Opinion ID: 557842
Heading Depth: 3
Heading Rank: 2

Heading: The Sentencing Court's Reconsideration of Defendant's State of Mind

Text: 31 The sentencing court stated that upward departure from the Guidelines is warranted based on the defendant's state of mind, and the degree of planning and preparation of [the] offenses. The court cited Sec. 5K2.1 of the Guidelines as authority that a substantial increase may be appropriate if the death was intended or knowingly risked, U.S.S.G. Sec. 5K2.1, p.s., and proceeded to discuss the defendant's intent to kill both victims. The district court stated: 32 In this case, the defendant left the initial confrontation and obtained a hunting rifle from a relative. After procuring ammunition, the defendant went in search of the victims. His intent to inflict serious injury or to kill the victims was demonstrated in that he began shooting at them as soon as he saw them. The defendant fired multiple shots at both victims with a hunting rifle at close range. These events show that Brady knowingly intended to kill both victims. 33 Brady contends that this finding of the court directly contradicts the jury's verdict which acquitted him of first degree murder and assault with intent to commit murder. He argues that an upward departure from the Guidelines may not be based on a factual finding by the district court that effectively overrules the jury's verdict. 34 Five other circuits allow a district court to make findings of fact during sentencing that have been implicitly rejected by a jury's not guilty verdict. See, e.g., United States v. Rodriguez-Gonzalez, 899 F.2d 177, 179-82 (2d Cir.), cert. denied, --- U.S. ----, 111 S.Ct. 127, 112 L.Ed.2d 95 (1990); United States v. Dawn, 897 F.2d 1444, 1449-50 (8th Cir.), cert. denied, --- U.S. ----, 111 S.Ct. 389, 112 L.Ed.2d 400 (1990); United States v. Juarez-Ortega, 866 F.2d 747, 748-49 (5th Cir.1989); United States v. Ryan, 866 F.2d 604, 609 (3d Cir.1989); United States v. Mocciola, 891 F.2d 13, 16-17 (1st Cir.1989). But cf. United States v. Perez, 858 F.2d 1272, 1277 (7th Cir.1988) (This court has upheld the trial court's consideration of a prior acquittal as long as the acquittal is not relied upon to enhance the sentence.). 11 35 United States v. Ryan, 866 F.2d 604 (3d Cir.1989), is illustrative. In Ryan, the jury acquitted the defendant of possession of a controlled substance with intent to distribute, but found him guilty of the lesser included offense of simple possession of a controlled substance. The defendant argued that the district court erred in considering the packaging of the drugs in departing from the sentencing guidelines, maintaining that, in effect, he was sentenced for a crime of which he had been acquitted, and claiming that the guidelines prohibit such an approach. Id. at 606. The Third Circuit rejected the defendant's argument. It reasoned that, before the Guidelines, a sentencing court was permitted to consider evidence on counts of which a defendant was acquitted in sentencing the defendant. Id. at 609. The Third Circuit concluded that in promulgating the Guidelines, the Sentencing Commission intended to permit sentencing courts to continue to consider such information in determining whether to depart from the Guidelines. 36 We find this analysis unpersuasive. We would pervert our system of justice if we allowed a defendant to suffer punishment for a criminal charge for which he or she was acquitted. The Guidelines recognize that voluntary manslaughter is to be punished less severely than murder by setting a lower base offense level for voluntary manslaughter than for murder. A sentencing court should not be allowed to circumvent this statutory directive by making a finding of fact--under any standard of proof--that the jury has necessarily rejected by its judgment of acquittal. 12 37 We acknowledge that in general the Guidelines permit a sentencing court to consider evidence of sentencing factors that are not elements of the offense of conviction. See U.S.S.G. Sec. 1B1.3(a). But it does not follow that the Guidelines permit a court to reconsider facts during sentencing that have been rejected by a jury's not guilty verdict. Otherwise, any time a judge disagreed with the jury's verdict, the judge could reconsider critical elements of the offense to avoid the restrictions of the Guidelines and push the sentence to the maximum--in effect punishing the defendant for an offense for which he or she had been acquitted. True, the sentence is ultimately capped by the statutory maximum of the offense for which the defendant was convicted. Yet the maximum sentences prescribed by the statutes were formulated in a time when a defendant was eligible for parole after serving one-third of his or her sentence less good time. There is no such possibility of early release under the Guidelines. In this case, the sentencing court effectively sentenced Brady for second degree murder and assault with intent to commit murder--not the crimes for which he was convicted, voluntary manslaughter and assault with a dangerous weapon. 13 38 We hold that the sentencing court's determination of Brady's state of mind is an impermissible factor on which to depart from the Guidelines. 14 We remand this portion of the sentence noting that the jury's determination of the defendant's state of mind is dispositive in the sentencing hearing, and that the sentencing court may not circumvent the jury's verdict by departing from the Guidelines on this basis.