United States v. Pugh Jr., Mark A.

                        United States Court of Appeals


                     FOR THE DISTRICT OF COLUMBIA CIRCUIT


             Argued September 9, 1998   Decided October 23, 1998 


                                 No. 97-3133


                          United States of America,

                                   Appellee


                                      v.


                              Mark Anthony Pugh,

                                  Appellant


                 Appeal from the United States District Court

                         for the District of Columbia

                              (No. 97cr00153-01)


     Leslie B. Holt, appointed by the court, argued the cause 
and filed the briefs for appellant.

     Thomas C. Taylor, Assistant U.S. Attorney, argued the 
cause for appellee.  With him on the brief were Wilma A. 
Lewis, U.S. Attorney, John R. Fisher and Thomas C. Black, 
Assistant U.S. Attorneys.



     Before:  Edwards, Chief Judge, Ginsburg and Rogers, 
Circuit Judges.

             Opinion for the Court filed by Chief Judge Edwards.


     Edwards, Chief Judge:  This case presents a narrow ques-
tion of first impression in this circuit:  whether the term 
"prior felony convictions," in the context of calculating a 
defendant's base offense level under United States Sentenc-
ing Guidelines Manual s 2K2.1(a), includes a conviction based 
on an offense that was committed after the commission of a 
federal firearms offense but before sentencing on the fire-
arms offense.  Because we find the guideline language ambig-
uous and the commentary clear, we apply the commentary 
and reject appellant's challenge to the sentence here in 
dispute.

                                I. Background


     The facts in this case are not disputed.  In 1994, the 
defendant-appellant, Mark Pugh, was convicted in Superior 
Court of a felony drug offense ("1994 conviction").  In Febru-
ary 1995, Pugh exchanged several bags of crack cocaine for a 
stolen machine gun, which he then sold for cash ("instant 
offense").  In March 1995, Pugh was involved in an alterca-
tion that resulted in a felony assault conviction in Superior 
Court ("1995 conviction").  In October 1995, Pugh was sen-
tenced for the assault.  In April 1997, a federal grand jury 
indicted Pugh for his role in the 1995 machine gun transac-
tion.  Pugh then pled guilty to two counts of the indictment, 
Unlawful Possession of a Machine Gun, in violation of 18 
U.S.C. s 922(o), and Unlawful Possession of a Firearm by a 
Convicted Felon, in violation of 18 U.S.C. s 922(g)(1).  At 
sentencing on the instant offense, the District Court included 
both the 1994 and the 1995 convictions as "prior felony 
convictions" and accordingly assigned Pugh a base offense 
level of 26, pursuant to s 2K2.1(a)(1).1 Pugh's sole claim on 
appeal is that the District Court should have assigned a base 

__________
     1 The 1995 version of the Guidelines was in effect at the time of 
sentencing.

offense level of 22, pursuant to s 2K2.1(a)(3), because he had 
not yet been convicted of the assault, and indeed had not yet 
committed the assault, when he committed the instant of-
fense.  Therefore, he argues, the 1995 conviction was not a 
"prior felony conviction" under s 2K2.1(a).

                                 II. Analysis

     Section 2K2.1(a) prescribes the base offense level for un-
lawful possession of a firearm in relevant part as follows:

     (1)26, if the offense involved a firearm described in 26 
          U.S.C. s 5845(a) or 18 U.S.C. s 921(a)(30), and the 
          defendant had at least two prior felony convictions of 
          either a crime of violence or a controlled substance 
          offense;  or

     ...

     (3)22, if the offense involved a firearm described in 26 
          U.S.C. s 5845(a) or 18 U.S.C. s 921(a)(30), and the 
          defendant had one prior conviction of either a crime 
          of violence or controlled substance offense.

Pugh concedes that the 1994 conviction constitutes a prior 
conviction for the purposes of s 2K2.1(a) and that the 1995 
conviction was a crime of violence.  He argues on appeal, 
however, that the plain language of s 2K2.1(a)(1) precludes 
consideration of the 1995 conviction as a prior felony convic-
tion, because he did not commit the March 1995 offense until 
after the commission of the instant offense.  The Government 
responds that the commentary to s 2K2.1 clearly contem-
plates the inclusion of offenses committed after the instant 
offense, as long as the defendant was convicted prior to his 
sentencing on the instant offense.  Pugh did not object to his 
sentence in the District Court, so our review is for plain 
error.  See United States v. Robinson, 86 F.3d 1197, 1199 
(D.C. Cir. 1996).

     The convergence of several factors makes this a perplexing 
case:  first, s 2K2.1(a) on its face admits of the construction 
advanced by Pugh;  second, Pugh's argument, at least as a 
matter of common sense, is quite persuasive (and it finds 



support in at least one circuit court decision);  and, finally, the 
commentary underlying s 2K2.1(a) firmly supports the Gov-
ernment's position and is plainly at odds with the position 
espoused by Pugh.  For the reasons that follow, we are 
constrained to follow the commentary.

A.The Language of s 2K2.1(a)

     Calculation of Pugh's base offense level under s 2K2.1(a) 
turns on whether he "had at least two prior felony convic-
tions."  U.S.S.G. s 2K2.1(a)(1).  At the time Pugh committed 
the instant offense, he had only one prior felony conviction.  
However, at the time of his sentencing on the instant offense, 
he had two prior felony convictions.  Section 2K2.1(a) does 
not specify which is the relevant point in time to evaluate the 
defendant's criminal history, but Pugh contends that the 
language of s 2K2.1(a) supports only one interpretation.  He 
argues that the Commission's use of the past tense verb 
"had," along with the term "prior," clearly indicates that the 
Commission only intended the sentencing court to include 
convictions that the defendant "had" at the time he commit-
ted the instant offense.

     Pugh's claim is not without merit.  If the Commission had 
intended the calculation of a defendant's base offense level to 
include all post-offense convictions, it easily could have direct-
ed the sentencing court to evaluate how many prior felony 
convictions the defendant "has" at the time of sentencing, 
rather than how many he "had" at some unspecified point in 
time.  Indeed, one circuit court opinion that examines the 
language of s 2K2.1(a) concludes that the Commission's 
choice of verb tense "unambiguously indicates that the rele-
vant period for considering prior convictions is not open-
ended," and that the "most natural reading of the guideline" 
is that only pre-offense convictions count for the purposes of 
s 2K2.1(a).  United States v. Barton, 100 F.3d 43, 45 (6th 
Cir. 1996).

     The use of the word "prior" also supports Pugh's interpre-
tation.  The guideline does not specify whether "prior" refers 
to the time of the offense or the time of sentencing, but 
"prior" obviously refers to convictions obtained before some 



event.  Given that s 2K2.1 defines the base offense level for 
the instant offense, it is not unreasonable to assume that the 
relevant event is commission of the instant offense.  See id.

     We are inclined to agree that Pugh's interpretation of 
s 2K2.1(a), standing alone, is the most plausible reading.  
However, we do not agree with the Sixth Circuit that the 
language is unambiguous.  Without a point of reference, we 
do not know for sure whether "had" and "prior" refer to the 
time of the offense or the moment of sentencing.  The Fifth 
Circuit opined that "use of the past tense might be an 
intuitive basis for determining that the guideline is referring 
to the earlier point in time, i.e., commission of the offense."  
United States v. Gooden, 116 F.3d 721, 724-25 n.5 (5th Cir. 
1997).  However, use of the past tense may simply indicate 
that any conviction sustained before the moment of sentenc-
ing should be included in the base offense level calculation.  
If the guideline language included a qualifying phrase, such 
as "the defendant had at least two prior convictions at the 
time of the offense," this would be an easy case.  But without 
such qualifying language, we must look to the commentary 
for guidance.  See id.

B.The Commentary to s 2K2.1

     Application note 5 to s 2K2.1 directs the court to applica-
tion note 3 of s 4B1.2 for the definition of "prior felony 
conviction(s)."  U.S.S.G. s 2K2.1, comment. (n.5).  That ap-
plication note defines "felony" but does not shed light on the 
definition of "prior" or use of the verb "had."  See U.S.S.G. 
s 4B1.2, comment. (n.3).  The remainder of application note 5 
to s 2K2.1, however, provides that "[f]or purposes of deter-
mining the number of [prior felony] convictions under 
[s 2K2.1(a)], count any such prior conviction that receives any 
points under s 4A1.1 (Criminal History Category)."  U.S.S.G. 
s 2K2.1, comment. (n.5).

     Following the direction of application note 5, we look to 
s 4A1.1 to see whether Pugh's 1995 conviction would receive 
any criminal history category points.  Section 4A1.1 adds 
points to a defendant's criminal history score for "each prior 
sentence of imprisonment exceeding one year and one 



month."  U.S.S.G. s 4A1.1(a).  The commentary to s 4A1.2 
defines "[p]rior sentence," as used in s 4A1.1, as "a sentence 
imposed prior to sentencing on the instant offense."  U.S.S.G. 
s 4A1.2, comment. (n.1).  Pugh's sentence on the 1995 convic-
tion was imposed well before his sentencing on the instant 
offense.  Thus, he would (and, in fact, did) receive points for 
the 1995 conviction under s 4A1.1.  Pursuant to application 
note 5 to s 2K2.1, then, Pugh's 1995 conviction counts as a 
prior felony conviction for the purposes of s 2K2.1(a).

     Pugh contends that this journey through the Guidelines 
commentary bypasses s 4B1.2(3), which specifically defines 
the term "two prior felony convictions" as meaning that "the 
defendant committed the instant offense subsequent to sus-
taining at least two felony convictions."  U.S.S.G. s 4B1.2(3).  
If applicable to his case, this provision would clearly support 
Pugh's position.  However, the purpose of s 4B1.2 is to 
define the terms of s 4B1.1, not s 2K2.1(a).  The commen-
tary to s 2K2.1 says absolutely nothing about s 4B1.2(3).  
See United States v. Krzeminski, 81 F.3d 681, 683-84 (7th 
Cir. 1996).

C.Application of Stinson v. United States

     It is undisputed that the commentary in the Guidelines 
Manual serves to "interpret the guideline[s] or explain how 
[they are] to be applied."  U.S.S.G. s 1B1.7.  In Stinson v. 
United States, 508 U.S. 36 (1993), the Supreme Court estab-
lished the proper method of interpreting the Guidelines when 
the commentary appears to contradict the language of a 
particular provision.  "[C]ommentary in the Guidelines Manu-
al that interprets or explains a guideline is authoritative 
unless it violates the Constitution or a federal statute, or is 
inconsistent with, or a plainly erroneous reading of, that 
guideline."  Id. at 38.  Only when there is a "flat inconsisten-
cy," where the "commentary and the guideline it interprets 
are inconsistent in that following one will result in violating 
the dictates of the other," will the plain language of the 
guideline prevail.  Id. at 43.

     We believe that the language of s 2K2.1(a) tends to sup-
port Pugh's interpretation but is nevertheless ambiguous with 



respect to whether his 1995 conviction constitutes a prior 
felony conviction.  Under the commentary, however, the 1995 
conviction clearly does constitute a prior felony conviction.  
The issue is whether there is a "flat inconsistency" between 
the guideline and its commentary such that the language of 
the guideline prevails under Stinson.  Because we do not 
think there is a flat inconsistency, the commentary is authori-
tative.

     In Robinson, we said, citing Stinson, that "[c]ommentary is 
not 'inconsistent' with a guideline simply because it adopts 
what we might regard as one of the less likely interpretations 
of a guideline."  Robinson, 86 F.3d at 1199.  Here, we do 
regard the commentary's interpretation of s 2K2.1(a) as the 
less likely interpretation, both as a matter of common sense 
and in light of the purpose of s 2K2.1, which is to determine 
the defendant's base offense level.  Calculation of the base 
offense level in Chapter Two of the Guidelines Manual is an 
inquiry that "pertains to offense conduct."  U.S.S.G. Ch.2, 
intro. comment.  As the Barton court noted, "[c]onceptually, 
it is difficult to see how unrelated post-offense criminal 
actions can retroactively render the original federal offense 
more serious."  Barton, 100 F.3d at 45.  Nevertheless, where, 
as here, we find the guideline language ambiguous, we are 
bound by Stinson to follow the commentary.

                               III. Conclusion


     For the reasons set forth above, we affirm Pugh's sentence.

                                                                        So ordered.