United States v. Platt

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
MAY 14 2004
TENTH CIRCUIT
PATRICK FISHER
Clerk
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
No. 02-5200
v. (N.D. Okla.)
(D.Ct. No. 02-CR-36-H)
JAMES HOWARD PLATT,
Defendant-Appellant.
ORDER AND JUDGMENT *
Before SEYMOUR, MURPHY, and O’BRIEN, Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination of
this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is
therefore ordered submitted without oral argument.
On October 30, 2002, James Howard Platt was sentenced for being a felon
in possession of a firearm and ammunition in violation of 18 U.S.C. §§ 922(G)(1)
*
This order and judgment is not binding precedent except under the
doctrines of law of the case, res judicata and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
and 924(a)(2). He appeals his sentence, primarily challenging the district court’s
upward departure of two criminal history categories pursuant to USSG § 4A1.3.
He also contests the imposition of a $1,000.00 fine. Exercising jurisdiction
pursuant to 28 U.S.C. § 1291 and 18 U.S.C. § 3742, we affirm.
BACKGROUND
On May 20, 2002, Platt pled guilty to one count of possession of a firearm
and ammunition by a convicted felon. Before sentencing, a number of filings
were made to the district court, including: 1) a motion by the government for an
upward departure based on Platt’s uncounted prior criminal convictions, prior
arrests, and his alleged uncharged involvement in the 1998 homicide of William
Carroll 1; 2) Platt’s objections to the presentence investigation report (“PSIR”); 3)
the government’s response to his objections; and 4) Platt’s response to the motion
seeking an upward departure. At an initial hearing 2, the district court overruled
Platt’s objections to the PSIR, but ordered a continuance to later consider the
government’s motion for an upward departure at sentencing.
1
In connection with the government’s allegation that Platt committed a
prior, uncharged homicide, the parties stipulated that an individual named
William Carroll was murdered. Carroll was attacked and stabbed on August 12,
1998, and later died of his wounds.
2
Sentencing was initially set for August 23, 2002, but was subsequently
rescheduled for September 27, 2002. The sentencing hearing was again
rescheduled for October 18, 2002, due to defense counsel’s motion to withdraw,
which was granted on September 23, 2002.
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At the October 30, 2002 sentencing, the district court heard testimony from
four police officers who investigated Carroll’s stabbing and death. At the close
of evidence, the district court addressed the government’s motion for an upward
departure, specifically declining to consider Platt’s arrest record in its
deliberation. Instead, it determined that other factors existed to support an
increase in Platt’s criminal history category of II because it inadequately
“reflect[ed] the likelihood that the defendant will commit other crimes.” (R., Vol.
V at 145.)
The district court considered Platt’s 1985 conviction for being a felon in
possession of a firearm, resulting in two years imprisonment. Because the
conviction was over fifteen years old, it was not considered in determining Platt’s
criminal history category under USSG § 4A1.2(e). However, the district court
found the prior conviction relevant under USSG § 4A1.3(a) (2002) because it “is
evidence of the same serious conduct for which the defendant is currently being
sentenced.” (R., Vol. V at 145-46.)
Next, the district court considered the testimony of the police officers
regarding Platt’s participation in Carroll’s homicide. Concluding the government
proved by a preponderance of the evidence that Platt stabbed Carroll and the
stabbing resulted in Carroll’s death, the district court determined his uncharged
conduct formed “the basis for an upward departure pursuant to Section 4A1.3(e)
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as . . . ‘prior similar adult criminal conduct not resulting in a criminal
conviction.’” (Id. at 148.) Accordingly, the district court imposed an upward
departure from category II to category IV, basing the increase on the number of
criminal history points that would have been assigned had the 1985 conviction
been counted and had Platt been convicted of Carroll’s homicide. Platt was
sentenced to forty-eight months imprisonment followed by three years supervised
release. The district court also imposed a $1,000.00 fine.
DISCUSSION
I. Upward Departure
Because Platt’s appeal was pending on April 30, 2003, the effective date of
the Prosecutorial Remedies and Tools Against the Exploitation of Children Today
Act of 2003 (PROTECT Act), Pub. L. No. 108-21, 117 Stat. 650, we apply the
standard of review contained in § 401 of the PROTECT Act. United States v.
Andrews, 353 F.3d 1154, 1155 (10th Cir. 2003), cert. denied, 124 S. Ct. 1696(2004); United States v. Nunemacher, 362 F.3d 682, 684 (10th Cir. 2004). As
explained in United States v. Jones, 332 F.3d 1294 (10th Cir.), cert. denied, 124
S. Ct. 457 (2003):
In criminal cases other than child crimes and sex offenses, a
sentencing court may depart from the applicable guideline range
if the court finds that there exists an aggravating or mitigating
circumstance of a kind, or to a degree, not adequately taken into
consideration by the Sentencing Commission in formulating the
guidelines. In reviewing a district court's sentencing
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determination, we accept the district court's findings of fact unless
clearly erroneous. Further, we generally give due deference to the
district court's application of the guidelines to the facts. Where
the district court departs from the sentencing guidelines, however,
we review de novo the district court's determinations under 18
U.S.C. § 3742(e)(3)(A) and (B).
332 F.3d at 1299 (internal citations and quotation marks omitted).
In Jones, we outlined a four-part framework for review. First, we
determine whether the district court set forth, in a written order of judgment, its
specific reasons for departure. Id. at 1299-1300; see 18 U.S.C. §§ 3742(e)(3)(A)
and 3553(c)(2). Second, we review de novo whether the district court relied on
factors advancing the objectives set forth in 18 U.S.C. § 3553(a)(2), 3 and ensure
that its reliance did not violate any specific prohibition in the Guidelines. Jones,
332 F.3d at 1299-1300; see 18 U.S.C. § 3742(e). Third, we consider de novo
3
Section 3553(a)(2) provides, in part:
The court, in determining the particular sentence to be imposed, shall
consider--
...
(2) the need for the sentence imposed--
(A) to reflect the seriousness of the offense, to promote respect for
the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational
training, medical care, or other correctional treatment in the most
effective manner.
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whether these factors were authorized under 18 U.S.C. § 3553(b) 4 and justified by
the facts of the case—the “heartland” determination. Jones, 332 F.3d at 1299-
1300; see 18 U.S.C. § 3742(e)(3)(B)(ii)-(iii). Whether the factors are
"authorized" is determined by application of 18 U.S.C. § 3553(b)(1). Finally, we
review for an abuse of discretion whether the sentence "departs to an
unreasonable degree from the applicable guidelines range," giving due deference
to the district court. 18 U.S.C. § 3742(e)(1)(C).
A. Written Judgment Requirement
Here, as in many cases where sentencing occurred before the enactment of
4
Section 3553(b)(1), applicable in cases other than child crimes and sexual
offenses, provides:
Except as provided in paragraph (2), the court shall impose a
sentence of the kind, and within the range, referred to in subsection
(a)(4) unless the court finds that there exists an aggravating or
mitigating circumstance of a kind, or to a degree, not adequately
taken into consideration by the Sentencing Commission in
formulating the guidelines that should result in a sentence different
from that described. In determining whether a circumstance was
adequately taken into consideration, the court shall consider only the
sentencing guidelines, policy statements, and official commentary of
the Sentencing Commission. In the absence of an applicable
sentencing guideline, the court shall impose an appropriate sentence,
having due regard for the purposes set forth in subsection (a)(2). In
the absence of an applicable sentencing guideline in the case of an
offense other than a petty offense, the court shall also have due
regard for the relationship of the sentence imposed to sentences
prescribed by guidelines applicable to similar offenses and offenders,
and to the applicable policy statements of the Sentencing
Commission.
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the PROTECT Act, the district court’s reasoning is not found in the written
judgment but in detailed oral rulings explaining the basis for its upward
departure. As we have recently recognized, prior to the PROTECT Act, “[t]he
district court . . . had no warning of the future requirements when it entered its
judgment and set forth its reasons orally at the sentencing hearing.” Nunemacher,
362 F.3d at 687. We also observed the Sixth and Eighth circuits, the only two
courts to have specifically addressed this concern, have wisely held the
PROTECT Act’s written requirements are met where the sentencing court’s
specific reasoning is outlined in the material on appeal and the sentencing
occurred before the enactment of the PROTECT Act. Id. at n.8. We agree.
Where the materials provided on appeal are “sufficient to allow review of the
decision to depart,” a remand directing the district court to reiterate its reasoning
in a written judgment would be a waste of judicial resources. United States v.
Camejo, 333 F.3d 669, 676 n.2 (6th Cir. 2003); see United States v.
Aguilar-Lopez, 329 F.3d 960, 963 (8th Cir. 2003). In this instance, we find the
transcript of the sentencing hearing, which includes the district court’s oral ruling
and the PSIR, is sufficient to allow review of the decision to depart. However,
we caution that the requirements of the PROTECT Act are fully applicable to
sentencing judgments following its enactment.
B. Reliance On Appropriate Factors
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Next, we consider de novo whether the factors identified by the district
court advance the objectives set forth in 18 U.S.C. § 3553(a)(2), or violate any
specific prohibition in the Guidelines. The district court relied upon Platt’s 1985
conviction and his involvement in Carroll’s homicide to conclude the original
criminal history category did not “adequately reflect the likelihood that the
defendant will commit other crimes.” The court’s reflection on Platt’s probable
recidivism clearly promotes the statutory objectives of adequate deterrence and
protection of the public from further crimes. 18 U.S.C. § 3553(a)(2)(B) and (C).
1. Reliable Evidence
An upward departure must be based on “reliable information.” USSG §
4A1.3(a)(1) (2003). Platt asserts the evidence supporting his involvement in
Carroll’s homicide was not sufficiently reliable to form the basis of an upward
departure. While he concedes the district court specifically found the police
officers’ testimony credible, he claims “the record as a whole clearly
demonstrates that Mr. Carroll’s statements were so contradictory, inconsistent and
vague as to be clearly unreliable and thus do not support the factual finding made
by the District Court.” (Appellant’s Br. at 21.)
When reviewing the district court’s factual findings, we must “give due
regard to the opportunity of the district court to judge the credibility of the
witnesses.” 18 U.S.C. § 3742(e). “To be clear: although we review de novo
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whether a particular departure factor is ‘authorized under section 3553(b)’ and
‘justified by the facts of the case,’ we review the district court's underlying
findings of fact for clear error.” Jones, 332 F.3d at 1300 n.9. “Under this
standard, we will not reverse a lower court's finding of fact simply because we
would have decided the case differently. Rather, [we] . . . ask whether, on the
entire evidence, [we are] left with the definite and firm conviction that a mistake
has been committed." United States v. Gonzalez Edeza, 359 F.3d 1246, 1248
(10th Cir. 2004).
For the purposes of sentencing, the government need only show Platt’s
responsibility for the stabbing and murder of Carroll by a preponderance of the
evidence. United States v. Valdez, 225 F.3d 1137, 1143 n.2 (10th Cir. 2000)
(rejecting clear and convincing evidence standard at sentencing even though
relevant conduct dramatically increased sentence), cert. denied, 532 U.S. 996(2001). The testimony began with Officer Hill, the first officer at the scene of the
stabbing and the first to interview Carroll. She testified Carroll identified his
attacker as “Dennis,” and he believed Dennis had just gotten out of the
penitentiary. Although Carroll provided information about his attacker, Officer
Hill testified he was reluctant in doing so. During her interview, Officer Hill
received permission to look through Carroll’s home. There she found an address
book containing a slip of paper with the name “Dennis Platt” and a telephone
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number. The next witness, Detective Cook, an investigator who interviewed
Carroll at the hospital, testified Carroll told him the full name of his attacker was
Dennis Platt.
Next, Detective Parrish, an officer found to be particularly credible by the
district court, testified as to his involvement in the investigation. Detective
Parrish stated he “ran” the telephone number found in Carroll’s address book and
discovered that James Platt also used the same number. Two days after the
stabbing, Detective Parrish visited Carroll in the hospital and asked him if he
knew Dennis Platt by any other name. Carroll responded he knew him as James
Platt. Parrish showed him a picture of James Platt and Carroll verified the picture
was a photograph of his attacker.
The final witness, Officer Eubanks, received this case as a “cold case.”
Because Platt was the lead suspect, Officer Eubanks arranged an interview with
him. At first, Platt denied knowing Carroll but after the interview continued,
Platt admitted he might have known him and he might have been at Carroll’s
house with other people. Following the testimonial evidence, the government
presented documentary evidence demonstrating James Platt used the alias Dennis
Platt and he had no relatives named Dennis.
Platt maintains this evidence is insufficient because Carroll gave
contradictory statements regarding Platt’s physical description, where Platt lived,
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what he was wearing the night of the stabbing, and how long he had known Platt.
While Carroll’s statements conflict on these matters, the government presented
evidence allowing a reasonable explanation why Carroll may have been reluctant
to clearly identify his attacker. Nonetheless, as the district court judge noted,
“[w]e went from Dennis, to Dennis Platt, to Dennis Platt a/k/a James Platt, to
James Platt to an ID of James Platt with a photograph . . . . So as a progression,
there were no bumps along the road.” (R., Vol. V at 137.) Given such evidence,
the district court did not err in ruling the government proved by a preponderance
of the evidence that Platt stabbed and killed Carroll.
2. Similar Criminal Conduct
Platt also argues that Carroll’s homicide does not provide a legal basis for
an upward departure because it is not “prior similar . . . criminal conduct” as
required by USSG § 4A1.3(e) (2002). He argues Carroll’s homicide, purportedly
involving a robbery and stabbing, is not comparable to the conduct involved in
the possession of a firearm. We rejected a similar argument In United States v.
Concha, 294 F.3d 1248, 1254 (10th Cir. 2002), cert. denied, 537 U.S. 1145(2003). There, Concha claimed the sentencing court erred in relying on the
charge of attempted murder to support an upward departure on the charge of
possession of a weapon “because it neither resulted in a criminal conviction and
sentence nor was similar to the instant crime of conviction.” Id. at 1253 n.4. We
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rejected this argument and specifically identified “prior similar adult criminal
conduct not resulting in a criminal conviction” as an appropriate basis for the
upward departure. Id.; see also United States v. Cota-Guerrero, 907 F.2d 87, 89
(9th Cir. 1990) (assault with a deadly weapon and assault and battery may be
viewed as similar to possession of a firearm by a felon "[i]nasmuch as they show
a propensity toward violence and a willingness to use force"). Because the
homicide and possession of a firearm with ammunition both “show a propensity
toward violence and a willingness to use force,” the district court did not err in
treating these crimes as similar for the purposes of USSG § 4A1.3(e) (2002).
C. Authorization under 18 U.S.C. § 3553(b)
Platt contends the district court erred in basing his departure, at least in
part, on his 1985 conviction. He argues his fifteen-year-old possession conviction
does not remove his case from the Guidelines heartland. When considering a
departure, the Supreme Court has instructed the sentencing court to ask:
1) What features of this case, potentially, take it outside the
Guidelines' 'heartland' and make of it a special, or unusual, case?
2) Has the Commission forbidden departures based on those features?
3) If not, has the Commission encouraged departures based on those
features?
4) If not, has the Commission discouraged departures based on those
features?
Koon v. United States, 518 U.S. 81, 95 (1996) (quoting United States v. Rivera,
994 F.2d 942, 949 (1st Cir. 1993)). In reviewing the answers to these questions,
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we examine the record as a whole, “recognizing the district court’s special
competence in determining the unusualness of a case.” United States v. Bartsma,
198 F.3d 1191, 1196 (10th Cir. 1999).
Contrary to Platt’s argument, we need not separate the two prior offenses
considered by the district court. The district court was free to evaluate the
cumulative effect of two uncounted prior similar offenses. The court applied
these facts and found Platt’s danger to the community and his potential for
recidivism was inadequately reflected in the basic Guideline criminal history
category. The Commission has encouraged upward departure in such instances.
USSG § 4A1.3. Therefore, “the court is authorized to depart if the applicable
Guideline does not already take it into account.” Koon, 518 U.S. at 96. Platt
argues the existence of a prior similar conviction has been taken into account by
discounting convictions that are over fifteen years old. Even if true, the presence
of two uncounted prior similar offenses was not taken into account in the
Guideline addressing a felon illegally in possession of a weapon and ammunition.
See USSG § 2K2.1. The district court correctly determined an upward departure
was authorized and justified by the facts of the case.
D. Departure to an Unreasonable Degree
When reviewing whether the district court abused its discretion in applying
an upward departure, we look to "the seriousness of the offense, the need for just
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punishment, deterrence, protection of the public, correctional treatment, the
sentencing pattern of the Guidelines, . . . and the need to avoid unwarranted
sentencing disparities." Jones, 332 F.3d at 1305 (quotation marks and citation
omitted). The district court based the degree of the departure on the Guideline
parameters for the prior offenses when adding six points to Platt’s criminal
history category. The points resulted in an increase from a category II to a
category IV, in turn increasing the guideline range from 30-37 months to 41-51
months imprisonment.
When the defendant has a history of repeated criminal conduct, a district
court should consider the need "that a clear message be sent to society that
repeated criminal behavior will aggravate the need for punishment with each
recurrence." USSG Ch.4, Pt.A, intro. comment. Given Platt’s repeated criminal
behavior and his potential for recidivism, we conclude the district court's two-
level upward departure was not an abuse of discretion.
II. Imposition of a Fine
Platt argues the district court erred in imposing a fine of $1,000.00 because
he did not have a present or future ability to pay. The PSIR revealed Platt had
debts of approximately $1,500.00 and had no assets. He spent the years 1988
through 1998 in prison and had failed to find steady employment since his release.
In his view, the district court had no basis for finding his ability to pay a fine.
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We review the district court’s imposition of a fine for an abuse of
discretion. A fine is required in all cases “except where the defendant establishes
that he is unable to pay and is not likely to become able to pay any fine.” USSG §
5E1.2(a). Factors which the district court shall consider include:
(1) the need for the combined sentence to reflect the seriousness
of the offense . . ., to promote respect for the law, to provide
just punishment and to afford adequate deterrence;
(2) any evidence presented as to the defendant’s ability to pay the
fine (including the ability to pay over a period of time) in light
of his earning capacity and financial resources.
USSG § 5E1.2(d)(1) and (2). The fact a defendant is indigent at the time of
sentencing does not preclude a fine from being imposed. United States v. Klein,
93 F.3d 698, 706 (10th Cir.), cert. denied, 519 U.S. 1048 (1996). Even if we
assume Platt adequately established a present inability to pay a fine, nothing in
the record indicates he established a future inability to pay. The fine was to be
paid over the three year period of supervised release. He was forty-nine years
old, had a high school diploma, and completed an electrician’s program while
serving a prior prison term. Platt presented no evidence he would be unable to
find a job after serving his prison term. The district court did not abuse its
discretion.
CONCLUSION
In sum, we conclude: (1) the district court sufficiently articulated a valid
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reason for its departure from the Guidelines, (2) the factors considered by the
district court advanced the statutory objectives and were not prohibited, (3) the
factors were authorized and justified by the facts of the case, and (4) the degree
of departure was reasonable. In addition, the district court did not abuse its
discretion when it imposed a fine. Accordingly, we AFFIRM.
Entered by the Court:
TERRENCE L. O’BRIEN
United States Circuit Judge
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