JULIA SMITH GIBBONS, Circuit Judge.
Defendant-appellant Kevin Grant pled guilty to possession of a firearm, conspiracy to commit money laundering, and operation of a continuing criminal enterprise. The district court sentenced Grant to twenty-five years in prison, the mandatory minimum sentence for those charges. After Grant's sentence was affirmed by a panel of this court, the government filed a motion pursuant to Federal Rule of Criminal Procedure 35(b) to reduce his sentence based on his substantial assistance in the prosecution of others. The district court granted the motion and reduced Grant's sentence to sixteen years. Grant now appeals. He claims first that the district court erred by not considering the 18 U.S.C. § 3553(a) factors when deciding the Rule 35(b) motion. Second, Grant claims that the district court erred in its calculation under the United States Sentencing Guidelines during his original sentencing. For the following reasons, we affirm.
In 2004, federal agents discovered via an authorized wiretap of Grant's cellular telephone that Grant headed a heroin distribution ring in the Columbus, Ohio, area. Grant traveled to New York to obtain more than 100 grams of heroin at a time, which he then sold to users in the Columbus area. Grant also "fronted" heroin to at least four distributors for sale to customers during his time in New York. On August 27, 2004, a search warrant was executed at the home that Grant shared with Tia Holley, one of his distributors. Agents seized 168.8 grams of heroin, a 9mm Luger pistol with ammunition, and $4,174 in cash. A search of a separate apartment rented by Grant yielded multiple firearms and ammunition. Grant also stored both heroin and money at the home of Tameka Hairston, the mother of one of his children. Investigators determined that Holley assisted Grant in concealing the illegal source of his income by depositing over $80,000 into her bank account and by submitting a false loan application to purchase a 2004 Lincoln Aviator. Grant also instructed Hairston to wire money from Columbus to an associate in New York in order to conceal the source of the funds.
Grant was indicted on September 23, 2004, for possession with intent to distribute heroin and knowing possession of a firearm in furtherance of a drug-trafficking crime. On January 13, 2005, the government filed a superseding indictment charging an additional eighty-four counts, including conspiracy to commit money laundering and operating a continuing criminal enterprise. Grant subsequently entered into a plea agreement with the government. Under the agreement, Grant agreed to plead guilty to counts 3, 7, and 89 of the superseding indictment in exchange for dismissal of the remaining counts. The parties agreed further that the quantity of heroin attributable to Grant was at least one kilogram but less than three kilograms and that Grant supervised at least five individuals in his heroin business.
On April 15, 2005, Grant pled guilty to the knowing possession of a firearm in furtherance of a drug trafficking crime in violation of 18 U.S.C. § 924(c)(1)(A)(i), which carried a mandatory minimum sentence of five years in prison consecutive to
The Presentence Report ("PSR") first grouped the continuing criminal enterprise and money laundering counts by applying the offense level of the most serious count. See U.S.S.G. § 3D1.2(b) (2004). Operation of a continuing criminal enterprise carries a base offense level of 38, see U.S.S.G. § 2D1.5 (2004), but money laundering takes the offense level of the underlying crime, see U.S.S.G. § 2S1.1(a)(1) (2004). The PSR then determined that the underlying offense of the money laundering count was the continuing criminal enterprise, and thus the money laundering count carried a base offense level of 38 as well. The specific offense characteristics of money laundering provide for a two-level increase if the defendant was convicted under 18 U.S.C. § 1956(h), giving Grant's money laundering count an adjusted offense level of 40. See U.S.S.G. § 2S1.1(b)(2)(B) (2004). Once grouped, therefore, Grant had an offense level of 40, which was then reduced three points to 37 for acceptance of responsibility. With a criminal history category of V, Grant's Guidelines range was 324 to 405 months imprisonment for the continuing criminal enterprise and money laundering counts, with any sentence for the firearm count to be served consecutively. The PSR recommended the minimum guideline sentence of 384 months, or thirty-two years, 324 months on the continuing criminal enterprise and money laundering counts followed by the 60 month mandatory minimum sentence on the firearm count.
Prior to sentencing, the government filed a request for a downward departure pursuant to U.S.S.G. § 5K1.1 (2004). The government explicitly did not request a departure under 18 U.S.C. § 3553(e); thus, the district court lacked the authority to impose a sentence below the statutory minimum. Rather, citing Grant's "excellent" cooperation to date, the government recommended the statutory minimum sentence of twenty-five years, seven years below the bottom end of the Guidelines range. The government indicated that Grant's cooperation was not yet complete and that, if he continued to testify truthfully, the government would file a motion pursuant to Rule 35(b) recommending a further reduction to sixteen years. At the sentencing hearing on October 6, 2005, Grant objected to the calculation of his offense level. The district court denied the objections, finding that the calculations in the PSR were correct. The district court then sentenced Grant to 300 months, or twenty-five years, in prison. On appeal, a panel of this court affirmed. See United States v. Grant, 214 Fed.Appx. 518 (6th Cir.2007). The panel declined to address Grant's argument that the district court improperly calculated his Guidelines range because any alleged errors were rendered harmless when the district court imposed the statutory minimum sentence. Id. at 520-21.
On April 16, 2007, the government filed a request for a sentence reduction pursuant to Rule 35(b). One effect of this motion was that the district court for the first time had the authority to impose a sentence below the statutory minimum. See Fed.R.Crim.P. 35(b)(4). The government indicated that Grant's cooperation was now "substantially complete" and he had "contributed to the resolution of the charges pending against the vast majority of his
Grant joined the motion and requested that his sentence be further reduced below sixteen years. Grant argued that a further reduction was warranted because: (a) he provided substantial assistance in the prosecution of his co-conspirators; (b) his cooperation went beyond what was contemplated by the plea agreement because he testified for the state in an Ohio homicide prosecution carrying the death penalty; (c) the evidence that supported the firearm count under 18 U.S.C. § 924(c) could have been a two-level Guidelines enhancement rather than a separate conviction; (d) the scope of Grant's continuing criminal enterprise was smaller than many others; (e) a criminal history category of V overrepresented the seriousness of Grant's record; (f) the money laundering count should have been "subsumed" into the continuing criminal enterprise count; and (g) the mother of two of Grant's children had recently died from cancer, leaving the children without a natural parent available as a caregiver.
A hearing was held on the Rule 35(b) motion on April 27, 2007. The court considered arguments as to whether any additional reduction was warranted by Grant's testimony in the state death penalty case but indicated that the remainder of Grant's arguments were not relevant at a Rule 35(b) hearing:
Transcript of Proceedings at 6-7, United States v. Grant, No. CR-2-04-161 (S.D. Ohio April 27, 2007). After the prosecution clarified that Grant had never actually agreed to the nine-year reduction and had always maintained his right to argue for a greater reduction, the court modified its position slightly, but still reiterated its complete rejection of five of Grant's seven arguments:
Before we reach the merits of Grant's arguments, we must address the government's argument that we lack jurisdiction to hear this appeal. Where the district court grants a Rule 35(b) motion, this court has no jurisdiction to review the extent of the downward departure for substantial assistance. United States v. Moran, 325 F.3d 790, 793 (6th Cir.2003). However, exceptions created in 18 U.S.C. § 3742(a) provide us with jurisdiction to review a final sentence, including those imposed after a Rule 35(b) reduction. "[A] defendant may appeal an `otherwise final sentence' if the sentence (1) was imposed in violation of law; (2) was imposed as a result of an incorrect application of the sentencing guidelines; (3) is greater than the sentence specified in the applicable guideline range; or (4) was imposed for an offense for which there is no guideline and is plainly unreasonable." Id. at 792 (quoting 18 U.S.C. § 3742(a)).
Although Grant is ultimately seeking a greater reduction to his sentence, on appeal he is arguing that the methodology the district court used to impose his sentence was in violation of the law. Specifically, Grant claims that the district court committed an error of law by misapprehending the factors it was allowed to consider in deciding the Rule 35(b) motion. Therefore, his appeal is subject to our jurisdiction under 18 U.S.C. § 3742(a)(1).
The core issue in this appeal is whether a district court may consider factors outside the value of the substantial assistance provided by a defendant in ruling on a Rule 35(b) motion to reduce his sentence and, if such factors may be considered, how they may affect the extent of the reduction.
Based on differences between the texts of 18 U.S.C. § 3553(e) and Rule 35 resulting from amendment of the rule in 2002, Grant argues that a sentence reduction under Rule 35(b) is not limited solely to the value of the defendant's assistance. Rather, he contends that § 3553(a) factors may be used as a basis for reducing a sentence when a Rule 35(b) motion is made. Moreover, he says that the Supreme Court's decision in United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), which mandates that
We consider Grant's arguments in turn and reject them.
We first look to the text of Rule 35(b) and give the words their plain and ordinary meaning at the time of their enactment. Where the language is plain, our "sole function ... is to enforce it according to its terms." Lamie v. U.S. Trustee, 540 U.S. 526, 534, 124 S.Ct. 1023, 157 L.Ed.2d 1024 (2004) (citation omitted). "The plainness or ambiguity of statutory language is determined by reference to the language itself, the specific context in which that language is used, and the broader context of the statute as a whole." Robinson v. Shell Oil Co., 519 U.S. 337, 340, 117 S.Ct. 843, 136 L.Ed.2d 808 (1997). Where a plain reading "fails to produce a conclusive result, or where it leads to ambiguous or unreasonable results, a court may look to legislative history to interpret a statute." Limited, Inc. v. Comm'r, 286 F.3d 324, 332 (6th Cir.2002).
As a general matter, Rule 35(b) is intended to "facilitate law enforcement by enabling the government to elicit valuable assistance from a criminal defendant ... after he was sentenced ... by asking the sentencing judge to reduce the defendant's sentence as compensation for the assistance that he provided." United States v. Shelby, 584 F.3d 743, 745 (7th Cir.2009). When the government files its motion within one year of sentencing, Rule 35(b)(1) controls:
Fed. Rule Crim. P. 35(b)(1) (2006).
Subsection (b)(2), the subsection under which the government requested Grant's reduction, then describes the circumstances under which a motion filed more than one year after sentencing may be granted:
Fed.R.Crim.P. 35(b)(2).
The text of the rule does not tell us whether it authorizes district courts to look to § 3553(a) factors in deciding the extent of a sentence reduction. Subpart (b)(1)(A) could be read to permit a downward adjustment only on the basis of the defendant's substantial assistance, as it is the only part of the rule that provides a justification for a reduction.
We can, however, glean some guidance from the context of the rule, including its title. The title of Rule 35(b), "Reducing a Sentence for Substantial Assistance," undermines Grant's position in that it specifies that the defendant's substantial assistance forms the impetus for the court's ability to reduce an already-final sentence. Although the title of a rule or statute is not as critical to our analysis as the text itself, the Supreme Court previously has looked to titles to aid its analysis. For example, in Begay v. United States, the Court was faced with the question of whether driving under the influence qualified as a "violent felony" under the Armed Career Criminal Act ("ACCA"). 553 U.S. 137, 139, 128 S.Ct. 1581, 170 L.Ed.2d 490 (2008). In support of its holding that a DUI was not a violent felony, the Court observed that the title of ACCA suggested that the Act focused on a "special danger" created by guns such that it was not enough that a crime presented a "potential risk of physical injury," as the dissent argued. Id. at 146-47, 128 S.Ct. 1581. When considered in conjunction with other indicators, the title of the statute led the Court to hold that a DUI is not a "violent felony." Similarly, in this case, the title explains that courts are able to reduce a defendant's sentence for his substantial assistance.
Grant argues that Rule 35(b)'s focus on reductions for substantial assistance was altered by the 2002 amendments to the rule, so that the rule now permits consideration of § 3553(a) factors in determining the extent of a reduction. In order to evaluate this argument, we turn to the legislative history and Rule 35's amendment history. Rule 35(b)'s authorization of substantial-assistance-based sentence reductions was enacted by Congress as part of the Sentencing Reform Act of 1984. The amendment, which was not to take effect until November 1, 1987, read:
Sentencing Reform Act of 1984, Pub.L. No. 98-473, § 215, 98 Stat.2016. The Sentencing Reform Act also created 18 U.S.C. § 3582, which allowed for post-sentencing modification of a sentence in certain defined situations:
18 U.S.C. § 3582(c)(1)(B).
The authority to depart below mandatory minimum sentences was not given to district courts until the Anti-Drug Abuse Act of 1986, which further amended Rule 35 before the effective date of the 1984 amendments. As amended, the new Rule 35(b) provided:
Anti-Drug Abuse Act of 1986, Pub.L. No. 99-570, § 1009, 100 Stat. 3207-8. The same Act also created § 3553(e), which permits the imposition of an initial sentence below a statutory minimum upon the defendant's substantial assistance and the government's motion. The statute provides:
Anti-Drug Abuse Act of 1986, Pub.L. No. 99-570, § 1007, 100 Stat. 3207-7 (codified at 18 U.S.C. § 3553(e)).
At the time they went into effect, Rule 35(b) and 18 U.S.C. § 3553(e) were essentially identical, except that § 3553(e) applied at original sentencings and Rule 35(b) applied to post-sentence reduction motions. They each provided a limited circumstance in which a defendant, by providing substantial assistance, could obtain a reduction of his sentence below a mandatory minimum. The critical language in each, from Grant's perspective, was that the reduction in the sentence was to be given "to reflect a defendant's subsequent, substantial assistance." Fed.R.Crim.P. 35(b) (1987) (emphasis added).
We have rejected the notion that factors not related to cooperation may be considered
Section 3553(e) has remained unchanged since its enactment, while Rule 35(b) has undergone various revisions under the authority of the Judicial Conference Committee on Rules of Practice and Procedure.
In United States v. Poland, the First Circuit recognized the obvious tension between the amendment's deletion of the rule's "to reflect" language and the advisory committee's assertion that the change was purely stylistic. 562 F.3d 35, 39 (1st Cir.2009). The district court read the excised language back into the rule in an attempt to avoid a Rules Enabling Act
At most, the 2002 amendment injected a bit of ambiguity into the text of Rule 35(b). The amendment does not speak to consideration of the § 3553(a) factors. The amendment does not change the purpose of Rule 35(b) or require a departure from the longstanding practice of interpreting the rule in lockstep with § 3553(e) and § 5K1.1. Upon reading the text of the rule in conjunction with its history and broader statutory context, we resolve the ambiguity against Grant's favored interpretation of the amended rule and conclude that Rule 35(b) permits reductions based on substantial assistance rather than other factors.
Grant also argues that, even if Rule 35(b) does not address whether the court may consider § 3553(a) factors, Booker requires consideration of them when a court resentences pursuant to a Rule 35(b) motion. Initially, we note that the Sixth Amendment right to trial by jury, the topic of concern in Booker, has no application to a Rule 35(b) motion. The Booker discussion of a district court's consideration of § 3553(a) factors occurs in the context of the Court's explanation of sentencing procedures to be utilized in an advisory guideline regime. As Booker and post-Booker precedents have clarified, the procedural and substantive requirements attendant to original sentencings are not mandatory in other contexts. See Booker, 543 U.S. at 258, 125 S.Ct. 738 (listing statutory provisions unaffected by the Court's holding); see also United States v. Washington, 584 F.3d 693, 700-01 (6th Cir.2009); United States v. Johnson, 356 Fed.Appx. 785, 790-92 (6th Cir.2009) (concluding that Booker did not affect supervised-release-revocation proceedings). Most importantly, in Dillon v. United States, ___ U.S. ___, 130 S.Ct. 2683, 2693, 177 L.Ed.2d 271 (2010), the Supreme Court held that Booker does not apply to sentence reductions under 18 U.S.C. § 3582(c)(2), a context closely analogous to Rule 35(b) reductions. Significantly, the Court analogized § 3582(c)(2) proceedings to Rule 35(b) proceedings and described both as "congressional act[s] of lenity" that do not entail "plenary" resentencings. Id. at 2691-92. Finally, we note that Grant's brief cites no authority for its bold assertion that consideration of the § 3553(a) factors is now required when a district court considers a Rule 35(b) motion for reduction of sentence. We reject the argument that a district court must
Finally, Grant suggests that the procedural posture of his case requires that the § 3553(a) factors be considered in connection with the government's Rule 35(b) motion. The basis for this argument is Grant's assertion that, because he was originally sentenced to the mandatory minimum sentence, he was deprived of consideration of the § 3553(a) factors at that time. Therefore, he posits, consideration of the § 3553(a) factors is required now that the government's Rule 35(b) motion has removed the barrier of the mandatory minimum sentence.
This argument is problematic. Whether Grant's original sentencing hearing included full consideration of § 3553(a) factors is immaterial to his original sentence. The district court gave him the lowest possible legal sentence. And application of § 3553(a) is not constitutionally required. The provision thus has no status beyond that which it is given by statute or rule in a given context. Courts routinely sentence defendants according to mandatory minimums and do so without reference to the § 3553(a) factors because the relevant statutes restrict their discretion. See United States v. Penney, 576 F.3d 297, 317 (6th Cir.2009) ("[Section] 3553(a) factors do not apply to congressionally mandated sentences.") (citation omitted). Thus, our conclusion that Rule 35(b) does not require or authorize consideration of § 3553(a) factors effectively forecloses Grant's argument.
Our conclusion that the § 3553(a) factors have no role in Rule 35(b) proceedings does not affect the methods by which district courts have traditionally determined the value of a defendant's substantial assistance. These methods are not only governed by the language of the rule and governing statutes, but they also take into account the practicalities of the context.
When faced with a Rule 35(b) motion, the district court must initially decide whether the defendant did in fact render substantial assistance. If he did not, the motion is denied. The explicit language of the rule permits relief only "if" there has been substantial assistance. If, however, the court determines that the defendant did provide substantial assistance within the meaning of the rule, then the rule gives the district court ample discretion. The granting of the motion is discretionary, as is the extent of any reduction given. The government may recommend a particular reduction, but the district court need not follow the recommendation. The district court is free to give a lesser or greater reduction than any recommendation. The value of the substantial assistance is the governing principle in this exercise of discretion, and the reduction may not exceed the value of the assistance.
The role that we have outlined for district courts in the resolution of a Rule 35(b) motion does not impose any obligation to conduct a new Booker resentencing, and we have not modified the nature of a Rule 35(b) hearing. Our limitation of Rule 35(b) rulings to a determination of the value of substantial assistance does not eliminate the traditionally broad discretion that district courts exercise in valuing the assistance.
The appropriate balancing of the determinative factors tied to a defendant's substantial assistance is within the sound discretion of the district court and often arises from the specific context of each case. Assigning a number of years or months in prison to a defendant's cooperation is not a task that can be carried out with mathematical certainty. One district judge might decline to consider the contextual factors we mention; another might deem them useful. The choice is that of the district court. Contrary to the fears of the dissent about district court "confusion," district judges are fully capable of weighing the contextual factors we mention, as appropriate, and ultimately arriving at a conclusion as to the extent of any reduction.
One unfortunate consequence of accepting Grant's arguments would have been creating unwarranted sentencing disparities between defendants, like Grant, whose cooperation with the government occurs at least in part after sentencing and those who, by happenstance, complete their cooperation before sentencing. Under Grant's scenario, defendants in his situation would receive full consideration of § 3553(a) factors in connection with a reduction below a mandatory minimum, while those sentenced pursuant to a motion under § 3553(e) would not. See Bullard, 390 F.3d at 417. The result we reach maintains congruity between the pre-sentence and post-sentence contexts.
The practical implications of this decision are quite similar to those of our sister circuits. Cf. Shelby, 584 F.3d at 748 ("[T]he judge must reserve the right to condition the grant of a Rule 35(b) motion, in whole or in part, on its consistency with the statutory sentencing factors, in order to make sure that the reduced sentence is not unjust. But there is no comparable reason for the judge to reexamine the entire sentence under section 3553(a)." (citations omitted)); Poland, 562 F.3d at 41 (holding that Rule 35(b) "reductions must reflect only the assistance provided"); Doe, 351 F.3d at 932-33 (holding that the § 3553(a) factors may be considered, but
Having decided the core issue in this case, we briefly dispose of Grant's argument that his Guidelines range was improperly calculated by the district court at his original sentencing hearing. We recognize that there is uncertainty as to whether it is appropriate to consider the district court's original Guidelines calculation in reviewing an issue arising from a subsequent Rule 35(b) proceeding. See Dillon, 130 S.Ct. at 2694. We decline to resolve that issue here because we may quickly conclude that the district court correctly calculated Grant's Guidelines range. The proper calculation of a defendant's Guidelines range is one facet of the procedural reasonableness for which we review a defendant's sentence. Gall, 552 U.S. at 51, 128 S.Ct. 586. "In reviewing the district court's calculation of the Guidelines, we still review the district court's factual findings for clear error and its legal conclusions de novo." United States v. Bolds, 511 F.3d 568, 579 (6th Cir.2007) (citing United States v. Lalonde, 509 F.3d 750, 763 (6th Cir.2007)).
The district court used continuing criminal enterprise as the underlying crime for the money laundering count. Grant argues that the district court instead should have found his trafficking of heroin to be the underlying crime for his money laundering count, resulting in an adjusted offense level of 34. Under Grant's scenario, when the counts were grouped, the continuing criminal enterprise count would then have carried the higher offense level, and Grant would have been left with a total offense level of 35, two points lower than the offense level utilized by the district court. Grant claims that this calculation is important because the government's recommended sentence reduction was intended to leave Grant with a sentence half the length of his minimum exposure at sentencing.
Heroin trafficking qualifies as one element of the crime of operation of a continuing criminal enterprise. See 21 U.S.C. § 848(c); United States v. Long, 190 F.3d 471, 474-75 (6th Cir.1999). Thus, any trafficking proceeds that Grant laundered or caused Holley and Hairston to launder were also proceeds of the continuing criminal enterprise. Considering the additional fact that Grant did not plead guilty to heroin trafficking, the district court did not err by using the continuing criminal enterprise as the underlying offense of the money laundering count. We find no fault with the district court's choice of the higher offense level for money laundering rather than the offense level for a continuing criminal enterprise.
We therefore reject Grant's argument that the resolution of a Rule 35(b) motion requires full Booker-type consideration of the § 3553(a) factors. The district court acted properly in refusing to consider Grant's § 3553(a)-based arguments.
MERRITT, Circuit Judge, concurring.
While insisting that in re-sentencing for substantial assistance a court need not reconsider all of the § 3553(a) factors that need to be considered at the original sentencing, our Court's opinion in the instant case states that the sentencing judge may consider a wide variety of sentences, including "consistency with the statutory sentencing factors, in order to make sure that the reduced sentence is not unjust." The Court goes on to say that the district judge might wish to consider the "context" that determined the initial sentence in valuing the assistance, as well as taking into account "a consideration of a defendant's capacity for abiding by the law." The Court makes it clear that the sentencing court may weigh "these sorts of contextual considerations after initially being considered by a district court in determining the value of cooperation and the extent of any reduction under § 3553(e) and § 5K1.1."
I concur in the court's disposition of this case because it gives the district court wide discretion to go above or below the government's recommendation in substantial assistance cases. I believe this wide discretion gives the district court room in its reconsideration of the sentence to do justice in the case and avoid a sentencing process in which the prosecutor rather than a neutral magistrate controls the sentence.
HELENE N. WHITE, Circuit Judge, concurring and dissenting.
The question is whether in allowing for departure from mandatory minimum sentences for defendants whose substantial assistance is recognized by the government, Congress intended that the sentencing court be restricted to consideration of only the assistance given, foreclosing consideration of other unrelated circumstances or characteristics of the offense or the defendant.
The majority concludes that consideration of other factors is permissible only in evaluating whether the defendant should receive the full sentence reduction that would otherwise correspond to the assistance. As conceded by the majority, Fed. R.Crim.P. 35(b) in its current form signals no intent to restrict the court's consideration to the value or circumstances of the assistance. Nevertheless, a parallel provision, 18 U.S.C. § 3553(e),
Congressional authority to sentence below the statutory minimum in cases of substantial assistance comes from 28 U.S.C. § 994, which states:
However, neither the Guidelines nor the policy statements explicitly address sentence reductions under Rule 35(b).
This history is amply discussed by the majority and dissent. I find nothing in that history that compels either answer to the question presented. Unlike the majority, I find no guidance in Rule 35(b)'s title, or in subsection (b)(3). Regarding the title of the rule, in either case, the reduction is given "for substantial assistance." And, subsection (b)(3)'s authorization to consider prior assistance, without mentioning other § 3553(a) factors, makes sense in the context that taking into account prior assistance is authorized in considering whether there has been substantial assistance justifying application of Rule 35(b), not in determining the appropriate sentence reduction. It does not shed light on the issue presented.
Thus, up to this point in the analysis, I see no compelling argument for either interpretation of Rule 35(b).
Nevertheless, because I am not convinced that Congress intended one rule to apply to motions under § 3553(e) and a different rule to apply to motions under Rule 35(b), and given the history of the various amendments to Rule 35(b) I cannot agree with the dissent's conclusion that the amendments changed the permissible considerations in ruling on a Rule 35(b) motion, I agree with the majority that the consistent interpretation of § 3553(e) to permit only consideration of the value of the assistance, and preclude consideration of other factors unrelated to the assistance, dictates our decision in this case. See United States v. Bullard, 390 F.3d 413 (6th Cir.2004), and cases cited therein. Thus, I concur with the majority's conclusion that in resentencing under Rule 35(b), the court's task is simply to grant a reduction to reflect the defendant's substantial assistance.
In this regard, I join in Judge Merritt's and the dissent's interpretation of the majority decision to permit a consideration of a broad range of factors, including § 3553(a) factors and others, as long as they are relevant to determining what sentence reduction appropriately reflects the defendant's substantial assistance. This determination need not be made in a vacuum; the court is permitted to craft its own calculus, as long as it is intended to arrive at a sentence reduction that reflects the defendant's substantial assistance and is not otherwise contrary to law.
Although I concur in the majority's legal conclusion, I dissent from the majority's application of that conclusion to this case. I would remand for resentencing on the basis that some of the additional arguments Grant sought to advance were arguably relevant in determining the value of his assistance and the appropriate sentence reduction.
[Def.'s Final Reply Br. at 7. Citations to record omitted, emphasis in original.] Because the statutory mandatory minimum rendered the "starting point" irrelevant in the initial sentencing proceeding and appeal, Grant argues, the "starting point" must be considered as part of the Rule 35(b) proceeding. The panel opinion acknowledged this argument.
Grant's argument in this regard finds support in the record. The government's initial sentencing memorandum explained:
....
In the opinion of government counsel and the investigating agents, Kevin Grant's cooperation, to date, warrants a seven year reduction in sentence at this time. Under the advisory sentencing guideline range applicable in his case, a seven year reduction would require a three offense-level reduction to an offense level 34, criminal history category V (235 to 293 months in prison).
Based upon the defendant's cooperation to date, the United States recommends a sentence of 25 years in prison at this time. We believe such a sentence takes into account all of the relevant sentencing factors outline in 18 U.S.C. § 3553(a),[
Consistent with its earlier position, the governments's Rule 35(b) motion sought a reduced sentence of 16 years:
It is not clear whether there was, in fact, an understanding that Grant would ultimately receive a sentence equal to one-half of the otherwise applicable Guidelines minimum. And, clearly, if there had been such an understanding, it would not have been binding on the court. Nevertheless, the Guidelines themselves make the government's estimation of the value of the assistance a relevant consideration, and if the government had at one point valued the assistance as worth a reduction to one-half of the otherwise applicable Guidelines sentence, that fact had potential relevance to the Rule 35(b) proceeding, and the court was permitted, if not required, to consider the argument.
I would remand for resentencing within the framework announced by the majority, with instructions to consider Grant's arguments as they may be relevant to determining a sentence that appropriately reflects his substantial assistance.
CLAY, Circuit Judge, dissenting, joined by KEITH, MOORE and COLE, Circuit Judges.
In an apparent attempt to craft a tacit compromise, the en banc majority and concurring opinions shift their focus away from Petitioner and instead create an unmanageable legal standard. Because the district court erroneously concluded that it may not consider the factors enumerated in 18 U.S.C. § 3553(a) on a Rule 35(b) motion, this Court should vacate the district court's decision and remand for reconsideration.
District courts are instructed by the majority opinion, on the one hand, that Rule 35(b) "does not require or authorize consideration of § 3553(a) factors," yet, on the other, that district courts may "take into account the practicalities of the context" in valuing the defendant's substantial assistance. (See Maj. Op. at 816.) Many of the factors discussed by the majority—including the nature of the offense and the defendant's capacity to abide by the law—are not dissimilar from the factors enumerated in § 3553(a). District courts will have to struggle to sort out the internal inconsistencies and ambiguities of the majority opinion, and this Court may be required to revisit the issue again in the near future.
The difficulties with the majority opinion are compounded by the ambiguous nature of its holding. It is unclear whether the majority would hold that the district court properly exercised its discretion in not considering § 3553(a) (see Maj. Op. at 819 ("The district court acted properly in refusing to consider Grant's § 3553(a)-based arguments.")), or whether the majority would hold that the district court lacked discretion to do so in any event (see id. at 815 ("[We] conclude that Rule 35(b) permits reductions based on substantial assistance rather than other factors.").) The majority misses the point by focusing on Petitioner's argument that the district court was required to consider the § 3553(a) factors. This dissent does not embrace Petitioner's argument in that regard, but rather contends that the district court had the discretion to consider additional factors. In this case, the district court erred in concluding that it did not have discretion to do so.
The lack of clarity in the majority's opinion is perhaps best exemplified by the majority's apparent misapplication of its own standard. Whatever the precise nature of the majority's holding, the majority at a minimum makes clear that a district court may, in its discretion, consider additional factors to value a defendant's substantial assistance. (See Maj. Op. § IV.) In this case, the district court "[would] not listen to" Petitioner's arguments about, for instance, his criminal history and the circumstances of his underlying conviction, reasoning that these issues are "not [entertained] at the time of a Rule 35 motion." (Tr. at 6-7.) Curiously, the majority finds no error in the district court's ruling, even though the majority holds that a district court may "consider the context surrounding the initial sentence in valuing the assistance." (See Maj. Op. at 817.) The district court plainly failed to consider whether it would do so, instead committing
The majority's erroneous disposition of this case is grounded in a misinterpretation of Rule 35(b). The plain language of the Rule does not restrict a district court from exercising its discretion to consider various factors in determining a proper sentencing reduction under Rule 35(b). That a district court may consider the § 3553(a) factors specifically, is supported by recent amendments to the Rules and, perhaps, the express language of § 3553(a). It is also supported by the congressional purpose of providing for the imposition of a just sentence, which is particularly compelling in a case such as this where Petitioner was initially sentenced to a mandatory minimum that divested the district court of authority to consider the § 3553(a) factors in the first instance.
Turning to the text of Rule 35(b), it provides in pertinent part, as follows:
Fed.R.Crim.P. 35(b)(1), (2). Under the plain language of the Rule, a district court presented with a Rule 35(b) motion first must consider whether the defendant has provided "substantial assistance," and if so, to what extent the defendant's sentence should be reduced. Rule 35(b) is silent regarding the factors a district court may consider in reducing a sentence. See Fed. R.Crim.P. 35(b); United States v. Park, 533 F.Supp.2d 474, 476-77 (S.D.N.Y.2008). Cf. U.S.S.G. § 5K1.1 (providing factors to guide courts in reducing guideline range for substantial assistance prior to sentencing).
Prior to the 2002 amendments to the Rules, former Rule 35(b) provided that the court may reduce a sentence "to reflect a defendant's subsequent, substantial assistance." Fed.R.Crim.P. 35(b)(2) (2001) (emphasis added). Many courts have relied on the phrase "to reflect" to hold that factors other than substantial assistance may not be considered on a Rule 35(b) motion. See, e.g., United States v. Chavarria-Herrara, 15 F.3d 1033, 1037 (11th Cir. 1994) ("The plain language of Rule 35(b) indicates that the reduction shall reflect the assistance of the defendant; it does not mention any other factor that may be considered."). The 2002 amendments to the Rules, however, removed this phrasing, leaving the Rule to provide for a sentencing reduction "if the defendant's substantial assistance" was of a certain kind. See Fed.R.Crim.P. 35(b)(2) (emphasis added).
This change in the plain language of the Rule is significant. Whereas the word "reflect" suggests the latter taking into account the former, the word "if" denotes merely a condition precedent.
As the majority points out, the Advisory Committee on Criminal Rules ("Advisory Committee") did not intend the 2002 amendments to change the meaning of the Rules. The Advisory Committee reported that many of the changes were part of a "general restyling of the Criminal Rules to make them more easily understood." Fed. R.Crim.P. 35—advisory committee notes. To the extent this language was persuasive at the time of the amendments, cf. Till v. SCS Credit Corp., 541 U.S. 465, 489, 124 S.Ct. 1951, 158 L.Ed.2d 787 (2004) (rejecting a statutory interpretation based on purported congressional intent in part because it "ignor[ed] the plain language of the statute...."), however, its persuasive value has been diminished by subsequent amendments to the Rules.
The majority overlooks the significance of 2007 amendments to the Rules and the accompanying Advisory Committee notes. One such amendment eliminated Rule 35(b)(1)(B), which formerly read as follows:
Fed.R.Crim.P. 35(b)(1)(A), (B) (2006) (emphasis added). The Advisory Committee eliminated subsection (B) to conform the Rule to United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005). In its notes accompanying Rule 35, the Advisory Committee, citing 18 U.S.C. § 3553(a), explained that Booker permits a court to tailor a sentence "in light of other statutory concerns as well." Fed. R.Crim.P. 35—advisory committee notes. This discussion, in the context of Rule 35(b), supports the view that the elimination of Rule 35(b)(1)(B) was intended to prevent limiting the district court's consideration to only substantial assistance. It also suggests that the Advisory Committee contemplated that a district court may apply the § 3553(a) factors in the context of a Rule 35(b) motion.
That the application of Rule 35(b) permits consideration of the § 3553(a) factors comports with the congressional purpose of providing a just sentence, particularly in a case such as this where Petitioner was not sentenced above the mandatory minimum. See 18 U.S.C. § 3553(a). Petitioner was initially sentenced to the lowest available sentence, a mandatory minimum of 25 years. Since a statute divested the
Now that Rule 35(b) has pierced the mandatory minimum, there is no reason why Petitioner should be deprived of the district court's consideration of the § 3553(a) factors to guide its discretion and arrive at an appropriate sentence.
In fact, although ignored by the majority, application of the § 3553(a) factors might well constitute a statutory right of a defendant in connection with a Rule 35(b) re-sentencing. Section 3553(a) states that a sentencing court "shall" consider certain statutory factors. To the extent a Rule 35(b) sentencing reduction constitutes a "sentence" within the meaning of § 3553(a), a court would be required to consider § 3553(a). See, e.g., United States v. Moran, 325 F.3d 790, 792 (6th Cir.2003) (holding, in another context, that a "district court's reduction of [defendant's] sentence under Rule 35(b) is a `sentence.'").
Although we have held that district courts may consider only the extent of a defendant's cooperation on a pre-sentence motion for a downward departure under 18 U.S.C. § 3553(e), see United States v. Bullard, 390 F.3d 413, 416-17 (6th Cir. 2004), this limitation is grounded in factors enumerated in the Sentencing Guidelines, U.S.S.G. § 5K1.1, upon which Bullard relies in part. No such factors are present with respect to Rule 35(b). Furthermore, Bullard and the cases it cites as authority were decided at a time when the Sentencing Guidelines were mandatory, and, notably, § 3553(e) requires the reduced sentence "to reflect" the defendant's substantial assistance, phrasing that was excised from Rule 35(b).
Contrary to the position taken by the majority, the district court had the discretion to consider the § 3553(a) factors in the context of a Rule 35(b) motion. Whether the district court was required to do so is a question for another day. Because the district court categorically refused to consider Petitioner's timely arguments on the Rule 35(b) motion in his case, this Court should vacate the decision of the district court and remand for reconsideration.
In this case, following the government's Rule 35(b) motion, Petitioner filed the following reasons in support of his arguments for a larger reduction than the government had requested: "(1) he had provided more substantial assistance than had been contemplated by the initial plea deal; (2) his firearm conviction could have been a two-point
At the hearing on the government's Rule 35(b) motion, the district court rejected all but Petitioner's first argument:
(Tr. at 6-7.) The government responded that Petitioner had maintained his right to argue for a greater reduction. The district court then stated as follows:
(Id. at 10-11.)
As the transcript of the proceedings before the district court makes clear, the court summarily dismissed five of Petitioner's six arguments as untimely. This was error, inasmuch as the district court had the discretion to hear the balance of Petitioner's arguments. Since the district court erroneously found that it could not— rather than would not —consider these arguments, the decision should be vacated and the case remanded to the district court for reconsideration. See, e.g., United States v. Chapman, 532 F.3d 625, 629 (7th Cir.2008) (upholding district court's consideration of prior criminal histories and the seriousness of offenses in the context of a Rule 35(b) motion).
The proper disposition of this case would consist of this Court vacating the decision of the district court and remanding the case for reconsideration. On remand, the district court should be instructed to consider, in its discretion, whether it is appropriate to apply the § 3553(a) factors, and to the extent Petitioner's arguments do not fit within that statutory section (see supra note 1), whether it is appropriate to consider Petitioner's additional arguments for a sentencing reduction as well.
For the reasons stated above, I respectfully dissent.
This change does not impact our analysis of this case, and the dissent inflates its significance by suggesting that the Advisory Committee's general explanatory language about the import of Booker somehow relates to Rule 35 in particular. Among other reasons, this conclusion is unwarranted because the same language appears in the Advisory Committee's notes about the 2007 amendments to Federal Rule of Criminal Procedure 32. The Committee was merely describing Booker, not suggesting an unstated change in Rule 35(b).
The majority opinion does not elaborate on that conclusion. And, as noted by the en banc majority, the panel addressing Grant's initial appeal declined to address the scoring issues because any alleged errors were rendered harmless by the statutory mandatory minimum sentence. United States v. Grant, 214 Fed.Appx. 518, 520-21 (6th Cir.2007).