United States v. JohnsonUnited States v. Johnson
Defendant-Appellant Kenneth James Johnson (“Johnson”) appeals a 110-month sentence imposed after he pleaded guilty to one count of conspiracy to distribute more than five grams of cocaine base (crack), one count of distribution of cocaine base (crack), and four counts of distribution of more than five grams of cocaine base (crack). Johnson makes five arguments on appeal: (1) the district court abused its discretion in ordering Johnson’s federal sentence to be served consecutivе to his state sentence for drug possession; (2) the within-guidelines sentence imposed is procedurally and substantively unreasonable; (3) the district court erred in failing to grant a downward departure on the ground that Johnson’s criminal history category of VI substantially overrepresented the seriousness of his criminal history; (4) trial counsel was ineffective at sentencing by failing sufficiently to argue for a downward departure based upon Johnson’s exceptional cooperation and acceptance of responsibility; (5) the district court erred in failing to articulate whether it considered Johnson’s exceptional cooperation and acceptance of responsibility in denying Johnson’s motion for a downward departure.
In light of the Supreme Court’s recent decision in
Spears v. United States,
— U.S.-,
I. BACKGROUND
On October 11, 2006, a nine-count indictment was filed charging Johnson and his co-conspirator, McKinley Laverne Underwood, with various counts relating to the distribution of crack cocaine from February 2006 to April 2006 in Kalamazoo County, Michigan. Joint Appendix (“J.A.”) at 12-20 (Indictment). Johnson was indicted оn one count of conspiracy to distribute more than five grams of cocaine base (crack) in violation of
Following a parole violation for his 2002 sentence for possession of cocaine, Johnson was arrested on July 16, 2006. Two days later, Johnson was interviewed at the Kalamazoo County Jail by a DEA agent
On March 26, 2007, Johnson entered a plea of guilty to all six counts charged in the indictment before a magistrate judge, which was later accepted by the district court. Although there was no written plea agreement, the government stated at the plea hearing thаt if Johnson pleaded guilty instead of proceeding to trial, it would forego filing a supplemental notice of a prior felony-drug conviction that would enhance Johnson’s potential sentence on five of the counts from five to forty years, to ten years to life in prison.
At the sentencing hearing on November 7, 2007, the district court determined that Johnson’s total adjusted offense level was 25 and assessed his criminal history at Category VI, for a Guidelines range of 110-137 months. The Presentence Investigation Report (“PSR”) had calculated a base оffense level of 30 based on 47.663 grams of crack cocaine, a two-level downward adjustment for acceptance of responsibility, and a one-level downward adjustment for timely entry of a guilty plea, for a total offense level of 27. The district court lowered Johnson’s base offense level by two levels pursuant to the amended cocaine base (crack) Guidelines, which became effective on November 1, 2007. See U.S. SENTENCING GüIDELINES MANUAL (“U.S.S.G.”) § 2D1.1(c)(6) (2007) (providing a base offense level of 28 for at least 35 grams but less than 50 grams of cocaine basе). This resulted in an adjusted offense level of 25. The district court declined to make a downward adjustment for a mitigating role pursuant to U.S.S.G. § 3B1.2, finding that Johnson was not a mere drug “mule” with no knowledge of the amount or price of the drugs he carried, but instead a key player who brokered drug transactions for Underwood’s drug-distribution operation.
Johnson’s criminal history was assessed at Category VI based on the following prior convictions: (1) a 1993 conviction for operating while impaired (1 point); (2) a 1995 conviction for retail fraud in the second degree (1 point); (3) a 1995 conviction for retail fraud in the first degree (3 points); (4) a 1999 conviction for possession of marijuana (2 points); (5) a 1999 conviction for aggravated domestic violence (1 point); (6) a 2001 conviction for retail fraud in the second degree (1 point); (7) a 2002 conviction for possession of less than 25 grams of cocaine (Johnson possessed 0.29 grams) (3 points). Two additional points were assessed pursuant to U.S.S.G. § 4A1.1(d) because Johnson was on parole for the 2002 conviction when he committed the instant offense, and one additional pоint was assessed pursuant to U.S.S.G. § 4Al.l(e) because Johnson committed the instant offense less than two years after he was released from custody for the 2002 conviction. Johnson was thus assessed with a total of 15 points for a criminal history of Category VI. At the sentencing hearing, the district court rejected Johnson’s argument that the 1993 and 1995 convictions were more than ten years prior to the instant offense and therefore should not count toward his criminal history. See U.S.S.G.
Before announcing the sentence, the district judge heard in-court statements by Johnson and Johnson’s brother regarding Johnson’s history of drug addiction and need for treatment. The district judge also explained that he had “read all the materials that have been presented to me, including the sentencing memorandum of defense counsel, as well as the letters in support of Mr. Johnson and Mr. Johnson’s letter that he sent to the Court himself.” J.A. at 119 (Sent. Tr. at 21). After explaining that the correctly calculated range was 110-137 months, the district judge recited several of the
The Court has reviewed [] whether a guideline departure or a variance underSection 3553 factors is warranted in this case. The Court finds that no such departure or variance is warranted in this сase because the circumstances here, in the Court’s judgment, are not so exceptional as to form the factual basis for any such departure or variance.
J.A. at 120 (Sent. Tr. at 22).
The district judge then explained his specific considerations in determining Johnson’s within-guidelines sentence. He first explained that he had considered Johnson’s “regretfully very long and var-criminal history, including larceny, domestic violence, unarmed robbery.” Id. The district judge concluded that the risk Johnson would “re-offend without major changes in his life [was] high.” Id. The judge also noted that Johnson had сommitted the instant offense while on parole from a state drug conviction. The judge added that:
[Defendant is in his early fifties, but unfortunately, his longest period of legitimate employment was for approximately one year. He has four children, possibly five, with at least three different women, has no relationship with any of them due in major part, in the Court’s judgment, to his repeated stints in prison.
J.A. at 120-21 (Sent. Tr. at 22-23). The district judge also noted various mitigating factors, including Johnson’s “candor, his voluntary statement to the Drug Enforcement Administration, and his acceptancе of responsibility, and that he has pled guilty with no written plea agreement.” J.A. at 121 (Sent. Tr. at 23). Further, the judge noted that Johnson had admitted his addiction problems involving alcohol and cocaine.
The district court concluded that Johnson’s voluntary statement “mitigate[d] the sentencing in this case down to the lowest end of the guideline range, which is advisory to the Court.”
Id.
Explaining that he had considered all of the
At the conclusion of the sentencing hearing, Johnson’s counsel objected to: (1) the
II. ANALYSIS
A. Impact of Spears
In
Spears v. United States,
— U.S.—,
The
Spears
Court recognized that district courts may reject and categorically vary from the crack-cocaine Guidelines even in a “mine-run case where there are no ‘particular circumstаnces’ that would otherwise justify a variance from the Guidelines’ sentencing range.”
Id.
at 844-45. The Court noted that the district court’s “replacement ratio was based upon two well-reasoned decisions by other courts, which themselves reflected the Sentencing Commission’s expert judgment that a 20:1 ratio would be appropriate in a mine-run case.”
Id.
at 844 (citing
United States v. Perry,
Finally, we express no opinion on whether the principles articulated in
Spears
may apply outside of the crack-cocaine context to allow district courts to develop categorical alternatives to other sentencing enhancements contained in the Guidelines that “do not exemplify the Commission’s exercise of its characteristic institutional role.”
Spears,
B. Consecutive Sentence
Johnson argues that the district court abused its discretion by ordering that his federal sentence be served consecutive to his undischarged state sentence. At the time Johnson was indicted for the instant offenses in October 2006, he had absconded from a residential-treatment center and was in violation of the terms of parole on his one-to-eight-year, indeterminate state sentence for possession of cocaine. On November 8, 2006, Johnson was arrested on the parole and federal arrest
When a defendant is serving an undischarged prior sentence, the district court may impose a consecutive оr concurrent sentence.
(A) Under subsection (c), the court may impose a sentence concurrently, partially concurrently, or consecutively to the undischarged term of imprisonment. In order to achieve a reasonable incremental punishment for the instant offense and avoid unwarranted disparity, the court should consider the following:
(i) the factors set forth in18 U.S.C. § 3584 (referencing18 U.S.C. § 3553(a) );
(ii) the type (e.g., determinate, indeterminate/parolable) and length of the prior undischarged sentence;
(iii) the time served on the undischarged sentence and the time likely to be served before release;
(iv) the fact that the prior undischarged sentence may have been imposed in state court rather than federal court, or at a different time before the same or different federal court; and
(v) any other circumstance relevant to the determination of an appropriate sentence for the instant offense.
U.S.S.G. § 5G1.3 application note 3(A) (2007). Application Note 3(C) further provides that when a defendant is on federal or state parole or supervised release at the time of the instant offense, “the Commission recommends that the sentence for the instant offense be imposed consecutively to the sentence imposed for the revocation.” U.S.S.G. § 5G1.3 application note 3(C).
When “a district court has considered the factors listed in
At sentencing, the district court recognized the
On remand the district court should show that it has adequately considered § 5G1.3(e) and the relevant commentary in determining whether Johnson’s federal sentence should run consecutive to his undischarged state sentence.
C. Reasonableness of Sentence
Johnson challenges the procedural and substantive reasonableness of his sentence. 2 Johnson’s principal argument is that the sentence imposed by the district court is substantively unreasonable because the district judge gave undue weight to his character and personal life to the exclusion of the circumstances of the offense and the offense conduct. Because, however, we are remanding in light of Spears and for the district court to adequately explain its determination that Johnson’s sentence should run consecutively to his undischarged state sentence, it is premature for us to review the reasonableness of the sentence imposed by the district court.
D. Criminal History Category
Johnson next argues that the district court erred in failing to grant a downward departure on the ground that a criminal history category of VI substantially overrepresented the seriousness of his criminal history. U.S.S.G. § 4A1.3(b)(1) provides as follows:
If reliable information indicates that the defendant’s criminal history category substantially over-rеpresents the seriousness of the defendant’s criminal history or the likelihood that the defendant will commit other crimes, a downward departure may be warranted.
U.S.S.G. § 4A1.3(b)(1). Johnson acknowledges that trial counsel did not move for a downward departure under § 4A1.3(b)(1) and therefore “the district court did not have an opportunity to rule on a motion” under this provision. Johnson Br. at 18. Nonetheless, Johnson contends that the district court’s failure to grant a downward departure on this ground constitutes plain error.
The Court has reviewed [] whether a guideline departure or a variance under Section 3553 factors is warranted in this case. The Court finds that no such departure or variance is warranted in this case because the circumstances here, in the Court’s judgment, are not so exceptional as tо form the factual basis for any such departure or variance.
J.A. at 120 (Sent. Tr. at 22). The district judge was thus clearly aware of his discretion to depart from the Guidelines range, but declined to do so. Because the district court recognized its discretion, we decline to review the district court’s failure to grant a downward departure under U.S.S.G. § 4A1.3(b)(1).
E. Ineffective Assistance of Counsel
Johnson also argues that he received ineffective assistance of counsel because his attorney at sentencing failed to move for a downward departure pursuant to U.S.S.G. § 5K2.0, based on Johnson’s exceptional cooperation and acceptance of responsibility. An ineffective-assistance-of-counsel claim is generally not considered on direct appeal because the record of trial counsel’s deficient performance is not fully developed.
United States v. DeJohn,
F. Consideration of Exceptional Cooperation and Acceptance of Responsibility
Finally, Johnson argues that the district court erred by failing to articulate whether it considered Johnson’s exceptional cooperation and acceptance of responsibility — as discussed above — in declining to depart downward from the Guideline range. Essentially, Johnson is arguing that the district judge should have granted a downward departure under § 5K2.0 for Johnson’s extraordinary cooperation and acceptance of responsibility. Again, however, this court generally does “not review a district court’s decision not to depart downward unless the record shows that the district court was unaware of, or did not understand, its discretion to make such a departure.”
Santillana,
III. CONCLUSION
For the reasons explained above, we VACATE Johnson’s sentence and REMAND for resentencing.
Notes
. On the record before us, we have no way of ascertaining whether the district judge would have imposed the same sentence if he had known of his discretion to vary categorically from the crack-cocaine Guidelines based on a policy disagreement. After noting that he was applying the amended crack-cocaine Guidelines whiсh became effective on November 1, 2007, the district judge stated simply:
So in the Court’s judgment, the Court must apply the guidelines as of November 1st, and obviously that benefits Mr. Johnson to the effect of two levels on the offense level. It does not change any of the other calculations in the Court’s judgment.
J.A. at 102 (Sent. Tr. at 4-5) (emphasis added). These statements suggest that, although the disparity issue was before the court, the district judge was not aware of his power "to reject and vary categorically from the crack-cocaine Guidelines based on a policy disagreement with those Guidelines.” Spears,129 S.Ct. at 843-44 ; cf. United States v. Medina Casteneda,511 F.3d 1246 , 1248-49 (9th Cir.) (remanding for resentencing in light of Kimbrough where the district court indicated that it could not consider the crack-to-powder disparity in its consideration of the § 3553(a) factors), cert. denied,-U.S.-,128 S.Ct. 2946 ,171 L.Ed.2d 874 (2008).
. Though not identified as such by Johnson, two of Johnson’s contentions are properly considered arguments that his sentence is procedurally unreasonable. Specifically, Johnson argues that the district court failed to consider two of the