Lead Opinion
Opinion by Judge CANBY; Dissent by Judge REINHARDT.
In this case we are called upon to apply the Supreme Court’s recent decision in Apprendi v. New Jersey, — U.S. -,
Kayle Nordby was convicted and sentenced under 21 U.S.C.- §§ 841 and 846, but a jury never determined beyond a reasonable doubt the quantity of drugs for which he was responsible. Instead, a judge made that determination at sentencing and did so under the standard of preponderance of the evidence. The judge’s determination increased the prescribed statutory maximum to which Nordby was exposed beyond that supportable by the jury’s findings; in Nordby’s case the judge’s finding increased Nordby’s maximum exposure from five years to life imprisonment. Moreover, Nordby-was sentenced to ten years in prison, a term that exceeds the five year maximum supported by the jury’s findings. We therefore vacate Nordby’s sentence and remand for imposition of -a sentence not to exceed the statutory maximum applicable to the facts as found by the jury beyond a reasonable doubt.
FACTUAL BACKGROUND
On September 28, 1993, federal and state police searched four properties in Humboldt County, California. On two of the parcels owned by Kayle Nordby, police found thirty-one outdoor marijuana gardens containing 2,308 marijuana plants as well as an indoor growing shed that had been used to grow marijuana. Police subsequently arrested Nordby, Cory Márch-ese, Terry Medd, Jeb Stafslien, and Sam Stafslien, and they were indicted for conspiracy to possess with intent to distribute marijuana, manufacture of marijuana, and possession of marijuana with intent to distribute in violation of 21 U.S.C. §§ 841(a)(1) and 846. The counts for manufacture and possession with intent to distribute specified 2308 marijuana plants. The conspiracy charged in the indictment was alleged to have run from “on or about August 1, 1993, and continu[ed] to on or about September 28,1993.”
At Nordby’s trial, the district court instructed the jury that it need not determine the amount of marijuana that Nord-by manufactured, possessed or conspired to possess with intent to distribute. Instead, the jury was instructed that “the government is not required to prove the amount or quantity of marijuana manufactured as long as the government proves beyond a reasonable doubt that defendants manufactured a measurable or detectable amount of marijuana.” Nordby was convicted by the jury on all three counts.
At sentencing, Nordby admitted that he had grown some marijuana on the property in 1992 and the spring of 1993, but hotly contested the amount of marijuana that the government sought to attribute to him during the period from August to September 1993 charged in the indictment. Nordby admitted that he had conspired with Jeb and Sam to grow marijuana in 1992, but insisted that their partnership had dissolved by 1993. Nordby further admitted that he had conspired with Cory Márchese to grow about 200 marijuana plants indoors in 1993, but asserted that this conspiracy ended by June 1993. Nordby pointed out that he and Márchese had been in Minnesota and Costa Rica from late July 1993 until five days before
The district court applied United States Sentencing Guidelines Manual (“U.S.S.G.”) § IB 1.3 to determine the amount of marijuana for which Nordby was responsible at sentencing. The court found by a preponderance of the evidence that Nordby was responsible for 1000 or more marijuana plants. Under 21 U.S.C. § 841 (b)(1)(A)(vii), the 'district courts finding subjected Nordby to a statutory minimum sentence of ten years in prison and a statutory maximum of life. The district court sentenced Nordby to the ten-year minimum.
On Nordby’s first appeal of his sentence, we held that the district court had made insufficient findings at sentencing. We vacated and remanded for resentencing. United States v. Nordby,
APPLICATION OF APPRENDI
Apprendi v. NeW Jersey is the latest in a series of cases in which the Supreme Court has expressed a heightened concern that the determination of “sentencing factors” by a judge using a preponderance-of-the-evidence standard implicates the accused’s right to due process under the Fifth Amendment and right to a jury trial under the Sixth. Thus, in Jones v. United States,
The dissent repeatedly chides us for failing to state precisely the principle animating our view that the carjacking statute, as construed by the Government, may violate the Constitution. The preceding paragraph in the text expresses that principle plainly enough, and we restate it here: under the Due Process Clause of the Fifth Amendment and the notice and jury trial guarantees of the Sixth Amendment, any fact (other than prior conviction) that increases the maximum penalty for a crime must be charged in an indictment, submitted to a jury, and proven beyond a reasonable doubt. Because our prior cases suggest rather than establish this principle, our concern about the Government’s reading of the statute rises only to the level of doubt, not certainty.
Id. at 243 n. 6,
Jones turned ultimately on a question of statutory interpretation. But in Apprendi, the constitutional question was “starkly presented.” Apprendi,
In sum, our reexamination of our cases in this area, and of the history upon which they rely, confirms the opinion that we expressed in Jones. Other 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. With that exception, we endorse the statement of the rule set forth in the concurring opinions in that case: “[I]t is unconstitutional for a legislature to remove from the jury the assessment of facts that increase the prescribed range of penalties to which a criminal defendant is exposed. It is equally clear that such facts must be established by proof, beyond a reasonable doubt.”526 U.S. at 252-53 ,119 S.Ct. 1215 (opinion of*1058 STEVENS, J.); see also id. at 523,526 U.S. 227 ,119 S.Ct. 1215 ,143 L.Ed.2d 311 (opinion of SCALIA, J.).
Id. at 2362-63.
We conclude that we are unable to give a construction to the statute before us that would avoid the constitutional issue raised by Apprendi. See, e.g., Castillo v. United States, — U.S. -, -,
Our application of Apprendi is straightforward. First, Nordby’s jury made no finding regarding the specific amount of marijuana that Nordby manufactured, possessed with intent to distribute, or conspired to possess with intent to distribute. The jury found merely that Nordby conspired and possessed marijuana for those purposes. It was told, moreover, that possession of any “measurable or detectable amount of marijuana” was sufficient to support a conviction.
Second, the judge’s finding that Nordby possessed 1000 or more marijuana plants “increase[d] the penalty for [Nordby’s] crime beyond the prescribed statutory
We reject the argument that § 841 contains “no prescribed statutory maximum,” and that therefore Apprendi does not apply to Nordby’s case. Apprendi makes clear that the “prescribed statutory maximum” refers simply to the punishment to which the defendant is exposed solely under the facts found by the jury. See Apprendi,
Nordby’s case comes to us on direct review, so there can be no question that he is entitled to the benefit of Apprendi ’s new rule. See Griffith v. Kentucky,
PLAIN ERROR REVIEW
Both Jones and Apprendi were decided after Nordby’s resentencing. It is
We have already concluded that the district court erred. That the error did not become apparent until appeal does not bar relief in Nordby’s case. It is enough that the Apprendi error is “plain” at the time of this appeal. See Johnson v. United States,
We next turn to the question whether the district court’s failure to submit the question of drug quantity to the jury affected Nordby’s “substantial rights.” Olano,
We need not decide which of these two approaches to the “substantial rights” inquiry is the proper one, because Nordby has borne his burden under the more stringent standard of Neder. Even under that analysis, the record leaves little room for doubt that Nordby was prejudiced by the failure to submit drug quantity to the jury. Although it was uncontested at trial that over 2000 marijuana plants were found growing on land owned by Nordby, Nordby consistently maintained that he was not responsible for growing these plants, or for conspiring to do so at the time charged in the indictment. Nordby himself did not live on the land. In fact, he had been vacationing for much of the time that the marijuana crop had been in the ground, and only returned to the area five days before being arrested. Although Nordby’s counsel admitted at trial that Nordby had grown relatively small amounts of marijuana in the past, Nordby never conceded that he had been part of
At sentencing, when the amount of marijuana for which Nordby was responsible became relevant, Nordby presented additional evidence that he was not responsible for all the marijuana found on his land.
In sum, Nordby “contested the omitted element and raised evidence sufficient to support a contrary finding.” Neder,
This error prejudiced Nordby in a concrete way. Because of the court’s finding, Nordby received a sentence five years longer than the maximum he could have received had he been sentenced on the facts as found by the jury. The Apprendi error therefore affected the outcome of Nordby’s trial, and affected his “substantial rights” under the plain error standard. Olano,
Under the fourth prong of the plain error standard, we conclude that the Apprendi error in Nordby’s case “seriously affeet[s] the fairness, integrity, or public reputation of judicial proceedings.” Olano,
The question then arises as to the appropriate procedure on remand. In comparable cases in which the jury’s finding did not support the sentence, and where the conviction as well as the sentence was on appeal, we have allowed the government a brief period of time to elect whether it accepts a resentencing of the defendant to the lesser term permitted by the jury’s findings. If the government so elects, the conviction is affirmed and re-sentencing takes place subject to the lower maximum sentence. If the government does not so elect, a new trial is ordered. See United States v. Garcia,
SENTENCE VACATED; REMANDED FOR RESENTENCING..
Notes
. The Court’s opinion in Apprendi expressed doubt concerning the correctness of Almendarez-Torres v. United States, 523 U.S. 224, 118 S.Ct. 1219,
. It is true, as Nordby notes, that the "Penalty” heading is not dispositive. See Castillo,
. Because the court's finding increased the maximum sentence, we need not decide whether the increase in the statutory minimum sentence also fell within Apprendi's formulation, adopted from Justice Stevens’ concurring opinion in Jones, that " ‘it is unconstitutional for a legislature to remove from the jury the assessment of facts that increase the prescribed range of penalties to which a criminal defendant is exposed.' ” Apprendi,
. We are not alone among the circuits in concluding that the rule of Apprendi applies to sentences under 21 U.S.C. § 841. See United States v. Aguayo-Delgado,
. Despite the functional equivalence between an element of the crime and a sentencing factor that increases the prescribed statutory maximum beyond that permissible on the facts as found by a jury, we do not necessarily equate the two for all purposes. See Apprendi,
. Our review encompasses the "whole record.” Delaware v. Van Arsdall,
We do not, however, consider any admissions made by Nordby at sentencing in assessing the prejudice suffered by Nordby because of the Apprendi error. By its own terms the harmless error/substantial rights inquiry is directed at whether the error affected the jury's verdict, i.e., whether the reviewing court concludes "beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.” Chapman v. California,
. We express no opinion as to whether offering an option to the government would be a permissible or appropriate remedy in this case if it were available.
. Because of our disposition of Nordby's constitutional claim, we decline to address Nord-by’s claim that the district court made insufficient factual findings at sentencing under U.S.S.G. § 1B1.3.
Concurrence Opinion
concurring specially:
I concur fully in Judge Canby’s opinion for the court. While in this case the more stringent Neder test for harmless error is satisfied and therefore we do not resolve the question whether a less stringent test is applicable, I write separately to explain the nature and basis of the less stringent standard described in the opinion.
The less stringent standard does not involve a review of the evidence not considered by the jury in order to try to determine what the jury could have concluded. Rather, it requires invalidation of the sentence simply because the verdict reached by the jury does not support the imposition of a sentence greater than five years. There are two alternative rationales that underlie the less stringent standard and its rejection of the Neder approach. The first rationale is that while in Neder the defendant was sentenced for the crime of which the jury convicted him, here the defendant was not convicted of the crime for which he was sentenced. See Neder v. United States,
The second rationale for applying the less stringent standard is that weighing the evidence that the jury did not consider is improper where the missing element is central to the offense. The Neder opinion makes clear that its scope is limited, but does not tell us the nature of the rule’s boundaries. See Neder,
