Court Opinion

ID: 9483345
Source: CourtListenerOpinion
Date Created: 2023-08-05 09:18:15.343536+00
Date Added: 2024-06-11T17:49:34.839405
License: Public Domain

HANSEN, Circuit Judge,
concurring in part and dissenting in part.
The court’s opinion overturns the district court’s factual finding that appellant Wes-terman was a minor participant, makes the factual determination on appeal that he was a minimal participant under § 3B1.2, and remands for resentencing accordingly. The court affirms the district court’s finding that Westerman is not entitled to a three-level reduction under § 2X1.1(b)(2). Because I believe that both of the district court’s factual findings should be affirmed, I concur in part and respectfully dissent in part.
“[Pjarticipant status depends on culpability, which is a ‘determination requiring sensitivity to a variety of factors.’ ” United States v. Hall, 949 F.2d 247, 249 (8th Cir.1991) (quoting United States v. Garvey, 905 F.2d 1144, 1146 (8th Cir.1990)). The district court’s determination of participant status “is a factual determination, not a legal conclusion.” Garvey, 905 F.2d at 1146. Therefore, this court must affirm the district court’s determination unless it was clearly erroneous. Hall, 949 F.2d at 249 (citation omitted). In determining participant status, the court may “consider the stipulation, together with the results of the presentence investigation, and any other relevant information.” U.S.S.G. § 6B1.4(d) (policy statement) commentary. As the majority opinion points out, the district court was not bound by the parties’ stipulation that Westerman was only a minimal participant. See U.S.S.G. § 6B1.4(d) (policy statement).
The district court is criticized for focusing on Westerman’s participation in the arson conduct rather than on the overarching mail fraud conspiracy. In a conspiracy case, however, participants may have “distinct and independently significant roles that do not necessarily reflect substantially less culpability.” United States v. Wilson, 955 F.2d 547, 551 (8th Cir.1992) (citing United States v. Ellis, 890 F.2d 1040, 1041 (8th Cir.1989)). Westerman knew the purpose of the arson was to collect insurance proceeds. In my view, his actions with respect to the arson may properly be considered a distinct and independently significant role in the overall mail fraud conspiracy. The fact that Westerman did not participate in other aspects of the charged conspiracy (in that he did not strike the match or sign the claim form) does not necessarily make him substantially less culpable. Because the arson was crucial to the success of the mail fraud conspiracy, I do not find that the district court improperly focused on Westerman’s actions with respect to the arson.
The district court explained all the factors that it considered in making its factual determination that Westerman was a minor rather than a minimal participant.
*1430First, Mr. Westerman served not only as a driver ... but as a lookout. Mr. Wes-terman knew the purpose of the arson, to collect insurance proceeds, and agreed to assist the Tuckers in intentionally committing the arson. Mr. Westerman and the Tuckers discussed the arson and decided upon a pre-determined location for dropping the Tuckers off prior to the attempted arson and picking up the Tuckers after the attempted arson. While it is true that he may not have shared in the insurance proceeds, he did reap some financial benefit, he received $150 for his involvement. Mr. Wester-man was also aware of the fact that this structure or the operations were designed to explode a residence in a residential area and it was designed that the flames would engulf the residence.
See transcript of sentencing hearing at 22-23. In my view, the first two factors alone could constitute a valid basis for the court’s determination that Westerman was a minor rather than minimal participant. As noted in the Guidelines, the downward adjustment for a minimal participant should be used infrequently. U.S.S.G. § 3B1.2 application note 2.
The court’s opinion asserts that the district court’s reliance on the risk of injury presented by the arson and the potential insurance loss was improper and became a “misapplication of the guidelines as a matter of law” because those factors do not directly define the appellant’s role either as a minimal or minor participant. The opinion concedes, however, that the factors in question are pertinent to the relevant conduct analysis. Determination of participant status involves in part “comparing the acts of each participant in relation to the relevant conduct for which the participant is held accountable, see Guideline 1B1.3.” United States v. Goebel, 898 F.2d 675, 677 (8th Cir.1990) (quoting United States v. Daughtrey, 874 F.2d 213, 216 (4th Cir. 1989)) (emphasis added); see also U.S.S.G. § 3B introductory commentary (The determination of a defendant’s role in the offense is to be made on the basis of all the relevant conduct “and not solely on the basis of elements and acts cited in the count of conviction.”). The scope of the offense itself must be examined as part of the role in the offense determination. Consideration of relevant conduct is necessary to determine Westerman’s level of relative culpability in the mail fraud conspiracy, and “participant status depends on culpability.” See Hall, 949 F.2d at 249 (quoting Garvey, 905 F.2d at 1146). I believe the district court properly included consideration of the defendant’s relevant conduct in its decision-making process.
The court’s opinion concludes that the district court's findings are clearly erroneous. Specifically, it states that:
Contrary to the findings in the PSR, the record clearly shows that appellant was not involved in any planning. The evidence shows that, after the appellant was recruited, Marvin Tucker drove the truck to the scene, got out and told appellant to return to that spot once a certain amount of time had elapsed.
Supra, at 1428. A review of just James Tucker’s testimony, however, portrays further knowledge on Westerman’s part. After explaining how twenty gallons of gas were purchased and placed in five-gallon containers, James Tucker stated the following:
A. I went back to his [Marvin Tucker’s] trailer.
Q. Who did you meet there?
A. At that time nobody. There was just us.
Q. Who is us?
A. Me, Marvin, Tim Westerman. There was the three of us.
Q. What did you do then?
A. We prepared, got prepared for the job. I think Marvin got some channel locks, pliers, and what not out of the tool box. We put on our jumpsuits, found our gloves, changed boots and waited a little bit, and then we left.
See transcript in appellee’s appendix, at 384. Furthermore, the court clearly stated that its findings were not made exclusively upon the information in the PSR, but were made “[a]fter carefully considering the stipulation, the pre-sentence report, argu*1431ment of counsel, as well as the court’s knowledge of the facts and circumstances involving this case, as well as other cases including the Nolands.” See transcript of sentencing hearing at 21.
Because I do not agree that the district court’s determination that Westerman was a minor rather than minimal participant was clearly erroneous, I respectfully dissent from that portion of the opinion.