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United States v. Jose Garza Cantu
12 F.3d 1506
9th Cir.
1993
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*1 1506 penalty on such imposing a criminal statute argues Ahue law of State.”

criminal 514(b), Thus, § 29 U.S.C. 388-6(6) ERISA conduct. “criminal law” because § is a H.R.S. 388-6(6) 1144(b)(4), § H.R.S. pen- does not save a criminal H.R.S. contains Chapter 388 preemption. other sec- from ERISA that violate the alty employers including 388- chapter, H.R.S. tions of AFFIRMED. 388-6(6) “generally 6(6), H.R.S. and that employers it affects all applicable” because argument Ahue bases his the state.6

within 523, Mangano, Misc.2d upon v. Goldstein (1978), 368, held which 374-75

417 N.Y.S.2d at em- specifically aimed law

that a criminal applicable “generally plans is

ployee benefit employers all it affects law” where

criminal Id. within the state. America, STATES UNITED federal No reject this contention. We Plaintiff-Appellee, Goldstein, and at least have followed courts v. Goldstein court has criticized one federal legis language, its conflicting ERISA’s with CANTU, Defendant-Appellant. Jose Garza by the history, and its construction lative No. 92-30211. Bonnabel, F.Supp. Calhoon courts. Moreover, (S.D.N.Y.1982). ma Appeals, Court of a criminal have found that jority of courts Ninth Circuit. plans is employee at benefit law directed See, applicable criminal law.” “generally .a 1993.* March Submitted Int'l Metal Workers’ e.g., Sheet Trustees of Dec. Decided (New Fund Prod. Workers’ Ass’n Welfare York) Metal and Sheet v. Aberdeen Blower Workers, Inc., F.Supp. 562-63

(E.D.N.Y.1983). conclude, as did the We court, prevailing that “the better

district Congress intended the words

view is to refer to criminal

‘generally applicable’ like larce general conduct apply

laws Airlines, Inc.

ny Aloha and embezzlement.” Ahue, 1501, 1503 n. 1. See F.Supp. Con v. Kenco Constructional

also Sforza Inc., F.Supp.

tracting,

(D.Conn.1986); National Carriers’ Confer F.Supp. Heffernan, 454

ence Comm. (D.Conn.1978). 388-6(6)

Here, repre- does not H.R.S. law” “generally applicable criminal

sent employer pay failure

because employment-re- employees

provide con- general criminal expenses

lated larceny and embezzlement. such as

duct to save Congress not intend

Clearly, did preemptive broad reach

from ERISA’s * unanimously 388-6(6) panel this case suitable for employers finds applies ex- to all 6. H.R.S. briefs without oral on the record and submission employers, cept government as indicated 34(a); Fed.R.App.P. Circuit argument. Ninth § 388-1. H.R.S. 34-4. Rule *3 traumatic stress disorder. We hold that it does, sentence, vacate Cantu’s and remand.

BACKGROUND dispute bar, Cantu, After a in a Jose Garza veteran, "questioned by Vietnam was police and searched. The search revealed a loaded pistol .22 caliber tucked his waistband. pled guilty being posses- a felon in sion of a firearm in violation of 18 U.S.C. 924(a). 922(g), §§ *4 sentencing, presented report by Wert, court a with written Dr. Paul a psychologist. report clinical' The stated infantry that Cantu served as an rifleman in Corps the Marine from 1966 to spend- years period more than two of that There, Vietnam. he “was involved numer- firefights, missions, ous destroy search and day three and four patrols, reconnaissance day night and both and ambushes.” At times, heavy his unit was under fire. He WA, Cooney, Spokane, Thomas E. for de- civilians, witnessed the death including fendant-appellant. women and children. He also witnessed the death of his own men. Tangvald, Atty., Rolf H. Spo- Asst. U.S.

kane, WA, for plaintiff-appellee. report Dr. stated that Cantu’s Wert’s com- . experience him

bat left and “severe ongoing” disorder, post-traumatic stress a recognized psychiatric symp- condition.1 His an,d toms “frequent include flashbacks to and nightmares experi- vivid” his combat about CANBY; REINHARDT, Before: and ences, insomnia, chronic “considerable” anxi- TASHIMA, Judges, Circuit and District ety, thoughts images,” “intrusive [and] de- Judge.** pression, rage, paranoia. “marked[ ]” and The also stated that Cantu has REINHARDT, Judge: Circuit weapons “fixation on and reliance on for feel- ings personal security safety” and that was Sentencing permit Guidelines dis- “greatly by enhanced or exacerbated his Viet depart trict court to if downward a defendant experiences, ongoing [post- Nam his significantly suffers from reduced mental ca- traumatic stress as well.” disorder] pacity that contributed to the commission of his or her Sentencing symptoms persisted offense. United States since his Commission, Manual, § Guidelines return According from Vietnam. to Dr. (Nov. 1991) (“U.S.S.G. p.s. 5K2.13,” frequency report, intensity Wert’s their 5K2.13”). “§ required hospitalized The issue before us is whether that he be for three- authority depart twenty-one years district court has the and-a-half months in pursuant guidelines provi- year downward to that after his return from Vietnam and one sion post- where defendant suffers from before he committed the offense the sentence ** Tashima, Johnson, 1987). The Honorable A. Wallace ed. rev. See also United States v. Judge States District (6th Cir.1992) for Central District of (taking judicial California, sitting designation. manual). notice of that Ass'n, Psychiatric Diagnostic 1. See Am. and Sta- (3d tistical Manual Mental Disorders 247-51 person- ture. would indication involve- appeals. now Medical Nor he which hospi- depar- ment alcohol reflect a basis for recommended second apparently

nel committed ture this matter. just months before he downward talization intense- symptoms His were still the offense. The court concluded that Cantu was not suf- evaluation, psychological at the time of his fering significantly from reduced mental ca- offense. six months after the therefore, pacity and the law did not before the district depart ap- Cantu contended permit him to downward. Cantu that he report established peals. that Dr. Wert’s “significantly reduced

suffered from contributed to the commission capacity” that DISCUSSION requested a downward his I. Jurisdiction 5K2.13, pro- §to which departure pursuant matter, vides: an initial we As must deter Statement) mine court’s (Policy district refusal Capacity Diminished depart is' reviewable. See United States v. If committed a non-violent the defendant Belden, Cir.1992), cert. offense while 234, 121 113 S.Ct. resulting *5 (1992). jurisdiction L.Ed.2d have to 169 We intoxicants, drugs voluntary use of or other sentencing depart review a court’s refusal to may a to lower sentence warranted long downward as as the refusal on rested extent to which reduced mental reflect the possessed no the court’s conclusion that it to the commission of capacity contributed discretion, and not on belief that the exercise offense, provided that the defendant’s the of its discretion was unwarranted. United history a need criminal does indicate Robinson, 268, (9th v. States 958 F.2d 272 public. to the for incarceration Cir.1992); Garcia-Garcia, v. United States § 5K2.13. U.S.S.G. (9th Cir.1991). 489, Here, F.2d 927 491 sentencing hearing, the court At Cantu’s sentencing clearly it court understood that argument defense heard from both the and depart had the to if it discretion downward concerning propriety prosecution significantly found that Cantu suffered from applied to The court 5K2.13 as Cantu. capacity. appears The court mental then told Cantu: to have found that Cantu did not from suffer request depar- considered the for I’ve significantly capacity, and to ture, request, guidelines, to the pursuant a possessed that it no concluded therefore particularly subsection Section 5K2.13. depart on discretion to downward that basis. Dealing capacity. with diminished supports “Because an the record inference sentencing depart

that the refusal to .court’s on rested the court’s conviction it lacked important important, require- One so, to do we will the discretion treat significantly a re- ments is that there be as product interpreta- refusal the court’s have, again, I mental as duced ‘ guidelines, subject appellate tion of to indicated, report reviewed the from Doctor Brown, review.” v. F.2d 985 is clear his re- Wert. And while it from (9th Cir.1993) (citations omitted). 478, 481 you post trau- port that are you appear and matic stress disorder Departure II. Under 5K2.13 significant dependency

to have alcohol you reflect some characteristics show- A. your, call ing that the doctor would paranoid, having a fixation the extent de the district court’s “We review novo weapons. with ruling particular that a circumstance does permissible depar-

I find not constitute a basis for can nowhere Morales, suffering from you ture.” United States v. 972 F.2d indication (9th Cir.1992) 1007, (citing capacity, significantly reduced mental 1010 United Lira-Barraza, 745, depar- for 941 746 the law indicates as basis States — (9th Cir.1991) (en denied, banc)), sentencing process cert. court to tailor its 1665, U.S. -, dispute, 123 L.Ed.2d 283 “the nature of the 113 S.Ct. relevance to Brown, (1993). determination, applicable United 985 the See also States (district (commentary). court’s ease F.2d at 481 determination law.” U.S.S.G. 6A1.3 depart that it- from the lacks discretion disputed Resolution of facts con novo). sentencing guidelines is reviewed de cerning impairment more simply a process. than neutral The court’s B. inquiry into the defendant’s condition turning requirements to the and the offense circumstances of the must be guideline, established lenity, undertaken “with a view to as section procedures request we that a consider the implicitly United recommends.” for a under the Chatman, States v. 986 F.2d require. sentencing determines (D.C.Cir.1993). Lenity appropriate be sentencing by preponder facts- relevant to cause the 5K2.13 is to treat evidence, Navar ance of the United States v. compassion some those whom a re (9th Cir.1992) ro, (citing 979 F.2d duced mental has contributed Restrepo, 655- United States v. 946 F.2d of a commission crime. (en (9th Cir.1991) bane), cert. 118 L.Ed.2d S.Ct. C. (1992)), a defendant bears the burden proving- appropriateness aof downward requirements 5K2.13 sets out five Section Anders, departure, 1) States v. 956 F.2d United for a The defendant must have (9th Cir.1992) 2) (citing States committed non-violent offense while suf- Cir.1990)), Howard, fering reduced mental ca- *6 U.S. -, 3) 113 rt. S.Ct. pacity by voluntary not caused use of ce (1993). 4) 123 L.Ed.2d 158 Under drugs or other The intoxicants. 6A1.3(a), however, § district U.S.S.G. the capacity must the contribute to commission , parties adequate 5) give court must the “an of the the defendant’s crimi- regard opportunity” present history to information nal must a not indicate need for facts, ing disputed “may and the court con public. incarceration to con- the We regard sider information to relevant without requirement first that sider the the defen- admissibility its under the evidence rules of dant suffer reduced mental trial, applicable provided at that informa the reliability

tion has indicia of to sufficient support probable accuracy.” U.S.S.G. 6A1.3(a). Thus, § unnecessary, it is for ex turning body to the of our ample, requests depar a who a for defendant analysis, we note under U.S.S.G. § undergo ture under 5K2.13 to a mental 5H1.3, “Mental and emotional conditions type health of the examination used in deter ordinarily determining in are not relevant mining guilt innocence. or United States a sentence be outside the should (D.D.C. Adonis, F.Supp. 339 n. 11 range, guideline except provided Chap as in 1990) (noting requirement such a would that (Other K, Five, Subpart Part ter Grounds provision turn into a superfluity, since a Departure).” We have construed this enough impaired qualify would guideline to mean that “a defendant’s mental trial, incompetent to stand or be would condition-is relevant to a emotional impairment). found innocent virtue of his (1) sentencing in determination the extraordi (2)

Beyond general Chapter in requirement, nary provided case and as K, commentary Five,” guideline permits Subpart guidelines. sentenc Part of ing appropriate proce Doering, to determine the (9th Cir.1990).2 facts, unques- dure to 5K2.13 is resolve contested but Section Doering slightly The not affect our considered different version of 5H1.3. difference does M.D., Progress Psychiatry, Eng. tionably category. New latter covered (1993) therefore, than (surveying more question, is no J.Med. There papers, including pertain- un- 300 scientific those proper policy statement 5K2.13 is the disorder, post-traumatic stress ail- a mental der which to consider whether concluding biologic psy- of “[t]he basis eligible for a down- ment a defendant makes chiatry firmly is established than ever more sentencing. departure at ward before”). us emphasize question We before Treating emotional illnesses in the same mentally is or emotion- is not whether Cantu way that we abnormalities fur- do mental ally The district court found disturbed. purpose goal thers the 5K2.13. The of post-traumatic stress Cantu does suffer guideline lenity toward defendants disorder, psychiatric recognized condition.3 ability whose to make reasoned decisions fact, most disorder. In is a serious his conditions, impaired. Emotional like mental question stress is whether impairments, may suppress or distort illness, disorder, may cause an emotional focus formation reasoned decisions. The for the guideline provision of the is reduced mental guideline.4 behavioral, capacity, organic, not the cause— everyday language, “reduced In or both —of the reduction. to a lack of full intel capacity” refers Moreover, application our functioning. impair It lectual connotes an to emotional illnesses is consistent with the intellect, a ment of the failure to be able usage Psychiatric American Associa- fully grasp ordinary concepts. or quickly text, Diagnostic tion’s standard and Statisti- applying as We treated Manual That man- cal Mental Disorders. as emotional conditions well. United States language ual classifies what common Doering, (finding F.2d at 394 that “a emotional disabilities “mental disorders.” and emotional condition defendant’s mental separately It does not list or discuss emotion- ... determina relevant to ailments, distinguish al them from mental tion_ diminished under section 5K2.13’s any way. Rather, abnormalities in it states: added). (emphasis capacity exception”) We present is useful to [I]t definition v. Lew reaffirmed that view United States mental disorder that has influenced inson, (9th Cir.1993), *7 decision include certain conditions endorsing application guideline as mental and to [the manual] disorders “psychological a defendant who suffered from exclude others. problems.” applied courts Other In [the manual] each mental disor- suffering defendants from schi- clinically signifi- is as a conceptualized ders disorder, Ruk zoaffective United States v. psychological syndrome cant behavioral or (8th lick, Cir.1990), bipolar pattern person in a or that occurs and (i.e. disorder), manic-depressive disorder (a present pain- is associated with distress F.Supp. McMurray, disability symptom) ful (impairment or (D.Neb.1993), schizophre- 1480-84 and important or function- one more areas of disorder, Speight, niform United States v. cause, ing) original .... Whatever (D.D.C.1989). F.Supp. Such currently must be considered a manifesta- artificially applications appropriate. To behavioral, psychological, tion of or bio- (mental distinguish syndromes organic de dysfunction logical person.... in the fects) ignore from emotional disorders is to added). blurry xxii increasingly (emphasis line between them. Id. at Consistent M.D., Marzuk, Michels, definition, Peter M. with this the manual classifies as Robert disposition. reasoning symptoms accompany and the der] or it.” Government’s Brief at 10. supra government 3. See 1. The does note Only post-traumatic dispute post-traumatic disorder is an 4. if stress disorder causes stress “Sadly, capacity may many persons emotional disease: suffer we determine [post-traumatic “significant.” disor- effects of stress reduction impairmenfis “mental disorders” not mental retarda- Cantu’s more than sufficient tion, 28-37, ordinarily eligible id. at a condition we make him for a reduction in sentence affecting capacity, § consider as mental but under 5K2.13. disorders, schizophrenia

also and mood id. at 187-98, 213-33, lay per- conditions that the D. son would consider emotional illnesses. require- We now consider the additional then, capacity,” “Reduced mental imposed by § ments and 5K2.13 their rela- comprehends dysfunction organic both tionship eligibility to Cantu’s for a downward impair behavioral disturbances that the for judgments. mation of reasoned Both make a eligible departure for a Therefore, 5K2.13. a defendant disorder, post-traumatic stress an emo that the dis Section illness, eligible tional for such a trict court posses find that Cantu’s if reasoning his ailment distorted his felon, sion of a firearm is non-violent. ability interfered with his to make considered We have defined “non-violent” as con decisions.5 of a verse “crime of violence” under U.S.S.G. 4B1.2(l)(i), one of the career offender is, guidelines: a non-violent offense is recently

We have held that a defen one that does not have “as an element the eligible use, use, dant for a attempted or threatened use of § 5K2.13 no matter what the or physical nature se against person force of another.” verity underlying of his 4B1.2(l)(i); condition. United U.S.S.G. United States v. Bor Lewinson, (9th Cir.1989). States v. rayo, 988 F.2d at 1006. The 898 F.2d guideline provision requires only that 4B1.2(l)(i) application states, note to defendant suffer from a “The term ‘crime of violence’ does not include It concerns the effect possession offense of unlawful of a fire defendant, impairment on the not the 4B1.2, arm a felon.” U.S.S.G. Note 2 characteristics the seriousness of the im (November 1991). provision That bol pairment itself. stered our conclusion in United States v. Sahakian, stress disor Cir. grave 1992), der is affliction. Its being possession effect on his a felon in is not processes undisputed. He apply has a crime of violence for the flashbacks to scenes of guidelines. combat. He suffers the career offender We have nightmares, thoughts[,] “intrusive intru since extended im Sahakian to sentences anxious, images.” depressed, posed Act, sive He is full under the Armed Career Criminal rage, “markedly paranoid,” 924(e), *8 “explosive § and 18 U.S.C. United States v. Garcia- Cruz, Cir.1992), at report times.” Dr. Wert’s demonstrates 978 F.2d cert. unequivocally that Cantu’s condition im 113 S.Ct. paired (1993), functioning signifi his emotional to a application L.Ed.2d 669 and to the of extent, causing 924(c), cant hospital § even him to be 18 U.S.C. which criminalizes the violence, ized for treatment for during three and a half use of a firearm a crime of year Canon, in months the before his offense. More United States v. (9th Cir.1993).

important, reasoning the shows that Cantu’s Our was the substantially condition interfered with his same all of those cases: that the status of decisions, ability causing being to make reasoned possession a felon in “does not have as actual, him weapons rely to fixate on and an attempted on them element the or threat- violence[,] feelings personal safety security. for of ened use of nor does the actual Although post-traumatic Psychiatric Diagnostic 5. stress disorder is a can Association’s and Sta- illness, Disorders, recognized psychiatric plain language the tistical Manual Mental or even that of require § recognized of 5K2.13 not does that a defendant's the defendant suffer from a mental or does, appear, condition as Cantu’s in the Ameri- emotional disease. urges find potential government us to charges involve a serious conduct injury departure physical ineligible to another.” Sahaki a of Cantu for risk an, above, ground § 965 F.2d at 742. as 5K2.13 on noted permissible ground not for alcohol use is a reasoning persuasive equally That is gov § departure under 5H1.4. The U.S.S.G. possession a hold that of here. We therefore any implies contention alcohol ernment’s by is not of firearm a felon a crime violence depar ineligible use a defendant for a makes departure for a 5K2.13, matter ture under no what its rela remand, may not be 5K2.13.6 On tionship to the defendant’s reduced mental violence; to have committed a crime found capacity crime. or commission thus, ineligible may he not be declared for drug That not so. Alcoholics and other is ground. departure on that categorically disqualified not abusers are lan departure. plain from this Under the guage guideline, they disqualified only places limi Section 5K2.13 one only drug voluntary if their alcohol or use tation on the cause the defendant’s re caused their reduced mental capacity: impairment may not duced U.S.S.G. 5K2.13. See United States by voluntary drugs been use of caused Lewinson, (adhering to the 988 F.2d at 1006 or other intoxicants. United States Lew plain language guideline). If the re inson, 988 at That limitation capacity by was caused another duced 5H1.4, comports with U.S.S.G. which it, turn, factor, or if causes the defendant states, “Drug dependence or alcohol or abuse drug, to use alcohol or another the defendant a imposing is not reason for a sentence below eligible departure. is guidelines. highly for Substance abuse propensity correlated to an increased to com Moreover, crime.” mit U.S.S.G. 5H1.4. See United a defendant whose re (9th Cir.1991) Page,

States F.2d 534 part by capacity caused in volun duced was (holding § 5H1.4 bars tary drug disqualified or is not alcohol use departing court from downward on the always possible It is not ground of the defendant’s extreme alcohol certainty the cause of a men determine ism). ailment, tal or emotional and such illnesses permit do often have cause. To a sole report, According to Dr. Wert’s Cantu is capacity defendant whose reduced was alcoholic, stress disor- part voluntary drug alcohol caused or may cause der be the of his alcoholism. departure use receive a is to downward is, however, in the There no evidence record orders, adhere, implicitly to the Lewinson suggests that Cantu was drunk at the plain language §of 5K2.13. The result, As time his offense. sentenc- eligible states finding regarding no made Cantu’s a, if he committed his offense link, any, alcoholism or the causal if between “while post-trau- alcoholism and either his voluntary capacity resulting from matic stress disorder his offense.7 Never- drugs theless, use of or other intoxicants.” It does the evidence submitted Cantu is uncontroverted, not restrict defendants Al- record clear. entirely problem; the cause whose coholism is not of Cantu’s *9 indeed, voluntary may products drug it one of that unrelated to their or alcohol the Thus, “drug use. use ... problem. a defendant whose 1, 1991, application disqualified a de- tuted a crime of violence that 6. Until November the note 4B1.2(l)(i) did not the departure to exclude offense from a See fendant 5K2.13. being possession the felon in definition of Doering, v. 909 F.2d at 394. United States Sentencing "crime of violence.” United States C, Commission, (effec- Appendix Amendment 433 explains dis- 7. Cantu's alcoholism no doubt the 1, 1991) (amending application Nov. the tive to "the of in- trict court's reference indication time, offense). to that note exclude that volvement of alcohol.” being possession we held a felon in consti- that

1515 with, to some extent dis- contributed to is concurrent but the commission of the offense capacity, degree tinct from” his does not constitute the to which the Lewinson, 1007, 988 F.2d at United States v. eligible departure. the is The for may disqualified departure.8 from a not be eligibility defendant’s remains the same impairment whether his greatly contributed' Here, evidence the uncontroverted showed offense, to hardly the commission of his at that condition was caused his Cantu’s Rather, all. degree to which the impair- experiences Marine in as a combat Vietnam. ment contributed to the commission of the subject Accordingly, disquali- not to Cantu is degree offense constitutes to which the drug departure fication from the for or alco- punishment defendant’s should be reduced. hol use. pled guilty being pos- to a felon in 3. session of a firearm. While the district court requires Section 5K2.13 that the explicitly post-traumatic did not that his find offender’s reduced mental ca offense, stress disorder contributed to his pacity to the have contributed commission of court did state that “it is clear” that Cantu Although the crime. the issue has never some showing “reflect[s] characteristics that circuit, arisen our other circuits are unani is], paranoid, [he the doctor call it would to holding mous in the disorder that need be having the extent of fixation weapons.” cause, only contributing not a but-for cause question The post- thus Cantu’s cause, aor sole of the offense. United States traumatic para- stress disorder caused his Soliman, 954 F.2d Cir. noia, and weap- whether Cantu’s fixation on Lauzon, 1992); States ons contributed to his offense. Dr. Wert’s (1st Cir.1991), cert. paranoia uncontroverted that states (1991); 112 S.Ct. 116 L.Ed.2d 468 uncommonly “not [post-trau- found severe Ruklick, 919 United States v. F.2d at 97-98. matic stress It also stated that disorder].” Speight, See also Cantu’s stress disorder left (same); F.Supp. at 868 United States v. cf. weapons him awith fixation on and a reliance (3d Cir.1989) Cheape, 889 F.2d personal on them for feelings safety and (holding guidelines that do not intend clear, therefore, security. It is there that a downward be warranted relationship was a direct causal between defense). only complete if coercion is a See Cantu’s disorder his offense. On re- Frazier, also United States v. F.2d mand, if the court finds Cantu otherwise (7th Cir.1992); United States v. eligible departure, depart for the it Johnson, 401; 979 F.2d at United States v. post- the extent finds Perkins, (D.C.Cir.1992) traumatic stress contributed to disorder (all finding that the commission of the offense. mental condition contribute to the necessary degree but discussing contribution). adopt this We eommonsense

holding. language guideline pro requirement final The The permits history vision criminal depart court to the defendant’s must “to to which reflect the extent reduced men demonstrate a need incarceration to capacity government tal public. contributed the commission of con- is, That it requires offense.” 5K2.13. tends that Cantu’s criminal record bars a degree, that the district court find some 5K2.13. Cantu has one particular degree, carrying weapon, not a a concealed causation. Our conviction for holding merely language. unspecified weapons one conviction reaffirms for an Thus, violation, degree impairment differing which the and four convictions for plain We have hinted in dictum that reduced mental our decision in Lewinson adhere to capacity part drug meaning provision, caused in alcohol or of that dictate the conclusion use disqualifies partly *10 reduced that defendant from by voluntary drug Borrayo, United v. 898 F.2d at caused or other abuse States 94. Howev- alcohol er, 5K2.13, eligible we believe of leaves a for the that the structure incapacitation is not an addition, that “when pre- states In his degrees of assault. punishment, states, justification [a] important of his arrests “Most report sentence may depar of a people be the basis on other mental condition assaults have involved Poff, at 595 carrying a firearm v. was ture.” United States quite he often which essence, up being (Easterbrook, J., dissenting). involved In knife which ended or sentencing, Cantu filed to de court guideline altercation.” asks report. He pre-sentence objection to the safety requires an public termine whether lists one assault contends to the same term be sentenced the defendant twice, fourth-degree that the conviction capacity if imposed his mental that would be the result of a domes- was assault conviction pur significantly reduced.9 were not weapon used a dispute in which he neither tic lenity, harsh departure is not pose of this injury, there is no an and that inflicted nor mentally ness, or emo toward those who are concerning his habit the statement basis for may sentencing court tionally A disabled. gun. The district carrying a knife or presume that a defendant with reduced not disputes these because did not resolve dangerous capacity is more than oth sentencing once they germane were offenders, that, if a defendant has or such er ineligible that Cantu was the court concluded record, likely than he is more a criminal 5K2.13. for a future impaired to commit those who are pun precise primary rationales for must be crimes. The court’s decision “[T]wo by incarceration —desert ishing an individual into account fact-specific, must take relevance receiving some their and deterrence —lose or any treatment the defendant applied sentence, to those with when the likeli receive while under will Chatman, 986 States v. capacity.” United prevent will that such treatment hood Poff, (citing United States F.2d at crimes, committing further defendant from banc) (7th Cir.1991) (en (East 588, 595 likely upon re circumstances the defendant’s erbrook, J., dissenting), cert. alternatives, custody or lease (1991)). 116 L.Ed.2d S.Ct. record, nature and the defendant’s overall (blameworthiness) loses some bite be Desert brings the offense that and circumstances of reason, ability or reduced cause those with sentencing court. before the the defendant deserving impulses, their are less to control F.Supp. at Speight, See than those who act out of punishment eligible for de (finding a defendant has greed. Id. Deterrence viciousness or receiving treatment for his parture was who. punishment be as a rationale for less value age at schizophreniform disorder and whose capacities are less people cause statutory minimum term the end of his system punishment and susceptible to a unlikely pose a him imprisonment made may grip of their disorders reward: public). risk to the identify and to less able both to make them regard- conflicting evidence exists Because appropriate to an conform their actions incarceration possibility that Cantu’s Incapacitation alone conduct. Id. course of public, we remand required to against full such offenders. retains its force on this issue. inflicting They capable of harm are as disabled, and their mental who are not those CONCLUSION susceptible less make them

conditions deterrence. ruling district court erred Because the it lacked discretion to award Cantu men with reduced When defendants 5K2.13, conduct, we vacate Cantu’s departure under not exhibit violent tal do case. and remand his however, impor sentence incapacitation is not such Brown, F.2d at 483. Cantu’s whole, States goal. Read as a tant in a 5K2.13 will result emphasize ward the court's decision is not 9. We imposing war- period the same term of in- than would be limited to either of incarceration lesser if the defen- period that would be warranted departure, carceration not in no without the ranted ill, mentally imposing no term dant were not incarceration. cases, a at all. In down- of incarceration most *11 tencing post-traumatic ruling stress disorder constitutes court s error in that it lacked capacity for significantly depart reduced mental discretion to downward re- Furthermore, §of 5K2.13. his dis resentencing). mand for order contributed to the commission of his Beyond go. I would not The district offense, was and his offense neither violent court made no factual determination whether by voluntary drug nor caused or alcohol use. post-traumatic stress disorder con- If the finds that Cantu’s criminal rec tributed to the commission of his require ord does he incarcerated I would leave that determination to the dis- protect public, period or that a lesser clearly, trict court. Even more the district of incarceration consistent with a downward questions court never reached the whether protect public, would suffice to non-violent, Cantu’s crime was it grant in the exercise of its discretion by voluntary drugs was caused use of downward intoxicants, other and whether Cantu’s crimi- § 5K2.13. The court should act history nal indicates a need for his incarcera- justice system awareness that criminal “[t]he public. tion to I would neither long per has out lower meted sentences expound questions rule nor on these before who, insane, although technically sons the district court has addressed them. are not full command of their actions.” (East Poff, United States v. 926 F.2d at 595

erbrook, J., dissenting). The mandate shall immediately.

issue AND

VACATED REMANDED. WATKINS, Watkins, Jimmie L. Wanda CANBY, Judge, concurring: Circuit wife, husband and Plaintiffs- agree I majority with the this ease Appellees-Cross-Appellants, my resentencing, must be remanded for but grounds for decision are more limited than majority opinion.

those of the WESTINGHOUSE HANFORD COMPA sentencing, At the district court said NY, Washington Corporation, al., et you Cantu that “while it is clear [ ] are Defendants-Appellants-Cross-Appellees. suffering post traumatic stress disorder 91-36195, 91-36233. Nos. ... I can find nowhere in the you sig- indication that from a Appeals, States Court of nificantly capacity.” reduced mental This Ninth Circuit. indicates, believe, I comment the sen- Argued and Submitted Nov. 1993. tencing judge post-traumatic believed that disorder, itself, cannot constitute or stress Decided Dec. rise to the level of a Rehearing As Amended on Denial of agree majority I with the Suggestion Rehearing proposition that this is erroneous aas matter En Banc March law, by Judge for reasons well stated majority opin- Reinhardt in of his Section C.l

ion; part I therefore concur of his

opinion. appears

Because the district court to have depart

made the decision not downward

under the mistaken view that qualify “signifi-

stress disorder could not

cantly capacity” 5K2.13,

Guideline we must vacate and re- See resentencing.

mand for

Brown, (9th Cir.1993) (sen-

Case Details

Case Name: United States v. Jose Garza Cantu
Court Name: Court of Appeals for the Ninth Circuit
Date Published: Dec 27, 1993
Citation: 12 F.3d 1506
Docket Number: 92-30211
Court Abbreviation: 9th Cir.
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