United States v. DunphyUnited States v. Dunphy
Affirmed by published opinion. Judge DUNCAN wrote the opinion, in which Judge WILKINSON and Judge BENNETT concurred.
OPINION
In 2003, Gena Dunphy pleaded guilty to aiding and abetting the possession of crack
The district court reduced Dunphy’s sentence to 108 months, the minimum available to her under the amended guidelines, but declined to grant a further reduction below the 108-month minimum on the ground that it lacked authority to do so. Dunphy timely appealed. Because the district court properly interpreted the limits of its authority, we affirm.
I.
Dunphy pleaded guilty in May of 2003 to a single count of aiding and abetting the possession of crack cocaine with intent to distribute in violation of
Several years later, the Sentencing Commission issued Amendment 706, which altered the drug quantity table set forth in U.S.S.G. § 2D1.1 to effectively lower the base offense level for offenses involving crack cocaine by two levels. 1 The Commission added Amendment 706 to the list in the U.S.S.G. § lB1.10(c) policy statement that designates those guidelines amendments which may be applied retroactively. 2
Based on these amendments, Dunphy moved in the district court for a reduction of her sentence pursuant to
Dunphy nevertheless requested that the district court grant a further reduction to a sentence below 108 months. She acknowledged that with respect to defendants who were originally sentenced within the guideline range, as she had been, the
The district court disagreed. It denied Dunphy’s motion insofar as she sought a reduction below the minimum amended guideline range on the ground that it lacked such authority under § 3582(c)(2). J.A. 84-87. The court observed that § 3582(c) proscribes the modification of a term of imprisonment once it has been imposed, except under narrow circumstances provided in the statute, and permits a reduction only if “consistent with applicable policy statements issued by the Sentencing Commission.” J.A. 83-85 (quoting § 3582(c)(2)). The court further pointed to the directive in
This appeal followed.
II.
The district court’s determination that it lacked authority to reduce Dunphy’s sentence to a term below the amended guideline range is a question of law that we review de novo.
United States v. Legree,
We begin our analysis with a consideration of the statutes and guidelines involved. The congressional directive in
In
Under the express statutory language of
(1) In General. — In a case in which a defendant is serving a term of imprisonment, and the guideline range applicable to that defendant has subsequently been lowered as a result of an amendment ..., the court may reduce the defendant’s term of imprisonment as provided by18 U.S.C. § 3582(c)(2) ....
(3) Limitation. — [Proceedings under18 U.S.C. § 3582(c)(2) and this policy statement do not constitute a full resentenc-ing of the defendant.
U.S.S.G. § lB1.10(a) (as amended by Amendment 712 effective March 3, 2008) (emphasis added).
Subsection lB1.10(b)(i), in turn, specifies the mechanism for calculating the amended guideline range:
[T]he court shall determine the amended guideline range that would have been applicable to the defendant if the amendment(s) to the guidelines listed in subsection (c) had been in effect at the time the defendant was sentenced. In making such determination, the court shall substitute only the amendments listed in subsection (c) for the corresponding guideline provisions that were applied when the defendant was sentenced and shall leave all other guideline application decisions unaffected.
U.S.S.G. § lB1.10(b)(l) (as amended by Amendment 712 effective March 3, 2008) (emphases added).
Subsection lB1.10(b)(2)(A), which applies when a defendant (like Dunphy) received a within-guidelines sentence at her original sentencing, limits the extent of the reduction to the minimum of the amended guideline range. It states in pertinent part that “the court shall not reduce the defendant’s term of imprisonment under
Under subsection (b)(2), the amended guideline range ... limit[s] the extent to which the court may reduce the defendant’s term of imprisonment under 18 U.S.C. 3582(c)(2) and this policy statement. Specifically, if the original term of imprisonment imposed was within the guideline range applicable to the defendant at the time of sentencing, the court shall not reduce the defendant’s term of imprisonment to a term that is less than the minimum term provided by the amended guideline range determined under subsection (b)(1).
U.S.S.G. § 1B1.10, App. Note 3 (as amended by Amendment 712 effective March 3, 2008) (emphasis added).
Moreover, proceedings under § 3582(c)(2) “do not constitute a full resen-tencing of the defendant.” U.S.S.G. § lB1.10(a)(3);
see Legree,
III.
A.
Dunphy advances two arguments on appeal, which we consider in turn. First, she argues that limiting the extent of a § 3582(c)(2) sentencing reduction is the functional equivalent of a mandatory application of the guidelines which
Booker
and
Kimbrough v. United States,
— U.S. -,
In
Booker,
the Supreme Court concluded that the Sixth Amendment requires that the jury, not the judge, find the facts that establish the mandatory guideline range. The Court remedied that Sixth Amendment constitutional defect reflected in the guidelines by severing the provisions that made them mandatory. Because the guidelines are now advisory, the courts must
consider
the guidelines as well as the other factors in
Nothing in
Booker,
however, expands the permissible extent of sentencing reductions under § 3582(c)(2). Even before
Booker,
the guidelines were not mandatory in § 3582(c) proceedings. Courts are not
required
to reduce a sentence. Section 3582(c)(2) merely provides that they “may” do so in certain circumstances. And even if a court does reduce a sentence, it is not required to do so to the full extent allowed by a retroactive guideline amendment. Instead, then, as now, courts are to “con-sidere ] the factors set forth in
Booker
thus had no direct effect on § 3582(c)(2). While it applied the now-familiar rule that “[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt,”
Booker,
Booker’s
remedial holding is likewise inapplicable.
Booker applies to full sentencing hearings
— whether in an initial sentencing or in a resentencing where the original sentence is vacated for error. The Booker Court excised and severed the provision —
The Court in
Booker
did apply its advisory guidelines remedy to full sentencing hearings in which no Sixth Amendment violation existed, concluding that Congress would not have wanted the guidelines to be mandatory in some contexts and advisory in others.
Id.
at 266,
Second, the Booker Court observed that making the guidelines partially advisory and partially mandatory in federal sen-tencings would create significant “administrative complexities.” Id. However, given the limited scope of a proceeding under § 3582(c)(2), the “administrative complexities” that led the Supreme Court to require all guideline provisions to be advisory at full sentencing proceedings are not present here. Id. On the contrary, a holding that Booker requires full resentencings whenever a guideline is made retroactive would create administrative complexities and vastly expand the scope of a sentencing reduction proceeding under § 3582(c)(2).
Albeit in a slightly different context, the Third Circuit has rejected the notion that
Booker,
by rendering the guidelines advisory, overrides the requirements of § 3582(c). In
United States v. Wise,
the defendants argued that they could gain relief under the crack amendments immediately, even though the amendments had not yet become effective.
Some may argue that, because the Guidelines are no longer mandatory, defendants need not wait to apply for relief under § 3582(c)(2). That fundamentallymisunderstands 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, ‘[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) .’
Id.
at 221 n. 11 (quoting
United States v. Thompson,
Dunphy, however, relies on the decision in
United States v. Hicks
in which the Ninth Circuit held that reducing a sentence below the amended guideline range was permissible under
However, the post-Amendment 712 version of the policy statement in § 1B1.10, applicable in the instant case, expressly provides that a
Hicks,
however, went further and concluded that even if the applicable policy statements had been inconsistent with reducing a sentence below the amended guideline range, those policy statements would have to “give way.”
In an unpublished decision in
United States v. Outlaw,
this court rejected the defendant’s effort to obtain a further reduction under
Booker.
Given that Booker does not apply to defendants whose sentences were final when Booker was decided, applying Booker in § 3582(c) proceedings would create patent inequity among convicted defendants. 5 Section 3582(c)(2) was meant only to permit courts to reduce certain defendants’ sentences to account for retroactive guideline amendments. To grant these defendants a further reduction that is not afforded to similarly situated defendants would increase the unwarranted sentencing disparities Congress sought to reduce in the Sentencing Reform Act. 6
Dunphy also cites Kimbrough for the propositions that offense levels based on crack cocaine quantity specifically are advisory and that, in deciding whether to depart downward from the guideline range, courts may take into account the disparity between sentencing for powder cocaine and crack cocaine. See Appellant Br. at 12-13. However, nothing in Kim-brough undercuts the district court’s judgment because the Court in Kimbrough did not address § 3582(c) proceedings.
B.
In addition to her
Booker
argument, Dunphy argues that the express limitation on the extent of her sentence reduction established by U.S.S.G. § lB1.10(b) should be disregarded as a matter of statutory interpretation. Dunphy claims that the language in § 3582(c)(2) directing the court to “consider the factors in § 3553(a) to the extent that they are applicable” mandates a full resentencing in every case and precludes the Commission from setting any limitation on the extent of a
Contrary to Dunphy’s argument, the reference in § 3582(c) to consideration of the § 3553(a) factors does not invalidate the limitations in the U.S.S.G. § lB1.10(b) policy statement. Rather, the reference in § 3582(c) is implemented through the U.S.S.G. § 1B.10 requirement that a court consider the § 3553(a) factors (including the guidelines) in determining: (1) whether a reduction is warranted and (2) the extent of such reduction. U.S.S.G. § 1B1.10, App. Note l(B)(i). 7 In that manner, consideration is given to the § 3553(a) factors without turning a § 3582(c) hearing into a full sentencing hearing and without disregarding the § 3582(c) requirement that a reduction be consistent with the Commission’s policy statements. As the Eighth Circuit held in Hasan:
The language of the statute,18 U.S.C. § 3582(c)(2) , is clear. The factors set forth in § 3553(a) and the applicable policy statements are to be considered only when making the decision whether to reduce a term of imprisonment as a result of the Sentencing Commission’s lowering of the sentencing range. The statute does not say that the court may reduce the term of imprisonment below the amended sentencing range or that the § 3553(a) factors or the applicable policy statements should be considered for such an additional reduction.
Hasan,
The district court here expressly considered the § 3553(a) factors in making the determination (1) that a reduction of Dun-phy’s term of imprisonment was warranted and (2) that the extent of the reduction for Dunphy should be to the minimum of the amended guideline range. It properly did so in accord with the limits described in U.S.S.G. § lB1.10(b), refusing to go below the minimum of the amended guideline range. 8 J.A. 82-83.
Dunphy also argues that the § lB1.10(b) policy statement and accompanying commentary are “not the type of policy statement Congress had in mind in § 3582(c)(2).”
9
Appellant Br. 15. To support her argument, Dunphy references the Supreme Court’s statement in
Braxton,
Dunphy further argues that § lB1.10(b) is invalid under
Dunphy notes that the Commission described Amendment 706 as an interim measure to alleviate some of the problems associated with the 100-to-l powder/crack drug quantity ratio. But that does not make the amended drug-quantity guideline invalid in the present case. See U.S.S.G. § 2Dl.l(c). Nor does the Commission’s description of Amendment 706 as an interim measure invalidate § lB1.10(b), the policy statement that, in conjunction with § 3582(c), controls the retroactive effect of lowered guidelines.
IV.
When a sentence is within the guidelines applicable at the time of the original sentencing, in an 18 U.S.C § 3582(c) resen-tencing hearing, a district judge is not authorized to reduce a defendant’s sentence below the amended guideline range. Consequently, the district court’s order is
AFFIRMED.
Notes
. Amendment 706 was further amended in the technical and conforming amendments set forth in Amendment 711, which also became effective November 1, 2007. Amendment 706 was incorporated through Amendment 713. Amendment 712, discussed below, concerns separate changes made to the U.S.S.G. § 1B1.10 policy statement.
. A guideline amendment may be applied retroactively only when expressly listed in U.S.S.G. § 1B1.10(c).
United States v. McHan,
. Further, the limits § 3582(c)(2) and U.S.S.G. § 1B1.10 impose on the extent of reductions are, at most, the equivalent of mandatory minimum sentences, which the Sixth Amendment permits within an otherwise-authorized sentencing range.
See Harris v. United States,
. In a recent decision, the Tenth Circuit also rejected the argument in
Hides. United States v. Rhodes,
. We note that the conclusion that
Booker
does not apply in proceedings under
. If we were to adopt Dunphy’s argument, for instance, a defendant convicted of possession of a large quantity of powder cocaine and a small quantity of crack cocaine could be eligible for full resentencing, even if the quantity of powder cocaine was sufficient to yield the original base offense level (so that the retroactive crack cocaine amendments alone would not yield any reduction). The same situation would arise whenever an offense that accompanied the crack cocaine offense was sufficient to yield the original base offense level. Similarly, a full resentencing for those eligible for potential reduction under retroactive amendments would mean that they alone among those convicted would presumably have the opportunity to bring events that happened subsequent to their original sentencing to bear in their resentencing. Or, again, those eligible for potential reduction under retroactive amendments would have the opportunity to represent original mitigating factors in the hopes that a different judge would be more lenient than the original sentencing judge. These illustrations also make apparent the additional administrative complexities that would accompany a holding that would transform a
. App. Note 1(B)(1) to U.S.S.G. § 1B1.10 provides:
In general. — Consistent with18 U.S.C. § 3582(c)(2) , the court shall consider the factors set forth in18 U.S.C. § 3553(a) in determining: (I) whether a reduction of the defendant’s term of imprisonment is warranted; and (II) the extent of such reduction, but only within the limits described in [U.S.S.G. § 1B1.10(b)],
. Further, Dunphy’s proposed interpretation of § 3582(c) ignores the language in that statute immediately following the reference to 3553(a) — language that expressly conditions the availability of any reduction on consistency with the Commission's applicable policy statements.
.Dunphy would apparently have this Court give full effect under § 3582(c) to the portion of § IB 1.10 designating Amendment 706 as retroactive, see U.S.S.G. § 1B1.10(c), but conveniently ignore the remainder of the same policy statement.