Marcia S. Krieger, Senior United States District Judge.
Mr. Crooks, along with more than a dozen co-defendants, was indicted in 2000 and charged with participating in a conspiracy to distribute 50 grams or more of cocaine base in violation of 21 U.S.C. § 846 and 21 U.S.C. § 841(b)(1)(A).
The charge against Mr. Crooks proceeded to a bench trial in 2002. On April 8, 2002, Judge Daniel B. Sparr found Mr. Crooks guilty on the charge against him. In announcing his verdict, Judge Sparr
On October 10, 2002, Judge Sparr sentenced Mr. Crooks. Based on the 2001 Sentencing Guidelines manual and a determination that the conspiracy as a whole involved between 1,701 and 2,126 grams of a substance containing cocaine base, the court determined that Mr. Crooks' offense level was 38. It calculated his criminal history category of VI, and that the resultant guideline range was 360 months to life imprisonment. Judge Sparr sentenced Mr. Crooks to 360 months of imprisonment. Mr. Crooks appealed both his conviction and his sentence, but the 10th Circuit affirmed Judge Sparr on both matters. U.S. v. Crooks, 73 Fed.Appx. 353 (10th Cir. 2003). In late 2004, Mr. Crooks filed a Motion to Vacate under 28 U.S.C. § 2255, which Judge Sparr denied as untimely. The 10th Circuit affirmed the denial of a Certificate of Appealability, effectively affirming the denial of Mr. Crooks' motion. U.S. v. Crooks, 143 Fed.Appx. 125 (10th Cir. 2005).
In or about 2008, the United States Sentencing Commission retroactively lowered the sentencing guidelines applicable to offenses involving crack cocaine. Mr. Crooks initially applied pro se for relief under 18 U.S.C. § 3582(c), but counsel appointed for Mr. Crooks ultimately concluded that Mr. Crooks was not eligible for a sentence reduction under the modified guidelines, due to his status as a "Career Offender" under § 4B1.1 of the Sentencing Guidelines. Thus, in June 2008, the Court denied Mr. Crooks' request. (In 2014, Mr. Crooks made a second application for relief under Section 3582, resulting from an anticipated second adjustment to the Sentencing Guidelines. He withdrew this application after consulting with counsel and determining that the request was premature.)
Mr. Crooks filed an amended § 2255 motion in 2016, invoking the holdings of Johnson v. U.S., ___ U.S. ___, 135 S.Ct. 2551, 192 L.Ed.2d 569 (2015) and its progeny, contending that the guidelines provisions that designated him as a Career Offender were unconstitutionally vague. This Court denied Mr. Crooks' motion as untimely, and the 10th Circuit affirmed. U.S. v. Crooks, 769 Fed.Appx. 569 (10th Cir. 2019).
Finally, on June 14, 2019, Mr. Crooks filed the instant motion pursuant to 18 U.S.C. § 3582. In that motion, Mr. Crooks contends that he is entitled to a sentence reduction under one or both of two theories: (i) under the First Step Act of 2018, and (ii) under 18 U.S.C. § 3582(c)(2). Mr. Crooks contends that, in either instance,
In 2010, Congress amended the Controlled Substances Act to remedy a disparity that existed between sentences imposed for the distribution of cocaine in powder form and the distribution of substances containing cocaine base (also known as "crack" cocaine). Distribution of cocaine base had been punished far more harshly than distribution of equivalent quantities of powder cocaine. In the Fair Sentencing Act of 2010, P.L. 111-220, Congress reduced that disparity by amending 21 U.S.C. § 841(b)(1), the sentencing scheme for controlled substance offenses. As relevant here, that statute provides two tiers of punishment based on the quantity of crack cocaine involved in the offense. The higher tier is found at § 841(b)(1)(A) and the lower tier at § 841(b)(1)(B). Prior to the Fair Sentencing Act, the higher tier of punishment was triggered if the offense involved 50 grams or more of a substance containing crack cocaine; the Fair Sentencing Act raised that threshold to 280 grams or more of such a substance. The Fair Sentencing Act also modified the thresholds for the lower tier of punishment. That tier now applies if the offense involved between 28 and 279 grams of a substance containing crack; it had previously applied to quantities as small as 5 grams of such a substance. The Fair Sentencing Act was not construed to have retroactive application, and thus, its modification of the statutory sentencing scheme did not grant any relief to defendants like Mr. Crooks, who were convicted prior to the statute's enactment.
In 2018, Congress again reduced the severity of sentencing for certain controlled substances offenses via the First Step Act of 2018, P.L. 115-391. The First Step Act made several additional changes to 21 U.S.C. § 841(b)(1). As pertinent here, the First Step Act operated to make retroactive the amendments made by the Fair Sentencing Act. In other words, defendants who were already serving a sentence for a controlled substance offense involving crack cocaine as of 2010 could move to have their sentence reduced as if the Fair Sentencing Act had been in effect at the time they were originally sentenced.
Mr. Crooks contends that the Fair Sentencing Act adjustments to 21 U.S.C. § 841(b)(1), as made retroactive to his case by the operation of the First Step Act, entitle him to both a re-sentencing and a sentence reduction. This Court begins by considering the hotly-disputed question of whether Mr. Crooks is entitled to resentencing at all.
Section 404(a) of the First Step Act defines the key that unlocks a defendant's ability to request a resentencing: the defendant must have committed a "covered offense" — namely:
The parties here disagree as to how this statutory language should be parsed. There is no dispute that Mr. Crooks' offense occurred prior to August 2010, and there is no dispute that, in general, the Fair Sentencing Act modified the statutory penalties for controlled substance offenses. The parties' disagreement focuses on the
If Mr. Crooks is correct, some of the penalties in the "statute" he was accused of violating — essentially, 21 U.S.C. § 841(b)(1) — were modified by the Fair Sentencing Act. Mr. Crooks' argument focuses on the crime charged in the
The Government reads the term "statutory penalties for which" to modify the noun "violation." Thus, the Government contends that the focus should be on whether the
The first Circuit Court to address the issue has concluded that Mr. Crooks' interpretation of the statute is the correct one. See U.S. v. Wirsing, 943 F.3d 175, 185-86 (4th Cir. 2019) ("There is no indication that Congress intended a complicated and eligibility-limiting determination [about actual conduct] at the `covered offense' stage of the analysis"). And that interpretation is consistent with the conclusions of "the vast majority of courts that have addressed this issue," including the influential decision in U.S. v. Rose, 379 F.Supp.3d 223, 228 (S.D.N.Y. 2019) (collecting cases), among others. See U.S. v. Curry, 429 F.Supp.3d 279 (W.D. La. Dec. 13, 2019) (slip op.) and cases cited therein; U.S. v. Byrd, 2019 WL 6493939 (W.D.Tex. Dec. 3, 2019) (slip op.) (same). A smaller number of trial courts have reached the opposite conclusion, finding that the offense conduct, not the indictment, dictates whether a defendant is eligible for resentencing. See U.S. v. Blocker, 378 F.Supp.3d 1125, 1129 (N.D. Fl. 2019) ("The indictment controls theory misreads
Although this Court is always reluctant to swim against the tide of authority, it finds the "conduct controls" interpretation of the First Step Act in Blocker to be more persuasive than the "indictment controls" interpretation in cases like Rose and Wirsing. To begin with, this Court rejects the initial premise of Rose and other "indictment controls" cases: that standard English grammar presumes that a modifier ("the statutory penalties for which ...") modifies the closest preceding noun ("statute," rather than "violation"). English language grammar is not nearly so rigid and there are many instances in which an adjectival phrase properly modifies a more remote noun.
To the contrary, careful parsing of Section 404(a) yields the conclusion that the "offense controls" theory is a far more reasonable reading of the statutory language. The modifier phrase in question here is "the statutory penalties for which," and the two nouns competing for the attention of that modifier are "violation" and "statute." Because "which" is a placeholder for the noun that is the object of the modifier, we can better understand the phrase by replacing "which" with each of the nouns. The notion of "statutory penalties for [a] violation" is perfectly logical; the notion of "statutory penalties for [a] statute" is not. Penalties are imposed
But acknowledging that both constructions have arguments in their favor (as Rose also admits, 379 F.Supp.3d at 229), that ambiguity requires the Court to consider Congressional intent. In this regard, this Court disagrees with the analysis in Rose and Wirsing as to Congress' purpose in enacting the Fair Sentencing Act. The key to discerning Congressional intent is to examine the Controlled Substances Act as it existed both before and after the Fair Sentencing Act.
As noted above, the Controlled Substances Act created, for purposes of the present analysis, two tiers of drug offenses. Defendants who distribute moderate quantities of drugs — between 5 and 50 grams of crack under the pre-2010 version of the Act — are subject to moderately-severe penalties under 21 U.S.C. § 841(b)(1)(B). Defendants who are responsible for distributing large quantities of drugs — 50 grams or more of crack — are subject to the harshest penalties of 21 U.S.C. § 841(b)(1)(A). For purposes of illustration, imagine this sentencing scheme as a laboratory test involving rats, trapped in a cage with an electrified floor that delivers severe electrical shocks. The cage has a window, through which some rats can escape to a second cage whose floor, while still electrified, delivers less painful jolts. The window is narrow, so skinnier rats can fit through and escape to the less punitive cage, but fatter rats cannot. In
In essence, the Fair Sentencing Act was a response to criticisms that the Controlled Substances Act's crack cocaine window was far narrower than the window openings applicable to other drugs. Because the window for crack cocaine was so narrow, more defendants remained on the harsher side of the scheme, even if those defendants would have been able to pass through the otherwise-applicable open windows had they dealt in similar quantities of other drugs. To remedy this disparity, the Fair Sentencing Act opened the crack window wider: now more rats could squeeze through the window into the safer cage, commensurate (more or less) with the quantities of rats that could squeeze through other drug windows. But the crack window was still finite and the largest rats — akin to defendants who distributed the highest quantities of crack — still could not fit through it; they still remained in the harsher cage. The Fair Sentencing Act did not change the level of electrical shocks delivered in either cage or otherwise modify the experiment in any other way; it simply made the window somewhat wider for crack defendants. Thus, a fair reading of Congress' intent in passing the Fair Sentencing Act was that it was only intended to benefit only those rats who were finally able to pass through the newer, wider window. Put differently, Congress' intent was to open up the milder sentences of § 841(b)(1)(B) to a wider range of defendants responsible for dealing
If that is Congress' intent, the "conduct controls" reading of Section 404(a) of the Fair Sentencing Act is the one that best implements Congress' intent. By focusing on the specific violation conduct each defendant engaged in, courts can determine whether the Fair Sentencing Act modified the penalty the defendant faced — that is, whether the the Fair Sentencing Act's wider window allow this defendant to escape from the harshness of a § 841(b)(1)(A) punishment and into a § 841(b)(1)(B) punishment. For defendants distributing moderate quantities of crack, the answer would be "yes" and resentencing them according to the reduced punishment tier would further Congressional intent. But for defendants who had distributed the highest quantities of drugs (i.e. more than 280 grams), the wider window changed nothing: they still could not fit through it and still remained subject to the harsh penalties of § 841(b)(1)(A). There would be little purpose to resentencing them because nothing had changed — once again, the Fair Sentencing Act did not change the levels of electrification in either cage or otherwise offer any solace to those who still could not fit through the wider window. Thus, a "conduct controls" interpretation of Section 404(a) effectuates Congressional intent.
Unfortunately, an "indictment controls" reading does not. With that reading, noting that the Fair Sentencing Act made adjustments to both § 841(b)(1)(A) and (b)(1)(B), literally
Moreover, an "indictment controls" scheme would create unreasonable disparities based on local charging practices of prosecutors. In many districts, the United States Attorney's practice has been simply to charge drug defendants with distribution of drugs at the statutory threshold for the appropriate punishment tier. In those jurisdictions — including this one — crack defendants prior to 2010 would have been charged with distributing "50 grams or more," regardless of whether the defendant actually distributed 51 grams or 51,000 grams. (Actual drug quantities would then be proven at trial.) Under an "indictment controls" interpretation, every such defendant would be entitled to a resentencing because the statutory penalties for distribution of 50 grams of crack changed with the Fair Sentencing Act.
For these and other reasons, this Court disagrees with those courts adopting the "indictment controls" theory. Instead, this Court finds that the "offense controls" theory provides the correct interpretation of
Nevertheless, because this Court adopts a minority approach on an unsettled legal question, it is prudent to provide an alternative analysis that would apply if an appeals court determines that Mr. Crooks is indeed eligible for resentencing under the First Step Act.
The First Step Act "grants a district judge limited authority to consider reducing a sentence previously imposed." U.S. v. Hegwood, 934 F.3d 414, 418 (5th Cir. 2019). The only "explicit basis stated for a change in the sentencing" is that the "calculations ... made under the Sentencing Guidelines are adjusted `as if' the lower drug offense sentences were in effect at the time of the commission of the offense." Id. In other words, a resentencing under the First Step Act is not a plenary proceeding that allows reconsideration of collateral aspects of sentencing.
Here, applying the current Sentencing Guidelines to the statute of conviction and the quantities of drugs found by Judge Sparr yields the following analysis. Guideline § 2D1.1(a)(5) applies, referring the Court to the Drug Quantity Table. Judge Sparr's finding that Mr. Crooks was jointly responsible for between 1,700 and 2,100 grams of crack distributed by the conspiracy places him at level 4 on that table (840 g to 2.8 kg of crack), yielding a base Offense Level of 32 (previously 38). The Presentence Report for Mr. Crooks did not disclose any Specific Offense Characteristics or other adjustments to his Offense Level, and thus, his total Offense Level is 32. Mr. Crooks' Criminal History category remains at VI. That combination yields a Guideline range of 210 to 262 months.
But Judge Sparr also found that Mr. Crooks was a Career Offender under § 4B1.1 of the Guidelines, and the resentencing under the First Step Act is not an invitation to revisit the correctness of that determination under current law. Hegwood, 934 F.3d at 417-18. Thus, the Court applies the Career Offender guideline of § 4B1.1(b). That guideline provides that if the Offense Level of the underlying crime is lower than the Offense Level set forth in a table, the Court should apply the higher Offense Level found in § 4B1.1. The table considers the statutory maximum punishment for the underlying crime. The Fair Sentencing Act adjusted the drug thresholds of 21 U.S.C. § 841(b)(1)(A) but did not alter their statutory maximums. The maximum penalty for a violation of 21 U.S.C. § 841(b)(1)(A) remains life imprisonment. Thus, under § 4B1.1(b)(1), Mr. Crooks' Offense Level rises to 37. At an Offense Level of 37 and a Criminal History category of VI, Mr. Crooks' guideline range is 360 months to life. This is exactly the same range that Judge Sparr considered, and thus, even if Mr. Crooks were entitled to resentencing under the First Step Act, the Court would, in its discretion, find that no adjustment in his sentence is warranted.
Mr. Crooks argues that this construction of the Career Offender guideline is incorrect. Mr. Crooks contends that, because he was charged with distributing 50 grams or more of crack (and not 280 grams or more), the lower tier penalties at 21 U.S.C. § 841(b)(1)(B) supply the statutory maximums to be considered when applying § 4B1.1. Under § 841(b)(1)(B), the statutory maximum penalty is 40 years, rather than life. Under § 4B1.1(b)(2), then, the Offense Level would instead be 34, and Mr. Crooks' guideline range would be 262-327
Accordingly, the Court denies Mr. Crooks' motion seeking resentencing under the First Step Act.
Separately, Mr. Crooks contends that he is eligible for resentencing by operation of 18 U.S.C. § 3582(c)(2). That statute provides that where a defendant has been sentenced to a term of imprisonment based on a sentencing range that has subsequently been lowered by the Sentencing Commission, the defendant may petition the court to reduce his sentence in accordance with applicable policy statements issued by the Commission.
Mr. Crooks' argument on this point is identical to the issue discussed immediately above: Mr. Crooks' contention that the Fair Sentence Act's interplay with the Career Offender guideline of § 4B1.1 renders his Offense Level to be 34, rather than 37 (or 38). For the reasons discussed above, the Court rejects this argument and finds that Mr. Crooks' correct Offense Level is 37. Because the current guideline range applicable to Mr. Crooks — 360 months to life — is identical to the range that Judge Sparr considered, Mr. Crooks has not shown that he is entitled to relief under 18 U.S.C. § 3582(c)(2).
For the foregoing reasons, Mr. Crooks' Motion to Reduce Sentence