UNITED STATES OF AMERICA, Plaintiff-Appellee, v. JAMES RICHARDS, Defendant-Appellant.
No. 21-10190
UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
OCT 31 2022
D.C. Nos. 4:08-cr-00194-SBA-1, 4:08-cr-00194-SBA
FOR PUBLICATION
Appeal from the United States District Court for the Northern District of California
Haywood S. Gilliam, Jr., District Judge, Presiding
Argued and Submitted June 17, 2022
San Francisco, California
Before: Jay S. Bybee, Consuelo M. Callahan, and Daniel P. Collins, Circuit Judges.
Opinion by Judge Callahan
SUMMARY*
Criminal Law
The panel affirmed the district court‘s imposition of consecutive 24-month sentences on James Richards after finding he violated the conditions of his supervised release by possessing two guns and ammunition.
Richards argued that
Richards argued that the consecutive sentences violate his rights under the Double Jeopardy Clause. The panel wrote that his argument fails for three reasons: (1) Richards was found to have violated the terms of his supervised release for having possessed two distinct firearms (and ammunition) at two distinct times; (2) his consecutive sentences were grounded on separate counts in the underlying indictment, not on Charges 3 and 4 of the Amended Petition for Warrant for Person Under Supervision; and (3) the consecutive sentences were not based solely on the government proving Charges 3 and 4, but also on Richards’ admissions to Charges 5 and 6 and evidence concerning some of the conduct underlying Charge 1.
Rejecting Richards’ sufficiency-of-the-evidence argument, the panel held that when considered in the light most favorable to the government, a rational trier of fact could have concluded that the preponderance of the evidence established that Richards had possessed the firearms and ammunition.
* This summary constitutes no part of the opinion of the court. It has been prepared by court staff for the convenience of the reader.
COUNSEL
Thomas G. Sprankling (argued) and Mark D. Flanagan, Wilmer Cutler Pickering Hale and Dorr LLP, Palo Alto, California; Thomas B. Davidson, Wilmer Cutler Pickering Hale and Dorr LLP, San Francisco, California; for Defendant-Appellant.
Anne C. Hsieh (argued) and Thomas Green, Assistant United States Attorneys; Matthew M. Yelovich, Appellate Section Chief, Criminal Division; Stephanie M. Hinds, United States Attorney; United States Attorney‘s Office; for Plaintiff-Appellee.
OPINION
CALLAHAN, Circuit Judge:
James Richards appeals from the imposition of consecutive 24-month sentences for violating the conditions of his supervised release for possession of two guns and ammunition. He argues that the consecutive sentences: violate his rights under the Fifth and Sixth Amendments as explained in United States v. Haymond, 139 S. Ct. 2369 (2019); violate his rights under the Double Jeopardy Clause; and are not supported by sufficient evidence. Although well presented by counsel, Richards’ arguments on appeal are not persuasive.
I
In 2007, Richards was arrested for possession of crack cocaine and a gun. He pled guilty to Count One, possession with intent to distribute crack cocaine, and Count Three, possessing a firearm in furtherance of a drug-trafficking crime. He was sentenced to 106 months of incarceration. Richards was released from prison
in June 2016 and placed under supervised release. In June 2017, the terms of his supervised release were modified to account for his substance and alcohol abuse issues. In September 2018, Richards’ supervised release was revoked because of his failure to properly communicate with his probation officer and for driving a motorcycle on a suspended license. He was sentenced to two months in custody, an
On March 6, 2020, a Petition for Warrant for Person Under Supervision was filed charging Richards with calling “several witnesses, including a girlfriend, via a mobile video connection, threaten[ing] to kill them, and show[ing] a black handgun.”
This appeal arises out of Richards’ actions two days later, on March 8, 2020. At an evidentiary hearing concerning Richards’ alleged violations of supervised release, a witness (Ms. Jones) testified that, while driving on Interstate 580, she drove past a white pickup truck with wooden boards on its side and the driver pointed a gun at her. She sped up to get away from the truck, but later while she was trying to stay away from the truck, she saw it speed up, move from the left
lane over to the right lane of the freeway, and exit on a ramp. She then saw the driver of the truck throw something out the window, which she presumed was the gun. Ms. Jones then called 911, told them what she had seen, and indicated where the gun had been thrown.
In response to the 911 call, an officer went to the area that Ms. Jones had identified, but before he was able to locate the gun, he received a report “of a wrong-way driver on northbound 880 Market Street offramp heading south in the northbound direction of traffic.” He immediately drove to that location and saw a white pickup truck parked and facing southbound on the northbound side of the highway, near the center median. The officer observed a man standing in the bed of the truck, throwing miscellaneous objects out of the truck. The individual turned out to be James Richards. Richards appeared disheveled and was making erratic statements. He got inside the cab and attempted to leave, but the officer was able to extract and subdue him. Officers then found a Taurus .40 caliber handgun lying near the center median where the truck had been stopped. The firearm was loaded with a single round in the chamber with approximately four rounds in the magazine and was free of dust, debris, and moisture.
About an hour after her 911 call, Ms. Jones spoke to the same officer and described to him where she thought the driver had tossed the gun. The officer searched the area and found a firearm, a Glock 17, with one round in the chamber
and approximately sixteen rounds of ammunition in its high-capacity magazine. The officer testified that when he found the gun it was clean: “there was no dust or debris on it or any kind of elements on it.” Ms. Jones subsequently identified Richards as the person who pointed a gun at her and who later discarded what she believed was the gun as he exited the highway.
On March 17, 2020, the government filed an Amended Petition for Warrant for Person Under Supervision asserting six charges. Charge 1 alleged that Richards had violated California law by making criminal threats against an ex-girlfriend and her friends. Charge 2 alleged that Richards’ behavior on the freeway violated California law prohibiting carrying and brandishing a loaded firearm, resisting arrest, driving the wrong way on a freeway, and assaulting a police officer. Charge 3 alleged that Richards violated the condition of his supervised release that he not possess a firearm, and Charge 4 alleged that he violated the condition of his supervised release that he not possess ammunition.
Richards admitted to the allegations in Charges 5 and 6 but contested the other charges. The district court held that much of the government‘s proffered evidence for Charge 1 was inadmissible hearsay and that Charge 1 was not proved.
After a two-day evidentiary hearing the district court found that the charges of possession of a firearm and possession of ammunition had “been amply proved by a preponderance of the evidence.” The district court explained:
I find that at a minimum, charges three and four, possession of a firearm and possession of ammunition, have been amply proved by a preponderance of the evidence. There‘s a credible witness that saw the defendant throw a gun out the window of his truck, it was recovered from where she said it would be recovered.
There was a second firearm that was recovered when he drove the wrong way on the off ramp on 880, and I find that it is amply proven by a preponderance that the defendant committed these two violations.
With the court sustaining Charges 3 and 4, the government agreed to the dismissal of Charge 2.
The finding that Richards possessed a firearm triggered
on each underlying count of conviction. Nonetheless, the district court imposed a sentence of 48 months, consisting of 24 months on each count to run consecutively. The district court entered judgment on June 24, 2021, and Richards filed a timely notice of appeal.
II
Richards argues that
Putting aside the question of whether the plurality opinion in Haymond is as
opinion represents the narrowest ground supporting the Court‘s ruling and is controlling. See United States v. Henderson, 998 F.3d 1071, 1076 (9th Cir. 2021) (“Justice Breyer‘s separate concurrence in the judgment is therefore controlling.“). Justice Breyer offered three grounds for agreeing with the plurality that
Despite Richards’ assertions to the contrary,
sentence when the violation of supervised release involves a firearm.2 But even if the first ground were satisfied, the second criterion is met only in the most technical of senses. Although a judge is mandated to impose a sentence, the judge retains considerable discretion as to the length of the sentence and may impose a sentence of a single day. Most importantly, in contrast to
It follows that because
This is also our holding in Henderson, 998 F.3d 1071. In Henderson, we
held that a defendant‘s otherwise reasonable sentence for violating the terms of supervised release could exceed, “when aggregated with the time the defendant was imprisoned for the underlying crime, the maximum
has not shown that having a judge determine, based on a preponderance of the evidence, that he violated the conditions of his supervised release and would be sentenced to 48 months of incarceration, violated his constitutional rights.
Furthermore, Richards admits that because he did not raise this issue before the district court, he must establish plain error to prevail. Plain error is “(1) error, (2) that is plain, and (3) that affects substantial rights.” United States v. Ameline, 409 F.3d 1073, 1078 (9th Cir. 2005) (en banc) (quoting United States v. Cotton, 535 U.S. 625, 631 (2002)). “If these three conditions of the plain error test are met, an appellate court may exercise its discretion to notice a forfeited error that
. . . ‘seriously affects the fairness, integrity, or public reputation of judicial proceedings.‘” Id. (quoting Cotton, 535 U.S. at 631). Here, Richards has not shown that the district court, in conforming to the traditional standard for parole hearings, and applying
III
Richards’ second argument is that “imposing two consecutive twenty-four-month sentences for the same underlying conduct—i.e., possession of a loaded firearm“—violates the Fifth Amendment. He bases his argument on the Double Jeopardy Clause and United States v. Keen, 104 F.3d 1111 (9th Cir. 1996). He recognizes that Congress has the power to punish a felon twice for being simultaneously in possession of a firearm and ammunition, but argues, citing Keen, 104 F.3d at 1118–20, that Congress “must speak clearly when it wishes to do so.” Richards asserts that the “relevant text of the felon in possession of a firearm statute and the firearm condition of Mr. Richards’ supervised release are nearly identical.” He concludes that therefore he should not be given consecutive sentences based on violating Charges 3 and 4 in the Amended Petition. He claims that both the Haymond plurality and Justice Breyer necessarily recognized that basic criminal procedural protections can apply in the supervised release context.
Richards asserts that in Keen we held that punishing a defendant twice for simultaneously possessing a firearm and ammunition violates Double Jeopardy.
Richards further asserts that even if we conclude “that the Fifth Amendment‘s Double Jeopardy Clause does not directly apply to” his case, we should nonetheless hold that his consecutive sentences violate the Fifth Amendment‘s Due Process Clause because “[w]ithout at least a basic due process limitation on a district court‘s ability to impose punishment for multiple violations of the same condition of supervised release, a court could—for example—punish a defendant like Mr. Richards with two separate 24-month sentences for possessing two different bullets.” In addition, Richards asserts that any ambiguity should be resolved in his favor under the rule of lenity.
Initially, we note that
alleged Apprendi errors. Henderson, 998 F.3d at 1073–74. Furthermore, where a defendant fails to raise an issue before the district court, we review the district court‘s decision for plain error. United States v. Zalapa, 509 F.3d 1060, 1064 (9th Cir. 2007).
Richards’ arguments on appeal fail for three reasons: (1) he was found to have violated the terms of his supervised release for having possessed two distinct firearms (and ammunition) at two distinct times; (2) his consecutive sentences were grounded on separate counts in the underlying indictment, not on Charges 3 and 4 of the Amended Petition; and (3) the consecutive sentences were not based solely on the government proving Charges 3 and 4, but also on Richards’ admissions to Charges 5 and 6 and evidence concerning some of the conduct underlying Charge 1.
A.
Richards’ consecutive 24-month sentences were not imposed for “the same
Taking all those factors into account and having heard the evidentiary record in this case, I do find that the 48-month sentence that‘s recommended by the Probation Department is warranted, taking all those factors into account, including the nature of the offenses here and the fact that there were two separate firearms and ammunition possessed, the nature of the disturbing conduct that was described by the witnesses, and the threat charge.
The fact that “there were two separate firearms and ammunition” distinguishes this case from Keen, 104 F.3d at 1119, where we held that the simultaneous possession of a firearm and ammunition did not constitute “separate units of prosecution.” As we recognized in Keen, multiple counts of unlawful possession of a firearm by a felon in violation of
B.
Richards’ assertion that he may not be given consecutive sentences for an action that simultaneously violated Charges 3 and 4 in the Amended Petition fails to recognize that the consecutive sentences were based not on Charges 3 and 4, but
on Counts One and Three of the underlying indictment. At the government‘s urging, the district court clarified that the consecutive sentences were based on Counts One and Three of the underlying indictment. The district judge stated:
And just so that the record is clear, the term shall consist of 24 months on Count One and 24 months on Count Three, to run concurrently—I‘m sorry—to run consecutively.
Thus, while the district court found that the government proved Charges 3 and 4 of the Amended Petition, it used that determination to impose consecutive sentences based on Count One (possession with intent to distribute crack cocaine) and Count Three (possessing a firearm in furtherance of a drug-trafficking crime) of Richards’ underlying indictment.
This is consistent with our opinion in Henderson, which affirms our holding in United States v. Purvis, 940 F.2d 1276 (9th Cir. 1991), that “a revocation sentence is part of the maximum sentence authorized for the underlying offense.” Henderson, 998 F.3d at 1074. We further held that “Henderson‘s term of supervised release was imposed as part of his original sentence.” Id. at 1076. Furthermore, in Henderson, we affirmed a revocation sentence that resulted in an aggregate sentence of incarceration beyond the statutory maximum term of imprisonment under the statute of conviction for the underlying offense. Here, the maximum sentence of imprisonment authorized upon revocation of supervised release on Count Three alone was five years. See
Moreover, the district court noted that the maximum term of imprisonment for Richards’ underlying convictions was a life sentence. The total sentence of 48 months did not exceed the statutory maximum of five years, and Richards was not prejudiced by the district court‘s decision to allocate the total sentence between the two underlying counts in the way that it did. Nor does Richards contend that the 24-month sentence allocated to Count One exceeded the statutory maximum authorized for that count under
C.
Third, the consecutive sentences were not based solely on Charges 3 and 4 in the Amended Petition, but also on Richards’ admission to Charges 5 and 6, as well as evidence related to some of the underlying conduct at issue in Charge 1. The district court stated that it was taking all the factors and evidence into account, including “the nature and the disturbing conduct that was described by the witnesses,” even though not all of the elements of Charge 1 were “proven by a preponderance.” Moreover, we have held that “[a] district court has discretion to impose concurrent or consecutive sentences after revocation of multiple concurrent
terms of supervised release.” United States v. Xinidakis, 598 F.3d 1213, 1217 (9th Cir. 2010); see also Campbell, 937 F.3d at 1257. Richards’ claim is undercut not only by the fact that his consecutive sentences were based on the government‘s showing on four charges but also by other evidence, including a jail call recorded after Richards’ arrest in which he told an associate that he had additional guns.
We further note that because it appears Richards did not raise his Double Jeopardy Clause claim in the district court, he would have to show plain error to be entitled to relief, see Zalapa, 509 F.3d at 1064, but he has not done so. Richards has not shown that the district court violated the Double Jeopardy Clause or abused its discretion by imposing consecutive sentences based on Counts One and Three of the underlying indictment.
IV
Richards recognizes that on a sufficiency of the evidence challenge, the issue is “whether viewing the evidence in the light most favorable to the government, any rational trier of fact could have found the essential elements of a violation by a preponderance of the evidence.” United States v. King, 608 F.3d 1122, 1129 (9th Cir. 2010) (cleaned up). Nonetheless, Richards contends that the government presented insufficient evidence to establish that he possessed either firearm. He argues that the fact that the Taurus handgun was found near where he was arrested on the freeway off-ramp is insufficient to show actual possession “as
there was no evidence that Mr. Richards ever had physical control over the Taurus—no fingerprints, pictures, eyewitness testimony, or anything else.” Similarly, the loaded Glock 17 handgun was found along the side of a public highway “over a mile from where Mr. Richards was arrested.” He asserts that “the government offered no forensic evidence linking the gun or ammunition to Mr. Richards,” and notes that the witness only assumed that the object thrown from
We cannot conclude, viewing the evidence in the light most favorable to the government, that the judge could not reasonably find, based on a preponderance of the evidence, that both guns (and the ammunition) had been possessed by Richards. See United States v. Nevils, 598 F.3d 1158, 1164 (9th Cir. 2010) (en banc) (“[W]hen ‘faced with a record of historical facts that supports conflicting inferences’ a reviewing court ‘must presume—even if it does not affirmatively appear in the record—that the trier of fact resolved any such conflict in favor of the prosecution and must defer to that resolution.‘” (quoting Jackson v. Virginia, 443 U.S. 307, 326 (1979))). When found, both guns were free of dust, debris, and moisture. One was located where a credible witness testified that she had seen Richards throw it and the other was lying among the debris that Richards had thrown out of the back of his truck. Furthermore, in a recorded jail call, Richards admitted to possessing other weapons that were hidden. Perhaps other
explanations were possible, but none seems as likely as Richards having discarded the guns shortly before his arrest. Richards has not shown that there was insufficient evidence to support the determination that he had violated the conditions of his supervised release.
V
Richards has not shown that the district court violated his rights under the Double Jeopardy Clause or abused its discretion in giving Richards two consecutive 24-month sentences for violating his conditions of supervised release. The district court found by a preponderance of the evidence that Richards had possessed two separate firearms (with ammunition). We reject Richards’ claim that his violations should have been determined beyond a reasonable doubt by a jury, as that argument is not supported by Justice Breyer‘s controlling concurring opinion in Haymond, was previously rejected in Henderson, and has been uniformly rejected by our sister circuits. We reject Richards’ challenges to his consecutive sentences because he was found to have possessed two distinct firearms (with ammunition) which were found in different places and at different times. Moreover, the district court based the sentences on two distinct counts in Richards’ underlying indictment, and the consecutive sentences are supported by evidence proving four charges in the Amended Petition as well as evidence concerning a fifth charge. Finally, Richards has not shown that, when considered
in the light most favorable to the government, a rational trier of fact could not have concluded that the preponderance of evidence established that Richards had possessed the firearms and ammunition.
The district court‘s judgment is AFFIRMED.
CONSUELO M. CALLAHAN
UNITED STATES CIRCUIT JUDGE
Notes
United States v. Coston, 964 F.3d 289, 296 (4th Cir. 2020) (“Overall,
United States v. Garner, 969 F.3d 550, 553 (5th Cir. 2020) (holding that
United States v. Childs, 17 F.4th 790, 792 (8th Cir. 2021) (rejecting Childs’ claim that the revocation of supervised release was unconstitutional because it exceeded the statutory maximum for his underlying conviction, the Eighth Circuit approvingly cited Henderson as holding that Haymond “did not overrule prior opinions ‘which held a term of supervised release may extend beyond the statutory maximum for the underlying substantive offense‘“).
United States v. Salazar, 987 F.3d 1248, 1259–60 (10th Cir. 2021) (noting that Justice Breyer would not transplant the Apprendi line of cases to the supervised-release context and that “[o]ther circuits have also rejected the argument that Haymond undermines prior holdings that Apprendi has no role to play in supervised-release proceedings“).
United States v. Moore, 22 F.4th 1258, 1268 (11th Cir. 2022) (finding that Justice Breyer‘s controlling concurrence in Haymond “does not transport the Apprendi line of cases to the supervised-release context“).
