UNITED STATES OF AMERICA v. MICHAEL GABRIEL DURAN; UNITED STATES OF AMERICA v. LEO HERMAN MONROE, Sr.
Nos. 96-8121, 96-8123
United States Court of Appeals, Tenth Circuit
October 7, 1997
127 F.3d 911
Before BALDOCK, BRORBY and BRISCOE, Circuit Judges.
PUBLISH. Appeal from the United States District Court for the District of D. Wyo. (D.C. Nos. 96-CR-63-1 & 96-CR-63-2)
Tenth Circuit
Byron White United States Courthouse
1823 Stout Street
Denver, Colorado 80294
(303) 844-3157
Patrick J. Fisher, Jr., Clerk
Elisabeth A. Shumaker, Chief Deputy Clerk
October 10, 1997
TO: All recipients of the captioned opinion
RE: 96-8121, USA v. Duran & 96-8123, USA v. Monroe October 7, 1997
Please be advised of the following correction to the captioned decision:
In the attorney designation section on the first page of the opinion, the Assistant U.S. Attorney is mistakenly listed as counsel for Defendant-Appellant. Similarly, the Assistant Federal Public Defender is incorrectly listed as counsel for Plaintiff-Appellee. The designations should be reversed. Please make the correction.
Very truly yours,
Patrick Fisher, Clerk
Susie Tidwell
Deputy Clerk
John R. Green, Assistant United States Attorney (David D. Freudenthal, United States Attorney with him on the briefs), Cheyenne, Wyoming, for Plaintiff-Appellee in No. 96-8121 and No. 96-8123.
OPINION
BRORBY, Circuit Judge.
In this opinion, we consolidate Case No. 96-8121 and Case No. 96-8123 for decision. In Case No. 96-8121, Appellant/Defendant Michael Gabriel Duran appeals his conviction for assault with a dangerous weapon and aiding and abetting. In Case No. 96-8123, Appellant/Defendant Leo Herman Monroe, Sr. appeals his conviction for assault with a dangerous weapon and aiding and abetting. Mr. Monroe also appeals the trial court‘s enhancement of his sentence. We exercise jurisdiction over these appeals pursuant to
On May 24, 1996, Mr. Monroe and Mr. Duran were charged in a two-count indictment with (1) assaulting Marvette Dean Oldman with a dangerous weapon with intent to do bodily harm, and aiding and abetting each other in the commission of that offense, in violation of
On the way to Lander, Mr. Oldman pulled into the property of Pat Behan so that David Oldman could go to the bathroom. David Oldman had previously rented property from Mr. Behan. After Mr. Oldman and David Oldman had gotten out of the Buick, Mr. Monroe, Mr. Duran and Virgil Monroe1 came running at Mr. Oldman saying they were going to kill him. Although Mr. Oldman ran down the road, he stopped when he saw his Buick Riviera coming toward him. Mr. Oldman believed the car was being driven by his uncle since the driver had long hair and glasses. However, the car sped up and hit Mr. Oldman at his knees, knocking him into the borrow pit. The driver of the car was Mr. Duran.
When Mr. Oldman regained consciousness, he crawled into the river and “floated” downstream for about a half mile. Mr. Oldman then crawled out of the river and “headed towards [a] house.” A man came out of the house and called an ambulance. When the ambulanсe arrived, Mr. Oldman was taken to the hospital, where he received treatment for his injuries.
Following the presentation of evidence at trial, Mr. Monroe and Mr. Duran tendered instructions and verdict forms to the court proposing an instruction for a lesser included offense of assault by striking, beating or wounding pursuant to
The trial court did, however, provide lesser included offense instructions on the Wyoming crime of aggravated assault.2
On September 27, 1996, the jury returned a verdict of guilty against Mr. Monroe and Mr. Duran on Count One of the indictment -- assaulting, or aiding and abetting in the assault of, Marvette Oldman, with a dangerous weapon with the intent to do bodily harm. The jury acquitted Mr. Monroe and Mr. Duran of the assault of David Oldman, which was charged in Count Two of the indictment. At sentencing, the district court raised Mr. Monroe‘s guideline base offense level by four points pursuant to
Mr. Monroe‘s and Mr. Duran‘s appeals present two issues for our determination: (1) whether the district court erred by failing to instruct the jury on the lesser included offense of striking, beating or wounding and (2) whether the district court engaged in impermissible double counting by increasing Mr. Monroe‘s base offense level by four points for using a dangerous weapon.
First, both Mr. Monroe and Mr. Duran argue the district court erred by rejecting their proffered instructions setting forth the crime of striking, beating or wounding as a lesser included offense of assault with a dangerous weapon. Mr. Monroе and Mr. Duran contend they satisfied all the requirements for a lesser included offense instruction to be given under United States v. Fitzgerald, 719 F.2d 1069 (10th Cir. 1983), and the trial court misapplied law in rejecting their instructions. According to Mr. Monroe and Mr. Duran, the evidence concerning whether a dangerous weapon was used by either of them was in conflict. Consequently, by failing to instruct the jury as to the crime of striking, beating or wounding, Mr. Monroe and Mr. Duran contend the trial court, in effect, made a factual finding that they each possessed and employed a dangerous or deadly weapon.
We apply a four-part test to determine when a lesser included offense instruction must be given. See, e.g., Fitzgerald, 719 F.2d at 1071. First, there must be a proper request for an instruction. Id. at 1071. Second, the elements of the lesser included offense must be a subset of the elements of the greater (charged) offense. Id.; Abeyta, 27 F.3d at 473-74; Schmuck, 489 U.S. at 716. Third, the element differentiating the two offenses must be a matter in dispute. Fitzgerald, 719 F.2d at 1071. Fourth, the jury must be able to rationally acquit the defendant on the greater offense and convict on the lesser offense. Id. The court is not required to provide the requested instruction unless all four of these factors have been satisfied. See, e.g., Abeyta, 27 F.3d at 473-76; United States v. Horn, 946 F.2d 738, 743-46 (10th Cir. 1991).
In the present case, the district court ostensibly determined the crime of assault by striking, beating or wounding was not a lesser included offense of assault with a dangerous weapon because the crime of striking, beating or wounding did not contain the element of use of a dangerous weapon. As Mr.
Nevertheless, we believe we must affirm the district court‘s refusal to provide the jury with the requested instructions on alternative grounds. See Swoboda v. Dubach, 992 F.2d 286, 291 (10th Cir. 1993) (appellate court can affirm district court for reasons other than those relied on by the district court). Under the elements test, the offense of striking, beating or wounding is simply not a lesser included оffense of assault with a dangerous weapon. Assault by striking, beating or wounding under
Furthermore, we note Mr. Monroe and Mr. Duran may very well have been entitled to a theory of thе case instruction concerning whether they used a dangerous weapon if they had so requested. See United States v. Martinez, 979 F.2d 1424, 1432 (10th Cir. 1992) (defendant entitled to theory of case instruction if theory is supported by law and facts in evidence), cert. denied, 507 U.S. 1022 (1993). However, because the elements test was not satisfied with respect to the crime of assault by striking, beating or wounding, Mr. Monroe and Mr. Duran were not entitled to lesser included offense instructions on that crime.
In the present case, the district court determined Mr. Monroe‘s base offense level was 15 under
On appeal, the defendant argued the four-level enhancement was impermissible double counting because the use of the dangerous weapon had already resulted in an increase in his base offense level by making the crime an aggravated assault. Id. The Second Circuit agreed with the defendant and determined a district court is not permitted to enhance a base offense level pursuant to 2A2.2(b) for the use of a non-inherently dangerous weapon such as an automobile. Id. at 506-07. According to the court, “[w]here an ordinary object is implicated, as was the case here, it is the use of the object as a weapon that makes the offense an aggravated assault, and it is the use of this weapon which also requires a four-level enhancement pursuant to U.S.S.G. § 2A2.2(b).” Id. at 507
However, the Hudson court found a sentence may be enhanced pursuant to § 2A2.2(b) where an aggravated assault is accomplished with an inherently dangerous weapon such as a gun. Id. at 506-07. Unlike an aggravated assault with a non-inherently dangerous weapon, an aggravated assault with an inherently dangerous weapon can be committed without the defendant automatiсally qualifying for an enhancement, such as where a gun is merely possessed during an assault. Id. Consequently, the Second Circuit concluded that no improper double counting occurs when the assault is committed with an inherently dangerous weapon. Id.
In the present case, Mr. Monroe urges us to follow the holding of Hudson to conclude the district court engaged in impermissible double counting. Mr. Monroe contends the bat, the knife, and the car were all non-inherently dangerous objects. Because these objects are not inherently dangerous, Mr. Mоnroe argues it was the use of these objects that made the offense an aggravated assault and it was the use of these objects that required a four-level enhancement of his offense
Unfortunately for Mr. Monroe, it appears the Second Circuit is the only circuit that has held that enhancing a defendant‘s sentence under
the use of a single aspect of conduct both to determine the applicable offense guideline and to increase the base offense level mandated thereby will constitute impermissible double counting only where, absent such conduct, it is impossible to come within that guideline. If, on the other hand, it is possible to be sentencеd under a particular offense guideline without having engaged in a certain sort of behavior, such behavior may be used to enhance the offense level, for in this situation, the guideline‘s base offense level will not necessarily have been set to capture the full extent of the wrongfulness of such behavior.
Id. at 895. In applying these principles, the court noted that a defendant who commits an assault “with intent to commit another felony,” will be sentenced under the aggravated assault guidelines, even if the defendant does not use a
Similarly, in United States v. Williams, 954 F.2d 204, 206 (4th Cir. 1992), the Fourth Circuit concluded the trial court did not engage in impermissible double counting by enhancing the defendant‘s sentence under
After thoroughly reviewing Mr. Monroe‘s arguments and all relevant authorities, we conclude Hudson was not well reasoned and we decline to follow the Second Circuit‘s decision. Although Mr. Monroe‘s “use” of the “dangerous weapons” in this casе brought him within the aggravated assault guidelines and resulted in a four-level increase in his offense level, we do not believe the district court engaged in impermissible double counting for several reasons.
First, the plain language of the guidelines indicates Congress intended for double counting to occur under
Section 2A2.2(a) of the Sentencing Guidelines provides for a base offense level of 15 for a defendant who commits assault with a dangerous weapon with
Second, we believe applying
Section 2A2.2(b)(2) sets forth a rationale graduated adjustment schedule that is based on the degree of involvement of the dangerous weapon in an aggravated assault. If we were to conclude application of
Furthermore, we find that Hudson should not be followed because it creates a difficult standard for courts to apply. Under Hudson, the court must always
Finally, as noted by the Ninth Circuit in Reese, see 2 F.3d at 895-97, the district court in this case did not engage in impermissible double counting because it is possible to be sentenced under
If ... it is possible to be sentenced under a particular offense guideline without having engaged in a certain sort of behavior, such behavior may be used to enhance the offense level, for in this situation, the guideline‘s base offense level will not necessarily have been set to capture the full extent of the wrongfulness of such behavior.
Id. at 895. Here, a defendant who commits an assault with the intent to commit another felony comes within the aggravated assault guideline.
Based on the foregoing reasons, we conclude: (1) Mr. Monroe and Mr. Duran were not еntitled to lesser included offense instructions concerning the crime of beating, striking or wounding, and (2) the district court did not err in enhancing Mr. Monroe‘s sentence pursuant to
