UNITED STATES of America, Plaintiff-Appellee, v. James Manuel BANUELOS, Defendant-Appellant.
No. 01-50051.
United States Court of Appeals, Ninth Circuit.
Filed March 10, 2003.
322 F.3d 700
Argued and Submitted March 5, 2002.
The judgment of the district court is AFFIRMED.3
Patrick K. O‘Toole, United States Attorney (when brief was filed), Carol C. Lam, United States Attorney (when opinion was filed), Todd W. Robinson, Assistant United States Attorney, San Diego, CA, for the plaintiff-appellee.
Before PREGERSON, FISHER and TALLMAN, Circuit Judges.
Opinion by Judge FISHER; Dissent by Judge TALLMAN.
OPINION
FISHER, Circuit Judge.
We are once again confronted with an Apprendi-based challenge to a sentence for a federal drug offense. James Manuel Banuelos contends that the district court erred in sentencing him to 120 months in prison for conspiracy to distribute controlled substances, in violation of
FACTUAL & PROCEDURAL BACKGROUND
Banuelos was arrested for his involvement with Xclusive Auto Center, a San Diego business that served as a narcotics brokerage house—a hub for drug wholesalers to deliver their products to transportation and distribution organizations. Banuelos acted as a broker who arranged the delivery of shipments of marijuana between wholesale distributors and transportation and distribution organizations.
The government charged Banuelos and 25 other individuals in a multi-count indictment. He ultimately pled guilty to Count Two, which charged him with conspiracy to distribute controlled substances, including marijuana, in violation of
At the change of plea hearing, Banuelos agreed that “the government could prove in this case that the total amount of marijuana that is attributable to this conspiracy is 1000 kilograms,” but he disputed that the 1000 kilograms should be personally attributed to him for purposes of sentencing. The district court informed Banuelos that the mandatory minimum would be 10 years and that the maximum would be life imprisonment. The court explained that those would be the minimum and maximum sentences “if [the court found] that [Banuelos was] responsible for the entire amount of drugs that was distributed by the conspirators in this case.”
The court identified two issues to be resolved at the sentencing hearing:
Okay. So we are proceeding along the marijuana—deciding how much marijuana the conspiracy was involved in distributing, and then how much of that you should be liable for. So those are two different issues.
Banuelos did not dispute that the conspiracy distributed more than 1000 kilograms of marijuana, and he confirmed that he was waiving his right to have a jury decide that issue. Banuelos did not, however, explicitly waive his right to a jury determination of drug quantity attributable to him.1 He continued to dispute that he should be held liable for the entire quantity of drugs distributed by the conspiracy, and he maintained that the district court was required to make the finding of drug quantity attributable to him beyond a reasonable doubt. The court disagreed and instead found by clear and convincing evidence that Banuelos was “personally responsible for at least 1000 kilograms of marijuana” and that the quantity distributed by the conspiracy was reasonably foreseeable to him. Based on those findings, the court sentenced Banuelos pursuant to
On appeal, Banuelos claims that the district court employed the wrong burden of proof to determine the quantity of drugs for which he should be held responsible.2 We reverse and remand for resentencing.
STANDARD OF REVIEW
Whether the district court applied the correct burden of proof in attributing drug quantity to Banuelos and whether the district court properly applied Apprendi are questions of law that we review de novo. United States v. Gill, 280 F.3d 923, 930 (9th Cir.2002).
ANALYSIS
I.
In sentencing a defendant convicted of conspiracy to distribute a controlled substance, a district court may not automatically count as relevant conduct the entire quantity of drugs distributed by the conspiracy. United States v. Garcia-Sanchez, 189 F.3d 1143, 1147 (9th Cir.1999). Rather, the court must find the quantity of drugs that either (1) fell within the scope of the defendant‘s agreement with his coconspirators or (2) was reasonably foreseeable to the defendant. United States v. Gutierrez-Hernandez, 94 F.3d 582, 585 (9th Cir.1996); Petty, 992 F.2d at 890. This rule is well-settled as a matter of sentencing under the Guidelines, but we have also applied it to sentencing under the statute of offense. United States v. Becerra, 992 F.2d 960, 966-67 & n. 2 (9th Cir.1993) (holding that court may not impose statutory mandatory minimum without finding that “a particular defendant had some connection with the larger amount on which the sentencing is based or that he could reasonably foresee that such an amount would be involved in the transactions of which he was guilty“); see also United States v. Mesa-Farias, 53 F.3d 258, 260 (9th Cir.1995) (describing Becerra as requiring that “sentencing for conspiracy be the same under
Banuelos does not dispute that the district court conducted the proper substantive inquiry here, and the record reflects that the district court considered both whether Banuelos himself distributed more than 1000 kilograms of marijuana and whether that amount was reasonably foreseeable. Rather, Banuelos’ challenge, which we find meritorious, is based on the district court‘s choice as to the proper burden of proof.
Apprendi requires the government to prove beyond a reasonable doubt any
The next step in assessing a claim of Apprendi error is to determine whether the court made any findings that exposed the defendant to a greater statutory maximum punishment than that authorized by the plea. Here, the district court made two relevant findings, only one beyond a reasonable doubt. On the basis of Banuelos’ own admission, the district court found beyond a reasonable doubt that the conspiracy distributed more than 1000 kilograms of marijuana. However, the district court employed a clear and convincing standard of proof in determining “the quantity of drugs that [Banuelos]
reasonably foresaw would be distributed or that fell within the scope of his own agreement with his co-conspirators.” Becerra, 992 F.2d at 966. On the basis of those findings, the court sentenced Banuelos pursuant to
We next review the Apprendi violation for harmless error. “Although our cases sometime conflate the question of whether an Apprendi violation occurred with the question of whether the error requires resentencing, the inquiries are distinct.” United States v. Minore, 292 F.3d 1109, 1121 n. 10 (9th Cir.2002); see also Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 2439, 153 L.Ed.2d 556 (2002) (“If a State makes an increase in a defendant‘s authorized punishment contingent on a finding of fact, that fact ... must be found by a jury beyond a reasonable doubt.” (emphasis added)); United States v. Antonakeas, 255 F.3d 714, 728 (9th Cir.2001) (separating error analysis from prejudice analysis); United States v. Garcia-
Because Banuelos challenged only his sentence, and not his conviction, we are required to remand the case with instructions to the district court to resentence Banuelos “subject to the maximum sentence supported by the facts found by the
[fact-finder] beyond a reasonable doubt.” Nordby, 225 F.3d at 1062 (explaining that new trial may be ordered to correct sentencing error where defendant challenges both conviction and sentence, but court may not order a retrial of a conviction that the defendant “has accepted as final“); see also Velasco-Heredia, 319 F.3d 1080, 2003 WL 152767 at *6 (remanding for resentencing under
II.
In the alternative, the government contends that Banuelos pled guilty to conspiracy to distribute an unspecified quantity of methamphetamine as well as marijuana and thus that he properly could have been sentenced to as many as 20 years in prison, pursuant to
It is true that Count Two of the indictment charged Banuelos with conspiracy to distribute methamphetamine as well as marijuana, and one of the overt acts listed in the count charged that Banuelos sold a pound of methamphetamine to an undercover agent. It is also true that the court described the charge as conspiracy to distribute marijuana and methamphetamine:
The Clerk: Mr. Banuelos, how do you now plead then to Count Two of the superseding indictment which charges you with conspiracy to distribute a controlled substance, which is marijuana and methamphetamine? Are you guilty or not guilty?
Banuelos: Guilty.
Moreover, Banuelos admitted during the plea colloquy that he sold one pound of methamphetamine to an undercover agent. More importantly, however, Banuelos consistently maintained during the change of plea hearing that he was entrapped to sell methamphetamine. Cf. United States v. Silva, 247 F.3d 1051, 1060 (9th Cir.2001) (rejecting Apprendi challenge where defendants pled guilty to conspiracy to manufacture with intent to distribute 50 grams or more of methamphetamine without ever disputing their involvement with that drug type and quantity). In assessing the scope of the facts established beyond a reasonable doubt by a guilty plea, we must look at what the defendant actually agreed to—that is, what was actually established beyond a reasonable doubt. Here, conspiracy to distribute methamphetamine never attained this status. Consequently, the only crime to which Banuelos admitted guilt beyond a reasonable doubt was conspiracy to distribute an unspecified amount of marijuana.5 As discussed above, this crime carries a statutory maximum penalty of five years in prison.
REVERSED and REMANDED.
TALLMAN, Circuit Judge, dissenting in part.
The Apprendi error in this case was harmless beyond a reasonable doubt, and Banuelos’ sentence should therefore remain unchanged.
Nevertheless, with nothing to lose, Banuelos decided to roll the dice and challenge at sentencing the quantity of marijuana distributed by the conspiracy that was attributable to him. He argued that he was not responsible for 1,000 kilograms of marijuana because it was not reasonably foreseeable to him that the conspiracy distributed that quantity. At sentencing, then, the district court was asked to decide one critical question: for what quantity of drugs distributed by the conspiracy should Banuelos be held accountable?
Prior to the sentencing hearing—the only proceeding in this case in which this key factual issue was to be determined—Banuelos admitted to Probation Officer Ramsdell (who prepared the presentence investigation report) that Banuelos possessed quantities of marijuana well in excess of 100 kilograms with the intent to distribute the drug.1 At the sentencing hearing, counsel for Banuelos admitted that 1818 pounds (about 825 kilograms) of marijuana distributed by the conspiracy was attributable to her client, although she emphasized that the biggest single drug deal in which her client participated was a 300 pound (about 136 kilograms) sale of marijuana. Thus, before a decision was rendered on the quantity of marijuana attributable to Banuelos, one fact was absolutely undisputed: by his own admissions Banuelos distributed more than 100 kilograms of marijuana.
Based on these admissions, Banuelos was subject to a mandatory minimum sentence of 5 years imprisonment and a statutory maximum sentence of 40 years imprisonment under
Because the Apprendi error was harmless, Banuelos’ sentence should stand. Nonetheless, the Court holds that Banuelos must be resentenced and that the maxi-
Banuelos’ sentence should remain unchanged because the Apprendi error in this case was harmless beyond a reasonable doubt. Because the Court announces a different remedy, I respectfully dissent.
Notes
THE COURT: See, there are two issues: What was the amount in the conspiracy, and what was the amount attributable to the defendant? And you‘re saying your client is willing to waive jury as to the amount of drugs distributed by the conspiracy?
MS. DEATON: That‘s correct.
The court reiterated the specifics of the waiver with Banuelos a few minutes later:
THE COURT: Now, Mr. Banuelos, do [you] understand that you also have the right to a jury trial on the total amount of drugs that this conspiracy is alleged to have distributed. Do you understand that?
THE DEFENDANT: Yeah, I‘m aware of that. The presentence report notes: “In total, the defendant believed that he may have been involved in the distribution of 1,600 pounds (about 727 kilograms) of marijuana.” In his objections to the presentence report, Banuelos did not challenge the 1600-pound figure. Instead, Banuelos admitted that he brokered one 300 pound sale (about 136 kilograms) of marijuana and attempted to broker an additional 300 pound sale.
THE COURT: Mr. Banuelos, now, the penalties that you‘re subject to in this case, the minimum and maximum, have you discussed those with your attorney?
DEFENDANT: Yes, I have, Your Honor.
THE COURT: And what are they? I guess—Let me ask the Government. It depends on the amounts and the type of drugs, correct?
PROSECUTOR: The conspiracy to which Mr. Banuelos is pleading guilty involve [sic] the distribution of over 1,000 kilograms of marijuana.... Therefore, the penalties which is [sic] attached to this particular conspiracy are a mandatory minimum term of 10 years in custody and up to life imprisonment....
THE COURT: Do you understand what [the prosecutor] has just stated, Mr. Banuelos?
DEFENDANT: Yes, I do, Your Honor.
THE COURT: That‘s the minimum and maximum, if I find that you are responsible for the entire amount of drugs that was distributed by the conspirators in this case. Do you understand?
DEFENDANT: Yes, Your Honor.
THE COURT: However, as I said before, I will determine how much of the drugs you should be responsible for. But at this time I can‘t make any promises or guarantees about what sentence that will be. Do you understand?
DEFENDANT: Yes, I do, Your Honor.
Thus, Banuelos effectively pled guilty to whatever quantity of marijuana the district court determined was appropriate at sentencing. A fair reading of the record belies the Court‘s overly technical characterization of Banuelos’
Of course, Banuelos never waived his right to have a jury determine if 1,000 kilograms of marijuana distributed by the conspiracy were attributable to him. If Banuelos had been sentenced to more than 40 years imprisonment—the statutory maximum for possessing more than 100 kilograms of the drug under
We are also unpersuaded by the dissent‘s suggestion that the Supreme Court‘s decision in United States v. Vonn, 535 U.S. 55, 122 S.Ct. 1043, 152 L.Ed.2d 90 (2002), “undercuts” the holding of Jordan. In Vonn, the court addressed the proper scope of an appellate court‘s inquiry into the effect of a
