United States v. Feldman

                  UNITED STATES COURT OF APPEALS
                            UNITED STATES COURT OF APPEALS
                      FOR THE FIRST CIRCUIT
                                FOR THE FIRST CIRCUIT

                                             

No. 95-1900

                    UNITED STATES OF AMERICA,

                            Appellee,

                                v.

                        JONATHAN FELDMAN,

                      Defendant, Appellant.

                                             

           APPEAL FROM THE UNITED STATES DISTRICT COURT

                FOR THE DISTRICT OF MASSACHUSETTS

         [Hon. Nathaniel M. Gorton, U.S. District Judge]
                                                                 

                                             

                              Before

                     Selya, Stahl and Lynch,

                         Circuit Judges.
                                                 

                                             

     Annemarie Hassett, Federal Defender Office, for appellant.
                                
     Diane Cabo  Freniere, Assistant United States Attorney, with
                                   
whom Donald K. Stern,  United States Attorney, was on  brief, for
the United States.

                                             

                          April 26, 1996

                                             


          SELYA,  Circuit  Judge.   Defendant-appellant  Jonathan
                    SELYA,  Circuit  Judge.
                                          

Feldman pleaded guilty to  a twelve-count indictment charging him

with fraud and interstate transportation of stolen property.  See
                                                                           

18 U.S.C.     1341, 1343,  2314; 42 U.S.C.    408(a)(7)(B).   The

district court convened a disposition hearing on  August 3, 1995.

Using the  version of the  guidelines that was in  effect on that

date, see United  States v.  Harotunian, 920  F.2d 1040,  1041-42
                                                 

(1st  Cir. 1990),  the  court computed  the guideline  sentencing

range (GSR) at 30-37 months  and imposed a 33-month incarcerative

sentence.   Feldman now  challenges the court's  determination of

the GSR and, ultimately, the sentence imposed.  We affirm.

I.  OVERVIEW
          I.  OVERVIEW

          We  draw an  overview of  the facts  necessary  to shed

light on  this appeal  from the Presentence  Investigation Report

(PSI  Report) and the transcript of the disposition hearing.  See
                                                                           

United States v. Dietz, 950 F.2d 50, 51 (1st Cir. 1991).
                                

          The defendant worked  for Norman and Eleanor Rabb  as a

home attendant from May  to October of 1993, assisting  them with

their personal care.  The Rabbs were octogenarians.  In addition,

Mr. Rabb was in  failing health and afflicted by  a deteriorating

mental condition.   The couple  could not  handle their  personal

finances and  a long-time  retainer, herself  seventy-eight years

old, wrote checks to pay their household expenses.

          During  the  course of  his  employment,  the defendant

became  privy to the Rabbs' finances.  Having obtained Mr. Rabb's

social security  number and  the account numbers  for a  Fidelity

                                2


Investments trust account and a Bank of Boston checking  account,

he set out to defraud  the Rabbs upon leaving their employ.   His

modus  operandi involved siphoning funds from  both the trust and
                         

checking  accounts by impersonating  Mr. Rabb, forging negotiable

instruments, and  similar  artifices.   To cover  his tracks,  he

submitted to the postal service change of address forms directing

that all  the Rabbs' business mail be forwarded to the address of

his  own dwelling.   The  defendant then  retained the  mail that

would have  revealed his skulduggery  (such as the  monthly trust

account statements)  and forwarded the remainder to  the Rabbs to

quell  any   suspicions.    All  told,   the  defendant  pilfered

$139,972.00  from  the  trust  account and  $59,423.68  from  the

checking account before his shenanigans were discovered.

II.  DISCUSSION
          II.  DISCUSSION

          The  defendant  challenges  two  rulings  made  by  the

district court in constructing the GSR.  We address these rulings

seriatim.

                   A.  Obstruction of Justice.
                             A.  Obstruction of Justice.
                                                       

          Invoking   U.S.S.G.    3C1.1,1   the   district   court

increased  the  defendant's  offense  level  for  obstruction  of

justice.  In requesting  the two-level enhancement the government

argued  that  the defendant  burned  bank  statements and  checks

belonging  to the  Rabbs in  his fireplace  on October  13, 1994,
                    
                              

     1This  guideline directs  a  two-level  increase  "[i]f  the
defendant  willfully  obstructed  or  impeded,  or  attempted  to
obstruct  or impede,  the  administration of  justice during  the
investigation,   prosecution,  or   sentencing  of   the  instant
offense."  U.S.S.G.  3C1.1 (Nov. 1994).

                                3


after learning that the Federal Bureau of Investigation (FBI) had

launched an  investigation.  The  defendant admitted that  he had

destroyed  documents after  learning  of the  investigation.   He

nonetheless  objected to the upward  adjustment on the basis that

he had  not burned financial data but had only burned drafts of a

will  and  letters of  apology that  he  had written  (though not

mailed) to  the Rabbs.  The district court did not choose between

these  versions but stated in effect that, on either version, the

enhancement applied.

          1.   Adequacy of Findings.  The  defendant asserts that
                    1.   Adequacy of Findings.
                                             

the  district  court  erred  in leaving  unresolved  the  factual

controversy concerning  what the flames  consumed.   We review  a

sentencing court's factual findings under section 3C1.1 for clear

error,  see United States  v. Aymelek, 926 F.2d  64, 68 (1st Cir.
                                               

1991),  but  we  afford   plenary  review  to  essentially  legal

determinations  (such   as  whether  section  3C1.1   includes  a

defendant's allegedly obstructive conduct within its scope),  see
                                                                           

United States v. Emery, 991 F.2d 907, 910 (1st Cir. 1993).
                                

          When a  defendant alleges that a PSI  Report contains a

factual inaccuracy,  the district  court  ordinarily must  either

make  a  finding, up  or  down,  as to  the  allegation, or  else

determine that  no finding is necessary  because the controverted

matter will not be taken  into consideration in connection  with,

or  will not affect, the sentencing decision.   See Fed. R. Crim.
                                                             

P. 32(c)(1); see  also U.S.S.G.   6A1.3 (Nov. 1994).   Thus,  the
                                

sentencing court need not resolve factual conflicts when doing so

                                4


will  serve no  useful purpose.   See  United States  v. Fuentes-
                                                                           

Vazquez, 52 F.3d 394, 397 (1st Cir. 1995); see also United States
                                                                           

v.  Sepulveda, 15  F.3d  1161, 1199-1200  (1st Cir.  1993), cert.
                                                                           

denied, 114 S. Ct. 2714 (1994).  The instant case exemplifies the
                

point:   the  judge was  not obliged  to choose  between the  two

conflicting  accounts  if  under  either  version  the  documents

constituted material evidence.  We explain briefly.

          Given  that the defendant knew of the ongoing FBI probe

and  nonetheless intentionally  incinerated  documents, the  only

question that remained was whether the documents in the pyre were

material to the investigation.  See United States v. St. Cyr, 977
                                                                      

F.2d  698, 705  (1st  Cir. 1992)  (explaining that  a defendant's

actions  must  impede  the  government's  investigation  in  some

material  way to trigger  an obstruction enhancement).   The bank

records that  the government described  plainly met the  test for

materiality.  In the alternative, the government argued that even

if  the defendant  had been  toasting  letters of  apology, those

letters would  also be material  and, hence, the  defendant would

still  be  guilty  of  an  obstruction  of  justice  within   the

contemplation of  section 3C1.1.   The record indicates  that the

lower court accepted this reasoning.  The court stated:

          [T]he defendant burned certain material after
          he knew  about the investigation  that was in
          progress and  that he did so  in this Court's
          mind   with   an  idea   of   preventing  the
          Government  from obtaining  relevant material
          evidence.

          Three   principles    guide   our   review    of   this

determination.    First,  the  test  for  materiality  under  the

                                5


obstruction-of-justice guideline  is not  stringent.   See United
                                                                           

States v. Ovalle-Marquez, 36 F.3d 212, 226 (1st Cir. 1994), cert.
                                                                           

denied, 115  S. Ct. 947, 1322  (1995); St. Cyr, 977  F.2d at 705.
                                                        

Second, a  sentencing judge's finding of  materiality is reviewed

only for clear error.   See United States v. Biyaga, 9  F.3d 204,
                                                             

205 (1st Cir. 1993); United States v. Pineda, 981  F.2d 569, 574-
                                                      

75 (1st Cir.  1992).   Third, the  Sentencing Commission  defines

"material"  evidence in this context as evidence that "would tend

to influence or affect the  issue under determination."  U.S.S.G.

 3C1.1,  comment. (n.5)  (Nov. 1994); see  also United  States v.
                                                                        

Kelley, 76 F.3d 436, 441 (1st Cir. 1996).
                

          These  three   principles  counsel  rejection   of  the

defendant's  assignment of error.   The papers that the defendant

burned  were material if  they could have  influenced or affected

the  official investigation  into  his fraud.    If those  papers

included  the  Rabbs'  bank  statements  and  checks  (which  the

defendant  had intercepted  and which  were never  located), they

were obviously material.2   If, however, the  papers included the

defendant's written apologia  to the Rabbs,  then they were  also

material.  A letter of apology to the victims of a crime, even in

draft form,  is tantamount  to a confession  of guilt.   Had this

voluntary   confession,  in  the  defendant's  handwriting,  been

uncovered  in his home on  that October afternoon,  it would have

had the potential to influence the investigation of the fraud.

                    
                              

     2The defendant claims somewhat unconvincingly that he "lost"
all the bank records and checks belonging to the Rabbs.

                                6


          In  this case, all roads  lead to Rome.   Regardless of

which  version  of events  the  sentencing  court believed,  both

entailed  the destruction of material  evidence in the  face of a

known  investigation.   Thus,  we descry  no  clear error  in the

sentencing court's determination that the defendant's burning  of

evidence   whether bank records or letters of apology   warranted

an upward adjustment under section 3C1.1.  By the same token, the

district court  did not  err in  declining to  spin the  web more

finely  by making a particularized finding as to the exact nature

of the documents that were burned.

          This conclusion  likewise  stills the  defendant's  cry

that the district court  abused its discretion when it  failed to

hold  an  evidentiary  hearing  to resolve  the  factual  dispute

concerning the  nature  of the  burned  documents.   Because  the

defendant  destroyed evidence  material to  the investigation  on

either  version  of the  facts, the  evidentiary hearing  that he

demanded would have  amounted to  an empty charade.   A  district

court need not   indeed, should not   hold an evidentiary hearing

when nothing will turn on it.3

          2.   Fifth Amendment.  The  defendant's backup argument
                    2.   Fifth Amendment.
                                        
                    
                              

     3The defendant  also contends that the  district court erred
in failing to  make a  factual finding that  the defendant  acted
willfully and  with specific  intent to avoid  responsibility for
the fraud.    This contention  misperceives  the record.    Judge
Gorton did make  an explicit finding  of specific intent,  noting
that the  defendant's act of burning documents occurred "after he
knew about the investigation  that was in progress" and  that the
defendant  had in mind "an idea of preventing the Government from
obtaining  relevant material  evidence."   We require  no greater
precision  from  a  sentencing  court.    See  United  States  v.
                                                                       
Gonzales, 12 F.3d 298, 299-300 (1st Cir. 1993).
                  

                                7


on obstruction  of justice involves a  strained interpretation of

the  constitutional  right against  compelled self-incrimination.

He  posits that  the  papers he  burned  were personal  papers   

letters of apology   not prepared in the course of committing the

offense, and he asseverates that it was  his constitutional right

to   incinerate  these   personal  papers   in  order   to  avoid

incriminating   himself.     This   argument   misconstrues   the

protections that the Fifth Amendment offers.

          The  law  is clear  that,  though  the Fifth  Amendment

protects  against  the  compelled  preparation  of  incriminating

documents  as  well  as   the  compelled  production  of  private

documents when the act of production itself is incriminating, the

Amendment does  not act  as a  general bar  to the production  of

private information  voluntarily prepared.  See  United States v.
                                                                        

Doe,  465 U.S. 605, 610-11  (1984); Fisher v.  United States, 425
                                                                      

U.S. 391, 400-01 (1976).  Once  an individual chooses voluntarily

to prepare a written account, the act of preparation serves as an

effective waiver of the Fifth  Amendment's protections.  See Doe,
                                                                          

465  U.S. at 610-11.  In other  words, just as a defendant cannot

begin to testify  at trial and  then change his  mind, a  suspect

cannot create a testimonial communication embodying incriminating

admissions and then  choose to destroy it  when he knows that  it

has become relevant to an ongoing criminal investigation.

          In  this  instance,  the  defendant  concedes  that  he

voluntarily  prepared  letters  of   apology,  but  he  claims  a

privilege on  the  basis that  the  letters were  private  papers

                                8


unrelated to the commission  of the crime.   This point does  not

aid the defendant's quest.

          The  Fifth Amendment does not deal  with the privacy of

the contents of documents, but, rather, with the voluntariness of

their preparation and production.   See Fisher, 425 U.S.  at 401.
                                                        

This  court has  stated  that  if  the  privilege  against  self-

incrimination applies at all  to the contents of  private papers,

it does so  "only in rare situations, where  compelled disclosure

would break the heart of our sense of privacy."  In re Grand Jury
                                                                           

Subpoena, 973 F.2d 45, 51 (1st Cir. 1992) (citations and internal
                  

quotation  marks  omitted).    The  defendant's  letters,  as  he

describes them, do not fit this mold.

          The appellant  goes one  step further when  he suggests

that the  privilege against self-incrimination includes the right

to  destroy  voluntarily  prepared   documents.    Otherwise,  he

maintains, any time a defendant authors personal notes that might

aid  an investigation, and  later decides to  eradicate them, the

fact  of destruction  could be  used to  enhance his  punishment.

This may be so   but the contention that such a rule violates the

privilege against self-inculpation  distorts the contours  of the

Fifth  Amendment.   There  is simply  no constitutional  right to

destroy evidence.

          The Supreme Court made the  point bluntly in Segura  v.
                                                                       

United States, 468 U.S.  796 (1984).  There the Court stated that
                       

the very  idea  of such  a right  "defies both  logic and  common

sense."  Id. at  816; accord United States v.  Corral-Corral, 899
                                                                      

                                9


F.2d 927, 930 (10th Cir. 1990); Hancock v. Nelson, 363 F.2d  249,
                                                           

254 (1st Cir. 1966), cert. denied, 386 U.S. 984 (1967).  Though a
                                           

person  ordinarily may refuse to prepare  or produce any evidence

that is self-incriminating, see,  e.g., Andresen v. Maryland, 427
                                                                      

U.S. 463, 475 (1976), that privilege  in no way suggests that the

person  may take  affirmative action  to destroy evidence    even

evidence that  he himself  has created    once he  is aware  that

authorities  are searching for it  (or something like  it).  That

act  of affirmative  misconduct,  undertaken with  the intent  of

hindering an extant investigation, is the paradigmatic example of

an  obstruction  of  justice.    See  U.S.S.G.   3C1.1,  comment.
                                              

(n.3(d)) (Nov. 1994).

          Nor  do  the sentencing  guidelines  provide a  special

layer  of swaddling.  To be sure, the Sentencing Commission wrote

that the  enhancement for obstruction of justice "is not intended

to  punish  a  defendant for  the  exercise  of a  constitutional

right."   U.S.S.G.   3C1.1, comment.  (n.1)  (Nov. 1994).    This

reminder  of Fifth  Amendment  safeguards simply  means that  the

enhancement should not apply to a defendant who does no more than

stand  upon  his  rights,  say, by  maintaining  his  silence  or

refusing  voluntarily to  disclose  evidence of  his guilt.   See
                                                                           

Thomas W. Hutchison  & David Yellen,  Federal Sentencing Law  and
                                                                           

Practice     3C1.1  author's   comment  4  (1994).    Affirmative
                  

misconduct, however,  is the intended target  of the obstruction-

of-justice  enhancement, and, as  such, increasing  a defendant's

sentence  for  affirmative  misconduct  does  not  trespass  upon

                                10


protected terrain.

          In sum,  the defendant's  act of  burning incriminating

documents was not shielded  by the Fifth Amendment even  if those

documents comprised  personal  papers that  he  himself  created.

Hence,  the  sentencing court  did not  err  when it  applied the

section 3C1.1 enhancement in this case.4

                     B.  Vulnerable Victims.
                               B.  Vulnerable Victims.
                                                     

          Feldman's second  assignment  of error  calumnizes  the

district  court's imposition  of  a  two-level upward  adjustment

attributable to the Rabbs' status as vulnerable victims.5 

          1.   Generic  Traits.   The defendant's  first sally   
                    1.   Generic  Traits.
                                        

which contends that the sentencing court applied the  wrong legal

standard  because   it  based  the  enhancement   on  the  Rabbs'

membership in a generic  class of elderly persons rather  than on

some individualized vulnerability that  they might have possessed

  need not occupy us for long.  We are in  general agreement with

the  defendant's premise:   in  determining  the propriety  of an

upward  adjustment  for  vulnerability,  the  sentencing  court's

sights   must    be   trained   on    the   victim's   individual
                    
                              

     4At oral  argument defense counsel suggested  that the Fifth
Amendment  applied here  because  the  letters  were  preliminary
drafts  rather than finished products.   We do  not consider that
argument.  It was not made below,  it was not made in the briefs,
and it was  not developed at any time.   It is, therefore, triply
waived.

     5The guidelines provide  for a  two-level upward  adjustment
when an  offender "knew or should have known that a victim of the
offense was unusually vulnerable  due to age, physical  or mental
condition,   or  that   a  victim   was  otherwise   particularly
susceptible  to the  criminal  conduct."   U.S.S.G.  3A1.1  (Nov.
1994).

                                11


characteristics.   Thus, in order to warrant a finding of unusual

vulnerability, there must be some evidence, above and beyond mere

membership  in a large class, that the victim possessed a special

weakness  that the  defendant exploited.   See  United  States v.
                                                                        

Smith,  930 F.2d 1450,  1455 (10th  Cir.) (holding  that advanced
               

age,   without  more,   does  not   render  a   victim  unusually

vulnerable), cert. denied, 502  U.S. 879 (1991); see  also United
                                                                           

States v. Rowe, 999 F.2d 14,  17 (1st Cir. 1993) (cautioning that
                        

courts  cannot predicate  a finding  of unusual  vulnerability on

generalizations about large classes to which the victim belongs).

           Contrary  to the  defendant's importuning,  the record

reflects  that the  district  court apprehended  and applied  the

standard enunciated above.   This conclusion is buttressed in two

separate  ways.  First,  at the  sentencing hearing  Judge Gorton

explicitly found  (a) that "the  defendant knew that  the victim,

Norman  Rabb,  was elderly  and  that his  mental  faculties were
                                                                           

failing"  (emphasis  supplied),   and  (b)  that  the   defendant
                 

proceeded to exploit this condition.  Second, the judge expressly

adopted  the factual  findings contained  in the  PSI Report    a

document  that  made  clear,  inter   alia,  that  Mr.  Rabb  was
                                                    

physically  debilitated and that the Rabbs  were unable to handle

their  personal finances.  We have accepted such findings as long

as the purport and intent of the sentencing court is clear.   See
                                                                           

United  States  v. Savoie,  985 F.2d  612,  620 (1st  Cir. 1993).
                                   

These adopted findings qualify under that test.

          To say more would be supererogatory.  The record simply

                                12


does not bear out the claim that the sentencing court applied the

enhancement only  because the Rabbs were  octogenarians or shared

certain generic aspects of a class of elderly persons.

          2.  Targeting.   The defendant  also contends that  the
                    2.  Targeting.
                                 

sentencing  court erred  in  applying section  3A1.1 because  the

government  did not show that he  targeted the Rabbs due to their

particular  vulnerability to  the planned  fraud.   This argument

prescinds from the Sentencing Commission's advisory (now revoked,

but  in  effect on  the date  of  Feldman's sentencing)  that the

adjustment  here  in  question  "applies  to  offenses  where  an

unusually vulnerable victim is made a target of criminal activity

by the defendant."  U.S.S.G.  3A1.1, comment. (n.1)  (Nov. 1994).

The defendant maintains that, unless we are prepared to disregard

Rowe's interpretation  of the  "target" language, the  government
              

must demonstrate  that the offender selected  his victims because

of some "special susceptibility."  Rowe, 999 F.2d at 17.
                                                 

          A backward glance helps to place this asseveration into

perspective.  Application Note 1, in its pre-1995 form, proved to

be controversial.  In particular, the "target" language split the

circuits on the issue of whether the government had to prove that

the defendant was motivated by the victim's special vulnerability

in  order to  lay a  foundation for  the upward  adjustment, see,
                                                                          

e.g., United States  v. Smith, 39 F.3d 119,  124 (6th Cir. 1994);
                                       

United States  v. Cree,  915 F.2d  352, 354  (8th Cir. 1990),  or
                                

whether  the  government merely  had to  show that  the defendant

targeted his  victim with the knowledge  (actual or constructive)

                                13


that  the  victim was  unusually  vulnerable,  see, e.g.,  United
                                                                           

States  v. O'Brien, 50 F.3d 751, 754-55  (9th Cir. 1995).  Dictum
                            

in Rowe  tended to edge this  court toward the former  view.  See
                                                                           

Rowe, 999 F.2d at 17.
              

          We  need not probe the point more deeply.  For purposes

of the  case at hand,  the dispute is  academic; either  way, the

proof suffices.  As  for future cases, the  Sentencing Commission

has  removed all reasonable  doubt by amending  the commentary to

section  3A1.1.  In an  effort to resolve  "some inconsistency in

the  application  of   3A1.1  regarding whether  this  adjustment

required proof  that the  defendant had  `targeted the  victim on

account of the victim's vulnerability,'" U.S.S.G. App. C., Amend.

521,  at 430  (Nov. 1995),  the Commission  deleted  the "target"

language.   The revised  note merely  states that  the vulnerable

victim  provision "applies  to  offenses  involving an  unusually

vulnerable victim in  which the  defendant knows  or should  have

known of  the victim's unusual vulnerability."   U.S.S.G.  3A1.1,

comment.  (n.2) (Nov. 1995).  In future cases this provision, not

our statements in Rowe, will govern.
                                

          Applying  Rowe  generously,  i.e.,  assuming  arguendo,
                                                                          

favorably to Feldman, that targeting was an essential  element of

the government's proof, the  defendant's argument founders.  Rowe
                                                                           

merely requires that a special susceptibility have  been a factor

in the offender's process of selecting  his prey.  See id. at 16-
                                                                    

17 & n.3.  This means that  the government did not need to  prove

here  that  the defendant  set  out  to  defraud elderly,  infirm

                                14


people,  and targeted the  Rabbs because they  fit the bill.   It

also means that  the government  did not need  to prove that  the

Rabbs' infirmities were the sole reason that the defendant zeroed

in on them.   Even under the Rowe regime,  expansively construed,
                                           

the government had to  show only that the defendant  selected the

Rabbs  as his  victims  in part  because  they were  elderly  and

infirm.   See Cree, 915 F.2d at 354 (explaining that "enhancing a
                            

defendant's sentence  based on victim vulnerability  is justified

only when a  defendant's actions  in some way  exploited or  took
                                                       

advantage of that vulnerability") (emphasis supplied).

          The  record  in this  case  contains  more than  enough

evidence to  justify a finding  that the  defendant targeted  the

Rabbs  because of their vulnerability.  After all, he entered the

Rabbs'  employ  only  because  of  their  infirmity and,  in  his

capacity as a home care assistant, he gained copious knowledge of

their  afflictions.   Knowing  of their  diminished capacity,  he

obtained  information necessary  to carry  out  his plot.   Given

these and other facts,  we believe that the record  establishes a

nexus   between   victims'   susceptibility    and   victimizer's

criminality adequate  to establish targeting.   See United States
                                                                           

v. Pavao,  948 F.2d 74, 78  (1st Cir. 1991).   Thus, the district
                  

court's  finding  that  the  defendant targeted  his  victims  on

account of their age and infirmity warrants our approbation.

          We need  go no further.   Here, the  defendant selected

his  victims because he had been their personal caretaker and had

discovered their vulnerabilities at first hand.  The victims were

                                15


elderly, in failing  health, and  no longer in  control of  their

finances.  The  defendant enacted his scheme  with full knowledge

that  these  vulnerabilities  would  make  his  crime  easier  to

accomplish.  Consequently, the district court did not clearly err

in determining that the Rabbs were vulnerable  victims within the

scope  of U.S.S.G.   3A1.1, and  that the defendant  had targeted

them on that basis.

Affirmed.
          Affirmed.
                  

                                16