F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
JUN 9 2000
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellant,
v. No. 99-2145
TYRONE BENALLY,
Defendant-Appellee.
Appeal from the United States District Court
for the District of New Mexico
(D.C. No. CR-98-329-JC)
Kathleen A. Felton, (John J. Kelly, United States Attorney, and Kathleen Bliss,
Assistant United States Attorney, District of New Mexico, with her on the briefs),
Department of Justice, Washington, D.C., for Plaintiff-Appellant.
Roger A. Finzel, Assistant Federal Public Defender, Albuquerque, New Mexico,
for Defendant-Appellee.
Before TACHA, HOLLOWAY and BRORBY, Circuit Judges.
BRORBY, Circuit Judge.
The government raises a single issue on appeal: whether the district court
erred by departing downward five levels on the basis of aberrant behavior when
sentencing Mr. Benally for aggravated sexual abuse of a child in Indian country.
Concluding none of the factors cited by the district court singly or collectively
justify an aberrant behavior departure, we reverse and remand for re-sentencing.
BACKGROUND
Mr. Benally, an American Indian, pleaded guilty to sexually assaulting a
female child in 1998, when he was twenty-four years old. He admitted
committing the assault when interviewed by FBI agents two days after the crime.
He also provided a signed statement in which he described the assault and
expressed remorse for his actions. Following his guilty plea, Mr. Benally sought
a psychological evaluation for the purpose of seeking a downward departure. His
sealed motion for downward departure quoted heavily from that evaluation,
which concluded, generally, that Mr. Benally is more accountable and therefore
potentially a better candidate for rehabilitation than is the typical sex offender.
The presentence report calculated Mr. Benally’s total offense level as 28,
accounting for a three-level reduction for acceptance of responsibility. Mr.
Benally’s criminal history category was I, thus establishing a sentencing
guideline range of seventy-eight to ninety-seven months. The original
presentence report found no basis for a downward departure; however, following
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the defense motion for departure, the probation officer amended the original
report to recommend a downward departure on grounds of aberrant behavior. At
sentencing, the district court adopted the factual findings and guideline
applications in the presentence report, departed downward by five levels, to a
range of forty-six to fifty-seven months, and imposed a sentence of forty-eight
months. The following findings are particularly relevant to the issue on appeal:
The Court finds the defendant’s conduct in the instant offense
was aberrant behavior based on the following: The defendant has no
prior documented information of any sexual deviancy. The
defendant has made significant post arrest rehabilitation efforts
which include mental health testing to determine the cause of his
involvement in the instant offense and to prevent its recurrence. The
defendant has acknowledged his alcohol intoxication may have
contributed to the instant offense and has abstained from alcohol
consumption since the instant offense.
Further, the defendant has cooperated with and assisted law
enforcement in investigation of the instant offense by admitting his
culpability [and] timely confess[ing] .... These factors, when
combined together, remove this case from the heartland of the
guidelines and allows the Court to impose a sentence outside of the
applicable guideline range.
ANALYSIS
The government contends the district court abused its discretion because
the “aberrant behavior” departure does not apply to serious, violent felonies, like
aggravated sexual abuse, for which probation is statutorily unavailable. Even if a
departure for aberrant behavior is generally permissible for serious, violent
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felonies, the government argues the district court erred by relying on a
combination of factors that are either disallowed or already taken into account by
the guidelines. Furthermore, according to the government, none of the factors
the district court relied on is present to such an extraordinary degree as to remove
Mr. Benally from the heartland of the guideline range. The government
concludes its argument by asserting that the district court’s underlying factual
findings are clearly erroneous.
We begin by rejecting the government’s invitation to prohibit the
sentencing courts’ consideration of an aberrant behavior departure in cases
involving serious, violent felonies for which probation is statutorily unavailable.
Such a prohibition would conflict with existing precedent. Although this court
has never addressed the appropriate scope of the aberrant behavior factor for
downward departure vis a vis the type of punishment available, the court
consistently has taken a broad, rather than restrictive, approach to the
consideration of aberrant behavior in sentencing.
Post- Koon , 1 we unequivocally have held, “‘[t]he aberrance of a criminal
1
Koon v. United States, 518 U.S. 81 (1996), is the seminal United States
Supreme Court case defining the proper analysis for making departure decisions.
The initial inquiry in such an analysis is whether a particular feature, like aberrant
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act is an encouraged factor for departure.’” United States v. Garcia , 182 F.3d
1165, 1176 (10th Cir.), cert. denied , 120 S. Ct. 448 (1999) (quoting United States
v. Talk , 158 F.3d 1064, 1072 (10th Cir. 1998), cert. denied , 525 U.S. 1164
(1999)). Without limitation,“[u]nder our case law, the aberrant nature of a
criminal defendant’s offense conduct may properly be considered as a mitigating
factor in a downward departure decision.” United States v. Jones , 158 F.3d 492,
500 (10th Cir. 1998). Accordingly, we have upheld downward departures based
on aberrant behavior even in violent and/or serious cases in which probation was
not available or seriously considered. See Garcia , 182 F.3d at 1168, 1177
(cocaine trafficking, possession with intent to distribute) ; United States v. Tsosie ,
14 F.3d 1438, 1440, 1441-42 (10th Cir. 1994) (voluntary manslaughter). This
precedent counsels against adopting the restriction the government advocates. 2
behavior, is a “forbidden,” “encouraged,” “discouraged,” or “unmentioned” factor
in the sentencing guidelines. Id. at 94-96.
2
We acknowledge the Eighth Circuit has taken a different approach. See
United States v. Kalb, 105 F.3d 426, 429 (8th Cir. 1997) (for a serious crime that
cannot warrant probation, aberrant behavior is an unmentioned, not an encouraged
factor under Koon). However, our holding is not without support among the
circuits. See United States v. Withrow, 85 F.3d 527, 530 (11th Cir.) (noting that
prior to Kalb, all circuits that had addressed the issue concluded “single acts of
aberrant behavior were excluded from consideration in the formulation of the
guidelines and thus might justify sentences below the guideline range even in
cases where probation is not a viable option.”), cert. denied, 519 U.S. 944 (1996);
United States v. Grandmaison, 77 F.3d 555, 561 (1st Cir. 1996) (downward
departures for aberrant behavior “may be employed whether the sentence
computed involves imprisonment or merely probation”); see also Kalb, 105 F.3d
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Having declined to categorically limit the consideration of aberrant
behavior, we proceed to evaluate the downward departure applied in this case. In
reviewing a departure from the sentencing guidelines we evaluate:
(1) whether the factual circumstances supporting a departure are
permissible departure factors; (2) whether the departure factors
relied upon by the district court remove the defendant from the
applicable Guideline heartland thus warranting a departure; (3)
whether the record sufficiently supports the factual basis underlying
the departure; and (4) whether the degree of departure is reasonable.
United States v. Collins , 122 F.3d 1297, 1303 (10th Cir. 1997).
All four inquiries are subject to a “unitary abuse of discretion standard,”
Collins , 122 F.3d at 1303, understanding that “‘[a] district court by definition
abuses its discretion when it makes an error of law.’” United States v. Fagan ,
162 F.3d 1280, 1283 (10th Cir. 1998) (quoting Koon , 518 U.S. at 100).
Applying this standard, we need not defer to the district court’s determination of
an issue of law, such as that presented by the first inquiry pertaining to the
permissibility of departure factors. See Collins , 122 F.3d at 1303. However, we
must give substantial deference to the district court when making the second
inquiry, because the heartland determination is primarily a factual inquiry. See
at 431-32 (Bright, J. dissenting) (aberrant behavior is an encouraged, rather than
an unmentioned factor).
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id. at 1302-03. Similarly, our review of the underlying factual determinations
relevant to the third inquiry is limited to clear error. See id . at 1302. As outlined
above, the government hinges its argument on the first three inquiries. We
dispose of all issues in the context of the first two inquiries.
I.
Permissible Departure Factors: Did the district court rely on a
combination of factors that are either disallowed or already taken
into account by the guidelines?
In determining what constitutes aberrant behavior in a particular case, a
sentencing court should evaluate the totality of circumstances. See Garcia , 182
F.3d at 1176-77; Jones , 158 F.3d at 500; Tsosie , 14 F.3d at 1441. The totality of
circumstances approach does not, however, permit a sentencing court to base its
aberrant behavior finding on otherwise impermissible factors. See United States
v. Bush , 126 F.3d 1298, 1301 n.2 (11th Cir. 1997) (“‘aberrant behavior’
departure should not be utilized as a ‘back door’ through which [otherwise
inappropriate] factors may enter into the sentencing determination”), cert. denied ,
522 U.S. 1141 (1998). “Impermissible factors include forbidden factors,
discouraged factors that are not present to some exceptional degree, and
encouraged factors already taken into account by the applicable guideline that are
not present to some exceptional degree.” Collins , 122 F.3d at 1303. The
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question at this juncture, then, is whether the specific circumstances on which the
district court relied are indeed permissible under the guidelines.
The district court cited the following circumstances, “combined together,”
in support of its conclusion Mr. Benally’s conduct represented aberrant behavior:
(1) the absence of “prior documented information of any sexual deviancy”; App.
64-65); (2) Mr. Benally’s “significant post arrest rehabilitation efforts”; (3) Mr.
Benally’s “acknowledg[ment] his alcohol intoxication may have contributed to
the instant offense”; and (4) Mr. Benally’s cooperation and assistance. The
government claims (1) the district court’s reliance on the lack of prior
documented information of any sexual deviancy represents a departure based on
criminal history, and (2) the court’s reliance on Mr. Benally’s recognition alcohol
may have contributed to his offense represents a departure based on intoxication
– both prohibited departure factors. The government further claims the
sentencing guidelines have already taken into account post-arrest rehabilitation
and acceptance of responsibility, and Mr. Benally has demonstrated neither
circumstance to an exceptional degree.
A. Prior Conduct
By definition, Mr. Benally’s sex offense could not be considered aberrant
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if he had a documented history of similar deviant conduct. The district court
therefore appropriately considered whether there was any evidence Mr. Benally
had before engaged in sexually deviant behavior. The logic or necessity of this
initial inquiry into prior conduct does not, however, render the lack of any such
documented history a permissible ground for departure under the aberrant
behavior umbrella.
We have, on at least two occasions, upheld downward departures for
aberrant conduct based, in part, on the fact the defendant had not been engaged
in any prior criminal activity. See Tsosie , 14 F.3d at 1441; United States v. Pena ,
930 F.3d 1486, 1494 (10th Cir. 1991). Those dispositions, however, preceded
the refinement of our departure analysis brought about by Koon . Having now
been squarely presented with the issue of whether the lack of prior criminal
conduct is a permissible factor in this specific sentencing context, we hold that
the factors supporting an aberrant behavior departure must involve something
other than an act which is merely a first offense. Stated differently, the
permissible factors in this context must illustrate some unique circumstance –
some element of abnormal or exceptional behavior – beside the fact the defendant
has never before committed the crime. See United States v. Carey , 895 F.2d 318,
325 (7th Cir. 1990).
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This holding stays true to our commitment to evaluate all the unique
circumstances relevant to the aberrant nature of the defendant’s conduct (prior
good deeds, efforts to mitigate the effects of the crime, pecuniary gain, charitable
activities, etc.), rather than focusing on spontaneity and thoughtlessness.
Compare Jones , 158 F.3d at 500, Pena , 930 F.2d at 1494, and Grandmaison , 77
F.3d at 562-63, with United States v. Andruska , 964 F.2d 640, 645-46 (7th Cir.
1992). Most important, it is consistent with our precedent prohibiting a
sentencing court from using a lack of criminal history as a basis for downward
departure. 3
United States v. Gallegos , 129 F.3d 1140, 1145 (10th Cir. 1997). If
a departure based on lack of a criminal history is forbidden, we believe it is
likewise impermissible to base an aberrant behavior departure, in whole or in
part, on a lack of prior criminal conduct. Consequently, the district court erred
by relying on the absence of “prior documented information of any sexual
deviancy” when granting Mr. Benally a downward departure.
B. Post-Arrest Rehabilitation
3
“The lower limit of the range for Criminal History Category I is set for a
first offender with the lowest risk of recidivism. Therefore, a departure below the
lower limit of the guideline range for Criminal History Category I on the basis of
the adequacy of criminal history cannot be appropriate.” U.S.S.G. § 4A1.3, p.s.;
see also United States v. Maldonado-Campos, 920 F.2d 714, 719 (10th Cir. 1990).
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The district court concluded Mr. Benally’s criminal conduct was aberrant
behavior, in part, because he has made “significant post arrest rehabilitation
efforts which include mental health testing to determine the cause of his
involvement in the instant offense and to prevent its recurrence.” The
government correctly points out post-offense rehabilitation is accounted for in
the context of an acceptance of responsibility adjustment under U.S.S.G. § 3E1.1,
comment. (n.1(g)), and thus may not serve as a basis for departure unless it is
present to an exceptional degree. See Jones , 158 F.3d at 502-03. The inquiry
required to resolve whether Mr. Benally’s post-arrest rehabilitation efforts were
exceptional and support a finding of aberrant behavior is necessarily a factual
one, which we review below under Section II.A. See id. at 503; United States v.
Contreras , 180 F.3d 1204, 1210 (10th Cir.), cert. denied , 120 S. Ct. 243 (1999).
C. Intoxication and Post-Arrest Sobriety
In addition to Mr. Benally’s post-arrest rehabilitation efforts, the district
court deemed it important Mr. Benally acknowledged his alcohol intoxication
may have contributed to the instant offense and abstained from alcohol
consumption since the offense. To the extent the court may have departed
downward on the basis of intoxication, as the government contends, the
government is correct that a departure on such grounds is prohibited by the
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guidelines. U.S.S.G. § 5K2.13, p.s.
Mr. Benally contends the district court instead relied on these facts as
evidence he “had gained insight that alcohol abuse played a part in his offense
and that abstaining from alcohol since the date of the offense was indicative of
his sincere resolve not to repeat that conduct.” Viewed in this context, the
findings of intoxication and post-arrest sobriety are not patently impermissible
under the guidelines. See Koon , 518 U.S. at 109 (“[A] federal court’s
examination of whether a factor can ever be an appropriate basis for departure is
limited to determining whether the Commission has proscribed, as a categorical
matter, consideration of the factor.”). However, that does not mean those
findings are relevant or sufficient to support an aberrant behavior departure.
Here again, the inquiry required to resolve whether those findings support the
district court’s ultimate conclusion that Mr. Benally’s conduct was aberrational is
necessarily a factual one, which we review below under Section II.B. See
Contreras , 180 F.3d at 1210.
D. Cooperation and Assistance
The district court cited Mr. Benally’s cooperation and assistance in the
investigation of his crime by “admitting his culpability,” and by making a “timely
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confession,” as factors that, together with the aberrant behavior finding,
supported a downward departure. The government argues the guidelines “allow a
downward departure for ‘voluntary disclosure’ of an offense, but only when the
defendant’s admission occurs before the discovery of the offense, a circumstance
clearly not present here.” See U.S.S.G. § 5K2.16, p.s. The government further
points out the guidelines expressly account for acceptance of responsibility,
U.S.S.G. § 3E1.1, and Mr. Benally in fact received an extra point available under
U.S.S.G. § 3E1.1(b) for acceptance of responsibility that saves the government
resources, thereby reducing his offense level by three instead of two points.
Because the guidelines expressly account for cooperation and assistance,
this factor is not categorically prohibited. It is best categorized as an encouraged
factor, which is impermissible only if it is not present to an exceptional degree.
Collins , 122 F.3d at 1303. We review whether Mr. Benally’s cooperation and
assistance was indeed exceptional in part II.C. of our analysis.
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II.
Are the permissible factors the district court relied on present to
such an extraordinary degree they remove Mr. Benally from the
heartland of the guideline range?
Having concluded the circumstances pertaining to Mr. Benally’s post-arrest
rehabilitation, intoxication, post-arrest sobriety, and cooperation and assistance
are legally permissible factors under the guidelines, we shift our focus to whether
those circumstances are factually appropriate grounds for departure, i.e. , are
those circumstances present to such an exceptional degree they go beyond the
contemplation of the applicable guidelines or otherwise remove Mr. Benally’s
case from the heartland of the guideline range by demonstrating aberrant
behavior. Koon , 518 U.S. at 109. We review the district court’s findings in this
context for abuse of discretion. See Contreras , 180 F.3d at 1210.
A. Post-Arrest Rehabilitation
The district court cited Mr. Benally’s mental health testing as the specific
“rehabilitative” reason for departure. Mr. Benally argues the psychological
testing supports the court’s downward departure on grounds of aberrant behavior
because it indicates (1) he is not a pedophile, (2) his offense resulted from a
personality disorder, and (3) he is amenable to treatment.
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We perceive two relevant questions as to Mr. Benally’s psychological
testing: (1) did Mr. Benally undergo an exceptional degree of rehabilitative
effort prior to sentencing sufficient to take him outside the heartland
contemplated by the acceptance of responsibility adjustment under U.S.S.G. §
3E1.1; and (2) do the test results establish Mr. Benally’s conduct was indeed
aberrant? Having studied the arguments and reviewed the record in its entirety,
we answer both questions in the negative.
The government correctly notes Mr. Benally underwent a psychological
evaluation for the specific purpose of supporting his downward departure motion.
While both the psychological report and presentence report suggest Mr. Benally
has requested appropriate treatment and is interested in learning more about
himself and why he committed such an offense, there is no real showing his
attitude or future treatment regimen differs substantially from that of other
incarcerated sex offenders. The evidence of record is limited to (1) the
psychologist’s opinion that certain of Mr. Benally’s actions, primarily the fact he
immediately confessed to the crime, are not typical of the general sex offender
population and “ indicate [] that he is much more accountable and therefore
potentially more amendable to rehabilitation than is the typical sex offender”
(emphasis added)), and (2) the probation officer’s opinion Mr. Benally’s post-
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arrest conduct may be viewed as rehabilitative and, when combined with other
factors, removes his case from the heartland of the usual sexual offense cases
seen in the District of New Mexico. These equivocal and conclusory statements
simply are not enough. The acceptance of responsibility guideline, U.S.S.G.
§ 3E1.1, specifically contemplates an adjustment for “post-offense rehabilitative
efforts ( e.g. , counseling or drug treatment).” U.S.S.G. § 3E1.1 comment.
(n.1(g)). Mr. Benally received an adjustment for acceptance of responsibility.
The absence of additional evidence or explanation as to why Mr. Benally’s
rehabilitative effort went beyond that contemplated by U.S.S.G. § 3E1.1 renders
a departure on this basis invalid.
Mr. Benally understandably relies on those portions of his psychological
evaluation which intimate his sexual assault of a young child was out of character
for him and atypical of other sex offenders/pedophiles. To the extent the
psychologist concluded Mr. Benally’s sex offense was a departure from Mr.
Benally’s normal behavior pattern, we note the psychologist relied on behavioral
and historical facts as provided by Mr. Benally himself. Those conclusions must
therefore be weighed accordingly. More important, we must look beyond the
psychologist’s summary conclusions to underlying substantive portions of the
evaluation, which illustrate troubling behavior patterns and clear similarities
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between Mr. Benally’s crime and typical sex offender behavior.
For example, Mr. Benally exhibited a response profile on the MMPI-II
commonly observed in persons who have had behavioral and legal problems. Test
results also indicated Mr. Benally “may be rather amoral, which is consistent with
the opportunistic nature of [his] offense.” “His behaviors may be unpredictable
and at times inappropriate, because he does not place the same degree of
importance on the social appropriateness of his behavior in comparison with most
people.” “[H]e appears to have a reservoir of anger, which tends to influence his
perception of the world.” Mr. Benally’s responses to sexual offense scales
exhibited “a high degree of commonality between his pattern and responses given
by other persons who have committed child molestation,” and “a moderate degree
of commonality with persons who have committed more intrusive rapes as
compared with typical child molestation. Overall, his responses show a high
degree of similarity with others who openly acknowledge having committed
inappropriate sexual acts.” Finally, Mr. Benally exhibited sexual arousal
responses not usually seen in non-offending males. Viewed as a whole, we
conclude the psychological report does not set Mr. Benally’s crime apart from his
own behavior patterns or those of other sex offenders to the degree necessary to
support an aberrant behavior departure.
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In sum, despite the fact the district court found Mr. Benally made
“significant post arrest rehabilitation efforts,” our careful review of the record
does not reveal evidence of an exceptional degree of effort beyond that accounted
for in the guidelines. Moreover, the results of Mr. Benally’s psychological
testing do not establish his conduct was aberrant. Accordingly, on these facts,
we hold the district court abused its discretion by departing downward.
B. Intoxication and Post-Arrest Sobriety
Mr. Benally does not argue it was abnormal or in any way exceptional for
him to be intoxicated. Nor did the district court indicate Mr. Benally’s
intoxication at the time of the offense was out of the ordinary when compared to
his typical behavior. The record reveals no unusual circumstance that might
explain why Mr. Benally was intoxicated when he assaulted the young girl. To
the contrary, the record indicates Mr. Benally has a long history of alcohol abuse,
with associated blackouts and an admitted loss of control over his behavior. Mr.
Benally must have recognized the destructive nature of his alcohol abuse prior to
the assault, as evidenced by his previous attempts at recovery. Under these
circumstances, we fail to see how Mr. Benally’s intoxication or his
acknowledgment that alcohol played a role in his offense could possibly support
a departure on grounds of aberrant behavior.
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Moreover, we agree with the government Mr. Benally’s post-arrest sobriety
reflects little more than his compliance with the conditions of his release to a
halfway house. As noted above, Mr. Benally has a prolonged history of alcohol
abuse and various attempts at treatment, with intervening periods of sobriety.
Viewing the totality of circumstances, Mr. Benally’s post-arrest sobriety is not
convincing evidence of a voluntary or unusual effort sufficient to establish his
criminal conduct was an aberration or to otherwise support the district court’s
departure.
C. Cooperation and Assistance
The district court made no factual findings and provided no support for its
conclusion Mr. Benally’s cooperation and assistance supported a downward
departure. There is no evidence Mr. Benally voluntarily disclosed his crime.
Rather, the record discloses he confessed his crime after the crime was reported
and FBI agents contacted him. In addition, he provided a signed statement
recounting the offense and expressing remorse; he also timely notified authorities
of his intention to enter a guilty plea. For these acts of cooperation and
assistance, Mr. Benally received a three-point adjustment to his offense level
pursuant to U.S.S.G. § 3E1.1(b).
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The government asserts it was incumbent on the sentencing court to
explain why Mr. Benally’s admission of culpability and timely confession were
so extraordinary that they went beyond the cooperation and assistance
contemplated by the acceptance of responsibility guideline at U.S.S.G. §
3E1.1(b). We agree. See United States v. Gaither , 1 F.3d 1040, 1042-43 (10th
Cir. 1993). Given the absence of any explanation or evidentiary support for the
district court’s conclusion, we deem the court’s reliance on Mr. Benally’s
cooperation and assistance as grounds for downward departure to be an abuse of
discretion.
CONCLUSION
Relying on comment to U.S.S.G. § 5K2.0, Mr. Benally argues that “[a]
combination of circumstances or offender characteristics may remove a case from
the heartland.” It is true, there occasionally may be
an extraordinary case that, because of a combination of such
characteristics or circumstances, differs significantly from the
“heartland” cases covered by the guidelines in a way that is
important to the statutory purposes of sentencing, even though none
of the characteristics or circumstances individually distinguishes the
case. However, the Commission believes that such cases will be
extremely rare .
U.S.S.G. § 5K2.0 comment. (emphasis added). This is not one of those extremely
rare cases. As explained above, the factor pertaining to prior conduct was legally
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impermissible, and the factors pertaining to intoxication, post-arrest sobriety and
rehabilitation, and cooperation and assistance were factually inappropriate.
“Combining the legally impermissible and factually inappropriate grounds for
departure cannot make this case one of the ‘extremely rare’ cases contemplated
by § 5K2.0.” Contreras , 180 F.3d at 1213. We REVERSE the district court’s
decision to depart downward and REMAND for re-sentencing consistent with
this opinion.
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No. 99-2145, United States v. Benally
HOLLOWAY, Circuit Judge, dissenting
The majority opinion relies heavily on reasoning that: (1) every fact which the
district court relies on to determine whether the Defendant’s conduct is aberrational must
independently constitute a permissible basis for departure under the guidelines, and (2)
the facts in this case do not warrant a departure. I am convinced that the former
conclusion disregards a well-developed body of Tenth Circuit precedent and that the latter
conclusion disregards the district court’s role as the finder-of-facts, violating Koon v.
United States, 518 U.S. 81, 97 (1996). Accordingly, I respectfully dissent. I would
affirm the findings and ruling of the trial judge.
I
First, the majority opinion impermissibly requires every factor concerning
aberrance to independently constitute a permissible basis for departure. We have noted
that “Impermissible factors include forbidden factors, discouraged factors that are not
present to some exceptional degree, and encouraged factors already taken into
account by the applicable guideline that are not present to some exceptional degree.”
United States v. Collins, 122 F.3d 1297, 1303 (10th Cir. 1997). However, the factor
at issue here – aberrational behavior – is neither prohibited nor already taken into account.
The question that the district court faced was, factually, whether the Defendant’s conduct
was aberrational. In making that factual determination, the district court can rely on such
evidence that it believes establishes aberrant behavior. 1
Indeed, this court has on several occasions analyzed and applied the aberrant
behavior departure both before and after the June 1996 Koon decision. See e.g. Garcia,
182 F.3d at 1176-77 (1999); United States v. Jones, 158 F.3d 492, 500 (10th Cir. 1998);
Talk, 158 F.3d at 1072-73 (1998); (“The aberrance of a criminal act is an encouraged
factor for departure.”); Tsosie, 14 F.3d at 1441-43 (1994); United States v. Peña, 930 F.2d
1486, 1494-95 (10th Cir. 1991). In none of the cases did we analyze separately each factor
to determine whether it independently constituted a permissible basis for departure under
the guidelines. Instead, we focused solely on the totality of circumstances to determine
1
This court has not required each factor to independently justify a departure
outside of the aberrational behavior inquiry. See Jones, 158 F.3d at 501 (“While Mr.
Jones’ support in the community is insufficiently ‘extraordinary’ to support a departure on
this basis alone, the district court did not abuse its discretion by relying on this factor as
one of several grounds supporting a departure.”); United States v. Contreras, 180 F.3d
1204, 1213 (10th Cir. 1999) (noting that combining otherwise impermissible factors to
support a departure should be “extremely rare”).
The majority opinion recognizes that an aberrant behavior departure may apply in
non-probation cases. See United States v. Garcia, 182 F.3d 1165, 1168 (10th Cir.), cert.
denied, 120 S. Ct. 448 (1999) (upholding an aberrant behavior departure for a Defendant
that received an 18 month prison sentence), cert. denied, 120 S. Ct. 448 (1999); United
States v. Tsosie, 14 F.3d 1438, 1440, 1441-42 (10th Cir. 1994) (upholding an aberrant
behavior departure for a Defendant that received a 4 month prison sentence). The opinion
acknowledges that an aberrant behavior departure may apply to violent felonies. See
United States v. Talk, 158 F.3d 1064, 1066, 1072-73 (10th Cir. 1998) (suggesting that an
aberrant behavior departure would apply to a Class A, aggravated sexual assault), cert.
denied, 525 U.S. 1164 (1999); Tsosie, 14 F.3d at 1440, 1441-42 (holding that the aberrant
behavior departure applied to a manslaughter conviction).
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whether the conduct at issue was aberrational for the Defendant. See, e.g., Tsosie, 14 F.3d
at 1441 (“The totality of circumstances must be viewed to see whether the offense fits
within Tsosie’s normal conduct or if it is a complete shock and out of character.”).2
Here the trial court made such a finding, concluding that Defendant’s conduct was
aberrational, in totality, because: (1) Defendant had no history of sexual deviancy,3 and (2)
Defendant made significant post arrest rehabilitation efforts: he both stopped using
alcohol, which may have contributed to the offense, and he sought mental health testing to
determine the cause of the assault and to prevent him from engaging in future assaults. In
totality, the district court did not abuse it discretion by holding that these facts demonstrate
the aberrational nature of the Defendant’s conduct.4 Compare Jones, 158 F.3d at 499
2
The opinion holds that “we believe it is likewise impermissible to base an
aberrant behavior departure, in whole or in part, on a lack of prior criminal conduct.” See
Majority Op. at 10. Both before and after Koon, this court has upheld aberrant behavior
departures because of a lack of prior criminal conduct. See Jones, 158 F.3d at 499-500
(upholding the district court’s finding that the Defendant’s conduct was aberrational when
he “basically had been law-abiding until age 35, when his marriage disintegrated”);
Tsosie, 14 F.3d at 1442 (holding that the Defendant’s conduct was aberrational “in that he
had no prior criminal history”).
3
The opinion focuses on Defendant’s lack of a criminal history. The district
court, however, did not. Instead, the district court held that Defendant lacked a history of
sexual deviancy. That holding embraces both criminal deviancy and non-criminal sexual
deviancy. Therefore, factually, the opinion is incorrect in concluding that the district
court impermissibly relied on Defendant’s lack of criminal history as a basis for the
departure.
4
Indeed, it is hard to imagine a stronger finding of aberrance: the district court
found that the crime was out of character for him (a lack of previous sexual deviancy)
and that he was unlikely to commit the crime again (rehabilitation efforts).
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(upholding an aberrant behavior departure when “[t]he Defendant . . . had been law
abiding until age 35, when his marriage disintegrated”); Garcia, 182 F.3d at 1176
(upholding an aberrant behavior departure when “this Defendant has a minimal criminal
history. The Defendant here has numerous letters of support from the community attesting
to his honesty and integrity in the manner in which he conducted his business in Las
Cruces, New Mexico for many years. Several letters confirmed the Defendant’s sympathy
for people in need. The paid informant used this to entice this previously law-abiding
member of the community.”). Tsosie, 14 F.3d at 1442 (upholding an aberrant behavior
departure when the Defendant “had no prior criminal history”); Peña, 930 F.2d at 1494
(upholding an aberrant behavior departure when the “Defendant has no prior record of
drug abuse, nor other felony criminal convictions and has held long-term employment.
She poses no threat to the public and would be justly punished, sufficiently deterred and
adequately rehabilitated by a sentence of probation with community confinement as a
special condition”).
The government has argued that the aberrant behavior departure applies only when
the crime is spontaneous and without planning and some courts have adopted such a rule.
See United States v. Pickering, 178 F. 3d 1168, 1172 (11th Cir.) (“Such an act is not
established unless ... the crime was a spontaneous and thoughtless act.”), cert. denied, 120
S. Ct. 433 (1999); United States v. Paster, 173 F.3d 206, 212 (3d Cir. 1999) (“[A]berrant
behavior must involve a lack of planning; it must be a single act that is spontaneous.”).
-4-
We, however, are not one of those courts. In Garcia we said: “The government argues that
in order for the aberrational behavior departure to apply, the offense must be spontaneous,
without substantial planning, and be completely aberrant from Defendant’s background
and personality. As a result, the government asserts, Garcia’s carefully planned cocaine
transaction cannot be deemed aberrational. However, this circuit has never held that
application of the aberrant behavior downward departure requires the crime at issue to
have been spontaneous.” Garcia, 182 F.3d at 1176 (emphasis added).
In sum, based on the totality of the circumstances, the district court’s finding that
Defendant’s act was aberrational so as to warrant a downward departure was not clearly
erroneous or an abuse of discretion.
II
The majority opinion also impermissibly disregards the district court’s findings of
fact on critical points. The district court identified two permissible bases for departure: (1)
Defendant’s post arrest rehabilitation efforts (psychological testing), which were
extraordinary, and (2) Defendant’s post arrest abstention from alcohol.5 See Majority Op.
5
The district court also cited Defendant’s cooperation with law enforcement. The
district court, however, did not rely on this factor as evidence of the aberrational nature of
Defendant’s conduct but, instead, as a further factor removing the case from the
heartland. This court has previously approved the use of such other marginal factors
when combined with aberrant behavior. See Peña, 930 F.2d at 1495 (noting that “family
ties and responsibilities and community ties are not ordinarily relevant in determining
whether a sentence should be outside the guidelines,” but holding that “these
responsibilities, combined with the aberrational nature of Peña’s conduct, justified the
departure . . . .”) (citation and internal quotation marks omitted) (emphasis in original);
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at 11-13; see also Jones, 158 F.3d at 503. The opinion concludes that the Defendant
supported neither basis for departure. I disagree.
Congress did not choose to make the appellate court the finder-of-facts. This court
has noted:
We are convinced the determination of whether an individual
Defendant’s offense conduct is aberrational, like the decision to depart,
requires consideration of unique factors not readily susceptible of useful
generalization. The district court is in the better position to determine
whether the Defendant’s offense conduct is out of character for that
individual. Accordingly, the district court’s resolution of this largely factual
question is due substantial deference.
Jones, 158 F.3d at 500 (emphasis added); (same); Garcia, 182 F.3d at 1176 (same). This
is the teaching of the Supreme Court’s decision in Koon:
A district court’s decision to depart from the Guidelines, by contrast,
will in most cases be due substantial deference for it embodies the traditional
exercise of discretion by a sentencing court. Before a departure is permitted,
certain aspects of the case must be found unusual enough for it to fall
outside the heartland of cases in the Guideline. To resolve this question, the
district court must make a refined assessment of the many facts bearing on
the outcome, informed by its vantage point and day-to-day experience in
criminal sentencing.
518 U.S. at 98 (emphasis added). Accordingly, the Court in Koon held that “[t]he
appellate court should not review the departure decision de novo, but instead should ask
see also Tsosie, 14 F.3d at 1441-42 (“Tsosie’s steady employment, economic support of
his family, combined with his aberrational conduct . . . were properly considered by the
court in departing downward.”); United States v. Gallegos, 129 F.3d 1140, 1146 (10th
Cir. 1997) (“In both Peña and Tsosie, the family circumstances alone were not
extraordinary; rather, the departures were based primarily on aberrant behavior,
supported by family responsibilities.”)
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whether the sentencing court abused its discretion.” Id. at 91.
A
The opinion denigrates the Defendant’s post arrest efforts and accepts the
government’s suggestion that Defendant merely “underwent a psychological evaluation for
the specific purpose of supporting his downward departure motion.” Majority Op. at 15.
However, the presentence report stated Defendant “expressed interest in learning why he
committed such an offense and what kind of treatment might help him learn more about
himself with the goal being that he never commit any such offense.” I R. Tab 24 at 4-5.
After the tests determined that he was susceptible to treatment, Defendant expressed a
desire to obtain treatment. See Addendum to the PSR (“The Defendant has participated in
mental health evaluations and he is requesting appropriate treatment to address his
needs.”). Contrary to the opinion’s inference, unfavorable to Defendant, the district court
found specifically: “The Defendant has made significant post arrest rehabilitation efforts
which include mental health testing to determine the cause of his involvement in the
instant offense and to prevent its recurrence.” (App. at 65) (emphasis added).
The majority opinion in no way demonstrates why this finding about Defendant’s
purpose in his post arrest rehabilitation efforts is clearly erroneous. The clearly erroneous
standard applies, of course, to findings on testimony observed by the judge and to his
findings based on documentary records before him or inferences from other facts.
Anderson v. Bessemer City, 470 U.S. 56, 574 (1984).
-7-
The opinion says further that “there is no real showing his attitude or future
treatment regimen differs substantially from that of other incarcerated sex offenders.”
Majority Op. at 15. However, the evidence before the district court included proof that
“the defendant submitted to a rather intrusive and invasive psychological analysis. . . .” I
R. Tab 24 at 5. The public defender represented that “Counsel has not had a client
previously nor has anyone else at the Office of the Federal Public Defender had a client
who has so readily sought out psychological testing and analysis in an effort to try and not
only learn why he committed the offense but to prevent its reoccurrence.” Id. Based on
the evidence, the district court was not clearly in error in finding that the Defendant
“made significant post arrest rehabilitation efforts which include mental health testing to
determine the cause of his involvement in the instant offense. . . .” (App. at 65) (emphasis
added).
The opinion reviewed the psychological report and determined that the report did
not demonstrate that Defendant’s conduct was out of character for him. However the
psychologist’s report states that: Mr. Benally’s case has several characteristics which
indicate that his offense was a departure from his normal pattern of behavior; that although
he has a clearly established pattern of problematic behavior suggesting a personality
disorder diagnosis, his behavior has not included such abrupt violent offenses as the
current matter. The psychologist noted that when Defendant was first interviewed by the
F.B.I. he immediately gave a confession highly consistent with the complaint made against
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him. The psychologist concluded this is not typical of the population of sexual offenders
and indicates he is much more accountable and therefore potentially more amenable to
rehabilitation than is the typical sex offender.
Therefore the district court was not clearly erroneous, nor did it abuse its
discretion, by finding that the Defendant engaged in “significant” post arrest rehabilitation
efforts and that Defendant’s offense conduct was “aberrant behavior.” App. at 64, 65.
B
The majority opinion also dismisses Defendant’s post arrest sobriety, concluding
that it “reflects little more than his compliance with the conditions of his release to a
halfway house.” Op. at 19. However, this court has held that “scrupulously follow[ing]
the conditions of release,” when combined with other factors, may warrant a departure.
Jones, 158 F.3d at 503. Therefore, the opinion’s rejection of Defendant’s post arrest
sobriety rests on an adverse factual inference, contrary to that permissibly drawn by the
trial judge. Second, the opinion’s inference is factually inaccurate. Defendant stated that
he abstained from alcohol from the date that he committed the offense. Although it is
unclear from the record when this condition of release was imposed on Defendant, the
condition was not imposed on the day he committed the offense. Accordingly, there was
some period of time when Defendant abstained from alcohol entirely of his own volition.
Thus, the district court did not abuse its discretion by believing the Defendant abstained
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from alcohol for rehabilitative reasons rather than because of the court’s order.6 Thus, the
district court did not abuse its discretion by concluding that the Defendant’s post arrest
sobriety, when combined with the other evidence, warranted a departure.
In sum, the majority’s dissection of the district court’s decision departs from our
precedents and wrongly supplants the judge’s assessment from his vantage point with its
own inferences, never having seen or heard the Defendant. The majority opinion thus
disregards the Supreme Court’s teaching that “the discretion of a sentencing judge...should
not be displaced by the discretion of an appellate court.” Koon, 518 U.S. at 97 (quoting S.
Rep. No. 225, at 150): “Congress did not intend, by establishing limited appellate review,
to vest in appellate courts wide-ranging authority over district court sentencing decisions.”
Accordingly I must respectfully dissent.
6
The opinion suggests that Defendant’s previous failed attempts to abstain from
alcohol suggest that the district court should not have relied on his current attempt to
abstain. See Majority Op. at 18-19. The district court, however, was able to judge
Defendant’s credibility and to determine whether he was sincere in his effort to quit this
time. The district court found that he was. The opinion has not demonstrated that the
finding was clearly erroneous.
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