2009 D e c i sion s O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit 3-20-2009 

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Thi s de c i sion i s br ou ght t o you for f r e e and ope n a c c e s s b y the O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit at V i ll anova U nive r sity S choo l of L a

w Di git al Reposit ory

. It h as be e n a c c ept e d for inclusion in 2009 D e c i sion s b y an author i z e d a dmini s tr at or of V i ll anova U nive r sity S choo l of L a

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. F or mor e inform at ion, p le as e c ont a ct Be n j amin . C arl s on@l a

w . vi ll anova . e du . Re c omme nde d C it at ion " U SA v . M c C ode " (2009). 2009 D e cisio n s . P ape r 1718. http://d i git alc ommon s .l a

w . vi ll anova . e du/thir dc ir c uit_2009/1718T h e H o n o rab le T . S . E ll is I II, S en ior D istri ct Ju d g e, U n it ed S tat es D istri ct C o u rt * fort he East ern D i s t r i ctof V i r gi ni a, s i t t i ng bydes i gnat i on. NOT P RE CE DE NT I AL UN I TED STATES CO UR T OF A PP EALS F O R T H E T H IR D C IR C U IT

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_____________ UNI TE D ST ATE S OF AM ERI CA

v. J AM ES M CCO DE, a/ k/a J , A ppel l ant

_______________ O n A p p ea l from the U n it ed S tat es D istri ct C o u rt f o r th e E a ste rn D istric t o f P e n n sy lv a n ia ( C r i m i nal N o. 06- cr - 00543- 4) D i s t r i ctJ udge: H onor abl e J . C ur t i s J oyner

______________ Subm i t t ed U nderT hi r d C i r cui tL A R 34. 1( a)

J anuary9, 2009

________________ B efor e: C H A G A R E S, H A R D I M A N C i r cui tJ udges , and EL L I S, Seni orD i s t r i ctJ udge. * ( O pi ni on Fi l ed: M ar ch 20, 2009)

______________ OP I NI ON

______________T h r e e c o - d e f e n d a n t s we r e c h a r g e d t o g e t h e rwi t h M c Co d e i n Co u n t s On e , T wo 1 2 E L L I S, Seni orD i s t r i ctJ udge. J ames M cC ode appe al s fr om hi s j udgm entof convi ct i on on C ount s O ne, T w o, T hr ee, Fi ve and Si x of a s uper s edi ng i ndi ctm ent , ar gui ng ( i ) thatthe enha nced s ent ence s i m pos ed on C ount s Fi ve and Si x pur s uantt o t he A rm ed C ar eerC r i m i nal A ct( A C C A ) , 18 U .S .C . § 9 2 4 (e ), ar e in v io latio n o f A p p re n d i v . N e w Je rse y , 5 3 0 U .S . 4 6 6 (2 0 0 0 ) a n d (ii) t hatt he D i s t r i ctC our tabus ed i t s di s cr et i on i n decl i ni ng t o s everC ountSi x fr om the r emai ni ng count s forpurpos es of tr i al . Forthe r eas ons s t at ed her e, w e w i l l aff i r m the D i stri ctC ou rt ’s j ud gm ent i n b oth r espect s. I. B eca us e w e w r i t e s ol el yforthe bene fi tof the part i es , w e onl ybr i efl ys um m ar i ze t h e e s s e n t i a l f

a c t s a n d p r o c e d u r a l h i s t o r y. O n O c to b e r 1 9 , 2 0 0 6 , M c C o d e w a s c h a rg e d in a su p e rse d in g in d ictm e n t w ith (i) c o n s p ir a c yto in te rf

e re w ith in te rs ta te c o m m e rc e b yro b b e ry, in v io la tio n o f 1 8 U .S .C . § 1951( a) ( C ountO ne) , ( i i ) i nt er fer ence w i t h i nt er s t at e comm er ce byr obberyand ai di ng and abe t t i ng, i n vi ol at i on of 18 U . S. C . § 1951( a) and 2 ( C ountT w o) , ( i i i ) carr y i ng and u sin g a f ire a rm d u rin g a n d in re latio n to a c rim e o f v io len c e a n d a id in g a n d a b e tti n g , in vi ol at i on of 18 U . S. C . § 924( c) ( 1) and 2 ( C ountT hr ee) , and ( i v) tw o count s of pos s es s i on of a f i r earm bya convi ct ed fe l on, i n vi ol at i on of 18 U . S. C . § 922( g) ( 1) ( C ount s Fi ve and S ix). 1and Thre e of the s uper s edi ng i ndi ctm ent . C ountFour , i n turn, char ged a c o- defe ndant

w ith p o sses sion o f a firearm b ya c o n v ict ed fe lon , in v iolati o n o f 1 8 U . S . C . § 9 2 2 (g)(1 ). 3 C ount s O ne, T w o, T hr ee a nd Fi ve al l ar os e outof an a r m ed r obberyof a Phi l adel phi a A ut oZ one s t or e on J ul y18, 2006. E ar l ythatm orni ng, M cC ode and a cocons pi r at orent er ed the s t or e w ear i ng cl othi ng des i gned t o di s gui s e thei rfac es ; eac h w as a rm e d w ith a f

ire a rm . In th e c o u rse o f th e ro b b e ry , the sto re m a n a g e r w a s o rd e re d to r emove m oneyfr om t he s t or e s afe , w hi l e anotherempl oy ee w as for ced t o l i e fa ce dow n at gunpoi nt . M cC ode and the co- cons pi r at orthen fl ed the s t or e w i t h $1, 025 of s t ol en money i n t hei rpos s es s i on and mett w o ot heral l eged c o- cons pi r at or s w ho w er e w ai t i ng nearbyat a p red eterm ined loca ti o n . A m o n g the w ea p o n s u sed b yM cC o d e a n d h is co -co n sp ir ators on t hi s occa s i on w as a l oaded s i l verT aurus T T 92 9M M handgun, w hi ch w as r ecove r ed on t he dayof the r obberyfr om a co- cons pi r at or ’ s vehi cl e. Sever al m ont hs aft ert he r obbery , on O ct ober5, 2006, M cC ode w as arr es t ed w hen h e a p p e a re d f

o r a m e e tin g w ith h is p a ro le o f f ice r. L a ter th a t d a y , law e n f o rc e m e n t ag e n ts t r avel ed t o M cC ode’ s r es i dence , w her e theyi nt ervi ew ed hi s l i ve- i n gi r l fr i end. I n t he c o u r s e o f t h a tv i s i t , a g e n t s s e i z e d t wo a d d i t i o n a l f i r e a r ms f r o m th e r e s i d e n c e , n a me l ya Hi S t and ard . 22 cal i ber r evo l ver and a S avag e Indust ri es W i nch est er 110E ri fl e. Iti s these addi t i onal fi r earm s t hatform t he bas i s of C ountSi x. I n t hi s r egar d, w hi l e the s uper s edi ng i ndi ctm entchar ged i n C ountSi x t hatM cC ode pos s es s ed thes e fi r earm s “[o] n orabout J ul y18, 2006 t o O ct ober5, 2006, ” i tdi d notchar ge, nordi d t he evi dence r efl ect , that ei t herfi r earm s ei zed f

r om M cC ode’ s r es i dence on O ct ober5, 2006, w as us ed i n t heR ul e 8( a) pr ovi des t hat 2 [ t]h e in d ictm e n t o r in f o rm a tio n m a yc h a rg e a d e f e n d a n t in s epar at e count s w i t h 2 orm or e off ens es i f the off

ens es char ged. . . ar e of the s ame ors i m i l archar act er , orar e bas ed on t he s ame actort r ans act i on, orar e conne ct ed w i t h or cons t i tut e part s of a c om m on s cheme orpl an. R u le 8(a ), F ed . R . C ri m . P . (em p h asis ad d ed ). R ule 14(a) provides as fol l ow s: 3 I f the j oi nderof off ens es ordefe ndant s i n an i ndi ctm ent , an i nform at i on, ora cons ol i dat i on fortr i al appea r s t o pr ej udi ce a d e f e n d a n t o r th e g o v e rn m e n t, th e c o u rt m a yo rd e r se p a ra te t r i al s of count s , s everthe def endant s ’ tr i al s , orpr ovi de any otherrel i ef t hat j ust i ce requir es. Rul e 14 ( a ) , Fe d. R. Cr i m. P. 4 cour s e of the J ul y18, 2006 arm ed r obberyof the Phi l adel phi a A ut oZ one s t or e. T he governm entnonethel es s j oi ned C ountSi x w i t h t he r emai ni ng count s of the s uper s edi ng i ndi ctm entgi ven thatt he off ens es w er e “of

the s ame ors i m i l archar act er , ” as perm i t t ed byRul e 8( a ) , Fe d. R. Cr i m. P. 2 M cC ode fi l ed a pr e- t r i al m ot i on r eques t i ng thatC ountSi x be s ever ed fr om the r emai ni ng count s forpurpos es of tr i al , pur s uantt o R ul e 14( a) , Fed. R . C r i m . P. , ar gui ng speci fi cal l yt hat pr ej ud i ce w ou l d resul tfrom a j ointtri al of the charged off enses. 3 Fol l ow i ng ar gum ent , t he D i s t r i ctC our tdeni ed M cC ode’ s m ot i on t o s everC ountSi x fr om th e re m a in in g c o u n ts o f th e su p e rse d in g in d ictm e n t, bu t n o n e th e les s a g re e d to b if u rc a te t he tr i al w i t h r es pectt o C ount s Fi ve and Si x, i ndi cat i ng thatthe i s s ue of M cC ode’ s pr i orI n hi s br i ef, M cC ode appe ar s t o s ugges terr ori n t he j uryver di cts l i p, s t at i ng t hat 4 “[t ] he ver di cts l i p fort he s econd s t age of tr i al as ked the j uryt o m ake a fac tual fi ndi ng of [M cC ode’ s ] gui l tforC ountFi ve onl y . . . [and that ] [t ] he j uryneverm ade a fac tual det erm i nat i on on C ountSi x. ” A ppel l ant ’ s B r . 6. W hi l e i ncl us i on of the ent i r e tr i al tra n sc rip t w o u ld c e rta in lyh a v e a ss iste d u s in re so lv in g th is a rg u m e n t, i t is su f f icie n t to not e thatt he di s t r i ctcour tdocketentr i es , as w el l as the J udgm entand C om m i t m ent O rde r, ac cu ratelyref

lect th at M cC o d e p led g u il tyto C o u n t Six f o ll o w ing the ju ry ’s ver di cton C ount s O ne, T w o and Thre e. 5 fel onyconvi ct i ons w oul d be exc l uded fr om the fi r s tphas e of the tr i al on C ount s O ne, T w o and Thre e. T he j ur yt r i al comm ence d on J une 25, 2007. Fol l ow i ng pr es ent at i on of the g o v e rn m e n t’s c a se in c h ief a s to C o u n ts O n e , T w o a n d T h re e , M c C o d e c h o se to tes tifyin h is o w n d e f

e n se , the re b yd isc lo sin g h is p rio r c o n v ictio n s to th e ju rya n d e ss e n tially re n d e rin g m o o t th e D istric t C o u rt’s d e c isio n to b if u rc a te th e trial w ith re sp e c t to C o u n ts Fi ve and Si x. I ndeed, M cC ode admi t t ed i n t he cour s e of di r ectexami nat i on thathe w as pr evi ous l yconvi ct ed i n 1996 of “a few ” arm ed r obber i es forw hi ch he r ece i ved s ent ence s o f b e tw e e n e ig h t an d 2 0 y e a rs im p riso n m e n t. S ig n if ica n tly , M c C o d e a lso a d m itt e d to pos s es s i ng t he tw o fi r earm s s ei zed f r om hi s r es i dence on O ct ober5, 2006, t es t i fy i ng s peci fi cal l yt hathe pos s es s ed thes e fi r earm s forpurpos es of s el f- defe ns e des pi t e know i ng t hathe w as pr ecl uded fr om doi ng s o underthe t erm s of hi s par ol e. O n Ju n e 2 8 , 2 0 0 7 , fo ll o w ing a f o u r-da ytr ial , M cC o d e w as c o n v ict ed b ythe ju ry on C ount s O ne, T w o and Thre e of the s uper s edi ng i ndi ctm ent . I m m edi at el yfol l ow i ng t he ver di ct , M cC ode pl ed gui l t yt o C ountSi x, and the s econd s t age of the tr i al then pr ocee ded befor e the s ame j ur yas t o C ountFi ve. Fol l ow i ng the pr es ent at i on of addi t i onal evi dence 46

— cons i s t i ng s ol el yof the part i es ’ s t i pul at i on thatM cC ode had pr evi ous l ybeen c onvi ct ed o f a f e lo n y— th e ju ryc o n v icte d M c C o d e o n C o u n t F iv e , as w e ll. I n t he cour s e of the s ent enci ng pr ocee di ngs , the D i s t r i ctC our tdet erm i ned that M cC ode qual i fi ed as an arm ed ca r eercr i m i nal underA C C A as a r es ul tof hi s fourpr i or fel onyconvi ct i ons forarm ed r obbery . G i ven thi s , and i n acc or dance w i t h t he arm ed car eercr i m i nal pr ovi s i ons s etfor t h i n 18 U . S. C . § 924( e) and U . S. S. G . § 4B 1. 4, M cC ode’ s advi s or ygui del i nes r ange of i m pr i s onm entw as cal cul at ed at188 t o 235 mo n t h s , b a s e d o n a t o t a l o f f e n s e l e v e l o f

3 3 a n d a c r i mi n a l h i s t o r yc a t e g o r yo f I V. On D ece m ber5, 2007, t he D i s t r i ctC our ti m pos ed conc urr ents ent ence s of 195 m onths on eac h of C ount s O ne, T w o, Fi ve and Si x, w i t h a cons ecut i ve s ent ence of 84 m onths on C ountT hr ee, fora t ot al cus t odys ent ence of 279 m ont hs . M cC ode ther eaf t erfi l ed a t i m el yappea l r ai s i ng t w o di s cr et e i s s ues , eac h of w hi ch i s addr es s ed her e. II. M cC ode’ s fi r s tar gum enton appea l i s thatthe enha nced s ent ence s i m pos ed on C ount s Fi ve and Si x pur s uantt o A C C A , 18 U . S. C . § 924( e) , ar e i n vi ol at i on of the p ri n c ip le s s e t f

o rt h in A p p re n d i, 5 3 0 U .S . 4 6 6 a n d is p ro g e n y . A C C A i m pos es enhanc ed pena l t i es forcert ai n fi r earm offe ns es w her e, as her e, t he defe ndant“has t hr ee pr evi ous convi ct i ons . . . fora vi ol entfel onyora s er i ous drug offe ns e, o rb o t h , c o mm i t t e d o n o c c a s i o n s d i f f e r e n tf r o m o n e a n o t h e r . ” 1 8 U. S . C. § 9 2 4 ( e ) ( 1 ) . As a p p lied h e re , A C C A in c re a se d th e m a x im u m ter m o f im p riso n m e n t ap p lica b le to C o u n ts7

Fi ve and Si x of the s uper s edi ng i ndi ctm entfr om 10 y ear s t o l i fe; i tal s o i m pos ed a ma n d a t o r ymi n i mu m t e r m o f 1 5 y e a r s a s t o e a c h o f

Co u n t s F i v e a n d S i x . S e e 1 8 U. S . C. § § 9 2 4 (a)(2), 92 4 (e). I n t he cour s e of the s ent enci ng pr ocee di ngs , the D i s t r i ctC our tappl i ed the enhanc ed pena l t i es s etfor t h i n A C C A i n fas hi oni ng M cC ode’ s s ent ence as t o C ount s Fi ve and S i x b ased on his fi nd i ng — rather than the jury ’s fi nd i ng — that M cC od e had atl east t hr ee pr i orvi ol entfel onyconvi ct i ons . Y et , M cC ode cont ends on appea l thatthe ques t i on w h ethe r he h ad three q u ali fy ing p ri o r co n v ict ion s w arran ti n g ap p li ca ti o n o f A C C A ’s enhanc ed pena l t i es w as r equi r ed t o have be en s ubm i t t ed t o t he j uryand found be y ond a r e a s o n a b l e d o u b t . W e r e j e c tt h a tc h a l l e n g e a s b e i n g c o n t r a r yt o we l l - e s t a b l i s h e d S u p r e me C o u rt a n d c irc u it p re c e d e n t. A s an i ni t i al m at t er , M cC ode’ s ar gum entthatthe fa ctof a pr i orconvi ct i on m us tbe fo u n d b ya juryb ey o n d a re aso n ab le do u b t w as e x p resslyrejected b ythe S u p rem e C o u rt in A lm en d are z-T o rres v . U n it ed S tat es, 52 3 U . S . 2 2 4 (19 9 8 ). T h ere , the S u p rem e C o u rt h eld th at th e e x ist en ce o f a p ri o r co n v ict ion , w h ich c o n v ict ion incre ase s a d ef en d an t’ s s t atut or ym axi m um s ent ence , m aybe det erm i ned bythe di s t r i ctj udge ats ent enci ng and need notbe al l eged i n t he i ndi ctm entores t abl i s hed as an el ementof the off ens e bey ond a r eas onabl e doubt . See i d. at244 ( r ecogni zi ng that“t o hol d t hatthe C ons t i tut i on r equi r es t hatr eci di vi s m be dee m ed an ‘ el ement ’ of pet i t i oner ’ s offe ns e w oul d m ark an abrupt departur e fr om a l ongs t andi ng t r adi t i on of tr eat i ng r eci di vi s m as ‘ go[i ng] t o t he8

puni s hm entonl y ’ ”) ( quot i ng G r aham v. W es tV i r gi ni a, 224 U . S. 616, 629 ( 1912) ) . A nd s i gni fi cant l y , t he Supr eme C our ts peci fi cal l yexempt ed pr i orconvi ct i ons fr om i t s hol di ng i n A ppr endi — t he ca s e on w hi ch M cC ode r el i es — s t at i ng that“[o] t herthan the fa ctof a pr i orconvi ct i on, anyfac tthati ncr eas es the pena l t yfora cr i m e bey ond t he pr es cr i bed s t atut or ym axi m um m us tbe s ubm i t t ed t o a j ury , and pr oved bey ond a r eas onabl e doubt . ” A ppr endi , 530 U . S. at490 ( emphasi s added) . I ndeed, w e have r epea t edl yconfi r m ed the c o n tin u in g a u th o ri ty o f

A lm e n d a re z -T o rr e s lo n g a f te r A p p re n d i w a s d e c id e d . S e e , e .g ., U ni t ed St at es v. V ar gas , 477 F. 3d 94, 104- 05 ( 3d C i r . 2007) ; U ni t ed St at es v. C ol eman, 451 F. 3d 154, 159- 60 ( 3d C i r . 2006) ; U ni t ed St at es v. O r daz, 398 F. 3d 236, 240- 41 ( 3d C ir . 2 0 0 5 ). G i ven thi s w el l es t abl i s hed Supr eme C our tand ci r cui tpr ece dent , w e fi nd thatt he D istri ct C o u rt ’s ap p li ca ti o n o f th e e n h an ce d A C C A p en alt ies w as p rop er a n d M cC o d e’s fi r s tar gum enton appea l m us tbe r ej ect ed. III . M c C o d e ’s s e c o n d a rg u m e n t o n a p p e a l is th a t th e D istric t C o u rt a b u se d its di s cr et i on w hen i tdecl i ned t o s everC ountSi x fr om the r emai ni ng count s of the s uper s edi ng i ndi ctm entforpurpos es of tr i al . I n t hi s r egar d, M cC ode es s ent i al l yconce des th a t th e in iti a l jo in d e r o f C o u n t S ix in th e su p e rse d in g in d ictm e n t w a s p ro p e r u n d e r R u le 8( a) , Fed. R . C r i m . P. , as t he off ens e cha r ged i n C ountSi x i nvol ved “the s ame ors i m i l ar c h a ra c ter ” a s th e o f

f e n se c h a rg e d in C o u n t F iv e ; h e m e re lyc o n ten d s th a t C o u n t S ix9

sh o u ld h a v e b e e n se v e re d f ro m th e re m a in in g c o u n ts a t trial in a c c o rd a n c e w ith R u le 14( a) , Fed. R . C r i m . P. , t o avoi d unw arr ant ed pr ej udi ce. Speci fi cal l y , M cC ode cont ends t hatt he i nt r oduct i on of evi dence of addi t i onal fi r earm s found i n hi s r es i dence i n O ct ober 2 0 0 6 th a t w e re n o t u se d in th e c o u rse o f th e Ju ly2 0 0 6 ro b b e ryw a s h ig h lyp re ju d icia l w ith r es pectt o t he j ur y ’ s del i ber at i on on the r obbery - r el at ed count s , as i t“cr eat ed an i m pr es s i on fort he j ur yt hat[he] w as ‘ a bad pe r s on. ’ ” A ppel l ant ’ s B r . 16. T he ques t i on w hethert o s everoffe ns es ordefe ndant s char ged i n an i ndi ctm ent p u rs u a n t to R u le 1 4 , F e d . R . C ri m . P . re s ts in th e s o u n d d is c re tio n o f th e d is tr ic t c o u rt . S e e Un i t e d S t a t e s v . L o r e , 4 3 0 F . 3 d 1 9 0 , 2 0 5 ( 3 d Ci r . 2 0 0 5 ) . We th e r e f o r e r e v i e w a d istric t co u rt’s d e n ial o f a m o tio n to se v e r f

o r a b u se o f

d isc re tio n . Id . M o re o v e r, ev e n if an abus e of di s cr et i on i s es t abl i s hed, “r ever s al i s notr equi r ed abs ent‘ cl earand s ubs t ant i al pr ej udi ce’ r es ul t i ng i n a mani fes t l yunfai rtr i al . ” U ni t ed St at es v. H art , 273 F. 3d 363, 370 (3d C ir . 2 0 0 1 ) (cit ati o n o m itted). H er e, M cC ode has fai l ed t o es t abl i s h ei t heran abus e of di s cr et i on orcl earand s ubs t ant i al pr ej udi ce r es ul t i ng fr om the D i s t r i ctC our t ’ s fai l ur e t o s everC ountSi x fr om the re m ainin g co u n ts ag ains t him . T h is i s p arti cu larl yso g iven that the D istri ct C o u rt agr eed t o conductt he j ur yt r i al i n t w o s t ages , ther ebybi fur cat i ng the fe l on- i n- pos s es s i on c o u n ts c h a rg e d in C o u n ts F iv e a n d S ix f ro m th e ro b b e ry -re late d c o u n ts c h a rg e d in C o u n ts O n e , T w o a n d T h re e . M o re o v e r, M c C o d e o p ted to p lea d g u iltyto C o u n t S ix im m e d iate ly fol l ow i ng t he j ur y ’ s ver di cton C ount s O ne, T w o and Thre e and thus , the j uryw as neverpr es ent ed w i t h t he s peci fi c al l egat i ons of thatpart i cul archar ge. Fi nal l y , gi ven the fa ct

th a t C o u n ts O n e , T w o a n d T h re e in v o lv e d b o th a n a rm e d ro b b e rya n d u se o f a f ire a rm in c o n n e c tio n w ith a v io len t f e lo n y , co m b in e d w ith M c C o d e ’s a d m iss io n in th e c o u rse o f h is d ire c t ex a m in a tio n th a t h e h a d se v e ra l p rio r c o n v ictio n s f o r a rm e d ro b b e ry , itc a n n o t f a irly be ar gued thathe s uffe r ed “c l earand s ubs t ant i al pr ej udi ce” s uffi ci entt o r es ul ti n a

“ ma n i f e s t l yu n f a i rt r i a l ” a s a r e s u l to f

th e i n t r o d u c t i o n o f

e v i d e n c e p e r t a i n i n g t o two addi t i onal fi r earm s found i n hi s r es i dence on O ct ober5, 2006 — fi r earm s thathe w i l l i ngl yadmi t t ed t o pos s es s i ng i n the cour s e of hi s di r ectexami nat i on. H art , 273 F. 3d at 3 7 0 . M c C o d e ’s s e c o n d a rg u m e n t o n a p p e a l is th e re f o re w ith o u t m e rit. I V. F o r th e f o re g o in g re a so n s, w e w ill a f f irm th e D istric t C o u rt’s ju d g m e n t.

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