United States v. John P. Davern

937 F.2d 1041, 1991 WL 106296
CourtCourt of Appeals for the Sixth Circuit
DecidedSeptember 26, 1991
Docket90-3681
StatusPublished
Cited by34 cases

This text of 937 F.2d 1041 (United States v. John P. Davern) 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. John P. Davern, 937 F.2d 1041, 1991 WL 106296 (6th Cir. 1991).

Opinions

MERRITT, Chief Judge.

The issues before us in this sentencing appeal in which the defendant pled guilty to possession of cocaine are as follows: (1) whether the sequence of sentencing steps prescribed by the Sentencing Commission for use in this case, and followed by the District Court, are consistent with the governing statute on sentencing, and (2) whether the Commission has “taken into consideration” and mandated increased [1043]*1043penalties for two “aggravating circumstances,” namely (a) possessing a larger volume of white powder surrounding the cocaine in question, and (b) attempting unsuccessfully to buy more cocaine than the amount actually possessed. We reverse because the Commission’s sequence of sentencing steps does not comport with the governing statute and because the two “aggravating circumstances” presented by the government have not been “taken into consideration” by the Commission in mandating increased penalties in drug possession cases.

An undercover FBI drug enforcement agent agreed to transfer to the defendant 500 grams of cocaine for $10,500, but the undercover agent in fact transferred to the defendant only 85 grams (3 oz.) of cocaine in a small plastic bag placed inside a mixture of 985 grams of powdered plaster of paris. The total weight of the package was 1070 grams.

The defendant was charged with and pled guilty only to “possession with intent to distribute” of an unspecified quantity of cocaine in violation of 21 U.S.C. § 841(a)(1) (1988) (“it shall be unlawful ... to ... possess with intent ... to distribute” cocaine). The question put to us by the parties is whether the defendant should be sentenced under the U.S. Sentencing Guidelines only for the 85 grams actually possessed, as the defendant insists, or, as the government insists, for the 500 grams he tried to buy and the 1,070 grams, including the powdered plaster of paris, which the undercover agent apparently passed off to him as cocaine. According to the parties, the quantity selected makes a major difference in the sentence imposed under the Guidelines — the difference between a minimum sentence of 1 year and 3 months for 85 grams or 4 years and 3 months for either 500 or 1,070 grams. The District Court diligently conducted three separate hearings on the matter and reluctantly followed the recommendation of the probation office to give the defendant the maximum sentence. The probation officers have been trained by the U.S. Sentencing Commission and apparently were trying to follow the Commission’s directions.1

I. The Statutory Framework and the Sentencing Sequence

All participants in this exercise in sentencing — the prosecutor, the defense counsel, the probation office, the District Court — appear to have assumed that the series of nine sentencing steps prescribed by the Sentencing Commission in § 1B1.1 yields only one correct sentence for the defendant, one right answer that the District Court must find in this and every other case.2 We asked the parties to brief the question of the correctness of this approach, and we now conclude that this approach advocated by the Sentencing Commission is inconsistent with the enabling statute governing guideline sentencing.

First, the governing statute, 18 U.S.C. § 3553(a), enacted as the Sentencing Re[1044]*1044form Act of 1984, provides in mandatory language in the first sentence that the District Court should consider the facts and fix a sentence “not greater than necessary to comply” with a group of “purposes” or factors: (a) a “just punishment” which will “reflect the seriousness of the offense,” (b) the need for “deterrence of criminal conduct,” (c) the need to protect the public from “further crimes of the defendant,” (d) the need to rehabilitate the defendant through “educational ... and other correctional treatment,” and (e) the availability of various alternative forms of sentences. This duty to consider the facts according to these steps and to impose a “just punishment” which is “not greater than necessary” is the first duty required of the sentencing court by the statute. The guidelines are not mentioned in the statute as a sentencing imperative until later in subsection (a)(4) after the sentencing court has first considered the facts in light of these qualitative first principles.3

The Sentencing Commission has omitted these steps. The guideline instructions for sentencing do not mention these qualitative considerations concerning punishment to which Congress gave primary importance in framing the statute.

Second, after the Court has considered the facts in light of these nonmechanical principles, Congress in subsection (b) of the statute then creates a rebuttable presumption that the proposed Sentencing Guidelines create such a “just punishment” in sentencing cases, a punishment that is “not greater than necessary.” But the statute qualifies this presumption significantly. In the first sentence of subsection (b), the statute states that the sentencing court is not bound by the guidelines if there is in the case “an aggravating or mitigating circumstance of a kind, or to a degree, not adequately taken into consideration by the Sentencing Commission in formulating the guidelines.” And the statute specifically confines the scope of what the Commission [1045]*1045can be viewed as having “taken into consideration” by limiting it to the “circumstances” stated in the guidelines themselves and the policy statements and official commentary of the Commission. If there is in the case any “circumstance of a kind, or to a degree not adequately taken into consideration by the Sentencing Commission,” the statute instructs the District Court to return to the first principles outlined in subsection (a) as follows:

In the absence of an applicable sentencing guideline, the court shall impose an appropriate sentence, having due regard for the purposes set forth in subsection (a)(2) [the four considerations or factors enumerated in the text above]. In the absence of an applicable sentencing guideline in the case of an offense other than a petty offense, the court shall also have due regard for the relationship of the sentence imposed to sentences prescribed by guidelines applicable to similar offenses and offenders, and to the applicable policy statements of the Sentencing Commission.

Thus, the statute itself establishes the sentencing sequence and the way a district court shall go about applying the Sentencing Guidelines. The Commission does not follow the congressional scheme. Two able scholars, the editors of the Federal Sentencing Reporter, Professor Daniel Freed of Yale and Professor Marc Miller of Emory, have recently explained that the Commission has “seemingly reversed the sentencing sequence intended by Congress.” 3 Fed.Sent.R. 237 (1991). Under the statute, the District Court should first consider the facts in light of qualitative standards designed to insure punishment “not greater than necessary” instead of waiting until the very end of the nine-step sentencing process to determine if a “departure” is permissible, as the Sentencing Commission directs in § IB 1.1.

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United States v. John P. Davern
937 F.2d 1041 (Sixth Circuit, 1991)

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Bluebook (online)
937 F.2d 1041, 1991 WL 106296, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-john-p-davern-ca6-1991.