Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-ca10-92-06265/USCOURTS-ca10-92-06265-0/pdf.json

Parties Involved:
Alan Joseph Rockford
Appellant
United States of America
Appellee

Document Text:

UNITED STATES COURT OF 

TENTH CIRCUIT 

UNITED STATES OF AMERICA, 

Plaintiff-Appellee, 

v. 

ALAN JOSEPH ROCKFORD, 

Defendant-Appellant. 

F l Leo~jlppea1s 

United sr:th cf rcuit 

APPEALS 

M~R3 l 1993 

EOBERT L. HOECKER 

" Clerk 

No. 92-6265 

(D.C. No. CR-91-53-1) 

(W. Dist. Okla.) 

ORDER AND JUDGMENT* 

Before SEYMOUR, ANDERSON, and EBEL, Circuit Judges. 

After examining the briefs and appellate record, this panel 

has detennined unanimously that oral argument would not materially 

assist the detennination of this appeal. See Fed. R. App. P. 

34 (a); 10th Cir. R. 34.1.9. The cause is therefore ordered 

submitted without oral argument. 

Alan Joseph Rockford was charged in a 33 count indictment, 

and pled guilty to charges of conspiracy to possess with intent to 

distribute cocaine in violation of 21 U.S.C. §§ 84l(a) (1), 846 

(1988), and of money laundering in violation of 18 U.S.C. § 

*This order and judgment has no precedential value and shall not 

be cited, or used by any court within the Tenth Circuit, except 

for purposes of establishing the doctrines of the law of the case, 

res judicata, or collateral estoppel. 10th Cir. R. 36.3. 

Appellate Case: 92-6265 Document: 010110199145 Date Filed: 03/31/1993 Page: 1 
1956(a) (1) (A) (i). Mr. Rockford objected to the presentence 

report, and a hearing was held at the sentencing proceeding on 

July 14, 1992. The district court accepted two of his objections 

and denied the remainder, sentencing him to concurrent 240 month 

terms of imprisonment and 3 years supervised release. Mr. 

Rockford appeals, and we affirm. 

Mr. Rockford ran a cocaine distribution scheme in Oklahoma 

City, Oklahoma, from about 1983 until his arrest in 1991. He flew 

to Miami, Florida several times to pick up a kilo of cocaine for 

distribution in Oklahoma City. Mr. Rockford also recruited 

individuals to make the trip to Miami and to carry the cocaine 

back to Oklahoma City. In addition to codefendant Eugene Miles, 

two other persons carried cocaine from Miami to Oklahoma City 

while traveling with Mr. Rockford. 

Mr. Miles entered into a plea arrangement whereby he would 

receive a ten year sentence in exchange for cooperating in the 

investigation. His assistance aided the government in determining 

the amount of cocaine involved in the operation as well as 

detailing Mr. Rockford's role in the distribution scheme. 1 Mr. 

Rockford's sentence was adjusted upward because the district court 

1 The government also received testimony from Mr. Rockford's 

ex-wife (which was found to be not wholly credible by the district 

court), as well as information a detective gathered from other 

participants in the cocaine distribution scheme. 

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Appellate Case: 92-6265 Document: 010110199145 Date Filed: 03/31/1993 Page: 2 
found that he was a leader or organizer of a criminal activity 

involving five or more participants and which was otherwise 

extensive. U. S.S.G. § 3Bl.l(a). An Oklahoma driving under the 

influence (DUI) conviction and a Colorado assault conviction 

increased his criminal history category to II. Mr. Rockford 

contends the evidence does not support the finding that he is a 

leader or organizer of a cocaine distribution scheme, that his 

criminal history is overstated warranting a downward departure, 

and that the court should have departed downward based on his 

diminished mental condition. 

Mr. Rockford first objects to the upward adjustment of his 

sentence due to the court's finding that he was a leader or 

organizer of a criminal activity involving five or more 

participants and that was otherwise extensive. U.S.S.G. § 

3Bl.l(a). The court found that more than five participants were 

involved in this activity, including three who made the trip to 

Miami, two who sold cocaine for Mr. Rockford in Oklahoma City, the 

Miami source, and Mr. Rockford himself. The court based its 

finding that the activity was "otherwise extensive" on several 

factors including Mr. Rockford maintaining a cocaine connection in 

Miami; recruiting persons to transport the cocaine back to 

Oklahoma City; soliciting others to sell cocaine for him; and a 

weapons arsenal to protect the operations. Additionally, the 

amount of cocaine involved coupled with the length of time of the 

cocaine distribution scheme add to the extensiveness of the 

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Appellate Case: 92-6265 Document: 010110199145 Date Filed: 03/31/1993 Page: 3 
activity. Mr. Rockford further asserts that his codefendant, Mr. 

Miles, was the leader or organizer. We are not persuaded. 

Although Mr. Miles has been involved in illegal drug activity 

since the 1970's and had at times sold cocaine to Mr. Rockford, 

the facts regarding Mr. Rockford's involvement support the finding 

that he was the leader of the cocaine scheme . Our review of the 

record indicates that the district court thoroughly considered Mr. 

Rockford's role in this offense. The district court's finding 

that Mr. Rockford was a leader or organizer of a cocaine 

distribution scheme warranting an increase in his sentencing 

guidelines range was not clearly erroneous. United States v. 

Bernaugh, 969 F.2d 858, 862 (10th Cir. 1992). 

Mr. Rockford also claims that his criminal history was 

"overstated." At the sentencing hearing , he objected to a 1987 

DUI conviction, arguing that the charge was closely related to the 

cocaine charge and should not be considered separate. The court 

found that the two offenses are separate. On appeal, Mr. Rockford 

concedes that the DUI is not legally related to the cocaine 

distribution charge, but maintains that inclusion of the charge 

overstates his criminal history and warrants a downward departure . 

He also complains that a misdemeanor assault charge in Colorado 

should not have been included in his criminal history because the 

charge was effectively expunged. The probation officer who 

prepare d t he presentence report, however, contacted Colorado 

authorities and was told the charge was not expunged. The 

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Appellate Case: 92-6265 Document: 010110199145 Date Filed: 03/31/1993 Page: 4 
probation officer was told that although the charge was considered 

dismissed, in Colorado it would nevertheless be counted in 

calculating criminal history. Rec . , vol. III, at 90. 

The court carefully considered both of Mr. Rockford's 

objections to his criminal history and his request for a downward 

departure but declined to depart downward from the guidelines. 

U.S.S.G. § 4Al.3, p . s. We can not review a district court's 

refusal to depart downward when the sentence imposed is within the 

guideline range. United States v. Roberts, 980 F.2d 645, 648 

(10th Cir. 1992 ) . Mr. Rockford's sentence of 240 months is within 

the guideline range. 

The district court also declined to depart downward on the 

basis of Mr. Rockford's mental condition and drug and alcoho l 

abuse. Although, we generally can not review the district court's 

refusal to exercise its discretion to depart downward from the 

sentencing guidelines, United States v. Eagan, 965 F.2d 887, 893 

(10th Cir. 1992 ) , we may review sentences imposed through 

incorrect applications of the sentencing guidelines, 18 U.S.C. 

3742 (a) (2) (1988 ) ; United States v. Pettit, 938 F.2d 175, 177-78 

(10th Cir. 1991) . Mr. Rockford alleges that the district court 

incorrectly applied policy statement 5K2.13 of the sentencing 

guidelines, and that we therefore have jurisdiction. 

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Appellate Case: 92-6265 Document: 010110199145 Date Filed: 03/31/1993 Page: 5 
Mr. Rockford argues that the district court, after 

acknowledging his mental condition and drug and alcohol abuse, did 

not consider whether these problems were a contributing factor to 

his involvement in the instant criminal activity thus warranting a 

downward departure under section 4Al.3. The record reveals, 

however, that the court clearly considered the connection between 

Mr. Rockford ' s mental condition and his criminal activity: Mr. 

Rockford's conduc t "required the exercise of faculties that could 

be expected only of a person in possession of his senses, 

cognition and volition. And in the course of criminal conduct he 

exercised those faculties to a high degree." Rec . , vol. III, at 

112. The court then stated, "I'm not going to exercise discretion 

to depart downward on that basis." Id. 

The district court's imposition of sentence is AFFIRMED. 

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Entered for the Court 

Stephanie K. Seymour 

United States Circuit Judge 

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