United States v. Richards

674 F.3d 215, 2012 WL 887592, 2012 U.S. App. LEXIS 5514
CourtCourt of Appeals for the Third Circuit
DecidedMarch 16, 2012
Docket10-4767
StatusPublished
Cited by70 cases

This text of 674 F.3d 215 (United States v. Richards) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Richards, 674 F.3d 215, 2012 WL 887592, 2012 U.S. App. LEXIS 5514 (3d Cir. 2012).

Opinion

OPINION OF THE COURT

RENDELL, Circuit Judge.

Defendant Douglas Richards, the former Director of Human Resources for the government of Luzerne County, Pennsylvania, appeals the sentence he received after pleading guilty to accepting a bribe. Richards objects to the District Court’s enhancement of his sentence pursuant to § 2C1.2(b)(3) of the Sentencing Guidelines for being a government official in a high-level decision-making or sensitive position. His appeal requires us to determine, as a matter of first impression in our Court, the standard of review we apply to a district court’s application of a sentencing enhancement pursuant to § 2C1.2(b)(3). We conclude that the clearly erroneous standard is appropriate when reviewing a district court’s determination that the enhancement under § 2C1.2(b)(3) applies based on the facts presented. Under that standard, we hold that the District Court did not clearly err in finding that Richards was a public official in a high-level decision-making or sensitive position. Accordingly, we will affirm.

I. Facts and Procedural History

In December 2009, Richards was charged with one count of violating 18 U.S.C. § 666(a)(1)(B) for accepting a bribe in excess of $1,000 but less than $5,000 in connection with assistance given by Richards to Continental Consultants, a New York consulting firm interested in contracting with Luzerne County. Richards accepted $1,000 and free New York Mets tickets from Continental Consultants. In exchange, he helped Continental Consultants to obtain a contract with Luzerne County to provide temporary employment services for individuals hired to perform cleanup work in the aftermath of a 2006 flood. Continental Consultants paid Richards because he “got the ball rolling” on *217 the project and assisted in preparing the paperwork for the contract. PSR at ¶ 19. Richards also “did all the administrative work for Continental Consultants’ contract with Luzerne County.” (App. at 26.)

Richards pled guilty to violating § 666(a)(1)(B). In the Presentence Report, the probation officer recommended a sentence of fifteen to twenty-one months’ imprisonment. This recommendation was based on § 2C1.2(a)(1), the applicable guideline for a violation of § 666(a)(1)(B), which set the base offense level at eleven. The probation officer then added two levels pursuant to § 2C1.2(b)(1) because the offense involved more than one gratuity. Next, the probation officer added four levels pursuant to § 2C1.2(b)(3) because the offense involved a public official in a high-level decision-making or sensitive position. The officer then subtracted three levels for Richards’s acceptance of responsibility pursuant to § 3E1.1. The resulting offense level was fourteen. With a criminal history placing him in Category I, the advisory sentencing range was therefore fifteen to twenty-one months.

Richards was sentenced on December 13, 2010 to fifteen months’ imprisonment and two years of supervised release. At the sentencing hearing, Richards objected to the four-level enhancement pursuant to § 2C1.2(b)(3). That enhancement provides:

If the offense involved an elected public official or any public official in a high-level decision-making or sensitive position, increase by 4 levels. If the resulting offense level is less than level 15, increase to level 15.

U.S.S.G. § 2C1.2(b)(3). The commentary to that section, in turn, provides:

(A) Definition. — “High-level decision-making or sensitive position” means a position characterized by a direct authority to make decisions for, or on behalf of, a government department, agency, or other government entity, or by a substantial influence over the decision-making process.
(B) Examples. — Examples of a public official in a high-level decision-making position include a prosecuting attorney, a judge, an agency administrator, a law enforcement officer, and any other public official with a similar level of authority. Examples of a public official who holds a sensitive position include a juror, a law enforcement officer, an election official, and any other similarly situated individual.

Id. at cmt. n.3. Had that enhancement not been applied, Richards would have faced an advisory sentencing range of six to twelve months.

Richards argued that he was not a public official in a high-level decision-making or sensitive position because: (1) he could not hire or fire anyone; (2) he could not bind the County; (3) he could not act officially on the County’s behalf; (4) he had administrative, not policymaking, duties; (5) he reported to superiors, who, in turn, reported to the County Commissioners; and (6) the sentencing court did not apply the high-level government official enhancement to Richards’s superior, William Brace, who was also implicated in this bribery scheme.

Richards did acknowledge, however, that, as part of his job duties, he would refer three or four of the top candidates for a job to the County Commissioners for their ultimate hiring. He also administered his own department and made many different types of recommendations to his superiors, the Deputy County Clerk, the County Clerk, and the County Commissioners.

At sentencing, the Government introduced the job description for Richards’s *218 position as an exhibit in support of applying the enhancement under § 201.2(b)(3). According to that description, Richards was “responsible for designing, implementing and maintaining a centralized Human Resource Department.” He provided “leadership and oversight of all Personnel Department functions.” He also was responsible for “writing], maintaining] and applying] the County policies and guidelines by administering and directing a comprehensive human resource program, formulating and recommending policies, regulations, and practices for carrying out programs, consulting and advising the County staff to coordinate the various phases of the policies, practices, ordinances, and resolutions.” (App. at 55-56.) Although he agreed that the job description was accurate, Richards contended that it did not, in fact, support application of the enhancement. He submitted a flow chart indicating the hierarchy of officials in the Luzerne County government as evidence that he was not in a high-level decision-making or sensitive position. According to that chart, Richards first reported to the Deputy Clerk, who in turn reported to the Chief Clerk. Together, the Deputy Clerk and Chief Clerk reported to the Board of Commissioners.

The District Court concluded that Richards was subject to the enhancement under § 2C1.2(b)(3). The District Court sentenced Richards to fifteen months’ imprisonment and two years of supervised release. Richards filed a timely notice of appeal. 1

II. Discussion

On appeal, Richards contends that the District Court erred in finding him subject to the enhancement because, although he was a public official, he did not occupy a high-level decision-making or sensitive position.

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Cite This Page — Counsel Stack

Bluebook (online)
674 F.3d 215, 2012 WL 887592, 2012 U.S. App. LEXIS 5514, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-richards-ca3-2012.