United States v. Doe
Full Opinion (html_with_citations)
OPINION OF THE COURT
The Appellants, John and Jane Doe,
I.
John and Jane Doe each pled guilty to one count of conspiracy to distribute crack cocaine (21 U.S.C. § 846) and one count of distribution of crack cocaine (21 U.S.C. § 841(a)(1)), and entered into cooperation plea agreements with the government. John Doeâs U.S.S.G. § 2D1.1 base offense level for these convictions was 34. He received a two-level increase for his role in the offense, and a three-level reduction for acceptance of responsibility, resulting in a total adjusted offense level of 33. His criminal history was category II. Ac
This mandatory minimum Guidelines sentence was not applied to John Doe, however, because of substantial assistance he provided to the government. The government moved for a downward departure from the mandatory minimum sentence pursuant to 18 U.S.C. § 3553(e) and from the Guidelines range pursuant to U.S.S.G. § 5K1.1. The District Court ultimately sentenced John Doe, on August 16, 2007, to 84 months imprisonment, a sentence well below both the mandatory minimum Guidelines sentence and the otherwise applicable Guidelines range.
Jane Doeâs U.S.S.G. § 2D1.1 base offense level for these convictions was 34. She received a three-level reduction for acceptance of responsibility, resulting in a total adjusted offense level of 31. Her criminal history was category II. Accordingly, this produced a Guidelines sentencing range of 121-151 months of imprisonment. Jane Doe, however, was also subject to a statutory mandatory minimum sentence of twenty years, due to a prior drug conviction. As the mandatory minimum sentence exceeded the Guidelines range, the mandatory minimum became the Guidelines sentence, pursuant to U.S.S.G. § 5G1.1.
This mandatory minimum Guidelines sentence was not applied to Jane Doe, however, because, like John Doe, she yielded substantial assistance to the government. The government moved for a downward departure from the mandatory minimum sentence pursuant to § 3553(e) and from the Guidelines range pursuant to U.S.S.G. § 5K1.1. The District Court ultimately sentenced Jane Doe, on May 17, 2007, to 41 months imprisonment, a sentence well below both the mandatory minimum Guidelines sentence and the otherwise applicable Guidelines range.
On November 1, 2007 â subsequent to the Appellantsâ sentencings â the United States Sentencing Commission passed Amendment 706, which changed U.S.S.G. § 2D1.1 by lowering the base offense levels for most quantities of crack cocaine by two levels. See U.S.S.G. Supp. to App. C. amend. 706. On December 11, 2007, the Sentencing Commission made Amendment 706 retroactive by including it in the list of retroactive amendments in § 1B1.10(c) of the Guidelines. U.S.S.G.App. C. amend. 713.
Subsequently, both Appellants filed motions for reduction of sentence pursuant to 18 U.S.C. § 3582(c)(2). Section 3582(c)(2) provides that, in the case of a defendant who has been sentenced to a term of imprisonment based on a sentencing range that has subsequently been lowered, the court may reduce the term of imprisonment if such a reduction is consistent with applicable policy statements issued by the Sentencing Commission. The District Court applied § 3582(c)(2) and found that a sentence reduction was not consistent with the applicable policy statements issued by the Sentencing Commission. The District Court therefore denied the Appellantsâ motions on September 15, 2008.
In 18 U.S.C. § 3582(c), Congress mandated that courts âmay not modify a term of imprisonment once it has been imposed.â Congress did provide exceptions to this general rule, one of which, § 3582(c)(2), provides,
[I]n the case of a defendant who has been sentenced to a term of imprisonment based on a sentencing range that has subsequently been lowered by the Sentencing Commission pursuant to 28 U.S.C. 994(o), upon motion of the defendant or the Director of the Bureau of Prisons, or on its own motion, the court may reduce the term of imprisonment, after considering the factors set forth in section 3553(a) to the extent that they are applicable, if such a reduction is consistent with applicable policy statements issued by the Sentencing Commission.
18 U.S.C. § 3582(c)(2).
As the District Court correctly identified, a defendant is eligible for a sentence reduction under § 3582(c)(2) only when two elements are satisfied: First, the defendant must have been âsentenced to a term of imprisonment based on a sentencing range that has subsequently been lowered by the Sentencing Commission;â and second, the sentence reduction must be âconsistent with applicable policy statements issued by the Sentencing Commission.â If a defendant fails to satisfy both requirements, a district court lacks jurisdiction to consider a sentence reduction. We agree with the District Court that the Appellants fail to satisfy the second requirement, and we decide this case solely on that ground.
The Sentencing Commissionâs policy statements regarding § 3582(c)(2) are set forth in U.S.S.G. § 1B1.10. See U.S.S.G. § 1B1.10 cmt. background. U.S.S.G. § lB1.10(a)(2) provides:
A reduction in the defendantâs term of imprisonment is not consistent with this policy statement and therefore is not authorized under 18 U.S.C. § 3582(c)(2) ifâ
(A) None of the amendments listed in subsection (c) is applicable to the defendant; or
(B) An amendment listed in subsection (c) does not have the effect of lowering the defendantâs applicable guideline range.
U.S.S.G. § lB1.10(a)(2).
Amendment 706 is listed in subsection (c). Although Amendment 706 would have lowered John Doeâs initial sentencing range calculated under U.S.S.G. § 5A (the sentencing table) from 151-188 months to 121-151 months, and Jane Doeâs initial sentencing range from 121-152 months to 97-121 months, the amendment did not lower either of the Appellantsâ mandatory minimum sentences. The District Court correctly identified the flashpoint of controversy:
Thus, the critical issue is whether the term âapplicable guideline rangeâ in § 1B1.10(a)(2)(B) refers to [the Appellantsâ] initial sentencing range ... calculated under § 5A or [the Appellantsâ] guideline sentence of [life imprisonment or twenty years, respectively] calculated under § 5Gl.l(b).
As we explain below, the term âapplicable guideline rangeâ in § lB1.10(a)(3)(B) refers to the Appellantsâ Guideline sentences as set by the statutory mandatory minimum. As the Appellantsâ mandatory minimum sentences were not affected by Amendment 706, the Appellants are ineligible for a sentence reduction.
III.
The Appellants advance six arguments on appeal, which we consider seriatim.
As discussed above, the District Court held, and we agree, that deciding this case solely on the second element of § 3582(c)(2) is appropriate and we therefore decline to address the Appellantsâ âbased onâ argument.
IV.
Second, the Appellants argue that by requiring an amendment to âhave the effect of lowering a defendantâs applicable guideline range,â the policy statement of U.S.S.G. § 1B1.10(a)(2) implicitly redefines the § 3582(c)(2) term âbased onâ and that the District Courtâs interpretation of § lB1.10(a)(2) assumes that a sentence may be âbased onâ only one thing, in this case the mandatory minimum. The Appellants contend that this narrow interpretation of the policy statement conflicts with the broader terms and congressional intent of § 3582(c)(2) and therefore must be rejected. See Stinson v. United States, 508 U.S. 36, 45, 113 S.Ct. 1913, 123 L.Ed.2d 598 (1993) (holding that the Sentencing Guidelines commentary is analogous to an agencyâs interpretation of its own legislative rule, and therefore is âauthoritative unless it violates the Constitution or a federal statuteâ).
Specifically, the Appellants argue that a statute must be read with its ordinary meaning in mind. See United States v. Geiser, 527 F.3d 288, 294 (3d Cir.2008) (âWhen determining a statuteâs plain meaning, our starting point is âthe ordinary meaning of the words used.â â). As the word âbasisâ has multiple meanings, including âa supporting layer or part,â the Appellants argue that § 3582(c)(2) does not require that the subsequently lowered sentencing range be the sole or even the primary basis for the sentence.
Although there is often no one basis for a criminal sentence, the Appellants misread the District Courtâs opinion. The plain language of § 3582(c)(2) requires that a sentence reduction be âconsistent with applicable policy statements issued by the Sentencing Commission.â § 3582(c)(2). The plain language of the statute, therefore, specifically incorporates the Commissionâs policy statements, including the policy statement requiring that the amendment have the effect of lowering the defendantsâs applicable Guideline range. U.S.S.G. § lB1.10(a)(2). Additionally, 28 U.S.C. § 994(u) provides that â[i]f the Commission reduces the term of imprisonment recommended in the guidelines applicable to a particular offense or category of offenses, it shall specify in what circumstances and by what amount the sentences of prisoners serving terms of imprisonment may be reduced.â § 994(u). See also Braxton v. United States, 500 U.S. 344, 348, 111 S.Ct. 1854, 114 L.Ed.2d 385 (1991) (citing § 994(u) and holding that âCongress has granted the Commission the unusual explicit power to decide whether and to what extent its amendments reducing sentences will be given retroactive effectâ). Under the express statutory language of § 3582(c)(2) and § 994(u), the Commissionâs policy statements implementing retroactive sentence reduction are binding.
Not only did Congress intend to incorporate the Commissionâs policy statements into § 3582(c)(2), but the policy statement and § 3582(c)(2) are complementary. The first prong of § 3582(c)(2) requires that a defendant have been sentenced based on a sentencing range that has subsequently been lowered. The policy statement requires that the amendment must have actually had the effect of lowering the Guide
V.
Third, the Appellants argue that term âapplicable guideline rangeâ in U.S.S.G. § lB1.10(a)(2) refers to the appellantsâ initial Guideline ranges, which were subsequently lowered by Amendment 706, and not their mandatory minimum sentences, which were not affected by the amendment. We disagree. Both the Guideline language and Third Circuit precedent require otherwise.
Both the language and structure of the Guidelines lead to the conclusion that âapplicable guideline rangeâ in § lB1.10(a)(2)(B) refers to the Appellantsâ Guideline sentence, calculated under § 5Gl.l(b). First, U.S. S.G. § 1B1.1, the Commissionâs general instruction on how to apply the Guidelines, specifies that applying a mandatory sentence pursuant to § 5Gl.l(b) is the last step in determining the Appellantsâ applicable Guideline sentence. The Sentencing Commission directs courts to apply the Guideline provisions in a specific order. First, a court determines the Guideline range. U.S.S.G. § lBl.l(g). Then, a court calculates the Guideline sentence under chapter five of the Guidelines. U.S.S.G. § lBl.l(h). This includes the calculation of the statutory mandatory mĂnimums for both the Appellants under § 5Gl.l(b). Therefore, as the District Court held, the calculation of the statutory mandatory minimum under § 5Gl.l(b), not that of the initial Guideline range under § 5A, was the final step in determining the Appellantsâ applicable Guideline ranges. Moreover, the language of § 5Gl.l(b) itself requires this result. It provides â[w]here a statutorily required minimum sentence is greater than the maximum of the applicable guideline range, the statutorily required minimum sentence shall be the guideline sentence.â U.S.S.G. § 5Gl.l(b).
In addition to taking guidance from the Guideline language, we addressed this issue in United States v. Cordero. In Cordero, the defendant pled guilty to various drug-related offenses. 313 F.3d 161, 162 (3d Cir.2002). The applicable Guideline range for the defendant was 63-78 months, but the defendant was subject to a mandatory minimum of 120 months. After granting the governmentâs motion for a downward departure pursuant to U.S.S.G. § 5K1.1 and 18 U.S.C. § 3553(e), the district court sentenced the defendant to 86 months imprisonment. The district court used the 120 month mandatory minimum, rather than the otherwise applicable Guideline range, as the starting point for granting the downward departure. The defendant appealed, arguing that the district court should have applied the departure to the 63-78 month Guideline range, rather than the 120 month mandatory minimum.
The Cordero court held that in such a situation the mandatory period of incarceration is not waived, but rather âsubsumes and displaces the otherwise applicable guideline range and thus becomes the starting point for any departure or enhancement that the sentencing court may apply in calculating the appropriate sentence under the guidelines.â Cordero, 313 F.3d at 166. Although Cordero addresses the appropriate starting point for a downward departure rather than the interpretation of § 3582(c)(2), its reasoning is instructive. The rationale of Cordero requires that the term âapplicable guideline rangeâ in § 1B1.10(a)(2) refer to the Appellantsâ Guideline sentences as calculated under § 5Gl.l(b) because that sentence subsumed and replaced their initial sentencing ranges calculated under § 5A.
The Guidelinesâ Application Notes to § 1B1.10 also support this reasoning:
[A] reduction in the defendantâs term of imprisonment is not authorized under 18 U.S.C. § 3582(c)(2) and is not consistent with this policy statement if ... an amendment listed in subsection (c) is applicable to the defendant but the amendment does not have the effect of lowering the defendantâs applicable guideline range because of the operation of another guideline or statutory provision (e.g., a statutory mandatory minimum term of imprisonment).
U.S.S.G. § 1B1.10 cmt. l(A)(emphasis added). See also United States v. Poole, 550 F.3d 676, 679 (7th Cir.2008) (âThe Application Note confirms that Amendment 706 does not have the effect of lowering [the defendantâs] guideline range because the range applicable to her by operation of law was the statutory minimum term.â); United States v. Williams, 551 F.3d 182, 186 (2d Cir.2009) (âWe are bound by the language of [U.S.S.G. § 1B1.10, application note 1] because Congress has made it clear that a court may reduce the terms of imprisonment under § 3582(c) only if doing so is âconsistent with applicable policy statements issued by the Sentencing Commission.â â); United States v. Johnson, 517 F.3d 1020, 1024 (8th Cir.2008) (same).
In essence, the Appellantsâ argument turns on the relationship between âapplicable guideline rangeâ and âguideline sentence.â U.S.S.G. § 5Gl.l(b) requires that a mandatory minimum greater than the applicable Guideline range shall be the Guideline sentence and § lB1.10(a)(2)(B) excludes a reduction if an amendment does not have the effect of lowering a defendantâs applicable guideline range. The Appellants argue that the term âapplicable guideline rangeâ cannot refer to the Guideline sentence because the Guidelines create a distinction between the terms. The simplicity of this argument is appealing, but nevertheless it is dispelled by the clear import of the § 1B1.1 order for sentence determination, the language of § 5Gl.l(b), the commentary to § 1B1.10 and our holding in Cordero.
The key term is âapplicableâ Guideline range, rather than âinitialâ Guideline range. Because the Appellantsâ mandatory minimum sentences under § 5Gl.l(b) subsumed and displaced their initial Guideline ranges, the applicable Guideline range for purposes of § lB1.10(a)(2)(B) must be the Appellantsâ mandatory minimum sentences, which were not affected by Amendment 706. See also United States v. Moore, 541 F.3d 1323, 1330 (11th Cir.2008) (holding that a defendant is not eligible for resentencing under § 3582(c)(2) where âa retroactively applicable guideline amendment reduces a defendantâs base offense level, but does not alter the sentencing range upon which his or her sentence was basedâ).
VI.
Fourth, the Appellants argue that the District Court erred in treating the Sentencing Commissionâs policy statements as binding after United States v. Booker. In Booker, the Supreme Court re-affirmed that the Sixth Amendment is violated by the imposition of an enhanced sentence under the United States Sentencing Guidelines based on the sentencing judgeâs de
Nowhere in Booker did the Supreme Court mention § 3582(c)(2). Because § 3582(c)(2) proceedings may only reduce a defendantâs sentence and not increase it, the constitutional holding in Booker does not apply to § 3582(c)(2). See Booker, 543 U.S. at 244, 125 S.Ct. 738. Additionally, the remedial holding in Booker invalidated only 18 U.S.C. § 3553(b)(1), which made the Sentencing Guidelines mandatory for full sentencings, and § 3742(e), which directed appellate courts to apply a de novo standard of review to departures from the Guidelines. Therefore, Booker âapplies to full sentencing hearings â whether in an initial sentencing or in a resentencing where the original sentence is vacated for error,â but not to sentence modification proceedings under § 3582(c)(2). United States v. Dunphy, 551 F.3d 247, 253 (4th Cir.2009); see also United States v. McBride, 283 F.3d 612, 615 (3d Cir.2002) (citing United States v. Faulks, 201 F.3d 208, 210 (3d Cir.2000)) (distinguishing a âfull resentencingâ from a reduction of sentence under § 3582(c)(2)). Not only are sentence modification proceedings sanctioned under a different section of the statute than those at issue in Booker, but the Booker court held that â[wjith these two sections excised (and statutory cross-references to the two sections consequently invalidated), the remainder of the Act satisfies the Courtâs constitutional requirements.â Booker, 543 U.S. at 259, 125 S.Ct. 738. âSection 3582(c)(2) contains no cross-reference to § 3553(b) and therefore was not affected by Booker. Nor is there anything else in Booker that directly addresses § 3582(c) proceedings.â Dunphy, 551 F.3d at 253; see also United States v. Rhodes, 549 F.3d 833, 839-840 (10th Cir.2008) (holding that Bookerâs remedial holding does not operate on § 3582(c)(2) and that Sentencing Commission Policy Statements are binding on district courts pursuant to § 3582(c)(2)).
In addition, this Court has previously rejected the notion that Booker renders the Guidelines advisory for purposes of § 3582(c)(2). In United States v. Wise, the defendants were convicted and sentenced for a crack offense before Amendment 706 became retroactive. 515 F.3d 207, 221 (3d Cir.2008). U.S.S.G. § 1B1.10 provides that a reduction under § 3582(c)(2) is not authorized unless the amendment is currently retroactive. The defendants in Wise argued that because the Guidelines were no longer mandatory, they need not wait for Amendment 706âs retroactivity to apply to seek relief under § 3582(c)(2). This Court said,
That fundamentally misunderstands the limits of Booker. Nothing in that decision purported to obviate the congressional directive on whether a sentence could be reduced based on subsequent changes in the Guidelines. As we have stated before, â[t]he language of the applicable sections could not be clearer: the statute directs the Court to the policy statement, and the policy statement provides that an amendment not listed in subsection (c) may not be applied retroactively pursuant to 18 U.S.C. § 3582(c)(2).â
Id. at 221 n. 11 (citing United States v. Thompson, 70 F.3d 279, 281 (3d Cir.1995)).
Admittedly, the Ninth Circuit, in United States v. Hicks, held that Booker abolished the mandatory application of the Sentencing Guidelines in all contexts. 472 F.3d 1167, 1169 (9th Cir.2007). We, however, associate ourselves with the reasoning of the Tenth, Eighth, and Fourth Circuits in rejecting Hicks. .
âThe problem with the Hicks decision, in our view, is that it failed to consider that ... sentence modification proceedings have a different statutory basis than original sentencing proceedings. As a result, the Ninth Circuit erroneously concluded that the remedial portion of the Booker decision, which rendered the guidelines effectively advisory for purposes of original sentencing proceedings, applied to § 3582(c)(2) proceedings as well.â
Rhodes, 549 F.3d at 841. See also United States v. Starks, 551 F.3d 839, 841-842 (8th Cir.2009) (disagreeing with Hicks and concurring with Rhodes that sentence modification proceedings have a different statutory basis than original sentencing proceedings); Dunphy, 551 F.3d at 254 (âWe find the Hicks analysis to be flawed because it fails to consider two marked characteristics of a § 3582(c)(2) proceeding ...: (1) this proceeding allows only for downward adjustment and (2) this proceeding is not a full resentencing hearing.â).
Because U.S.S.G. § 1B1.10 is binding on the District Court pursuant to § 3582(c)(2), the District Court correctly concluded that it lacked the authority to further reduce the Appellantsâ sentences.
VII.
Fifth, the Appellants argue that the District Court opinion compels patently absurd and unfair results. Specifically, the Appellants argue that: 1) defendants subject to a mandatory minimum, but with higher offense levels or criminal levels that boost their applicable Guideline range above the mandatory minimum, would be eligible for a § 3582(c)(2) reduction, while an offender with a lower criminal history level or lower offense level, whose Guideline range is less than the mandatory minimum, would not be eligible for relief; 2) defendants who plead guilty and cooperate with the government will not be entitled to the benefit of the amended Guideline range; and 3) substantial assistance departures reward assistance, but do not address the crack/powder cocaine disparity and therefore fail to remedy that injustice. We find the Appellantsâ arguments unpersuasive because they ignore Cordero and the clear statutory directive of § 3582(c)(2).
VIII.
Finally, the Appellants argue that the District Court erred in denying their motions for sentence modification by â failing to apply the rule of lenity. In interpreting an ambiguous criminal statute, the court should resolve the ambiguity
In this case, the phrases âbased onâ and âthe effect of lowering the defendantâs applicable guideline rangeâ need to be interpreted, but consideration of the language structure, subject matter, context and history of § 3582(c)(2) and U.S.S.G. § 1B1.10(a)(2) establishes that they do not contain such an ambiguity that the Court can make no more than a guess as to what Congress intended.
IX.
In providing that sentence reductions must be consistent with applicable Sentencing Commission policy statements, § 3582(c)(2) creates a jurisdictional bar to sentence modification when a retroactive amendment does not have the effect of lowering the Guideline sentence. As Amendment 706 did not have the effect of lowering the Appellantsâ mandatory minimum sentences under § 5Gl.l(b), the Appellants fail to satisfy the second element of § 3582(c)(2) and are therefore ineligible for a sentencing reduction under that section. The decision of the District Court will be affirmed.
. The Appellants' unopposed motion to proceed under pseudonym was granted on January 7, 2009.
. The District Court had jurisdiction pursuant to 18 U.S.C. § 3231. This Court has jurisdiction pursuant to 18 U.S.C. § 1291. This Court exercises plenary review over a district courtâs interpretation of a provision of law. United States v. Wood, 526 F.3d 82, 85 (3d Cir.2008).
. âWhere a statutorily required minimum sentence is greater than the maximum of the applicable guideline range, the statutorily required minimum sentence shall be the guideline sentence.â U.S.S.G. § 5Gl.l(b).