United States v. Williams ( 2003 )

Opinions of the United
2003 Decisions States Court of Appeals
for the Third Circuit
4-25-2003
USA v. Williams
Precedential or Non-Precedential: Non-Precedential
Docket 01-3615
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NOT PRECEDENTIAL
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
No. 01-3615
UNITED STATES OF AMERICA
v.
NATHANIEL WILLIAMS,
Appellant
On Appeal from the United States District Court
for the Eastern District of Pennsylvania
D.C. Criminal No. 01-cr-00178-1
(Honorable Harvey Bartle, III)
Submitted Pursuant to Third Circuit LAR 34.1(a)
February 27, 2003
Before: SCIRICA, GREENBERG and GIBSON*, Circuit Judges
(Filed: April 25, 2003)
OPINION OF THE COURT
*The Honorable John R. Gibson, United States Circuit Judge for the Eighth Judicial
Circuit, sitting by designation.
SCIRICA, Circuit Judge.
Defendant, Nathaniel Williams, appeals from the sentence imposed by the District
Court. We will affirm.
I.
Williams entered into a plea agreement in which he pleaded guilty to violations
stemming from his participation in three armed robberies of large retail stores and from
his role in a planned, fourth armed robbery.1 In two of the robberies, Williams
orchestrated the plan carried out by his armed co-conspirators and shared in the proceeds
totaling $169,000. In the third robbery, an armed Williams infiltrated the store with his
co-conspirators and stole $42,000 at gunpoint. Before Williams and his co-conspirators
fled, one of them pistol-whipped a security guard. The District Court sentenced Williams
to 43 years’ imprisonment followed by three years of supervised release. Williams has
appealed.
Williams contends his sentence should be vacated and that the matter should be
remanded for re-sentencing. Williams argues the District Court (1) erroneously applied
1
The indictment charged Williams with the following twelve counts: (1) four counts of
conspiracy to interfere with commerce by robbery, in violation of 18 U.S.C. § 1951; (2)
two counts of interference with commerce by robbery, in violation of 18 U.S.C. § 1951;
(3) three counts of using and carrying a firearm during a crime of violence, in violation of
18 U.S.C. § 924(c)(1)(A); and (4) three counts of brandishing a firearm during a crime of
violence, in violation of 18 U.S.C. § 924(c)(1)(A)(ii). The government moved to dismiss
the three counts of using and carrying a firearm in exchange for Williams’s entry into the
plea agreement. The District Court granted the motion.
2
two one-point enhancements and one two-point enhancement to his base offense level
under U.S.S.G. § 2B3.1(b)(7)(B), (C);2 (2) erroneously applied a two-point enhancement
to his base offense level under U.S.S.G. § 2B3.1(b)(3)(A) for pistol-whipping the security
guard;3 (3) erroneously applied a two-point enhancement under U.S.S.G. § 3C1.1 for
obstruction of justice;4 and (4) erroneously sentenced him to 33 years for a second and
third violation of 18 U.S.C. § 924(c)(1)(A)(ii).5 Williams also contends he did not
knowingly, intelligently, and voluntarily enter into the guilty plea because the District
2
U.S.S.G. § 2B3.1(b)(7)(B) provides for a one-point enhancement to the base offense
level of 20 where the amount of loss resulting from a robbery is more than $10,000 and
less than $50,000. U.S.S.G. § 2B3.1(b)(7)(C) provides for a two point enhancement
where the amount of loss resulting from a robbery is more than $50,000 and less than
$250,000. In Williams’s case, the District Court determined that the loss amounts
resulting from the three robberies were $49,000, $42,000, and $120,000.
3
U.S.S.G. § 2B3.1(b)(3)(A) provides for a two-point enhancement if any victim of the
robbery sustained bodily injury.
4
U.S.S.G. § 3C1.1, “Obstructing or Impeding the Administration of Justice,” provides:
If (A) the defendant willfully obstructed or impeded, or attempted to
obstruct or impede, the administration of justice during the course of the
investigation, prosecution, or sentencing of the instant offense of
conviction, and (B) the obstructive conduct related to (i) the defendant’s
offense of conviction and any relevant conduct; or (ii) a closely related
offense, increase the offense level by two levels.
According to the Presentence Investigation Report, Williams attempted to have his ex-
wife lie to the FBI about his whereabouts during the robbery, and he attempted to bribe a
potential adversary witness.
5
In his pro se brief, Williams incorrectly states that the District Court sentenced him to
39 years under 18 U.S.C. § 924(c)(1)(C). In fact, the District Court imposed six of the 39
years for his first firearm offense, pursuant to 18 U.S.C. § 924(c)(1)(A)(ii).
3
Court did not establish an adequate factual basis for the plea. For the following reasons,
we conclude W illiams’s contentions lack merit.
II.
With the exception of W illiams’s allegations of error based on U.S.S.G. §
2B3.1(b)(3)(A)6 and the guilty plea,7 we review his appeal for plain error because he did
not raise these objections at the sentencing hearing. See F ED. R. C RIM . P. 52(b); United
States v. Vazquez, 271 F.3d 93, 100 (3d Cir. 2001) (en banc).
In Williams’s view, the District Court erred by applying the sentencing
enhancements because he did not stipulate to the loss amounts in the plea agreement, and
because the government did not provide sufficient evidence to support the District
Court’s determination of the loss amounts at the sentencing hearing. Similarly, Williams
disputes the two-point enhancement under U.S.S.G. § 3C1.1 because he did not stipulate
to it in the plea agreement and because the government did not present evidence in
support of the enhancement at the sentencing hearing.
6
We exercise plenary review over the District Court’s interpretation of U.S.S.G. §
2B3.1(b)(3)(A), while we review its findings of fact for clear error. See United States v.
Butch, 256 F.3d 171, 177 (3d Cir. 2001) (providing that our review of district court’s
“interpretation and application of the Sentencing Guidelines is plenary, whereas we
review its findings of fact for clear error.”)
7
The District Court’s finding of a factual basis is ordinarily reviewed for abuse of
discretion. United States v. Cefaratti, 221 F.3d 502, 509 (3d Cir. 2000). Whether or not
Williams’s failure to raise this issue below triggers plain error review is subject to some
disagreement outside of this circuit. See id. at 509 n.3. Because we conclude that the
District Court established an adequate factual basis, we need not reach this issue today.
4
But the loss amount calculations and the finding of obstruction of justice were
supported by the government’s evidentiary proffer at the plea hearing and were set forth
in the Presentence Investigation Report. See Cefaratti, 221 F.3d at 509 (3d Cir. 2000)
(recognizing that factual basis for guilty plea required by F ED. R. C RIM . P. 11(f) is
satisfied by government’s evidentiary proffer, presentence report, or any means
appropriate for specific case). In addition, the plea agreement provided that “the Court
may make factual and legal determinations that differ from the parties’ positions and that
may result in an increase or decrease in the Sentencing Guidelines range and the sentence
that may be imposed.” W illiams is bound by the terms of the plea agreement. See United
States v. Mastrangelo, 172 F.3d 288, 294 (3d Cir. 1999) (observing that defendant’s
agreement to stipulation in plea agreement on informed advice of counsel ordinarily
precludes objection on appeal). Since the undisputed facts and conclusions contained in
the Presentence Investigation Report provide a proper basis for sentencing
determinations, the District Court did not err by applying the sentencing enhancements.
See United States v. Gibbs, 190 F.3d 188, 207 (recognizing that “[a] conclusion in the
presentence investigation report that goes unchallenged by the defendant is, of course, a
proper basis for sentence determination.”) (quotation marks omitted).
Williams’s contention that he did not personally pistol-whip the security guard or,
in the alternative, that he did not stipulate to this sentencing enhancement in the plea
agreement, also fails. With respect to Williams’s first argument, it is not significant for
5
purposes of applying U.S.S.G. § 2B3.1(b)(3)(A) whether Williams or one of his co-
conspirators struck the security guard; under the United States Sentencing Guidelines,
Williams is responsible for reasonably foreseeable acts of his cohorts. See U.S.S.G. §
1B1.3(a)(1)(B) (providing that in jointly undertaken criminal activity defendant is
responsible for reasonably foreseeable acts of others taken in furtherance of joint criminal
activity). Furthermore, Williams stipulated to the District Court’s imposition of an
enhancement under the United States Sentencing Guidelines. Mastrangelo, 172 F.3d at
294.
Relying upon Harris v. United States, 122 S. Ct. 2406 (2002), Williams argues 18
U.S.C. § 924(c)(1)(C) is a separate statute from 18 U.S.C. § 924(c)(1)(A)(ii), which must
be charged separately in the indictment. In Harris, however, the Supreme Court observed
that the “principle paragraph [§ 924(c)(1)(A)] defines a single crime and its subsections
identify sentencing factors.” Id. at 2412. Title 18, § 924(c)(1)(C) of the United States
Code is a subsection of 18 U.S.C. § 924(c)(1)(A) that mandates the imposition of a
minimum sentence of 25 years for a second or subsequent conviction. Accordingly, it is
“consistent with traditional understandings about how sentencing factors operate; the
required findings constrain, rather than extend, the sentencing judge’s discretion.” Id. at
2412-2413. For this reason, 18 U.S.C. § 924(c)(1)(C) is a sentencing factor that does not
implicate Williams’s right to an indictment, trial, or conviction upon proof of each
element of the crime beyond a reasonable doubt.
6
Finally, Williams asserts that he did not knowingly, intelligently, and voluntarily
enter into the guilty plea because the District Court did not adequately establish the
factual bases of the offenses charged under 18 U.S.C. § 924(c)(1)(A)(ii).8 Williams
argues that it cannot be determined from the plea colloquy whether he realized that he
was pleading guilty to one, two, or three counts of the indictment charging a violation of
18 U.S.C. § 924(c)(1)(A)(ii). But Williams’s argument is vitiated by his admission that
“the factual record here could have equally supported” a plea of guilty on any of the
counts charging a violation of 18 U.S.C. § 924(c)(1)(A)(ii). Williams’s admission that
the record establishes a factual basis for a plea of guilty to any of the counts and,
therefore, all of the counts charging a violation of 18 U.S.C. § 924(c)(1)(A)(ii),
conclusively establishes that his guilty plea was knowing, intelligent, and voluntary. See
United States v. Faulks, 143 F.3d 133, 138-139 (3d Cir. 1998) (recognizing that “[a]
8
Williams conflates FED. R. C RIM . P. 11(c) and (f) by arguing that the District Court
failed to establish his understanding of the essential elements of each charged crime, as
required by F ED. R. C RIM . P. 11(c), because there was an inadequate factual basis for the
plea, as required by F ED. R. C RIM . P. 11(f). Because we are satisfied that there is an
adequate factual basis, we will consider his argument under F ED. R. C RIM . P. 11(c). F ED.
R. C RIM . P. 11(f) provides that “[n]otwithstanding the acceptance of a plea of guilty, the
court should not enter a judgment upon such a plea without making such inquiry as shall
satisfy it that there is a factual basis for the plea.” The District Court relied upon the
factual basis established by the government’s evidentiary proffer at the plea hearing. See
Cefaratti, 221 F.3d at 509 (3d Cir. 2000) (recognizing that factual basis for guilty plea
required by F ED. R. C RIM . P. 11(f) is satisfied by government’s evidentiary proffer,
presentence report, or any means appropriate for the specific case).
7
knowing and voluntary plea constitutes an admission of all material facts alleged in the
indictment”).
III.
For the foregoing reasons, the sentence imposed by the District Court will be
affirmed.
8
TO THE CLERK:
Please file the foregoing opinion.
/s/ Anthony J. Scirica
Circuit Judge