Whether a court's failure to follow Sentencing Guidelines commentary that gives specific direction that the offense of unlawful possession of a firearm by a felon is not a crime of violence under U.S.S.G. Section 4B1.1, see U.S.S.G. Section 4B1.2 comment. (n2), constitutes an "incorrect application of the sentencing guidelines" under > 18 U.S.C. Section 3742(f)(1).
TABLE OF CONTENTS
Question Presented ... i
Opinions Below ... 1
Jurisdiction ... 1
Statement ... 2
Summary of Argument ... 7
A court's failure to follow sentencing guidelines commentary that gives specific direction that the offense of unlawful possession of a firearm by a felon is not a crime of violence constitutes an "incorrect application of the guidelines" under 18 U.S.C. Section 3742(f)(1) ... 9
Conclusion ... 32
Appendix ... 1a
CASES
Braxton v. United States, > 111 S.Ct. 1854 (1991) ... 30
Kungys v. United States, 485 U.S. 778 (1988) ... 26
Kyle v. United States, > 112 S.Ct. 2959 (1992) ... 29
Taylor v. United States, > 110 S.Ct. 2143 (1990) ... 27
Williams v. United States, > 112 S.Ct. 1112 (1992) ... passim
United States v. Adkins, > 961 F.2d 173 (11th Cir. 1992) ... 28
United States v. Alvarez, > 914 F.2d 915 (7th Cir. 1990) ... 26, 28
United States v. Beckley, > 972 F.2d 349 (6th Cir. 1992) ... 29, 30
United States v. Bell, > 966 F.2d 703 (1st Cir. 1992) ... 28, 29
United States v. Bruce, > 965 F.2d 1000 (11th Cir. 1992) (per curiam)
... 22
United States v. Briggman, > 931 F.2d 705 (11th Cir. 1991) ... 23
United States v. Carter, ___ F.2d ___, 1992 U.S. App. LEXIS 32517 (2nd Cir. 1992) ... 28, 29
United States v. Chappel, > 942 F.2d 439 (7th Cir. 1991) ... 27
United States v. Cornelius, > 931 F.2d 490 (8th Cir. 1991) ... 27, 29
United States v. Doe, > 960 F.2d 221 (1st Cir. 1992) ... 28, 29
United States v. Gardiner, > 955 F.2d 1492 (11th Cir. 1992) ... 18
United States v. Goodman, > 914 F.2d 696 (5th Cir. 1990) ... 27
*iv United States v. Joshua, > 976 F.2d 844, 850-856 (3rd Cir. 1992) ... 28, 30, 31, 32
United States v. McNeal, > 900 F.2d 119 (7th Cir. 1990) ... 26
United States v. O'Neal, > 937 F.2d 1369 (9th Cir. 1990) ... 27
United States v. Saffeels, ___ F.2d ___, 1992 U.S. App. LEXIS 33236 (8th Cir. 1992) ... 29
United States v. Sahakian, > 965 F.2d 740 (9th Cir. 1992) ... 28, 29
United States v. Samuels, > 970 F.2d 1312 (4th Cir. 1992) ... 28
United States v. Shano, > 947 F.2d 1263 (5th Cir. 1991) ... 27, 29
United States v. Shano, > 955 F.2d 291 (5th Cir. 1992) ... 28, 29
United States v. Stinson, > 943 F.2d 1268 (11th Cir. 1991) ... passim
United States v. Stinson, > 957 F.2d 813 (11th Cir. 1992) ... 12, 13, 22, 24, 25, 28
United States v. Walker, > 930 F.2d 789 (10th Cir. 1991) ... 27
United States v. Williams, > 892 F.2d 296 (3rd Cir. 1989) ... 26
STATUTES
18 U.S.C., S16 ... 10, 22, 26
18 U.S.C., S922(g) ... 14, 23
18 U.S.C., S922(g)(1) ... 29
*v 18 U.S.C., S924(a) ... 1, 4
18 U.S.C., S924(c) ... 1, 4, 6
18 U.S.C., S924(e) (Armed Career Criminal Act) ... passim
18 U.S.C., S2113(a) and (d) ... 1, 4, 9
18 U.S.C., S2312 ... 1, 5
18 U.S.C., S3742 ... 1
18 U.S.C., S3742(a)(2) and (3) ... 1
18 U.S.C., S3742(f)(1) ... passim
26 U.S.C., S5845(a) ... 25
26 U.S.C., S5861(d) ... 1, 5
26 U.S.C., S5871 ... 1, 5
28 U.S.C., S994(o) ... 30
28 U.S.C., S994(p) ... 19, 31
28 U.S.C., S1254(1) ... 1
28 U.S.C., S1291 ... 1
SENTENCING GUIDELINES
S1B1.7 ... 15
S1B1.10 ... 13, 18
S1B1.10(d) ... 29
S1B1.11 ... 22
S2K2.1 ... 7, 12, 15, 17, 23, 31
S2K2.1(a)(1) ... 7, 25
*vi S2K2.1(a)(2) ... 2, 7, 25
S3E1.1 ... 21, 22
S4B1.1 ... passim
S4B1.2 ... passim
S4B1.2, comment. (n.1) ... 2, 18
SB1.2, comment. (n.2) ... 2, 7, 11, 13, 15, 23
S4B1.4 ... passim
S4B1.4(b)(3)(A) ... 18
App A. (1989) ... 23
App A. (1992) ... 23
App C. (1991) ... 17
App C. (1992) amend. 461 ... 18
RULES
Rule 28(j), Federal Rules of Appellate Procedure ... 14
OTHER
S. Rep. No. 98-225, p. 167 (1983), U.S. Code Cong. & Admin. News 1984, pp. 3182 and 3350 ... 20
> 57 Fed. Reg. 20148 ... 12
> 57 Fed. Reg. 42804 ... 18, 29
Mary McDowell, Felon-In-Possession: Why it is Not a "Crime of
Violence" Under the Career Offender Guideline, vol. 5 Federal Sentencing
Reporter no. 2, 112 (Sept./Oct. 1992) ... 23
*vii Toby D. Slawsky, Career Offender Provisions - What Offenses Count?, 53 Federal Probation 63, 66 (December 1989) ... 23
Daniel J. Freed, Federal Sentencing in the Wake of Guidelines: Unacceptable
Limits on the Discretion of Sentencers, > 101 Yale L.J. 1681, 1732-1733,
n.263 (1992) ... 14
*1 OPINIONS BELOW
The opinion of the Court of Appeals for the Eleventh Circuit
denying the petition for rehearing is reported at > 957 F.2d 813 (J.A.
p. 97a), and the opinion of the Court of Appeals for the Eleventh Circuit
affirming petitioner's sentence is reported at > 943 F.2d 1268 (J.A. p.
85a)
JURISDICTION
The petitoner, TERRY LYNN STINSON, was prosecuted by indictment
in the United States District Court, for the Middle District of Florida,
for violation of Title > 18 U.S.C. S2113(a) and (d), Title > 18 U.S.C.
S922(g), S924(a)(2) and S924(e), Title > 18 U.S.C. S924(c), Title > 26
U.S.C. S5861(d) and S5871, and Title > 18 U.S.C. S2312 (J.A. p. 4a).
Stinson pled guilty to all charges (J.A. p. 9a) and was sentenced on July
6, 1990 (J.A. pp. 14a).
Stinson appealed his sentence to the Eleventh Circuit Court of
Appeals invoking the Court's jurisdiction under Title > 18 U.S.C. S3742(a)(2)
and (3)
as well as Title > 28 U.S.C. S1291 (J.A. p. 2a). Stinson's sentence
was affirmed by the Eleventh Circuit Court of Appeals in an opinion rendered
on October 4, 1991. Stinson's petition for rehearing was denied in
an opinion entered on March 20, 1992. The petition for writ of certiorari
was filed on June 18, 1992 and was granted on November 9, 1992 (J.A. p.
103a). The jurisdiction of this Court to review the judgment of the
Eleventh Circuit Court of Appeals is invoked under Title > 28 U.S.C. S1254(1).
*2 SENTENCING GUIDELINE PROVISIONS INVOLVED
U.S.S.G. SS2K2.1, 4B1.1, 4B1.2 comment. (n.1), 4B1.2 comment.
(n.2), and 4B1.4
STATEMENT
On October 31, 1989, at approximately 12:00 p.m., the Petitioner,
Terry Lynn Stinson, entered Sun Bank located at 344 Monument Road, Jacksonville,
Florida and approached one of the customer service employees. He
demanded money from the bank employee and stated that if she did not comply
he would throw what appeared to be a hand grenade in her lap. The
customer service employee then escorted him to one of the teller windows
where she instructed the teller to give him the money. The teller
took the money out of the cash drawer and placed it on the counter.
Mr. Stinson then handed the employee a plastic bag and told her to put
the money in it. During the confrontation, Mr. Stinson
displayed a sawed-off shotgun and also pointed it at the customer service
representative's face.
Mr. Stinson stated to the employees that he did not want any
dye packs or bait money and also stated that he wanted the money from the
drive through cash drawers. A dye pack was placed in Mr. Stinson's
bag, but it failed to activate.
After obtaining the money, Mr. Stinson ordered everyone in the
bank to lie down. As he was leaving the bank, he threw the hand grenade
that he had in his hand onto the floor. He fled the bank, traveling
in a white *3 Chevrolet pick-up truck. A total of $9,427.00 in United
States currency was taken in the robbery.
Subsequent investigation determined that the hand grenade used
by Mr. Stinson was not armed. During the robbery, Mr. Stinson had
in his possession a portable, hand held police scanner. Mr. Stinson's
get-away vehicle was located by the police at 355 Monument Road in the
Regency Lake Apartment Complex. Located in the back of the truck was an
explosive device, constructed from PVC pipe, concrete, stereo speaker wires
and other components. The area was evacuated and the Navy Explosive
Ordinance Demolition Team was called to the scene and subsequently rendered
the device harmless. The sawed-off section of the barrel of the shotgun
used by Mr. Stinson in the bank robbery was also
found in the back of the truck.
Subsequent to the bank robbery, it was reported to the Jacksonville
Sheriff's Office that Mr. Stinson had accompanied a car salesman for Mike
Davidson Ford on a test drive of a 1985 Ford van. During the test drive,
Mr. Stinson took the car salesman, by gun point, to Woodcreek Apartments,
401 Monument Road, where Mr. Stinson resided. While in the apartment,
Mr. Stinson restrained the car salesman with a pair of handcuffs and rope.
Additionally, he told the salesman, which would that he had rigged a bomb
in the apartment, which would go off if Mr. Dorminey left the closet where
he was confined. Mr. Stinson then left his apartment driving the
white pick-up truck and proceeded to Sun Bank where the robbery was committed.
After the robbery, the defendant then returned for the Ford van, leaving
the pick-up truck behind.
*4 It was later reported by the car salesman that Mr. Stinson
displayed a Florida identification at the car dealership, which reflected
his true identity.
After the robbery, Mr. Stinson left Jacksonville, Florida traveling
in the stolen Ford van. He traveled to Walt Disney World, in Orlando,
Florida for a brief vacation on the day of the robbery. The following day,
he traveled to Gulfport, Mississippi, where he was arrested on November
3, 1989. The Chevrolet pick-up truck which was used during the bank
robbery was stolen from
Cox Pools, Tallahassee, Florida, Mr. Stinson's former employer.
The vehicle was reported stolen on October 6, 1989.
On January 10, 1990, a five count indictment was filed by a Middle
District of Florida Grand Jury charging Terry Lynn Stinson, the Petitioner
herein, with armed bank robbery, various firearm violations, including
possession of a firearm by a felon (subject to the armed career criminal
provision), and interstate transportation of a stolen motor vehicle.
Count One charged Mr. Stinson with bank robbery on October 31, 1989, at
Jacksonville, Florida, in violation of Title > 18 U.S.C. S2113(a) and (d).
Count Two charged that on October 31, 1989, having been previously convicted
of a felony offense, Mr. Stinson possessed a firearm, in violation of Title
> 18 U.S.C. S922(g), S 924(a)(2), and S924(e) (Armed Career Criminal Act).
Count Three charged that on October 31, 1989, Mr. Stinson did knowingly
use and carry a sawed-off shotgun during, and in relation to, a crime of
violence, that is, bank robbery, in violation of Title > 18 U.S.C. S924(c).
Count Four charged that on October 31, 1989, Mr. Stinson possessed a sawed-off
shotgun which was not registered to him in the National Firearms Registration
and Transfer *5 Record, in violation of Title > 26 U.S.C. S5861(d) and
S5871. Count Five charged that on or about October 31, 1989, to on
or about November 3, 1989, Mr. Stinson transported in interstate commerce,
a stolen 1985 Ford van from Jacksonville,
Florida, to Gulfport, Mississippi, in violation of Title > 18 U.S.C.
S2312. The Federal Public Defender for the Middle District of Florida
was appointed to represent Mr. Stinson on January 29, 1990 and William
Mallory Kent, Assistant Federal Public Defender filed an appearance on
behalf of Mr. Stinson.
On April 11, 1990, Mr. Stinson entered a plea of guilty to Counts
One through Five.
The Pre-Sentence Investigation Report determined that Mr. Stinson
was a career offender pursuant to Sentencing Guidelines S4B1.1, choosing
among his five counts of conviction as the "instant offense conviction"
the charge of possession of a firearm by a convicted felon, the penalty
for which was enhanced under the armed career criminal provisions of Title
> 18 U.S.C. S 924(e) to life in prison, concluding that the charge of possession
of a firearm by a felon was a crime of violence. Based on the career
offender provision, with the predicate offense having a maximum penalty
of life in prison, the base offense level was 37 and criminal history category
was VI, with a guideline range of 360 months to life in prison. [FN1]
FN1 The description of the offense conduct and statement of facts up
to this point has been taken from the Presentence Investigation Report,
which is under seal in the district court record.
*6 At the sentencing hearing, counsel for Mr. Stinson repeated
the objection previously made to the United States Probation Office that
possession of a firearm by a felon, if the offense was committed prior
to November 1, 1989, was not a "crime of violence" under Guideline Section
4B1.1 [which defines the term by incorporating the definition of "crime
of violence" under Title 18, U.S.C. S16], and could not be the predicate
offense to trigger the career offender provisions of Guideline Section
4B1.1. (J.A. pp. 35a-38a)
The District Court ruled against Mr. Stinson as to his objection.
The District Court then determined the base offense level to be 37, reduced
that level two levels for "acceptance of responsibility" for a total offense
level of 35, category VI, and a sentencing range of 292-365 months.
The District Court sentenced Mr. Stinson to 365 months, plus a minimum
mandatory consecutive five (5) years for use of a firearm during the commission
of a crime of violence (Title > 18 U.S.C. S924(c)). (J.A. pp. 44a-50a)
That sentence was affirmed by the Eleventh Circuit on October 4, 1991.
Subsequent to the issuance of the first Stinson opinion on October
4, 1991, the United States Sentencing Commission issued an amendment to
the Commentary to Sentencing Guideline S4B1.2, specifically addressing
the issue in this brief. That amendment, which became effective on
November 1, 1991, clarified
the intent of the Sentencing Commission that the term "crime of violence"
(as used in the career offender provision S4B1.1) does not include the
offense of unlawful possession of a firearm by a felon. This clarifying
amendment was the basis for a petition for rehearing and rehearing en banc.
The Eleventh *7 Circuit denied the petition for rehearing in an opinion
issued on March 20, 1992. Thereafter, the petition for rehearing en banc
was denied, and the petition to this Court followed.
SUMMARY OF THE ARGUMENT
The teaching of Williams v. United States, > 112 S.Ct. 1112 (1992),
is that an error in interpreting a policy statement that prohibits a district
court from taking a specified action could lead to an incorrect determination
of the appropriateness of a departure. In that event, the resulting
sentence would be one that was "imposed as a result of an incorrect application
of the sentencing guidelines" within the meaning of > 18 U.S.C. S3742(f)(1).
Commentary can rightly be said to have the same legal significance as policy
statements. Therefore, the failure to follow the specific direction of
U.S.S.G. S4B1.2 comment. (n.2), that the offense of possession of
a firearm by a felon is not a "crime of violence" under U.S.S.G. SS4B1.1
and 4B1.2, when that failure results in the application of a guideline
that should not be applied, causes a
misapplication of the guidelines under > 18 U.S.C. S3742(f)(1).
An analysis of the structure of the related guidelines, SS2K2.1,
4B1.1, 4B1.2 and 4B1.4, reveals that a failure to follow the specific direction
of U.S.S.G. S4B1.2 comment. (n.2), renders SS2K2.1(a)(1), 2K2.1(a)(2)
and 4B1.4 nugatory. That is, to treat a "felon-in-possession" offense
as a crime of violence punishable as a career offender under 4B1.1, results
in the other sections never being applied.
*8 For example, S4B1.4 was adopted to apply only to armed career
criminals under > 18 U.S.C. S924(e). [FN2] Armed career criminals
are "felons-in- possession" with three prior crimes of violence.
A career offender is an offender whose current crime is a "crime of violence,"
and who has two prior crimes of violence. If being a "felon-in-possession"
qualifies as a "crime of violence," then every armed career criminal will
also be a career offender. Because the guidelines require the higher of
the two applicable guidelines to control, armed career criminals would
never be sentenced under the guideline created especially and solely for
them, but would always be sentenced under the higher career offender guideline.
Such an interpretation of the definition of "crime of violence" renders
the Congressionally approved guideline S4B1.4 invalid. By generally
accepted rules of statutory construction such an interpretation must be
wrong.
FN2 Stinson's instant offense count used for enhancement under S4B1.1 was a S924(e) count.
Sentencing Commission commentary is analogous to administrative
agency rules, which must be deferred to by the courts so long as they are
not plainly inconsistent with the Congressional grant of authority.
In this case, only by following the direction of the commentary, can the
broader guideline framework of interrelated guidelines be given practical
effect. Therefore, the court must defer to this commentary, and to
fail to do so results in a misapplication of the guidelines.
*9 ARGUMENT
I. Background
Section 4B1.1 of the Sentencing Guidelines provides:
"A defendant is a career offender if (1) the defendant was at
least eighteen years old at the time of the instant offense, (2) the instant
offense of conviction is a felony that is either a crime of violence or
a controlled substance offense, and (3) the defendant has at least two
prior felony convictions of either a crime of violence or a controlled
substance offense."
Stinson did not contest element (1), that he was over eighteen
at the time of
the offense, or (3), that he had been twice convicted of crimes of
violence. Stinson argued below that the offense used in his case
as the predicate "instant offense of conviction," was not a "crime of violence,"
according to both (1) the commentary interpreting and guiding the application
of U.S.S.G. S 4B1.2, and (2) the guideline itself.
Stinson's conviction for possession of a firearm by a felon was
chosen by the sentencing court as the predicate instant offense, holding
over Stinson's objection, that possession of a firearm by a felon is a
"crime of violence," as that term is defined in section 4B1.2 of the Sentencing
Guidelines. [FN3]
FN3 Because Stinson had three prior violent felonies, he was subject
to a minimum mandatory fifteen years to life imprisonment for conviction
on the possession of a firearm charge, under Title 18, S924(e) (Armed Career
Criminal Act). Stinson agreed that he was a career offender, but
only by using his armed bank robbery conviction (Title 18, S2113(a) and
(d)) as the predicate instant offense. The maximum penalty for armed
bank robbery is twenty-five years. Under the career offender provision
of the guidelines, the maximum penalty for the predicate instant offense
determines the total offense level. The total offense level is thirty-seven
for a life offense, but only thirty-four for an offense punishable by twenty-five
years.
*10 Stinson's crime occurred on October 31, 1989, and he was sentenced
on July 6, 1990. At the time of his offense S4B1.2 defined "crime
of violence" to have the same meaning as the definition of crime of violence
in Title 18, S16.
However, S4B1.2 was amended effective November 1, 1989, i.e.,
before Stinson's July 6, 1990 sentencing, to define crime of violence as
follows:
"(1) The term "crime of violence" means any offense under
federal or state law punishable by imprisonment for a term exceeding one
year that -
(i) has as an element the use, attempted use, or threatened
use of physical force against the person of another, or (ii) is burglary
of a dwelling, arson, or extortion, involves use of explosives, or otherwise
involves conduct that presents a serious potential risk of physical injury
to another." [FN4] (emphasis supplied)
FN4 The definition applicable at the time of the offense (October 31,
1989) was that found at Title 18, S16, which reads:
S16. Crime of violence defined
The term "crime of violence" means --
(a) an offense that has as an element the use, attempted use,
or threatened use of physical force against the person or property of another,
or
(b) any other offense that is a felony and that, by its nature,
involves a substantial risk that physical force against the person or property
of another may be used in the course of committing the offense.
*11 The amended definition was apparently borrowed from the definition
of crime of violence used in the Armed Career Criminal Act, Title 18, S924(e).
Effective November 1, 1990, new Guideline S4B1.4 was added to expressly
cover violations of the Armed Career Criminal Act, making an armed career
criminal (a felon in possession with three prior crimes of violence or
serious drug offenses), level 34 (or, in some cases, level 33, and a criminal
history category of from IV to VI).
In the Application Notes in the Commentary to S4B1.2 effective
November 1, 1989, the Sentencing Commission stated that courts may look
to "conduct set forth in the count of which the defendant was convicted,"
in deciding whether the predicate instant offense "presented a serious
potential risk of physical injury to another." (U.S.S.G. S4B1.2,
comment. (n.2)). A later amendment effective November 1, 1991, clarified
what "conduct" was the focus of the inquiry, by adding "the conduct set
forth (i.e. expressly charged) in the count of which the defendant was
convicted."
Following the Eleventh Circuit's opinion in United States v. Stinson,
> 943 F.2d 1268 (11th Cir. 1992) (Stinson I), and without any advance public
notice, the Sentencing Commission issued a clarifying amendment to Application
Note 2 to the Commentary to the Career Offender *12 provisions. The
note was amended by adding the following language:
"The term "crime of violence" does not include the offense of
unlawful possession of a firearm by a felon. Where the instant offense
is the unlawful possession of a firearm by a felon, the specific offense
characteristics of S 2K2.1 (Unlawful Receipt, Possession, or Transportation
of Firearms or Ammunition; Prohibited Transactions Involving Firearms or
Ammunition) provide an increase in offense level if the defendant has one
or more prior felony convictions for a crime of violence or controlled
substance offense ..." (emphasis supplied). [FN5]
FN5 Post United States v. Stinson, > 957 F.2d 813 (11th Cir. 1992) ("Stinson
II") the United States Sentencing Commission submitted to Congress among
its 1991 amendments to the Guidelines its previously published change in
the commentary at issue here, United States Sentencing Commission, > 57
Fed. Reg. 20148, May 11, 1992.
At the same time, but following public notice and submission to
Congress, guideline S2K2.1 was substantially revised to expressly provide
an offense level 24 (and, in some cases, level 26) for a felon in possession
who had two prior crimes of violence or serious drug offenses (which, if
the offense of "felon in possession" were a "crime of violence," would
also fit exactly the career offender definition in S4B1.1, a point which
will be discussed infra).
This amendment to the guidelines was effective November 1, 1991,
but the clarifying amendment to the existing commentary presumably clarified
preexisting *13 intent, that is, the intent at the time of Stinson's sentencing.
And, indeed, the Sentencing Commission expressly made the amendment to
U.S.S.G. S4B1.2 comment. (n.2) retroactive under S1B1.10 on August 26,
1992.
Based upon the clarification published by the Sentencing Commission
that it did not intend a possession of a firearm offense to constitute
a crime of violence for career offender purposes, Stinson petitioned for
a rehearing and for rehearing en banc.
Stinson's petition for rehearing was denied in United States
v. Stinson, > 957 F.2d 813 (11th Cir. 1992) (Stinson II), and his
petition for rehearing en banc was subsequently denied by a memorandum
order. In Stinson II, the Eleventh Circuit held that it was not bound
by the change in U.S.S.G. S4B1.2's
commentary until Congress amends guideline S4B1.2's language to exclude
specifically possession of a firearm by a felon as a "crime of violence."
For Stinson, this meant that the Eleventh Circuit stood by its original
interpretation of S4B1.2 that possession of a firearm by a felon "inherently
constitutes a crime of violence," and Stinson's sentence was affirmed and
motion for rehearing denied.
The Eleventh Circuit did not discuss this Court's opinion in
Williams, in declining to be bound by Sentencing Guidelines commentary
expressly prohibiting the position it took in interpreting Sentencing Guideline
Section 4B1.2. [FN6]
FN6 The Williams opinion was issued after Stinson's petition for rehearing was filed and after the United States filed its response, but before the court issued its opinion denying the petition for rehearing in Stinson II. Counsel for Stinson cited Williams to the Eleventh Circuit as supplemental authority under Rule 28(j), of the Federal Rules of Appellate Procedure, under cover of a letter dated April 20, 1992, in support of the still outstanding petition for rehearing en banc.
*14 II. The "Williams" Analysis
In Williams v. United States, > 112 S.Ct. 1112, 1119 (1992),
Justice
O'Connor, writing for a seven Justice majority, stated:
"Where, as here, a policy statement prohibits a district court
from taking a specified action, the statement is an authoritative guide
to the meaning of the applicable guideline. An error in interpreting
such a policy statement could lead to an incorrect determination ...
In that event, the resulting sentence would be one that was 'imposed as
a result of an incorrect application of the sentencing guidelines' within
the meaning of S3742(f)(1)."
That is, although there is a distinction between "guidelines"
and "policy statements" interpreting the guidelines, and it is only an
incorrect application of a "guideline" which triggers appellate review
under S3742(f)(1), the interpretation of the guideline must be informed
by a correct reading of any relevant policy statement. [FN7] An incorrect
interpretation of a policy statement can lead to an incorrect interpretation
of the affected guideline, and thus indirectly to a misapplication of the
guideline and appellate review under S3742(f)(1).
FN7 See Daniel J. Freed, Federal Sentencing in the Wake of Guidelines:
Unacceptable Limits on the Discretion of Sentencers, > 101 Yale L.J. 1681,
1732-1733, n.263 (1992).
*15 Although this Court in Williams was addressing the significance
of misinterpretations of policy statements and not commentary, commentary
can rightly be said to have the same legal significance as policy statements,
and hence principles of construction and application applicable to the
one are equally applicable to the other. For example, and pertinent
to the issue at hand, U.S.S.G. S1B1.7 ("Significance of Commentary") states:
"The Commentary that accompanies the guideline sections may
serve a number of purposes. First, it may interpret the guideline
or explain how it is to be applied. Failure to follow such commentary
could constitute an incorrect application of the guidelines, subjecting
the sentence to possible reversal on appeal. See > 18 U.S.C. S3742.
Second, the commentary may suggest circumstances which, in the view of
the Commission, may warrant departure from the guidelines. Such commentary
is to be treated as the legal equivalent of a policy statement ..." [FN8]
(emphasis supplied)
FN8 The commentary to S1B1.7 elaborate: "Portions of this document not labeled as guidelines or commentary also express the policy of the Commission or provide guidance as to the interpretation and application of the guidelines. These are to be construed as commentary and thus have the force of policy statements." (emphasis supplied)
In Stinson's case, U.S.S.G. S4B1.2, comment. (n.2) directs:
"The term "crime of violence" does not include the offense of
unlawful possession of a firearm by a felon. Where the instant offense
is the unlawful possession of a firearm by a felon, S2K2.1 (Unlawful Receipt,
Possession, or Transportation of Firearms or Ammunition; Prohibited Transactions
*16 Involving Firearms or Ammunition) provides an increase in offense level
if the defendant has one or more prior felony convictions for a crime of
violence or controlled substance offense; and, if the defendant is sentenced
under the provisions of > 18 U.S.C. S924(e), S4B1.4 (Armed Career Criminal)
will apply." (emphasis supplied) [FN9]
FN9 On December 31, 1992 the Sentencing Commission published for public
comment a preliminary document containing proposed amendments for the 1993
cycle. Among the newly proposed amendments is amendment 61, which
provides in pertinent part:
"The Commentary to Section 4B1.2 is amended in Application Note 2 by
deleting the words "does not include" in the first sentence of the second
paragraph, and inserting in lieu thereof the word "includes."
The synopsis explains that the amendment is necessary to make it clear
that "crime of violence":
"includes the possession of a firearm by a felon, conduct which is
a criminal offense because Congress has determined that such conduct presents
a risk of violence."
In a novel introductory note to the entire set of proposed amendments,
the Commission explained that:
"The Commission agreed to publish, upon request of a single Commissioner,
any proposal or issue for comment, including all proposals submitted from
sources outside the Commission. Therefore, publication of an amendment
for comment does not necessarily indicate that the Commission or any individual
Commissioner has formed a view on the merits of the proposed amendment."
(emphasis added)
In light of the fact that the Commission voted three to one as recently
as last August not only to ratify Application Note 2 as it was, but to
make its application retroactive, it would not appear likely that the above
proposed amendment represents the consensus of the Commission, and accordingly
its adoption and submission to Congress appears unlikely.
*17 Not only does the relevant commentary expressly define that
possession of a firearm is not a "crime of violence," but it further directs
that the
applicable guideline will, in such cases, instead be either S2K2.1
or S4B1.4.
The Eleventh Circuit Court of Appeals first interpreted U.S.S.G.
S4B1.2's term "crime of violence" before the Sentencing Commission issued
the clarifying commentary now at issue. [FN10] However, following
the issuance of the commentary, upon a petition for rehearing and petition
for rehearing en banc, the Eleventh Circuit refused to reconsider its interpretation
and follow this express commentary, holding that it would not be bound
by commentary. [FN11] The opinion in Stinson II came out just *18 eleven
days after the issuance of this Court's opinion in Williams. Neither
party below had cited Williams before *19 the issuance of Stinson II, although
counsel for Stinson did submit Williams as supplemental authority the following
month, before the petition for rehearing en banc was summarily denied.
Had the Eleventh Circuit chosen to discuss Williams, what teaching would
it have drawn? Perhaps we can approach the application of Williams to Stinson
best by analyzing the Williams' dissent.
FN10 U.S.S.G. App. C (1991) described the changes in the commentary
as clarifying changes:
"This amendment clarifies that the application of S4B1.2 is determined
by the offense of conviction (i.e., the conduct charged in the count of
which
the defendant was convicted); clarifies that the offense of unlawful
possession of a weapon is not a crime of violence for the purposes of this
section ..." (emphasis supplied) Ironically, the first opinion on Stinson
from the Eleventh
Circuit defining "crime of violence" relied upon the commentary notes
then in effect to reach its holding. Judge Edmondson concluded the
opinion stating:
"Because defendant's instant conviction for weapons possession by a
felon is a 'crime of violence,' as defined in section 4B1.2 and its application
notes, the district court properly enhanced defendant's sentence under
the career offender provisions of the Sentencing Guidelines." (emphasis
supplied)
FN11 The opinion denying rehearing following the issuance of the commentary
did not rest on any claimed lack of retroactivity. Under Eleventh
Circuit precedent, clarifying commentary added after sentencing will be
applied on appeal. United States v. Gardiner, > 955 F.2d 1492 (11th
Cir. 1992). In any event, if that were an issue, it was resolved in Stinson's
favor by the action of the Sentencing Commission on August 26, 1992 including
the amendments to S4B1.2, comment. (n.1), among those given
retroactive effect under S1B1.10. See > 57 Fed. Reg. 42804.
There was language in the second Stinson opinion complaining that there
had been no notice nor submission to Congress of the amended commentary.
In direct response, the Sentencing Commission issued amendment 461 for
submission to Congress in 1992. U.S.S.G. App. C (1992) explains amendment
461:
"[T]his amendment ratifies a previous amendment to the commentary to
S 4B1.2 (amendment 433, effective November 1, 1991) and corrects a clerical
error in a reference in that commentary to S2K2.1. The previous amendment
to the text of Application Note 2 clarified that application of S4B1.2
is governed by the offense of conviction, and that the offense of being
a felon in possession of a firearm is not a crime of violence within the
meaning of this guideline. As a clarifying and conforming change,
the previous commentary amendment reflected Commission intent that the
term "crime of violence," as that term is used in SS4B1.1 and 4B1.2, be
interpreted consistently with that term as used in other provisions of
the Guidelines Manual. For example, S4B1.4, as promulgated by amendment
355, effective November 1, 1990, provides an increased offense level for
a "felon-in-possession" defendant who is subject to an enhanced sentence
under > 18 U.S.C. S924(e) and who used or possessed the firearm in
connection with a crime of violence (S4B1.4(b)(3)(A)). This action
to ratify a previous commentary amendment was taken because of concerns
raised by United States v. Stinson, > 957 F.2d 813 (11th Cir. 1992), in
which the court stated it would not follow amendment 433 because the commentary
amendment was not submitted to Congress. The effective date of this
amendment is November 1, 1992."
However, as a clarifying and conforming change in the commentary to
S4B1.2, the 1991 amendment stating that felon-in-possession is not a crime
of violence was not required to be submitted to Congress under > 28 U.S.C.
S 994(p), which states that only amendments to the guidelines must be submitted
to Congress. Yet, as an authoritative statement of Commission intent
as to how the career offender guideline is to be interpreted and applied,
failure to give effect to this amendment can be reversible error under
> 18 U.S.C. S3742(f)(1).
The dissent in Williams complained that the majority failed to
define what the phrase "incorrect application of the guidelines" means.
It is true, the majority opinion in Williams did not explain the interstitial
analytical steps by which one concludes that the failure to abide by a
specific prohibition in a policy statement leads to an incorrect determination
of the guideline; the
omission is understandable, perhaps, if one assumes that such a clearly
inconsistent application of the policy statement to the guideline as occurred
in Williams self-evidently results in a misapplication of the guideline
itself. Similarly, in Stinson's case, the misinterpretation of the
guideline resulting from the failure to follow the specific direction of
the commentary is self-evident.
*20 The dissent, arguably, did not object in principle to the
proposition that a particular error in interpretation of a policy statement
(read, "commentary") could result in a misinterpretation of a particular
guideline, and hence a misapplication of that guideline. Justice
White wrote, "an error in their [i.e., a policy statement's] interpretation
is not, in itself, subject to appellate review ..." Williams, at
p. 1125 (emphasis added). By implication, if the error in interpretation
can be shown to result in an error in interpreting the relevant guideline,
review under S3742(f)(1) would come into play. Justice White proceeded
to quote from the legislative history to support the dissent's position:
"It should be noted that a sentence that is inconsistent with
the sentencing guidelines is subject to appellate review, while one that
is consistent with guidelines but inconsistent with the policy statements
is not. This is not intended to undermine the value of the policy
statements. It is, instead, a
recognition that the policy statements may be more general in nature
than the guidelines and thus more difficult to use in determining the right
to appellate review." S.Rep. No. 98-225, p. 167 (1983), U.S.Code
Cong. & Admin.News 1984, pp. 3182, 3350 (separate emphasis added).
This is not to say that a sentence that is inconsistent with
a commentary and inconsistent with the affected guideline is not reviewable.
Instead, this explains that in principle policy statements (and commentary)
will be more general than the specific guideline, and from an analytical
point of view, a sentence could be inconsistent with the more general policy
statement or commentary, and yet be consistent with the specific guideline;
in such a case the perceived "error," i.e., inconsistency, in interpreting
the policy statement is not reviewable. Perhaps there *21 would have
been some merit to a narrow interpretation of the Eleventh Circuit's position
had the newly issued commentary been less specific and more general.
The dissent in Williams then focused on the effect a misinterpretation
of a policy statement would or would not have on an applicable guideline
range. Finding that in the case of the misinterpretation of the policy
statement in Williams there was no effect on the applicable guideline range,
the dissent argued that Williams was not entitled to relief under S3742(f)(1).
But the rationale of the Williams dissent is not applicable to
the commentary
in Stinson's case. In Stinson's case, the commentary is more
specific than the guideline. Unless the commentary is to be disregarded
(as the Eleventh Circuit felt it could), there is no way to uphold the
interpretation of U.S.S.G. S4B1.2 that possession of a firearm by a felon
is a "crime of violence." Failure of the court to follow the commentary
in Stinson's case resulted in the application of the guideline range mandated
under U.S.S.G. S4B1.1 (Career Offender), which, for an offense with a statutory
maximum penalty of life, is level 37, compared to a level 34, had the court
followed the commentary, and applied the guideline range mandated under
U.S.S.G. S4B1.4 (Armed Career Criminal). Thus, the failure of the
court to apply the commentary in Stinson's case did affect the applicable
guideline range - by three levels. [FN12]
FN12 Level 37, Category VI, has a range of 360 months to life; Level
34, Category VI, has a range of 262-327 months. However, Stinson
received two levels off for acceptance of responsibility under S3E1.1,
hence his Total Offense Level fell to Level 35. On remand, applying
the principle of S 1B1.11, Stinson would receive three levels off for acceptance
of responsibility under the current version of S3E1.1, and have a Total
Offense Level of 31, for a range of 188-235 months.
*22 Thus as in Williams, by either the majority or dissent's rationale, we would submit that the court's failure to follow the commentary in Stinson's case, specifically directing that the offense of possession of a firearm by a felon is not a crime of violence, constitutes a "misapplication of the guidelines" under > 18 U.S.C. S3742(f)(1). [FN13]
FN13 The court also ignored or misapplied other relevant commentary
within application note 2 to S4B1.2, which explained what "conduct" was
the subject of examination in determining whether the offense "presents
a serious potential risk of physical injury to another" [or, under the
language of Title 18, U.S.C. S16, "by its nature, involves a substantial
risk that physical force against the person or property of another may
be used in the course of committing the offense"]. Both at the time
of sentencing, and in a slightly modified version at the time of the opinion
denying the petition for rehearing, application note 2 stated in pertinent
part:
"Other offenses are included where ... (B) the conduct set forth (i.e.,
expressly charged) in the count of which the defendant was convicted ...
by its nature, presented a serious potential risk of physical injury to
another ..."
It is, at least to Petitioner, self-evident that the offense of possession
of a firearm by a felon, cannot be, by its nature, subject to the risk
identified above. See United States v. Bruce, > 965 F.2d 1000 (11th
Cir. 1992) (per curiam), in which two members of the panel stated they
would not have adopted the "per se" rule of United States v. Stinson.
*23 III. The Structural Analysis [FN14]
FN14 For an excellent structural analysis of the guidelines as they relate to the determination whether "felon-in-possession" is a crime of violence for career offender purposes, see Mary E. McDowell, Felon-In-Possession: Why It Is Not a "Crime of Violence" under the Career Offender Guideline, Vol. 5, No. 2, Federal Sentencing Reporter 112 (Sept./Oct. 1992).
The Eleventh Circuit, in focusing on the one sentence amendment
to U.S.S.G. S 4B1.2 comment. (n.2) in isolation, ignored the newly
added cross-reference to the newly amended guideline S2K2.1, and also ignored
the addition effective November 1, 1990 of new guideline S4B1.4 (Armed
Career Criminal).
An armed career criminal is a defendant who violates > 18 U.S.C.
S922(g) [felon-in-possession] and has three prior convictions for
either a crime of
violence or a serious drug offense. Before November 1, 1990,
and the addition of S4B1.4, there was no guideline for an armed career
criminal and armed career criminals were sentenced outside the guidelines
under the statutory mandate of a sentence of "not less than fifteen years."
Title 18, S924(e). The 1989 guideline statutory index, U.S.S.G. App. A
(1989), did not list an applicable guideline for > 18 U.S.C. S924(e), whereas
the current index in U.S.S.G. App. A (1992) directs the application of
S2K2.1 or S4B1.4. In counsel's experience, armed career criminals
were not sentenced under the career offender guideline, [FN15] although
*24 if one assumes that possession of a firearm by a felon is a crime of
violence, then by definition most armed career criminals would also be
career offenders. [FN16]
FN15 See e.g. United States v. Briggman, > 931 F.2d 705 (11th Cir. 1991), whose opinion, that a felon-in-possession is not a career offender, the panel in Stinson I treated as dicta. See Toby D. Slawsky, Career Offender Provisions - What Prior Offenses Count?, 53 Federal Probation 63, 66 (December 1989).
FN16 Most, but not all, because (1) the Armed Career Criminal Act ("ACCA")
counts juvenile convictions, while the career offender guidelines do not,
(2) the career offender provisions exclude convictions after a term
of years, whereas the ACCA has no time limits on the use of prior convictions,
and (3) the career offender provision excludes non-residential burglaries,
whereas the ACCA does not.
Guideline S4B1.4 was expressly created for armed career criminals,
effective November 1, 1990, establishing their offense level as level 34
(or, in some instances 33) unless either the career offender guideline
or Chapter 2 guideline applicable to the conviction, is higher. Under
the Stinson II court's rationale, however, the armed career criminal guideline
would never be applied, because under Stinson I and II, all armed career
criminals would also be career offenders (because their instant offense
conviction for possession of a firearm will be treated as a crime of violence
and automatically trigger the application of the career offender provision),
and would invariably face substantially lengthier sentences as career offenders
than as armed career criminals. [FN17] In other words, the Eleventh *25
Circuit's holding in Stinson I and II renders Guideline S4B1.4 nugatory.
Hence the Eleventh Circuit's rationale for its holding - that it was only
overriding commentary, and a circuit court is not bound by commentary,
as opposed to Congressionally mandated guidelines - does not withstand
scrutiny.
FN17 Level 37, Category VI based on S4B1.1's career offender offense level for offenses punishable by life - an armed career criminal is punishable by a minimum fifteen years to a maximum of life. Armed career criminals are three, and in some cases, four levels lower under S4B1.4, and can range from Category VI down to Category IV under S4B1.4. Thus the spread can be four levels and two categories, which can run from 360 months to life, for career offenders to 188-235 months for armed career criminals. In the case of certain technical exceptions noted in the preceding footnote, the S4B1.4 ACCA guideline would apply still.
Nor is it only the impact on guideline S4B1.4 at issue in Stinson
I and II. When the Sentencing Commission responded to the series
of pre-1991 amendment circuit opinions that possession of a firearm either
categorically or on the facts of the case, was a crime of violence, by
adding clarifying commentary to the contrary, it also amended (with Congressional
approval) pre-existing guideline S2K2.1 (Unlawful Receipt, Possession or
Transportation of Firearms) to increase the range from level 12 to 24 (and
26 in cases involving firearms listed in > 26 U.S.C. S5845(a)) for felons-in-possession
who had two prior crimes of violence or controlled substance offenses.
Note: this definition
corresponds exactly to that set by the Eleventh Circuit for a career
offender! Thus under the Stinson I and II rationales, new guideline
SS2K2.1(a)(1) and (2) would never be applied because in the Eleventh Circuit
such defendants would always be career offenders and always subject to
an enhanced punishment under S 4B1.1 instead.
Thus, the Eleventh Circuit in Stinson II has, implicit in its
holding, determined that sentencing guidelines SS2K2.1(a)(1), 2K2.1(a)(2)
and 4B1.4 will never be *26 applied. [FN18] Such a construction of .1.1
violates the cardinal rule of statutory interpretation that no provision
should be construed to be entirely redundant. Kungys v. United States,
485 U.S. 778 (1988). Therefore, the error rests not only upon the failure
to follow the specific direction in the commentary to the contrary, but
also upon a misapprehension of the broader guideline framework. From
this statutory construction analysis of the interplay of the related guidelines,
it is clear that as to this particular case, and this particular commentary,
in this particular context of interrelated guidelines and statutory offenses,
that the failure to follow the specific direction in the commentary did
in fact result in a misapplication of the guideline itself.
FN18 Except in the narrow circumstances noted above as to S4B1.4 only.
IV. Review of Case Law in the Circuits
Before the issuance of the amended commentary on November 1,
1991, relying on either the pre-November 1989 Title 18, S16 definition,
or the later "borrowed" S924(e) definition of crime of violence in guideline
S4B1.2, the Third, Seventh, Eighth, and Tenth Circuits held on the facts
of the respective cases (impliedly, or expressly stating that the offense
was not per se or categorically a crime of violence), that possession of
a firearm by a felon was a crime of violence for career offender purposes.
United States v. Williams, > 892 F.2d 296 (3rd Cir. 1989); United States
v. McNeal, > 900 F.2d 119 (7th Cir. 1990); United States v. Alvarez, >
914 F.2d 915 (7th Cir. 1990); United *27 States v. Cornelius, > 931 F.2d
490 (8th Cir. 1991); United States v. Walker, > 930 F.2d 789 (10th Cir.
1991). [FN19] In addition, the Fifth, Ninth and Eleventh Circuits
each held that possession of a firearm by a felon was per se, or categorically,
a crime of violence. United States v. Goodman, > 914 F.2d 696 (5th
Cir. 1990); United States v. Shano, > 947 F.2d 1263 (5th Cir. 1991) (Shano
I); United States v. O'Neal, > 937 F.2d 1369 (9th Cir. 1990); United States
v. Stinson, > 943 F.2d 1268 (11th Cir. 1991) (Stinson I). [FN20]
FN19 The Seventh Circuit, establishing that possession of a firearm
is not
categorically a crime of violence also held, in United States v. Chappel,
> 942 F.2d 439 (7th Cir. 1991), that possession was not a crime of violence
on the facts presented in that case.
FN20 There was a debate within these opinions as to whether only the
generic offense, or the offense conduct charged in the indictment or the
actual underlying conduct could be examined to determine whether a crime
of violence had occurred. Arguably this is a sub-issue of the question
at hand, but it is counsel's opinion that it is not necessary to reach
that question to resolve this case.
The Circuits split on the effect of Taylor v. United States, > 110
S.Ct. 2143 (1990) on this sub-issue.
Following the Eleventh Circuit's opinion in Stinson I, and without
any advance public notice, the Sentencing Commission issued the clarifying
amendment to Application Note 2 to the Commentary to the Career Offender
provisions, which is the subject of this brief. The Eleventh Circuit refused
to reconsider its opinion following a petition for rehearing which briefed
the matter of the *28 clarifying amendment to the commentary in United
States v. Stinson, > 957 F.2d 813 (11th Cir. 1992) (Stinson II). [FN21]
FN21 On May 14, 1992, in United States v. Adkins, > 961 F.2d 173 (11th Cir. 1992), the Eleventh Circuit reaffirmed Stinson I and Stinson II.
However, six other circuits that have been called upon to re-examine the issue since the November 1, 1991 clarifying amendment have held contrary to the Eleventh Circuit, that possession of a firearm by a felon is not a crime of violence. United States v. Doe, > 960 F.2d 221 (1st Cir. 1992); United States v. Bell, > 966 F.2d 703 (1st Cir. 1992); United States v. Carter, ___ F.2d ___, 1992 U.S. App. LEXIS 32517 (2nd Cir. 1992); United States v. Joshua, > 976 F.2d 844, 850-856 (3rd Cir. 1992) [FN22]; United States v. Samuels, > 970 F.2d 1312 (4th Cir. 1992); United States v. Shano, > 955 F.2d 291 (5th Cir. 1992) (Shano II); and United States v. Sahakian, > 965 F.2d 740 (9th Cir. 1992). [FN23]
FN22 Joshua held that on its facts, the charge did not sustain the application
of the career offender provisions. Joshua turned on whether the court
could look behind the conduct expressly charged in the indictment.
Because Joshua decided that the amended commentary prohibiting a court
from looking to the underlying conduct was not clearly inconsistent
with the guideline, the court must give it effect, and based upon the
language in the indictment in the particular case, the charge of possession
of a firearm by a felon was not a crime of violence. Joshua rejected,
however, the Commission's attempt in the commentary to prohibit the application
of career offender status to possession of a firearm on a per se basis,
holding that this interpretation could not reasonably be supported by the
guideline itself.
FN23 But see, United States v. Alvarez, > 972 F.2d 1000 (9th Cir. 1992), in which no issue was made of using a possession charge as a predicate for the career offender.
*29 In Sahakian, the Ninth Circuit went from holding possession
of a firearm is categorically a crime of violence (in O'Neal) to hold instead
that it categorically is not a crime of violence. Similarly, the
Fifth Circuit, post amendment in Shano II reversed its prior holding in
Shano I. [FN24] The First Circuit, in Bell and Doe, has now joined
with the new position of the Ninth Circuit in Sahakian, that possession
of a firearm by a felon is categorically never a crime of violence.
In the Second Circuit in Carter, the government conceded that the commentary
mandated a reversal:
FN24 This Court granted certiorari in Kyle v. United States, > 112 S.Ct. 2959 (1992), and remanded Kyle for resentencing in light of Shano II and the amended commentary.
"Effective November 1, 1992, a revision to S1B1.10(d) of the
Sentencing Guidelines establishes retroactively that a "felon-in-possession"
conviction under S922(g)(1) is never a "crime of violence" for purposes
of S4B1.1, > 57 Fed. Reg. 42804 (1992), thereby undercutting the government's
position. After oral argument and upon learning of this revision,
the government informed this court that it does not oppose remand for resentencing
in conformity with this Guidelines amendment. Accordingly, we remand
for resentencing." Carter, supra. (emphasis supplied)
The Eighth Circuit, in United States v. Saffeels, ___ F.2d ___,
1992 U.S. App. LEXIS 33236 (8th Cir. 1992), declined to reverse Cornelius,
but noted that this Court had granted certiorari in this case [i.e., Stinson],
and rather than overrule a prior panel would leave the ultimate disposition
to this Court. [FN25]
FN25 The Sixth Circuit, in an opinion not certified for publication,
reported as United States v. Beckley, > 972 F.2d 349 (6th Cir. 1992),
the unpublished opinion of which, however, can be found at 1992 U.S. App.
LEXIS 17473, declined to apply the amendment retroactively. Beckley was
decided on July 22, 1992, one month before the Sentencing Commission acted
to make the amendment retroactive.
*30 Among all the opinions to date, the only useful analysis of the questions involved is found in Joshua. In declining to follow the lead of the Eleventh Circuit, the court in Joshua looked first at the role of the Sentencing Commission in the statutory scheme. In addition to promulgating the guidelines, the Commission has a continuing obligation to "review and revise, in consideration of comments and data coming to its attention, the guidelines promulgated pursuant to the provisions of this section." Joshua at p. 854, quoting > 28 U.S.C. S994(o). As this Court stated in Braxton v. United States, > 111 S.Ct. 1854 (1991), "Congress necessarily contemplated that the Commission would periodically review the work of the courts, and would make whatever clarifying revisions to the Guidelines conflicting judicial decisions might suggest." Id. > 111 S.Ct. at 1858. Joshua concluded that it was clear that the Commission had a part to play when courts, interpreting the same language, reach contrary conclusions.
According to Joshua, unless the Commission adopts an interpretive
commentary that the text of the guideline cannot reasonably support, the
courts should follow the commentary. Joshua held that the amendment
to the commentary which attempts to prohibit on a per se basis application
of career offender status to the offense of "felon-in-possession," is not
reasonably supported by the *31 guideline, and would not be followed by
the Third Circuit. On the other hand, the court found the resolution
of the question whether courts are permitted to look to underlying conduct
to determine whether there had been a crime of violence, which the amendment
prohibits, to be an example of commentary clarifying an ambiguity, in which
case, the Commission's interpretation must be followed.
The issue is misstated by the Eleventh Circuit, according to
Joshua, when it frames the issue whether the Commission has the authority
to overturn circuit court precedent. Obviously not, and yet the Commission
is authorized to interpret the guidelines without going through Congress.
> 28 U.S.C. S 994(p) (requiring that the Commission submit to Congress
only amendments to the guidelines themselves). Thus the issue is
analogous to that faced by courts in responding to an administrative agency's
interpretation of an ambiguous statute. Normally, courts give deference
to such interpretations. And the case is more compelling with the
guidelines, because the Commission is the entity
that initiates the guidelines in the first place. Thus, so long as
the Commission's interpretation of a guideline is a permissible reading
of the guideline, courts should defer to it, and if this means reconsidering
a prior panel's decision, so be it.
Of course, a major criticism that can be made of Joshua's application
of its reasoning to the issue at hand, is that in analyzing S4B1.1 in isolation,
it completely failed to consider the interplay of guideline SS2K2.1, 4B1.1
and 4B1.4. An analysis of that interplay - a structural analysis
- makes clear that the courts have been in *32 error in consistently applying
S4B1.1 to felons-in-possession, and it is the courts, not the Sentencing
Commission, which have interpreted the guideline in a way which cannot
be supported by an analysis of the guideline in context. With this knowledge,
but applying the reasoning of Joshua, we would argue that it is error for
a court to fail to give deference to commentary that is clearly consistent
with the overall framework and purpose of the relevant guidelines.
Where this leaves the issue in the circuits is that only the
Eleventh and Eighth Circuits continue to hold, alone among all nine circuits
that have considered the issue, in the face of Sentencing Commission commentary
expressly and directly contradicting its position, that possession of a
firearm by a felon is always and in every case, regardless of the conduct
charged in the
indictment or the actual underlying conduct, a crime of violence for
purposes of the Career Offender provision.
CONCLUSION
Based on the analysis of Williams and a structural analysis of
the interrelated guidelines, Petitioner Stinson submits that the court's
failure to follow the specific direction of the commentary that possession
of a firearm by a felon was not a crime of violence, resulted in a misapplication
of the guidelines under > 18 U.S.C. S3742(f)(1).
*33 WHEREFORE, Petitioner, TERRY LYNN STINSON, respectfully prays
this Honorable Court vacate his sentence and remand the case for resentencing
with instructions that he be resentenced as an armed career criminal under
U.S.S.G. S4B1.4.
*1a 2. FIREARMS
S 2K2.1. Unlawful Receipt, Possession, or Transportation
of Firearms or Ammunition; Prohibited Transactions Involving Firearms or
Ammunition.
(a) Base Offense Level (Apply the Greatest):
(1) 26, if the defendant had at least two prior felony
convictions of either a crime of violence or a controlled substance offense,
and the instant offense involved a firearm listed in > 26 U.S.C. S 5845(a);
or
(2) 24, if the defendant had at least two prior felony
convictions of either
a crime of violence or a controlled substance offense; or
(3) 22, if the defendant had one prior felony conviction
of either a crime of violence or a controlled substance offense, and the
instant offense involved a firearm listed in > 26 U.S.C. S 5845(a); or
(4) 20, if the defendant -
(A) had one prior felony conviction of either a crime
of violence or a controlled substance offense; or
(B) is a prohibited person, and the offense involved a
firearm listed in > 26 U.S.C. S 5845(a); or
(5) 18, if the offense involved a firearm listed in >
26 U.S.C. S 5845(a); or
(6) 14, if the defendant is a prohibited person; or
*2a (7) 12, except as provided below; or
(8) 6, if the defendant is convicted under > 18 U.S.C.
S 922(c), (e), (f), or (m).
(b) Specific Offense Characteristics
(1) If the offense involved three or more firearms, increase
as follows:
Number of Firearms Increase in Level
------------------ -----------------
a crime of violence or a controlled substance offense; or
(3) 22, if the defendant had one prior felony conviction
of either a crime of violence or a controlled substance offense, and the
instant offense involved a firearm listed in > 26 U.S.C. S 5845(a); or
(4) 20, if the defendant -
(A) had one prior felony conviction of either a crime
of violence or a controlled substance offense; or
(B) is a prohibited person, and the offense involved a
firearm listed in > 26 U.S.C. S 5845(a); or
(5) 18, if the offense involved a firearm listed in >
26 U.S.C. S 5845(a); or
(6) 14, if the defendant is a prohibited person; or
*2a (7) 12, except as provided below; or
(8) 6, if the defendant is convicted under > 18 U.S.C.
S 922(c), (e), (f), or (m).
(b) Specific Offense Characteristics
(1) If the offense involved three or more firearms, increase
as follows:
Number of Firearms Increase in Level
------------------ -----------------
(A) 3-4
add 1
(B) 5-7
add 2
(C) 8-12
add 3
(D) 13-24
add 4
(E) 25-49
add 5
(F) 50 or more
add 6.
(2) If the defendant, other than a defendant subject to
subsection (a)(1), (a)(2), (a)(3), (a)(4), or (a)(5), possessed all
ammunition and firearms solely for lawful sporting purposes or collection,
and did not unlawfully discharge or otherwise unlawfully use such firearms
or ammunition, decrease the offense level determined above to level 6.
(3) If the offense involved a destructive device, increase
by 2 levels.
(4) If any firearms was stolen, or had an altered or obliterated
serial number, increase by 2 levels.
Provided, that the cumulative offense level determined above
shall not exceed level 29.
*3a (5) If the defendant used or possessed any firearm
or ammunition in connection with another felony offense; or possessed or
transferred any firearm or ammunition with knowledge, intent, or reason
to believe that it would be
used or possessed in connection with another felony offense, increase
by 4 levels. If the resulting offense level is less than level 18, increase
to level 18.
(6) If a recordkeeping offense reflected an effort to
conceal a substantive offense involving firearms or ammunition, increase
to the offense level for the substantive offense.
(c) Cross Reference
(1) If the defendant used or possessed any firearm of
ammunition in connection with the commission or attempted commission of
another offense, or possessed or transferred a firearm or ammunition with
knowledge or intent that it would be used or possessed in connection with
another offense, apply -
(A) S 2X1.1 (Attempt, Solicitation, or Conspiracy) in
respect to that other offense, if the resulting offense level is greater
than that determined above; or
(B) if death resulted, the most analogous offense guideline
from Chapter Two, Part A, Subpart 1 (Homicide), if the resulting offense
level is greater than that determined above.
*4a Commentary
Statutory Provisions: > 18 U.S.C. SS 922(a)-(p), (r), >
924(a), (b), (e), (f), (g); > 26 U.S.C. S 5861(a)-(l). For
additional statutory provisions, see
Appendix A (Statutory Index).
Application Notes:
1. "Firearm" includes (i) any weapon (including a starter
gun) which will or is designed to or may readily be converted to expel
a projectile by the action of an explosive; (ii) the frame or receiver
of any such weapon; (iii) any firearm muffler or silencer; or (iv) any
destructive device. See > 18 U.S.C. S 921(a)(3).
2. "Ammunition" includes ammunition or cartridge cases,
primer, bullets, or propellent powder designed for use in any firearm.
See > 18 U.S.C. S 921(a)(17)(A).
3. "Firearm listed in > 26 U.S.C. S 5845(a)" includes:
(i) any short- barreled rifle or shotgun or any weapon made therefrom;
(ii) a machinegun; (iii) a silencer; (iv) a destructive device; or (v)
any "other weapon," as that term is defined by > 26 U.S.C. S 5845(e).
A firearm listed in > 26 U.S.C. S 5845(a) does not include unaltered handguns
or regulation-length rifles or shotguns. For a more detailed definition,
refer to > 26 U.S.C. S 5845.
4. "Destructive device" is a type of firearm listed in
> 26 U.S.C. S 5845(a), and includes any explosive, incendiary, or poison
gas - (i) bomb, (ii) grenade, (iii) rocket having a propellant charge of
more than four ounces, (iv) missile having an explosive or incendiary charge
of more than one-quarter
ounce, (v) mine, or (vi) device similar to any the devices described
in the preceding clauses; any type of weapon which will, or which may be
readily converted to, expel a projectile by the action of an explosive
or other propellant, and which has any barrel with a bore of more than
one-half inch in diameter; or any combination of parts either designed
or intended for use in converting *5a any device into any destructive device
listed above. For a more detailed definition, refer to > 26 U.S.C.
S 5845(f).
5. "Crime of violence," "controlled substance offense,"
and "prior felony conviction(s)," are defined in S 4B1.2 (Definitions of
Terms Used in Section 4B1.1), subsections (1) and (2), and Application
Note 3 of the Commentary, respectively. For purposes of determining
the number of such convictions under subsections (a)(1), (a)(2), (a)(3),
and (a)(4)(A), count any such prior conviction that receives any points
under S 4A1.1 (Criminal History Category).
6. "Prohibited person," as used in subsections (a)(4)(B)
and (a)(6), means anyone who: (i) is under indictment for, or has
been convicted of, a "crime punishable by imprisonment for more than one
year," as defined by > 18 U.S.C. S 921(a)(20); (ii) is a fugitive from
justice; (iii) is an unlawful user of, or is addicted to, any controlled
substance; (iv) has been adjudicated as a mental defective or involuntarily
committed to a mental institution; or (v) being an alien, is illegally
or unlawfully in the United States.
7. "Felony offense," as used in subsection (b)(5), means
any offense punishable by imprisonment for a term exceeding one year, whether
or not a criminal charge was brought, or conviction obtained.
8. Subsection (a)(7) includes the interstate transportation
or interstate distribution of firearms, which is frequently committed in
violation of state, local, or other federal law restricting the possession
of firearms, or for some other underlying unlawful purpose. In the
unusual case in which it is established that neither avoidance of state,
local, or other federal firearms law, nor any other underlying unlawful
purpose was involved, a reduction in the base offense level to no lower
than level 6 may be warranted to reflect the less serious nature of the
violation.
*6a 9. For purposes of calculating the number of firearms
under subsection (b)(1), count only those firearms that were unlawfully
sought to be obtained, unlawfully possessed, or unlawfully distributed,
including any firearm that a defendant obtained or attempted to obtain
by making a false statement to a licensed dealer.
10. Under subsection (b)(2), "lawful sporting purposes
or collection" as determined by the surrounding circumstances, provides
for a reduction to an offense level of 6. Relevant surrounding circumstances
include the number and type of firearms, the amount and type of ammunition,
the location and
circumstances of possession and actual use, the nature of the defendant's
criminal history (e.g., prior convictions for offenses involving firearms),
and the extent to which possession was restricted by local law. Note that
where the base offense level is determined under subsections (a)(1) - (a)(5),
subsection (b)(2) is not applicable.
11. A defendant whose offense involves a destructive device
receives both the base offense level from the subsection applicable to
a firearm listed in > 26 U.S.C. S 5845(a) (e.g., subsection (a)(1), (a)(3),
(a)(4)(B), or (a)(5)), and a two-level enhancement under subsection (b)(3).
Such devices pose a considerably greater risk to the public welfare than
other National Firearms Act weapons.
12. If the defendant is convicted under > 18 U.S.C. S 922(i),
(j), or (k), or > 26 U.S.C. S 5861(g) or (h) (offenses involving stolen
firearms or ammunition), and is convicted of no other offense subject to
this guideline, do not apply the adjustment in subsection (b)(4) because
of base offense level itself takes such conduct into account.
13. Under subsection (b)(6), if a record-keeping offense
was committed to conceal a substantive firearms or ammunition offense,
the offense level is increased to the offense level for the substantive
firearms or ammunition offense (e.g., if the defendant falsifies a record
to conceal the sale
*7a of a firearm to a prohibited person, the offense level is increased
to the offense level applicable to the sale of a firearm to a prohibited
person).
14. Under subsection (c)(1), the offense level for the
underlying offense is to be determined under S 2X1.1 (Attempt, Solicitation,
or Conspiracy) or, if death results, under the most analogous guideline
from Chapter Two, Part A, Subpart 1 (Homicide).
15. Prior felony conviction(s) resulting in an increased
base offense level under subsection (a)(1), (a)(2), (a)(3), (a)(4)(A),
(a)(4)(B), or (a)(6) are also counted for purposes of determining criminal
history points pursuant to Chapter Four, Part A (Criminal History).
16. An upward departure may be warranted in any of the
following circumstances: (1) the number of firearms significantly
exceeded fifty; (2) the offense involved multiple National Firearms Act
weapons (e.g., machineguns, destructive devices), military type assault
rifles, non-detectable ("plastic") firearms (defined at > 18 U.S.C. S 922(p));
(3) the offense involved large quantities of armor-piercing ammunition
(defined at > 18 U.S.C. S 921(a)(17)(B)); or (4) the offense posed a substantial
risk of death or bodily injury to multiple individuals.
17. A defendant who is subject to an enhanced sentence
under the provisions of > 18 U.S.C. S 924(e) is an Armed Career Criminal.
See S 4B1.4.
18. As used in subsections (b)(5) and (c)(1), "another
felony offense" and "another offense" refer to offenses other than
explosives or firearms possession or trafficking offenses. However,
where the defendant used or possessed a firearm or explosive to facilitate
another firearms or explosives offense (e.g., the defendant used or possessed
a firearm to protect the delivery of an unlawful shipment of explosives),
an upward departure under S 5K2.6 (Weapons and Dangerous Instrumentalities)
may be warranted.
*8a Historical Note: Effective November 1, 1987. Amended
effective November 1, 1989 (see Appendix C, amendment 189); November 1,
1990 (see Appendix C, amendment 333); November 1, 1991 (see Appendix C,
amendment 374); November 1, 1992 (see Appendix C, amendment 471).
* * *
S4B1.1. Career Offender
A defendant is a career offender if (1) the defendant was at
least eighteen years old at the time of the instant offense, (2) the instant
offense of conviction is a felony that is either a crime of violence or
a controlled substance offense, and (3) the defendant has at least two
prior felony convictions of either a crime of violence or a controlled
substance offense. If the offense level for a career criminal from the
table below is greater than the offense level otherwise applicable, the
offense level from the table below
shall apply. A career offender's criminal history category in
every case shall be Category VI.
Offense Statutory Maximum
Offense Level [FN*]
---------------------------------------------------------- -------------------
(A) Life
37
(B) 25 years or more
34
(C) 20 years or more, but less than 25 years
32
(D) 15 years or more, but less than 20 years
29
(E) 10 years or more, but less than 15 years
24
(F) 5 years or more, but less than 10 years
17
(G) More than 1 year, but less than 5 years
12.
FN* If an adjustment from S3E1.1 (Acceptance of Responsibility) applies,
decrease the offense level by the number of levels corresponding
to that
adjustment.
*9a Commentary
Application Notes:
1. "Crime of violence," "controlled substance offense,"
and "two prior felony convictions" are defined in S4B1.2.
2. "Offense Statutory Maximum" refers to the maximum term
of imprisonment authorized for the offense of conviction that is a crime
of violence or controlled substance offense. If more than one count
of conviction is of a crime of violence or controlled substance offense,
use the maximum authorized term of imprisonment for the count that authorizes
the greatest maximum term of imprisonment.
Background: > 28 U.S.C. S 994(h) mandates that the Commission
assure that certain "career" offenders, as defined in the statute, receive
a sentence of imprisonment "at or near the maximum term authorized."
Section 4B1.1 implements this mandate. The legislative history of
this provision suggests that the phrase "maximum term authorized" should
be construed as the maximum term authorized by statute. See S. Rep.
98-225, 98th Cong., 1st Sess. 175 (1983), 128 Cong. Rec. 26, 511-12 (1982)
(text of "Career Criminals" amendment by Senator Kennedy), 26, 515 (brief
summary of amendment), 26, 517.18 (statement of Senator Kennedy).
Historical Note: Effective November 1, 1987. Amended
effective January 15, 1988 (see Appendix C, amendments *10a 47 and 48);
November 1, 1989 (see Appendix C, amendments 266 and 267); November 1,
1992 (see Appendix C, amendment 459).
S4B1.2. Definitions of Terms Used in Section 4B1.1
(1) The term "crime of violence" means any offense under
federal or state law punishable by imprisonment for a term exceeding one
year that -
(i) has an element the use, attempted use, or threatened
use of physical force against the person of another, or
(ii) is burglary of a dwelling, arson, or extortion, involves
use of explosives, or otherwise involves conduct that present a serious
potential risk of physical injury to another.
(2) The term "controlled substance offense" means an offense
under a federal or state law prohibiting the manufacture, import, export,
distribution, or dispensing of a controlled substance (or a counterfeit
substance) or the possession of a controlled substance (or a counterfeit
substance) with intent to manufacture, import, export, distribute, or dispense.
(3) The term "two prior felony convictions" means (A)
the defendant committed the instant offense subsequent to sustaining at
least two felony convictions of either a crime of violence or a controlled
substance offense (i.e., two felony convictions of a crime of violence,
two felony convictions of a controlled substance offense, or one *11a felony
conviction of a crime of violence and one felony conviction of a controlled
substance offense), and (B) the sentences for at least two of the aforementioned
felony convictions are counted separately under the provisions of S4A1.1(a),
(b), or (c). The date
that a defendant sustained a conviction shall be the date that the
guilt of the defendant has been established, whether by guilty plea, trial,
or plea of nolo contendere.
Commentary
Application Notes:
1. The terms "crime of violence" and "controlled substance
offense" include the offenses of aiding and abetting, conspiring and attempting
to commit such offenses.
2. "Crime of violence" includes murder, manslaughter, kidnapping,
aggravated assault, forcible sex offenses, robbery, arson, extortion, extortionate
extension of credit, and burglary of a dwelling. Other offenses are
included where (A) that offense has an element the use, attempted use,
or threatened use of physical force against the person of another, or (B)
the conduct set forth (ie., expressly charged) in the count of which the
defendant was convicted involved use of explosives (including any explosive
material or destructive device) or, by its nature, presented a serious
potential risk of physical injury to another. Under this section,
the conduct of which the defendant was convicted is the focus of inquiry.
The term "crime of violence" does not include the offense of
unlawful possession of a firearm by a felon. Where the instant offense
is the unlawful
possession of a firearm by a felon, S2K2.1 (Unlawful Receipt, Possession,
or Transportation of Firearms or Ammunition; Prohibited Transactions Involving
Firearms or Ammunition) provides an *12a increase in offense level if the
defendant has one or more prior felony convictions for a crime of violence
or controlled substance offense; and, if the defendant is sentenced under
the provisions of > 18 U.S.C. S 924(e), S4B1.4 (Armed Career Criminal)
will apply.
3. "Prior felony conviction" means a prior adult federal
or state conviction for an offense punishable by death or imprisonment
for a term exceeding one year, regardless of whether such offense is specifically
designated as a felony and regardless of the actual sentence imposed.
A conviction for an offense committed at age eighteen or older is an adult
conviction. A conviction for an offense committed prior to age eighteen
is an adult conviction if it is classified as an adult conviction under
the laws of the jurisdiction in which the defendant was convicted (e.g.,
a federal conviction for an offense committed prior to the defendant's
eighteenth birthday is an adult conviction if the defendant was expressly
proceeded against as an adult).
4. The provisions of S4A1.2 (Definitions and Instructions
for Computing Criminal History) are applicable to the counting of convictions
under S4B1.1.
Historical Note: Effective November 1, 1987. Amended
effective January 15, 1988 (see Appendix C, amendment 49); November 1,
1989 (see Appendix C,
amendment 268); November 1, 1991 (see Appendix C, amendment 433); November
1, 1992 (see Appendix C, amendment 461).
* * *
S4B1.4. Armed Career Criminal
(a) A defendant who is subject to an enhanced sentence
under the provisions of > 18 U.S.C. S 924(e) is an armed career criminal.
(b) The offense level for an armed career criminal is
the greatest of:
*13a (1) the offense level applicable from Chapters Two
and Three; or
(2) the offense level from S4B1.1 (Career Offender) if
applicable; or
(3) (A) 34, if the defendant used or possessed the
firearm or ammunition in connection with a crime of violence or controlled
substance offense, as defined in S4B1.2(1), or if the firearm possessed
by the defendant was of a type described in > 26 U.S.C. S 5845(a) [FN*];
or
FN* If an adjustment from S3E1.1 (Acceptance of Responsibility) applies,
decrease the offense level by the number of levels corresponding to that
adjustment.
(c) The criminal history category for an armed career criminal
is the greatest of:
(1) the criminal history category from Chapter Four, Part A (Criminal
History), or S4B1.1 (Career Offender) if applicable; or
(2) Category VI, if the defendant used or possessed the firearm
or ammunition in connection with a crime of violence or controlled substance
offense, as defined in S4B1.2(1), or if the firearm possessed by the defendant
was of a type described in > 26 U.S.C. S 5845(a); or
(3) Category IV.
(B) 33, otherwise. [FN*]
FN* If an adjustment from S3E1.1 (Acceptance of Responsibility) applies,
decrease the offense level by the number of levels corresponding to that
adjustment.
(c) The criminal history category for an armed career criminal
is the greatest of:
(1) the criminal history category from Chapter Four, Part A (Criminal
History), or S4B1.1 (Career Offender) if applicable; or
(2) Category VI, if the defendant used or possessed the firearm
or ammunition in connection with a crime of violence or controlled substance
offense, as defined in S4B1.2(1), or if the firearm possessed by the defendant
was of a type described in > 26 U.S.C. S 5845(a); or
(3) Category IV.
*14a Commentary
Application Note:
1. This guideline applies in the case of a defendant subject
to an enhanced sentence under > 18 U.S.C. S 924(e). Under > 18 U.S.C.
S 924(e)(1), a defendant is subject to an enhanced sentence if the instant
offense of conviction is a violation of > 18 U.S.C. S 922(g) and the defendant
has at least three prior convictions for a "violent felony" or "serious
drug offense," or both, committed on occasions different from one another.
The terms "violent felony" and "serious drug offense" are defined in >
18 U.S.C. S 924(e)(2). It is to be noted that the definitions of
"violent felony" and "serious drug offense" in > 18 U.S.C. S 924(e)(2)
are not identical to the definitions of "crime of violence" and "controlled
substance offense" used in S4B1.1 (Career Offender), nor are the time periods
for the counting of prior sentences under S 4A1.2 (Definitions and Instructions
for Computing Criminal History) applicable to the determination of whether
a defendant is subject to an enhanced sentence under > 18 U.S.C. S 924(e).
It is also to be noted that the procedural steps relative to
the imposition of an enhanced sentence under > 18 U.S.C. S 924(e) are not
set forth by
statute and may vary to some extent from jurisdiction to jurisdiction.
Background: This section implements > 18 U.S.C. S 924(e),
which requires a minimum sentence of imprisonment of fifteen years for
a defendant who violates > 18 U.S.C. S 922(g) and has three previous convictions
for a violent felony or a serious drug offense. If the offense level
determined under this section is greater than the offense level otherwise
applicable, the offense level determined under this section shall be applied.
A minimum criminal history category (Category IV) is provided, reflecting
that each defendant to whom this section applies will have at least three
prior convictions for serious offenses. In some cases, the criminal
history category many not adequately *15a reflect the defendant's criminal
history; see S4A1.3 (Adequacy of Criminal History Category).
Historical Note: Effective November 1, 1990 (see Appendix
C, amendment 355). Amended effective November 1, 1992 (see Appendix
C, amendment 459).
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