United States v. Malone

                   United States Court of Appeals,

                           Eleventh Circuit.

                             No. 94-6525.

            UNITED STATES of America, Plaintiff-Appellee,

                                    v.

            John Willie MALONE, Jr., Defendant-Appellant.

                            March 27, 1996.

Appeal from the United States District Court for the Southern
District of Alabama. (No. CR 93-00242-RV), Richard W. Vollmer, Jr.,
Judge.

Before TJOFLAT,    Chief   Judge,   DYER    and   GARTH*,    Senior     Circuit
Judges.

     GARTH, Senior Circuit Judge:

     Defendant    John   Willie   Malone,   Jr.,   who      was   one   of   two

defendants, entered a conditional plea of guilty to each count of

a three-count indictment, charging him with conspiracy to commit

armed robbery of an automobile, the substantive crime of armed

robbery of an automobile, and use of a firearm during a crime of

violence.    The district court sentenced Malone to a total of 97

months incarceration, joint and several restitution of $554.00, and

a special assessment of $150.         On appeal, Malone contests the

district court's imposition of a two-level "vulnerable victim"

enhancement to his sentence.      See U.S.S.G. § 3A1.1.1

     *
      Honorable Leonard I. Garth, Senior U.S. Circuit Judge for
the Third Circuit, sitting by designation.
     1
      Malone had also originally raised a Double Jeopardy
challenge to multiple punishments under 18 U.S.C. § 2119 and 18
U.S.C. § 924(c). At oral argument, however, Malone conceded that
this ground for appeal could not be sustained in light of the
Eleventh Circuit's decisions in United States v. Moore, 43 F.3d
568, 574 (11th Cir.1995), cert. denied, --- U.S. ----, 116
S.Ct.2d 212, 133 L.Ed.2d 144 (1995); and United States v.
       We have jurisdiction pursuant to 18 U.S.C. § 3742(b) and 28

U.S.C. § 1291.       We hold that on this record, the evidence discloses

that Malone specifically targeted his carjacking victim based on

the latter's professional and legal obligations as a cab driver

dispatched to pick up a fare.          The dispatched cab driver in this

case   was    thus    a   victim   particularly    susceptible    to   criminal

conduct. We therefore affirm the sentence imposed on Malone by the

district court.

                                       I.

       At or around noon of November 16, 1993, John Willie Malone,

Jr. and Marvin Osbey called the Yellow Cab Company and asked for a

cab to pick them up in the Hart Street area of Mobile, Alabama, a

residential neighborhood populated by few people and which had no

busy streets.        Philemon Canfield, a taxi driver, responded to the

call. Canfield testified that under a City of Mobile ordinance, he

was required to respond to every call given by the dispatcher and

to pick up every passenger, unless the passenger is "so drunk that

[he    or    she]    can't   stand   up"    or    is   "very   argumentative."

(Transcript of Sentencing, May 9, 1993, at 54).                  Malone seated

himself in the front seat, and Osbey sat in the back seat.

       Once in the cab, Osbey pulled out a .38 caliber revolver, held

it against Canfield's neck, and cocked the hammer.               Malone ripped



Martin, 38 F.3d 534, 535 (11th Cir.1994), cert. denied, --- U.S.
----, 115 S.Ct. 2290, 132 L.Ed.2d 292 (1995). Moore and Martin
hold that the Double Jeopardy Clause does not bar the imposition
of cumulative punishments under both 18 U.S.C. § 2119 and 18
U.S.C. § 924(c) because even though these two statutes fail the
same elements test of Blockburger v. United States, 284 U.S. 299,
52 S.Ct. 180, 76 L.Ed. 306 (1932), Congress intended cumulative
punishments under both statutes.
out   the    two    radios    in   the    cab    to   prevent    Canfield   from

communicating with anyone.           The defendants forced Canfield, at

gunpoint, to drive around several blocks.             While they were driving

around, Malone searched Canfield and the cab and took all of

Canfield's money.         They finally stopped about three blocks away

from the initial pick-up location.              Malone then told Canfield to

get out of the cab, and he and Osbey stole the cab.

      On December 16, 1993, Malone was indicted for (1) conspiracy

to commit armed robbery of an automobile in violation of 18 U.S.C.

§ 371, (2) armed robbery of an automobile in violation of 18 U.S.C.

§ 2119, and (3) use of a firearm during a crime of violence, in

violation of 18 U.S.C. § 924(c).

      On February 9, 1994, Malone moved to dismiss Counts Two and

Three, on the ground that they were each lesser included offenses

of Count One and that to charge him with all three counts would

subject     him    to   multiple   punishments    for    the   same   offense    in

violation of the Fifth Amendment Double Jeopardy Clause.                        The

district court denied the motion by endorsement order of February

10, 1994.

      On February 16, 1994, Malone entered a conditional plea of

guilty to all counts, reserving his right to appeal the district

court's denial of his motion to dismiss Counts Two and Three of the

indictment.

      By Order of April 22, 1994, the district court found, based on

the   Presentencing       Investigation    Report,      that   Canfield   was    an

unusually vulnerable victim because the defendants had called for

a cab, knowing that the cab driver would have to respond to the
call, intending to rob the cab driver.                (Order of April 22, 1994 at

2).

       At   the    sentencing      hearing,      at    which    Canfield       and    both

defendants testified, the district court stated:

            This Court finds that under the circumstances of this
       case, this individual was subject particularly to this type of
       criminal conduct when he drives a cab and is required to go
       into areas of danger where he is in an area or at least your
       client testified, there were very few people on the street in
       this area.

(Transcript of Sentencing Hearing, June 1, 1994, at 117-18).                           The

district court then upwardly adjusted Malone's offense level by two

levels pursuant to U.S.S.G. § 3A1.1.                     Malone objected to the

"vulnerable victim" sentence enhancement.

       By Judgment entered June 1, 1994, the district court sentenced

Malone to 37 months for Counts 1 and 2 to run concurrently;                          and 60

months for Count 3, to run consecutively, for a total of 97 months

of    incarceration.      The      court    also      imposed       joint    and    several

restitution of $554.00 and a total special assessment of $150.

                                           II.

                                           A.

        Malone argues that the district court erred in enhancing his

sentence under U.S.S.G. § 3A1.1 on the ground that the victim in

this case, being a cab driver, was particularly vulnerable to

carjackings.        " "The district court's application of § 3A1.1

presents a mixed question of law and fact, which we review                               de

novo.' "      United States v. Thomas, 62 F.3d 1332, 1344 (11th

Cir.1995) (quoting United States v. Davis, 967 F.2d 516, 523 (11th

Cir.1992),        rehearing   on    other        grounds,      30     F.3d    108     (11th

Cir.1994)). We have recognized, however, that the district court's
determination      of     a   victim's         "vulnerability"         is    essentially      a

factual finding to which we should give due deference.                              See United

States    v.    Salemi,       26   F.3d    1084,       1087    (11th    Cir.1994)        ("The

determination of vulnerability is a factual finding which is

entitled to due deference on review") (citation omitted), cert.

denied, --- U.S. ----, 115 S.Ct. 612, 130 L.Ed.2d 521 (1994);                               18

U.S.C.    §    3742(e)    ("The     court       of     appeals    ...       shall    give   due

deference to the district court's application of the guidelines to

the   facts.").2          Further,        the       district     court's       findings     of

historical      fact     cannot     be    reversed       unless    clearly          erroneous.

United States v. Davis,                  967    F.2d    516,     523    (11th       Cir.1992),

rehearing on other grounds, 30 F.3d 108 (11th Cir.1994).

                                               B.

      Section 3A1.1 of the Sentencing Guidelines provides for a

two-level upward adjustment to the defendant's offense level:

      If the defendant 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.         "This adjustment applies to offenses where an

unusually vulnerable victim is made a target of criminal activity


      2
      The "due deference" standard in 18 U.S.C. § 3742 "serves as
an additional caution against overly intense judicial review."
United States v. Mejia-Orosco, 868 F.2d 807, 808 (5th Cir.1989),
cert. denied, 492 U.S. 924, 109 S.Ct. 3257, 106 L.Ed.2d 602
(1989). The "purported purpose" of the "due deference" clause of
§ 3742 is " "to give the court of appeals flexibility in
reviewing the application of a guideline standard that involves
some subjectivity.' " Id. at 809 (citing Congressional Record at
H11257 (1988)). As we stated in United States v. Long, 935 F.2d
1207 (11th Cir.1991), "[w]e review the factual findings
underlying the district judge's decision for "clear error,' but
we review his application of the sentencing guidelines to those
facts with only "due deference.' " Id. at 1211.
by the defendant."    (Application Note 1 to U.S.S.G. § 3A1.1).               The

commentary to section 3A1.1 provides that:

     The adjustment would apply, for example, in a fraud case where
     the defendant marketed an ineffective cancer cure or in a
     robbery where the defendant selected a handicapped victim.
     But it would not apply in a case where the defendant sold
     fraudulent securities by mail to the general public and one of
     the victims happened to be senile. Similarly, for example, a
     bank teller is not an unusually vulnerable victim solely by
     virtue of the teller's position in a bank.

(Application Note 1 to U.S.S.G. § 3A1.1).

                                        C.

      We have held that the applicability of a "vulnerable victim"

sentence enhancement must be determined on a case-by-case basis,

United States v. Long, 935 F.2d 1207, 1210 (11th Cir.1991), and it

is appropriate only where the defendant targets the victim based on

the latter's "unique characteristics" that make the victim more

vulnerable   or   susceptible      to   the    crime    at    issue   than   other

potential victims of that crime.              United States v. Morrill, 984

F.2d 1136, 1137 (11th Cir.1993) (en banc) ("Morrill (II)");                  Long,

935 F.2d at 1210.

     In such a case, the defendant is deemed more culpable than he

otherwise would be had he committed that same crime on another

victim who did not share those vulnerable characteristics. Morrill

(II), 984 F.2d at 1137.      See United States v. Davis, 967 F.2d 516,

524 (11th Cir.1992) (" "The vulnerability that triggers § 3A1.1

must be an "unusual' vulnerability which is present in only some

victims of that type of crime.          Otherwise, the defendant's choice

of a likely victim does not show the extra measure of criminal

depravity which § 3A1.1 intends to more severely punish.' ")

(quoting   United   States    v.    Moree,      897    F.2d   1329,   1335   (5th
Cir.1990)),         rehearing      on    other    grounds,    30     F.3d    108     (11th

Cir.1994).           "[A]     determination       under    section    3A1.1     of     the

sentencing guidelines depends heavily on the unique factual pattern

of the case, that determination cannot be considered simply a legal

question."         100th Cong., 2d Sess. 151 Cong.Rec. 11,257 (1988).

      Thus we have been wary about concluding that any particular

class of persons, including and especially "typical" victims of the

crime at issue, are automatically "vulnerable victims" for purposes

of § 3A.1.         For instance, in United States v. Tapia, 59 F.3d 1137,

1143 (11th Cir.1995), where the defendants were convicted of a jail

cell beating of an incarcerated government informant, we affirmed

the "victim vulnerability" enhancement which the district court had

imposed on the defendants' sentences.                      The district court had

declined to hold that the victim there was a "vulnerable victim"

based solely on the fact that he was a government informant,

arguably a typical victim of a jail cell beating. Nonetheless, the

district court concluded, and we agreed, that a "vulnerable victim"

sentence     enhancement        was     peculiarly     appropriate     in    that    case

because the victim "as an individual, was particularly vulnerable

by virtue of his incarceration with Appellants and his inability to

escape,      and    that    [the     victim]     was   targeted    because     of    this

vulnerability."         Id.

      In Long, 935 F.2d 1207, we held that a black family was not,

by   their    race     alone,      "automatically"        "vulnerable       victims"    of

cross-burning.         Id. at 1209.        Similarly, in Morrill (II), 984 F.2d

1136, we held that bank tellers as a class were not "automatically"

"vulnerable         victims"    of      bank   robberies,    by    virtue     of     their
positions as bank tellers.     Id. at 1138.    In so holding, however,

we cautioned:

     This is not to say that bank tellers in individual cases never
     may be particularly susceptible or otherwise vulnerable
     victims of a bank robbery. Enhancement is appropriate under
     section 3A1.1 when a particular teller-victim possesses unique
     characteristics which make him or her more vulnerable or
     susceptible to robbery than ordinary bank robbery victims and
     thus make the particular bank robber more culpable than the
     ordinary perpetrator.

Id. at 1138.3    See also United States v. Segien, 986 F.2d 439, 440-

41 (11th Cir.1993) (remanding case for resentencing of bank robber

in light of Morrill (II) and instructing trial court to make a

"fact-specific"     determination   of   whether   "vulnerable   victim"

enhancement applied).      But see United States v. Salemi, 26 F.3d

1084, 1088 (11th Cir.1994) (holding that a six-month-old baby was

a "vulnerable victim" to kidnapping within the meaning of § 3A1.1,

even though the district court found that the defendant's mental

and emotional condition clouded his ability to perceive the baby's

peculiar vulnerability, and even though the baby was not harmed),

cert. denied, --- U.S. ----, 115 S.Ct. 612, 130 L.Ed.2d 521 (1994).

         Enhancing a defendant's sentence solely based on the victim's

membership in an arguably "vulnerable" class does not comport with

the purposes of § 3A1.1, because the "vulnerable victim" adjustment

     3
      We had earlier held in United States v. Morrill, 963 F.2d
386 (11th Cir.1992) ("Morrill (I) "), that bank tellers as a
class were "vulnerable victims" to bank robbery within the
meaning of § 3A1.1. Thereafter, on remand from the Supreme
Court, we held en banc that bank tellers were not, as a class,
"vulnerable victims" under § 3A1.1.

          Subsequent to the sentencing of the defendant in
     Morrill (II), the commentary to § 3A1.1 was amended in 1992
     to explicitly provide that "[A] bank teller is not an
     unusually vulnerable victim solely by virtue of the teller's
     position in a bank."
"focuses chiefly on the conduct of the defendant" and should be

applied only where "the defendant selects the victim" due to the

victim's perceived vulnerability to the offense. Long, 935 F.3d at

1210.

                                 III.

        The particular facts of the present case lead us to conclude

that the district court properly enhanced Malone's sentence under

§ 3A1.1.     Malone testified that he and Osbey had called the cab

company because they had wanted a cab driver to come to them, with

the intent of robbing the cab driver.     (Transcript of Sentencing

Hearing, June 1, 1994, at 86).    Malone testified that calling for

a cab saved them from having to go out and find a victim.    Id.   As

a cab driver, Canfield was obligated both by his functions as a cab

driver and by a Mobile city ordinance to respond to a dispatcher's

orders.    In doing so on this occasion, Canfield was obliged to

drive to the rather deserted neighborhood of Hart Street, and then

admit two strangers (Malone and Osbey) to his cab.     We need not,

and do not, address here the question of whether all cab drivers,

by virtue of their vocation, are to be classed as "vulnerable

victims," for purposes of sentence enhancement under § 3A1.1, if

they are carjacked.    However, we are satisfied that a "vulnerable

victim" enhancement is appropriate under the particular aspects of

this case.     Here, the defendants specifically targeted a driver

such as Canfield, knowing that his obligations as a dispatched cab

driver made him more vulnerable to carjackings than other drivers

of cars.

     We are persuaded that this case is distinguishable from
Morrill (II), in which this court held that bank tellers as a class

are not per se "vulnerable victims" under 3A1.1.        We stated in

Morrill (II) that because "[b]ank tellers are typical victims of

bank robberies;   many, if not most bank robberies are perpetrated

against bank tellers."     Id. at 1138.   Thus, in   Morrill (II), we

concluded that the Sentencing Guidelines, in setting the base

offense level for bank robberies, had already taken into account

the culpability of bank robbers vis a vis bank tellers.4

     In contrast to bank robbers, who must inevitably victimize

bank tellers to carry out their crime, carjackers can victimize any

driver of a vehicle.     However, few drivers have an obligation to

stop or even roll down their windows for a stranger, let alone

allow strangers to enter their vehicles.    Dispatched cab drivers,

in contrast, are obligated by the very nature of their calling to

drive to unfamiliar and often dangerous pick-up locations, permit

strangers into their cabs, and drive them to their destinations.

In setting the base offense level for carjackers, the Sentencing

Guidelines do not contemplate the added culpability of a defendant

who chooses to target a dispatched cab driver rather than another

driver.5

     In a case such as the present one, where carjackers have


     4
      Section 2B3.1 of the Sentencing Guidelines provides a base
offense level of 30 for robbery, § 2B3.1(a), and an additional 2
level increase if "the property of a financial institution ...
was taken, or if the taking of such property was an object of the
offense." U.S.S.G. § 2B3.1(b)(1)(A).
     5
      Section 2B3.1 of the Sentencing Guidelines provides a base
offense level of 30 for robbery, § 2B3.1(a), and an additional 2
level increase if "the offense involved carjacking." U.S.S.G. §
2B3.1(b)(1)(B).
specifically targeted a dispatched cab driver, knowing that the cab

driver had the unique obligation to drive to a pick-up point of the

carjackers' choice and then to let them into his cab, the cabdriver

was   especially   vulnerable         to    robbery   and   to   carjacking.       A

carjacker, in so targeting his victim, is more culpable than other

carjackers and warrants a sentence enhancement under U.S.S.G. §

3A1.1.

                                           IV.

      For the foregoing reasons, we will affirm the sentence of the

district court.

      DYER, Senior Circuit Judge, dissenting:

      The majority holds "that a "vulnerable victim' enhancement is

appropriate under the particular aspects of this case," reasoning

that "[h]ere, the defendants specifically targeted a driver such as

Canfield, knowing that his obligations as a dispatched cab driver

made him more vulnerable to carjackings than other drivers of

cars."     The majority relies upon Malone's testimony that he and

Osbey "called the cab company because they had wanted a cab driver

to come to them, with the intent of robbing the cab driver," and

"that calling a cab saved them from having to go out and find a

victim."     In my view, this is not evidence that the defendants

targeted Canfield as their victim.

      Section   3A1.1     of    the   Sentencing      Guidelines       provides   for

enhancement of the offense level "[i]f the defendant knew or should

have known ... that a victim was ... particularly susceptible to

the criminal conduct.           U.S.S.G. § 3A1.1 (emphasis added).                In

determining     whether    to    enhance     a   sentence   for    a    "vulnerable
victim," the focus is on the defendant's conduct.                   U.S. v. Long,

935 F.2d 1207, 1210 (11th Cir.1991).               No evidence in the record

suggests the defendants knew or should have known that if they

called for a cab, the dispatched driver was obligated by city

ordinance to respond to the call.            It is unreasonable to infer from

Malone's testimony that the decision to rob a dispatched cab driver

was motivated by the defendants' knowledge of the ordinance.                      Such

knowledge would be necessary, in my opinion, to prove that the

defendants    targeted     a    dispatched       cab    driver   because     he    was

particularly susceptible to carjacking.                See id.     ("Section 3A1.1

is intended to enhance the punishment for offenses where                           the

defendant    selects   the      victim     due   to    the   victim's   perceived

susceptibility to the offense.") (emphasis in original).                   At most,

Malone's testimony shows the defendants called for a cab out of

convenience, not due to any belief that the driver of a dispatched

cab made an easier target for carjacking than any other driver.

     The majority has created a per se class of vulnerable victims

under § 3A1.1 consisting of all dispatched cab drivers who have a

legal duty to pick up a fare.              Creation of this class results in

sentence     enhancement       for   all     defendants      who    select     these

individuals as their victim, thus precluding application of § 3A1.1

on a case-by-case basis.             Id.     Just as bank tellers are not

automatically vulnerable victims by virtue of their positions as

bank tellers, United States v. Morrill, 984 F.2d 1136, 1138 (11th

Cir.1993)     (en   banc),       dispatched       cab     drivers     should       not

automatically be vulnerable victims by virtue of their professional

or legal obligation to pick up a fare.                 This is not to say that
dispatched cab drivers can never be particularly susceptible to or

otherwise vulnerable victims of carjacking.    For example, where a

defendant selects a dispatched cab driver because he knows the

driver cannot refuse the fare, or where a defendant requests a

specific driver because of unique characteristics that make him or

her more vulnerable to carjacking than the ordinary dispatched cab

driver, and thus make the defendant more culpable than the ordinary

carjacker, enhancement would be appropriate.    See id.

     In short, I see nothing in these circumstances indicating that

the dispatched cab driver was an "unusually vulnerable victim."

See U.S.S.G. § 3A1.1, comment. (n. 1).   I would therefore reverse

the two-level enhancement under § 3A1.1.