CUDAHY, Circuit Judge.
Defendants Derrick Courtland, John Bacon and Joseph Addison pleaded guilty to a dog fighting conspiracy and the district court sentenced them to varying terms of incarceration above the guidelines recommendation. Each defendant appeals his sentence, requesting that this court reverse the district court and remand for resentencing. We affirm.
This case arises from a loosely-organized dog fighting conspiracy in the St. Louis metro area called the "Backstreet Truez," and connected with a kennel of that name. A combined state and federal investigation led to numerous arrests and indictments and the seizure of over 120 pitbulls, most of which were so aggressive that the Humane Society destroyed them. At least seven defendants pleaded guilty to conspiracy, 18 U.S.C. § 371, based on 7 U.S.C. § 2156, "Animal fighting venture prohibition," which makes it unlawful inter alia "for any person to knowingly sponsor or exhibit an animal in an animal fighting venture." Seven defendants were sentenced in a consolidated sentencing hearing, and of that number, three presently appeal. The arguments on appeal relate exclusively to sentencing. This case illustrates that innovative procedures can sometimes be very helpful and are not to be automatically condemned as without precedent.
In advance of the sentencing hearing, the district court judge sua sponte submitted his own report on dog fighting, which he entered into the record as a "sentencing memorandum." The district court explained in the memorandum that the document's purpose was to fulfill "[the court's] sentencing obligation, ... to consider the `the nature and circumstances of the offense' " under 18 U.S.C. § 3553(a)(1). The district court judge indicated that, unlike most crimes with which he dealt, he had little general knowledge of dog fighting and he felt he ought to conduct his own research into the subject. He also stated that the memorandum was "entered well in advance of the sentencing hearing in the
The court's 22-page memorandum surveyed the history and the present state of dog fighting, in the United States and abroad. The memorandum was marked by a tone of concern and alarm, and it described a host of the worst abuses in the dog fighting world as disclosed in various sources. For one example, the memorandum stated that "[t]o increase aggression, these dogs may be starved, have lit cigarettes burned into their coats, or may be beaten with a variety of crude instruments including broken bottles, pipes, or even machetes." The memorandum directly linked dog fighting with other crimes, stating "dog fighting is closely associated with some of the most serious crimes plaguing our society and may involve people with extensive criminal backgrounds." The memorandum occasionally seemed to portray dog fighting as a threat running to the very heart of civil society, stating for example that "[b]ecause of the significant damage the sport causes children, dog fighting offenses must be treated with the utmost seriousness in order to avoid a future generation that is devoid of compassion and anesthetized to violence." And at one point, the memorandum seemed to be transformed into an exercise in post-apocalyptic vision, describing depressed urban areas where "packs of feral dogs patrol the streets in search of food."
The district court made it clear that it was not attributing the worst aspects of dog fighting described in the memorandum to the defendants before it. In the opening paragraphs of the memorandum, the judge wrote "[t]his review of the history and methodology of dog fighting is generic; that is, it is not meant to be construed as applicable to the cases currently on the Court's docket which have their own histories and fact patterns."
The defendants did not object to the court's memorandum, and several of them referred to the document in their own sentencing memoranda. For instance, Courtland entered a sentencing memorandum arguing that he was merely a "hobbyist" as opposed to a "professional handler"—terms defined in the court's Memorandum.
On June 1, 2010, the district court held a combined sentencing hearing. The court calculated that the "total offense level" was eight, a figure that incorporated a two-point reduction from ten for acceptance of responsibility. This resulted in a guidelines recommendation of zero to six months for the defendants with a criminal history category of one. All three present appellants had a criminal history category of one, and therefore all three qualified for a guidelines recommendation of zero to six months.
The court adduced the following facts. Courtland acted as "either co-owner or operator or a principal" of Backstreet Truez; he bred dogs and he acted as a referee during fights and participated in at least three roll fights.
Immediately before pronouncing sentences, the court spoke about its pre-sentencing memorandum, stating as follows:
The court first sentenced all of the defendants to a 3-year term of supervised release and imposed on each a $100 mandatory special assessment. The court then addressed each defendant individually and imposed a term of incarceration. Courtland received an eighteen-month sentence, and Bacon received a sixteen-month sentence. The court found that Addison deserved the "extraordinary cruelty" departure described in U.S.S.G. § 2E3.1, application note 2,
As we explain in greater depth below, it is not clear exactly what legal principles govern the court's sentencing memorandum. Nevertheless, we comment briefly on the legal principles the defendants invoke.
The defendants have raised arguments related to Article III of the Constitution, which provides that "[t]he judicial Power of the United States, shall be vested in one supreme Court, and in such inferior Courts as the Congress may ... establish." The Supreme Court has recognized a "broad prohibition upon the courts' exercise of `executive or administrative duties of a nonjudicial nature,' ... to maintain the separation between the Judiciary and the other branches of the Federal
The defendants also direct us to our recent opinion in United States v. Figueroa, 622 F.3d 739 (7th Cir.2010). In that case, we reversed the district court because during the sentencing hearing, the district court engaged in an "extraneous and inflammatory" lecture, id. at 740-41, which included "a number of comments about [Figueroa's native] Mexico and ... Mexico's contribution to drug and immigration issues in the United States," id. at 743, and "reveal[ed] an odd focus on nation-states and national characteristics," id. We concluded that even though Figueroa had been sentenced at the bottom of the guidelines, we had "no way of knowing how, if at all, these extraneous considerations influenced Figueroa's sentence." Id. at 744. Accordingly, we vacated the sentence and remanded for resentencing by a different judge.
With respect to sentencing matters unrelated to the district court's "sentencing memorandum," the present case calls on us to apply the familiar framework for reviewing district court sentencing decisions. We first consider whether the district court committed any procedural error, and then consider whether the sentence was substantively unreasonable. See United States v. Hall, 608 F.3d 340, 346 (7th Cir.2010).
As to the procedural inquiry, we ask whether the sentencing court erred by "failing to calculate (or improperly calculating) the Guidelines range, treating the Guidelines as mandatory, failing to consider the § 3553(a) factors ... or failing to adequately explain the chosen sentence— including an explanation for any deviation from the Guidelines range." Gall v. United States, 552 U.S. 38, 51, 128 S.Ct. 586, 169 L.Ed.2d 445 (U.S.2007). But recent case law indicates that the sentencing court need not frame its explanation of a sentence in terms of a departure from the guidelines range, but may instead focus on the appropriateness of the sentence under § 3553. United States v. Bartlett, 567 F.3d 901, 909 (7th Cir.2009) (citing Nelson v. United States, 555 U.S. 350, 129 S.Ct. 890, 172 L.Ed.2d 719 (2009)); see also United States v. Vaughn, 614 F.3d 412, 415 (7th Cir.2010). Questions of procedural error are reviewed de novo. See Hall, 608 F.3d at 346.
We review the substantive reasonableness of a sentence for an abuse of discretion, even when it is outside the guidelines. See Gall, 552 U.S. at 51, 128 S.Ct. 586. There is no presumption of unreasonableness merely because a sentence is outside of the suggested guidelines range but rather we ordinarily give the sentencing court deference if "the factors in 18 U.S.C. § 3553(a), as a whole, justify the extent of the variance from the guidelines." United States v. Wise, 556 F.3d 629, 632-33 (7th Cir.2009). Under this analysis, "[t]he farther the judge's sentence departs from the guidelines ... the more compelling the justification based on factors in section 3553(a) that the judge must offer in order to enable the court of appeals to assess the reasonableness of the sentence imposed." United States v.
At the outset, we disagree with the Government that arguments relating to the court's memorandum have been waived. As described above, the court entered the sentencing document on its docket as a memorandum and opinion, and referred to it in court as an "order." We accept the court's characterizations, which connote finality, at face value. Under Federal Rule of Criminal Procedure 51(a), "[e]xceptions to rulings or orders of the court are unnecessary." See also Bartlett, 567 F.3d at 910 ("[T]he rules do not require a litigant to complain about a judicial choice after it has been made."). Instead, preserving a claim is ordinarily accomplished by raising the issue in advance of the ruling. See Fed.R.Crim.P. 51(b). Moreover, "[i]f a party does not have an opportunity to object to a ruling or order, the absence of an objection does not later prejudice that party." Id. Here, the record does not reveal to what extent the defendants were on notice of the court's impending filing, and in any case under these unusual circumstances we could not ask them to anticipate the contents of the document.
Turning to the merits, we observe that court's memorandum is apparently sui generis; it is not entirely clear what rule or precedent might govern its propriety. See Elizabeth G. Thornburg, The Curious Appellate Judge: Ethical Limits on Independent Research, 28 REV. LITIG. 131, 169 (2008) ("Principles relevant to judicial research come from the worlds of ethics, evidence, procedure, and the Constitution."). The court obviously did not apply the strictures of judicial notice under Federal Rule of Evidence 201,
As indicated, we reject the defendants' assertion that the district court's filing exceeded the powers of the judiciary established in Article III of the Constitution. We emphatically decline this invitation to set limits on a judge's powers to educate himself on matters relevant to sentencing. We find nothing in the cases cited by the defendants or in our own research that directs such restrictions,
Moreover, the defendants' citation of Figueroa is completely unpersuasive. There is no indication that any agitated or expansive language here about broad social problems associated with dog fighting had any direct application to these sentences. Here, the judge repeatedly stated that the material in its memorandum was not being attributed to the defendants. We certainly accept the court's representation. See, e.g., Lucini Italia Co. v. Grappolini, 288 F.3d 1035, 1038 (7th Cir.2002) (taking the district court at its word about an argument it stated it did not consider). In fact, the sentencing hearing in the present case was routine except for the unusual number of defendants. If this were a drug possession case, a court's comments about related pervasive social problems would be taken as routine. Here, the judge carefully and serially distinguished the evidence related to each of seven co-conspirators. The arguably inflammatory language of the memorandum was absent from the imposition of the respective sentences.
Judges generally are under no obligation to relate all they have learned about a species of crime from whatever source to those accused of the crime in question. We note with approval that the district court was concerned with giving the parties the opportunity to comment on the general reference material it consulted. To do so here was in keeping with the spirit of, but not required by, the Code of Conduct for United States Judges in the sense that the Code of Conduct requires judges to give parties an opportunity to respond to ex parte communications.
We turn now to the defendants' argument that the court erred with respect to the sentences themselves, and we first address the procedural questions. As a threshold matter, no one argues that the district court improperly calculated the guidelines range.
It is clear that the district court was concerned with the lack of incremental punishment for conspiracy in the sentencing guidelines. The court stated:
The district court's sentencing decisions were clearly informed by its concern about the inadequacy of the guidelines and the factors it believed were important but ignored. The court tallied the total number of dogs attributed to each defendant, as well as the number of those that had to be euthanized. The court also kept track of the number of dog fights in which the defendants participated, and the approximate duration of the defendants' involvement in dog fighting. The court discussed, where applicable, the leadership role of each defendant in the dog fighting enterprise. Finally, the court considered sentences imposed in the Eastern District of Missouri for other participants in the same conspiracy, with an eye toward avoiding unwarranted disparities. See 18 U.S.C. § 3553(a)(6).
While we express no opinion on the district court's apparent belief that the guidelines are per se deficient with respect to large dog fighting conspiracies, we agree that the court's sentencing considerations were proper, and together constituted permissible rationale for imposing an above-guidelines sentence. The number of dogs, the number of fights, the defendant's leadership role in the criminal enterprise and the duration of the misconduct can surely be considered part of the "nature and circumstances of the offense" of conspiracy under 18 U.S.C. § 3553(a)(1). And of course, the court's assessment of the § 3553 factors is the proper basis for any above-guidelines sentence. See Dean, 414 F.3d at 730-31 ("[T]he guidelines, being advisory, can be trumped by section 3553(a), which as we have stressed is mandatory.").
We must address one defendant's case individually. No one contests
Having reviewed each defendant's sentence and the court's rationale for imposing an above-guidelines sentence, we conclude that the court properly justified its sentences.
The defendants' argument of substantive unreasonableness, which we review for an abuse of discretion, see United States v. Miller, 601 F.3d 734, 739 (7th Cir.2010), is equally unavailing. It is true that the brevity of the sentences recommended in the guidelines enables the defendants to complain that their actual sentences are an impressive multiple of guidelines recommendations. This is not irrelevant, but it is also relevant that the amounts by which the sentences exceeded the guidelines were not extreme when viewed in absolute terms. Defendant Addison received the greatest above-guidelines increment in absolute terms, an overage of 18 months, and that was partly based on a finding that he qualified for an "extraordinary cruelty" departure under U.S.S.G. § 2E3.1, application note 2, for electrocuting a defeated dog. In view of the court's justifications as discussed above, we do not consider the district court to have abused its discretion by imposing substantively unreasonable sentences. In fact, overall we believe the sentencing judge did a highly commendable job in dealing with a crime not well known to him or to large sectors of the public.
For the foregoing reasons, we AFFIRM the judgments of the district court.