Lead Opinion
This case deals with the district court’s application of the obstruction of justice enhancement and non-application of the minor role reduction to Defendant-Appellant Troy Claiborne’s sentence for aiding and abetting the possession with intent to distribute crack cocaine. We AFFIRM.
I. FACTUAL AND PROCEDURAL BACKGROUND
On July 22, 2010, an Odessa Police Department narcotics detective received information from a confidential informant (“Cl”) that a black male, known as “Twin,” would be selling two ounces of crack to the Cl in the H.E.B. parking lot in Odessa, Texas that night. According to the Cl, Twin would be driving a white Impala with California licenses plates. Based on this tip, detectives set up surveillance in the parking lot and observed a white Impala matching the Cl’s description enter and park in the lot. Two black men exited the car and “were looking around suspiciously as if they were looking for someone.” Detectives approached the men, who identified themselves as Troy Claiborne and Lévale Weldon. As they were all walking back to the car, a detective noticed a plastic bag underneath the car on the driver’s side just in front of the driver’s-side rear tire. The bag contained eight individually-wrapped packages of crack. Weldon, who owned the Impala, consented to a search of it, and detectives found white residue, which tested positive for cocaine, on the floorboards of both the driver’s and the passenger’s side.
Also during the search, three cell phones were recovered—a Samsung, a Blackberry, and a Motorola. Weldon claimed the Samsung phone was his, and Claiborne claimed the Motorola. Claiborne initially denied that the Blackberry was his, but he later claimed the phone. The Blackberry contained text messages that a detective believed involved drug transactions. Detectives discovered that the Cl had called the Motorola phone when setting up the purchase. At the time of their arrest, Weldon had $580 on him, and Claiborne had $1,232. Claiborne claimed that he was unemployed but that he made money gambling and playing pool. Detectives showed the Cl photographs of Weldon and Claiborne, and the Cl identified Weldon as “Twin.” The Cl did not, however, recognize Claiborne.
After the arrests, Claiborne and Weldon were placed in a police car. While seated in the backseat, Weldon unbuckled both of their seatbelts. Weldon then started in on a conversation with Claiborne about escaping, asking “Is your window all the way down like mine?”; “Did he already seat belt you?”; and “Can you open it up from your door? ... [‘C]uz its gonna take him longer to get to your side.” Claiborne’s only response to these questions was when Weldon asked, “You hear me?,” Claiborne replied, “Um-hmm.” Weldon went on to explain, “He’s [the detective] gonna try to shut that door ... pursuing a chase on you ... cuz one of us is gonna get away ... I just can’t live no more .... ”
After pleading guilty without a plea agreement to aiding and abetting the possession with intent to distribute five grams or more of crack, see 21 U.S.C. §§ 841(a)(1) and 841(b)(l)(B)(iii) and 18 U.S.C. § 2, a Presentence Investigation Report (“PSR”) was prepared for Claiborne. The probation officer found that Claiborne had attempted to escape from the police car and recommended enhancing the offense level for obstructing justice. She calculated a total offense level of 27—
Claiborne filed objections to the PSR, arguing, inter alia, that he should have received a downward adjustment to his offense level, pursuant to § 3B1.2, because he was a minor participant. The district court determined that Claiborne had not met his burden of establishing that he was substantially less culpable than Weldon. The district court imposed a 78-month prison sentence, in the middle of the Guidelines range, stating, “I’m not departing from the recommended sentence.” Claiborne timely appealed.
II. STANDARD OF REVIEW
Issues related to a defendant’s sentence are reviewed for reasonableness. United States v. Cisneros-Gutierrez,
III. DISCUSSION
A. Non-Application of the Minor Role Reduction
A district court may decrease a defendant’s offense level by two levels if it finds that the defendant was a minor participant in the offense. U.S.S.G. § 3B1.2(b). The minor role reduction applies to a defendant “who is less culpable than most other participants, but whose role could not be described as minimal.” Id. at § 3B1.2, cmt. n.5. This reduction applies only “when a defendant is substantially less culpable than the average participant.” Villanueva,
Claiborne argues that he acted as a minor participant because (1) the Cl implicated only Weldon, (2) Weldon was driving the Impala on the day of their arrest and the ear belonged to him, and (3) the cocaine was found near the driver’s rear tire, leading to the conclusion that Weldon—not Claiborne—possessed the drugs prior to putting them under the tire. The facts show that Claiborne admitted that he possessed the drugs with the intent to distribute them “along.with Mr. Weldon.” Both Claiborne and Weldon, upon arriving at the H.E.B. parking lot, exited the Impala and looked around “suspiciously as if they were looking for someone.” These actions lead to the conclusion that Claiborne was
B. Application of the Obstruction of Justice Enhancement
A defendant is subject to a two-level increase in his offense level if he “willfully obstructed or impeded, or attempted to obstruct or impede, the administration of justice.” U.S.S.G. § 3C1.1. This adjustment is warranted where a defendant escaped or attempted to escape from custody. Id. at § 3C1.1, cmt. n.4(E). Claiborne argues that the PSR demonstrates that Weldon, not Claiborne, attempted to escape. He notes that Weldon unbuckled their seatbelts and that Claiborne did not assist, speak to, or communicate with Weldon, except when Claiborne replied that he had heard Weldon’s plan to escape.
Claiborne, however, failed to object to the application of the two-level enhancement for obstruction of justice at the district court. This failure to object below forecloses our review because “[a] district court’s determination that a defendant has obstructed justice is a factual finding,” United States v. Cisneros,
IV. CONCLUSION
For the foregoing reasons, we AFFIRM Claiborne’s sentence.
Concurrence Opinion
concurring:
I concur in the per curiam opinion, which faithfully follows our twenty year old precedent establishing that findings of fact by a district court are not subject to reversal for “plain error.” United States v. Lopez,
First, plain error is by definition error so clear and obvious that the district court should not have erred in the first place. United States v. Olano,
Second, restricting plain error review to issues of law is hardly unfair to defendants. Under current sentencing procedures, each defendant and his attorney has ample advance access to the PSR. They can respond directly to the facts identified as pertinent in the PSR, subject, of course, to rebuttal by the probation officer and the government. They are well aware of the district court’s fact finding duties and have the opportunity to prepare and persuade the district court of their view of the facts. We ought to assume that counsel will have conferred with the client about the facts concerning sentencing. It seems highly unlikely that a competent counsel will fail to timely raise a factual objection to an enhancement in the district court.
Third, this court has, far more often than not, followed Lopez. See, e.g., United States v. Conn,
Fourth, this case illustrates why we should not be in the business of reviewing factfindings on appeal. The evidence relating to the foiled attempt to escape from the patrol car is a videotape in which most of the action, admittedly, is committed by Claiborne’s co-defendant. The sequence of events was equally obvious to Claiborne and his counsel as to the trial court, yet the defendant failed to point out his alleged passivity to the district court. From what superior vantage point can we say there is “no evidence” to support the enhancement, when in fact Claiborne’s seat-belt was found undone by the officers, and on the videotape he responds “um-hmm” to an escape query from the other defendant? The district court might have looked at this video more carefully if Claiborne had raised the issue; had it done so, we would have no real basis to declare a fact finding either way—supporting or rejecting an obstruction enhancement—clear error. To apply “plain error” here would amount to our simply replacing the factfinder’s function with a de novo interpretation of the evidence.
Finally, the fulcrum of the desire to employ plain error review to sentencing fact issues is the potential impact on the defendant’s sentence if the guidelines are misapplied. But the defendant’s term of imprisonment is not the only consideration relevant to the standard of review. I have already explained why appellate courts are singularly ill-suited to reviewing unobjected-to facts pertinent to sentencing. It is also important that the public, represented by the government, be apprised of potential sentencing defects at the trial level, in order to save resources and utilize law enforcement capabilities efficiently. Every resentencing compelled following plain error review imposes costs and dangers
Because I contend that plain error review should not be applied to this purely factual determination of obstruction of justice, I need only add that I would be strongly disinclined to find plain error if we did use that standard.
Notes
. The majority of the recent unpublished opinions follow Lopez. See United States v. Aguirre, No. 10-51167,
Concurrence Opinion
concurring:
I write separately to discuss the court’s review (or rather, the lack thereof) of Claiborne’s claim that the district court erred in applying the obstruction of justice enhancement under U.S.S.G. § 3C1.1.
Generally, failure to object to an error at the district court limits this court’s review to plain error. United States v. Villegas,
In United States v. Pattan,
Neither the rule from Lopez nor the plain error review suggested in Pattan, however, has been consistently adhered to by our court; in fact, this court has more often applied plain error analysis to review of an unobjected-to enhancement under § 3C1.1.
The Supreme Court has stated that “[a] rigid and undeviating judicially declared practice under which courts of review would invariably and under all circumstances decline to consider all questions which had not previously been specifically
Ordinarily an appellate court does not give consideration to issues not raised below. For our procedural scheme contemplates that parties shall come to issue in the trial forum vested with authority to determine questions of fact. This is essential in order that parties may have the opportunity to offer all the evidence they believe relevant to the issues which the trial tribunal is alone competent to decide; it is equally essential in order that litigants may not be surprised on appeal by final decision there of issues upon which they have had no opportunity to introduce evidence.
Hormel,
Moreover, the Lopez rule puts us out of step with our sister circuits, as no other circuit court adheres to the Lopez rule. Each of the other circuit courts has articulated that unobjected-to Guideline enhancements are to be reviewed for plain error.
Finally, this is not merely an esoteric argument about the role of this court in reviewing sentencing decisions of the district courts or about the proper balance between competing procedural concerns. Failure to review Claiborne’s claim that the district court misapplied the obstruction of justice enhancement will cost Claiborne months, if not years, of additional time in prison because in my opinion, plain error exists on these facts.
The obstruction enhancement requires willful conduct on the part of the defendant to whom it is applied. ■ U.S.S.G. § 3C1.1. This court has previously found such willful conduct where the defendant “actively participated” in the escape attempt. See United States v. Cisneros,
This finding does not end the inquiry. Because Claiborne failed to object to the obstruction enhancement’s application at the district court, he must show a “reasonable probability that, but for the district court’s misapplication of the Guidelines, [Claiborne] would have received a lesser sentence.” Villegas,
The facts of this case lead me to conclude that there is a “reasonable probability” that Claiborne would have received a lesser sentence absent the district court’s misapplication of the obstruction enhancement. The district court neither indicated that it would have imposed the same sentence as an alternative sentence nor expressed an intent to go outside the Guidelines range. Cf. United States v. Bonilla,
Although the court applies the correct rule under our earliest-case-controls rule, the rule applied is a bad one and one that for Claiborne, results in a miscarriage of justice.
. In her concurrence, Chief Judge Jones emphasizes the special role the sentencing court plays in finding facts, a role which I do not challenge. It should be noted, however, that the issue of whether the determination that § 3Cl.l's requirements are met is not so clearly a question of fact. The court correctly, based on this circuit’s earliest-case controls rule, holds that " '[a] district court’s determination that a defendant has obstructed justice is a factual finding.’ ” Per Curiam Op., supra, at 438 (quoting United States v. Cisneros,
. Chief Judge Jones states in her concurrence that "[t]he majority of the recent unpublished opinions follow Lopez," but she does not confine her universe to the specific context of the obstruction of justice enhancement under § 3C1.1; she also includes a host of other determinations made by district judges under the Guidelines. See Jones Op., supra, at 439 n. 1. I am not suggesting that every determination made under the Guidelines needs to be reviewed for plain error, but there is a distinction between "minor, detailed, [and] interstitial question^] of sentencing law,” which are given "due deference,” Buford v. United States,
. Proving plain error is no easy feat. As this court has previously stated, "[t]he burden of showing plain error is a heavy one.” United States v. Andrews,
. See, e.g., United States v. Sahakian,
. See also United States v. Whorton,
