KAREN NELSON MOORE, Circuit Judge.
Donald Graham, convicted of three counts of a seven-count indictment for crack-cocaine offenses under 21 U.S.C. §§ 841(a)(1) and 846 and 18 U.S.C. § 2, appeals from the district court's denial of his Federal Rule of Criminal Procedure 29 motion for a judgment of acquittal, denial of his motion to disregard life sentence, and sentencing decision. Graham's main contention on appeal is that his life sentence, imposed for his third qualifying felony under 21 U.S.C. § 841(b)(1)(A), violates the Eighth Amendment to the U.S. Constitution. Finding no reversible error, we affirm the district court's rulings on Graham's motions and his life sentence.
Graham was arrested as part of an investigation conducted by the Northern Kentucky Drug Strike Force ("NKDSF") and the Kenton County Police Department ("KCPD"). Starting in September 2006, the NKDSF and the KCPD began a series of six controlled cocaine-base buys with a confidential informant to investigate the confidential informant's tip that Jermaine Goodwin was a drug supplier.
Both Goodwin and Howard pleaded guilty under plea agreements requiring them to testify in Graham's trial. After a
Graham timely appeals the denial of his acquittal and life sentence motions and challenges the reasonableness of his sentence.
Graham argues that the district court erred in denying his acquittal motions because "No One Saw Graham Do Anything," making the government's evidence insufficient to support a conviction. Appellant Br. at 17. The district court denied Graham's motions on the record, stating, "A lot of the evidence is by people whose credibility isn't the greatest, but the Court has to ignore those issues, and the evidence taken at its face value is sufficient for it to go to the jury." Dist. Ct. Doc. ("Doc.") 125 (Trial Tr. # 3 at 37, 56). We review de novo the denial of a motion for acquittal, viewing the evidence in "a light most favorable to the prosecution, giving the prosecution the benefit of all reasonable inferences from the testimony." United States v. McAuliffe, 490 F.3d 526, 537 (6th Cir.), cert. denied, 552 U.S. 976, 128 S.Ct. 442, 169 L.Ed.2d 309 (2007). "The relevant question in assessing a challenge to the sufficiency of the evidence is whether any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt." Id. We may not "weigh the evidence presented, consider the credibility of witnesses, or substitute our judgment for that of the jury." United States v. M/G Transp. Servs., Inc., 173 F.3d 584, 588-89 (6th Cir. 1999).
"A defendant claiming insufficiency of the evidence bears a very heavy burden." United States v. Abboud, 438 F.3d 554, 589 (6th Cir.) (internal quotation marks and alteration omitted), cert. denied, 549 U.S. 976, 127 S.Ct. 446, 166 L.Ed.2d 309 (2006). We afford the same weight to both circumstantial and direct evidence. United States v. Gallo, 763 F.2d 1504, 1518 (6th Cir.1985), cert. denied, 475 U.S. 1017, 106 S.Ct. 1200, 89 L.Ed.2d 314 (1986). Because "`[c]ircumstantial evidence alone may sustain a conviction,'" physical evidence is not a prerequisite to sustaining a conviction. United States v. Davis, 306 F.3d 398, 408 (6th Cir.2002) (quoting United States v. Adams, 265 F.3d 420, 423 (6th Cir.2001)), cert. denied, 537 U.S. 1208, 123 S.Ct. 1290, 154 L.Ed.2d 1054 (2003). "Furthermore, it is well-settled that uncorroborated testimony of an accomplice may support a conviction in federal court." United States v. Spearman, 186 F.3d 743, 746 (6th Cir.) (citing,
Graham attacks all of his counts of conviction generally, arguing that there is no direct evidence tying him to Goodwin or the controlled buys because no one saw him with any drugs or marked money, and that Goodwin's statements about Graham are not enough. He does not attack specific elements of any of the counts of conviction, but rather points out broad problems with the government's evidence. Because the government must have presented sufficient evidence for each count of conviction such that a "rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt," McAuliffe, 490 F.3d at 537, we set forth the elements required for each count.
To uphold a conviction on Count One, conspiracy to distribute and possess with intent to distribute, the jury must have found that the government proved beyond a reasonable doubt:
Paige, 470 F.3d at 608-09; see also United States v. Gibbs, 182 F.3d 408, 420 (6th Cir.), cert. denied, 528 U.S. 1051, 120 S.Ct. 592, 145 L.Ed.2d 492 (1999). "A defendant's guilty knowledge and voluntary participation may be inferred from surrounding circumstances," including a close relationship between alleged conspirators, but participation requires more than "mere association with conspirators." United States v. Brown, 332 F.3d 363, 372-73 (6th Cir.2003) (internal quotation marks omitted). A buyer-seller relationship with others is not enough, but evidence of a conspiracy or evidence linking a particular defendant to a conspiracy may be provided by: repeated sales, Brown, 332 F.3d at 373 (holding regular arrangement to purchase large amounts is
"[A] violation of 21 U.S.C. § 841(a), distribution of cocaine, requires that a defendant: (1) knowingly or intentionally distribute cocaine, and; (2) at the time of such distribution the defendant knew that the substance was cocaine." United States v. Colon, 268 F.3d 367, 376 (6th Cir.2001). Counts Six and Seven also charged Graham under 18 U.S.C. § 2 for aiding and abetting another to violate 21 U.S.C. § 841. "[T]he essential elements of aiding and abetting are (1) an act by the defendant that contributes to the commission of the crime, and (2) an intention to aid in the commission of the crime." Davis, 306 F.3d at 412. "To prove that [Graham] aided and abetted the drug transactions under 18 U.S.C. § 2, the government must establish that [Graham] participated in the venture as something [ ]he wished to bring about and sought to make succeed." United States v. Ward, 190 F.3d 483, 487 (6th Cir.1999), cert. denied, 528 U.S. 1118, 120 S.Ct. 940, 145 L.Ed.2d 817 (2000), 529 U.S. 1028, 120 S.Ct. 1440, 146 L.Ed.2d 328 (2000); see also Paige, 470 F.3d at 609; Salgado, 250 F.3d at 447; United States v. Nieto, 226 Fed.Appx. 483, 488 (6th Cir.2007) (unpublished opinion). The government was not required to prove that Graham himself actually distributed or had possession of the cocaine, only that he had knowledge of the principals' actions and assisted. Paige, 470 F.3d at 609.
We conclude that the government presented sufficient evidence to support the jury's verdict as to all counts. In response to Graham's insufficient-evidence challenge, the government relies upon Goodwin's testimony regarding Graham's repeated involvement as a supplier and other witnesses' corroborating testimony. As stated above, we may not review Goodwin's credibility, and Goodwin's testimony alone may support Graham's convictions if the testimony was enough to prove Graham's involvement beyond a reasonable doubt. See Spearman, 186 F.3d at 746 (upholding conviction on sufficiency challenge based on one co-conspirator's testimony); Gibbs, 182 F.3d at 425 (upholding convictions on sufficiency challenges where only one eyewitness testified as to defendant's involvement, but government cited multiple corroborating witnesses); Nieto, 226 Fed.Appx. at 487-89 (upholding conviction for aiding and abetting distribution and for active participation in conspiracy based on co-conspirator's testimony and evidence of defendant's indirect participation); see also United States v. Henley, 360 F.3d 509, 513-14 (6th Cir.2004) (upholding conviction on sufficiency challenge based on testimony of two co-conspirators).
At trial, the confidential informant, Shawn Payne, testified that Goodwin told him when they first met in the fall of 2006 that Goodwin "basically had a hookup on narcotics," and that the first controlled buy was set up the very next day. Doc. 124 (Trial Tr. # 2 at 56). Goodwin never told Payne the identity of his supplier, and Payne never saw or knew of Graham until October 16. Id. at 76-78. Goodwin testified that he had been obtaining drugs as a middleman from Graham for three or four months prior to Goodwin's arrest on October 16 and that he had obtained drugs from Graham "like 20 times or so." Doc.
Goodwin testified that for each of the controlled buys on October 16 and 17, 2006, he called Graham to obtain crack cocaine to complete the sales and had to wait for Graham to arrive before he had the drugs to sell. Doc. 123 (Trial Tr. # 1 at 26-30.) Because Graham did not testify in his own defense, Goodwin was the only person to testify as to what happened in the back bedroom where Goodwin received the cocaine from Graham. Payne confirmed that Goodwin did not have the drugs when Payne arrived on October 16 or 17, but that he and Goodwin completed the deals after Graham arrived and went to the back area of the apartment with Goodwin. Doc. 124 (Trial Tr. # 2 at 63-65, 66-71, 80-81). Abney also confirmed that on October 17 Goodwin was waiting for Graham to arrive with the drugs for Payne, and that she told Payne after Graham arrived that Graham was the supplier for whom they had been waiting. Id. at 113-14, 125. Howard testified that he drove Graham to Goodwin's on October 17 to drop off a package of cocaine. Id. at 149-50. Goodwin, Abney, and Howard each testified that they saw Graham throw down money when the police arrived on October 17. Doc. 123 (Trial Tr. # 1 at 31, 59); Doc. 124 (Trial Tr. #2 at 127-30, 152).
Officer Scott Hardcorn testified that the NKDSF and the KCPD used a confidential informant to make six controlled buys from Goodwin, starting in September 2006 after the informant first told police about Goodwin and ending with the two controlled buys in question that directly involved Graham (one ounce on October 16 for $1,000 and three ounces on October 17 for $3,000
Graham's trial counsel cross-examined each government witness about his or her potential biases and credibility issues, and the district court instructed the jury about how to utilize co-conspirator and paid-informant testimony during Goodwin's testimony and after Payne testified, respectively. See Doc. 123 (Trial Tr. # 1 at 34); Doc. 124 (Trial Tr. #2 at 98). Graham stated on the record, outside the jury's presence, that he understood his right to testify and that he did not want to testify. Doc. 125 (Trial Tr. # 3 at 55-56).
From our review of the entire trial transcript, we conclude that there was sufficient evidence, viewed in the light most favorable to the government, from which a reasonable jury could have found the essential elements of Counts One, Six, and Seven beyond a reasonable doubt.
We review de novo a constitutional challenge to a sentence. United States v. Jones, 569 F.3d 569, 573 (6th Cir.2009). Graham argues that the district court erred because his sentence, pursuant to 21 U.S.C. § 841(b)(1)(A)(iii), is grossly disproportionate under the Eighth Amendment as a result of an over-stated criminal history and in comparison to his co-defendants' sentences.
We have repeatedly rejected claims similar to those that Graham raises. Caver, 470 F.3d at 247 (rejecting as meritless any Eighth Amendment claim that fails to distinguish Hill). The fact that Graham's current felony conviction is for conspiracy to distribute in excess of fifty grams
Graham's argument that his criminal history is "overrepresented" is more troublesome.
Graham has only two prior felony drug convictions, both of which the district court counted as triggering offenses for the § 841(b)(1)(A)(iii) mandatory life sentence. In 1995, when Graham was seventeen, he pleaded guilty under an indictment charging him as an adult for two counts of aggravated drug trafficking under Ohio law, and he was sentenced (in 1996, but while still age seventeen) to one year of imprisonment. Two years later, when Graham was nineteen, he was sentenced to two consecutive six-month terms of imprisonment for two counts of trafficking in cocaine under Ohio law. Graham's counsel at sentencing in the instant case did not present much of an argument to contest the district court's ability to consider Graham's 1995 aggravated trafficking conviction as a triggering offense for § 841(b)(1)(A)(iii) sentencing purposes.
Because Graham failed to raise this constitutional challenge before the district court, we review only for plain error.
We address the statutory challenge first, and we conclude that the statutory language
21 U.S.C. § 841(b)(1)(A). The Supreme Court has held that the definition of "felony drug offense" in 21 U.S.C. § 802(44) controls as the "exclusive[ ]" definition for purposes of § 841(b)(1)(A). Burgess v. United States, 553 U.S. 124, 127, 128 S.Ct. 1572, 170 L.Ed.2d 478 (2008). Although the Burgess Court decided this issue in reference to the twenty-year mandatory-minimum provision, § 841(b)(1)(A) uses the same language in both the twenty-year and the life-term mandatory-minimum provisions. See id. (rejecting argument that sentencing courts should defer to state-law crime definitions). Under § 802(44), "[t]he term `felony drug offense' means an offense that is punishable by imprisonment for more than one year under any law of the United States or of a State or foreign country that prohibits or restricts conduct relating to narcotic drugs, marihuana, anabolic steroids, or depressant or stimulant substances." 21 U.S.C. § 802. This circuit used § 802(44) to define "felony drug offense" in § 841(b)(1) for purposes of the mandatory life term even before the Supreme Court decided Burgess.
However, whether a "prior conviction" stemming from a juvenile action, treated as adult for prosecution and sentencing purposes under state law, that qualifies as a "felony drug offense" under the § 802(44) definition qualifies as a "prior conviction" for § 841(b)(1)(A) mandatory minimum purposes remains an open question in this circuit. In United States v. Young, an unpublished decision, the defendant argued that such an offense could not qualify as a "prior conviction" under § 841(b)(1)(A), challenging one of his predicate state convictions used on the ground that he received it "just under a month before his eighteenth birthday." United States v. Young, 347 Fed.Appx. 182, 189 (6th Cir.2009) (unpublished opinion), cert. denied, ___ U.S. ___, 130 S.Ct. 1552, 1554, 176 L.Ed.2d 142, 143 (2010). However, the state had tried and convicted the defendant "as an adult." Id. The Young panel stated that Burgess controlled for its interpretation of § 841(b)(1)(A), and concluded:
Id. at 190. In a footnote, the court rejected the defendant's argument that the Sentencing Guidelines, specifically U.S.S.G. § 4A1.2(c), indicate that juvenile convictions should not be considered as prior offenses. The Young panel stated that,
Id. at 190 n. 4.
For similar reasons, we conclude that the district court properly considered Graham's 1995 conviction in its § 841(b)(1)(A) mandatory-minimum calculus. Nothing in § 841(b)(1)(A) indicates that a defendant's age at the time of his or her prior conviction is relevant to the application of § 841, but to the extent that it is, age would appear to matter if it was related to the process in which a defendant's prior conviction was obtained. Here, according to the PSR, Graham "was initially arrested and charged as a juvenile, [but] he was prosecuted and sentenced as an adult." PSR ¶ 44. He was indicted by a grand jury on four counts of Aggravated Trafficking under Ohio law, a felony. He pleaded guilty to two counts of an amended charge of "Trafficking-Sale," a fourth-degree felony, in the Hamilton County Court of Common Pleas, and he was sentenced to one year of confinement for each count. Id. Graham's 1995 conviction thus meets the definition of a "felony drug offense" under § 802(44), "an offense that is punishable by imprisonment for more than one year under any law ... of a State ... that prohibits or restricts conduct relating to narcotic drugs, marihuana, anabolic steroids, or depressant or stimulant substances."
Unlike the defendants in our sister circuits' cases addressing this issue,
For this reason, we decline to consider whether the express inclusion of juvenile-delinquency adjudications in the calculus of prior convictions for the Armed Career Criminal Act ("ACCA"), see 18 U.S.C. § 924(e), should influence the interpretation of § 841(b)(1)(A) in this case.
The Sentencing Guidelines' treatment of adult sentences imposed for offenses committed prior to a defendant's eighteenth birthday for criminal history purposes also does not influence our interpretation of the plain statutory language at issue here. We acknowledge that Graham's 1995 conviction did not add any criminal history points to the Guidelines calculation in his PSR because he was released from confinement more than five years prior to the instant offense, which reflected a proper interpretation of U.S.S.G. § 4A1.1, Application Note 2, and § 4A1.2(d), Application Note 7. However, only the temporal limits in § 4A1.2 saved Graham's 1995 conviction from fitting the definition of a prior conviction under the career-offender enhancement in § 4B1.1, which counts only prior adult felony convictions but classifies as an "adult conviction[ ]" "[a] conviction for an offense committed prior to age eighteen... if it is classified as an adult conviction under the laws of the jurisdiction in which the defendant was convicted." U.S.S.G. § 4B1.2, cmt. n. 1; see United States v. Prado, 228 Fed.Appx. 542, 547-48 (6th Cir.
United States v. Cannon, 429 F.3d 1158, 1160 (7th Cir.2005) (affirming conviction, but vacating and remanding with instructions to impose life sentence). "[W]hether or not [the Sentencing Commission's] method would be preferable for the statute and Guideline alike, it has no authority to override the statute as [the Supreme Court] ha[s] construed it."
In the absence of a new Supreme Court precedent or congressional enactment to the contrary, see Neal, 516 U.S. at 295, 116 S.Ct. 763, we conclude that, under Supreme Court precedent and the plain language of the statute, a sentencing court imposing a mandatory minimum under § 841(b)(1)(A) must utilize the "felony drug offense" definition in § 802(44) with reference to the state law of conviction. Here, the state chose to prosecute Graham for an adult drug offense that qualifies as a felony under state law, and we will not second-guess the state's decision. Because Graham was prosecuted and convicted of an adult drug offense that qualified as a felony under state law, the sentencing court did not commit plain error by considering Graham's 1995 conviction as a prior felony drug offense for § 841(b)(1)(A) mandatory-minimum purposes.
We also are not persuaded that this approach violates the Eighth Amendment. After oral argument and supplemental briefing in this case, the Supreme Court decided Graham v. Florida, ___ U.S. ___, 130 S.Ct. 2011, 176 L.Ed.2d 825 (2010), in which the Court held that it was
The Eighth Circuit has rejected an Eighth Amendment challenge similar to the one presented here, concluding that the defendant's two prior juvenile-age felony drug offenses, for which the defendant was tried and convicted as an adult, may be utilized for both triggering prior felony drug offenses for a § 841(b)(1)(A) mandatory life term imposed for a later adult offense. Id. at 1018. The Scott court rejected both a gross proportionality argument under Harmelin and an argument that recent Supreme Court precedents relating to juveniles extended to § 841 sentences under Roper v. Simmons, 543 U.S. 551, 125 S.Ct. 1183, 161 L.Ed.2d 1 (2005), and Graham because "[n]either ... involved the use of prior offenses committed as a juvenile to enhance an adult conviction, as here." Scott, 610 F.3d at 1018. The Eighth Circuit distinguished Graham and Roper because the defendant did not receive the mandatory life term for the offenses he committed while a juvenile, but rather for the offense that he committed as an adult. Id. The Fifth Circuit has also upheld the constitutionality of using an adult conviction for a drug offense committed while a juvenile to impose the mandatory life sentence enhancement in § 841(b)(1)(A). United States v. Mays, 466 F.3d 335, 339-40 (5th Cir.2006), cert. denied, 549 U.S. 1234, 127 S.Ct. 1313, 167 L.Ed.2d 124 (2007). Mays was convicted of violating § 841(a) and (b)(1)(A), and he objected to the sentencing court's use of a state narcotics conviction from 1992 when he was seventeen, although he had been tried as an adult. Id. at 339. On appeal, Mays argued that using this juvenile-age offense violated the Eighth Amendment
Graham has not provided us with any information to suggest that we should not adopt the reasoning of our sister circuits and reject this further Eighth Amendment challenge. Indeed, Graham did not even attempt to rely upon the categorical reasoning in Roper—a case readily available to him at each level of appeal—and we do not believe that the approach of Roper or Graham v. Florida extends to the situation here.
Graham has not asserted any additional arguments not rejected above to contend that applying § 841(b)(1)(A) to juvenile-age offenses prosecuted and convicted as adult proceedings violates the Eighth Amendment.
Graham argues that the district court's decision to impose a life sentence was substantively unreasonable because he asserts that the district court "failed to consider fully the sentencing factors outlined in § 3553(a) as they apply to [him]." Appellant Br. at 30; see United States v. Moon, 513 F.3d 527, 543 (6th Cir.) (outlining substantive errors), cert. denied, 553 U.S. 1062, 128 S.Ct. 2493, 171 L.Ed.2d 782 (2008). Although Graham did not object explicitly on this ground at sentencing, we review all substantive arguments for abuse of discretion and reasonableness, affording a rebuttable presumption of reasonableness to a properly calculated, within-Guidelines sentence. United States v. Vonner, 516 F.3d 382, 389-90 (6th Cir.) (en banc), cert. denied, ___ U.S. ___, 129 S.Ct. 68, 172 L.Ed.2d 26 (2008). Graham concedes that his sentence is within the Guidelines range and entitled to a reasonableness presumption under Vonner, and we conclude that his substantive unreasonableness argument fails. "Even assuming that the district court abused its discretion in sentencing [Graham], remand is inappropriate. [Graham] was sentenced pursuant to a statutory mandatory minimum such that on remand, `the district court would not have the discretion to impose a shorter term of imprisonment.'" United States v. Higgins, 557 F.3d 381, 397 (6th Cir.) (quoting United States v. Smith, 419 F.3d 521, 532 (6th Cir.2005)), cert. denied, 130 S.Ct. 817 (2009); id. at 398 (same conclusion for substantive reasonableness). Even if we construed Graham's appeal to challenge the 168-month sentence imposed for Count Six, we would conclude that it is reasonable. Id. at 397 (rejecting reasonableness arguments to non-mandatory-minimum sentences because term concurrent to mandatory life sentence and remand could not alter sentence). Our independent review of the sentencing transcript did not reveal any errors.
The government presented sufficient evidence at trial for a reasonable jury to find beyond a reasonable doubt that Graham was guilty of the offenses charged, and the district court did not err in denying Graham's motions for a judgment of acquittal. The district court also did not err in denying Graham's motion to disregard life sentence and did not commit plain error in utilizing Graham's 1995 adult conviction for an offense committed while a juvenile, but prosecuted and sentenced in an adult proceeding, as a triggering prior felony-drug-offense conviction under 21 U.S.C. § 841(b)(1)(A). Applying state law and the definition of "felony drug offense" in 21 U.S.C. § 802(44), we conclude that Graham's 1995 offense was an adult conviction of an offense punishable by more than one
MERRITT, Circuit Judge, dissenting.
My view in this case of first impression in this Circuit is that the sentencing of this nonviolent, 30-year-old petty drug trafficker to life imprisonment by using a juvenile conviction as a necessary third strike not only violates clear congressional intent revealed by clear rules of statutory construction but also violates sound principles of penological policy based on the Eighth Amendment values recently outlined by the Supreme Court in Graham v. Florida, ___ U.S. ___, 130 S.Ct. 2011, 176 L.Ed.2d 825 (2010). I would have preferred that my colleagues in the majority acknowledge and address the arguments made here against the use of a juvenile conviction to send this nonviolent drug offender to prison for life. Instead they have chosen to ignore those arguments. I leave it to the readers to determine for themselves the usefulness and credibility of this kind of appellate decision making.
Three canons of statutory construction apply here. It is a well settled canon of statutory construction that when interpreting statutes, "[t]he language of the statute is the starting point for interpretation, and it should also be the ending point if the plain meaning of that language is clear." United States v. Choice, 201 F.3d 837, 840 (6th Cir.2000) (citing United States v. Ron Pair Enters., Inc., 489 U.S. 235, 241, 109 S.Ct. 1026, 103 L.Ed.2d 290 (1989)). With respect to the question presented here, I find the statutory language to be unambiguous. The plain language of the statute used to imprison Graham for life simply does not mention using juvenile convictions as predicate "prior felonies," and we should not read such an interpretation into the statute. There is no indication; and, as will be demonstrated below, the indication is to the contrary, that Congress intended to endorse the use of juvenile convictions in this statute to enhance a defendant's sentence.
In this case we are interpreting one statute with two immediately adjacent sections that enhance the punishment for two separate federal crimes. The first section amends the "career criminal" statute dealing with violent felonies, 18 U.S.C. § 924(e), and it says expressly that the punishment for violent, career criminal conduct must be increased by using convictions for juvenile conduct. The second section amends the drug law, 21 U.S.C. § 841(b)(1)(A); and, contrary to the first section, this section says only that the punishment must be increased to life imprisonment for three or more "convictions." Unlike the career criminal section immediately above it, the drug enhancement section does not specify the use of juvenile convictions.
Statutes are considered to be in pari materia when they relate to the same person or thing, to the same class of persons or things, or have the same purpose or object. Each section of a law which deals with the same subject matter must be read in pari materia with other sections on the same subject. Norman J. Singer, 2A Statutes and Statutory Construction § 51.3 (2000 ed.). Obviously, language is in pari materia when in the very same statute in paragraphs placed next to each other. In view of Congress' failure to include in § 841 a definition of "prior conviction" that specifically includes convictions obtained when the defendant was a juvenile, I would rely on the canon of statutory construction that states: "[I]t is generally presumed that Congress acts intentionally and purposely when it includes particular language in one section of a statute but omits it in another." Chicago v. Envtl. Def. Fund, 511 U.S. 328, 338, 114 S.Ct. 1588, 128 L.Ed.2d 302 (1994) (quoting Keene Corp. v. United States, 508 U.S. 200, 208, 113 S.Ct. 2035, 124 L.Ed.2d 118 (1993)); see also Norman J. Singer, 3B Statutes and Statutory Construction § 75.4 (2000 ed.). This distinction between two statutory amendments passed at the same time in adjacent sections shows that Congress knew how to include a juvenile conviction when it wanted to. See Pub.L. No. 100-690, § 6451, 102 Stat. 4181, 4371 (1988).
My position is simply that the two adjacent sections of the same statute invoke an ancient, sensible, common law canon of statutory construction and must be read in pari materia.
Upon a moment's reflection, the reason Congress chose to treat juvenile convictions differently in the statute becomes obvious. Congress made the distinction because a pattern of violent conduct involving the use of force is more culpable
"Context" is also the reason that a few cases have allowed the use of juvenile convictions in drug cases. In these cases, the court was not informed of the fact that the enacting statute contained, side by side, the two different penalty provisions. Counsel for the defendant did not inform the courts of this crucial fact, and the Department of Justice did not disclose it either. Perhaps we should not be too critical of the courts for not discovering the context because the federal criminal law has become exceedingly complex and convoluted during the last forty years. But once a court discovers the context, I do not see how it can simply reject the application of the pari materia rule.
My colleagues deal with this issue of interpretation indecisively and in a puzzling way. They simply say that the issue arises because the two contrary juvenile conviction provisions are "interestingly enough in consecutive sections § 6451 and 6452 ... but we are not presented with that issue in the instant case." (Draft op. pp. 22-23.) That is all my colleagues have to say about the matter—that it is "not an issue." My question is "why not?"
But even if other judges see ambiguity where I see clarity, there is another ancient, sensible canon of statutory construction that leads to the same result. Where a penalty has not been endorsed through "deliberate, express, and full legislative consideration," it should not be imposed when a reasonable alternative exists. That canon says that our constitutional philosophy of maximizing liberty over detention means that we must use a rule of lenity to prefer liberty over incarceration when in reasonable doubt as to the coverage of a criminal statute. This recent statement of the rule of lenity comes from the Supreme Court:
United States v. Santos, 553 U.S. 507, 514-15, 128 S.Ct. 2020, 2025-26, 170 L.Ed.2d 912 (2008) (parallel citations omitted).
It was an ancient rule of statutory construction that penal statutes should be "strictly construed" against the government or parties seeking to enforce statutory penalties and in favor of the persons on whom penalties are sought to be imposed. United States v. Wiltberger, 5 Wheat. 76, 18 U.S. 76, 5 L.Ed. 37 (1820) ("The rule that penal laws are to be construed strictly, is perhaps not much less old than construction itself."). Today this principle simply means that words are given their ordinary meaning and that any reasonable doubt about the meaning is decided in favor of anyone subjected to a criminal statute. See generally Norman J. Singer, 3 Statutes and Statutory Construction § 59 (2000 ed.) (interpretation of penal statutes).
The Supreme Court has stated explicitly that the rule of lenity in interpreting criminal statutes is particularly applicable when analyzing a statute that would increase the punishment meted out to a defendant. "The policy of lenity means that the Court will not interpret a federal criminal statute so as to increase the penalty that it places on an individual when such an interpretation can be based on no more than a guess as to what Congress intended." Ladner v. United States, 358 U.S. 169, 178, 79 S.Ct. 209, 3 L.Ed.2d 199 (1958); United States v. Bass, 404 U.S. 336, 348, 92 S.Ct. 515, 30 L.Ed.2d 488 (1971) (The rule embodies "the instinctive distaste against men languishing in prison unless the lawmaker has clearly said they should."). Here the "languishing" is for life versus a much shorter prison term.
In the realm of statutory interpretation, the Court implements due process requirements through the rule of lenity, which requires courts to give criminal defendants the benefit of the doubt when criminal statutes contain ambiguity concerning the elements of an offense or its punishment. See, e.g., United States v. Granderson, 511 U.S. 39, 54, 114 S.Ct. 1259, 127 L.Ed.2d 611 (1994) (applying the rule of lenity to a statutory ambiguity concerning sentencing); Dunn v. United States, 442 U.S. 100, 112, 99 S.Ct. 2190, 60 L.Ed.2d 743 (1979) (explaining that the rule of lenity "reflects not merely a convenient maxim of statutory construction," but rather "is rooted in fundamental principles of due process which mandate that no individual be forced to speculate, at peril of indictment, whether his conduct is prohibited").
From the face of the statute, there is no reason to think that "conviction" includes convictions for juvenile conduct; but, even if one believes that some ambiguity exists in the language or Congressional intent, "the tie must go to the defendant." My colleagues have nothing at all to say in response to this canon of statutory interpretation. They are simply silent in the face of a rule that goes back centuries in Anglo-American law.
In what seems to me my colleagues' strained effort to justify the life sentence in this case based on juvenile conduct, they take account of neither the well-established canons of statutory construction discussed above nor the social consequences of what has only recently become conventional judicial behavior favoring long prison terms for nonviolent drug offenses. There are now numerous studies pointing
Because of long sentences, drug offenders represent more than half of the federal prison population. U.S. Dep't of Justice, Fed. Bureau of Prisons, Quick Facts about the Bureau of Prisons (2009) (available at http://www.bop.gov/news/quick.jsp# 4) (51% of persons in federal prisons convicted of drug violations). As soon as one drug defendant is incarcerated for his offense, another steps into his shoes. Long periods of incarceration have done little except drive up the costs of our correction system and perhaps appeal to our retributive instinct to be "tough on crime" in our "War on Drugs."
Penologists and other close observers of the penal system, along with budgetary experts who study the cost of our correction system,
The life sentence imposed in this case is not only contrary to well-established canons of statutory interpretation and has adverse social consequences for our country, it undermines longstanding constitutional values recently described in Graham v. Florida, ___ U.S. ___, 130 S.Ct. 2011, 176 L.Ed.2d 825 (2010), striking down life imprisonment imposed on juveniles under the Eighth Amendment.
That case should at least make our court and the court system more sensitive to the important distinction between juvenile and adult criminal conduct. The Court points out that "life without parole sentences share some characteristics with death sentences that are shared by no other sentences":
Id. at 2027-30, 2032 (citations omitted). Although the holding of the case is, technically speaking, probably not binding, all of these words apply equally to the defendant, Graham, in this case as they did for the defendant, Graham, in the recent Supreme Court case.
One more point: To all of these arguments—canons of construction, good policy, constitutional values—my colleagues offer one lame defense: "Graham was convicted of juvenile drug trafficking in a state court of general jurisdiction rather than one exclusively of juvenile jurisdiction," and this "adult" conviction seems to mean to them that all arguments to the contrary are swept aside. They refer to such convictions for juvenile conduct as "adult convictions" when they really mean "juvenile convictions" in a state court of general jurisdiction. State courts differ significantly in how juvenile crime is prosecuted, and the application of federal law should not be made to turn on such random variations. The Supreme Court's recent Graham case does not allow its ruling to turn on such state procedural variations.
Moreover, even the Sentencing Guidelines themselves—a source of very harsh punishments in drug cases—in defining "convictions" to be used in criminal history calculations do not recognize such a distinction. Guideline § 4A1.1(b) makes it clear that such a distinction is not to be recognized when "an adult or juvenile sentence [is] imposed for an offense committed prior to the defendant's eighteenth birthday...." Thus every legitimate source of law I can find leads me to the conclusion that the courts should not count Graham's juvenile conviction as a third strike.
In the most recent published decision, the D.C. Circuit held that a prior felony drug conviction that was "set aside" under the Federal Youth Corrections Act was still a countable prior conviction for a § 841(b)(1)(A) mandatory life term. United States v. Law, 528 F.3d 888, 910-11 (D.C.Cir. 2008), cert. denied, ___ U.S. ___, 129 S.Ct. 1023, 173 L.Ed.2d 310 (2009). The court held that any policy reasons for setting aside a juvenile conviction—to give the offender "a fresh start"—were not sufficient to avoid the clear mandate of § 841(b). Id. "For purposes of sentences imposed under § 841, however, Congress has not exempted from the `prior convictions' that must be counted those convictions removed from a criminal record for policy reasons unrelated to innocence or an error of law." Id. at 911 (citing cases from the Second, Third, Fourth, Fifth, Seventh, Ninth, and Eleventh Circuits that "therefore have counted prior felony drug convictions even where those convictions had been set aside, expunged, or otherwise removed from a defendant's record for such reasons," although only the Second and Eleventh Circuits explicitly dealt with juvenile-age prior offenses); see also United States v. Smith, 897 F.2d 1168, 1990 WL 27146 (D.C.Cir. 1990) (unpublished opinion) (upholding § 841(b)(1)(A) enhancement using prior drug offense conviction for which defendant received probation under the D.C. Youth Rehabilitation Act because conviction qualified as "final" under statute, and citing, inter alia, Tuten v. United States, 460 U.S. 660, 103 S.Ct. 1412, 75 L.Ed.2d 359 (1983) (Federal Youth Corrections Act probation sentence can enhance subsequent sentence for same offense)).
The Second Circuit has held that a conviction replaced by a youthful-offender adjudication under state law may qualify as a prior felony drug conviction for a § 841(b)(1)(A) mandatory minimum if the defendant was "[1] tried and convicted [2] in an adult court [3] of adult drug offenses [4] punishable by imprisonment for more than one year." United States v. Jackson, 504 F.3d 250, 253 (2d Cir.) (applying United States v. Sampson, discussed below, to apply ten-year mandatory minimum), cert. denied, 552 U.S. 1055, 128 S.Ct. 690, 169 L.Ed.2d 539 (2007); accord United States v. DeJesus, 314 Fed.Appx. 386, 389 (2d Cir.2009) (unpublished order) (applying Jackson to twenty-year mandatory minimum). And both the Second and Eleventh Circuits have held that § 841(b)(1)(A)'s twenty-year mandatory minimum enhancement could be based on prior felony drug convictions adjudicated under the New York youthful-offender statute and replaced by a "youthful offender" finding on criminal records, even if the defendant was adjudicated as a juvenile. United States v. Sampson, 385 F.3d 183, 194-95 (2d Cir.2004), cert. denied, 544 U.S. 924, 125 S.Ct. 1642, 161 L.Ed.2d 483 (2005); United States v. Acosta, 287 F.3d 1034, 1036-38 (11th Cir.), cert. denied, 537 U.S. 926, 123 S.Ct. 321, 154 L.Ed.2d 219 (2002). In each case, the court seemed more influenced by the fact that the defendant was a repeat offender than by the fact that the prior conviction was for an offense committed while a juvenile. The Second Circuit noted that youthful-offender convictions have become "final," and that, consistent with the definition of "felony drug offense" in § 802(44), the defendant at issue was "[i] tried and convicted [ii] in an adult court [iii] of adult drug `offense[s] .. . [iv] punishable by imprisonment for more than one year[ ]'; [v] he served his sentence in an adult institution; and [vi] no avenue for direct appeal exists." Sampson, 385 F.3d at 194-95 (quoting 21 U.S.C. § 802(44)) (alterations in original). The Eleventh Circuit held that, consistent with the purposes of § 841, a guilty plea to a felony drug offense at age sixteen that was adjudicated under the New York youthful-offender law was a "conviction" that could be used to enhance the defendant's sentence for a drug conviction thirteen years later-in the same way that pleas of nolo contendere could be utilized for "convictions" even though the defendants were never adjudicated as "guilty"—despite the fact that a youthful— offender defendant was not considered convicted under state law. Acosta, 287 F.3d at 1036-38.
The Second and Seventh Circuits were recently presented with the question we now face, but in a posture that obviated the need to decide it. See United States v. Deandrade, 600 F.3d 115, 120 (2d Cir.) (rejecting challenge to district court's consideration of drug-related juvenile adjudication to trigger § 841(b)(1)(A) twenty-year mandatory minimum because Guidelines-range sentence imposed exceeded statutory sentence such that neither juvenile adjudication nor § 841 contributed to sentence), cert. denied, ___ U.S. ___, 130 S.Ct. 2394, 176 L.Ed.2d 786 (2010); United States v. Williams, 339 Fed.Appx. 654, 658-59 (7th Cir.2009) (unpublished order) (concluding that defendant had no basis on which to challenge his twenty-year mandatory minimum sentence because, although he had a juvenile conviction, he had "successfully avoided the life sentence by persuading the district court that one of his previous drug convictions should not count because it was a juvenile conviction obtained in a process that did not guarantee a jury trial").
Miller, 434 F.3d at 824.
Anti-Drug Abuse Act, Pub.L. No. 100-690, §§ 6451-52, 102 Stat. 4371 (1988).