United States v. Farish
Full Opinion (html_with_citations)
After a jury trial, Stephen Michael Farish was convicted of one count of arson, in violation of 18 U.S.C. §§ 844(i), (n) and 2, and six counts of making false statements, in violation of 18 U.S.C. § 1001. The district court sentenced Farish to 108 monthsâ imprisonment and ordered him to pay $73,873.36 in restitution. Farish now appeals both his conviction and sentence. We affirm the conviction but vacate a portion of the restitution award and remand for imposition of a corrected sentence.
I. BACKGROUND
In November 2002, Monica Leinen, Farishâs girlfriend, damaged his vehicle by scratching it with a key following a verbal argument. According to Leinenâs testimony, however, Farish believed Susan Metz-ger had damaged his vehicle. Metzger
In his anger at Metzger, Farish hired Che Romero to start a fire at the home Metzger rented at 117 Diamond Lake Road West in Minneapolis, Minnesota. Romero mistakenly targeted the wrong home and on November 21, 2002, set fire to two vehicles owned by Kirby and Shannon Bauer that were parked in front of their home at 5401 Wentworth Avenue South in Minneapolis. On December 5, 2002, Romero, accompanied by his cousin Miguel Monette, returned to 5401 Went-worth Avenue South and threw two Molotov cocktails at the residence, again mistakenly targeting the Bauersâ home. On December 18, 2002, Romero started a fire at Metzgerâs home at 117 Diamond Lake Road West, placing an incendiary device in the doorway of the residence. After the fire at the Diamond Lake Road West home, Farish arranged for Romero to steal a Dodge Caravan from Denny Hecker Rosedale Dodge (âRosedale Dodgeâ), the dealership where Farish worked, by leaving the keys in the van. The Bureau of Alcohol, Tobacco, Firearms and Explosives (âATFâ) investigated the fires, and during the investigation Farish made at least six false statements to ATF agents denying that he knew an individual named Che or Che Romero.
A grand jury indicted Farish on one count of arson, charging that he, along with Romero, âdid maliciously destroy, attempt to maliciously damage and destroy, and conspire to maliciously damage and destroy, by means of fire, the building located at 117 Diamond Lake Road Westâ; one count of possession of an unregistered firearm; one count of illegal manufacture of a firearm; one count of possession of a firearm with no serial number; and six counts of making false statements to ATF agents.
At Farishâs trial, the Government presented testimony that Farish had committed two acts of domestic abuse against Leinen during the course of their relationship. Farish objected, arguing that the evidence was inadmissible and constituted improper character evidence in violation of Federal Rule of Evidence 404(b). The Government argued that the evidence was relevant to demonstrate Farishâs motive and was not unfairly prejudicial. The Government theorized that Farish had committed the arson in response to the keying of his car, which he attributed to Metzger because of the âbad bloodâ that resulted from the domestic abuse incidents perpetrated by Farish against Metzgerâs friend, Leinen. The Government also argued that the domestic abuse explained why Leinen was afraid of Farish and failed to come forward immediately to report his crimes. The district court admitted the evidence as it related to Farishâs motive, intent and plan in carrying out the arson and gave a limiting instruction to the jury after Leinen testified. When the district court offered to repeat the limiting instruction to the jury at the end of the trial, Farishâs counsel stated that he was âsatisfied with what [the district court] said during the trial.â
The jury returned a guilty verdict against Farish on the arson count and the six counts of making false statements but returned a not guilty verdict on the remaining counts. At sentencing, the district court explicitly stated that it would âbase its sentence on what it saw and it heard at trial.â The district court applied a base offense level of 24, finding that under the United States Sentencing Guidelines § 2K1.4(a)(l), Farish knowingly created a substantial risk of death or serious bodily injury. The district court then add
Farish appeals his conviction and sentence. He argues that the district court erred by allowing the Government to present the domestic violence evidence; by giving improper jury instructions that constructively amended the indictment; by determining a sentencing guidelines base offense level of 24; and by ordering restitution for the Bauers, State Farm and Rosedale Dodge.
II. DISCUSSION
A. Domestic Violence Evidence
Farish first argues that the district court erred in admitting evidence of his acts of domestic abuse against Leinen pursuant to Federal Rule of Evidence 404(b). Rule 404(b) prohibits the introduction of â[e]vidence of other crimes, wrongs, or acts ... to prove the character of a person in order to show action in conformity therewith,â although such evidence may be admissible âfor other purposes, such as proof of motive ... intent ... [or] plan....â Fed.R.Evid. 404(b). To admit evidence under Rule 404(b), the evidence âmust (1) be relevant to a material issue raised at trial, (2) be similar in kind and close in time to the crime charged, (3) be supported by sufficient evidence to support a finding by a jury that the defendant committed the other act, and (4) not have a prejudicial value that substantially outweighs its probative value.â United States v. Johnson, 439 F.3d 947, 952 (8th Cir. 2006) (quotation omitted). Rule 404(b) permits other-acts evidence to be offered to demonstrate motive, as it is âseparate and distinct from the impermissible purpose of showing propensity.â See United States v. Gipson, 446 F.3d 828, 831 (8th Cir.2006) (allowing other-acts evidence to demonstrate the defendantâs knowledge, intent and plan); see also United States v. Drapeau, 414 F.3d 869, 875 (8th Cir.2005).
We review a district courtâs decision to admit evidence under Rule 404(b) for abuse of discretion and âreverse only when the evidence clearly had no bearing on the case and was introduced solely to show defendantâs propensity to engage in criminal misconduct.â United States v. Walker, 428 F.3d 1165, 1169 (8th Cir.2005).
The Government argues that the evidence of Farishâs domestic abuse was relevant because it explained the prior relationship between Farish, Metzger and Leinen, from which the Government argues Farishâs motive to commit the arson against Metzger derived. After Farish abused Leinen, she stayed with Metzger, who did not allow Farish to see Leinen. According to the Government, that incident created âbad bloodâ between Farish and Metzger and explained why Farish assumed Metzger had keyed his car. The Government argues that this was his motive for burning Metzgerâs home. Farish argues that the domestic violence evidence is extremely prejudicial and that it was irrelevant because Farishâs belief that Metzger keyed his car alone explained Farishâs motive.
Furthermore, the district court instructed the jury that it could only use the evidence of the domestic assault in considering âmotive or preparation or lack of mistake or opportunity to have done the offense.â After the district court gave the limiting instruction, Farishâs counsel said he was satisfied with it, and, at the end of the trial, counsel again repeated that he was âsatisfied with what [the district court] said during the trial.â Thus, the jury was instructed on the use of the 404(b) evidence, and â[t]he limiting instruction cured whatever unfair prejudice the introduction of [the domestic abuse evidence] occasioned.â See United States v. Lothridge, 332 F.3d 502, 504 (8th Cir.2003); see also United States v. Lucas, 521 F.3d 861, 866 (8th Cir.2008) (âA limiting instruction diminishes the danger of unfair prejudice.â).
Even if the district court had erred in admitting the evidence of Farishâs acts of domestic abuse against Leinen, we conclude that such error would be harmless. See Fed.R.CrimJP. 52(a). âAn evi-dentiary error is harmless when, after reviewing the entire record, we determine that the substantial rights of the defendant were unaffected, and that the error did not influence or had only a slight influence on the verdict.â United States v. McPike, 512 F.3d 1052, 1055 (8th Cir.2008) (quotation omitted).
The evidence against Farish was strong. The Government presented testimony from Che Romero that Farish initially
B. Jury Instructions
For the first time on appeal, Farish challenges the jury instructions given at the close of evidence. Generally we review jury instructions for abuse of discretion. United States v. Gill, 513 F.3d 836, 849 (8th Cir.2008). â[W]e recognize that district courts are entitled to âbroad discretion in formulating the jury instructions.â â United States v. Hayes, 518 F.3d 989, 994 (8th Cir.2008) (quoting United States v. Johnson, 278 F.3d 749, 751 (8th Cir.2002)). âWe review the instructions given as a whole and affirm if they fairly and adequately submitted the issues to the jury.â Id. (quotation omitted). âWhen there is no objection to the instructions in question at trial ... we review for plain error, reversing only if there is clear error that affects substantial rights.â Gill, 513 F.3d at 849. Farish argues that the jury instructions constructively amended the indictment because they allowed the jury to convict him based on the arson at the Wentworth Avenue South home and not on the arson at the Diamond Lake Road West home that was charged in the indictment; because the jury instructions did not require the jury to find beyond a reasonable doubt that the object of the conspiracy was to commit arson on a building used in interstate commerce; and because the indictment charged Farish using the conjunctive while the jury instructions allowed for his conviction for arson or aiding and abetting arson or conspiracy to commit arson.
âA constructive amendment occurs when the essential elements of the offense as charged in the indictment are altered in such a manner- â often through ... the jury instructions â that the jury is allowed to convict the defendant of an offense different from or in addition to the offenses charged in the indictment.â United States v. Whirlwind Soldier, 499
The grand jury returned an indictment charging that Farish, along with Romero,
did maliciously destroy, attempt to maliciously damage and destroy, and conspire to maliciously damage and destroy, by means of fire, the building located at 117 Diamond Lake Road West, Minneapolis, Minnesota, used in interstate and foreign commerce, in violation of Title 18, United States Code, Sections 844(i), 844(n), and 2.
At the close of evidence, the district court instructed the jury that the arson count
alleges a number of different means or methods by which that is ... [the arson] could have occurred. It charges that he violated by conspiring to commit an arson, aiding and abetting in the arson. The government is not required to prove all of the means or the methods. But each juror must agree with the other jurors, that the same means or methods were in fact employed or engaged in by the defendant in committing the crime charged. You need not unanimously agree, as I said, on each mean or method, but in order to convict, you must agree that at least one was done and must do so unanimously. Unless the government has proven the same means or method to each of you beyond a reasonable doubt, you must acquit the defendant of the crime charged in the indictment.
Trial Tr. at 949-50 (âmeans or method instructionâ). The district court then instructed the jury on the crime of conspiracy to commit arson, stating that
The crime of conspiracy to commit arson, which is charged in Count 1, has three essential elements. They are, first, that on or about November 2002 until about December 18, 2002, two or more persons reached an agreement, or came to an understanding to commit an arson; two, the defendant voluntarily and intentionally joined in this agreement or understanding, either at the time it was first reached, or at some later time while the agreement was still in effect; and third, that at the time the defendant joined in the agreement or understanding, he knew the purpose of the agreement or the understanding.
Trial Tr. at 950-51 (âconspiracy elements instructionâ).
After defining the elements of conspiracy, the district court told the jury that it would define the crime of arson as charged in the indictment to âhelp [the jury] decide whether or not there was an agreement to do it.â In defining the crime of arson, the district court instructed that
The crime of arson, as charged in Count 1 of the indictment, has three elements. One, the defendant damaged the building located at 117 Diamond Lake Road West, [ ] Minneapolis, Minnesota, by fire; two, the defendant did so maliciously; and three, at the time of the*823 fire, the building located at that address was used in interstate commerce.
Trial Tr. at 953-54 (âarson elements instructionâ).
Farish argues that the jury instructions required the jury to find only that there was an agreement between two or more people to commit âan arson,â and he argues that the jury could have convicted him based on the fire at the Wentworth Avenue South home and not on the fire at the Diamond Lake Road West home that was charged in the indictment. This appears to be an argument that the district courtâs actions amounted to a variance in that Farish argues that the instructions would allow the jury to convict him on different facts than those alleged in the indictment. See Whirlwind Soldier, 499 F.3d at 870. However, we reject Farishâs argument because the district court clearly instructed the jury in the arson elements instruction that the crime of arson required them to find that âthe defendant damaged the building located at 117 Diamond Lake Road West by fire.â Although the term arson was not defined within the means or method instruction or the conspiracy elements instruction, we see no reason to believe that the jury did not understand that the arson, as defined in the arson elements instruction, was limited to the Diamond Lake Road West address. Taken as a whole, we believe the instructions fairly and adequately submitted the issue to the jury. See Hayes, 518 F.3d at 994. Moreover, even if there were a variance, there is no evidence of prejudice to Farishâs right to notice, and so it would be, at most, a harmless error. See Whirlwind Soldier, 499 F.3d at 870.
Farish also argues that the instructions constructively amended the indictment because they did not require the jury to find beyond a reasonable doubt that the object of the conspiracy was to commit the arson on a building used in interstate commerce, although he does not challenge whether the building actually was used in interstate commerce. However, this does not appear to be an argument that the jury convicted him on a different charge than that for which he was indicted. It instead appears to be an argument that the instructions allowed the jury to convict him without finding an element of the crime. We reject this argument. When giving the means or method and conspiracy elements instructions, the district court referred to arson without defining it. Later, however, the district court clearly instructed the jury that the crime of arson required them to find that âthe building located at 117 Diamond Lake Road West ... was used in interstate commerce.â Again, we see no reason to believe that the jury did not understand that the arson, as defined in the arson elements instruction, required a unanimous finding by the jury that the Diamond Lake Road West home was used in interstate commerce. We find that the instructions, taken as a whole, sufficiently instructed the jury that it had to find unanimously that the Diamond Lake Road West home was used in interstate commerce.
Finally, Farish argues that the jury instructions constructively amended the indictment because the indictment charged Farish using the conjunctive and the jury instructions used the disjunctive. In other words, the indictment charged that Farish aided and abetted and conspired to commit arson, while the means or method instruction allowed the jury to find Farish guilty by finding that he either aided and abetted or conspired to commit arson. However, as Farish concedes, we have previously found that â[i]t is well established that an indictment may be phrased in the conjunctive, when the statute and jury instructions are phrased in the disjunctive, without creating a constructive amendment of the indictment....â United States
The jury instructions did not constructively amend the indictment, constitute a variance, or even constitute plain error. Taken as a whole, the jury instructions fairly and adequately submitted the issues to the jury. See Hayes, 518 F.3d at 994. Consequently, we do not find error, plain or otherwise, in the instructions.
C. Sentencing Guidelinesâ Base Offense Level
Farish next argues that the district court erred in determining his advisory sentencing guidelines base offense level. âWe review a district courtâs factual findings for clear error and its interpretation and application of the sentencing guidelines de novo.â United States v. Wells, 469 F.3d 716, 720 (8th Cir.2006).
Section 2K1.4 of the sentencing guidelines addresses convictions for arson-related offenses, including property damage by use of explosives. Under § 2K1.4(a)(l), the base offense level is â24, if the offense (A) created a substantial risk of death or serious bodily injury to any person other than a participant in the offense, and that risk was created knowingly....â U.S.S.G. § 2K1.4(a)(l). Farish argues that he could not have âknowinglyâ created a substantial risk of death or serious bodily injury because neither dwelling was actually occupied at the time of the fire and no one was actually injured by the fires. Additionally, Farish argues that the court erred by focusing on what Romero knew when he ignited the fire at the Wentworth Avenue South home.
We find that the district court did not commit clear error in concluding that Romero and Farish knowingly created a substantial risk of death or serious bodily injury. The district court, based on the testimony at the trial, found that Farish âknew [Romero] went out by night to burn and to harm and that he did it at [Farishâs] instance. Indeed, there was much testimony of [Farish] going out to enjoy the show that [he] had set in place.â Sentencing Tr. at 35.
We have not previously addressed the âknowinglyâ requirement of § 2K1.4(a)(l). Several circuits have adopted the Model Penal Code definition of knowingly when applying § 2K1.4, finding that knowledge has to be actual, rather than constructive. See, e.g., United States v. Honeycutt, 8 F.3d 785, 787 (11th Cir.1993); United States v. Karlic, 997 F.2d 564, 569 (9th Cir.1993). Other circuits, however, have concluded that they did not need to decide whether a less stringent definition of âknowinglyâ applied because the district courts did not clearly err in finding that the defendants met the higher Model Penal Code standard. See, e.g., United States v. Johnson, 152 F.3d 553, 557 (6th Cir.1998); United States v. DiSanto, 86 F.3d 1238, 1258 (1st Cir.1996). In apply
Farish asked Romero to start a fire at a duplex in a residential area in the evening, when it was likely the residents would be home. Farish provided Romero with Metzgerâs name and address, promising him a vehicle in exchange for burning the home. After Farish discovered that Romero had mistakenly targeted the Bauersâ home, knowing that Romero had burned the Bauersâ vehicles and thrown Molotov cocktails at their home, Farish told him once again to burn Metzgerâs home on Diamond Lake Road West. Farish was âupsetâ that the fire at the Diamond Lake Road West home did not cause much damage. In the face of this evidence that Farish knew what Romero was doing, repeatedly asked Romero to start fires at homes in residential areas and was upset that not enough damage was done, we cannot say that the district court committed clear error in finding that Farish knowingly created a substantial risk of death or serious bodily injury.
Farish argues that because no one was actually injured as a result of either of the arsons and because no one was even home during either of the arsons, he could not have âknowinglyâ created a substantial risk of death or serious bodily injury. However, § 2K1.4(a)(l) requires the knowing creation of a substantial risk of death or serious bodily injury, not that death or serious bodily injury must actually result. See DiSanto, 86 F.3d at 1259; Honeycutt, 8 F.3d at 787 (âThe fact that fortuitously no one was injured and extensive damage did not result does not further appellantâs contention that he did not knowingly create a substantial risk of death or serious bodily injury.â). Romero, at Farishâs behest, placed incendiary devices at private homes in the evening, when it was likely the occupants would be home. Although the incendiary device Romero placed at Metzgerâs home had not yet spread when Metzgerâs neighbor discovered the fire, it could have easily spread to the adjoining residences and become difficult to control before the fire department arrived. See U.S.S.G. § 2K1.4 app. n. 2 (âCreating a substantial risk of death or serious bodily injury includes creating that risk to fire fighters and other emergency and law enforcement personnel who respond to or investigate an offense.â). Thus, while no one was actually injured in either of the fires, we cannot conclude that the district court committed clear error in finding that Farish knowingly created a substantial risk of death or serious bodily injury through the fires Romero started at Farishâs request and direction.
Therefore, because the district court did not commit clear error by finding that Farish knowingly created a substantial risk of death or serious bodily injury, we find the district court did not err in applying § 2K1.4(a)(l) and determining a base offense level of 24.
D. Restitution
Finally, Farish argues that the bulk of the restitution order should be vacated. The district court ordered Farish to pay $73,873.36 in restitution: (1) $5,632.51 to Shannon and Kirby Bauer for damage to their Wentworth Avenue South home; (2) $1,200 to Robert Barrett Campbell, the owner of the Diamond Lake Road
The Mandatory Victims Restitution Act (âMVRAâ), 18 U.S.C. §§ 3663A et seq., requires a district court to order restitution to victims âwhen sentencing a defendant convicted ofâ specified offenses, including crimes of violence and offenses against property under Title 18. 18 U.S.C. § 3663A(a)(l). The MVRA defines âvictimâ as
a person directly and proximately harmed as a result of the commission of an offense for which restitution may be ordered, including, in the case of an offense that involves as an element a scheme, conspiracy, or pattern of criminal activity, any person directly harmed by the defendantâs criminal conduct in the course of the scheme, conspiracy, or pattern.
18 U.S.C. § 3663A(a)(2). We review the district courtâs application of the MVRA de novo and the restitution order for abuse of discretion. United States v. Mickle, 464 F.3d 804, 810 (8th Cir.2006), cert. denied, 549 U.S.-, 127 S.Ct. 1308, 167 L.Ed.2d 120 (2007).
The Government argues that âFarish conspired with Romero to commit, and aided and abetted the commission of, an arson,â that â[i]n the course of committing the arson, Farish caused damage to be done to the Bauersâ cars, the Bauersâ home, and Metzgerâs home,â and that the insurance companies and Rosedale Dodge were also damaged as a result of the commission of the crime. The Government also notes that in conspiracy cases, the restitution includes all harm caused âby the defendantâs criminal conduct in the course of the ... conspiracy....â 18 U.S.C. § 3663A(a)(2). Accord Mickle, 464 F.3d at 810; United States v. Senty-Haugen, 449 F.3d 862, 865 (8th Cir.2006).
However, in the absence of any special interrogatories, it is unclear whether the jury returned a unanimous guilty verdict against Farish on conspiracy to commit arson or on aiding and abetting the commission of an arson. If the jury had clearly convicted Farish of conspiracy to commit arson at the Diamond Lake Road West home, then the district courtâs entire restitution order would have been appropriate, but the same is not true for aiding and abetting. In the absence of a conviction for an offense that involves as an element a scheme, conspiracy or pattern of criminal activity, restitution is limited to the offense of conviction. See Hughey v. United States, 495 U.S. 411, 416, 110 S.Ct. 1979, 109 L.Ed.2d 408 (1990); United States v. Chalupnik, 514 F.3d 748, 754 (8th Cir.2008) (finding that the Government failed to prove lost profits or any other actual loss âas a result of his committing the offense of convictionâ). Because we cannot determine whether the jury convicted Farish of conspiring to commit arson or of aiding and abetting the arson, we must assume the jury convicted him of aiding and abetting the commission of the arson at the Diamond Lake Road West home. The charge of aiding and abetting did not have âa scheme, conspiracy, or pattern of criminal activityâ as an element, and so the Bauers, State Farm and Rose-dale Dodge would not have been victims under the MVRA. Therefore, we conclude that the district court abused its discretion in awarding any restitution beyond the
III. CONCLUSION
Thus, we affirm Farishâs conviction, uphold the term of imprisonment imposed and sustain $1,200 of the district courtâs restitution order. We vacate the remainder of the restitution order and remand for entry of an amended judgment.
. Farish also argues that the domestic abuse incidents were not supported by substantial evidence, were not similar in kind and were overly remote in time to the arson. Substantial evidence supported the evidence of domestic abuse, as both Leinen and Metzger testified to the abuse with specific details. The domestic abuse was not overly remote in time to the arson as the last incident occurred in 2001 and the arson occurred only slightly over a year later. See Walker, 428 F.3d at 1170. While domestic abuse is not âsimilar in kindâ to arson, we do not consider the similar-in-kind requirement to be as significant when the evidence is admitted to show motive as it might otherwise be if the evidence was admitted to show intent or knowledge, for instance. See, e.g., United States v. Sriyuth, 98 F.3d 739, 747 (3d Cir.1996) (upholding admission of evidence of sexual assault during a kidnapping trial to establish motive and the victimâs lack of consent); United States v. Birney, 686 F.2d 102, 107 (2d Cir.1982) (upholding admission of evidence of embezzlement to demonstrate motive in trial for making false entries); see also Glenn Weissenberger & James J. Duane, Weissenberger's Federal Evidence, § 404.16 (5th ed. 2006) ("Courts do not require any specific quantum of similarity between prior acts and charged crimes when accepting evidence under a motive theory. Obviously, a dissimilar prior act is just as feasible in supplying a motive for committing a crime as is a similar prior act.â).
. Moreover, in spite of the allegedly prejudicial evidence, the jury acquitted Farish on three of the counts, which leads us to conclude that the jury considered the evidence presented on each charge. See, e.g., United States v. Mahasin, 442 F.3d 687, 690 (8th Cir.2006) (finding harmless error when, although evidence of prior convictions was improperly admitted, the other evidence was overwhelming and the jury acquitted the defendant on one of the charges).
. Farish does not argue in his briefs that the offense did not create a substantial risk of death or serious bodily injury. In his briefs, he argues that the base offense level should have been 20, not 24. Section 2K1.4(a)(2) imposes a base offense level of â20, if the offense (A) created a substantial risk of death or serious bodily injury to any person other than a participant in the offense.â U.S.S.G. § 2K1.4(a)(2). By arguing that the district court should have determined a base offense level of 20, he implicitly concedes that the offense created a substantial risk of death or serious bodily injury.