Lead Opinion
The opinion filed July 15, 2016, and appearing at
Dissenting Opinion
join, dissenting from denial of rehearing en banc:
I respectfully dissent from the denial of rehearing en banc. The panel held that when a jury finds that the amount of drugs the government has proved, beyond a reasonable doubt, is attributable to a defendant falls within a specified range, the sentencing judge may not find by a preponderance of the evidence that the amount of drugs attributable to the defendant is higher than that range. United States v. Pimentel-Lopez,
I
A jury convicted Defendant Jesus Pi-mentel-Lopez of possessing methamphetamine, with intent to distribute it, and conspiracy to accomplish the same. The jury found specifically that the government had proved its case beyond a reasonable doubt with respect to less than 50 grams of methamphetamine. The sentencing judge, though, found that the government had proved by a preponderance of the evidence that the quantity of drugs was greater than 50 grams and sentenced Defendant accordingly. The sentence imposed did not exceed the maximum sentence for the quantity of less than 50 grams, which the jury had found; rather, the court imposed the statutory maximum for a quantity of less than 50 grams. Id. at 1175. The panel nonetheless vacated the sentence on the ground that the jury’s finding as to drug weight “precluded a contradictory finding by the district judge during sentencing.” Id. at 1177. In fact, the district judge’s finding as to drug weight did not contradict the jury’s finding and was permissible under Apprendi v. New Jersey, 530 U.S. 466,
II
The panel’s opinion first errs by misconstruing what the jury found. The jury answered the following question on the verdict form:
Having found Jesus Pimentel-Lopez guilty of the charge ... we unanimously find beyond a reasonable doubt the amount of a substance containing a detectable amount of methamphetamine attributable to Jesus Pimentel-Lopez to be:
x Less than 50 grams of a substance containing a detectable amount of methamphetamine.
_50 grams or more, but less than 500 grams, of a substance containing a detectable amount of methamphetamine.
_500 grams or more of a substance containing a detectable amount of methamphetamine.
Pimentel-Lopez,
To be fair, the precise wording of the verdict form, read in isolation, does admit the construction that the panel gave it. But we do not read a verdict form, much less a portion of a verdict form, in isolation, and neither does a jury. A verdict form must be interpreted in light of the jury instructions and in the context of the trial as a whole. United States v. Hartz,
An example will further illustrate the illogic of the panel’s interpretation. Suppose that the government offered evidence in this case of two drug transactions, each involving 45 grams of a substance containing a detectable amount of methamphetamine. Suppose further that the jury is persuaded beyond a reasonable doubt that one transaction occurred and that the amount was attributable to Defendant, but that the jury is persuaded to a lesser degree as to the second transaction. Under my reading of the verdict form, the jury would, as it did here, check the box for less than 50 grams. But under the panel’s analysis, the jury could not check any box because it did not (and in this example it could not) find beyond a reasonable doubt that the amount attributable to Defendant did not exceed 50 grams.
The panel has amended its opinion to include a proposed verdict form that “cap-turéis] the view that the government is now attributing to the jury.” Revised panel op. at 18-19. But the fact that there is some other formulation that might have reflected the jury’s factual findings even more clearly says nothing about how the actual verdict form in this case should be interpreted. A verdict form such as the one in this- case is best understood to mean that the government proved its case only with respect to some amount of drugs weighing less than 50 grams. See, e.g., United States v. Young,
Ill
Given what the jury actually found in this ease — as opposed to what the panel
The panel’s opinion' distinguishes Watts and the opinions of our sister circuits by reasoning that the “rationale [of Watts] is inapplicable where, as here, we have an affirmative finding that the amount in question is less than a particular amount.” Pimentel-Lopez,
The panel also distinguishes the decisions of our sister circuits by noting that those courts “seem to have assumed that the juries’ findings merely acquitted defendants of possessing higher quantities of drugs.” Id. In several of those cases, as in this case, the jury found a drug amount attributable to the defendant that was “less than” some value. See, e.g., United States v. Webb,
Which brings me to the importance of this case. The panel takes pains to avoid saying that its decision creates a circuit split, positing that our sister circuits’ “as
This case also has serious practical consequences. The verdict form filled out by the jury was not identical to the one found in the Ninth Circuit Manual of Model Criminal Jury Instructions, but it was substantially similar to that form. See 9th Cir. Model Crim. Jury Instruction 9.16. Because many district courts use the model instructions or some variation thereof, the panel’s opinion casts doubt on a large number of sentences in drug cases. The panel’s opinion invites a deluge of 28 U.S.C. § 2255 petitions to “correct” sentences that were correct to begin with.
The panel’s opinion represents an unfortunate misstep, and I regret our decision not to correct that misstep by rehearing this case en banc.
OPINION
The jury in defendant’s criminal case made a special finding that the quantity of
FACTS
Defendant was convicted of possession of methamphetamine with intent to distribute and conspiracy to possess with intent to distribute, in violation of 21 U.S.C. §§ 841(a)(1) and 846. The punishment for both of these crimes is determined by section 841(b), which sets differential punishments, depending on drug type and quantity. If the quantity involved is less than 50 grams or an indeterminate amount, then the maximum sentence is 20 years. § 841(b)(1)(C). The statute sets higher minimum and maximum sentences for larger drug quantities. § 841(b)(l)(A)-(B).
With the consent of both parties, the court gave the jury a verdict form, which it filled out as follows:
Having found Jesus Pimentel-Lopez guilty of the charge ... we unanimously find beyond a reasonable doubt the amount of a substance containing a detectable amount of methamphetamine attributable to Jesus Pimentel-Lopez to ■be:
x Less than 50 grams of a substance containing a detectable amount of methamphetamine.
_50 grams or more, but less than 500 grams, of a substance containing a detectable amount of methamphetamine.
__ 500 grams or more of a substance containing a detectable amount of methamphetamine.
At sentencing, the district judge found that the actual quantity attributable to defendant’s crimes was 4.536 kg, which yielded a Sentencing Guidelines range of 235 to 293 months.
ANALYSIS
I
The principal question presented is whether the district judge was entitled to make a drug quantity finding in excess of that found by the jury in its special verdict. The district court believed it was entitled to do so because “[tjhere is no increase in the statutory maximum sentence beyond the 20 years or 240 months that is charged in the [ijndictment.”
In reaching its conclusion, the district court relied on Apprendi v. New Jersey,
In reaching the contrary conclusion, the district judge overlooked our caselaw on point. In Mitchell v. Prunty,
The precise issue presented in Mitchell differed slightly from that presented here, but the difference actually makes ours an easier case. In Mitchell we considered
In its petition for rehearing, the state asked us to ignore the special finding as a case of inconsistent verdicts. Id. at 1339 n.2. We treated the special finding as binding even on the jury itself. Id. The special finding must also be binding on the parties and the court.
In our case, the jury was asked to find the upper limit of the quantity of illegal drugs involved in Pimentel-Lopez’s crimes, and it did just that: “[T]he amount of [methamphetamine] attributable to Jesus Pimentel-Lopez [is] ... [l]ess than 50 grams.” This was not a gratuitous finding added by the jury of its own accord as in Floyd v. Laws,
Some of our sister circuits seem to have held that a jury’s special-verdict finding that the quantity of drugs involved in the crime is less than a particular amount did not preclude the judge from finding a greater quantity for purposes of sentencing. See United States v. Webb, 545 F.3d 673, 677 (8th Cir. 2008); United States v. Magallanez,
All four cases held that the district court’s sentencing did not violate the Ap-prendi line of cases. But, as explained above, Apprendi has no bearing on our analysis. In addition, the other circuits addressed the drug quantity finding only in passing, while emphasizing the less demanding preponderance-of-the-evidence standard governing judicial factfinding at sentencing. See Webb,
Some of our sister circuits seem to have assumed that the juries’ findings merely acquitted defendants of possessing higher quantities of drugs, and that may have
Our conclusion does raise a.fair question: How is it possible to punish a defendant convicted of crimes involving less than 50 grams to the full statutory term of 240 months, when the Sentencing Guidelines cap the term available when the drug quantity involved is less than 50 grams at 125 months? In other words, does a jury’s finding that the quantity of drugs falls in the 0 to 50 range always preclude a district judge from punishing the defendant for quantities in excess of 50 grams? The judge may, of course, depart upward from the sentencing range generated by the jury’s findings. Also, where the jury makes no finding as to quantity or finds an unspecified amount, there would be no inconsistency between the verdict and any quantity that the judge finds during sentencing. And any jury finding that does not set an upper boundary would leave the district court free to find a greater quantity in determining the sentencing range.
In our case, the government proposed the verdict form that set both a
A different verdict form certainly could have captured the view that the government is now attributing to the jury:
1. We, the Jury, unanimously find beyond a reasonable doubt the Defendant, Jesus Pimentel-Lopez:
NOT GUILTY_
GUILTY_
of conspiracy to possess controlled substances with the intent to distribute, as charged in the Indictment.
If you find Jesus Pimentel-Lopez not guilty, do not answer Question la. If you find Jesus Pimentel-Lopez guilty, then answer Question la.
la. Having found Jesus Pimentel-Lopez guilty of the charge, do you also unanimously find that the government proved beyond a reasonable doubt that the amount of controlled substance attributable to Jesus Pimentel-Lopez was:
50 grams or more of a mixture or substance containing a detectable amount of methamphetamine? Yes _ No _
500 grams or more of a mixture or substance containing a detectable amount of methamphetamine? Yes_ No_
See 21 U.S.C. § 841(a), (b)(l)(A)(viii), (b)(l)(B)(viii).
If the district court had presented this verdict form and the jury had answered “Guilty” to the first question and “No” to both sentencing questions, that would mean that the government had proven beyond a reasonable doubt some measurable
That the verdict form used in this case was similar to our circuit’s model verdict form is of no consequence. Model instructions and forms are not authoritative; they merely reflect the case law in our circuit as the Ninth Circuit Jury Instructions Committee understands it. Indeed, this committee is constantly revising jury instructions in response to our opinions. See, e.g., Ninth Circuit Jury Instructions Committee, Manual of Model Criminal Jury Instructions 137, 222, 225 (2010) (discussing changes in the model jury instructions prompted by our opinions); see also United States v. Acosta-Sierra,
Going forward, the Jury Instructions Committee may well revise the model verdict form for determining the amount of controlled substance for § 841(b)(1) purposes, as they frequently do. But our review today must be based on the verdict form that was actually used in this case. Using this verdict form, the jury found that the amount of controlled substance “attributable to Jesus Pimentel-Lopez [was] ... [l]ess than 50 grams of a substance containing a detectable amount of methamphetamine.” Despite this finding, the district court enhanced defendant’s sentence based on a contradictory finding that more than 50 grams of a controlled substance were involved in defendant’s crimes. Because the district court may not contradict an affirmative finding by the jury, we must vacate the sentence and remand with instructions that defendant be resentenced on the premise that his crimes involved less than 50 grams of drugs.
II
The district court also applied a two-level enhancement under Guidelines section 3Bl.l(c) upon finding that Pimen-tel-Lopez directed the behavior of his co-conspirators. Under section 3Bl.l(e), “[i]f the defendant was an organizer, leader, manager, or supervisor in any criminal activity,” courts are instructed to increase a defendant’s offense by two levels. The application notes to section 3B1.1 clarify that “[t]o qualify for an adjustment ... the defendant must have” either “been the organizer, leader, manager, or supervisor of one or more other participants” or must have “exercised management responsibility over the property, assets, or activities of a criminal organization.” U.S.S.G. § 3B1.1 n.2.
“A court may impose this enhancement if there is evidence that the defendant exercised some control over others involved in the commission of the offense or was responsible for organizing others for the purpose of carrying out the crime.” United States v. Whitney,
The government introduced scant evidence that Pimentel-Lopez directed his co-conspirators. During Pimentel-Lopez’s sentencing hearing, an agent testified that Jesus Elizondo — a co-conspirator who didn’t testify — said that Pimentel-Lopez directed Elizondo’s fiancée, Heather Mal-lo, and Mallo’s sister, Elizabeth Gardiner, to rent a house “to be used ... to distribute drugs.” Mallo corroborated this allegation during a pre-trial police interview.
“Generally, hearsay evidence ... may be used in sentencing,” but “we require that ‘some minimal indicia of reliability accompany a hearsay statement.’ ” United States v. Huckins,
“[EJxternal consistency” may demonstrate “the reliability of hearsay statements by co-defendants.” United States v. Berry,
Because Elizondo’s and Mallo’s hearsay statements do not meet our “minimal indi-cia of reliability” standard, the district court was not justified in relying on them in determining Pimentel-Lopez’s sentence. Absent these statements, there is no evidence indicating that Pimentel-Lopez “exercised some control over others involved in the commission of the offense.” United States v. Yi,
[[Image here]]
We VACATE Pimentel-Lopez’s sentence and REMAND for resentencing.
Notes
. See United States v. Webb,
. Under the then-applicable Sentencing Guidelines section 2D 1.1(c) the offense level for possessing at least 1.5 kg but less than 5 kg of methamphetamine was 34. The court also assessed a two-level enhancement under
. Assuming a level 24 offense under section 2D 1.1(c), a criminal history category of III and no organizer enhancement. See U.S.S.G., ch. 5, pt. A.
. To the extent that we refer here to facts contained exclusively in the presentence report, we pro tanto lift the order sealing that document.
