United States v. John Buckendahl

251 F.3d 753
CourtCourt of Appeals for the Eighth Circuit
DecidedMay 31, 2001
Docket00-1001, 00-1057, 00-1151 and 00-1266
StatusPublished
Cited by1 cases

This text of 251 F.3d 753 (United States v. John Buckendahl) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth 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. John Buckendahl, 251 F.3d 753 (8th Cir. 2001).

Opinions

BEAM, Circuit Judge.

This opinion addresses appeals from five separate criminal cases in the Northern District of Iowa. At issue is whether a district court may depart downward from the United States Sentencing Guidelines (Guidelines) based on an interdistrict sentencing disparity arising from the practice of the United States Attorney for the Northern District of Iowa to rarely agree to grant use immunity under section 1B1.8 of the Guidelines. We hold that the court does not possess such authority. Accordingly, we affirm in part and reverse in part.

I. BACKGROUND

The defendant in each criminal case pleaded guilty to at least some of the charges against him. John Joseph Ringis, Juan Carlos Valdivia-Cardona and Joseph John Johnson all entered pleas without cooperating with the government. They each made the decision to not cooperate, at least in part, because they were not offered section 1B1.8 use immunity. Without this protection, any information they gave to the authorities about the activities of others, which was also self-incriminating, could be used against them in calculating their offense levels (and thus in determining their sentences) under the Guidelines. Johnson and Valdivia-Cardo-na offered to cooperate with the government in exchange for section IB 1.8 protection, but when no protection was offered, they pleaded without cooperating. John Herman Buckendahl cooperated with the government by providing information on the criminal activities of others. The cooperation agreement contained a “limited use immunity” provision that prohibited the government from bringing further drug charges against Buckendahl based on the information he provided, but allowed the information to be used in calculating his sentence. In the course of his debriefing, he furnished information that tended to increase his sentence under the Guide[757]*757lines.1

The district court held a consolidated hearing in these eases for the limited purpose of addressing the court’s ability to depart downward from the Guidelines due to this purported policy or practice of the federal prosecutors in the Northern District of Iowa. The court determined that the prosecutor’s office had such a policy or practice resulting in a significant disparity between the Northern and Southern Districts of Iowa in the availability of section 1B1.8 immunity. In fact, the court received testimony that prosecutors in only three or four other districts in the country followed a similar practice.

The court found that it possessed the authority to depart downward based on the disparate practices of the prosecutors. However, it declined to depart in the cases of Ringis, Valdivia-Cardona and Johnson because, by refusing to cooperate with the government, they had revealed no additional information that increased their sentences and thus suffered no actual prejudice as a result of the policy. The court also refused to depart in Buckendahl’s case because, although he provided information in his debriefing that would have increased his sentence, the court concluded that the government already possessed this information through independent sources. Thus, he also suffered no prejudice as a result of the practice.

Jeffrey Alan Clark’s case came before the court at a later date. He entered a plea of guilty and cooperated with the government by submitting to a debriefing session and testifying before a federal grand jury. As a result of information he provided through this cooperation, Clark’s offense level under the Guidelines increased from 28 to 36. The court found this to be actual prejudice to Clark, and departed downward.

II. ANALYSIS

A. Standard of Review

We give substantial deference to the district court’s decision as to whether to depart from the Guidelines in an individual case. Koon v. United States, 518 U.S. 81, 98, 116 S.Ct. 2035, 135 L.Ed.2d 392 (1996). However, “whether a factor is a permissible basis for departure under any circumstances is a question of law, and the court of appeals need not defer to the district court’s resolution of the point.” Id. at 100, 116 S.Ct. 2035.

B. Heartland Approach

In response to the perception that “federal judges mete out an unjustifiably wide range of sentences to offenders with similar histories, convicted of similar crimes, committed under similar circumstances,” Congress created the United States Sentencing Commission (Commission) for the purpose of promulgating a comprehensive set of sentencing guidelines. Id. at 92,116 S.Ct. 2035 (citation omitted). The Guidelines “specify an appropriate sentencing range for each class of convicted persons based on various factors related to the offense and the offender.” Id. (citation omitted). A district court must impose a sentence within the range specified by the applicable guideline. Id.

However, Congress recognized that a sentencing court must retain some measure of flexibility to respond to the individual circumstances of a given defendant. To serve that end, a district court may depart from the applicable guideline range if “‘the court finds that there exists an aggravating or mitigating circumstance of [758]*758a kind, or to a degree, not adequately taken into consideration by the Sentencing Commission in formulating the guidelines that should result in a sentence different from that described.'" Id. (quoting 18 U.S.C. § 3553(b)); see also U.S. Sentencing Guidelines Manual [hereinafter U.S.S.G.] § 51<2.0 (1999). Sentencing courts should "treat each guideline as carving out a `heartland,' a set of typical cases embodying the conduct that each guideline describes." U.S.S.G. Ch. 1, Pt. A(4)(b). When determining whether a case is typical or atypical (whether there exists a mitigating factor not adequately taken into account by the Commission), "the court shall consider only the sentencing guidelines, policy statements, and official commentary of the [Commission]." 18 U.S.C. § 3553(b).

After identifying a potential factor for departure, the sentencing court should employ the following rules:

[1] If the special factor is a forbidden factor, the sentencing court cannot use it as a basis for departure. [2] If the special factor is an encouraged factor, the court is authorized to depart if the applicable guideline does not already take it into account. [3] If the special factor is a discouraged factor, or an encouraged factor already taken into account by the applicable guideline, the court should depart only if the factor is present to an exceptional degree or in some other way makes the case different from the ordinary case where the factor is present. [4] If a factor is unmentioned in the guidelines, the court must, after considering the "structure and theory of both relevant individual guidelines and the Guidelines taken as a whole," decide whether it is sufficient to take the case out of the Guideline's heartland.

Koon, 518 U.S. at 95-96, 116 S.Ct. 2035 (citations omitted). The Commission expected that departures based on factors not mentioned in the Guidelines would be "highly infrequent." U.S.S.G. Ch. 1, Pt. A(4)(b).

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