United States v. DuranUnited States v. Duran
UNITED STATES COURT OF APPEALS
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
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 September 23, 1996, Mr. Monroe and Mr. Duran went to trial on the charges in the indictment. At the consolidated trial, Marvette Oldman provided the following testimony. On May 16, 1996, he was at the Wind River Indian Reservation in Wyoming visiting relatives. That morning, Mr. Oldman left his cousin‘s home in his Buick Riviera to go and pick up his wife at the hospital in Lander, Wyoming. Marvette Oldman was accompanied by his one-year old son, Amos, and his uncle, David John Oldman.
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.
After being hit by the car, Mr. Oldman got up and ran toward the river. Mr. Duran exited the car and chased Mr. Oldman with a baseball bat. Eventually, Mr. Duran and Mr. Monroe caught up with Mr. Oldman. Mr. Monroe kicked Mr. Oldman in the back and “hit” him in the side with a knife. Mr. Duran hit Mr. Oldman in the head twice with the baseball bat, rendering Mr. Oldman unconscious with the second blow.
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 ambulance arrived, Mr. Oldman was taken tо 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
have the same elements as the prior charged offense. And it seems to me that striking, beating and wounding doesn‘t have the weapon element. It doesn‘t have the car, the bat or the knife in it, and, therefore, it seems to me that it‘s just not comparable.
The trial court did, however, provide lesser included offense instructions on the Wyoming crime of aggravated assault.2
timely notice of appeal.
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. Monroe and Mr. Duran cоntend 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.
Whether an offense for which an instruction is sought actually qualifies as a lesser included offense of the offense charged is a question of law that we review de novo. United States v. Abeyta, 27 F.3d 470, 473 (10th Cir. 1994). However, we review the district court‘s decision as to whether there is enough evidence to justify a lesser included offense instruction for an abuse of discretion. Id.
elements of the offense charged remains in doubt, but the defendant is plainly guilty of some offense, the jury is likely to resolve its doubts in favor of conviction.” Keeble v. United States, 412 U.S. 205, 212-13 (1973).
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.
Monroe and Mr. Duran point out in their appellate briefs, however, it appears the district court‘s logic is flawed. The fact that the offense of assault by striking, wounding, or beаting does not contain the element of use of a dangerous weapon does not mean the offense is not a lesser included offense of assault with a dangerous weapon. An offense need not contain all of the elements of a greater offense to be a lesser included offense. If there was such a requirement, there would be no such thing as a lesser included offense. In order to be a lesser included offense, an offense must simply be a subset of the elements of the greater offense. Schmuck, 489 U.S. at 716. Thus, by concluding the сrime of assault by striking, beating or wounding was not a lesser included offense merely because it did not contain one of the elements of assault with a dangerous weapon, the district court misapplied the elements test.
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 lessеr included offense of assault with a dangerous weapon. Assault by striking, beating or wounding under
requires a physical touching and is the equivalent of simple battery. See United States v. Joe, 831 F.2d 218, 220 (10th Cir. 1987), cert. denied, 484 U.S. 1072 (1988); United States v. Johnson, 637 F.2d 1224, 1242 n.26 (9th Cir. 1980); see also United States v. Guilbert, 692 F.2d 1340, 1345 (11th Cir. 1982) (affirming defendant‘s convictions for both assault with a dangerous weapon and assault by striking, beating or wounding even though convictions stemmed from a single incident and a single victim), cert. denied, 460 U.S. 1016 (1983). However, assault with a dangerous weapon under
conclude neither Mr. Monroe nor Mr. Duran was entitled
Furthermore, we note Mr. Monroe and Mr. Duran may very well have been entitled to a theory of the case instruction concеrning 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.
Next, Mr. Monroe argues the district court engaged in impermissible double counting by increasing Mr. Monroe‘s base offense level by four points рursuant to
In the present case, the district court determined Mr. Monroe‘s base offense level was 15 under
points pursuant to
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
(emphasis in original). The court determined
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 automatically qualifying for an enhancement, such as where а 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. Monroe argues it was the use of these objects thаt made the offense an aggravated assault and it was the use of these objects that required a four-level enhancement of his offense
level. Consequently, Mr. Monroe contends this two-fold upward adjustment constitutes impermissible double counting under Hudson.
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 sentenced under a particular offense guidelinе 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
dangerous weapon. Id. at 896. Because it was possible to be sentenced under
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 case brought him within the aggravated аssault 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
contrary intention, we must apply their clear and unambiguous terms. United States v. Florentino, 922 F.2d 1443, 1446 (10th Cir. 1990). Where the plain language of the guidelines requires the court to use a faсtor more than once in computing a defendant‘s sentence, the court is obligated to apply the guidelines as written. Id. at 1446-47 (guidelines required court to “count” defendant‘s prior convictions twice); see also Williams, 954 F.2d at 207 (“An adjustment that clearly applies to the conduct of an offense must be imposed unless the Guidelines expressly exclude its applicability.“). Numerous provisions of the Guidelines expressly prohibit a court from adjusting a defendant‘s sentence based on a factor that was already taken into account in computing the defendant‘s offense level. See, e.g.,
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
intent to do bodily harm. Section 2A2.2(b)(2)(B) requires a four-level enhancement for the use of a dangerous weapon. Thus, the clear and unambiguous language of
Second, we believe applying
proportionality in sentencing.” Reese, 2 F.3d at 895.
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
determine whether an object is inherently dangerous before deciding whether
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.
comment. (n.1). It is therefore possible to come within the aggravated assault guidelines without using a dangerous weapon and without automatically qualifying for an enhancement under
Based on the foregoing reasons, we conclude: (1) Mr. Monroe and Mr. Duran wеre not entitled 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