UNITED STATES of America, Plaintiff-Appellee, v. Dennys MATEO, Defendant-Appellant.
No. 05-2266.
United States Court of Appeals, Tenth Circuit.
Dec. 26, 2006.
471 F.3d 1162
Gregory James Fouratt, Assistant United States Attorney (David C. Iglesias, United States Attorney, and Laura Fashing, Assistant United States Attorney, on the brief), Office of the United States Attorney for the District of New Mexico, Albuquerque, NM, appearing for Appellee.
Before TACHA, Chief Circuit Judge, KELLY, and MURPHY, Circuit Judges.
TACHA, Chief Circuit Judge.
Dennys Mateo pleaded guilty to one count of being a felon in possession of a firearm and ammunition in violation of
I. BACKGROUND
On May 20, 2004, a confidential informant told a Drug Enforcement Administration (“DEA“) agent that Mr. Mateo would be involved in a cocaine transaction at 8:00 p.m. at a video store parking lot in Albuquerque, New Mexico. Upon investigation, the DEA agent discovered that Mr. Mateo had been previously convicted of grand theft, a third degree felony, on April
On June 23, 2004, a grand jury indicted Mr. Mateo on a single count charging him with being a felon in possession of a firearm and ammunition. Mr. Mateo pleaded guilty to the indictment. Subsequently, the probation office prepared a presentence report (“PSR“). The PSR determined Mr. Mateo‘s base offense level to be 14. See United States Sentencing Guidelines Manual (“U.S.S.G.” or “Guidelines“)
The PSR discloses the following information. Mr. Mateo was born in Cuba in 1972 and lived there until he was granted political asylum in the United States in 1995. The report assessed six criminal history points for five convictions including (1) a 1996 conviction for grand theft of a jewelry store in Oakland Park, Florida; (2) a 1996 conviction for possession of marijuana in Miami, Florida; (3) a 1997 conviction for possession of marijuana in Miami, Florida; (4) a 1997 conviction for grand theft of a home in Miami, Florida; and (5) a 2003 conviction for shoplifting in Albuquerque, New Mexico.
Of particular importance in this case, the PSR discloses the following facts about the 1997 grand theft conviction. In early May 1997, Mr. Mateo and another individual approached an apartment where a man was standing at the front door. Mr. Mateo and his accomplice each aimed a .38 caliber revolver at the victim‘s head and forced him into the apartment. There, they tied him up with a phone cord and covered his head with a pillow case. Several electronic items were taken from the apartment. Mr. Mateo was arrested on May 14, 1997, a few days after the incident, and was initially charged with robbery and kidnapping with a deadly weapon. Ultimately, the robbery charge was reduced to a lesser charge of grand theft and the kidnapping charge was dismissed. On April 13, 1998, after pleading nolo contendere to the felony grand theft charge,
In addition to these five convictions, the PSR includes records of seven additional prior arrests that did not lead to convictions, and one additional pending charge.2 Among the prior arrests was one for attempted murder. The PSR indicates that police arrested Mr. Mateo on May 14, 1997, in Miami, Florida after receiving a report that Mr. Mateo and two other individuals fired a gun four to five times at the victim as he was stopped in his car at a traffic light. Three rounds struck the victim‘s vehicle. The victim explained that the shooting may have been related to the home invasion that had occurred a few days prior (and for which Mr. Mateo was arrested and convicted in Miami). The subjects were positively identified, but the victim could not indicate which suspect fired the shots. The prosecutor filed a nolle prosequi on April 13, 1998.
On October 31, 1999, the Texas Department of Public Safety arrested Mr. Mateo for conspiracy to deliver a controlled substance. The PSR indicates that the case was “rejected” by the District Attorney, but it includes the following information about the factual background of the arrest: According to [Mr. Mateo‘s] signed statement, [Mr. Mateo] agreed to take a van that contained cocaine from Albuquerque, New Mexico to Miami, Florida. [Mr. Mateo] had two friends drive the van while [he] followed the van in his car. The van was stopped for a traffic violation and was subsequently searched. The cocaine was in the form of a brick rolled in a pair of pants inside a plastic bag on the floor. A few miles later, [Mr. Mateo] was stopped and was found to be in possession of a bag of marijuana. [Mr. Mateo] took full responsibility for the cocaine and stated to officers his friends did not know the cocaine was in the van. During a search of the van, officers located a firearm.
Less than a year later, on August 17, 2000, Mr. Mateo was arrested in New Mexico, and charged in United States District Court for the District of New Mexico with distribution of cocaine, conspiracy, and aiding and abetting. The indictment in this case was dismissed without prejudice on October 11, 2000.
On October 19, 2001, police officers in Albuquerque, New Mexico arrested Mr. Mateo for aggravated battery with a deadly weapon, armed robbery, conspiracy, kidnapping, and tampering with evidence related to a jewelry store robbery in August 2000. According to the PSR, the police reports indicate that witnesses said three Cuban males jumped the counter and robbed the store at gunpoint, pushing one victim onto the floor and putting the barrel of a gun to his head. A confidential informant indicated that Mr. Mateo was involved in the robbery and one of the perpetrators confirmed this information. Mr. Mateo went to trial on these charges, but the court ordered a mistrial after the jury could not reach a verdict. On August 27, 2002, the District Attorney filed a nolle prosequi.
At the sentencing hearing in this case, the Government took the position that the Guidelines are presumptively reasonable, and while not advocating a sentence above the advisory Guidelines range, informed the court that it would support an upward variance if the court imposed such a sentence. Mr. Mateo‘s attorney maintained that the advisory Guidelines range was
After correctly calculating the Guidelines range and acknowledging the advisory nature of the Guidelines after United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), the District Court held that in light of the sentencing factors provided by
- the nature and circumstances of the offense and the history and characteristics of the defendant;
- the need for the sentence imposed—
- to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;
- to afford adequate deterrence to criminal conduct;
- to protect the public from further crimes of the defendant[.]
See
II. DISCUSSION
Post-Booker, we review sentences for reasonableness. See United States v. Kristl, 437 F.3d 1050, 1053 (10th Cir.2006). “Sentencing decisions must be reversed when a sentence is unreasonable considering the factors enumerated in
A. The District Court did not err by considering uncontested facts included in the PSR relating to prior arrests that did not result in convictions.
Mr. Mateo argues that the District Court erred in considering his prior arrests that did not result in convictions in concluding that the advisory Guidelines range of 15 to 21 months was unreasonably low. We find no error in the method by which the District Court determined the advisory sentence to be insufficient punishment for Mr. Mateo.
It is well established that the sentencing court is entitled to rely on uncontested facts contained in the PSR for certain sentencing purposes. See
Nevertheless, Mr. Mateo argues that the District Court‘s reference to his prior arrest record violates the Guidelines’ policy statement prohibiting the consideration of a “prior arrest record itself” for purposes of an upward departure. See
The sentencing court is well within its discretion and, indeed, is required to carefully consider the facts contained in the PSR when evaluating the
B. The District Court did not err by making reference to a section of the Guidelines that is not applicable under the facts in this case.
In handing down its sentence, the District Court compared Mr. Mateo‘s history to that of an “armed career criminal.” An “armed career criminal” is subject to the enhanced penalties of
I recognize that the most serious crimes the defendant was arrested for—such as aggravated battery with a deadly weapon, kidnaping, conspiracy, and attempted murder—were all nolle prossed, but these arrests in Florida, Texas, and New Mexico demonstrate a pattern of and commitment to a criminal lifestyle by this defendant that is consistent with criminal activity and patterns one typically sees for armed career criminals.
Mr. Mateo argues that the armed career criminal provision is inapplicable and is not relevant to determining the sentence to be imposed.4
In Cage, we explained that “[w]hen a district court makes a sentencing decision, it must interpret Congress‘s intentions in passing sentencing laws.” 451 F.3d at 593. We further explained that even though the Guidelines are no longer mandatory, they represent “an expression of popular political will about sentencing that is entitled to due consideration” in fashioning a sentence. Id. We cannot agree with Mr. Mateo‘s claim that the District Court‘s reference to the armed career criminal statute is inappropriate when considering what sentence to impose. It is clear that the District Court did not apply the armed career criminal provision to Mr. Mateo because the minimum sentence applicable for such an offender is 15 years’ (or 180 months‘) incarceration. Rather, the sentencing transcript indicates that the court sought guidance from the armed career criminal provision as to the appropriate length of incarceration given Mr. Mateo‘s criminal history as disclosed by the unchallenged facts in the PSR. The Guidelines
C. The magnitude of the District Court‘s deviation from the advisory Guidelines range was substantively reasonable.
A sentence within the correctly determined advisory Guidelines range is entitled to a rebuttable presumption of reasonableness, Kristl, 437 F.3d at 1054, but an “extreme divergence” from the advisory Guidelines range will be reasonable “if the facts of the case are dramatic enough to justify such a divergence,” Cage, 451 F.3d at 594-95. Mr. Mateo asserts that the length of his sentence—120 months’ incarceration—is unreasonable given that the correctly calculated advisory Guidelines sentence range was 15 to 21 months’ imprisonment. We conclude that the magnitude of the District Court‘s deviation from the advisory Guidelines range, while extreme, was reasonable.
In Cage, we explained that this Court looks to the “discrepancy between the advisory guidelines range and the actual sentence” to determine whether a sentence is reasonable. Cage, 451 F.3d at 594. “[T]he farther the trial court diverges from the advisory guideline range, the more compelling the reasons for the divergence must be.” United States v. Valtierra-Rojas, 468 F.3d 1235, 1237 (10th Cir.2006) (alteration omitted). In other words, how compelling the justification must be to render an extra-Guidelines sentence reasonable “is proportional to the extent of the difference between the advisory range and the sentence imposed.” United States v. Bishop, 469 F.3d 896, 899 (10th Cir.2006).
In determining how compelling the justification for a particular sentence must be, we consider both the “percentage of divergence” from the advisory range and the “absolute number of months above or below the Guidelines range.” Valtierra-Rojas, 468 F.3d 1235, 1237. In Cage, we held that the district court‘s six-day sentence was an “extreme” divergence from the Guidelines-recommended sentence of at least 46 months; therefore, the sentence “must be supported by extraordinary circumstances.” Cage, 451 F.3d at 594. We found the sentence unsupported by the type of extraordinary circumstances that might legitimatize it because the sentencing court failed to cite any
Since Cage, we have held that the “comparative difference” between a defendant‘s 78-month sentence and the advisory-range maximum of 57 months (a 37% increase) was a “significant increase” requiring “sufficient explanation and justification,” see Bishop, 469 F.3d 896, 899, and that the difference between a 60-month sentence and the advisory-range maximum of 27 months (a 122% increase) was “substantial” and required “compelling reasons” to support the district court‘s decision, see Valtierra-Rojas, 468 F.3d 1235, 1237. Though we required compelling reasons to support the sentence in Valtierra-Rojas, we did not require the same kind of “dramatic facts” as we required in Cage because, we noted, the sentencing court in Cage “effectively ignore[d] the advice of the Guidelines” to essentially impose “no prison sentence at all.” See Valtierra-Rojas, 468 F.3d 1235, 1236 (alteration in original).
While “[t]he nature of the inquiry announced in Cage (the greater the divergence, the more compelling the reasons) is not one that allows for precision in measurement,” Valtierra-Rojas, 468 F.3d 1235, 1236, it is clear that the District Court‘s divergence from the advisory range here is of the extreme type akin to that in Cage requiring a “compelling” justification supported by “dramatic facts.” Here, the District Court increased Mr. Mateo‘s sentence by 471% above the high end of the advisory range of 21 months—more than eight years longer than he would serve if he was sentenced in accordance with the advisory Guidelines.
The District Court determined that this sentence was warranted because of Mr. Mateo‘s exceptional history and the fact that the advisory Guidelines sentence did not fully reflect the serious nature of his criminal record. Mr. Mateo‘s history as presented in the uncontested facts of the PSR discloses significant contact with the criminal justice systems in three different states over a relatively short period of time. The sentence reflects the District Court‘s well-justified concern that Mr. Mateo‘s frequent brushes with the law indicate “a commitment to a criminal lifestyle.” The import of this finding and the court‘s citation to the
III. CONCLUSION
We conclude that the District Court did not err by looking to the armed career criminal portion of the Guidelines to help determine the appropriate weight to give to the unique lifestyle characteristics of this defendant as disclosed by the uncontested facts available in the PSR. We also conclude that based on those dramatic facts, the sentence imposed was reasonable. We AFFIRM the judgment of the
MURPHY, Circuit Judge, joined by KELLY, Circuit Judge, concurring.
I concur in the majority‘s well-stated opinion. I write separately, however, to express serious misgivings with this court‘s precedents that usurp the district courts’ sentencing discretion.
On appeal, Mateo asserts as follows: (1) the sentence imposed by the district court is contrary to the policy considerations set out in the Sentencing Guidelines; and (2) the sentence imposed by the district court is unreasonable in reference to the factors set out in
A district court is not free to impose a sentence outside the range set out in the advisory Sentencing Guidelines based simply on its disagreement with the policies underlying the Guidelines. United States v. McCullough, 457 F.3d 1150, 1171-72 (10th Cir.2006) (discussing variances from the advisory Guidelines range based on mere disagreement with the 100:1 crack to powder cocaine ratio set out in the Guidelines). The Guidelines specifically prohibit upward departures from an advisory Guidelines range based solely on a defendant‘s arrest record.
In contrast to Mateo‘s assertion, a close review of the sentencing transcript demonstrates the district court did not simply rely on the existence of Mateo‘s arrest record in deciding to impose a sentence outside of the advisory Guideline range. Instead, the district court began the sentencing process by properly calculating Mateo‘s advisory Guidelines range. The district court then balanced that range and the policy statements underlying the Guidelines,
I also agree with the majority that the sentence imposed by the district court is reasonable and that such a conclusion is faithful to this court‘s precedents regarding appellate review of sentences for reasonableness. See Majority Op. at 1168-70 (collecting and analyzing cases). What I question is this court‘s developing insistence that district courts take extraordinary steps to justify sentences outside the range set out in the advisory Sentencing Guidelines. United States v. Cage, 451 F.3d 585, 593-95 (10th Cir.2006) (holding that sentencing factors set out in
It is absolutely clear following the Supreme Court‘s decision in United States v. Booker, 543 U.S. 220, 259-60, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), that when imposing a sentence the district courts must consider the factors set out in
This case is a perfect example of the irrationality of appellate review of sentences in this circuit. The federal district courts impose sentences on numerous defendants and have a clear institutional advantage when it comes to discerning which defendants are in need of harsh punishment and which are in need of leniency. In this case, the district court brought that institutional advantage to bear, concluding that Mateo was an exceptionally dangerous individual in need of an exceptionally severe sentence. In so doing, the district court weighed Mateo‘s personal characteristics, the circumstances of his crime, the need to protect the public, and the need for deterrence with the policy statements of the Sentencing Commission and the advisory range set out in the Guidelines. On appeal, pursuant to the system required by Cage, this court is required to undertake that same analysis, but without the institutional advantage native to the district court, all in what would appear to be an attempt to force the district courts to hew as close to the Guidelines range as possible. It is odd, indeed, to see how quickly the appellate standard of reasonableness set out in Booker has morphed into a mathematical exercise pegged exclusively to those sentencing factors in
Although many might bemoan the decision in Booker, it is the law of the land. The Guidelines are no longer mandatory and it is improper for this court to impose a system of appellate review that seeks to return this circuit, de facto, to a mandatory system. As recently noted by the Seventh Circuit,
[T]he standard of reasonableness, introduced by the Booker decision, confers broad sentencing discretion. The judge must consider the guidelines but is in no sense bound by them. He is bound only by the statutory sentencing factors,
18 U.S.C. § 3553(a) , which are both numerous and vague, thus giving the judge a great deal of running room.
United States v. Bullion, 466 F.3d 574, 575 (7th Cir.2006). The district court here recognized that it was required to consider the factors in
