Professional Documents
Culture Documents
_________________________
No. 92-1619
UNITED STATES OF AMERICA,
Appellee,
v.
CHARLES E. EMERY,
Defendant, Appellant.
_________________________
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF MAINE
[Hon. Morton A. Brody, U.S. District Judge]
___________________
__________________________
Before
Selya, Circuit Judge,
_____________
Friedman,* Senior Circuit Judge,
____________________
and Cyr, Circuit Judge.
_____________
__________________________
________________
*Of the Federal Circuit, sitting by designation.
basis
for
enhancing
obstruction-of-justice
defendant's sentence
guideline,
U.S.S.G.
3C1.1;
under
the
and
(2)
the guideline
(GSR).
upward departure
Finding
both the
BACKGROUND
BACKGROUND
Defendant-appellant
Schmoock
the
Charles
state
penitentiary
in
E.
Emery
met
Thomas H.
Thomaston, Maine.
Appellant
was
released in late April of 1991 and Schmoock went free a few weeks
later.
On May
28, 1991,
the
pair began
executing a
complex
check-kiting scheme.
In the scheme's preliminary
posed
as
an agent
of the
solicited information
Mitchell.
copy
of
Internal
from an
(IRS) and
Thomas E.
birth
certificate to obtain a
certificate;
they
used
the
birth
but Emery's photograph; and they used the license to open several
____________________
checking accounts
in Mitchell's name at
amounts among
Fortunately,
1991, officers
both
men.
jail,
They promptly
Mitchell accounts.
the scent.
On June 6,
attempted to
escape from
the county
check-kiting swindle.
Although no
this
point, one
federal
charges.
bank
grand
followed
jury
shortly.
indicted
On
appellant
been mounted to
November 21,
on
1991,
gallimaufry
of
fraud.
See 18 U.S.C.
___
912,
At sentencing, the court set the base offense level (BOL) at six,
see U.S.S.G.
___
it seven levels
2F1.1(b)(1)(H) (providing
involves
$120,000 or
more
for a
seven-level
but less
see U.S.S.G.
___
increase if
than $200,000),
fraud
added two
levels because the crime required more than minimal planning, see
___
____________________
2J1.4,
level in
it became irrelevant
this
multiple-count
2J1.4(c)(1).
3
U.S.S.G.
2F1.1(b)(2)(A), added
U.S.S.G.
3E1.1.
levels for
Appellant's
the
defendant's
measured
the adjusted
criminal history
category (CHC).
The
CHC is
from I (for a person with fewer than two criminal history points)
to VI (for a person with thirteen points or more).
See U.S.S.G.
___
Ch.5, Pt.A
an extensive
(sentencing table).
Appellant sported
recently,
some less
serious
peccadillos.
His
score of
twenty
criminal
history
points surpassed
fifty- one
Abjuring
months.
See
___
a sentence within
the
thirteen points
level
15; CHC
VI).
In this appeal, appellant bemoans both the obstructionof-justice enhancement and the upward departure.
We address each
lamentation in turn.
II.
II.
OBSTRUCTION OF JUSTICE
OBSTRUCTION OF JUSTICE
district
court
found
an
obstruction
attempt to
of
justice
the
custody
but,
instead,
posits
that
conduct
otherwise
sufficient
to
an attempted escape
The government
seeks to rebut
in three ways.
this theorem
lawful authority
point,
obstruction-of-justice
It
below acted
the enhancement.
We
Mootness.
Mootness.
_________
renders the
obstruction-of-justice adjustment
moot.
to forty-one months.
See U.S.S.G.
___
When
of the
at
(1st Cir.
depart
to be considered in judging
not,
concerning the
as
Accordingly, we rule
a
general
that a
rule, render
appropriateness of the
decision to
moot
questions
calculations underbracing
of the GSR.
See
___
v. Mondaine, 956
________
district court's
moot
the departure's
does
GSR
United States
_____________
(holding that a
to protest it in
this
appeal.5
B.
B.
We
turn now
to
The Enhancement.
The Enhancement.
________________
the enhancement
itself.
We
do
so
raises a pure
question of law,
appellate review is
Cir. 1992); United States v. Bell, 953 F.2d 6, 7 (1st Cir. 1992).
_____________
____
We begin
It requires
sentencing courts to
jack up a
defendant's offense
____________________
level
if
"the defendant
attempted to
during
the
instant
obstruct or
willfully
or impeded,
investigation,
offense."
obstructed
prosecution,
U.S.S.G.
3C1.1.
or
of justice
or sentencing
The commentary
of
the
to the
of obstructive or impeding
conduct.
(n.3(e)).
v. Amos,
____
U.S.S.G.
3C1.1, comment.
See
___
United States
_____________
The
slightly
more
difficult
task
is defining
when
conduct
the
. of
instant
suspect's conduct,
offense."
no matter
non-existent investigation,
probe
has
begun,
guideline's
there
reach.
This
Appellant
theorizes
can
be
argument
therefore, if
no
obstruction
has
a certain
that
obstruct a
no federal
within
the
superficial
between
the obstruction
affected
defendant is
and
to
the federal
crime
be sentenced.
See
___
for which
the
generally United
_________ ______
the
Doing so
here
strongly
be
suggests
read in
that
the
In the first
common-sense way.
provision
may
be
triggered
if, notwithstanding
the
lack of
an ongoing
federal
investigation,
there
is
close
connection
between
connection
is
skin
tight:
the
In this case,
behavior
using
the
underlying
false documents to
claim
district court
sought to
would
to
is the
sentenced
avoid the
him.
Since appellant
consequences of
his felonious
willfully
conduct, it
engineer
his
attempted
escape
just
before
the
federal
would
likely
guidelines world.
have
weighed
against
him in
the
pre-
as
or
courts typically
Guidelines'
omitted);
is the sort
of conduct "that
enactment") (citation
see also United States
___ ____ _____________
and internal
v. Wise, 976
____
prior to the
quotation marks
role
guidelines.
910
(1st Cir.
in
resolving
interpretive questions
(acknowledging that
under
the
adjustment provisions
represent the
to
real,
rather
Commission's
than
charged,
recognition
of
conduct,
the
tie punishment
and
indicate
"desirability
of
to
assume that
Sentencing
emulating
We think this
the
there is no
Commission intended
to
action.
obstructive
conduct
investigation but
probe can form the
See United States
___ _____________
cert. denied,
_____ ______
have
The
Ninth
Circuit
engaged
in
prior to the
has
held
during
an
squarely that
ongoing
formal initiation
of a
apparently
adopted
(1991).
this
view
sub
___
section 3C1.1.
or
local
indagation was
underway
silentio,
________
at
Cir.),
of other courts
federal
1082-83 (9th
A number
state
the
upholding
that only a
time of
the
enhancement-producing event.
923 F.2d
reach today.
It refers to
attempting
obstructing
comment.
"an
official
(n.3), without
federal officers,
_______
investigation,"
any
limitation
U.S.S.G.
to federal
_______
terms is
(1st Cir.
3C1.1,
telltale, indicating
1992) (discussing
degree
custody,
We think
of generic,
how
section
of deference
due to
Sentencing
Commission's view
denied,
S.
______ ___
212, 219
Ct.
___
of a
guideline provision),
commentary
"are
cert.
_____
important
interpretive
aids,
entitled
to
considerable respect").
unlawful attempt
[makes] an
threatening
to
defendant who
society and
does not
United States v.
______________
to avoid responsibility
less deserving
so defy" the
Dunnigan, 113 S.
________
of leniency
criminal justice
Ct. 1111, 1118
is more
than a
process.
(1993).
The
fleeing
state
rather
than
federal
custody,
nor
is
the
defendant's claim
Thus,
with
consistent
Sentencing
Commission's
the
Dunnigan
________
discernible
Court's
intent,
rationale,
a
the
traditionalist
10
a federal investigation
_______
is
not an
absolute bar
enhancement.6
The
to
instant
the imposition
case falls
of a
section 3C1.1
comfortably within
the
upward
second arrow
departure.
We
tripartite framework
in
appellant's quiver
examine
such
departures
targets
the
within
the
874 F.2d 43, 49-50 (1st Cir.), cert. denied, 493 U.S. 862 (1989).
_____ ______
We
the
justify
determine
departure; we
whether these
actually exist in
the
are,
as
then
legal matter,
apply
to
clear-error oversight
to
circumstances, if
direction and
sufficient
degree of
conceptually proper,
and, finally, we
the departure
review
for reasonableness.
See id. at 49; see also United States v. Trinidad-Lopez, 979 F.2d
___ ___
___ ____ _____________
______________
249, 252 (1st Cir. 1992); Unite States v. Brown, 899 F.2d 94, 96____________
_____
97 (1st Cir. 1990).
Explicitly conceding that the
test
are
satisfied
____________________
here,
appellant
the
departure's
6We are aware that one court has held that an obstructionof-justice adjustment may lie even if no investigation
federal,
state, or local
is in progress. See United States v. Barry,
___ ______________
_____
938 F.2d 1327, 1334-35 (D.C. Cir. 1991). Although we need not
reach this question, we view Barry's continued vitality with some
_____
skepticism.
For one thing, amendments to the commentary have
deleted much of the language relied upon by the Barry court. See
_____
___
U.S.S.G. App. C at amend. 347.
For another thing, the text of
the obstruction section, on its face, seems to require that some
investigation be underway. See U.S.S.G.
3C1.1; see also United
___
___ ____ ______
States v Kirkland, 985 F.2d 535, 537-38 (11th Cir. 1993); United
______
________
______
States v. Luna, 909 F.2d 119, 120 (5th Cir. 1990) (per curiam).
______
____
11
magnitude.
He
sufficiently
contends
that
the
district
court
failed
sentence imposed
is beyond the
bounds of
reasonableness.
His
A.
A.
It is
statement of the
true
Stating Reasons.
Stating Reasons.
________________
that a
sentencing
court must
provide
See 18 U.S.C.
___
honored
the
3553(c) (1988).
statutory
imperative,
departure.
likelihood
recidivism,7
several
of
points, yet,
what was
record
year
three
specific
appellant's
he had received
record
included
no criminal history
imposed as
different
furnishing
court
occasions.
sentences of
result of
(3) appellant's
substantially more
independent
than one
crimes committed
on
____________________
of
F.2d 64, 70
(1st Cir.
the departure
equation.9
F.2d at
guise of procedural
flatly
United States v.
_____________
See
___
reject so
auxetic
us
be perfectly
clear.
Under the
guidelines,
____________________
course,
we
speak
in terms
F.2d at
of
unguided departures.
________
appellant was sentenced,
an upward departure based
in CHC VI. See Aymelek,
___ _______
336 n.4.
The operative
upward departures
the
decisionmaking
(observing
that
process.
See
___
sentencing
court
burden to explicate
Aymelek,
_______
926
must
clearly
F.2d
But when
at
70
articulate
statement constitutes
appellate
tribunal
departure's
attempt
departure
extent,
can
adequate summary
gauge
it has
no
the
from which
reasonableness
obligation
to
an
of
the
go further
and
an
wisdom of
See
___
id.
___
(ruling
that, in
reference
to
resort at all
at 51-52
(questioning
departure decisions
to become
counting").10
sentencing
grounds
for
Here,
departing
the
permit
us
court's
adequately
to
articulated
assess
the
reasonableness of the
See
___
Williams
________
(stating
departure sentence.
that in
S.
No more
is exigible.
Ct. 1112,
1121 (1992)
of a
departure, a
____________________
in
light of
the grounds
for
departing" and
of the
to the
purposes of sentencing).
B.
B.
We move
now to
Reasonableness.
Reasonableness.
_______________
a consideration of
the reasonableness
___ ___
appellant's
sentence
approximately
41%
seriousness of
which
his
over
twenty-one
the
GSR's ceiling.
criminal history
score
cannot
departure is unreasonable.
as
representing a
exceeded
recidivism, we
(upholding
an
increase
Considering
133% increase
the
twelve-month
over the
upward departure
the
the extent to
that required
magnitude of
reasonable
of
for
say that
months,
membership in CHC
likely
by
GSR's
upward
this
at 96-97
departure
ceiling);
Diaz_____
as reasonable an eighty-
representing a 264%
increase over
the GSR's top end); see also Ocasio, 914 F.2d at 337 (identifying
___ ____ ______
factors to be considered in reasonableness review).
Appellant's
contention
unreasonably because
the
court
below
acted
that
his previous
declining
utterly unconvincing.
The court
explicitly
responded
15
to this
in his
exhortation,
stating:
the seriousness
of the criminal
the
district
considerations.
court
is clearly
did
not
consider
at 337.
countervailing
focused on the grounds for mitigation but chose not to attach the
weight
to
them
considered
should
that
appellant
weighing is
not
obviously
just the
ordinarily
be
sort
preferred.
of "judgment
disturbed
in
the
This
call" that
course
of
as
now, the
appellate court
ostensibly
aggrieved
no solid reason
party has
to question
given
the trial
the
judge's
need
the
go
no
sentence
further.
with
defense
counsel's
below
plainly
recital
of
a twenty-one
of those circumstances
Affirmed.
Affirmed.
_________
The court
but that,
nevertheless, came
16