United States Court of Appeals, For The Tenth Circuit

213 F.3d 503 (10th Cir.
2000)
UNITED STATES OF AMERICA, Plaintiff-Appellee and

Cross-Appellant
v.
CHERYL MARIE GIGLEY, Defendant-Appellant and CrossAppellee.
UNITED STATES OF AMERICA, Plaintiff-Appellant and
Cross-Appellee,
v.
CHERYL MARIE GIGLEY, Defendant-Appellee and CrossAppellant.
Nos. 99-3025, 99-3062, 99-3048, 99-3049
UNITED STATES COURT OF APPEALS, FOR THE TENTH

CIRCUIT
Filed May 17, 2000
APPEALS FROM THE UNITED STATES DISTRICT COURT FOR

THE DISTRICT OF KANSAS Tom G. Luedke, Assistant United States
Attorney (Jackie N. Williams, United States Attorney, with him on the
brief), Topeka, Kansas, for Plaintiff-Appellant/Cross-Appellee.
Marilyn M. Trubey, Assistant Federal Public Defender (David J. Phillips,
Federal Public Defender, with her on the brief), Topeka, Kansas, for
Defendant-Appellee/Cross-Appellant.
Before BALDOCK, HENRY, and LUCERO, Circuit Judges.
ORDER
BALDOCK, Circuit Judge.
These matters are before the court to correct an error in the issuance of the
panel's opinions on March 24, 2000. Through clerical error, a dissent prepared
by Judge Robert H. Henry was not attached to the disposition of appeal
numbers 99-3049 and 99-3062. Consequently, we recall the mandates in appeal
numbers 99-3025, 99-3048, 99-3049 and 99-3062, issued on April 17, 2000 and
vacate the court's original judgments in these appeals. The court's opinion in
99-3049 and 99-3062, with the dissent included, is attached to this order and is
reissued today. Also, the court's opinion in 99-3025 and 99-3048 is, without
change, separately reissued today.
2
The mandates in all four appeals shall reissue forthwith.
OPINION
3
Defendant Cheryl Marie Gigley pled guilty to failure to appear as required by

the conditions of her release in violation of 18 U.S.C. 3146(a)(2). The district
court sentenced her to 18 months imprisonment to run partially concurrently
with her sentence on the underlying offense of methamphetamine possession.
The Government appeals the district court's imposition of a partially concurrent
sentence. Defendant cross-appeals, arguing that the district court erred in
failing to group the offenses for sentencing. Our jurisdiction arises under 28
U.S.C. 1291 and 18 U.S.C. 3742. We remand for resentencing.
I.
In the companion case, Defendant pled guilty to possession with intent to

distribute methamphetamine in violation of 21 U.S.C. 841. Defendant failed to
appear for sentencing and was charged with failure to appear in this case. After
she was apprehended, Defendant pled guilty to failure to appear. In the drug
case, the district court relied on the quantity of methamphetamine mixture to
find a base offense level of 30 and sentenced Defendant to 120 months
imprisonment. We remanded for resentencing based on the amount of pure
methamphetamine. United States v. Gigley, 213 F.3d 509 (10th Cir.2000). In
this case for failure to appear, the district court found a base offense level of 15
and sentenced Defendant to 18 months imprisonment, 12 months of which were
to run concurrently with her sentence in the drug case.
On appeal, the Government argues that the district court erred in ordering 12
months of Defendant's sentence for failure to appear to run concurrently with
her sentence in the companion drug case. At the sentencing hearing, the
Government objected to the imposition of a partially concurrent sentence. The
district court noted the objection, but made no ruling.1
In her cross-appeal, Defendant argues that the two cases should have been
grouped for sentencing. For that purpose, Defendant filed a motion to
consolidate the drug case and the failure to appear case for sentencing. The
district court denied the motion, stating: "The motion to combine these cases is
denied and overruled, and they will be held separately." At the sentencing
hearing in the drug case, Defendant again argued that the offenses should be
grouped. Again, the district court made no ruling, but did not group the
offenses.
II.
7
We review the district court's statutory interpretation de novo. Robinson v. City

of Edmond, 160 F.3d 1275, 1280 (10th Cir. 1998). We also review its
application of the sentencing guidelines to the facts de novo. United States v.
Roberts, 183 F.3d 1125, 1144 (10th Cir. 1999). Under 18 U.S.C. 3146(b)(2),
the district court is to impose the sentence for failure to appear consecutively to
the sentence for the underlying offense: "A term of imprisonment imposed [for
failure to appear] shall be consecutive to the sentence of imprisonment for any
other offense." Id. When a defendant is convicted of both the failure to appear
and the underlying offense, the failure to appear offense is treated as an
obstruction of the underlying offense under U.S.S.G. 3C1.1. Id. at 2J1.6
comment. (n.3); United States v. Lacey, 969 F.2d 926, 930 (10th Cir. 1992),
vacated on other grounds, 507 U.S. 901 (1993) (applying the sentencing
guidelines to group the underlying offense and the failure to appear offense for
sentencing).2 According to the guidelines, the district court is to adjust the
offense level of the underlying offense upwards by two levels for obstruction of
justice. Id. at 3C1.1. The underlying offense and the failure to appear offense
are then grouped pursuant to 3D1.2(c), 3D1.2 comment. (n.5). Id. at 2J1.6
comment. (n.3); Lacey, 969 F.2d at 930.3
Once the offenses are grouped, the district court is to determine the offense
level of the group, set the total punishment, and impose consecutive sentences
within the total punishment. The group's offense level "is the offense level . . .
for the most serious of the counts comprising the group, i.e., the highest offense
level of the counts in the group." Id. at 3D1.3(a). The total punishment is
determined based on any applicable statutory minimums and the sentencing
table in Chapter 5. Id. at 3D1.5, 5G1.2. "[T]he combined sentence must be
constructed to provide a 'total punishment' that satisfies the requirements both
of 5G1.2 . . . and 18 U.S.C. 3146(b)(2) . . . ." Id. at 2J1.6 comment. (n.3). The
sentencing guidelines provide the following illustration:
For example, where the combined applicable guideline range for both counts is
30-37 months and the court determines a "total punishment" of 36 months is
appropriate, a sentence of thirty months for the underlying offense plus a
consecutive six months sentence for the failure to appear count would satisfy
these requirements.
10
Id.
11
The sentencing guidelines direct the district court to construct a sentence that
complies with both the guideline range and the statutory requirement of
consecutive sentences: "Note that the combination of this instruction and
increasing the offense level for the obstructive, failure to appear conduct has
the effect of ensuring an incremental, consecutive punishment for the failure to
appear count, as required by 18 U.S.C. 3146(b)(2)." United States Sentencing
Commission, Guidelines Manual, 2J1.6 comment. (n.3) (Nov. 1998).4
12
The district court should have grouped Defendant's drug offense and her failure
to appear offense for sentencing and imposed a total punishment with
consecutive sentences. See Lacey, 969 F.2d at 930 ("[I]f a defendant is
convicted of one of the listed obstruction offenses as well as an underlying
offense, the counts should be grouped."). The offense level of the drug charge
will most likely be higher than the offense level of the failure to appear charge.
Therefore, the combined offense level will be the same as the offense level of
the drug charge. The district court should then find the sentencing range for the
combined offense level and select a total punishment within that range. The
sentences for Defendant's drug offense and her failure to appear offense are to
run consecutively and add up to the total punishment.5
13
REMANDED for resentencing in accordance with this opinion.
NOTES:
1
The Government's objection is properly before us because the district court

considered it at the sentencing hearing. See Fed. R. Crim. P. 32(b)(6)(D)
(providing for objections to presentence reports for good cause at any time
before sentencing); United States v. Archuleta, 128 F.3d 1446, 1452 n.12 (10th
Cir. 1997) (considering an objection that the government did not raise until the
sentencing hearing). In the future, it would be helpful if the district courts made
rulings and findings based on timely objections to the presentence report. See
Fed. R. Crim. P. 32(c)(1); United States Sentencing Commission, Guidelines
Manual, 6A1.3 (Nov. 1997).
The grouping issue is the subject of a circuit split. Several of our sister circuits
have grouped the failure to appear offense with the underlying offense for
sentencing. United States v. Kirkham, 195 F.3d 126, 130-32 (2d Cir. 1999);
United States v. Bell, 183 F.3d 746, 750 (8th Cir. 1999); United States v.
Jernigan, 60 F.3d 562, 564 (9th Cir. 1995); United States v. Pardo, 25 F.3d
1187, 1193-94 (3d Cir. 1994); United States v. Flores, No. 93-3771, 1994 WL
163766, at *2-*3 (6th Cir. May 2, 1994) (unpublished); United States v. Agoro,
996 F.2d 1288, 1291 (1st Cir. 1993); United States v. Lechuga, 975 F.2d 397,
401 (7th Cir. 1992). See also United States v. Magluta, 203 F.3d. 1304, 1305,
(11th Cir. Feb. 17, 2000) (remanding the case to the district court for it to apply
2J1.6 comment. (n.3) as amended in 1998), vacating in part 198 F.3d 1265
(11th Cir. 1999). Other circuitsand sometimes different panels of the same
courtshave found the sentencing guidelines in conflict with 18 U.S.C. 3146(b)
(2) and refused to group the failure to appear offense with the underlying
offense for sentencing. United States v. Crow Dog, 149 F.3d 847, 849 (8th Cir.
1998); United States v. Stokes, No. 96-6440, 1998 WL 13409, at *4-*5 (6th
Cir. Jan. 7, 1998) (unpublished), cert. denied, 523 U.S. 1112 (1999); United
States v. Packer, 70 F.3d 357, at 360 (5th Cir. 1995). We adopt the view
expressed by the first, second, third, and ninth circuits.
3
Because 18 U.S.C. 3146(b)(2) does not require the imposition of a sentence of

imprisonment, the exception to the grouping rules in 3D1.1(b) for statutes
requiring consecutive sentences does not apply. Section 3D1.1(b) directs the
district court not to group "any count for which the statute (1) specifies a term
of imprisonment to be imposed; and (2) requires that such term of
imprisonment be imposed to run consecutively to any other term of
imprisonment." The commentary, however, notes that
[u]nless specifically instructed, subsection (b) does not apply when imposing a
sentence under a statute that requires the imposition of a consecutive term of
imprisonment only if a term of imprisonment is imposed (i.e., the statute does
not otherwise require a term of imprisonment to be imposed.) See, e.g., 18
U.S.C. 3146 (penalty for failure to appear) . . . . Accordingly, the multiple
count rules set out under this Part do apply to a count of conviction under this
statute.
United States Sentencing Commission, Guidelines Manual, 3D1.1 comment.
(n.1) (Nov. 1998).
In 1998, Amendment 579 added this language to 3D1.1 comment. (n.1). See
U.S.S.G. Supplement to App. C, Amendment 579 (1998). Ordinarily we apply
the sentencing guidelines in effect at the time of sentencing, which in this case
is the 1997 guidelines. U.S.S.G. 1B1.11(a); United States v. Hicks, 146 F.3d
1198, 1200 n.2 (10th Cir.), cert. denied, 119 S. Ct. 361 (1998). We may,
however, apply clarifying amendments retroactively to help us understand an

older version of the guidelines. U.S.S.G. 1B1.11(b)(2); United States v.
Kissick, 69 F.3d 1048, 1052 (10th Cir. 1995). The following factors tend to
show that an amendment is for clarification: it does not overrule existing
precedent, it revises a commentary note rather than a guideline, and the authors
characterized it as clarifying. Kissick, 69 F.3d at 1052. Because Amendment
579 did not overrule existing precedent in this circuit, merely changed the
commentary, and was characterized by its authors as a clarifying amendment,
we conclude that it was a clarifying amendment and may be applied
retroactively. See U.S.S.G. Supplement to App. C, Amendment 579 (1998)
("The purpose of this amendment is to clarify how several guideline provisions,
including those on grouping multiple counts of conviction, work together to
ensure an incremental, consecutive penalty for a failure to appear count.")
(emphasis added); Kirkham, 195 F.3d at 131-32 (finding that Amendment 579
was clarifying rather than substantive and applying it retroactively).
4
Amendment 579 added this sentence to 2J1.6 comment. (n.3). See U.S.S.G.
Supplement to App. C, Amendment 579 (1998). We may apply this clarifying
amendment here. See supra note 3.
Defendant cross-appeals, arguing that the district court erred in enhancing her
failure to appear sentence for obstruction of justice. After Defendant failed to
appear in the drug offense, she was arrested by Missouri Highway Patrol
officers and charged with possession of firearms and components to
manufacture methamphetamine. She presented false identification under the
name Jennifer Lee Anderson. The officers checked for outstanding warrants
under that name but found none. Defendant was released on bond and fled.
About one year later, U.S. marshals arrested Defendant at her father's house.
The marshals found materials in Defendant's father's house under the name
Jennifer Lee Anderson. At sentencing, the district court added 2 levels pursuant
to U.S.S.G. 3C1.1 for obstruction of justice by presenting false documents in an
investigation and providing a materially false statement to a law enforcement
officer.
We need not reach the issue of whether this enhancement was proper because it
does not affect the combined offense level of the grouped offenses. The offense
level for failure to appear is 13 without the enhancement and 15 with the
enhancement. Either way, the offense level most likely will be less than the
offense level for the drug offense, so the drug offense will determine the
combined offense level. See also United States v. Sarna, 28 F.3d 657, 659 (7th
Cir. 1994) (noting that the defendant's "activities while a fugitive, if they
constitute aggravating circumstances of a kind or to a degree not adequately
taken into consideration by the Sentencing Commission in formulating the
guidelines, constitute grounds for an upward departure from the applicable

guideline range").
14
HENRY, Circuit Judge, dissenting, in part.
15
The majority concludes that when a defendant is convicted of failure to appear

in addition to the underlying offense, courts should group the two offenses
pursuant to the Sentencing Guideline grouping rules. The grouping rules
instruct the sentencing judge to determine the base offense level from the
underlying offense and apply an upward adjustment based on the conviction for
failure to appear. I respectfully dissent and align with our sister circuits that
have held the two offenses should not be combined for sentencing. Like those
circuits, I would so hold because 18 U.S.C. 3146(b)(2) expressly requires any
sentence imposed for failure to appear to run consecutive to any sentence
imposed for the underlying offense. See United States v. Crow Dog, 149 F.3d
847, 849 (8th Cir. 1998); United States v. Stokes, No. 96-6440, 1998 WL
13409, at *4-*5 (6th Cir. Jan. 7, 1998) (unpublished), cert. denied, 523 U.S.
1112 (1998); United States v. Packer, 70 F.3d 357, 360 (5th Cir. 1995).1
16
As the majority points out, 3146 provides, "[a] term of imprisonment imposed
[for failure to appear] shall be consecutive to the sentence of imprisonment for
any other offense." 18 U.S.C. 3146(b)(2). The majority satisfies the consecutive
sentence requirement of 3146(b)(2) by following the guideline instructions in
USSG 2J1.6, comment. (n.3) and 3D1.1(b), both of which were amended in
1998 by Amendment 579. See USSG Supp. to App. C, amend. 579 (1998).
17
Commentary 3 to 2J1.6 instructs the sentencing judge to group the failure to

appear conviction with the underlying conviction, pursuant to the guideline
grouping rules, for one total punishment. See USSG 2J1.6 comment. (n.3),
3D1.2(c). Under the guideline grouping rules, this requires using the higher
base offense level of the two offenses, here, the underlying offense, and using
the failure to appear offense as an upward adjustment for obstruction of justice.
See USSG 2J1.6 comment. (n.3), 3C1.1. The guideline commentary then
instructs the sentencing judge to simply designate a portion of the total sentence
as the consecutive sentence for the failure to appear offense. See id.
Amendment 579 added language to Commentary 3, "[n]ot[ing] that the
combination of this instruction and increasing the offense level for the
obstructive, failure to appear conduct has the effect of ensuring an incremental,
consecutive punishment for the failure to appear count, as required by 18
U.S.C. 3146(b)(2)." USSG Supp. to App. C, amend. 579, at 9 (1998).
18
However, I am unconvinced that Commentary 3, even with the additional
18
However, I am unconvinced that Commentary 3, even with the additional

language, resolves the direct conflict between applying the guideline grouping
rules to a conviction for failure to appear and the consecutive sentence
requirement in 18 U.S.C. 3146(b)(2). The intent behind 3146(b)(2) is clear:
"failure to appear for a court ordered proceeding is a serious crime and should
be deterred by the imposition of a separate penalty through a consecutive
sentence." Crow Dog, 149 F.3d at 849 (citing Packer, 70 F.3d at 360).
Grouping the offenses to arrive at one total punishment, a portion of which is
then merely referenced as a consecutive sentence for the failure to appear
offense, is, in my mind, not imposing a separate penalty for the failure to
appear offense. Downgrading the failure to appear offense into an upward
adjustment for obstruction of justice -- which will almost always result in a
lesser sentence -- cannot satisfy the consecutive sentence requirement in
3146(b)(2) and is, therefore, not faithful to the congressional directive. See id.
("Contrary to the suggested treatment of a sentence in Commentary 3 to USSG
2J1.6, [ 3146(b)(2)] does not suggest that a sentencing court might determine a
total sentence for the underlying offense or offenses and the failure to appear
and then divide the sentence among the convictions."). Thus, 3146(b)(2) and
Commentary 3 to USSG 2J1.6 are inconsistent. Under such circumstances we
are required to apply the former. See Stinson v. United States, 508 U.S. 36, 38
(1993) ("[C]ommentary in the Guidelines Manual that interprets or explains a
guideline is authoritative unless it violates the Constitution or a federal statute .
. . ."); see also Packer, 70 F.3d at 360 ("[I]f guideline commentary 2J1.6 n.3
conflicts with statutory section 3146 we must apply the latter.").
19
The majority also relies on the amended language of USSG 3D1.1(b). See Maj.
Op., at n.3. Prior to Amendment 579, 3D1.1(b) provided "[a]ny count for
which the statute mandates imposition of a consecutive sentence is excluded
from the operation of [the grouping rules of] 2D1.2 - 3D1.15." USSG 3D1.1(b)
(1997). Thus, the consecutive sentence requirement of 3146(b)(2) excluded a
failure to appear conviction from the guideline grouping rules, an approach
consistent with the language of the statute. However, at that time, 3D1.1(b) was
in conflict with Commentary 3 to 2J1.6, which instructed the sentencing judge
to group the failure to appear conviction with the conviction for the underlying
offense.
20
Consequently, in 1998, Amendment 579 altered the language of 3D1.1(b) to

exclude from the grouping rules only those counts "for which the statute (1)
specifies a term of imprisonment to be imposed; and (2) requires that such a
term of imprisonment be imposed to run consecutively to any other term of
imprisonment." USSG Supp. to App. C, amend. 579, at 10 (1998). Because
3146(b)(2) does not specify a term of imprisonment to be imposed, the
guidelines no longer exempt a failure to appear conviction from the grouping
rules. Thus, 3D1.1(b) is now consistent with the sentencing approach outlined
in Commentary 3 to 2J1.6.
21
The majority's reliance on Amendment 579 is unpersuasive. As the Sentencing

Commission concedes, this amendment merely remedies prior inconsistencies
within the guidelines. See id. at 12. ("The amendment maintains the current
grouping rules for failure to appear . . . , but addresses internal inconsistencies
among different guidelines . . . ."). Despite the Sentencing Commission's
characterization of the amendment as "ensur[ing] an incremental, consecutive
penalty for the failure to appear count," it does nothing to remedy the inherent
conflict, discussed above, between the consecutive sentence requirement of
3146(b)(2) and the grouping approach outlined in Commentary 3 to USSG
2J1.6.
22
For the foregoing reasons, I would instruct the district court not to group the
failure to appear with the underlying offense and instead impose separate,
consecutive sentences.
Notes:
1
Admittedly, these cases were decided prior to Amendment 579 of the

Sentencing Guidelines. Two of the cases cited by the majority in support of its
holding, United States v. Magluta, 203 F.3d 1304, 1305 (11th Cir. 2000), and
United States v. Kirkham, 195 F.3d 126, 130-32 (2d Cir. 1999) considered
Amendment 579. However, as discussed hereinafter, it is my position that
Amendment 579 does not change the analysis of the Fifth, Sixth and Eighth
Circuits. Further, I do not believe United States v. Bell, 183 F.3d 746, 750 (8th
Cir. 1999), also cited by the majority in support of its holding, disturbs the
persuasive authority of Crow Dog. The Eighth Circuit decided Bell after its
decision in Crow Dog and the effective date of Amendment 579, but without
mention of either.

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213 F.3d 503 (10th Cir.

UNITED STATES OF AMERICA, Plaintiff-Appellee and

UNITED STATES COURT OF APPEALS, FOR THE TENTH

APPEALS FROM THE UNITED STATES DISTRICT COURT FOR

The mandates in all four appeals shall reissue forthwith.

Defendant Cheryl Marie Gigley pled guilty to failure to appear as required by

In the companion case, Defendant pled guilty to possession with intent to

We review the district court's statutory interpretation de novo. Robinson v. City

REMANDED for resentencing in accordance with this opinion.

The Government's objection is properly before us because the district court

Because 18 U.S.C. 3146(b)(2) does not require the imposition of a sentence of

however, apply clarifying amendments retroactively to help us understand an

guidelines, constitute grounds for an upward departure from the applicable

HENRY, Circuit Judge, dissenting, in part.

The majority concludes that when a defendant is convicted of failure to appear

Commentary 3 to 2J1.6 instructs the sentencing judge to group the failure to

However, I am unconvinced that Commentary 3, even with the additional

However, I am unconvinced that Commentary 3, even with the additional

Consequently, in 1998, Amendment 579 altered the language of 3D1.1(b) to

The majority's reliance on Amendment 579 is unpersuasive. As the Sentencing

Admittedly, these cases were decided prior to Amendment 579 of the

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