UNITED STATES of America, Appellee v. Lorenzo PICKETT, Appellant.
No. 05-3179.
United States Court of Appeals, District of Columbia Circuit.
Argued Nov. 20, 2006. Decided Feb. 13, 2007.
475 F.3d 1347
A.J. Kramer, Federal Public Defender, argued the cause and filed the briefs for appellant.
Valinda Jones, Assistant U.S. Attorney, argued the cause for appellee. With her on the brief were Kenneth L. Wainstein, U.S. Attorney at the time the brief was filed, and Roy W. McLeese, III and Rachel Carlson Lieber, Assistant U.S. Attorneys.
Befоre: GINSBURG, Chief Judge, and RANDOLPH and ROGERS, Circuit Judges.
Opinion for the court filed by Circuit Judge RANDOLPH.
Concurring opinion filed by Circuit Judge ROGERS.
RANDOLPH, Circuit Judge.
I.
In 2002, Lorenzo Pickett pled guilty to distributing more than five grams of crack cocaine, in violation of
We remanded the case. Before resentencing, the Supreme Court decided United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005). The parties filed new sentencing memoranda. Pickett argued that the district court should impose a sentence below the Guidelines range, taking into account the unwarranted disparity between Guideline sentences based on the weight of crack as opposed to powder cocaine. The district court declined to rule on the issue because it “has been decided by at least one, and maybe more than one of my colleagues on the bench.... So therefore, that issue is going up to the Court of Appeals. And I am not prepared to decide it at this time.” The court sentenced Pickett to 121 months, the bottom of the Guidelines range.
II.
A.
Before the Sentencing Reform Act of 1984,
“The first and foremost goal of the sentencing reform effort was to alleviate the perceived problem of federal criminal sentencing disparity.... Evidence that similar offenders convicted of similar offenses received, at times, grossly dissimilar criminal punishment struck a critical nerve among kеy legislators.” Kenneth R. Feinberg, Federal Criminal Sentencing Reform: Congress and the United States Sentencing Commission, 28 WAKE FOREST L. REV. 291, 295 (1993). To eliminate these disparities and to accomplish the other objectives of sentencing, the Sentencing Reform Act of 1984 charged the Sentencing Commission with the task of promulgating guidelines federal judges would be required to apply.
In formulating its first set of guidelines, “the Commission decided to base guideline ranges on the existing average time served,” as revealed in a study the Commission conducted. 2004 Report at 47. The Commission had begun work on a guideline for drug trafficking offenses when Congress passed the Anti-Drug Abuse Act of 1986,
The 1986 Act created a problem for the Commission. As is well understood, mandatory minimum sentencing statutes are inconsistent with the objectives of the Guidelines to provide “a substantial degree of individualization in determining the appropriate sentencing range” and to impose “graduated, proportionаl increases in sentence severity for additional misconduct or prior convictions.” U.S. SENTENCING COMM‘N, MANDATORY MINIMUM PENALTIES IN THE FEDERAL CRIMINAL JUSTICE SYSTEM 25 (Aug.1991). “The application of lengthy penalties to all persons based solely on whether they fit the statute-defined criteria (drug type and amount) results in a problem that is common to all mandatory minimum statutes—unwarranted uniformity.” U.S. SENTENCING COMM‘N, COCAINE AND FEDERAL SENTENCING POLICY 166-68 (Feb. 1995) (“1995 Report“); see also Stephen J. Schulhofer, Assessing the Federal Sentencing Process: The Problem is Uniformity, Not Disparity, 29 AM. CRIM. L. REV. 833, 847-48 (1992). Whether in passing the 1986 Act Congress considered these problems, and others, is unknown and unknowable. In the Commission‘s view, the purpose of thе Act was “to establish a two-tiered penalty structure for most drugs,” with a five-year mandatory minimum for managers of retail trade and a ten-year mandatory minimum for heads of organizations and wholesalers. 2004 Report at 48; 1995 Report at 118.
The drug trafficking guideline the Commission ultimately promulgated did not fol-
At the time it issued this Guideline the Commission did not explain why it decided to extend the 1986 Act‘s “quantity-based approach in this way.” 2004 Report at 49. But it soon became clear that with respect to cocaine, the Guideline‘s use of the 100-to-1 ratio between powder and crack cocaine raised significant problems. See id. at 50. As a result of the Guideline, “the sentencing guideline range (based solely on drug quantity) is three to over six times longer for crack cocaine offenders than powder cocaine offenders with equivalent drug quantities, depending on the exact quantity of the drug involved.” U.S. SENTENCING COMM‘N, COCAINE AND FEDERAL SENTENCING POLICY 11 (May 2002) (“2002 Report“). With respect to all drug trafficking offenses, the emphasis on drug quantity distorted the importance of that elemеnt as compared with other offense characteristics. 2004 Report at 50. With respect to cocaine, the Commission concluded that although powder cocaine, which is usually snorted, was less addictive than crack cocaine, which is smoked, see United States v. Brisbane, 367 F.3d 910, 911 (D.C.Cir.2004), this difference could not account for the 100-to-1 ratio. All forms of cocaine are addictive. The “current penalty structure—which yields a five-year mandatory minimum sentence for ten to fifty doses of crack cocaine compared to 2,500 to 5,000 doses of powder cocaine—greatly overstates the relative harmfulness of crack cocaine.”2 2002 Report at 93.
For these and other reasons we will mention later, the Commission issued a report in 1995 criticizing the ratio. Later that year the Commission proposed to Congress an amendment to the Guidelines eliminating the differential treatment of crack and powder cocaine. See 60 Fed. Reg. 25,074 (May 10, 1995). Pursuant to
B.
If matters stood as they were in 2004, we would have no choice but to reject Pickett‘s claim. We held in United States v. Anderson, 82 F.3d 436 (D.C.Cir.1996)—over Judge Wald‘s dissent—that the problems caused by the 100-to-1 ratio did not justify a sentencing judge in departing from the Guidelines. The Guidelines were then mandatory and the Sentencing Commission‘s criticism of its own product in its 1995 report to Congress did not render the Guidelines any less so.
In light of Booker, Anderson is no longer controlling. On the merits, a 5-4 majority in Booker held that the Guidelines violated the Sixth Amendment because they required judges to make factual findings that had the effect of lengthening sentences beyond what the jury-found facts would support. 543 U.S. at 244, 125 S.Ct. 738. As a remedy for this constitutional violation, a different 5-4 majority gave sentencing judges even more discretion. Before Booker, judges made factual findings and were required to adhere to the Guidelines in determining sentences; after Booker, judges continue to make findings but must treat the Guidelines as “effectively advisory.” Id. at 245, 125 S.Ct. 738; see Cunningham v. California, 549 U.S. 270, 127 S.Ct. 856, 166 L.Ed.2d 856 (2007); Michael W. McConnell, The Booker Mess, 83 DENVER U.L. REV. 665, 677 (2006).3
If we looked only to the Booker merits opinion, Pickett would have no case. The merits majority held that defendants in his situation have not suffered a Sixth Amendment violation. In his plea agreement, Pickett admitted possessing with intent to distribute more than fifty grams but less than 150 grams of crack cocaine. Under the Guidelines, his base offense level was therefore thirty-two. See
Even though Pickett suffered no loss of a constitutional right, Booker gave him a remedy. The Court‘s remedial opinion required the district court to treat the Guidelines as advisory only and as simply one factor to be considered in sentencing. Our role under Booker is to determine whether the sentence the court ordered was “unreasonable.” 543 U.S. at 261, 125 S.Ct. 738. We have held thаt a sentence resting on a legal error is unreasonable, if the error was not harmless. See United States v. Price, 409 F.3d 436, 442 (D.C.Cir.2005).
Under Booker, a sentencing court in any one case will be considering many of the same factors the Sentencing Commission took into account in formulating the Guidelines for all cases. For instance, when the Commission promulgated the Guidelines it had to “meet” the broad sentencing purposes set forth in
(1) the nature and circumstances of the offense and the history and characteristics of the defendant;
(2) the need for the sentence imposed—
(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner;
(3) the kinds of sentences available;
(4) the kinds of sentence and the sentencing range established for—
(A) the applicable category of offense committed by the applicable category of defendant as set forth in the guidelines—
(i) issued by the Sentencing Commission pursuant to section
994(a)(1) of title 28, United States Code , subject to аny amendments made to such guidelines by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments is-sued under section 994(p) of title 28); and (ii) that, except as provided in section
3742(g) , are in effect on the date the defendant is sentenced; or(B) in the case of a violation of probation or supervised release, the applicable guidelines or policy statements issued by the Sentencing Commission pursuant to section
994(a)(3) of title 28, United States Code , taking into account any amendments made to such guidelines or policy statements by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments issued under section994(p) of title 28); (5) any pertinent policy statement—
(A) issued by the Sentencing Commission pursuant to section
994(a)(2) of title 28, United States Code , subject to any amendments made to such policy statement by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments issued under section994(p) of title 28); and (B) that, except as provided in section
3742(g) , is in effect on the date the defendant is sentenced.(6) the need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct; and
(7) the need to provide restitution to any victims of the offense.
While Booker and
When it comes to the application of Guideline
The disparities are not only between crack and powder cocaine dealers. In the Commission‘s opinion
In terms of the sentencing factors of
The government has a counter-argument. It is this:
We will take up each of these points in the same order. As to frustrating the will of Congress, the Sentencing Commission does not believe that and neither do we. In the case of a crack dealer who pleads guilty to distributing more than fifty grams of crack, Congress‘s will is that his sentence should be between ten years’ and life imprisonment.
The government is right that Congress has not approved the Commission‘s reports on the problems caused by using the 100-to-1 ratio in the Guideline. But we do not understand why this matters. As far as the intent of Congress is concerned, it is the intent of the 1986 Congress, which enacted the mandatory minimums for crack and powder cocaine, that controls. The intent of later Congresses that failed to act on Commission recommendations is of no moment.6 But it remains of great importance that, in its recommendаtions, the Commission candidly and forthrightly exposed the weaknesses and failings of its Guideline with respect to crack cocaine sentencing.
True enough, the mandatory minimums reflect a congressional policy choice that crack cocaine offenses should be punished more severely than powder cocaine offenses involving the same weight of drugs. But this entirely evades the question. How much more severely? That point, made in each of the Commission‘s reports we have cited, is the critical consideration about which Congress has had nothing to say, except what the minimum and maximum punishment will be.
Judges have no business making “policy” choices, so the government tells us. What is the “policy” choice the government has in mind? It cites cases in which courts of appeals have rejected attempts by district judges to adopt and apply a ratio different from the current 100-to-1. See, e.g., United States v. Spears, 469 F.3d 1166, 1178 (8th Cir.2006) (en banc); United States v. Pope, 461 F.3d 1331, 1335-37 (11th Cir.2006); United States v. Castillo, 460 F.3d 337, 357-60 (2d Cir.2006); United States v. Jointer, 457 F.3d 682, 686-87 (7th Cir.2006); United States v. Eura, 440 F.3d 625, 633-34 (4th Cir.2006); United States v. Pho, 433 F.3d 53, 62-63 (1st Cir.2006).
The government also argues that if district judges have discretion to vary from the Guidelines range in crack cases, the result may be “unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct,”
So ordered.
ROGERS, Circuit Judge, concurring.
It has taken many years, but the court finally has concluded that it is authorized to hold, and does hold, that a district court, in sentencing a defendant, may properly take into account the fact that the 100-to-1 ratio embedded in the Sentencing Guidelines for crack-to-powdered cocaine offenses bears no meaningful relationship to a defendant‘s culpability.
As early as 1995, the Sentencing Commission issued a Special Report stating that the ratio was unfair and рroduced extreme sentencing anomalies, thereby failing to accomplish the purposes set forth in the Sentencing Reform Act,
Absent en banc review, Anderson remained binding on panels of this court.
As to Pickett‘s challenge to the ratio on equal protection grounds, this court has previously rejected it. See United States v. Holton, 116 F.3d 1536, 1548 (D.C.Cir. 1997); United States v. Johnson, 40 F.3d 436, 440 (D.C.Cir.1994), cert. denied, 514 U.S. 1041, 115 S.Ct. 1412, 131 L.Ed.2d 297 (1996). Absent en banc review, the court is bound by its prеcedent. See LaShawn, 87 F.3d at 1395.
Accordingly, for these reasons, I concur in holding that the district court erred when, in sentencing Pickett, it declined to consider the problems that arise in applying the 100-to-1 ratio in Guideline
