UNITED STATES OF AMERICA, Plaintiff-Appellee/Cross-Appellant, v. WALTER G. BOULDING, Defendant-Appellant/Cross-Appellee.
Nos. 19-1590/1706
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
June 1, 2020
RECOMMENDED FOR PUBLICATION Pursuant to Sixth Circuit I.O.P. 32.1(b) File Name: 20a0168p.06
Argued: May 8, 2020
Decided and Filed: June 1, 2020
Before: MERRITT, GUY, and STRANCH, Circuit Judges.
COUNSEL
ARGUED: Anna R. Rapa, Mears, Michigan, for Appellant/Cross-Appellee. B. Rene Shekmer, UNITED STATES ATTORNEY‘S OFFICE, Grand Rapids, Michigan, for Appellee/Cross-Appellant. ON BRIEF: Anna R. Rapa, Mears, Michigan, for Appellant/Cross-Appellee. B. Rene Shekmer, UNITED STATES ATTORNEY‘S OFFICE, Grand Rapids, Michigan, for Appellee/Cross-Appellant.
OPINION
JANE B. STRANCH, Circuit Judge. This First Step Act appeal raises two issues of first impression in the Sixth Circuit: (1) whether eligibility for resentencing under the Act turns on the
I. BACKGROUND
A. Factual and Procedural History
In 2008, a jury convicted Walter Boulding of conspiracy to distribute, and to possess with intent to distribute, 50 grams or more of cocaine base, in violation of
At sentencing, substantially more crack cocaine was found attributable to Boulding. The Final Presentence Report (PSR) found Boulding responsible for 650.4 grams of crack cocaine. The district court accepted this finding over Boulding‘s objection, resulting in a base offense level of 34. The probation officer then added three sentencing enhancements: a two-level
The statutory mandatory minimum of life in prison ultimately controlled Boulding‘s sentence. The Government filed a Section 851 Notice and the PSR identified Boulding‘s two prior felony drug convictions. While the statutory penalty range for Count I would have been 10 years to life with supervised release of 5 years to life, the then-operative version of
On April 27, 2009, the district court imposed a sentence of life imprisonment on Count I and 360 months’ imprisonment as to Count II. The court explained that it considered a life sentence too harsh a punishment for Boulding; “life in prison is not the sentence I would impose on Mr. Boulding if I had the full discretion that I normally have in sentencing.” United States v. Boulding, 379 F. Supp. 3d 646, 649 (W.D. Mich. 2019). We affirmed Boulding‘s life sentence. United States v. Boulding, 412 F. App‘x 798 (6th Cir. 2011). Boulding pursued habeas remedies to no avail. See, e.g., Boulding v. United States, No. 12-2320 (6th Cir. May 22, 2013); In re Boulding, No 18-2088 (6th Cir. Jan. 30, 2019).
In 2018, Boulding filed a motion for reduction of his sentence under the First Step Act. After appointment of counsel and briefing of several issues, the district court found Boulding eligible for resentencing under the Act and imposed a reduced sentence of 324 months’ imprisonment on both Counts I and II, to be served concurrently. But it denied Boulding‘s requests for a de novo resentencing hearing and for an opportunity to address previously
B. Statutory Background
A year after Boulding was sentenced, Congress promulgated the
In 2018, Congress passed the First Step Act, which included making retroactive the Fair Sentencing Act‘s statutory changes for crack cocaine sentences. Specifically, Section 404 of the First Step Act made Sections 2 and 3 of the Fair Sentencing Act retroactive for defendants who were sentenced before August 3, 2010. The text of Section 404 is important to this appeal:
SEC. 404. APPLICATION OF FAIR SENTENCING ACT.
(a) DEFINITION OF COVERED OFFENSE.—In this section, the term “covered offense” means a violation of a Federal criminal statute, the statutory penalties for which were modified by section 2 or 3 of the Fair Sentencing Act of 2010 (Public Law 111–220; 124 Stat. 2372), that was committed before August 3, 2010.
(b) DEFENDANTS PREVIOUSLY SENTENCED.—A court that imposed a sentence for a covered offense may, on motion of the defendant, the Director of the Bureau of Prisons, the attorney for the Government, or the court, impose a reduced sentence as if sections 2 and 3 of the Fair Sentencing Act of 2010 (Public Law 111–220; 124 Stat. 2372) were in effect at the time the covered offense was committed.
(c) LIMITATIONS.—No court shall entertain a motion made under this section to reduce a sentence if the sentence was previously imposed or previously reduced in accordance with the amendments made by sections 2 and 3 of the Fair Sentencing Act of 2010 (Public Law 111–220; 124 Stat. 2372) or if a previous motion made under this section to reduce the sentence was, after the date of enactment of this Act, denied after a complete review of the motion on the merits. Nothing in this section shall be construed to require a court to reduce any sentence pursuant to this section.
II. ANALYSIS
A. Standard of Review
We have jurisdiction under
B. Discussion
The dispute over Boulding‘s eligibility for a reduced sentence under the First Step Act is a threshold question. We begin there.
1. Boulding‘s Eligibility under the First Step Act
Boulding‘s eligibility for a reduced sentence under the First Step Act distils to whether he was convicted of a “covered offense” under
The Government contends that a sentence reduction is authorized “only if the statutory penalties for a defendant‘s violation of a Federal criminal statute” were modified by the Fair Sentencing Act. “The statute thus keys eligibility not on a defendant‘s conviction, but on the specific ‘violation . . . committed,‘” it argues, because the restrictive clause (“the statutory penalties for which“) modifies not the nearest noun (“a Federal criminal statute“) but the preceding phrase in its entirety (“a violation of a Federal criminal statute“). The Government asserts that the case record as a whole should be used to determine the quantity of drugs involved—including specific findings made by the original sentencing court, or those contained within a plea agreement, the trial record, or presentencing report. And if, tallied together, that quantity is sufficient to trigger the statutory penalty under the increased thresholds imposed by the Fair Sentencing Act, the defendant would be ineligible for relief under the First Step Act.1 Boulding argues that the plain language of the Act specifically attaches eligibility to the statute of conviction: if he was convicted under a statute for which penalties were altered by the Fair Sentencing Act, he is categorically eligible for a lower sentence under the First Step Act.
The statute rests eligibility on the nature of a defendant‘s prior conviction: specifically, whether it was a “covered offense.” First Step Act
§ 404(b) . A “covered offense” is one for which the Fair Sentencing Act modified the penalties, which includes any crack cocaine offense under Section 841(b)(1)(A) or (B). “Under the plain language of the Act, whether an offense is a ‘covered offense’ is determined by examining the statute that the defendant violated. If that statute is one for which the statutory penalties were modified by section 2 or 3 of the Fair Sentencing Act, it is a ‘covered offense.‘” United States v. Davis, No. 07-CR-245S, 2019 WL 1054554, at *3 (W.D.N.Y. Mar. 6, 2019) (internal citations to Section 404 omitted). Quantity is simply not part of the statutory test for eligibility under the First Step Act. Eligibility turns entirely on the categorical nature of the prior conviction. All other issues, including the proper quantity determination, are a part of a reviewing court‘s discretionary call on whether to modify an eligible defendant‘s sentence.
Boulding, 379 F. Supp. 3d at 652. Boulding agrees.
The district court decided this case less than five months after the First Step Act was signed into law. Since then, every circuit court to address this question has held that eligibility for resentencing under the Act turns on the statute of conviction, not a defendant‘s specific conduct.
In United States v. Wirsing, 943 F.3d 175 (4th Cir. 2019), the Fourth Circuit reasoned:
The most natural reading of the First Step Act‘s definition of “covered offense” is that “the statutory penalties for which were modified by certain sections of the Fair Sentencing Act” refers to “a Federal criminal statute” rather than “a violation of a Federal criminal statute.”
Id. at § 404(a) . A general rule of statutory interpretation is that modifiers attach to the closest noun; courts should not interpret statutes in such a way as to “divorce a noun from the modifier next to it without some extraordinary reason.” Lopez v. Gonzales, 549 U.S. 47, 56 (2006); see also Lockhart v. United States, 136 S. Ct. 958, 962-63 (2016). Because “Federal criminal statute” appears closer to “statutory penalties for which” than does “violation,” it is more natural to attach “penalties” to “statute” than to “violation.”“Of course, as with any canon of statutory interpretation, the rule of the last antecedent is not an absolute and can assuredly be overcome by other indicia of meaning.” Lockhart, 136 S. Ct. at 963. But that is not the case here. The only possible “indicia” of an alternative meaning is the repetition of “statute” and “statutory,” which at first blush appears unnecessary. Yet on closer inspection, the terms are not redundant. The First Step Act specifies that it is “statutory
penalties” that are at issue to avoid any ambiguity that might arise in the sentencing context between penalties specified by statute or by the Guidelines. In other words, the word “statutory” is required to clarify “penalties” regardless of whether “statutory penalties for which” modifies “Federal criminal statute” or “violation.” The use of the word “statutory” is neutral between the interpretations; it is not an “indicia of meaning” that can “overcome” the more natural reading of the statute.
Id. And it certainly does not provide an “extraordinary reason” to divorce “Federal criminal statute” from “penalties.” Lopez, 549 U.S. at 56, 127 S. Ct. 625.
Id. at 185-86 (4th Cir. 2019) (cleaned up). In United States v. Jackson, the Fifth Circuit adopted Wirsing‘s “closest noun” rationale but also concluded that “the use of the past tense—‘were modified‘—in the penalties clause ‘confirms that the clause was intended to modify ‘statute,’ not ‘violation.‘” 945 F.3d 315, 320 (5th Cir. 2019), cert. denied, S. Ct. ----, 2020 WL 1906710 (U.S. Apr. 20, 2020) (quoting United States v. Rose, 379 F. Supp. 3d 223, 229 (S.D.N.Y. 2019)). “The Fair Sentencing Act wasn‘t retroactive when first passed, so it couldn‘t ‘have ‘modified’ any penalties imposed for violations ‘committed before August 3, 2010.‘” Instead, ‘the only ‘statutory penalties’ that the Fair Sentencing Act could have modified were the crack-cocaine penalties provided in the Controlled Substances Act’ itself.” Id. (quoting Rose, 379 F. Supp. 3d at 229). The Fair Sentencing Act, moreover, modified sentences for “entire categories of offenses,” not the penalties for particular fact-specific violations. United States v. Shaw, 957 F.3d 734, 739 (7th Cir. 2020). The Jackson Court added that “the penalties clause refers to ‘statutory penalties.’ FSA,
All other circuits to reach the question agree. See Shaw, 957 F.3d at 738 (“We join our sister circuits in holding that the phrase modifies ‘federal criminal statute.‘“); United States v. Smith, 954 F.3d 446, 448-49 (1st Cir. 2020); United States v. McDonald, 944 F.3d 769, 772 (8th Cir. 2019) (“The First Step Act applies to offenses, not conduct and it is McDonald‘s statute of conviction that determines his eligibility for relief.” (citation omitted)).
In United States v. Beamus, we came close to calling the issue in Boulding‘s favor. 943 F.3d 789 (6th Cir. 2019). There, the question was whether Beamus was eligible for
In 2002, jury convicted Beamus of conspiracy to possess 6.68 grams of crack cocaine with intent to distribute,
21 U.S.C. § 841(b)(1)(B) (2002) . . . . [The Fair Sentencing Act] increased the quantity of crack cocaine required to trigger a mandatory minimum sentence from 5 grams to 28 grams. . . . This change would have made a difference for Beamus. . .. . . Beamus appeals [the ineligibility] determination, and the government concedes error.
Rightly so. By its terms, the First Step Act permits Beamus to seek resentencing. He was convicted of an offense for which the Fair Sentencing Act modified the statutory penalty . . . . The text of the First Step Act contains no freestanding exception for career offenders.
It‘s true, as the government notes, that the Fair Sentencing Act‘s changes to the statutory penalty for Beamus‘s drug offense also would have affected his guidelines range. But that‘s happenstance in this instance. Beamus is eligible for resentencing because, and only because, the Fair Sentencing Act modified the statutory range for his offense. That the Sentencing Guidelines also would have applied differently does not affect his eligibility for resentencing.
Id. at 790-92 (emphasis added). The “offense” at issue in Beamus was
Other Sixth Circuit decisions interpreting the First Step Act rely on the categorical rule that eligibility turns on the statute of conviction. In Woods, we considered whether Wood‘s post-revocation sentence was part of his “covered offense.” 949 F.3d at 937. First, we noted: “Woods pled guilty to aiding and abetting possession with intent to distribute crack cocaine, in violation of
In still other Sixth Circuit cases, we have assumed Boulding‘s interpretation is correct without further comment. See, e.g., United States v. Bethea, 797 F. App‘x 1027, 1028 (6th Cir. 2020); United States v. Jones, No. 19-5433, 2019 WL 5436199, at *2 (6th Cir. Sept. 12, 2019) (citing Boulding, 379 F. Supp. 3d at 651); United States v. Maxwell, 800 F. App‘x. 373, 378 (6th Cir. 2020).
To the extent it remains an open question in this circuit, we hold that eligibility for resentencing under the First Step Act turns on the statute of conviction alone. This rule accords with the consensus among circuit courts and our own cases interpreting
As a final matter, the Government argues that Boulding‘s interpretation of the Act will lead to sentencing disparities because it “treat[s] better” a defendant who trafficked 500 grams or more of crack before August 3, 2010, than those who did so after that date. This argument is unavailing. Congress intended to rectify disproportionate and racially disparate penalties even where juries could have been asked to find higher drug quantities. Congress tied eligibility to the statute of conviction—but left sentencing judges with the discretion to deny resentencing
The district court put it aptly: “a neutral and categorical approach to eligibility . . . ensures all potentially worthy defendants receive the Congressionally provided relief under both the Fair Sentencing Act and the First Step Act. It also ensures protection against unwarranted windfalls by leaving the Court with discretion to deny relief completely, or to tailor relief to fit the facts of the case.” Boulding, 379 F. Supp. 3d at 654.
2. Boulding‘s Process under the First Step Act
The district court held that upon finding eligibility:
The Court then determines whether to exercise its discretion to reduce the defendant‘s sentence. This determination is informed by a guideline comparison between the guidelines as they existed during the original sentencing and the guidelines as they exist today, as well as from any other information the parties present or the Court chooses to consider. Based on this information, the Court will then determine the extent of any reduction it decides in its discretion to award, consistent with statutory limits, non-binding guideline considerations, and the Section 3553 factors.
Boulding, 379 F. Supp. 3d at 654. The court further reasoned that eligible defendants are not entitled to plenary resentencing but, unlike retroactive reductions based on guideline reductions, the district court‘s discretion is not curtailed by
Defendants seeking a reduced sentence under the First Step Act are “not entitled to a plenary resentencing.” Alexander, 951 F.3d at 708;2 see also United States v. Hegwood, 934 F.3d 414, 418 (5th Cir.), cert. denied, 140 S. Ct. 285 (2019). Alexander, like Boulding,
Our recent cases provide further guidance as to what process is required. In Foreman, we first reasoned that the ceiling is high: district courts are empowered to provide process and to consider resentencing factors as they see fit. “Unlike
Foreman reasoned that the district court‘s sentence reduction was adequate because it “thoroughly explained its sentencing rationale, carefully examining Foreman‘s circumstances, the amended penalty provisions, and the resulting changes to Foreman‘s Guidelines range.” 2020 WL 2204261, at *8. And in United States v. Lakento Smith, we held that a district court‘s completion of an AO Form Order was an adequate statement of reasons for the resentencing decision because the judge was required to consider the
In United States v. Marty Smith, we vacated the district court‘s denial of a motion for reduced sentence under the Act, holding that the court abused its discretion by “fail[ing] to provide a sufficiently compelling justification.” No. 19-5281, --- F.3d ---, 2020 WL 2503261, at *3 (6th Cir. May 15, 2020). We explained that “[t]he district court must consider the factors in
Boulding contends that the district court abused its discretion by denying him the opportunity to raise his sentencing objections after the one round of briefing, which had been authorized to address the court‘s questions about First Step Act eligibility and process. While conceding that he is not entitled to plenary resentencing, Boulding argues that he is nevertheless entitled to an opportunity to present his objections to the sentencing enhancements that were used to calculated the amended guidelines and that served as the basis for the district court‘s renewed consideration of the
The First Step Act itself indicates that Congress contemplated close review of resentencing motions. Section 404(c) states that a prisoner cannot seek relief under the Act twice if the first motion was “denied after a complete review of the motion on the merits.”
While a district court has discretion to consider all relevant factors and has wide latitude to provide the process it deems appropriate, the language of § 404 and our cases that interpret it, stand for the proposition that the necessary review at a minimum—includes an accurate calculation of the amended guidelines range at the time of resentencing and thorough renewed consideration of the
On appeal, we apply abuse of discretion review to resentencing decisions under the Act. Beamus, 943 F.3d at 792; Woods, 949 F.3d at 937-38. While district courts have wide discretion in the First Step Act context, the resentencing decision must be procedurally reasonable and supported by a sufficiently compelling justification. See Smith, 2020 WL 2503261, at *3. Here, the district court correctly compared the guideline calculation at the original sentencing with the amended guideline range as it existed at resentencing and evaluated the
III. CONCLUSION
Though Boulding is not entitled to plenary resentencing, the First Step Act contemplates a baseline of process that must include an accurate amended guideline calculation and renewed consideration of the
For the foregoing reasons, we AFFIRM the district court‘s determination that Boulding is eligible for resentencing under the First Step Act; VACATE the sentence imposed; and REMAND for resentencing consistent with the opinion of this court.
