FILED U.S. COURT OF AP P EALS E LEVEN T HC IRC U IT JUNE 9, 2008 THOMAS K. KAH

N CLERK [ DO NO T P UB L I S H]

I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 07- 11955 N on -A rgum entC al endar

________________________ D . C . D ocketN o. 05 -003 31 -C R -B A E -4 U N I T E D S T A T E S O F A M E R I C A , P la in tif f - A p p e lle e , v ersu s J O H N S C O T T , D e f e n d a n t- A p p e lla n t.

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f o rth e S o u th e rn D is tr ic t o f G e o r g ia

_________________________ ( Ju n e 9, 2008) B efo re A N D E R S O N , M A R C U S an d W IL S O N , C i rcu i tJu d g es. P E R C U R I A M: J o h n S c o tt ap p e a ls h is 1 2 0 - m o n th s e n te n c e , im p o s e d a f te rh e p le d g u ilty to2

on e c ou ntof bank fr aud i n v i ol at i on of 18 U . S . C . § 1 34 4. S cottra i se s f ou r i ss ues on appeal . F i rs t , S cottar gu es thatthe di stri ctcourt ’ s s ent ence of 12 0 m on ths w as no tan up w ar d v ar i ance base d o n fac t ors i n 1 8 U . S . C . § 3 55 3(a) , bu tra ther a n up w ar d d eparture pursuantt o U . S . S . G . § 4 A 1. 3. H e thu s a ss ert s thatthe court c om m i tt e d pr oc e dur a l e rr orby f a i l i ng t o c ons i de rthe appr opr i a t e ne s s of the ne xt c r i m i n a l h i s t o ry c a t e g o ry wh e n i tu p war d l y d e p a r t e d , a s r e q u i r e d u n d e rU. S . S . G. § 4 A 1. 3. S ec on d, S cottar gu es thateven i f the di stri ctcourti m po se d a vari ance r a the rtha n ade pa rtur e , the 18 U . S . C . § 3553( a ) f a c t or s a l one c a nnots uppor tthe extra ordi naryvari ance , part i cul ar l y bec ause m any of the base s f or the se nt ence w e r e a l r e a dy a c c ount e d f ori n the c a l c ul a t e d gui de l i ne r a nge , the r e by m a ki ng the 12 0-m on th sent ence un re as on abl e. T hi rd, S cottcont ends thatthe di stri ctcourt pl a i nl y e rr e d by vi ol a t i ng hi s C onf r ont a t i on C l aus e r i ght s w he n i tc ons i de r e d the hear say e vi dence i n h i s c od ef endant s' pres ent ence i nv es t i gat i on re po rt s ( “ P S I” ), w ith o u t p r o v id in g S c o tt th e o p p o r tu n ity to r e b u t th a t in f o rm a tio n . F in a lly , S c o tt ar gu es thata bre akdo w n i n the re l at i on shi p b etw ee n h i s a tt orney a nd hi m re sul t ed i n i ne f f e c t i ve a s s i s t a nc e of

c ouns e l dur i ng S c ott ' s s e nt e nc i ng he a r i ng. I. S ec ti on 35 53 (a) V ari an ce / S ec ti on 4A 1. 3 D ep artu re W e r e vi e w adi s tr i c tc ourt ' s f a c tua l f i ndi ngs f orc l e a re rr ora nd i t s appl i c a t i on of the gui de l i ne s t o thos e f a c t s de novo. U ni t e d S t a t e s v. K i na r d, 472 F . 3d 1294,3

1 2 9 7 n .3 ( 1 1 th C ir . 2 0 0 6 ) . I n U n ite d S ta te s v . I r iz a rry , 4 5 8 F .3 d 1 2 0 8 , 1 2 1 1 ( 1 1 th C i r. 20 06 ), pet . for c ert . grant ed, 12 8 S . C t . 82 8 (20 08 ), i n d et erm i ni ng w hether a s e n te n c e w a s im p o s e d a s ar e s u lt o f ag u id e lin e s d e p a r tu r e o rav a r ia n c e p u r s u a n t to § 3 5 5 3 ( a ) , w e c o n s id e r e d th e p r o c e s s u n d e r ta k e n b y th e d is tr ic t c o u r t in m a k in g its det erm i nat i on . S peci fi ca l l y, w e f ou nd thatthe se nt ence i m po se d w as a var i ance d u e to th e f

o llo w in g f

a c to r s : T he di stri ctcourtcorr ec t l y c al cul at ed the advi sorygu i del i nes r ange. T he c ourtthe n c ons i de r e d the a de qua c y of thi s r a nge i n the l i ghtof the s e nt e nc i ng f

a c t or s l i s t e d i n 18 U . S . C . s e c t i on 3553( a ) a nd the evi dence pres ent ed atthe se nt enci ng hear i ng . A ft erconcl ud i ng that th e g u i d el i n es ran g e d i d n o tad eq u at el y ad d ress th e fu tu re ri sk D ef endantpo se d t o the pu bl i c, the courtexer ci se d i t s post -B oo ker di s c r e t i on t o i m pos e ar e a s onabl e s e nt e nc e out s i de the s e nt e nc i ng gu i del i nes r ange. I d. a t1211- 1212 ( i nt e rna l c i t a t i ons om i tt e d) ( hol di ng tha tnot i c e r e qui r e d f or up w ar d d eparture w as no tre qu i re d i n thi s c as e bec ause the se nt ence w as an up w ar d v a r ia n c e , w h ic h r e q u ir e s n o n o tic e ) . S ec t i on 4A 1. 3 o f the gu i del i nes a l l ow s ase nt enci ng courtt o u pw ar dl y depart w h e n it b e lie v e s th a t “th e d e f e n d a n t's c r im in a l h is to ry c a te g o ry s u b s ta n tia lly unde r - r e pr e s e nt s the s e r i ous ne s s of the de f e nda nt ' s c r i m i na l hi s t ory orthe lik e lih o o d th a t th e d e f

e n d a n t w ill c o m m it o th e rc r im e s . . . .” U .S .S .G . § 4 A 1 .3 ( a ) ( 1 ) . W h e n d e p a rtin g u p w a r d u n d e r§ 4 A 1 .3 , “th e c o u r t m u s t lo o kf ir s t to the ne xtc r i m i na l hi s t ory c a t e gory . I f tha tc a t e gory a de qua t e l y r e f l e c t s the4

de f e nda nt ' s pa s tc onduc t , the n the c our tm us ts t a t e i t s f i ndi ngs a nd s e nt e nc e the de f e nda ntw i thi n the r a nge f orthe ne w c a t e gory . ” U ni t e d S t a t e s v. W i l l i a m s , 989 F . 2d 11 37 , 11 42 (11th C i r. 19 93 ) ( i nt ernal ci t at i on s om i tt ed). If the courtfi nd s that thi s ne w c a t e gory i s s t i l l i na de qua t e t o r e f l e c tthe de f

e nda nt ' s c r i m i na l hi s t ory , “ the c our tm us tl ook t o the ne xthi ghe s tc a t e gory a nd r e pe a ti t s i nqui ry . ” I d. T o d e te rm in e ar e a s o n ab le s e n te n c e o rim p o s e av a r ia n c e f r o m ad e f

e n d a n t's g u i d el i n e ran g e, th e d i stri ctco u rtm u stco n si d er th e 1 8 U . S . C . § 3 5 5 3 (a) factors, i nc l udi ng the hi s t ory a nd c ha r a c t e r i s t i c s of the de f e nda nt , the ne e d t o r e f

l e c tthe seri o u sn ess o f th e o ffen se, t o p ro m o t e resp ectfo r th e l aw , an d t o p ro v i d e j u st p u n is h m e n t f

o rth e o f f e n s e , a n d th e n e e d to p r o te c t th e p u b lic . S e e 1 8 U .S .C . § 3 5 5 3 ( a ) . B ec ause the di stri ctcourtexpl i ci t l y s t at ed thati tw as cond uct i ng a var i ance p u r s u a n t to 1 8 U .S .C . § 3 5 5 3 ( a ) a n d e n u m e r a te d s e v e r a l o f th e § 3 5 5 3 ( a ) f

a c to r s in a rr i vi ng a ti t s s e nt e nc e , the c ourtc om m i tt e d no pr oc e dur a l e rr orbe c aus e i tw a s not r e q u ir e d to c o n s id e rin te rv e n in g c r im in a l h is to ry c a te g o r ie s a s it w o u ld w e r e it c onduc t i ng a n upw a r d de pa rtur e unde r28 U . S . S . G . § 4A 1. 3. II. R ea so n a b l en ess W e r e vi e w af

i na l s e nt e nc e f

orr e a s onabl e ne s s . U ni t e d S t a t e s v. T a l l e y , 431 F . 3d 78 4, 78 5 (11 th C i r. 20 05 ). In cond uct i ng thi s r evi ew , w e app l y adefe re nt i al5

abus e - of - di s c r e t i on s t a nda r d. G a l l v. U ni t e d S t a t e s , 552 U . S . ___, 128 S . C t . 586, 59 1, 59 7, 16 9 L . E d. 2d 44 5 (20 07 ). W e f i rs tre vi ew w hether the di stri ctcourt co m m i tt ed a p ro ced u ral erro r, su ch as i n co rrect l y cal cu l at i n g th e g u i d el i n es, treat i n g th e g u i d el i n es as m an d at o ry, fai l i n g t o co n si d er th e § 3 5 5 3 (a) factors, im p o s in g as e n te n c e b a s e d o n c le a r ly e rr o n e o u s f a c ts , o rf a ilin g to a d e q u a te ly expl ai n the chosen se nt ence . Id. at___, 12 8 S . C t . at59 7. If there w er e no such procedural errors , w e “ then con si der the subst ant i ve re as on abl enes s of the se nt ence i m pos e d unde ra n abus e - of - di s c r e t i on s t a nda r d. ” I d. ; s e e a l s o U ni t e d S t a t e s v. H u n t, 4 5 9 F .3 d 1 1 8 0 , 1 1 8 2 n .3 ( 1 1 th C ir . 2 0 0 6 ) ( id e n tif y in g d is tin c t in q u ir ie s in to pr oc e dur a l a nd s ubs t a nt i ve a s pe c t s of as e nt e nc e ) . T hi s r e vi e w i nvol ve s i nqui r i ng w he the rthe § 3553( a ) f a c t or s s uppor t e d the s e nt e nc e a nd j us t i f i e d a ny de vi a t i on f r o m th e d e f

e n d a n t’s s e n te n c in g r a n g e . G a ll, 5 5 2 U .S . a t _

__ , 1 2 8 S .C t. a t 6 0 0 . T he fa ct ors pre se nt ed i n § 35 53 (a ) i ncl ud e: ( 1) the na tur e a nd c i r c um s t a nc e s of the of f e ns e a nd the hi s t ory a nd ch aract eri st i cs o f th e d efen d an t ; (2 ) th e n eed t o refl ectth e seri o u sn ess o f th e o ffen se, t o p ro m o t e resp ectfo r th e l aw , an d t o p ro v i d e j u st p u n is h m e n t f

o rth e o f f e n s e ; ( 3 ) th e n e e d f

o rd e te rr e n c e ; ( 4 ) th e n e e d to prot ec tthe pu bl i c; (5) the need t o p rovi de the defendantw i th n ee ded e duc a t i ona l orvoc a t i ona l tr a i ni ng orm e di c a l c a r e ; ( 6) the ki nds of s e nt e nc e s a va i l abl e ; ( 7) the S e nt e nc i ng G ui de l i ne s r a nge ; ( 8) pe r t i ne nt p o lic y s ta te m e n ts o f

th e S e n te n c in g C o m m is s io n ; ( 9 ) th e n e e d to a voi d unw a nt e d s e nt e nc i ng di s pa r i t i e s ; a nd ( 10) the ne e d t o pr ovi de rest i tu t i o n t o v i ct i m s. T a l l e y , 431 F . 3d a t786; s e e 18 U . S . C . § 3553( a ) . “ T he w e i ghtt o be a c c or de d a ny6

gi ven § 35 53 (a ) f

ac t or i s am att ercom m i tt ed t o the soun d d i sc re t i on of the di stri ct court [, ] ” and w e w i l l no t“ subst i tut e our j ud gm enti n w ei gh i ng the re l evantfa ct ors be c aus e ourr e vi e w i s notde novo. ” U ni t e d S t a t e s v. W i l l i a m s , 456 F . 3d 1353, 1363 ( 11th C i r . 2006) ( i nt e rna l c i t a t i ons a nd quot a t i ons om i tt e d) , abr oga t e d on othe rgr ounds by K i m br ough v. U ni t e d S t a t e s , 552 U . S . ___, 128 S . C t . 558, 169 L .E d .2 d 4 8 1 ( 2 0 0 7 ) . I n i t s r e c e ntG a l l de c i s i on, the S upr e m e C our ts t a t e d, In re vi ew i ng the re as on abl enes s of ase nt ence ou t si de the G ui del i nes r a n g e , ap p e lla te c o u rts m a y . . . ta k e th e d e g r e e o f v a r ia n c e in to acco u n tan d co n si d er th e ex t en to f a d ev i at i o n fro m th e G u i d el i n es. W e rej ect , h o w ev er, an ap p el l at e ru l e th atreq u i res ‘ ex trao rd i n ary’ c ir c u m s ta n c e s to ju s tif

y as e n te n c e o u ts id e th e G u id e lin e s r a n g e . W e a l s o r e j e c tthe us e of

ar i gi d m a the m a t i c a l f

orm ul atha tus e s the p e r c e n ta g e o f

ad e p a rtu r e a s th e s ta n d a r d f o rd e te rm in in g th e s tr e n g th of the j ust i fi ca t i on s r equi re d for a s peci fi c s ent ence . G a ll, 5 5 2 U .S . __ , 1 2 8 S .C t. a t 5 9 4 - 9 5 . W h e n as e n te n c in g ju d g e d e te rm in e s th a t a non- gui de l i ne s e nt e nc e i s w a rr a nt e d, “ he m us tc ons i de rthe e xt e ntof the de vi a t i on a nd e ns ur e tha tthe j us t i f i c a t i on i s s uf

f i c i e nt l y c om pe l l i ng t o s uppor tthe de gr e e of the va r i a nc e . ” I d. a t__, 128 S . C t . a t597. H ow e ve r , “ am a j orde pa r tur e s houl d be s uppor t e d by am or e s i gni f i c a ntj us t i f

i c a t i on tha n am i norone . ” I d. I n r e vi e w i ng the s e nt e nc e f

orr e a s onabl e ne s s , a n appe l l a t e c our t“ m a y c ons i de rthe e xt e ntof the de vi a t i on, butm us tgi ve due de f e r e nc e t o the di s tr i c tc our t ’ s de c i s i on tha tthe § 3553( a ) f

a c t or s , on aw hol e , j us t i f y the e xt e ntof

the va r i a nc e . T he f

a c ttha tthe7

appel l at e c ou rtm i gh tre as on abl y have c on cl ud ed thata di ff er entse nt ence w as appr opr i a t e i s i ns uf

f i c i e ntt o j us t i f

y r e ve r s a l of

the di s tr i c tc our t . ” I d. A de f e nda nt c h a lle n g in g h is s e n te n c e b e a r s th e b u r d e n o f e s tab lis h in g th a t it is u n r e a s o n ab le . T a lle y , 4 3 1 F .3 d a t 7 8 8 . T h e d is tr ic t c o u rt a d e q u a te ly c o n s id e r e d th e § 3 5 5 3 ( a ) f a c to r s , b a s in g its de c i s i on, i n pa rt , on S c ott ’ s s ubs t a nt i a l c r i m i na l hi s t ory , i nc l udi ng pr e vi ous f r audre l at ed conv i ct i on s f

or w hi ch S cottre ce i ved n o cri m i nal hi st ory poi nt s, and w hi ch w ere th erefo re n o tacco u n t ed fo r i n h i s ad v i so ry g u i d el i n e ran g e. T h e co u rtal so consi dere d S cott ’ s ong oi ng cr i m i nal cond uct , a f ac t or thatw as al so no tac coun t ed f o rin S c o tt’s a d v is o ry g u id e lin e r a n g e . T h e c o u r t’s d e c is io n to s e n te n c e S c o tt to 120 m onths w a s the r e f

or e r e a s onabl e , be c aus e tha tde c i s i on w a s ba s e d upon the n eed t o refl ectth e seri o u sn ess o f S co tt ’ s o ffen se, as w el l as t o p ro v i d e j u st p u n i sh m en tan d t o p ro t ectth e p u b l i c fro m S co tt ’ s fu rth er frau d u l en tcri m es.

II I. O p p ortu n i ty to R eb u t H ears ay E vi d en ce I n U n ite d S ta te s v . C a s te lla n o s , 9 0 4 F .2 d 1 4 9 0 ( 1 1 th C ir . 1 9 9 0 ) , w e h e ld th a t, “[ a ] c o u rt m a y c o n s id e ra n y in f o rm a tio n ( in c lu d in g h e a r s a y ) , r e g a r d le s s o f its adm i ss i bi l i ty a ttri al , i n d et erm i ni ng w hether f ac t ors e xi stthatw ou l d enh ance a defe nd ant ’ s s ent ence , prov i ded thatthe i nform at i on i s s uffi ci ent l y r el i abl e. ” C as t el l anos, 90 4 F . 2d at14 95 . “ T he di stri ctcourtm ayre l y on such evi dence ‘ as8

lo n g a s th e e v id e n c e h a s s u f f ic ie n t in d ic iao f

r e liab ility , th e c o u rt m a k e s e x p lic it f i ndi ngs of

f a c ta s t o c r e di bi l i ty , a nd the de f e nda ntha s a n oppor tuni ty t o r e butthe e vi de nc e . ’ ” U ni t e d S t a t e s v. Z l a t ogur , 271 F . 3d 1025, 1031 ( 11th C i r . 2001) (i nt ernal ci t at i on s om i tt ed). W h e n ad e f

e n d a n t r a is e s as e n te n c in g a r g u m e n t f o rth e f ir s t tim e o n ap p e a l, w e r e v ie w f

o rp la in e rr o r . U n ite d S ta te s v . A g u illa r d , 2 1 7 F .3 d 1 3 1 9 , 1 3 2 0 ( 1 1 th C i r . 2000) . U nde rpl a i n e rr orr e vi e w , the r e m us tbe ( 1) a n e rr or , ( 2) tha ti s pl a i n, a nd ( 3) tha ta f

f e c t s s ubs t a nt i a l r i ght s . U ni t e d S t a t e s v. S he l t on, 400 F . 3d 1325, 1328- 29 ( 11th C i r . 2005) . I f the s e thr e e pr ongs a r e m e t , w e m a y e xe r c i s e our d is c r e tio n to n o tic e th e e rr o rif it s e r io u s ly a f

f e c ts th e f a irn e s s , in te g r ity , o rp u b lic r e put a t i on of

j udi c i a l pr oc e e di ngs . I d. a t1329. “ A n e rr ori s pl a i n i ti f i s obvi ous a n d c le a ru n d e rc u rr e n t la w .” U n ite d S ta te s v . E c k h a r d t, 4 6 6 F .3 d 9 3 8 , 9 4 8 ( 1 1 th C i r . 2006) . F ora n e rr ort o a f f e c ts ubs t a nt i a l r i ght s , “ i n m os tc a s e s i tm e a ns tha tthe error m usthave been prej ud i ci al : Itm usthave aff ec t ed the ou t com e of the di stri ct c our tpr oc e e di ngs . ” U ni t e d S t a t e s v. O l a no, 507 U . S . 725, 734, 113 S . C t . 1770, 1778, 123 L . E d. 2d 508 ( 1993) . T he pa r ty s e e ki ng t o e s t abl i s h pl a i n e rr orha s the bur de n of

pe r s ua s i on a s t o pr e

j udi c e . S e e U ni t e d S t a t e s v. R odr i gue z , 398 F . 3d 12 91 , 12 99 (11th C i r. 20 05 ).9

S c o tt h a s n o t m e t h is b u r d e n o f p e r s u a s io n a s to d e m o n s tr a tin g th a t a n y p la in error w as prej ud i ci al ; thati s, thati taf fe ct ed the ou t com e of the di stri ctcourt pr oc e e di ngs . T he r e i s no c ons t i tut i ona l r i ghtt o c onf r ont a t i on dur i ng s e nt e nc i ng, a nd the di s tr i c tc ourt ’ s c ons i de r a t i on of the P S I s di d nota f

f e c tthe out c om e of S cott ’ s s ent ence . IV . In ef fe ct i ve A ss i st an ce I ne f f e c t i ve a s s i s t a nc e of

c ouns e l c l a i m s a r e ge ne r a l l y notc ons i de r e d f orthe f ir s t tim e o n ap p e a l, e x c e p t in c a s e s w h e r e th e r e c o r d is s u f f ic ie n tly d e v e lo p e d . U ni t e d S t a t e s v. V e rbi t s ka y a , 406 F . 3d 1324, 1337 ( 11th C i r . 2005) ( a ddr e s s i ng d e f e n d a n t’s in e f

f e c tiv e a s s is ta n c e o f

c o u n s e l c la im b e c au s e r e c o r dw a s s u f f ic ie n tly de ve l ope d) . A n appe l l a t e c ourtge ne r a l l y c annota de qua t e l y de c i de a n i ne f f e c t i ve a s s i s t a nc e of

c ouns e l c l a i m r a i s e d f

orthe f i r s tt i m e on di r e c tappe a l be c aus e the f oc us a ttr i a l w a s notw he the rde f e ns e c ouns e l ’ s a c t i ons w e r e pr e j udi c i a l or s uppor t e d by r e a s onabl e s tr a t e gy . M a s s a r o v. U ni t e d S t a t e s , 538 U . S . 500, 504- 05, 123 S . C t . 1690, 1694, 155 L . E d. 2d 714 ( 2003) . T he pr e f e r abl e m e a ns f

orde c i di ng ac l a i m of

i ne f f e c t i ve a s s i s t a nc e of

c ouns e l i s thr ough a28 U . S . C . § 2255 m ot i on, “ev en if th e r ec o rd co n tain s s o m e in d icatio n o f d ef icien cies in co u n se l’ s p e r f o rm a n c e .” I d .Scott’s reque st for oral argument is denied. 1 10 T h e r e c o u ld b e an u m b e ro f r e a s o n s w h y J o h n s o n m a d e th e d e c is io n s h e d id i n repres ent i ng S cott , and the re cord here i s i nsuffi ci entt o est abl i sh w hether Jo h n so n w as tru l y i n effecti v e o r u sed so u n d strat eg y d u ri n g th e sen t en ci n g p h ase of hi s r e pr e s e nt a t i on. M or e ove r , S c otta r gue s tha tthe r e c or d a s aw hol e s houl d be consi dere d. H ow ever , S cott ’ s c l ai m i s e xp re ss l y l i m i t ed t o the se nt enci ng ph as e, a nd i ti s unc l e a rw ha te f f e c tthe r e c or d a s aw hol e w oul d ha ve on a n a na l y s i s of c ouns e l ’ s pe r f

orm a nc e a ts e nt e nc i ng, w i thoutf ur the rde ve l opm e ntof

the r e c or d. T h u s , w e d e c lin e to c o n s id e rth e s e c la im s o n d ir e c t ap p e a l, w ith o u t p r e ju d ic e to S c ott ’ s abi l i ty t o r a i s e the m l a t e ri n a§ 2255 m ot i on. U pon c ons i de r a t i on of

the r e c or d a nd the pa r t i e s ’ br i e f s , w e di s c e rn no re vers i bl e e rr or. AF F I RME D. 1