Cannon v. U.S. Dept. of Justice, U.S. Parole Com'n

UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
No. 91-4340
Summary Calendar
KARL L. CANNON,
Petitioner,
versus
U.S. DEPARTMENT OF JUSTICE, UNITED
STATES PAROLE COMMISSION,
Respondent.
Appeal from the Determination of the
United States Parole Commission
(September 17, 1992)
On Petition for Rehearing
(Opinion May 19, 1992, 5th Cir. 1992_____F.2d____)
Before POLITZ, Chief Judge, KING and EMILIO M. GARZA, Circuit
Judges.
POLITZ, Chief Judge:
The United States Parole Commission seeks a rehearing, urging
that our panel decision erred in two separate respects: (1) in
holding that the Commission rather than the Bureau of Prisons must
take into account foreign good-time credits in computing a release
date, and (2) in holding that U.S.S.G. § 5G1.1(b) applies when the
foreign-court-imposed sentence exceeds the guideline range.
Discussion
Although we deny the relief requested in the petition for
rehearing, we believe that this infrequently visited area of the
law would benefit from an explication of the interaction between
the Constitution,1 Prisoner Transfer Treaty (Treaty),2 the
Treaty-related legislation,3 other relevant legislation,4 federal
regulations for the Parole Commission and the Bureau of Prisons,5
other secondary interpretive sources,6 Treaty-prisoner case law,7
1
U.S. Const. art. VI, cl. 2.
2
Treaty on the Execution of Penal Sentences, November 26,
1976, United States -- Mexico 20 UST 7399; T.I.A.S. No. 8718.
3
18 U.S.C. §§ 3244, 4100-4115.
4
18 U.S.C. § 3624(a) (release of prisoners), 18 U.S.C.
§ 3624(b) (satisfactory behavior credits), 18 U.S.C. § 4161 (good
time credits) (repealed), and 18 U.S.C. §§ 4201-4218 (parole)
(repealed).
5
28 C.F.R. §§ 0.95-0.99, 500-572 (Bureau of Prisons),
28 C.F.R. §§ 0.124-0.127 (United States Parole Commission), and
28 C.R.R. §§ 2.1-2.66 (Parole Regulations).
6
H.R. Rep. 95-720, 95th Cong., lst Sess. 1977 reprinted in
1977 U.S.C.C.A.N. 3146 (although the Report discusses the pre-SRA
version of the Treaty-related legislation, it is nonetheless highly
persuasive).
7
Malin v. U.S. Parole Com'n, 901 F.2d 1112 (5th Cir. 1990)
(table) (unpublished opinion); Thorpe v. U.S. Parole Com'n, 902
F.2d 291 (5th Cir.), cert. denied, _____ U.S. _____, 111 S. Ct. 185,
112 L. Ed. 2d 148 (1990); Hansen v. U.S. Parole Com'n, 904 F.2d 306
2
and the distinction between pre-Sentencing Reform Act8 (SRA) parole
and post-SRA supervised release.
Treaty Provisions as the Supreme Law of the Land
Relevant Treaty provisions include:
Sentences imposed in the United Mexican States on
nationals of the United States of America may be served
in penal institutions or subject to the supervision of
the authorities of the United States of America in
accordance with the provisions of this Treaty.9
The Transferring State shall furnish the Receiving
State a statement showing the offense of which the
offender was convicted, the duration of the sentence, the
length of time already served by the prisoner and any
credits to which the offender is entitled, such as, but
not limited to, work done, good behavior or pretrial
detainment.10
Each Party . . . shall establish adequate
procedures, to give for the purposes of this Treaty,
legal effect, within its territory to sentences
pronounced by the courts of the other Party.11
The Transferring State shall afford an opportunity
to the Receiving State . . . to verify, prior to
transfer, that the offender's consent to the transfer is
given voluntarily and with full knowledge of the
(5th Cir. 1990), cert. denied, _____ U.S. _____, 111 S. Ct. 765, 112
L. Ed. 2d 784 (1991).
8
The Sentencing Reform Act of 1984, Title II of the
Comprehensive Crime Control Act of 1984, codified at 18 U.S.C.
§§ 3551 et seq.
9
Treaty, Article I(2) (emphasis ours).
10
Id., Article IV(7) (emphasis ours).
11
Id., Article IV(9).
3
consequences thereof. . . .12
Except as otherwise provided in this Treaty, the
completion of a transferred offender's sentence shall be
carried out according to the laws and procedures of the
Receiving State, including the application of any
provisions for the reduction of the term of confinement
by parole, conditional release or otherwise.13
The Transferring State shall have exclusive
jurisdiction over any proceedings, regardless of their
form, intended to challenge, modify, or set aside
sentences handed down by its courts.14
Article VI of the United States Constitution provides in
pertinent part that a treaty shall be the supreme law of the land.
Courts construe Treaties just as they do statutes.15 These Treaty
provisions clearly and unequivocally direct that the total time
imposed in the foreign-court-imposed sentence shall be the sentence
of the Treaty prisoner upon transfer.16 A Commission proceeding
which sets a release date varying the total foreign-court-imposed
sentence would be a proceeding, albeit in the form of a release
12
Id., Article V(1), second sentence (emphasis ours). See
18 U.S.C. § 4108(b)(1) (verifying officer shall inquire as to
transferee's understanding and agreement that "only the [sentencing
court] may modify or set aside the conviction or sentence."). See,
also, Report at 25-26, 37, 41-44, reprinted in 1977 U.S.C.C.A.N. at
3148, 3159-3160, 3164-3166.
13
Id., Article V(2) (emphasis ours).
14
Id., Article VI, first sentence (emphasis ours).
15
See United States v. Alvarez-Machain, _____ U.S. _____,
112 S. Ct. 2188, 2193 (1992).
16
Report at at 41-43, reprinted in 1977 U.S.C.C.A.N. at
3164-3166.
4
date determination, which "modif[ies a] sentence handed down by
[the Mexican] courts," contrary to Article VI and 18 U.S.C.
§ 3244(1).17 Consistent therewith, the Commission may not authorize
a release date which results in the total period of incarceration,
plus the period of supervised release, being less than or greater
than the total foreign-court-imposed sentence.
In discussing the constitutionality of 18 U.S.C. § 3244,
Congress recognized the sovereignty issue inherent in such
determinations:
[N]either the United States nor any other country . . .
would have acquiesced to a [Treaty] provision which would
permit the courts of the Receiving State to set aside or
modify a sentence imposed by the courts of the
Transferring State. Otherwise the fundamental
sovereignty of a nation over crimes committed within its
territorial boundaries would be impaired. Report at 42,
reprinted in 1977 U.S.C.C.A.N. at 3164-3165.
Treaty Article V(2) reinforces this conclusion, deeming applicable
the laws of the United States which provide for a "reduction of the
term of confinement by parole, conditional release or otherwise."
The in pari materia meaning of Articles V(2) and VI is clear and
unambiguous -- the term of confinement may be determined as
17
18 U.S.C. § 3244 is entitled "Jurisdiction of proceedings
relating to transferred offenders."
When a treaty is in effect between the United States
and a foreign country providing for the transfer of
convicted offenders --
(1) the country in which the offender was convicted
shall have exclusive jurisdiction and competence over
proceedings seeking to challenge, modify, or set aside
convictions or sentences handed down by a court of such
country; . . .
5
permitted by United States law; therefore, only the sentencing
court may change the total sentence imposed, i.e. confinement plus
any conditional release.18 The prohibition against direct or
collateral attacks upon the sentence in any court except the
foreign sentencing court, however, does not otherwise preclude or
suspend the transferee's right to seek a writ of habeas corpus on
other matters related to the manner of execution of the sentence.19
Treaty-related Legislation20
Absent clear and express congressional intent to the contrary,
Treaty-related legislation and regulations must be construed in
harmony with their source, the Treaty. Other general legislation
and regulations which operate in tandem with the Treaty must also
be construed in light of and consistently with the Treaty. The
relevant statutes and regulations include:
Except as provided elsewhere in this section, an
offender serving a sentence of imprisonment in a foreign
country transferred to the custody of the Attorney
General shall remain in the custody of the Attorney
General under the same conditions and for the same period
of time as an offender who has been committed to the
custody of the Attorney General by a court of the United
States for the period of time imposed by the sentencing
18
Inclusio unius est exclusio alterius . Treaty,
Article VI, first sentence.
19
Report at 25-26, 27, 41-43, reprinted in 1977
U.S.C.C.A.N. at 3148, 3149-50, 3164-3166.
20
See Report, passim.
6
court.21
(1) The transferred offender shall be entitled to
all credits for good time, for labor, or any other credit
toward the service of the sentence which had been given
by the transferring country for the time served as of the
time of transfer. Subsequent to the transfer, the
offender shall in addition be entitled to credits toward
service of sentence for satisfactory behavior, computed
on the basis of the time remaining to be served at the
time of the transfer and at the rate provided in
section 3424(b) of this title for a sentence of the
length of the total sentence imposed and certified by the
foreign authorities. These credits shall be combined to
provide a release date for the offender pursuant to
section 3624(a) of this title.22
(1)(A) The United States Parole Commission shall,
without unnecessary delay, determine a release date and
a period and conditions of supervised release for an
offender transferred to the United States to serve a
sentence of imprisonment, as though the offender were
convicted in a United States district court of a similar
offense.
(B) In making such determination, the United
States Parole Commission shall consider --
(i) any recommendation of the United
States Probation Service, including
any recommenda- tion as to the
applicable guideline range; and
(ii) any documents provided by the
transferring country;
relating to that offender.
(C) The combined periods of imprisonment and
supervised release that result from such determination
shall not exceed the term of imprisonment imposed by the
foreign court on that offender.23
The Commission urges as controlling its interpretation of the
statutes relating to the respective roles of the Commission and the
21
18 U.S.C. § 4105(a).
22
18 U.S.C. § 4105(c)(1).
23
18 U.S.C. §§ 4106A(b)(1)(A)-(C).
7
Bureau of Prisons in the determination of a post-SRA
Treaty-prisoner's release date. The Commission suggests that
18 U.S.C. § 4106A only requires the Commission to determine a
discretionary release date and that it must do so without respect
to the 18 U.S.C. § 3624(b) satisfactory-behavior credit. The
Commission then posits that 18 U.S.C. § 4105 requires the Bureau of
Prisons to establish a mandatory release date which takes into
account the section 3624(b) credits as provided by section 3624(a).
The Commission cites no controlling authority for this
purported division of authority respecting determination of release
dates for a Treaty prisoner. Contrary to the Commission's urging,
Malin is inapposite. In dictum the Malin court acknowledged the
Commission's position that "the computation of good time credits is
the responsibility of the U.S. Bureau of Prisons. 28 C.F.R.
§§ 0.96(h), 527.45(a)(2) (1989)." This dictum is correct but only
for a pre-SRA prisoner. The Malin dictum cites to parole and
good-time credit provisions which were repealed concurrently with
the enactment of the Sentencing Reform Act,24 none of which are
applicable to a post-SRA prisoner such as Malin. Malin, however,
was eligible both for foreign credits under the Treaty and for the
satisfactory behavior credit under section 3624(b).
Section 4106A(b)(1)(A) expressly obliges the Commission, and
24
Act of Oct. 12, 1984, P.L. 98-473, Title II, Ch. II,
§ 218(a)(4), 98 Stat. 2027, effective on the first day of the first
calendar month beginning 36 months after enactment as provided by
§ 235(a)(1) of such Act, as amended, which appears as 18 U.S.C.
§ 3551 note.
8
not the Bureau of Prisons, to make the release date determination.
Section 4105(c)(1) requires that the release date include the
section 3624(b) satisfactory-behavior credits as computed in
section 3624(a) but does not delegate the determination of the
release date to the Bureau of Prisons. We conclude that the
Commission's argument that the release date referred to in
section 4106A is not the same release date referred to in
section 4105 lacks merit.25
We perceive that the Commission views its statutory
obligations toward Treaty prisoners as one similar to its pre-SRA
prisoner obligation to determine an initial, discretionary parole
date in conjunction with the Bureau of Prison's statutory
obligations to release a prisoner on his actual release date.26 If
we are correct in this perception, the Commission misapprehends its
statutory duty under the Treaty-related legislation. The
Treaty-related statute commits mandatory release date
determinations to the Commission. Consistent with that obligation,
the Commission has adopted a regulation for Treaty prisoners which
expressly provides for permanent retention of Commission
jurisdiction over release date determinations.
The jurisdiction of the Parole Commission to set a
release date and periods and conditions of supervised
release extends until the transferee is released from
prison or the transferee's case is otherwise transferred
to a district court pursuant to an order of the
25
See 28 C.F.R. §§ 2.62(a)(2), (k) (1991), discussed infra.
26
See 28 C.F.R. § 0.96b (1991).
9
Commission. 28 C.F.R. § 2.62(a)(2).
Consistent with the Commission's retention of jurisdiction,
28 C.F.R. § 2.62(k) provides for reopening or modification of a
determination prior to transfer or termination of jurisdiction.
The Commission's argument that the Bureau of Prisons has authority
to make a release date determination for a Treaty prisoner is
inconsistent with its own regulation. We accordingly reject it.
The Commission states in its petition for rehearing that it
has recently adopted an interpretive regulation to which we should
defer. This revision would add a sentence to 28 C.F.R.
§ 2.62(a)(1) providing that "U.S. Code provisions requiring
mandatory minimum terms or minimum periods of supervised release
shall not apply to prisoners transferred pursuant to treaty who are
serving terms of imprisonment imposed by foreign courts for
violating foreign law."27 Although we are very dubitante that this
substantive regulation amending the guidelines as applied to Treaty
prisoners would withstand judicial scrutiny under our holding
herein, we need not reach that question. Our research has revealed
that the Commission did not promulgate this regulation in
accordance with the law, and, hence, it has no legal effect.28
We hold that section 4106A(b) requires the Commission to make
27
Memorandum from the Office of the Chairman of the U.S.
Parole Commission, dated May 29, 1992, subject matter -- Minutes -
U.S. Parole Commission's Open Business Meeting, April 28-30.
28
18 U.S.C. § 4201(6) (Substantive Commission regulations
shall be promulgated pursuant to 18 U.S.C. § 4203 and 5 U.S.C.
§ 553).
10
a timely, mandatory release date determination and that the
jurisdiction to make a redetermination in light of changed
circumstances remains exclusively with the Commission.29 Any
perceived inconvenience or difficulty with this scheme is more
appropriately addressed to the Congress.
Total Sentence Less than Foreign-Court-Imposed Sentence
The Commission urges that the language of 18 U.S.C.
§ 4106A(b)(1)(C) which provides that "[t]he combined periods of
imprisonment and supervised release that result from [the
Commission's] determination shall not exceed the term of
imprisonment imposed by the foreign court on that offender"
authorizes a release date determination that results in a total
sentence which is less than the foreign-court-imposed sentence.
While we agree that the statute may be susceptible of such a
reading, when construed in light of the Treaty it becomes apparent
that section 4106A(b)(1)(C) is merely a codification of Treaty
Article V(3). The statute does not address the issue of variation
of foreign-court-imposed sentence because Treaty Article VI and
18 U.S.C. § 3244(1)30 otherwise foreclose that issue and we cannot
29
Accord, 28 C.F.R. § 2.62(a)(2). See discussion infra at
note 25 and following.
30
Report at 41-44, reprinted in 1977 U.S.C.C.A.N. at
3164-3166.
11
construe the statute as contrary to the Treaty.31
In Thorpe and Malin we affirmed Commission release date
computations which resulted in total sentences slightly less than
the total foreign-court-imposed sentence. In doing so we
inadvertently erred in affirming inappropriate applications of
section 4106A(b)(a)(C). In neither case, however, did the
appellant challenge the Commission's legal authority to deviate
from the total sentence imposed by the Mexican courts.32 Those
cases are therefore inapposite and not controlling herein.
Will Cannon Now Spend an Extra Three Months in Prison?
The Commission also suggests in its rehearing petition that
"as a result of this decision, [Cannon will] spend an extra three
months in federal prison." In reaching this conclusion the
Commission evidences a fundamental misunderstanding of the meaning
of a guidelines range determination for a Treaty prisoner. A
guideline range determination is a starting point. The Commission
has the power and the authority under the Treaty, Treaty-related
legislation, and the guidelines to set any release date from
incarceration as long as adequate reasons33 support the decision to
31
Lem Moon Sing v. United States, 158 U.S. 538, 15 S. Ct.
967, 39 L. Ed. 1082 (1895).
32
In Hansen, supra, we affirmed a Commission release date
computation that exactly matched the 84-month total sentence
imposed by the Mexican courts.
33
Will. v. United States, 503 U.S. _____, 112 S. Ct.
1112, 1118, 117 L. Ed. 2d 341, 352 (1991).
12
depart from the guideline range34 on the record, and the total of
the term of incarceration and supervised release equals the
foreign-court-imposed sentence. Therefore, contrary to the
Commission's assertion, our panel decision need not increase by a
single day the term of incarceration served by Cannon or any other
Treaty prisoner. That determination is and remains the
responsibility of the Commission.
Application of Pre-Transfer Credits
We expressly hold, for sake of clarity, that any pre-transfer
credits applicable to a Treaty prisoner's term of incarceration,
including but not limited to work done, good behavior, or pretrial
confinement,35 shall be applied only to the original foreign-court-
imposed sentence by the Commission when making a release date
determination. Having done this, the Commission is free to
determine a release date as discussed above.
Harmless Error and Commission Release Date Determinations
The guidelines apply to Treaty prisoners whose offense of
34
See U.S.S.G. § 5K2.0 (p.s.). See, also, U.S.S.G,
Chapter One - Introduction and General Principles, Part A, § 4(b)
Departures.
35
Treaty, Article IV(7).
13
conviction occurred after November 1, 1987.36 In Williams v. United
States the Supreme Court held that an error in the application of
the guidelines need not result in a remand to the sentencing court
if the court of appeals determines that the same sentence would
have been imposed absent the error.
We have not previously considered the applicability of
Williams to a Commission release date determination. We now hold
that the analysis of the Williams decision applies directly to a
Commission release date determination and, therefore, the
Commission release date determination may be reviewed for harmless
error. In the case at bar, however, because we cannot ascertain
from the record whether the Commission properly determined Cannon's
release date in light of his potential section 3624(b) satisfactory
behavior credits, we cannot conclude that the error was harmless.
That precipitated our remand order for a redetermination of
Cannon's release date.
Application of U.S.S.G. § 5G1.1(b) to Commission Determination
We begin this part of our discussion by recognizing that the
congressional decision to use the sentencing guidelines to direct
a Commission release date determination creates an imperfect fit at
best. Nonetheless, Congress so chose and it is our constitutional
task to apply the guidelines in the manner which best comports with
that choice.
36
18 U.S.C. § 4106A(c); Hansen, 904 F.2d at 308.
14
In our original consideration of the application of U.S.S.G.
§ 5G1.1(b), we did not write on a tabula rasa. Rather, we began by
considering our circuit precedent in Thorpe, and found it binding
and persuasive. The Thorpe court held that in an instance in which
a Treaty prisoner had a foreign-court-imposed sentence of 84
months, where the guideline range computed to 151-188 months, the
Mexican court sentence would be deemed the statutory maximum
sentence under U.S.S.G. § 5G1.1(a). Uniformity and stability
require that each panel of our court be bound by the decisions of
prior panels, absent an intervening en banc or Supreme Court
decision, or relevant legislation.37
In the case at bar Cannon had a foreign-court-imposed sentence
of 84 months. Were this an offense committed in the United States,
his guideline range would have been 51-63 months. Following the
lead in Thorpe, we applied U.S.S.G. § 5G1.1(b) and deemed the
foreign-court-imposed sentence to be the statutory minimum. On
rehearing, the Commission laments the fact that our holding will
require a prisoner whose guideline range "is less than the foreign
sentence . . . to serve their entire full sentence less good
time."38 This argument underscores the Commission's confusion about
its role under the Treaty and related legislation and the concept
of departure under the guidelines.
37
See Johnson v. McCotter, 804 F.2d 300 (5th Cir. 1986),
cert. denied, 481 U.S. 1042, 107 S. Ct. 1988, 95 L. Ed. 2d 827 (1987).
38
Emphasis ours.
15
The Commission, consistent with Article V(2) of the Treaty,
may establish any release date that it deems appropriate under the
guidelines.39 The Commission's statutory mandate -- to employ the
guidelines to establish the release date "as though the offender
were convicted of a similar offense" --40 evinces the congressional
intent to assure the equal treatment of similarly situated Treaty
and non-Treaty prisoners with respect to the term of
incarceration.41 Nonetheless, the express terms of the Treaty limit
this congressional intent and the Commission is not free to vary
the total sentence of a Treaty prisoner.42
Applying U.S.S.G. § 5G1.1(a) or (b) to establish the guideline
range is consonant with international comity considerations of
giving respect to the foreign-court-imposed sentence as expressly
provided for in the Treaty. If the Commission determines that a
downward departure is warranted, the very fact that the guidelines
were not designed with Commission release date determinations for
Treaty prisoners in mind may, without more, support a departure.43
We also observe that by applying U.S.S.G. § 5G1.1(b), we avoid the
39
18 U.S.C. § 4106A(b)(1)(A); Hansen, 904 F.2d at 308.
40
18 U.S.C. § 4106A(b)(1)(A).
41
See Report at 36, reprinted in 1977 U.S.C.C.A.N. at 3159.
42
"Total" in the sense of time of incarceration and
supervised release.
43
U.S.S.G. § 5K2.0.
16
potential confusion that might arise if we did not follow the lead
of the Thorpe court.
The Commission also complains in its petition for rehearing
that we implicitly modified U.S.S.G. § 5G1.1(b) to equate a
foreign-court-imposed sentence with a "sentence required by
statute." It is well settled that a Treaty which operates of
itself without aid of legislation is the equivalent of an Act of
Congress.44 Treaty Article X(2) provides that the "treaty shall
enter into force thirty days after the exchange of ratifications.
. . ."45 Generally speaking, the Treaty-related legislation merely
provides a convenient codification of the already effective Treaty
provisions.46 Aside from the ministerial task of appointing an
"Authority" to receive transferred prisoners, the Treaty required
no legislative action other than ratification.47 Procedural
legislation which makes operation of a Treaty more convenient
cannot amend or abrogate a self-executing Treaty.48 Accordingly,
with respect to U.S.S.G. § 5G1.1, a foreign-court-imposed sentence
44
Fellows v. Blacksmith, 60 U.S. 366, 15 L. Ed. 684 (1857).
45
Treaty, Article X(2) (emphasis ours).
46
Accord, id., Article IV(9).
47
Report at 25-26, reprinted in 1977 U.S.C.C.A.N. at
3147-3148.
48
Cook v. United States, 288 U.S. 102, 53 S. Ct. 305, 77
L. Ed. 641 (1933); Chew Heong v. United States, 112 U.S. 536, 5
S. Ct. 255, 28 L. Ed. 770 (1884).
17
is in fact one imposed by the equivalent of an Act of Congress.
The Parade of Horribles
Like Congress,49 we are mindful of the theoretical possibility
that a foreign court might impose a sentence upon a prisoner more
onerous than that imposed by our courts for the same or a similar
offense. For example, a foreign court might impose a 50-year
sentence for an offense that would reap a five-year sentence under
our law. If the offender were then transferred under the Treaty,
the Commission could set any guideline-supported release date for
that prisoner, including immediate supervised release if
appropriate. The Treaty, however, would require that the offender
serve the remainder of the 50-year sentence on supervised release.
This result reflects a Treaty-imposed limitation upon the
congressionally-created fiction that the Commission should treat a
Treaty prisoner's foreign sentence as one imposed by an American
court for the same or similar offense. In the instance of this
theoretical "horrible," a true guideline sentence and a Treaty-
guideline sentence would undoubtedly differ.
We observe that Cannon is not a victim of this theoretical
"horrible." His similar offense of conviction, 21 U.S.C.
§ 841(b)(1)(B)(vii), with an offense level of 24, and a criminal
history category I, yielded a guideline range of 51-63 months of
incarceration. Guideline section 5D1.1(a) requires 36-60 months of
49
Report at 36, reprinted in 1977 U.S.C.C.A.N. at 3159.
18
supervised release. It is readily apparent, therefore, that the
Commission could fashion a release date determination and
supervised release period so that Cannon's total foreign-court-
imposed sentence is served as a combination of a term of
incarceration and a term of supervised release.
Regardless of what may be said of the result in the extreme
theoretical case which we have suggested above, as a court of law
we are bound by the Treaty. If this theoretical "horror" is
perceived to be intolerable, it is a matter more appropriately
committed to our coequal branches to correct.
Conclusion
For the reasons stated herein, the petition for rehearing is
DENIED.
19