United States v. Bell

                                                                 United States Court of Appeals
                                                                          Fifth Circuit
                                                                         F I L E D
                   IN THE UNITED STATES COURT OF APPEALS                November 20, 2003
                           FOR THE FIFTH CIRCUIT
                                                                      Charles R. Fulbruge III
                                                                              Clerk
                                 No. 03-20194



UNITED STATES OF AMERICA,

                                                       Plaintiff-Appellant,

versus


RUBY D. HENRY BELL,

                                                           Defendant-Appellee.

                        --------------------
            Appeal from the United States District Court
                 for the Southern District of Texas

                            --------------------

Before JOLLY and WIENER, Circuit Judges, and WALTER,* District
Judge.

PER CURIAM:

     Defendant-Appellee Ruby D. Henry Bell was convicted on a plea

of guilty for using a telephone to convey a false threat to damage

or destroy a building by means of an explosive, in violation of 18

U.S.C. § 844(e).         At sentencing, the district court granted a

defense motion to depart downward within the U.S. Sentencing

Guidelines (“U.S.S.G.” or the “Guidelines”) from a criminal history

category of VI to a criminal history category of IV.              The district

court    appears    to   have   granted    this   motion    on   the    basis     of


     *
       District Judge for          the    Western   District     of    Louisiana,
sitting by designation.
overstatement of criminal history, as provided for by Guidelines

§ 4A1.3; however, the sentencing colloquy also discussed Bell’s

mental health issues and the court’s concern that incarceration

would lead to a break in her mental health treatment, which the

court wanted to avoid.       Because the district court conflated the

elements    of    several   distinct       Guidelines    provisions    in    its

discussion of the downward departure, making the true basis for

that departure unclear, we vacate and remand for resentencing.

                       I.   Facts and Proceedings

     In    an    apparent   attempt    to     force     the   cancellation   or

postponement of her probation hearing, Bell telephoned police and

mendaciously informed them that Pakistani terrorists had planted a

bomb at the Brazos County Courthouse in Bryan, Texas.                 Acting on

Bell’s false report, state and local police, as well as the FBI,

initiated an intense investigation, which resulted initially in the

arrest and incarceration of a Pakistani immigrant.1                    Cellular

telephone records helped the police identify Bell as the caller,

after which she was indicted and charged under 18 U.S.C. § 844(e).

     Bell pleaded guilty to the indictment, and the pre-sentence

report (PSR) recommended a total offense level of 6, a criminal

history category of VI, and a guideline imprisonment range of 12 to




     1
       The investigation uncovered the fact that the arrested
individual had forged documents to enter the United States.

                                       2
18 months.     Bell did not object to the PSR,2 but she made a motion

for downward departure, which the district court granted, revising

her criminal history category downward from VI to IV.           This

departure made Bell eligible for probation, and the court assessed

a “term of probation” of three years, subject to conditions that

included six months’ home confinement, community service, and

participation in treatment programs for drug and alcohol addiction

and mental health.

                             II.   Analysis

A.   Standard of Review

      On April 30, 2003, the Prosecutorial Remedies and Other Tools

to end the Exploitation of Children Today Act of 2003 —— the

PROTECT Act (the “Act”) —— was signed into law.3     The Act changed

the standard of review applicable when courts of appeals consider

departures from the Guidelines, but only in specified situations.

Because the Act became effective after Bell was sentenced and after

the government filed its notice of appeal, we must decide (1)

whether the Act applies retroactively to litigants in Bell’s

position, and (2) if so, whether the Act changes the standard of

review in the instant case, given the circumstances surrounding the

district court’s departure.

1.   Retroactivity

      2
       Bell did correct two factual inaccuracies in the PSR, but
neither is relevant to our discussion today.
      3
          Pub. L. 108-21, 117 Stat. 650 (April 30, 2003).

                                    3
       Although we have not yet considered the Act’s new standard of

review, we have examined retroactive application of newly-announced

standards of review generally.                In United States v. Mejia, we

characterized a change in the standard of review as “procedural

rather than substantive because it neither increases the punishment

nor changes the elements of the offense or the facts that the

government must prove at trial.”4              As the Supreme Court has long

held       that    procedural   changes       in   the    law      may    be   applied

retroactively without violating the Constitution’s ban on ex post

facto laws,5 we held in Mejia that the trial court correctly

applied a standard of review that was announced after the actions

that led to the criminal charge in that case.

       The two other circuit courts that have considered the Act’s

standard-of-review provision have based their ultimate decision ——

to   apply        such   standard   retroactively        ——   on    the    well-known




       4
           844 F.2d 209, 211 (5th Cir. 1988).
       5
      See, e.g., Miller v. Florida, 482 U.S. 423, 430 (1987)(“[N]o
ex post facto violation occurs if a change does not alter
‘substantial personal rights,’ but merely changes ‘modes of
procedure which do not affect matters of substance.’” quoting
Dobbert v. Florida, 432 U.S. 282, 293 (1977)); Lindh v. Murphy, 521
U.S. 320, 327 (1997)(noting that if the statute at issue “were
merely procedural in a strict sense (say, setting deadlines for
filing and disposition ...), the natural expectation would be that
it would apply to pending cases.”)(citation omitted).

                                          4
procedural/substantive dichotomy.6        As the First Circuit explained

in United States v. Thurston,

      Changing the appellate standard of review, as done here,
      could upset no legitimate reliance interest by a
      defendant, could not have induced alteration of the
      behavior that led to the crime, and could not have upset
      settled expectations. We see no unfairness to defendants
      in Congress’s requiring a closer look by appellate courts
      at whether a district court committed an error in
      deciding that the guidelines permitted a departure.7

We agree with that concise statement of the issue, and conclude

that the Act’s de novo standard of review may be applied in cases,

like the instant one, in which sentencing occurred before the Act’s

enactment     date.     This   comports    with   the   Supreme   Court’s

retroactivity jurisprudence as well as our prior holding in Mejia.

2.   Applicability of the De Novo Standard

      Prior to the Act, we reviewed a district court’s decision to

depart from the Guidelines for abuse of discretion.8              The Act

explicitly changed the standard of review, but only when courts of

appeals are considering determinations under subsections (3)(A) or



      6
      Although the Eighth Circuit, in United States v. Hutman, 339
F.3d 773 (8th Cir. 2003), simply applied the de novo standard
summarily,   it  did   cite   to  Mejia,   indicating   that   the
procedural/substantive distinction was the basis for that part of
its holding.
      7
          338 F.3d 50, 72 (1st Cir. 2003).
      8
       See United States v. Harris, 293 F.3d 863, 871 (5th Cir.
2002) (“We review a district court’s departure from the range
established by the Guidelines for abuse of discretion. ... The
district court’s decision is accorded substantial deference because
it is a fact intensive assessment and the district court’s findings
of fact are reviewed for clear error.”)(citation omitted).

                                    5
(3)(B) of 18 U.S.C. § 3742 (e).         In all other instances, we still

employ an abuse of discretion standard:

     The court of appeals shall give due regard to the
     opportunity of the district court to judge the
     credibility of the witnesses, and shall accept the
     findings of fact of the district court unless they are
     clearly   erroneous   and,   except   with   respect   to
     determinations under subsection (3)(A) or (3)(B), shall
     give due deference to the district court’s application of
     the guidelines to the facts.           With respect to
     determinations under subsection (3)(A) or (3)(B), the
     court of appeals shall review de novo the district
     court’s application of the guidelines to the facts.9

Subsection 3(A) deals with a district court’s failure to include a

written statement of reasons for the departure, as required by 18

U.S.C. § 3553(c), and is inapplicable in the instant case.                Thus,

if we conclude that our review of the instant case does not fall

under subsection 3(B) either, the de novo standard of review

specified in the Act would be inapplicable here.

     Subsection     3(B)    mandates    that   courts   of    appeals    should

determine    whether   “the      sentence   departs   from    the   applicable

guideline range based on a factor that – (i) does not advance the

objectives    set   forth   in    section   3553(a)(2);      or   (ii)   is   not

authorized under section 3553(b) ; or (iii) is not justified by the

facts of the case.”         We read this language to mean that if               a

district court departs based on a factor that does advance the

objectives set forth in section 3553(a)(2), then review of that

determination does not fall under subsection 3(B).


     9
         18 U.S.C. § 3742(e)(as amended by the Act)(emphasis added).

                                       6
     One objective listed by § 3553(a)(2) is “the need for the

sentence imposed ... (D) to provide the defendant with needed

educational   or   vocational   training,   medical   care,   or   other

correctional treatment in the most effective manner.”              Bell’s

sentencing colloquy makes clear that the district court was most

concerned about the interruption that incarceration would cause in

Bell’s mental health treatment, mentioning this several times

before announcing its decision:

     So I’m conflicted between my strong desire to see Ms.
     Bell punished for her actions in this particular case and
     my concern about a [sic] creating a break in her mental
     health treatment that she’s currently receiving, which I
     think would be the unfortunate result of a period of
     incarceration.... [E]ven [though] the potential period of
     incarceration is so limited, I think that there is a
     significant likelihood that there would be a break in her
     mental health treatment and counseling that would be too
     long, and that a period of incarceration of the length
     that we’re talking about would put us in a position of
     ... putting Ms. Bell back into the community in not as
     good a mental health state as she currently has as a
     result of that break in treatment. So I’m going to grant
     the motion for downward departure on this basis ...
     (emphasis added).

We find inescapable the conclusion that the district court’s

evident concern about a break in Bell’s treatment was a “factor” on

which the departure was based.         As that factor advanced the

objective that Bell receive “needed ... medical care ... in the

most effective manner,” Bell’s sentencing is not a determination

under 18 U.S.C. § 3742(e)(3)(A) or (B), so our traditional abuse of

discretion standard of review still applies.




                                   7
     The government argues that because the Statement of Reasons

attached to the judgment notes only over-representation of criminal

history as the basis for the downward departure,10 we may not

consider the district court’s evident concern with Bell’s mental

health treatment.    As support for this proposition, the government

notes statutory provisions that require the written statement of

reasons.11    These provisions, however, discuss situations in which

the district court has “failed to provide” the required statement

of reasons with the order of judgment.           There is no dispute that

here the district court did “provide” a written statement of

reasons; thus, the relevant inquiry is whether we can consider a

factor that obviously played a significant role in the district

court’s decision     but   was    not    mentioned   in   that   statement    of

reasons.

     In the end, we cannot see why we would not consider the

sentencing colloquy as well as the court’s written reasons.                  The

statutory language at issue neither defines “factor” nor expressly

limits an appellate court’s consideration of factors underlying a

sentencing    departure    to    those   expressed   in   the    statement   of

reasons.     Under these circumstances, and mindful of the statutory

     10
        Immediately following its statements quoted above, the
district court indicated that the basis for its decision was over-
representation of criminal history: “So I’m going to grant the
motion for downward departure on this basis, on the basis of the
criminal history issue.”
     11
        The government points to 18 U.S.C. § 3742 (e)(3)(A) and
(f)(2)(B) on this issue.

                                         8
canon of construction that we give terms their ordinary and common

meaning,12 we are satisfied that the district court’s desire to

prevent an interruption of Bell’s mental health care was a factor13

on which the downward departure was based, at least in part.    As

the departure thus furthered the goal of § 3553(a)(2)(D), our

review of that departure is not controlled by § 3742(e)(3)(A) or

(B), and we do not apply the de novo standard of review established

by the Act.      Instead, we review the departure for abuse of

discretion, and the findings of fact for clear error.14




     12
        See, e.g., Perrin v. United States, 444 U.S. 37, 42
(1979)(“A fundamental canon of statutory construction is that,
unless otherwise defined, words will be interpreted as taking their
ordinary, contemporary, common meaning.”).
     13
        Distinct from its common-law commercial agent definitions,
Black’s Law Dictionary defines “factor” as “[a]ny circumstance or
influence which brings about or contributes to a result....”
BLACK’S LAW DICTIONARY 592 (6th ed. 1990).
     14
          See United States v. Harris, 293 F.3d 863, 871 (5th Cir.
2002).

                                 9
B.    Downward Departure

      With    the    proper    standard     of   review      established,    we   now

consider whether the district court abused its discretion when it

departed downward on the express basis of an over-represented

criminal     history.         The   Guidelines     indicate     that   a    downward

departure may be appropriate when “reliable information indicates

that the defendant’s criminal history category substantially over-

represents the seriousness of the defendant’s criminal history or

the likelihood that the defendant will commit other crimes.”15                    The

Guidelines require that the sentencing court “specify in writing

... (2) [i]n the case of a downward departure, the specific reasons

why the applicable criminal history category substantially over-

represents the seriousness of the defendant’s criminal history or

the likelihood that the defendant will commit other crimes.”16

Given the presence of the statutorily-required written statement of

reasons in the instant case, we again encounter the problem that we

had to address in our determination of the applicable standard of

review, viz., that the court’s written statement of reasons does

not   mention       the   factors    that      appear   to    have   figured      most

prominently in its decision to depart downwardly, as demonstrated

in the sentencing colloquy.




      15
           U.S.S.G. § 4A1.3(b)(1).
      16
           U.S.S.G. § 4A1.3(c).

                                          10
       To repeat, the sentencing colloquy reflects the district

court’s desire to prevent an interruption in Bell’s mental health

treatment, its belief that her “mental health problems” were a

factor in her previous crimes, and its finding that “her diminished

capacity has been aggravated somewhat by the fact that she was

overmedicated for a time.”                In contrast, the court’s written

statement       of    reasons    indicates      only    that    “the   nature      of   the

defendant’s criminal history, which is comprised mostly of non-

violent, petty theft offenses, overrepresents her criminal history

category.”           The   written    statement       makes    no   mention   of    other

factors.

       The government asserts that (1) the record does not reflect

that        Bell’s    criminal       history    category       significantly        over-

represented          the   seriousness    of    her    criminal     behavior    or      her

likelihood of recidivism, and (2) mental and emotional conditions

can only be relevant when considering a downward departure under

U.S.S.G. § 5K2.13.              For the latter proposition, the government

cites our 2000 decision in United States v. Thames, in which we

concluded that “the guidelines have already adequately taken into

consideration a defendant’s mental capacity with § 5K2.13, and thus

§ 5K2.0 is inapplicable to Thames’[s] claim that his diminished

mental capacity, derived from his gambling addiction, entitles him

to consideration for a downward departure.”17

       17
        214 F.3d 608, 615 (2000). U.S.S.G. § 5K2.0(a) allows a
district court to base a departure on “an aggravating or mitigating

                                           11
     The defendant in Thames argued that “his mental condition made

his criminal conduct ‘inadvertent behavior,’” essentially trying to

argue diminished capacity under U.S.S.G. § 5K2.0 instead of §

5K2.13.18     Although the Thames decision certainly informs our

decision today, we believe that the instant case is distinguishably

different. Here, the question is whether three distinct factors ——

(1) the district court’s finding that Bell had been over-medicated

for a period of time,19 (2) the defendant’s history of mental

illness, and (3) the district court’s belief that the defendant was

“receiving adequate mental health treatment and counseling” at the

time of sentencing and that interruption of that treatment would

not “serve the defendant or the society well” —— can provide

justification for the district court’s ruling that a criminal

history     category   of   VI   “substantially   over-represents   the

seriousness of the defendant’s criminal history or the likelihood




circumstance of a kind, or to a degree, not adequately taken into
consideration by the Sentencing Commission in formulating the
guidelines....”
     18
          Thames, 214 F.3d at 614.
     19
        This is a factual finding, to be reviewed for clear error
in the instant case. We cannot say that the district court clearly
erred in determining that Bell had been over-medicated in the past,
and in fact the government, although still contesting the downward
departure, conceded during the sentencing hearing that it “[did
not] doubt that her being overmedicated by the psychotropic drugs
that she was taking is a factor in this case ...”

                                     12
that the defendant will commit other crimes.”20         We believe, with

some caveats, that they can.

     The    district   court   appears   to   have   concluded   that   the

defendant’s history of mental illness, in combination with her

over-medication during the period in which some of her prior crimes

were committed and the non-violent, “petty” nature of those crimes,

made a criminal history category of VI inappropriately high.            One

distinct factor that appears to have motivated the district court

was a desire to prevent a break in Bell’s mental health treatment,

which the court evidently believed would undermine her progress and

subvert the goal advanced by § 3553(a)(2)(D).          It would not be a

per se abuse of discretion for the district court to find that a

history of over-medication by psychotropic drugs, combined with

prior offenses that are nonviolent, “petty” crimes, are adequate

bases for a downward departure under U.S.S.G. § 4A1.3.21          Neither

would it necessarily be an abuse of discretion for a district court

to justify a downward departure under Guidelines § 5K2.0 on the

court’s determination to prevent a break in mental health treatment

based on factual findings that incarceration would occasion such a

break and thereby be detrimental to society’s and the defendant’s

interests.     At the same time, our Thames decision forecloses


     20
          U.S.S.G. § 4A1.3(b)(1).
     21
       If this were the only basis for departure, however, we might
subject such a decision to de novo review, because the desire to
prevent a break in treatment would not be implicated.

                                    13
consideration      of   mental    health          as    the       basis   for     a    downward

departure when that factor implicates diminished capacity regarding

the crimes at issue, except under U.S.S.G. § 5K2.13.22

     The   sentencing      court’s       written            statement       of    reasons       is

unclear,   however,       as     to     which          of     the    foregoing          factual

possibilities, if any, is applicable in the instant case.                                   The

district court might have improperly considered Bell’s mental

health in contravention of Thames; or it might have examined

factors under Guidelines §§ 4A1.3 and 5K2.0, concluded that a

downward   departure     was     appropriate,               yet    failed    to       include   a

detailed identification of its reasons in the written statement.

     In any event, we cannot resolve the uncertainty from the

court’s written statement, and we decline to proceed without a

clearer understanding of the district court’s reasons.                             Even under

the deferential abuse-of-discretion standard, we must have enough

information   to    determine         what    conclusions           the     district      court

reached, before we can decide whether its actions were within its

exercise of discretion.          We therefore vacate Bell’s sentence and

remand her case to the district court to clarify its reasoning.

Otherwise, the written statement requirement would be feckless in

cases such as this.

                               III.      Conclusion


     22
        As was the case in Thames, a downward departure under
U.S.S.G. § 5K2.13 is not available to Bell because her crime
involved a “serious threat of violence.”

                                             14
     For the foregoing reasons, Bell’s sentence is

VACATED and her case REMANDED for resentencing consistent with this

opinion.




                                15
E. GRADY JOLLY, Circuit Judge, specially concurring:



     I concur in the vacating of Bell’s sentence.     I write only to

say, respectfully, that given the seriousness and length of the

defendant’s criminal record and the seriousness of the crime she

committed, any sentence reduction for the reasons advanced by the

district court would seem, in my opinion, unjustifiable. The

sentencing guidelines make clear that Bell’s mental and emotional

condition is generally irrelevant when considering a downward

departure under Guideline § 4A1.3.   U.S.S.G. § 5H1.3.***************




     ***************
              Guideline § 5H1.3 provides that: “Mental and
emotional conditions are not ordinarily relevant in determining
whether a sentence should be outside the applicable guideline
range, except as provided in Chapter 5, Part K, Subpart 2.”

                               16