United States v. Spiers

Opinions of the United
1996 Decisions States Court of Appeals
for the Third Circuit
5-2-1996
USA v. Spiers
Precedential or Non-Precedential:
Docket 95-5335,95-5336
Follow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_1996
Recommended Citation
"USA v. Spiers" (1996). 1996 Decisions. Paper 166.
http://digitalcommons.law.villanova.edu/thirdcircuit_1996/166
This decision is brought to you for free and open access by the Opinions of the United States Court of Appeals for the Third Circuit at Villanova
University School of Law Digital Repository. It has been accepted for inclusion in 1996 Decisions by an authorized administrator of Villanova
University School of Law Digital Repository. For more information, please contact Benjamin.Carlson@law.villanova.edu.
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT
___________
Nos. 95-5335 and 95-5336
___________
UNITED STATES OF AMERICA
vs.
PAUL JEROME SPIERS
Appellant.
___________
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF NEW JERSEY
(D.C. Criminal No. 93-cr-00400-01)
___________
ARGUED DECEMBER 13, 1995
BEFORE: ROTH, LEWIS and McKEE, Circuit Judges.
(Filed May 2, l996)
___________
Thomas S. Higgins (ARGUED)
Office of Federal Public Defender
972 Broad Street
Newark, NJ 07102
Attorney for Appellant
1
Kevin McNulty
Henry E. Klingeman (ARGUED)
Office of United States Attorney
970 Broad Street
Room 502
Newark, NJ 07102
Attorney for Appellee
___________
OPINION OF THE COURT
___________
LEWIS, Circuit Judge.
This appeal calls upon us to clarify our recent holding
in United States v. Holifield, 53 F.3d 11 (3d Cir. 1995), in
which we addressed the question of a district court's discretion
to impose a concurrent or consecutive sentence under section
5G1.3(c) of the United States Sentencing Guidelines. In
Holifield, we held that "although the district court must
calculate the `reasonable incremental punishment' according to
the [sentencing guidelines'] methodology, it need not impose that
penalty. Id. at 16-17. Today, we reaffirm that a district court
must determine the Guidelines' suggested "reasonable incremental
punishment" according to the commentary's methodology. The
imposition of the commentary's suggested penalty, however,
remains within the district court's discretion. We further hold
that, a court may impose a different penalty or employ a
different method for determining what constitutes a reasonable
incremental punishment as long as it indicates its reasons for
imposing the penalty in such a way as to allow us to see that it
2
has considered the methodology. In this case, the district court
performed the calculations necessary to determine the Guideline's
suggested penalty and provided sufficient reasons for imposing a
different penalty. The order of the district court, therefore,
will be affirmed.
I.
The facts of this case are undisputed. From 1988 until
his arrest in 1991, Paul Spiers embarked upon a veritable one man
crime spree through three states.
The offenses at issue began in New Jersey on August 10,
1988, when Spiers approached a teller at a branch of First
Fidelity Bank in Newark, New Jersey. Spiers handed the teller a
note that read, "Hand me your $100. $50. $20 or your gonna die!
right where you stand [sic] Try anything unordinary and your
gonna see a real blood bath but you'll be First." (Presentence
Report ¶ 10) ("PSR") (emphasis in original). Spiers then told
the teller that she would die if she did not follow his
instructions. The teller obeyed and Spiers left the bank with a
total of $6,800. On May 25, 1989, Spiers entered a Hudson City
Savings Bank branch, also in Newark, New Jersey. This time he
included a small bullet with the note he slipped the teller. The
note read "[p]ass me all your $50 or I am gonna shoot everyone
here quick." (PSR ¶ 23). Spiers walked away from this robbery
with $1,163.
Spiers then made his way to Pennsylvania, where he
robbed the Dauphin Deposit Bank in Harrisburg. This robbery
began on the evening of May 2, 1991, when Spiers tested the
3
bank's perimeter security system. When there was no response, he
broke a window, entered the bank and laid in wait until morning.
When the first employee entered, Spiers put a gun to her head and
commanded her to open the bank's vault. When she said that she
was unable, he made her sit at a desk while training his gun upon
her. He then told her that "[i]f you make a move you can forget
it cause I will kill you." (PSR ¶ 13). While they waited for
other employees to arrive, Spiers questioned her about the bank's
alarm system and the contents of the vault.
After the second employee arrived, Spiers grabbed her
from behind and placed both employees in the bank's ladies room.
The second employee informed him that the alarm would be shut off
at 7:30 a.m. (PSR ¶ 14). A third employee arrived, and Spiers
placed him in the ladies room with the others as well. When the
fourth employee entered and Spiers confronted her, she screamed.
Spiers then asked her when the vault would be open; she answered
that it would be open at 7:40 a.m. Since this was inconsistent
with the other employee's answer (7:30 a.m.), Spiers stated "I
guess we're going to have to play Russian Roulette." (PSR ¶ 16).
He then proceeded to hold his gun to the back of each employee's
head asking them when the vault would be open. They all
responded 7:30 a.m.
When 7:30 a.m. arrived, Spiers had the employees shut
off the alarm, open the vault, and fill two bags with the money
from the vault. After the bags were filled, he forced the
employees into a small bathroom. When a fifth employee entered,
he forced her into the bathroom as well. Spiers then blocked the
4
door and sprayed the room with mace. Spiers left the bank with a
total of $225,550.
A few months later, October 2, 1991, Spiers was found
ransacking a room at the Masters Inn in Little Rock, Arkansas.
Spiers had signed-in under the name "Keith Whitfield." When a
desk clerk asked him to leave, Spiers became angry and began
arguing with the clerk. The security officer, an off-duty police
officer, arrived and identified himself. The officer then
ordered Spiers to "put [his] hands up." In response, Spiers
brandished a 9mm semi-automatic pistol. (PSR Addendum II ¶ 2A).
During the ensuing struggle, Spiers pointed the gun at the clerk
as well. When Spiers eventually overpowered the officer, he
cocked the gun and placed it to the officer's chest telling him
to back up or he would shoot. (PSR Addendum II ¶ 2A). After
demanding the officer's gun, he fled. Later that day, the police
found an abandoned 1983 Oldsmobile in a local park. A search of
the car uncovered a 9mm semi-automatic pistol, crack cocaine, and
a wallet with identification in the name of Keith Whitfield.
One month later, Arkansas police spotted Spiers driving
a 1990 Chevrolet that matched the description of a car stolen in
Little Rock. When they attempted to stop Spiers, a chase ensued.
During the chase, Spiers pulled of the road to hide in an
equipment shed. When police officers attempted to block his
exit, Spiers rammed the police officers' vehicle. The officers
then ordered him to desist and surrender. Spiers once again
rammed their vehicle. The officers then disabled Spiers' vehicle
by firing into the tires, and Spiers surrendered. During his
5
arrest, Spiers identified himself as Keith Whitfield. (PSR
Addendum II ¶ 2B).
While being transported from a county jail to a local
hospital for a medical evaluation and treatment, Spiers attempted
an escape. Spiers overpowered his custodial officer in the
hallway of the medical facility, and took her service revolver.
He then pointed the gun at her demanding the keys to her police
car. When she attempted to stall for time, Spiers fired a shot
above her head. He then searched her and found the keys to his
ankle cuffs. Spiers then ordered her to give him her gun belt,
radio, and raincoat, and the officer complied. (PSR Addendum II
¶ 3A).
Fleeing from the hospital, Spiers encountered a man and
woman getting out of a 1967 Ford. Using the officer's gun,
Spiers stole their vehicle and sped away. He eventually crashed
the car and fled on foot. (PSR Addendum II ¶ 3B). Spiers then
broke into a two-story brick house where he held the occupants of
the house, a husband and wife, hostage. Using the stolen police
radio, Spiers told the police that he was actually holding four
hostages, and demanded that he be able to speak to a Linda
Jackson and a Gerald McNair. (PSR Addendum II ¶ 3C). After
approximately three hours, Spiers surrendered.
Spiers was subsequently convicted in Arkansas of
battery, robbery, escape, theft of property (two counts),
burglary, and kidnapping. (PSR ¶ 63). He was sentenced to
prison for fifty years. (PSR ¶ 66). Under this sentence, the
6
first day Spiers would be eligible for parole is February 1,
2004.
On August 3, 1993, Spiers was indicted in the District
of New Jersey on two counts of bank robbery (18 U.S.C. § 2113)
for the robberies of First Fidelity and Hudson City Savings Bank.
Spiers was then indicted in the Middle District of Pennsylvania
on one count of bank robbery (18 U.S.C. § 2113) for the robbery
of the Dauphin Deposit Bank. The Pennsylvania indictment was
later transferred to New Jersey.
Spiers pleaded guilty to Count One of the New Jersey
indictment and Count One of the Pennsylvania indictment. (PSR
¶ 5). Pursuant to the plea agreement, the district court
dismissed all other counts.
Spiers' sentencing hearing was adjourned twice to allow
the parties and the probation office to submit memoranda on the
application of U.S.S.G. § 5G1.3. App. at 37-46, 62-84. After
hearing argument, the court initially determined that the
sentencing range for the federal crimes alone was 97 to 121
months. The court concluded that pursuant to section 5G1.3, if
it were to treat the Arkansas offenses as federal offenses and
group them with the federal crimes, the total punishment range
under the guideline for both the state and federal offenses would
be 135 to 168 months. The court then declined to impose the
sentencing guidelines' suggested penalty because the "interests
of justice would not be served by following the methodology
suggested by the hypothetical guideline range." App. at 154-55.
The court found that the calculated range was "permeated with
7
questionable variables . . . ." App. at 137. There were many
factors, such as victim impact information and whether Spiers
recklessly created substantial risks of death to his victims,
which might increase a hypothetical federal sentence. Moreover,
Spiers' crimes and behavior were "shocking;" and "[s]ociety
deserves to be protected against the behavior that [Spiers]
engaged in." App. at 156. Consequently, the court found that
Spiers did not "deserve" a concurrent sentence, and ordered him
to serve a 110-month federal sentence to run consecutively from
the completion of his Arkansas state sentence. App. at 157. This
appeal followed.
II.
The district court had jurisdiction over this matter
pursuant to 18 U.S.C. § 3231. We have jurisdiction pursuant to
18 U.S.C. § 3742 and 28 U.S.C. § 1291. Although our review of
the construction of the Sentencing Guidelines is plenary,
Holifield, 53 F.3d at 13, a district court's decision to impose a
consecutive or concurrent sentence is reviewed for abuse of
discretion. United States v. Nottingham, 898 F.2d 390, 393 (3d
Cir. 1993).
8
III.
In United States v. Holifield, we stated the under 18
U.S.C. § 3584,1 a sentencing court has the discretion to order a
defendant's sentence to run either concurrently or consecutively
to another undischarged term of imprisonment. 53 F.3d at 13.
This discretion, however, is "subject to section 5G1.3 of the
United States Sentencing Guidelines," id., including the policy
statements and commentary contained in the guidelines which are
binding on the federal courts. See, e.g., Stinson v. United
States, 113 S. Ct. 1913, 1919 (1993) (commentary "must be given
`controlling weight unless . . . plainly erroneous or
inconsistent'" with the guidelines); Williams v. United States,
503 U.S. 193, 201 (1992) (policy statements serve as "an
authoritative guide to the meaning of the applicable Guideline").
Section 5G1.3(c) requires that a defendant's sentence
shall be imposed to run consecutively with an undischarged state
sentence "to the extent necessary to achieve a reasonable
incremental punishment for the instant offense." U.S.S.G.
§ 5G1.3(c) (1994). According to the commentary:
In some circumstances, such incremental
punishment can be achieved by the imposition
of a sentence that is concurrent with the
remainder of the unexpired term of
imprisonment. In such cases, a consecutive
sentence is not required. To the extent
1
18 U.S.C. § 3584(a) provides:
If multiple terms of imprisonment are
imposed on a defendant at the same time, or
if a term of imprisonment is imposed on a
defendant who is already subject to an
undischarged term of imprisonment, the terms
may run concurrently or consecutively . . .
9
practicable, the court should consider a
reasonable incremental penalty to be a
sentence for the instant offense that results
in a combined sentence of imprisonment that
approximates the total punishment that would
have been imposed under § 5G1.2 (Sentencing
on Multiple Counts of Conviction) had all of
the offenses been federal offenses for which
sentences were being imposed at the same
time. It is recognized that this
determination will require an approximation.
U.S.S.G. § 5G1.3 (commentary) (1994) (emphasis added).2 The
commentary itself describes this methodology simply as a means
"to assist the court in determining the appropriate
sentence. . . . Generally, the court may achieve an appropriate
sentence through its determination of an appropriate point within
the applicable guideline range for the instant federal offense
combined with its determination of whether that sentence will run
concurrently or consecutively to the undischarged term of
imprisonment." Id.
In Holifield, we held that while a district court must
calculate the "reasonable incremental punishment" according to
2
A question as to which version of the Guidelines -- 1990 or
1994 -- applied was raised before the district court. In
sentencing Spiers, the district court followed the 1994 version
and our interpretation of that version in Holifield. The
language used in the 1990 version of § 5G1.3 is even more
permissive than the language found in the 1994 version. The
commentary provided that "[t]he court may consider imposing a
sentence for the instant offense that results in a combined
sentence that approximate the total punishment that would have
been imposed under § 5G1.2 (Sentencing on Multiple Counts of
Conviction) had all of the offenses been federal offenses for
which sentences were being imposed at the same time." U.S.S.G.
§ 5G1.3 (commentary) (1990). See United States v. Redman, 35
F.3d 437, 440-441 (9th Cir. 1994) (discussing the history and
evolution of § 5G1.3). Since the district court's discretion is
even greater under the 1990 version of the Guidelines, even if
the use of the 1994 version of the Guidelines might have
constituted error, such error would have been harmless.
10
the commentary's methodology, the imposition of that penalty, is
within the district court's discretion. 53 F.3d at 16.
("although the district court must calculate the `reasonable
incremental punishment' according to the methodology, it need not
impose that penalty."). If the court imposes a different penalty
or employs a different method for calculating the penalty, it
must indicate its reasons for not employing the commentary
methodology. Id. at 16-17 ("the court may employ a different
method in determining the sentence as long as it indicates its
reasons for not employing the commentary method."). As a result,
when determining whether a defendant's sentence is to be
consecutive or concurrent a district court must calculate section
5G1.3's suggested penalty according to the Guidelines'
methodology, and if it abandons that methodology and penalty, the
court must state its reasons "in such a way as to allow us to see
that it has considered the methodology." Id. at 16 (quoting
United States v. Redman, 35 F.3d at 441). We, therefore,
recognized that the commentary's suggested penalty is not the
exclusive or authoritative definition of what constitutes a
reasonable incremental punishment, but merely an example that the
district court must consider.
The majority of the circuits that have addressed this
issue have also concluded that while a district court must
consider the Guidelines' methodology, it need not follow it as
long as it states its reasons for not doing so. See, e.g.,
United States v. Hernandez, 64 F.3d 179, 183 (5th Cir. 1995) ("If
the district court chooses not to follow the methodology, it must
11
explain why the calculated sentence would be impracticable in
that case or the reasons for using an alternate method."); United
States v. Wiley-Dunaway, 40 F.3d 67, 72 (4th Cir. 1994)
(remanding so the district court could "consider" § 5G1.3(c), but
noting that the court "retains the right to depart from" the
methodology); Redman, 35 F.3d at 441 ("True, the court must
attempt to calculate the reasonable incremental punishment that
would be imposed under the commentary methodology. If that
calculation is not possible or if the court finds that there is a
reason not to impose the suggested penalty, it may use another
method to determine what sentence it will impose."). As the
Second Circuit has stated, "[i]n sum, § 5G1.3(c) does not limit
the district court's ultimate discretion under 18 U.S.C. § 3584to impose concurrent or consecutive sentences. It instead
requires consideration of the basic principle that a consecutive
sentence should be imposed to the extent that it will result in a
reasonable incremental penalty and consideration of the
Commission's preferred methodology for calculating such a
penalty." United States v. Whiteley, 54 F.3d 85, 90 (2d Cir.
1995).3 We have joined the majority of circuits that leave the
ultimate imposition of a concurrent or consecutive sentence to
the sound discretion of the district court.
3
The Second Circuit does not require the court to "employ
the [commentary's] multi-count analysis approach or explain why
it chose an alternative approach," provided the district court
expressly considers § 5G1.3. United States v. Lagatta, 50 F.3d
125, 128 (2d Cir. 1995).
12
The Eighth Circuit is the only circuit to reach a
different result. That court has held that if a methodology
other than the one set forth in the commentary is used, the
district court must conduct a departure analysis under the
Sentencing Guidelines. See United States v. Duranseau, 26 F.3d
804, 810-11 (8th Cir. 1994); United States v. Brewer, 23 F.3d
1317, 1321-22 (8th Cir. 1994). However, as the Ninth Circuit
noted in Redman, 35 F.3d at 442, the doctrinal basis for that
decision is the Eighth Circuit's decision in United States v.
Gullickson, 981 F.2d 344, 346-48 (8th Cir. 1992), which was based
upon the 1991 version of the Guidelines in which the methodology
was mandatory. The subsequent Eighth Circuit cases which have
interpreted section 5G1.3(c) as imposing greater limits on a
district court's discretion fail to take into account that both
before and after the 1991 version of section 5G1.3(c), the
commentary's methodology was and is permissive. We, therefore,
reject the conclusion that section 5G1.3(c) requires a district
court to conduct a departure analysis if it chooses to impose a
penalty other than the penalty suggested by the commentary's
methodology.
Our decision in Holifield is particularly instructive
in this case. The defendant in Holifield had served 17 months
out of a 21-month state sentence. The district court concluded
that for the federal offense, the Sentencing Guidelines required
a sentencing range of 15 to 21 months. The court then
determined, pursuant to section 5G1.3, that under U.S.S.G.
§ 5G1.2 the total sentence for the combined state and federal
13
offenses would have been 24 months. The defendant argued that
because the combined offense range was 24 months, section 5G1.3
required the court to sentence him to either a 7-month concurrent
term or a 3-month consecutive sentence. The district court
disagreed. The court concluded that because the minimum sentence
for the federal offense was 15 months, it "could have gone no
lower except had I departed and, in fact, I see no circumstances
that would have warranted departure nor have any been set forth."
Holifield, 53 F.3d at 16. We affirmed, noting that "[a]lthough
the defendant did not receive a `combined sentence of
imprisonment that approximates the total punishment that would
have been imposed under § 5G1.2,' such a sentence could not have
been imposed here without a departure from the guidelines. As we
have noted, such a departure is not required under § 5G1.3." Id.
We concluded that even if the court had considered but
rejected the application of the methodology, "we would reach the
same result" because it listed sufficient reasons for imposing a
different penalty. Id. at 16-17. First, the court "went through
the methodology step-by-step." Id. at 17. Second, the court
listed several factors that "warranted a more severe sentence,"
including: that the defendant's prior offense had not been fully
taken into account in determining the offense level for the
instant offense; that most of the victims were elderly and the
financial hardship caused by the defendant was probably
"irremediable;" and that the defendant's conduct was "`parasitic
and outrageous' and he had not shown any remorse for his
actions." Id. We thus concluded that "although the district
14
court properly followed the § 5G1.3 methodology, we believe it
also listed more than sufficient reasons for departing from that
methodology if it had chosen to do so." Id.
A.
Spiers does not explicitly question this interpretation
of Section 5G1.3.4 Instead, Spiers argues that the reasons
offered by the district court when it rejected the suggested
penalty are inadequate. We disagree.
In this case, the district court clearly employed the
commentary's multi-count analysis. App. at 125-139. After
employing the methodology, the district court decided not to
impose the suggested penalty. In doing so, the court stated that
"I have found that the interest of justice would not be served by
following the methodology suggested by the hypothetical guideline
range[]," App. 154-55; instead, the court concluded, a sentence
of 110 months to run consecutively from the completion of the
Arkansas state sentence was a reasonable incremental punishment
for Spiers' federal crimes. App. at 157. Initially, the court
expressed some concern that "many unknown variables continue to
4
Rather, counsel for Spiers implicitly challenges our
conclusion in Holifield that the decision to impose a consecutive
or concurrent sentence remains within a district court's
discretion. At oral argument, Spiers suggested that the
commentary's methodology was the only means for determining what
constituted a reasonable incremental punishment. This argument
totally ignores the advisory nature of the commentary's policy
statement. The commentary's methodology is meant to aid district
courts by suggesting what may be a reasonable incremental
punishment. It does not purport to provide the authoritative and
exclusive definition of such a punishment. Congress left that
responsibility to the district courts in the sound exercise of
their discretion. See supra at 9-13.
15
exist" with the application of the commentary's methodology. App.
at 135. The court was concerned that it did not have many of the
underlying facts of the state offenses which play an integral
role in determining Spiers' sentence. Included in these facts
were victim-impact information, the degree of harm caused by
Spiers during the various assaults, and the number of people
potentially endangered during the various crimes. App. at
135-36. If it had this information, the court expressed a belief
that the sentencing range may be even higher, perhaps 151 to 181
months. App. at 137.5 As a result, the court clearly questioned
the reliability of the commentary's methodology.
More importantly, the court determined that a
concurrent sentence would be inconsistent with the interests of
justice. The district court considered Spiers various offenses a
"reign of terror," referring to him as a veritable "menace to
society" whose conduct endangered correctional officers, police
officers, and "just pure people who try to go about their lives
normally, not committing any crimes." App. at 155. In light of
this, the district court concluded that Spiers simply did not
deserve a concurrent sentence. App. at 157. According to the
court, "I've taken a chance on some people in my lifetime as a
sentencing judge, your record is so bleak, so bad, that I would
5
Spiers argues that the court placed undue emphasis on the
facts of the underlying state offenses. (Appellant's Br. at 14).
This argument fails to appreciate that the commentary's suggested
methodology requires the district court to treat a defendant's
state offenses as federal offenses in order to determine what the
federal sentence would have been under § 5G1.2 had all the
offenses been federal offenses. U.S.S.G. § 5G1.3 (commentary).
16
be making a horrible bet . . . . You don't deserve it. I want
to be very, very candid and straight: You don't deserve it. No
way." App. at 156-57. The district court ultimately concluded
that a consecutive sentence would not only protect society from
any potential future criminal behavior, App. at 156 ("Society
deserves to be protected against the behavior that you've engaged
in."), but would also ensure that Spiers was properly punished
for his crimes. App. at 157 ("I tried to impress upon you that
the crimes which you pled guilty here to are not minor crimes.
What you have sown you are now reaping.").
It is patently clear in this case that in deciding upon
a consecutive sentence, the district court considered the nature
and circumstances of the offense, the history and characteristic
of the offender, and the need for punishment and incapacitation.
The statute which authorizes the imposition of concurrent or
consecutive sentences specifically requires courts to consider
these factors. 18 U.S.C. § 3584(b) ("The court, in determining
whether the terms imposed are to be ordered to run concurrently
or consecutively, shall consider, as to each offense for which a
term of imprisonment is being imposed, the factors set forth in
section 3553(a)."). United States v. Nottingham, 898 F.2d 390,
393 (3d Cir. 1990). Section 3553(a) provides in pertinent part
that:
. . . The court in determining the
particular sentence to be imposed, shall
consider --
(1) the nature of the circumstances of
the offense and the history and
characteristics of the defendant;
17
(2) the need for the sentence
imposed --
(A) to reflect the seriousness of
the offense, to promote respect for the law,
and to provide just punishment for the
offense;
(B) to afford adequate deterrence
to criminal conduct;
(C) to protect the public from
further crimes of the defendant . . .
18 U.S.C. § 3553(a). See also Lagatta, 50 F.3d at 128. These
factors are also reflected in the legislative history of U.S.S.G.
5G1.3's enabling statute, 28 U.S.C. § 994(a)(D) which states:
in evaluating whether the sentences should
run concurrently or consecutively, the court
must consider the nature and circumstances of
the offenses and the history and
characteristics of the offense, the need for
just punishment, deterrence, incapacitation,
and rehabilitation, and the sentencing
guidelines and any pertinent policy
statements of the Sentencing Commission. It
is anticipated that in certain activities a
purpose of incapacitation alone might warrant
imposition of consecutive terms of
imprisonment . . . .
S. Rep. No. 98-225, 98th Cong., 2d Sess. 128 (1984), reprinted in
1984 U.S.C.C.A.N. 3182, 3311. In examining the nature of Spiers'
conduct, his history, the need for just punishment and
incapacitation, the court considered factors that it was required
to consider by law, and concluded that given the nature of his
conduct Spiers did not deserve a concurrent sentence, and that a
consecutive sentence would best serve the interests of justice.
The district court's reasons for declining to impose the
commentary's suggested penalty, therefore, are sufficient.
18
As the district court concluded in this case, a
concurrent sentence would result in no incremental punishment at
all, and would in effect give Spiers a "free ride" for his
federal crimes. As Spiers' state sentence was approximately
thirty-five years longer than the penalty suggested by the
commentary, unless the district court dramatically departed
upward, the imposition of a concurrent sentence would not have
added any incremental punishment for Spiers' federal offenses. As
the Ninth Circuit stated, "the imposition of a sentence which
added no increment for [a defendant's] federal offenses could not
be called the addition of a reasonable increment. Indeed, to say
that a reasonable increment was zero would defy common sense and
common usage. It would amount to the reification of an
oxymoron." Redman, 35 F.3d at 442. See also Lagatta, 50 F.3d at
128 ("A concurrent sentence would serve none of these objectives,
because it would have, in the words of the district court, given
[the defendant] a `free ride.'"). As Spiers' does not challenge
any of the district court's factual conclusions, we must conclude
that the court acted within it discretion when it sentenced
Spiers to serve a consecutive sentence of 110 months. As the
commentary itself recognizes, courts may generally achieve an
appropriate sentence through a determination of an appropriate
point within the applicable guideline range for the federal
offense at issue, and a determination of whether that sentence
will run concurrently or consecutively to the undischarged term
of imprisonment. See U.S.S.G. § 5G1.3 (commentary).
B.
19
Spiers' final argument is that the district court
failed to make any determination as to exactly when his federal
sentence would commence or what the court deemed the appropriate
total sentence to be. (Appellant's Br. at 19). In other words,
Spiers argues that the district court's sentence was
impermissibly indeterminate. This argument ignores two simple
facts. First, the district court determined exactly when Spiers'
federal sentence would begin -- at the conclusion of his state
sentence. Second, the court also determined what the appropriate
total sentence was -- a consecutive sentence of 110 months.
Accordingly, Spiers knows both when his federal sentence will
begin and how long it will last. Inasmuch as Spiers does not
dispute the district court's determination that a sentence of 110
months falls within the proper range for his federal bank robbery
offenses, his argument is reduced to a reiteration that the
district court should have imposed a concurrent sentence, as
becomes clear upon examination of how Spiers concludes that his
federal sentence is impermissibly indeterminate.
Spiers' argues that because his state sentence is
indeterminate, the district court's sentence amounts to 257
months at the earliest or 417 months at the latest. According to
Spiers, both of these results are inappropriate because they
exceed the commentary's suggested punishment. (Appellant's Br.
at 22). This argument ignores the district court's rejection of
the commentary's suggested punishment. The commentary's
suggested penalty is not a per se limit on the total amount of
time Spiers may serve for his federal and state convictions. It
20
is only a suggested penalty which the district court is free to
reject. Having rejected the commentary's suggested penalty, the
district court retained the discretion to impose either a
concurrent or consecutive sentence up to the maximum sentence for
Spiers' federal convictions, in this case 121 months. As
discussed above, the district court's decision to reject the
suggested penalty was within the sound exercise of its
discretion. Spiers' state sentence and federal sentence are
therefore separate and independent penalties which cannot be
aggregated. His federal sentence, therefore, will not fluctuate
in length from 257 months to 417 months depending upon the length
of his state sentence. The federal sentence will remain a
constant 110 months. The only uncertainty, the exact date at
which that 110-month period will begin, is a variable beyond the
district court's control.
Moreover, the case law Spiers relies upon simply does
not apply in situations where the district court has departed
from the commentary's suggested methodology. In support of his
indeterminacy argument, Spiers' cites United States v. Brewer, 23
F.3d 1317 (8th Cir. 1994), and United States v. Yates, 58 F.3d
542 (10th Cir. 1995). Neither case supports the argument that
Spiers' sentence was impermissible. In both Brewer and Yates,
the district courts adopted the Sentencing Guidelines' suggested
punishments and then went on to establish estimates for
completion of the state sentence without adequate evidence to
show when those dates might be. Because the court had adopted
the suggested Guidelines' punishment, the aggregate duration of
21
the combined state and federal sentences was vital. Without
sufficient evidence as to the likely length of the state
sentences, the sentences imposed by the district courts failed to
guaranty that the defendants would receive a reasonable
incremental punishment. Thus, in both Brewer and Yates, the
circuit courts vacated the sentences and remanded the cases for
resentencing.
In this case, however, because the district court
rejected the commentary's suggested penalty and instead
determined that the reasonable incremental punishment for Spiers'
federal crimes was a wholly consecutive sentence of 110 months,
the indeterminate nature of Spiers' state sentence will in no way
affect and has no bearing on the duration of his federal
sentence. There is no need, therefore, for the district court to
have made a finding of the likely length of Spiers' Arkansas
state sentence.
Finally, Spiers' argument that the uncertainty of the
exact day that his federal sentence will begin renders the
sentence infirm simply proves too much. The actual date upon
which practically any consecutive sentences will take effect is
uncertain. By definition, a consecutive sentence begins when the
prior sentence is completed. There are many factors, including
the defendant's behavior during incarceration, the decisions of a
parole board, the possibility of an executive pardon or a
successful appeal, and even prison conditions, which might
determine when a defendant will complete his or her sentence.
Because these factors are all beyond a sentencing court's
22
control, the sentencing court will never know and can never
determine with any degree of certainty the exact date a defendant
will complete any given sentence. We know of no principle of law
that requires a court to attempt such an exercise in futility;
nor do we know of any principles that render a consecutive
sentencing void or unjust based upon the resulting indeterminacy.
As long as the defendant has adequate notice that a consecutive
sentence may be imposed, a failure to determine the exact
calendar date upon which a consecutive sentence is to begin does
not deny the defendant due process of law. Cf. Burns v. United
States, 501 U.S. 129 (1991) (holding that a district court must
notify the parties that it intends to upwardly depart from the
sentencing range established by the Sentencing Guidelines);
Lankford v. Idaho, 500 U.S. 110 (1991) (holding that a defendant
must have notice that the trial court might sentence him to
death). As the district court's decision to impose a wholly
consecutive sentence was within the sound exercise of its
discretion, the limited uncertainty created by the term of the
underlying state sentence does not render the consecutive federal
sentence infirm.
IV.
For the forgoing reasons, the district court's order
sentencing Spiers to 110 months to be served upon the completion
of his undischarged state sentence will be affirmed.
_________________________
23
24