United States v. Guzman

48 F. App'x 158
CourtCourt of Appeals for the Sixth Circuit
DecidedOctober 2, 2002
DocketNos. 00-6195, 00-6197
StatusPublished
Cited by1 cases

This text of 48 F. App'x 158 (United States v. Guzman) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth 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. Guzman, 48 F. App'x 158 (6th Cir. 2002).

Opinion

BATCHELDER, Circuit Judge.

The United States appeals the order of the district court refusing to make a sentencing determination-ordered by this Court in a prior appeal of this case-regarding whether Defendants-Appellees Juan Duran Guzman and Nelson Millett (“the Defendants”) were in the drug distribution chain that led to a death. The United States argues that the district court erred because it was bound to follow the mandate issued in that prior appeal and because the district court could have enhanced the Defendants’ sentences without violating either the Defendants’ plea agreements or Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000). We agree with the United States, and accordingly we reverse the judgment of the district court and remand for further proceedings.

Factual and Procedural Background

Beginning in 1994, members of the Isaacs family bought heroin in Philadelphia on a weekly basis, driving it back to their residence in Mountain City, Tennessee. The Defendants, who resided in Philadelphia, were one of the Isaacs’ sources, supplying them with heroin from approximately June through December of 1996. In mid-September of 1996, a young Tennessean named Kristopher Phillips bought heroin from Johnny Isaacs; several hours later Phillips lay dead of an overdose. Next to Phillips’s body were several plastic bags — apparently the bags that had held Phillips’s heroin — labeled “Wu Tang.”

In January of 1997 both Defendants pleaded guilty to possessing heroin with intent to distribute, in violation of 21 U.S.C. § 846. Each entered into a written plea agreement providing that the court could impose any lawful term of imprisonment, and specifying that the maximum penalty was a term of imprisonment not less than five nor more than forty years. At the plea hearing colloquy the government orally advised the Defendants that someone had died in the course of the conspiracy and that their sentences would be enhanced to 20 years to life if they were held responsible for that death, but the Defendants’ written plea agreements did not mention this possibility.

[160]*160The district court sentenced both defendants to the Sentencing Guidelines minimum of sixty months, finding that they were not responsible for Phillips’s death because they were not the “proximate cause” of the death. The government appealed, and we held that the district court’s “proximate cause” standard was erroneous and the court should have applied the “reasonable foreseeability” standard found in U.S.S.G. § 1B1.3(a)(1)(B). See United States v. Swiney, 203 F.3d 397 (6th Cir.2000). We reversed the district court’s ruling, vacated the Defendants’ sentences, and remanded the case for resentencing with these instructions:

On remand, the district court is directed to determine whether Johnny Isaacs’ distribution of heroin was “reasonably foreseeable” as defined in U.S.S.G. § lB1.3(a)(l)(B) and commentary to any of these Defendants. In other words, before any of the Defendants can be subject to the sentence enhancement of 21 U.S.C. § 841(b)(1)(C) and U.S.S.G. § 2Dl.l(a), the district court must find that he or she is part of the distribution chain that lead [sic] to Phillips’ death.

Id. at 406.

At the evidentiary hearing held on remand, it became evident that the Defendants had sold heroin labeled ‘Wu-Tang.” The Defendants attempted to show that they were not in Phillips’s distribution chain by presenting testimony indicating that they were not necessarily the only people who sold Wu-Tang” heroin in Philadelphia, and that the Isaacs bought heroin in Philadelphia from sellers other than the Defendants. The government countered this with the testimony of a Drug Task Force Agent that the Defendants had in fact been the Isaacs’ sole source.

Nevertheless, for two reasons that it raised sua sponte, the court in the end refused to resolve the factual question of whether the Defendants were in the distribution chain. First, the court held that to impose the enhanced sentence would violate the Defendants’ plea agreements: the written agreements recited the applicable penalty range as 5 to 40 years, but the government’s proposed enhancement would require sentences of 20 years to life-thus creating a possible sentence of over forty years; also, to allow the enhancement would violate contractual principles because the possibility of the enhancement had not been written into the agreement and the court deemed it improper to consider the government’s oral warnings. Second, the court opined that in light of Apprendi -handed down after we first remanded this case-the question of “whether or not [the Defendants were] in the chain of distribution may now require proof beyond a reasonable doubt.”

I. Whether the District Court Violated the Mandate

The government argues that the district court, in refusing to make a factual finding, violated the “mandate rule,” under which “a district court is bound to the scope of the remand issued by the court of appeals.” United States v. Campbell, 168 F.3d 263, 265 (6th Cir.1999). We review a district court’s interpretation of a mandate de novo. United States v. Moore, 131 F.3d 595, 598 (6th Cir.1997).

In Campbell we explained that “[traditionally, the mandate rule instructs that the district court is without authority to expand its inquiry beyond the matters forming the basis of the appellate court’s remand.” 168 F.3d at 265. Still, remands can be either general or limited: “Limited remands explicitly outline the issues to be addressed by the district court and create a narrow framework within which the district court must operate. General remands, in contrast, give district [161]*161courts authority to address all matters as long as remaining consistent with the remand.” Id. (citing Moore, 131 F.3d at 597-98). Though it is not always easy to distinguish the two types of remand, district courts can follow certain guidelines, including whether specific language in the remand clearly limits the scope of subsequent proceedings, whether the appellate court explicitly articulated the reasons for its remand, whether the appellate court articulated the prescribed chain of events with particularity, and whether multiple issues are involved (which, if present, suggest a general mandate). Id. at 266-28. Overall, “[i]n the absence of an explicit limitation, the remand order is presumptively a general one,” id. at 268 (quoting Moore, 131 F.3d at 598), and “[t]he language used to limit the remand should be, in effect, unmistakable.” Id.

In the present case it is evident that our remand was limited rather than general: we had considered only one issue (namely, whether the district court had erred in how it interpreted the enhancement provisions of 21 U.S.C. § 841(b)(1)(C) and U.S.S.G.

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Bluebook (online)
48 F. App'x 158, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-guzman-ca6-2002.