Lead Opinion
BOGGS, J., delivered the opinion of the court, in which SUHRHEINRICH, J., joined. ROGERS, J. (pp. 387-92), delivered a separate dissenting opinion.
OPINION
In 1997, Daryl Marcus Pembrook pleaded guilty to possession with intent to distribute crack cocaine. Under U.S.S.G. § 4B1.1, Pembrook was a career offender. At sentencing, Pembrook prevailed upon the district court to depart downward from his career-offender guideline range to a sentence stated with reference to the analogous range for his crack-cocaine offenses. A decade later, Pembrook filed a motion to reduce his sentence pursuant to 18 U.S.C. § 3582(c)(2), arguing that Amendment 706 to the crack-cocaine guidelines had lowered his applicable guideline range. The district court denied his motion, on the grounds that Pembrook’s applicable guideline range was his career-offender range—not his crack-cocaine range — and Amendment 706 did not affect that range. Pembrook now appeals. Because we conclude that Pembrook’s applicable guideline range was his career-offender range, and Amendment 706 did not have the effect of lowering that range, we affirm.
I
On December 19, 1997, Pembrook appeared before the United States District Court for the Western District of Tennessee and pleaded guilty to possession with intent to distribute cocaine base, in violation of 21 U.S.C. § 841(a)(1). The Presentenee Investigation Report (PSR) determined that Pembrook qualified as a career offender because he was twenty-six years old, his instant conviction was a controlled-substance felony, and he had two prior controlled-substance felony convictions. Consequently, Pembrook had a total offense level of thirty-four and a criminal history category of VI, resulting in a guideline range of 262-367 months.
The district court proved sympathetic to Pembrook’s arguments and decided to grant Pembrook a downward departure. The court observed that “if the defendant were not qualified as a Career Criminal, which he is, he would be looking at 188 to 235 months of incarceration.” After hearing from the Government, the district court decided to impose a 200-month sentence. The court explicitly stated that this sentence was within the guideline range that would have applied to Pembrook had he not qualified as a career offender.
Nearly ten years after Pembrook was sentenced, the United States Sentencing Commission adopted Amendment 706 to the Sentencing Guidelines, which retroactively reduced the base offense level for most crack-cocaine offenses. Shortly thereafter, on June 6, 2008, Pembrook filed a motion with the district court, seeking a reduction in his sentence pursuant to 18 U.S.C. § 3582(c)(2). Pembrook contended that he was eligible for such a reduction because the district court had originally imposed a sentence “based on” his crack-cocaine guideline range, and Amendment 706 lowered that range. The district court, however, concluded that Pembrook was not eligible for a sentence reduction because Pembrook’s applicable guideline range was his career-offender range, not his crack-cocaine range, and Amendment 706 did not affect that range. The district court therefore denied Pembrook’s motion. Pembrook timely appealed.
II
On appeal, Pembrook claims that the district court erred when it concluded that he was ineligible for a sentence reduction pursuant to 18 U.S.C. § 3582(c)(2). We review a district court’s denial of a motion to modify a sentence under § 3582(c)(2) for an abuse of discretion. United States v. Perdue,
A district court may modify a defendant’s sentence only as authorized by statute. Ibid. Section 3582(c)(2) authorizes a district court to reduce a defendant’s sentence when (1) the defendant “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),” and (2) “such a reduction is consistent with applicable policy statements issued by the Sentencing Commission.” 18 U.S.C. § 3582(c)(2) (emphasis added). The applicable policy statement, U.S.S.G. § 1B1.10, provides that “[a] reduction in the defendant’s term of imprisonment is not consistent with this policy statement [if] ... [a]n amendment [to the Guidelines] does not have the effect of lowering the defendant’s applicable guideline range.” U.S.S.G. § 1B1.10(a)(2)(B) (emphasis added). Accordingly, a defendant is ineligible for a sentence reduction pursuant to 18 U.S.C. § 3582(c)(2) unless an amendment to the Sentencing Guidelines lowers the defendant’s “applicable guideline range.” See United States v. Washington, 584 F.3d
In this case, Pembrook contends that his “applicable guideline range” is the guideline range that the sentencing court referenced after it chose to depart downward pursuant to U.S.S.G. §§ 4A1.3 and 5K2.0 — that is, his crack-cocaine guideline range. Pembrook therefore concludes that he is eligible for a sentence reduction based on Amendment 706 to the Sentencing Guidelines.
Our circuit has not yet addressed the meaning of “applicable guideline range” in this context.
After a review of U.S.S.G. § 1B1.10 and related guidelines, we agree with the Eighth and Tenth Circuits, and hold that the term “applicable guideline range” in U.S. S.G. § 1B1.10 refers to a defendant’s pre-departure guideline range. The language of U.S.S.G. § 1B1.10 itself (the policy statement applicable to retroactive sentence reductions after amendments) offers some support for this position. U.S.S.G. § 1B1.10(b)(2) states that a district court may not reduce a defendant’s sentence to a term below an amended guideline range unless “the original term of imprisonment imposed was less than the term of imprisonment provided by the guideline range applicable to the defendant at the time of sentencing, [in which case] a reduction comparably less than the amended guideline range ... may be appropriate.” U.S.S.G. § 1B1.10(b)(2)(B) (emphasis added). This provision specifically refers to the defendant’s applicable guideline range as the guideline range that applied before the sentencing court decided to depart or
The most persuasive support for this reading of “applicable guideline range,” however, emerges from U.S.S.G. § 1B1.1, which sets forth the “Application Instructions” for the Sentencing Guidelines and establishes the specific order in which courts are to apply guideline provisions. See U.S.S.G. § 1B1.1; Tolliver,
Consistent with this reasoning, the application notes to U.S.S.G. § 1B1.1 define the term “departure” to mean
imposition of a sentence outside the applicable guideline range or of a sentence that is otherwise different from the guideline sentence; and ... for purposes of 4A1.3 (Departures Based on Inadequacy of Criminal History Category), assignment of a criminal history category other than the otherwise applicable criminal history category, in order to effect a sentence outside the applicable guideline range.
U.S.S.G. § 1B1.1 comment, (n. 1(E)) (emphasis added). Under this definition, “a departure only exists apart from the applicable guideline range; there is no such thing as a departure to the applicable guideline range.” Darton,
We recognize, however, that the Fourth Circuit rejected this reasoning — at least as it applies to a departure under U.S.S.G. § 4A1.3 — in United, States v. Munn,
The Munn court’s analysis is not persuasive. As Judge Duncan observed in her well-reasoned dissent from Munn, U.S.S.G. § 4A1.3 “itself belies the [Munn court’s] conclusion[s].”
Further, U.S.S.G. § 1B1.1(f) does not actually support the Munn court’s position. As Judge Duncan noted:
Subsection (f) of [U.S.S.G. § 1B1.1] does not state, “Apply Part A of Chapter 4,” but rather, “Determine the defendant’s criminal history category as specified in Part A of Chapter Four.” USSG § 1B1.1(f). Given the language quoted above, USSG § 4A1.3 does not involve calculating [the defendant’s] criminal history category but instead involves imposing a particular sentence. Thus, subsection (f) does not in fact require applying USSG § 4A1.3 before [calculating the defendant’s guideline range]. Instead, the relevant instruction does not come until [the last step in the Application Instructions], which provides: “Refer to ... any other policy statements or commentary in the guidelines that might warrant consideration in imposing sen-fence.”595 F.3d at 196-97 (Duncan, J., dissenting). We therefore reject the Munn court’s reasoning.7
In sum, then, a defendant’s applicable guideline range for the purposes of U.S.S.G. § 1B1.10 is the range that applies before the sentencing court grants any discretionary departures.
Ill
For the reasons stated above, we AFFIRM the order of the district court.
Notes
. We have previously held "that a district court may not grant a motion for a reduction in sentence premised upon Amendment 706 if the defendant seeking the reduction was originally sentenced as a career offender," Perdue,
. The McGee court addressed this argument and conceded that it was "not without force,”
. Invoking the rule of lenity, the dissent suggests that the term "applicable guideline range” is ambiguous and should therefore be interpreted in favor of the defendant. See infra pp. 391-92. However, as Barber v. Thomas recently reaffirmed, the rule of lenity does not automatically apply whenever a statute exhibits any ambiguity — especially not if the language of the statute, though not entirely unambiguous, admits to a natural reading. See 560 U.S. -,
. Notably, this reasoning would not apply to a § 5K2.0 departure, which appears in Chapter 5 of the Guidelines.
. U.S.S.G. § 5K2.0 also incorporates this definition of "downward departure.” See U.S.S.G. § 5K2.0 comment, (n.l).
. U.S.S.G. § 5K2.0 similarly authorized a "departure from the applicable guideline range.” U.S.S.G. § 5K2.0 (1997) (emphasis added). In fact, § 5K2.0 still provides that "[l]he sentencing court may depart from the applicable guideline range.” U.S.S.G. § 5K2.0 (2009) (emphasis added).
. We also note that the Munn court's approach does not appear to reflect actual practice. As this case illustrates, a district court will generally grant a § 4A 1.3 (or § 5K2.0) departure only after calculating the defendant’s guideline range (and the PSR will almost always present the defendant's guideline range without any departures).
. This reading of the term “applicable guideline range” appears consistent with the purpose of 18 U.S.C. § 3582(c)(2). By its terms, § 3582(c)(2) seeks to allow a sentence reduction only when the Sentencing Commission has determined that a defendant’s original sentencing range was excessive. See 18 U.S.C. § 3582(c)(2) (authorizing a sentence reduction only when the Sentencing Commission has both lowered a defendant's sentencing range and refrained from issuing a policy statement that is inconsistent with such reduction). In this case, the Sentencing Commission has never determined that the defendant’s original sentencing range was excessive — at all relevant times, Pembrook has qualified as a career offender under the Guidelines, and his career-offender range has remained constant. It was only the sentencing court that determined that Pembrook's career offender range was excessive, acting under its departure authority, rather than by recalculating or altering the "applicable guideline range.”
Dissenting Opinion
dissenting.
The Sentencing Guidelines should be interpreted, if the words can fairly be so read, to permit resentencing when a prop
Daryl Pembrook pled guilty to possession with intent to distribute crack cocaine, in violation of 21 U.S.C. § 841(a)(1). His base offense level under U.S.S.G. § 2D1.1 (1997) was 34, reflecting the fact that his offense involved between 150 and 500 grams of crack cocaine. At Pembrook’s initial sentencing, the district court determined that Pembrook qualified as a career offender, increasing his offense level to 37. After a three-point reduction for acceptance of responsibility, Pembrook’s offense level was 34. The district court explicitly noted that, absent the career offender determination, Pembrook would have had an offense level of 31. Regardless of whether he was a career offender, Pembrook’s criminal history category was VI. The district court determined that Pembrook’s career offender offense level and his criminal history category “call[ed] for a sentence of 262 to 327 months imprisonment.” (This calculation was not affected by the later retroactive amendment to the Guidelines.) Pembrook’s attorney argued that Pembrook’s criminal history over-represented the seriousness of his past conduct and requested that the district court follow United States v. Fletcher,
The district court granted the departure, and noted, “[f]or the record,” that “if the defendant were not qualified as a Career Criminal, which he is, he would be looking at 188 to 235 months imprisonment.” That 188 to 235 month range corresponded with Pembrook’s § 2D1.1 offense level as adjusted for Pembrook’s acceptance of responsibility. Pembrook’s counsel requested a sentence at the low end of this range, but the court stated that, given Pembrook’s history, there was “no basis for the low end of the Guidelines.” After hearing from the defendant, the court determined that Pembrook also did not deserve to be sentenced at a level as high as “the middle of the Guidelines,” which was the district court’s normal practice. The court thus sentenced Pembrook to 200 months’ imprisonment, near the 25th percentile of Pembrook’s § 2D1.1 crack cocaine Guideline range. Amendment 706 amended U.S.S.G. § 2D1.1 retroactively, such that Pern
Following Amendment 706 and Pembrook’s motion for resentencing, the district court possessed the authority to re-sentence Pembrook. Under 18 U.S.C. § 3582(c)(2), a district court may modify a defendant’s sentence if two conditions are satisfied. First, the defendant must have 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).” This condition has been satisfied in the present case because the district court based Pembrook’s sentence on the crack cocaine Guideline range applicable to Pembrook absent Pembrook’s career offender status. Second, the sentence reduction must be “consistent with applicable policy statements issued by the Sentencing Commission,” here U.S.S.G. § 1B1.10. That policy statement requires that an amendment listed in U.S.S.G. § 1B1.10(c) “have the effect of lowering the defendant’s applicable guideline range.” U.S.S.G. § 1B1.10(a)(2)(B). This condition has also been satisfied because Amendment 706 — which is listed in § 1B1.10(c)— lowered the Guideline range that the district court actually applied to Pembrook after the court determined that the career offender range was not appropriate in Pembrook’s case.
The phrase “applicable guideline range” as used in U.S.S.G. § 1B1.10 is most logically read to include any Guideline range properly applied to a defendant so as to affect his sentence. In this case, after the district court departed from the career offender Guideline range, the court clearly applied the § 2D1.1 crack cocaine Guideline range to Pembrook, expressly deciding that Pembrook deserved a sentence above the bottom of that range but below the range’s median. As the majority reasons, the words “applicable guideline range” sensibly refer to the U.S.S.G. § 1B1.1(g) step of the Guidelines Application Instructions. But this does not mean that the phrase does not also include a Guideline range applied at the later U.S.S.G. § 1B1.1(i) step, dealing with departures. There is no reason to limit the phrase “applicable guideline range” to step (g), when a Guideline range is actually and legitimately “applied” as well at step (i).
Moreover, the Guidelines provide no global definition of the phrase “applicable guideline range,” and a number of Guidelines provisions suggest that this phrase is not intended to have such a specific or limited meaning. The clearest provision indicating that the phrase “applicable guideline range” has multiple uses — including referring to Guideline ranges applied after a departure — is U.S.S.G. § 4A1.3(b)(2)(A). Section 4A1.3 is entitled “Departures Based on Inadequacy of Criminal History Category,” and subsection (b)(1) provides that if a “defendant’s criminal history category substantially over-represents the seriousness of the defendant’s criminal history ... a downward departure may be warranted.” As an example, a defendant might have an offense level of 25 and a criminal history category of III, resulting in a pre-departure Guideline range of 70 to 87 months. If that defendant’s criminal history category substantially overrepresented the seriousness of the defendant’s prior criminal history, however, the district court would be entitled to depart downward from that range to account for that over-representation. Subsection (a)(4)(A) encourages courts to “determine the extent of a departure under this subsection by using, as a refer
Further, U.S.S.G. § 5G1.1 and United States v. Johnson,
This court has also previously referred to a post-departure guideline range as an “applicable guideline range,” further undermining the contention that this phrase is a term of art meaning only the range calculated at the § 1B1.1(g) step. See, e.g., United States v. Shafer,
Absent such a singular meaning, courts should interpret any use of “applicable guideline range” both in the context in which the phrase is used and light of the rule of lenity. “‘[T]he policy of lenity means that the Court will not interpret a federal statute so as to increase the penalty it places on an individual when such an interpretation can be no more than a guess as to what Congress intended.’ ” United States v. Boucha,
This conclusion accords with the decisions reached by the Fourth and Second Circuits in United States v. Munn,
I would therefore remand for resentencing.
. The requirement that sentences must generally be within Guideline ranges applied, of course, only prior to United States v. Booker,
