentence enhancement language of the Career Criminals Amendment Act does not support Preston's staleness argument, and the fine that the district court imposed was reasonable and supported by the evidence. Therefore, we will affirm the district court's judgment of conviction and sentence.I.While conducting surveillance of Preston's house in York, Pennsylvania, in early 1988 after receiving a tip that he was dealing in stolen goods, city police discovered that Preston was in possession of several firearms. Police confiscated five rifles after obtaining a search warrant for Preston's house. He was indicted for possessing the rifles in violation of 18 U.S.C.A. Sec. 922(g) (West Supp.1990), which prohibits the possession of firearms by a convicted felon. After a jury trial, Preston was found guilty.The United States government sought to have Preston's sentence enhanced under the Career Criminals Amendment Act, 18 U.S.C.A. Sec. 924(e). Section 924(e)(1) provides:In the case of a person who violates section 922(g) of this title and has three previous convictions by any court ... for a violent felony or serious drug offense, or both, committed on occasions different from one another, such person shall be fined not more than $25,000 and imprisoned not less than fifteen years....Id. Sec. 924(e)(1). The government filed an information listing three previous convictions Preston had received in Pennsylvania state courts in the 1970's: (1) a 1971 conviction in the York County Court of Common Pleas for robbery with an accomplice; (2) a 1977 conviction in the same court for resisting arrest, disorderly conduct and aggravated assault on a police officer; and (3) a 1977 conviction in the Cumberland County Court of Common Pleas for criminal conspiracy to rob the Embers Motel and Restaurant.During the 1971 criminal proceedings for robbery with an accomplice, Preston and his accomplice were not given separate representation. Instead, they both were represented by the same public defender. There was no written waiver of individual representation by the two defendants, nor is there any evidence in the court transcripts that this possible conflict of interest was discussed with them. After a jury trial, both defendants were found guilty.The 1977 criminal conviction in the Cumberland County Court of Common Pleas resulted from a criminal conspiracy between Preston and another man to rob the Embers Motel and Restaurant. Shots were fired during the crime. Although Preston was not the armed robber, he was parked in a stolen car outside the Embers and was unlawfully carrying a firearm when the robbery took place. He was later arrested when he entered the Embers. A jury convicted Preston under Pennsylvania's conspiracy statute, 18 Pa.Cons.Stat.Ann. Sec. 903 (Purdon 1983).On October 2, 1989, the district court enhanced Preston's sentence under the Career Criminals Amendment Act because of the three prior convictions. It imposed a fifteen year sentence and fined Preston $2000. Preston then appealed his conviction and sentence to this Court.1We have jurisdiction to hear Preston's appeal pursuant to 28 U.S.C.A. Sec. 1291 (West Supp.1990) and 18 U.S.C.A. Sec. 3742(a) (West 1985 & Supp.1990). The legal questions raised by Preston are subject to plenary review. See Universal Minerals, Inc. v. C.A. Hughes & Co., 669 F.2d 98, 102 (3d Cir.1981). We review the fine imposed by the district court for reasonableness, while the court's associated factual findings are reviewed for clear error. See 18 U.S.C.A. Sec. 3742(e) (West Supp.1990).II.We first consider Preston's argument that his 1977 conviction in the Cumberland County Court of Common Pleas for criminal conspiracy to commit robbery should not be considered a "violent felony" under the Career Criminals Amendment Act. Preston urges us to adopt a categorical approach for determining what constitutes a "violent felony" under Sec. 924(e). Under such an approach, he argues that his conspiracy conviction cannot be categorized as a violent felony since the use or threat of physical force is not invariably involved in this crime. He refers to the language of 18 Pa.Cons.Stat.Ann. Sec. 903, Pennsylvania's criminal conspiracy statute,2 and asserts that the use or threat of physical force is not specifically mentioned as an element of the crime of conspiracy. Nor, he argues, does criminal conspiracy necessarily involve conduct that presents a serious potential risk of physical injury to others. Thus, if we use his categorical approach for determining what crimes are "violent felonies" under Sec. 924(e), he argues that conspiracies should be excluded from consideration and his sentence should not be enhanced.The government does not deny that a categorical approach should be used to determine what offenses may be considered "violent felonies" within the meaning of Sec. 924(e). It does argue, however, that criminal conspiracy to commit robbery is a violent felony under Sec. 924(e) and may be considered for the purpose of enhancing Preston's sentence under the Career Criminals Amendment Act. The government urges us to rely on the plain language of Sec. 924(e), which defines "violent felony" asany 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 risk of physical injury to another.18 U.S.C.A. Sec. 924(e)(2)(B).We agree that a categorical approach must be used to determine which prior convictions may be considered by a sentencing court under the Career Criminals Amendment Act. All other federal appeals courts that have examined this issue have concluded that Sec. 924(e) mandates looking at the fact of conviction and the statutory definitions of the prior offenses for which the defendant has been convicted, but not to the particular facts underlying those convictions. See United States v. Taylor, 882 F.2d 1018, 1023 (6th Cir.1989), cert. denied, --- U.S. ----, 110 S.Ct. 2592, 110 L.Ed.2d 273 (1990); United States v. Dombrowski, 877 F.2d 520, 527-28 (7th Cir.1989), cert. denied, --- U.S. ----, 110 S.Ct. 2592, 110 L.Ed.2d 272 (1990); United States v. Leonard, 868 F.2d 1393, 1395-97 (5th Cir.1989), cert. denied, --- U.S. ----, 110 S.Ct. 2585, 110 L.Ed.2d 266 (1990); United States v. Sherbondy, 865 F.2d 996, 1005-10 (9th Cir.1988); United States v. Headspeth, 852 F.2d 753, 758-59 (4th Cir.1988). When necessary, a sentencing court may refer to the relevant indictment or information papers and the jury instructions in the prior conviction along with the certified record of conviction, see Taylor, 882 F.2d at 1030 (using indictment to clear up uncertainty on record of conviction and to help determine the defendant's prior offense), but the inquiry should not extend beyond these documents.The Supreme Court examined the language and legislative history of Sec. 924(e) recently in Taylor v. United States, --- U.S. ----, 110 S.Ct. 2143, 109 L.Ed.2d 607 (1990), and agreed with the reasoning of these earlier pro-categorical cases. See id., 110 S.Ct. at 2160 ("We think the only plausible interpretation of Sec. 924(e)(2)(B)(ii) is that, like the rest of the enhancement statute, it generally requires the trial court to look only to the fact of conviction and the statutory definition of the prior offense."). As the Court noted, "[t]here was considerable debate over what kinds of offenses to include [in the language of the Career Criminals Amendment Act] and how to define them, but no one suggested that a particular crime might sometimes count towards enhancement and sometimes not, depending on the facts of the case." Id. at 2159. Since Congress made no mention of a more elaborate case-by-case, fact-specific approach, and since the Court recognized the practical difficulties and potential unfairness of such an approach,3 the Court concluded that a categorical approach was appropriate when sentencing under Sec. 924(e).4Thus, we must determine whether Preston's conviction for criminal conspiracy to commit robbery fits within a category of crimes that are included within the Career Criminals Amendment Act. After examining this issue, we hold that Preston's conviction for criminal conspiracy to commit robbery is a "violent felony" within the meaning of Sec. 924(e)(2)(B)(i).For criminal conspiracy convictions in Pennsylvania, the prosecution must show that a specific crime was the object of the conspiracy. See, e.g., Commonwealth v. Smith, 289 Pa.Super. 356, 433 A.2d 489, 494 (1981) ("The heart of the offense of conspiracy is an agreement to do an unlawful act."); Commonwealth v. Anderson, 265 Pa.Super. 494, 402 A.2d 546, 549 (1979) (essence of criminal conspiracy is a common understanding that a particular criminal objective be accomplished). Based on these authorities, we believe Pennsylvania law requires that the crime that was the object of the conspiracy be defined for the jury.5 Thus, the elements of criminal conspiracy to commit robbery, of which Preston was convicted, subsume the elements of robbery, which is a violent felony for purposes of Sec. 924(e). See United States v. Palmer, 871 F.2d 1202, 1204 (3d Cir.) (defendant's federal conviction for attempted bank robbery "clearly" was a violent felony for purposes of Sec. 924(e)), cert. denied, --- U.S. ----, 110 S.Ct. 233, 107 L.Ed.2d 185 (1989); United States v. Dickerson, 901 F.2d 579, 584 (7th Cir.1990) (violation of state robbery statute per se constitutes a violent felony for purposes of Sec. 924(e)).6Although Pennsylvania's conspiracy statute does not explicitly include as an element "the use, attempted use, or threatened use of physical force against the person of another," that element necessarily must be proven to support a conviction for conspiracy to commit a violent felony. Since the Supreme Court in Taylor has determined that a sentencing court can go beyond the fact of conviction and the defined elements of a non-generic burglary statute "in a narrow range of cases where a jury was actually required to find all the elements of a generic burglary," 110 S.Ct. at 2160, we think that a sentencing court can go beyond the general elements of criminal conspiracy in situations such as this where the jury was required to find that a violent felony was the object of the conspiracy. When presented with a prior conviction for conspiracy, a sentencing court can determine the object of the conspiracy from the certified record of conviction, the charging papers and any relevant jury instructions. This narrowly circumscribed examination of the record will allow the court to categorize the prior conspiracy conviction for purposes of sentencing under Sec. 924(e).7Here, it is undisputed that Preston's 1977 conviction in the Cumberland County Court of Common Pleas was for criminal conspiracy to commit robbery. The information papers filed in the trial court plainly show this charge. See Joint Appendix (App.) at 191. Since Preston was convicted of conspiracy to commit a violent felony, the use or threat of physical force was a part of his prior conviction for this crime. Accordingly, that conviction was a conviction for a "violent felony" within the meaning of Sec. 924(e)(2)(B)(i).8 As such, the prior conviction for conspiracy to commit robbery could be used to enhance Preston's sentence under the Career Criminals Amendment Act.III.Next, we consider Preston's challenge to the use of his 1971 robbery conviction in the York County Court of Common Pleas in enhancing his sentence under the Career Criminals Amendment Act. A potential conflict of interest arose in those proceedings, since both Preston and his accomplice were represented by the same public defender. It does not appear that Preston waived individual representation during the 1971 proceedings or was informed about the potential conflict of interest. Preston claims that this potential conflict of interest creates a doubt about whether he received effective assistance of counsel from his public defender during the 1971 proceedings.Preston analogizes his case to Supreme Court decisions arising in the aftermath of Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963). See United States v. Tucker, 404 U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972); Burgett v. Texas, 389 U.S. 109, 88 S.Ct. 258, 19 L.Ed.2d 319 (1967). In Tucker, the Supreme Court remanded a case to the sentencing court for reconsideration because that court, during sentencing, had explicitly considered two prior convictions that were obtained in violation of Gideon. See 404 U.S. at 447-49, 92 S.Ct. at 591-93. Burgett held that where the record is silent as to whether certain rights to representation were waived during earlier proceedings, there is a presumption that the prior convictions are invalid. See 389 U.S. at 114-15, 88 S.Ct. at 261-62. Preston argues that his 1971 conviction should also be presumed invalid, since there is no evidence in the certified records that he had waived individual representation. According to him, this potential conflict of interest should have prohibited the district court from considering the 1971 conviction during sentencing in the absence of a showing that the conviction was constitutionally obtained.The government does not argue that there was no potential conflict of interest during Preston's 1971 criminal proceedings. However, it contends that the post-Gideon cases cited by Preston are inapposite, because an actual conflict must be shown before a prior conviction may not be considered under the Career Criminals Amendment Act. The government relies on Cuyler v. Sullivan, 446 U.S. 335, 100 S.Ct. 1708, 64 L.Ed.2d 333 (1980). In that case, the Supreme Court held that a criminal defendant must show an actual conflict of interest that adversely affected his counsel's performance in order to make out a claim for ineffective assistance of counsel under the Sixth Amendment in a collateral proceeding. By analogy, the government asserts that a similar showing should be required to prohibit the use of a prior conviction under Sec. 924(e).In Cuyler, the Supreme Court held that a state prisoner could not obtain federal habeas corpus relief under 28 U.S.C.A. Sec. 2254 merely by showing that his defense counsel represented potentially conflicting interests. Thus, the Supreme Court vacated our earlier judgment in the same case, where we had held that a criminal defendant was entitled to reversal of his conviction whenever he makes " 'some showing of a possible conflict of interest or prejudice, however remote....' " United States ex rel. Sullivan v. Cuyler, 593 F.2d 512, 519 (3d Cir.1979) (quoting Walker v. United States, 422 F.2d 374, 375 (3d Cir.) (per curiam), cert. denied,Try vLex for FREE for 3 days
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