UNITED STATES of America, Appellee, v. Eric ERSKINE, also known as Black, Darryl Deas, also known as Solo, also known as Darrell Deas, Steven Bethea, also known as Tee, Nehemiah Brown, also known as Ike, Bornthia Plummer, Defendants, Swahili Johnson, also known as Suave, Defendant-Appellant.
Docket No. 12-921.
United States Court of Appeals, Second Circuit.
Argued: Jan. 15, 2013. Decided: May 23, 2013.
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Andrew L. Fish, (Katherine Polk Failla, Michael A. Levy, Assistant United States Attorneys, on the briefs) for Preet Bharara, United States Attorney for the Southern District of New York, New York, NY, for Appellee.
Avrom Robin, Law Offices of London & Robin, New York, NY, for Defendant-Appellant.
Before: STRAUB, HALL, AND DRONEY, Circuit Judges.
STRAUB, Circuit Judge:
Defendant-Appellant Swahili Johnson appeals from an order of the United States District Court for the Southern District of New York (Denny Chin, Judge)1 granting his motion for a sentence reduction under
For the reasons that follow, we hold that the District Court did not err in declining to apply a downward variance to sentence Johnson below the reduced Guidelines range. Under § 1B1.10 of the Guidelines, the District Court did not have discretion to apply the variance to which Johnson
Accordingly, we AFFIRM the order of the District Court.
BACKGROUND
On November 23, 2005, defendant Swahili Johnson was arrested and charged with conspiracy to distribute crack cocaine. He pled guilty to distributing fifty grams or more of crack cocaine on June 8, 2006. The District Court formally accepted Johnson‘s guilty plea on June 8, 2006, and sentenced him on November 29, 2006. At sentencing, the court determined that Johnson‘s total Guidelines offense level was 35, that his prior offenses placed him in criminal history category VI, and accordingly that his Guidelines range was 292 to 365 months. The District Court then granted a ten-percent downward variance from the bottom of the Guidelines range based on Johnson‘s personal history, imposing a custodial sentence of 262 months’ imprisonment.
On October 23, 2009, the District Court reduced Johnson‘s sentence pursuant to the retroactive application of Amendment 706 to the Guidelines. We have detailed the history and validity of Amendment 706 in United States v. Savoy, 567 F.3d 71 (2d Cir. 2009) (per curiam). In essence, Amendment 706 addressed the disparities in prior sentencings of defendants convicted of certain crimes involving crack cocaine, as compared to defendants convicted of similar crimes involving powder cocaine. The Amendment, “effective November 1, 2007, . . . reduced by two levels the base offense level associated with each enumerated quantity of crack cocaine.” Savoy, 567 F.3d at 73; see also U.S.S.G. App. C, amd. 706 (2008).
Thus, as a result of this first reduction, Johnson‘s offense level fell from 35 to 33, resulting in an applicable Guidelines range of 235 to 293 months. Applying the same ten percent downward variance it had at Johnson‘s original sentencing, the District Court determined that Johnson‘s sentence should be reduced to 212 months.
Johnson appealed this sentence reduction, arguing, inter alia, that the District Court failed to recognize its discretion to vary even further downward from the applicable sentencing range. See United States v. Erskine, 406 Fed.Appx. 544, 545 (2d Cir. 2011). We affirmed the District Court‘s calculation of this first reduction. Id. at 546-48.
In November 2011, Johnson moved pro se for a further sentence reduction pursuant to
On February 9, 2012, Johnson‘s counsel filed a new motion to reduce Johnson‘s sentence under
Based on Amendment 750, Johnson argued that his offense level under § 2D1.1 should be reduced from 33 to 31, making his Guidelines range 188 to 235 months. Johnson further asserted that the District Court should continue to apply the ten-percent downward variance based on his personal history that it had applied both when sentencing him initially and when reducing his sentence in 2009, thus making his second reduced sentence 169 months’ imprisonment.
On February 10, 2012, the government filed a submission with the District Court indicating that it did not oppose a reduction in Johnson‘s sentence to 188 months, but noting that the amended version of § 1B1.10, effective November 1, 2011, did not authorize the District Court to reduce Johnson‘s sentence based on a downward variance to anything less than 188 months’ imprisonment.
On February 23, 2012, the District Court granted Johnson‘s motion insofar as it granted him a within-Guidelines reduction. It reduced Johnson‘s sentence to 188 months but denied his request to apply the ten percent downward variance it had twice previously applied. The court determined that § 1B1.10(b)(2)(A) only permitted it to further reduce Johnson‘s sentence where a downward departure had been granted in the original sentence based on the defendant‘s substantial assistance to the government, pursuant to Guidelines § 5K1.1. Because Johnson had not originally been granted such a departure, the District Court reasoned that “the limita
This timely appeal followed.
DISCUSSION
On appeal, Johnson makes three arguments as to why the District Court erred in determining that it could not apply a downward variance so as to reduce his sentence under Amendment 750 based on his personal history and characteristics, each of which attacks the validity of § 1B1.10. First, he argues that the Commission‘s 2011 amendment to § 1B1.10 both exceeds the Commission‘s authority and goes beyond the directives of the Sentencing Reform Act (“SRA“),
Several of our sister Circuits have already addressed many or all of the issues that Johnson now raises.4 See, e.g., Berberena, 694 F.3d 514; United States v. Anderson, 686 F.3d 585, 589-90 (8th Cir. 2012); see also United States v. Horn, 679 F.3d 397, 401-02 (6th Cir. 2012) (addressing similar arguments as to Guidelines Amendment 709); United States v. Fox, 631 F.3d 1128, 1132 (9th Cir. 2011) (addressing similar arguments as to the prior version of § 1B1.10). For reasons substantively akin to those set forth by these Circuits, we hold today that § 1B1.10 of the Guidelines is valid and binding on district courts.
We address each of Johnson‘s arguments in turn.
I. Standard of Review
We generally review a district court‘s “[c]onclusions of law, including those involving constitutional questions, de novo.” In re Terrorist Bombings of U.S. Embassies in E. Africa, 552 F.3d 93, 135 (2d Cir. 2008) (quoting United States v. Fell, 531 F.3d 197, 209 (2d Cir. 2008)). Sentencing issues not raised before the District Court due to oversight are normally reviewed for plain error. See United States v. Keppler, 2 F.3d 21, 24 (2d Cir. 1993).
The parties disagree as to which standard of review applies in this case. Johnson asserts that because he raised the general issue of the application of
We decline to decide which standard of review applies in this case, as we ultimately conclude that, even under de novo review, Johnson‘s arguments do not undermine the validity or binding nature of § 1B1.10, and thus the District Court properly determined that § 1B1.10 prevented it from further reducing Johnson‘s sentence.
II. Commission‘s Authority
Johnson first argues that the 2011 amendment to § 1B1.10 of the Guidelines exceeds the authority of the Commission and contradicts the purpose of the SRA, and thus is not binding on the District Court. He asserts that the District Court therefore erred in holding that it did not have the authority to apply a downward variance so as to impose a sentence below the amended Guidelines range.
While a district court generally may not reduce a term of imprisonment once it is imposed, see Cortorreal v. United States, 486 F.3d 742, 744 (2d Cir. 2007), Congress has authorized retroactive reductions in limited circumstances, as set forth in
The Supreme Court has held that a sentence reduction under
Section 1B1.10 was enacted and amended pursuant to the power granted to the Commission in
Johnson argues that § 1B1.10 exceeds the Commission‘s authority under the SRA by generally prohibiting district courts from re-imposing departures or variances imposed at a defendant‘s original sentencing hearing.6 This argument is without merit.
The Commission is authorized to permit a retroactive reduction in a defendant‘s sentence under
Accordingly, the Commission has followed the directives of
III. Separation of Powers
Johnson next argues that the Commission‘s 2011 amendment to § 1B1.10 of the Guidelines is invalid because it violates constitutional separation-of-powers principles. Johnson advances two arguments in this regard: (1) the Commission‘s ability to issue binding policy statements constitutes the exercise of legislative authority without the requisite accountability to Congress; and (2) the binding nature of § 1B1.10 infringes upon the exercise of judicial authority of courts conducting sentencings.
A. Legislative Authority
Johnson argues that Congress failed to set forth an intelligible principle to guide the Commission‘s issuance of binding policy statements regarding retroactive sentence reductions, and thus such policy statements violate separation-of-powers principles. The Constitution provides that “[a]ll legislative Powers herein granted shall be vested in a Congress of the United States....”
Johnson asserts that separation-of-powers concerns are implicated by the Commission‘s 2011 amendment of § 1B1.10 because nothing “restrain[s] the ... Commission if it chooses to issue so-called binding policy statements as part of the decision to make an amendment retroactive.” Appellant‘s Br at 24. The argument that promulgation of the 2011 amendment to § 1B1.10 indicates the Commission has engaged in unbridled and constitutionally invalid legislative authority by enacting that policy statement is ultimately unavailing.
The Supreme Court has held that the SRA “sets forth more than merely an ‘intelligible principle’ or minimal standards.” Mistretta, 488 U.S. at 379, 109 S.Ct. 647. Because only an “intelligible principle” is required, “[t]he threshold for a constitutionally valid delegation is much lower than was the delegation in Mistretta.” Berberena, 694 F.3d at 523 (citing United States v. Garcia, 655 F.3d 426, 435 (5th Cir. 2011)). Every Circuit to have considered this non-delegation question has concluded that the SRA satisfies the threshold of setting forth an intelligible principle because it “limit[s] and inform[s] the Commission on how it must exercise its delegated authority.” Berberena, 694 F.3d at 524 (internal quotation marks omitted); accord Anderson, 686 F.3d at 590; Horn, 679 F.3d at 404-05; Garcia, 655 F.3d at 434-35. We join these Circuits in holding
In
B. Judicial Authority
Johnson next argues that the 2011 amended version of § 1B1.10 unconstitutionally interferes with the powers of the judiciary by constraining a court‘s ability to counteract the possibility of an amended Guidelines range that is too high to grant a defendant a sentence “sufficient, but not greater than necessary” via a downward departure or variance.
The judiciary‘s discretion in sentencing is not absolute. In Mistretta, the Supreme Court stated that “Congress . . . has the power to fix the sentence for a federal crime, and the scope of judicial discretion with respect to a sentence is subject to congressional control.” 488 U.S. at 364, 109 S.Ct. 647 (internal citations omitted). The limitation imposed by the 2011 amended version of § 1B1.10 is just such an exercise of this congressional authority. “[I]t is Congress that bound courts to the limitation in § 1B1.10, by expressly requiring that sentence reductions based on amendments to the Guidelines be consistent with the Commission‘s policy statements.” Berberena, 694 F.3d at 525. Therefore, though it is the Commission that crafts the policy statements, it is Congress that has made them both available as a general matter and binding on the courts that employ them. See id.
Further, in Dillon the Supreme Court rejected characterizing proceedings under
The Court‘s holding in Dillon that motions under
IV. Policy Statement Adoption Procedures
Finally, Johnson argues that the 2011 amended version of § 1B1.10 was enacted without the proper notice-and-comment procedures mandated by the APA. As Johnson acknowledges, policy statements such as § 1B1.10 are subject to neither the APA‘s 180-day waiting period nor the notice-and-comment requirements for formally promulgated rules. See
The absence of both the notice-and-comment and waiting period safeguards set forth in the APA did not deprive Congress of its ability to check the Commission‘s exercise of legislative power through policy statements. “Although policy statements are not subject to the 180-day waiting period applicable when the Commission passes a Guidelines Amendment, Congress can direct the Commission to change its retroactivity determination or pass a law overruling the Commission‘s determination ‘at any time.‘” Berberena, 694 F.3d at 524 (quoting Mistretta, 488 U.S. at 394, 109 S.Ct. 647). The Commission‘s own rules state that it must “endeavor[] to include amendments to policy statements and commentary in any submission of guideline amendments to Congress.” Berberena, 694 F.3d at 524 n. 13 (citing U.S. Sentencing Comm‘n, R. of Practice and Proc. 4.1.). Therefore, Congress had both notice of the proposed limitation on sentence reductions and ample opportunity to dictate an alternative amendment to § 1B1.10, if it so chose.
Furthermore, the 2011 amended version of § 1B1.10 was enacted after the Commis
CONCLUSION
For the aforementioned reasons, the District Court did not err in granting Johnson a within-Guidelines sentence reduction under
DENNY CHIN
UNITED STATES CIRCUIT JUDGE
