F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
DEC 29 1998
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
No. 97-3306
v.
THOMAS W. FAGAN,
Defendant-Appellant.
Appeal from the United States District Court
for the District of Kansas
(D.C. No. 97-CR-10048)
Timothy J. Henry, Assistant Federal Public Defender, (David J. Phillips, Federal
Public Defender, with him on the briefs), Federal Public Defender for the District
of Kansas, Wichita, Kansas, for Appellant.
Debra L. Barnett, Assistant United States Attorney, (Jackie N. Williams, United
States Attorney, with her on the brief), United States Attorneys Office, Wichita,
Kansas, for Appellee.
Before PORFILIO, BRORBY, and MURPHY, Circuit Judges.
MURPHY, Circuit Judge.
Appellant, Thomas W. Fagan, appeals the district court’s denial of his
motion for a downward departure. In his motion, Fagan argued he was entitled to
a downward departure from the Sentencing Guidelines because of his sincere
remorse. The district court ruled that it lacked discretion to consider remorse as a
factor warranting a downward departure and denied the motion. We exercise
jurisdiction pursuant to 28 U.S.C. § 1291 and 18 U.S.C. § 3742(a) and
REVERSE and REMAND.
I. BACKGROUND
In an indictment filed March 19, 1997, appellant, Thomas W. Fagan, was
charged with three counts of unarmed bank robbery in violation of 18 U.S.C. §
2113(a). Fagan was arrested several days later and eventually pleaded guilty to
all three counts contained in the indictment. The Presentence Investigation
Report (PSR) computed Fagan’s total offense level at twenty-four and his
criminal history category at I. This computation included a two level increase to
the base offense level because the property of a financial institution was taken
and an additional two level increase because the probation officer who prepared
the PSR concluded that Fagan had made an express threat of death during one of
the robberies. The computation also included a three level decrease to the base
offense level because Fagan had accepted responsibility for the offenses. Fagan
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objected to the two-level recommended enhancement for the expressed threat of
death and the district court sustained his objection.
Prior to sentencing, Fagan filed a motion for a downward departure. Fagan
argued that a combination of factors, including his exceptional remorse, supported
a downward departure from the applicable sentencing guideline range. The
district court denied Fagan’s motion, specifically ruling that it did not have the
discretion to consider remorse as a factor to support the downward departure. 1
The court stated: “I would rather make the finding that I don’t have the discretion
to make the departure . . . and hopefully then some definitive decision [will be
made] by the circuit on whether, for example, remorse is a factor that can be
taken into consideration . . . . So, in any event, I find that for the reasons stated
that I do not have the discretion to grant the request of departure and it is denied.”
The district court thus set Fagan’s total offense level at twenty-two. This
offense level carried a guideline range of forty-one to fifty-three months
imprisonment. Fagan was sentenced to forty-one months imprisonment. Fagan
appeals the district court’s ruling that it did not have the discretion to consider
remorse as a factor justifying a downward departure from the Sentencing
Guidelines.
1
The record contains evidence supporting Fagan’s claim that his
remorsefulness was extreme and the government conceded as much during the
sentencing hearing.
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II. DISCUSSION
A. Appellate Jurisdiction
It is well settled that an appellate court lacks jurisdiction to review a
sentencing court’s refusal to depart from the Sentencing Guidelines when the
sentencing court was aware that it had the authority to depart but declined to
exercise that authority and grant the departure. See United States v. Soto, 918
F.2d 882, 883 (10th Cir. 1990). An appellate court, however, does have
jurisdiction to review a sentencing court’s refusal to grant a downward departure
when the refusal is based on the court’s conclusion that it lacks discretion to
make the departure. See United States v. Spedalieri, 910 F.2d 707, 710 (10th Cir.
1990) (“We plainly have jurisdiction under 18 U.S.C. § 3742(e)(2) to review a
district court's refusal to exercise discretion or its decision that it lacks discretion
as a matter of law to depart downward.”). The unambiguous language used by the
district court when it declined to grant Fagan’s motion expresses the court’s belief
it was without discretion to depart downward on the basis of Fagan's remorse.
Because the district court in this case specifically held that it did not have the
discretion to depart from the Sentencing Guidelines, its ruling is reviewable and
this court has jurisdiction. See id.
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B. Standard of Review
This court has previously reviewed a district court’s ruling that it lacked
discretion to depart from the Sentencing Guidelines de novo. See, e.g., United
States v. Mendoza-Lopez, 7 F.3d 1483, 1486 (10th Cir. 1993). In a superseding
decision, the Supreme Court has adopted a “unitary abuse of discretion standard”
with respect to appellate review of departure decisions. See Koon v. United
States, 518 U.S. 81, 98-102 (1996). The Supreme Court, however, also clarified
that “whether a factor is a permissible basis for departure under any
circumstances is a question of law and the court of appeals need not defer to the
district court’s resolution of the point.” Id. at 100. Nevertheless, the Court
concluded, that although “a departure decision, in an occasional case, may call for
a legal determinations does not mean, as a consequence, that parts of the review
must be labeled de novo while other parts are labeled an abuse of discretion.” Id.
Accordingly, consistent with Koon, this court must review departure
decisions under an abuse of discretion standard, but legal conclusions underlying
those decisions are reviewed de novo. See In re Smith, 10 F.3d 723, 724 (10th
Cir. 1993) (“We are bound by the precedent of prior panels absent en banc
reconsideration or a superseding contrary decision by the Supreme Court.”). “A
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district court by definition abuses its discretion when it makes an error of law.”
Koon, 518 U.S. at 100.
C. Permissible Departure Factors
In response to the perception that sentencing courts meted out unjustifiably
disparate sentences to similarly situated offenders, Congress passed the
Sentencing Reform Act of 1984 and created the United States Sentencing
Commission (the “Commission”). See id. at 92. The Commission was charged
with “developing a comprehensive set of sentencing guidelines.” Id. The
Commission formulated a set of guidelines commonly known as the United States
Sentencing Guidelines (the “Sentencing Guidelines”) 2. See id. The sentencing
court must now “impose on a defendant a sentence falling within the range of the
applicable Guideline if the case is an ordinary one.” Id.
Although a court no longer has unfettered discretion when sentencing an
offender, it may depart from the applicable Sentencing Guideline range in certain
circumstances. See id. Sentencing courts are authorized “to depart in cases that
feature aggravating or mitigating circumstances of a kind or degree not
adequately taken into consideration by the Commission.” Id. at 94. Thus, the
sentencing court can depart from the Sentencing Guidelines if it finds the
2
Fagan was sentenced under the 1997 edition of the United States
Sentencing Commission's Guidelines Manual. All references herein are to that
edition.
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presence of a factor that makes the case atypical. Id. Some factors, however, can
never be used as a basis for a departure. 3 See id. at 93.
Unless specifically prohibited by the Sentencing Guidelines, any factor may
be considered as a potential basis for departure. See id. 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. If the answer to the question is no
-- as it will be most of the time -- the sentencing court must determine whether
the factor, as occurring in the particular circumstances, takes the case outside the
heartland of the applicable Guideline.” Id. Because remorse is not one of the
factors specifically forbidden by the Sentencing Guidelines, it may be a
permissible departure factor in certain circumstances. See United States v.
Jaroszenko, 92 F.3d 486, 490-91 (7th Cir. 1996) (holding that a sentencing court
has the discretion to consider remorse as a factor supporting a downward
departure).
3
“The forbidden factors are race, sex, national origin, creed, religion, and
socioeconomic status, § 5H1.10; lack of guidance as a youth, § 5H1.12; drug or
alcohol dependence, § 5H1.4; and economic duress, § 5K2.12.” United States v.
Collins, 122 F.3d 1297, 1301 n.3 (10th Cir. 1997).
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D. Remorse as a Factor Meriting a Downward Departure
Factors which may merit a departure are either encouraged, discouraged, or
not mentioned in the Sentencing Guidelines. See id. at 95-96. The Supreme
Court in Koon discussed the process by which the non-forbidden factors should be
evaluated when making a departure decision:
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.
Koon, 518 U.S. at 96 (citations omitted).
In this case, Fagan’s base offense level was decreased by three levels
because he accepted responsibility for his offenses 4. The government argues that
4
Section 3E1.1(a) of the Sentencing Guidelines allows for an offender’s
offense level to be decreased by two levels if “the defendant clearly demonstrates
acceptance of responsibility for the offense.” U.S. Sentencing Guidelines Manual
§ 3E1.1(a) (1997). If the defendant’s base offense level was calculated at level
sixteen or greater, § 3E.1.1(b) of the Sentencing Guidelines authorizes the
sentencing court to decrease the offense level by one additional level if the
defendant has met the additional requirements set forth in § 3E1.1(b). See id. §
3.E1.1(b).
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even if remorse is a permissible factor, Fagan is not entitled to an additional
downward departure because remorse is an element of acceptance of
responsibility. Several circuits have specifically held that a moral element is
implicit in acceptance of responsibility and is satisfied by the defendant’s
expression of contrition and remorse. See, e.g., United States v. Bonnano, 146
F.3d 502, 513 (7th Cir. 1998) (affirming district court’s decision not to grant a
downward adjustment for acceptance of responsibility because defendant had not
expressed remorse); United States v. Gallant, 136 F.3d 1246, 1248 (9th Cir.),
cert. denied, 118 S.Ct. 2387 (1998) (same); United States v. Dyce, 91 F.3d 1462,
1469-70 (D.C. Cir. 1996) (holding that the Commission contemplated a moral
element to acceptance of responsibility which is satisfied if the offender exhibits
remorse); United States v. Defeo, 36 F.3d 272, 277 (2d Cir.1994) (holding that a
sentencing court may deny the reduction for acceptance of responsibility when the
offender’s continued criminal conduct indicates “a lack of sincere remorse”);
United States v. Brewer, 899 F.2d 503, 509 (6th Cir. 1990) (holding remorse is an
element of acceptance of responsibility); see also Michael M. O'Hear, Remorse,
Cooperation, and “Acceptance of Responsibility”: The Structure,
Implementation, and Reform of Section 3E1.1 of the Federal Sentencing
Guidelines, 91 Nw. U.L. Rev. 1507, 1523-24 (1997).
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The commentary to Section 3E1.1 of the Sentencing Guidelines also
indicates the Commission intended remorse to be a component of acceptance of
responsibility. See U.S. Sentencing Guidelines Manual § 3E1.1 cmt. 2 (1997)
(“This adjustment is not intended to apply to a defendant who puts the
government to its burden of proof at trial by denying the essential factual
elements of guilt, is convicted, and only then admits guilt and expresses remorse.”
(emphasis added)). This court has also intimated that remorse is a component of
acceptance of responsibility. See, e.g., Spedlieri, 910 F.2d at 712 (adumbrating
that “contrition” is necessary to receive a downward departure for acceptance of
responsibility).
We find the reasoning of these cases persuasive and hold that remorse is a
factor taken into account by the Sentencing Guidelines under acceptance of
responsibility. If a factor is already taken into account by the Sentencing
Guidelines, it is a permissible factor for departure if it is present to some
exceptional degree. See United States v. Collins, 122 F.3d 1297, 1303 (10th Cir.
1997); cf. United States v. Carter, 122 F.3d 469, 475-76 (7th Cir. 1997) (finding
no error in district court’s ruling that, although defendant’s remorse had been
recognized when his sentence was reduced for acceptance of responsibility, it
could have departed further if it had found his remorse to be exceptional).
Because remorse is not a prohibited factor, but a factor already considered in the
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Sentencing Guidelines, a sentencing court may depart downward if it finds that
remorse is present to an exceptional degree.
III. CONCLUSION
The district court erred as a matter of law when it concluded that it did not
have discretion to consider remorse as a permissible factor that may warrant a
downward departure in Fagan’s sentence. Because a district court abuses it’s
discretion when it makes an error or law, this court holds that the district court
abused its discretion when it failed to consider Fagan’s remorse as a possible
basis for a downward departure. Accordingly, we REVERSE and REMAND to
the district court for a determination, consistent with this opinion, as to whether
the remorse exhibited by Fagan in this case warrants a downward departure from
the Sentencing Guidelines.
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