Lead Opinion
■ After Stephen Kalb pleaded guilty to participating in a methamphetamine manufacturing' conspiracy, the district court granted a downward sentencing departure under U.S.S.G. § 5K2.0. The government appeals, arguing that Kalb’s conduct was not a “single act of aberrant behavior” warranting the departure. Concluding that this is no longer the most relevant inquiry, we remand for further consideration in light of the Supreme Court’s recent decision in Koon v. United States, — U.S. -,
I.
In 1990, William Thomas, a methamphetamine distributor, moved to California and became friends with Kalb, a part-time chemistry student. Thomas provided Kalb with chemicals and equipment to make methamphetamine, but Kalb abandoned the project short of completion and returned the chemicals and equipment to Thomas, who moved to 'Iowa later that year. In November 1992, Thomas asked Kalb to acquire some hydriodic acid, a chemical used in manufacturing methamphetamine that could be legally purchased in California, but not in Iowa. Kalb shipped six gallons of hydriodic acid to Thomas in Iowa, knowing it would be used to manufacture methamphetamine. Thomas paid Kalb $1,000. Two months later, police arrested Thomas and seized contraband at his methamphetamine laboratory, including the remaining hydriodic acid purchased by Kalb. Thomas agreed to cooperate with authorities and engaged Kalb in a series of taped telephone conversations in which Thomas encouraged Kalb to help manufacture more methamphetamine. When Thomas offered $50,000 in profits, Kalb agreed to purchase chemicals, drive them from California to Iowa, and help Thomas manufacture another batch. Kalb was arrested as he arrived in Iowa with the precursor chemicals.
Kalb’s March 1993 plea agreement stated that he could receive a downward departure if he substantially assisted law enforcement authorities. See U.S.S.G. § 5K1.1. The Pre-sentence Report, issued in June 1993 prior to entry of the plea, attributed to Kalb 5.29 kilograms of methamphetamine — one-quarter kilogram manufactured for Thomas in 1990 plus six kilograms that could have been produced from the hydriodic acid shipped to Thomas in November 1992, reduced by an 85% purity factor. The district court conducted a plea and sentencing hearing in September 1995. After accepting Kalb’s guilty plea, the court determined that his guidelines sentencing range is 108 to 135 months in prison, and that he is subject to a mandatory minimum ten-year sentence. See 21 U.S.C. §§ 841(b)(1)(A) and 846. Despite the two year delay between Kalb’s plea agreement and his guilty plea and sentencing, the government made no substantial assistance motion. However, Kalb moved for a downward departure for aberrant behavior. The district court granted a § 5K2.0 departure, explaining:
[T]he defendant did get involved with Mr. Thomas [in 1990] and started to cook a batch of methamphetamine but abandoned the project; two years later did sell hy-driodic acid, which ... in essence was the single act of [aberrant] behavior, and then ... the final activity ... was ... part of the conspiracy [but] does not take the case out of the situation that allows for a departure [because] Mr. Kalb at least initially was reluctant to get reinvolved, and it was after the offer of the $50,000 that he decided that he would get further involved in the criminal activity.
The court further found that Kalb is eligible for a departure from his mandatory minimum sentence, a finding the government does not challenge. See 18 U.S.C. § 3553(f). Kalb was sentenced to sixty months in.prison plus five years of supervised, release. The government-appeals the grant of a § 5K2.0 downward departure.
A district court may depart (that is, impose a sentence outside the applicable guidelines sentencing range) if there exists an "aggravating or mitigating circumstance of a kind, or to a degree, not adequately taken into consideration by the Sentencing Commission in formulating the guidelines that should result in a sentence different from that described." 18 U.S.C. § 3553(b). Departure is only appropriate in the atypical case, "one to which a particular guideline linguistically applies but where the conduct significantly differs from the norm.. . ." U.S.S.G. Ch.1, Pt.A, intro, comment. 4(b), quoted in Koon, - U.S. at ,
In Koon, the Supreme Court considered a case of great notoriety in which the district court had granted an eight-level downward departure based upon five different factors, and the court of appeals had reyersed. The Supreme Court first defined the proper analysis for making departure decisions. Agreeing with then-Chief Judge Breyer's decision in United States v. Rivera~,
If the special factor is a forbidden factor [that is, one that the Sentencing Commission has declared may never be the basis of a departure], the sentencing court cannot use it as a basis for departure. If the special factor is an encouraged factor, the `court is authorized to depart if the applicable Guideline does not already take it into account. If the special factor is a discouraged factor, or an encouraged factor already taken into account by the applicable Guideline, the court should depart only if the factor is present to an exceptional degree or in some other way makes the case different from the ordinary case where the factor is present. If a factor is unmentioned in the Guidelines, the court must, after considering the "structure and theory of both relevant individual guidelines and the Guidelines taken as a whole," decide whether it is sufficient to take the case out of the Guideline's heartland. The court must bear in mind the Commission's expectation that departures based on grounds not mentioned in the Guidelines will be "highly infrequent." 1995 U.S.S.G. ch.1, pt.A.
- U.S. at -,
Turning to the question of appellate review of departure decisions, the Court in Koon adopted the "unitary abuse-of-discretion standard." See Cooter & Cell v. Hartmarx Corp.,
III.
On this appeal, the parties primarily debate whether Kalb's offense was a "single act of aberrant behavior" as that term has been defined in prior Eighth Circuit departure cases. The phrase "single acts of aberrant
First, the Sentencing Commission only mentioned "single acts of aberrant behavior" in discussing probation and split sentences. Thus, it is an encouraged factor only when considering crimes in which the offender might be eligible, with a departure, for those modest forms of punishment. There is nothing in this specific comment, or its context within the Guidelines, that suggests the Commission intended to encourage aberrant behavior departures for murderers, drug dealers, and bank robbers, the serious offenses at issue in our aberrant behavior departure decisions in United States v. Weise,
Second, our prior cases suggest that the only "aberrant behavior" which may be considered fo~r departure purposes is the "single act of aberrant behavior" mentioned in the introductory comment about probation and split sentences.
Third, when dealing with an unmentioned potential departure factor such as alleged aberrant behavior, Koon instructs the sentencing court to consider the "structure and theory of both relevant individual guidelines and the Guidelines taken as a whole." - U.S. at ,
At sentencing, the parties and the district court focused primarily on whether Kalb’s conduct fit the definition of a “single act of aberrant behavior” adopted in prior Eighth Circuit eases. This is only the beginning of the departure analysis Koon now requires, an analysis which, when properly conducted, is entitled to deferential review on appeal. Accordingly, the judgment of the district court is reversed and the case is remanded for resentencing in accordance with this opinion.
Notes
. The contrary conclusion expressed in United States v. Withraw,
. These cases narrowly construed that phrase as meaning "spontaneous and seemingly thoughtless" criminal conduct. United States v. Garlich,
Dissenting Opinion
dissenting.
I. INTRODUCTION
I respectfully dissent. Federal judges, especially district court judges, are dismayed at the impact of mandatory and guideline sentencing. See United States v. Hiveley,
The Supreme Court in Koon v. United States, — U.S. -, -,
II. DISCUSSION
In Koon, the Supreme Court instructed appellate courts to accord sentencing courts greater discretion in their decisions to depart from the guidelines. Koon, — U.S. at -,
My view of this case differs from the majority’s in four ways. First, I believe aberrant behavior constitutes ' an encouraged factor, rather than an unmentioned factor, according to the Sentencing Commission’s comments. Second, the district court satisfied the requirements laid out in Koon. Third, I believe Koon and United States v. McCarthy,
A. Aberrant Behavior Constitutes an Encouraged, Rather Than Unmentioned, Factor for District Courts to Consider under the Sentencing Guidelines.
Although the majority’s opinion recognizes that the district court relied on an appropriate factor for its departure, aberrant behavior, the majority mischaracterizes aberrant behavior as an “unmentioned” factor under the guidelines, rather than an “encouraged” factor. Op. at 429. According to Koon, a district court may depart from the guidelines based on an encouraged factor if the court finds the applicable guideline did not take the factor into account. Koon, — U.S. at -,
The majority concludes that because the Commission “only mentioned ‘single acts of aberrant behavior’ in discussing probation and split sentences .... it is an encouraged factor only when” the case concerns the possibility of probation. Op. at 429. The majority goes on to infer that aberrant behavior must be an unmentioned factor for all other “serious offenses” because the Commission did not mention its inability to deal with aberrant behavior elsewhere in its comments. Id. Thus, according to the majority’s analysis, if a district court relies on aberrant behavior to depart downward from a higher offense level’s guideline range to sentence a defendant to probation, the guidelines encourage the district court’s consideration of aberrant behavior. If the district court relies on aberrant behavior for departing downward from a higher offense level’s guideline range to sentence a defendant to a shorter prison term, however, the majority’s opinion favors treating aberrant behavior as an unmentioned factor.
I cannot agree with this result. In my opinion, whether aberrant behavior constitutes an encouraged or unmentioned factor should not turn on the type of punishment imposed, but rather on the language and intent of the Sentencing Commission. Although not discussed in the Commission’s general discussion of departures, the discus"sion in the probation setting acknowledges the Commission’s inability to accommodate aberrant behavior in the guidelines as a whole: “The Commission, of course, has not dealt with the single acts of aberrant behavior that still may justify probation at higher offense levels through departures.” U.S.S.G. Ch.l, Pt.A, intro, comment. 4(d) (emphasis added). The Commission’s inability to accommodate aberrant behavior in the context of probation and split sentences is not diminished when the issue concerns the length of the defendant’s prison term.
In addition, the Commission intended aberrant behavior to be an encouraged factor, even for serious offenses, because it expressly recognized the possibility of departing downward from the prison terms at “higher offense levels” to probation or split sentences. Id.; see also United States v. Withrow,
B. The District Court’s Opinion Satisfies the Requirements Established in Koon.
At issue here is whether the district court abused its discretion by determining that “the misconduct which occurred in the particular instance suffices to make the case atypical,” keeping in mind the district court’s “institutional advantage over appellate courts in making these sorts of determinations [because] ... they see so many more Guidelines cases than appellate courts do.” Koon, — U.S. at -,
In this case, the district court supported its finding of aberrant behavior on its findings that (1) Kalb began making • methamphetamine under Thomas’ direction, but stopped once he realized what he was making; (2) Kalb sold a legal precursor chemical to Thomas (“the real gravamen” of his offense); and (3) Kalb reluctantly traveled to Iowa with chemistry equipment only because Thomas lured him with the promise of $50,-000. (Appellant’s App. at 17-18 containing sentencing transcript). The district court also described Kalb’s case as sufficiently similar to United States v. Posters ‘N’ Things, Ltd.,
Furthermore, according to Williams v. United States,
C. Precedent Supports Granting District Court Substantial Deference and Affirming Departure.
Remanding this case to the district court for a more detailed explanation of its decision also appears inconsistent with the Supreme Court’s disposition of a similar issue in Koon and this court’s decision in United States v. McCarthy,
As discussed above, the district court in this ease articulated its reasons for finding aberrant behavior with support in the record. First, unlike the departure in Koon, consideration of the aberrant behavior does not raise concerns about the dual responsibility of citizenship or other federalism issues. In addition, whereas the district court in Koon supported its decision with unspecified references to “unusual circumstances,” the district court in Kalb’s case identified particular facts in the record demonstrating the aberrant nature of Kalb’s conduct. (See Appellant’s App. at 18-20). As further support for its decision, the district court noted that it found Kalb’s conduct analogous to that in Posters ‘N’ Things. Id. at 19-20. Thus, the district court’s explanation for its departure included more specificity than the district court decision affirmed by the Supreme Court in Koon.
Likewise, the Eighth Circuit recently affirmed an upward departure reasoning that the district court was due substantial deference despite concerns about the'appropriateness of the departure factors
I believe this court’s treatment of a district court’s decision to depart from the guidelines in McCarthy requires us to affirm the district court’s decision in this case. According to the majority’s analysis, both cases concerned departures based on unmentioned factors. In McCarthy the district court relied on the defendant’s large return on his investment and his knowledge of his business’ use in criminal activities to support its conclusion that the case fell outside the guideline’s heartland. McCarthy,
D. Proper Inquiry upon Remand.
Finally, I do not agree with the requirements on remand set forth by the majority. The majority’s opinion calls for the district court to compare Kalb’s conduct and motivation to other drug couriers and explain “why this made Kalb an ‘aberrational’ drug conspirator.” Op. at 429. The majority’s opinion requires the district court to explain how Kalb’s acts were aberrant for a drug courier — in other words, how Kalb’s conduct differed from “typical” drug couriers. Whether a defendant’s conduct constitutes aberrant behavior, however, is not determined by comparing the actions, taken in isolation, with other defendants to decide if the behavior was unusual. Rather, the district court should determine whether the behavior was more unusual for the particular defendant to engage in given the unique characteristics of the defendant, that is, whether Kalb’s acts were more or less aberrant for Kalb to undertake, given his background, family, work experience, disposition, etc., than for a typical drug courier.
III. CONCLUSION
The Supreme Court recognizes that district courts retain their traditional discretion to depart from the guidelines for atypical cases and possess a unique institutional advantage to discern the typical cases from the atypical. This court should do no less.
. Other circuits also uphold departures without remanding for detailed or extensive explanations from the district court, thus granting district courts the ability to appropriately exercise their traditional discretion. See, e.g., United States v. Rioux,
