The opinion filed on January 5, 2010, and published at 592 F.3d 972 (9th Cir. 2010), is hereby withdrawn, and a new opinion and partial dissent are filed concurrently herewith. Appellant's petition for panel rehearing and rehearing en banc, filed January 15, 2010, is hereby rendered moot. The parties are permitted to file new petitions for rehearing pursuant to Federal Rule of Appellate Procedure 40.
MILAN D. SMITH, Circuit Judge:
Defendant-Appellant Mark Stephen Forrester (Forrester) appeals his conviction and sentence for conspiracy to manufacture and distribute ecstasy in violation of 21 U.S.C. §§ 846 and 841(a)(1). Forrester and his codefendants operated a large ecstasy laboratory that was under surveillance for over a year before being closed by law enforcement authorities. Forrester represented himself at trial, and was convicted and sentenced to 30 years in prison. We previously remanded Forrester's case based on our finding that Forrester unintelligently waived his right to counsel. On remand, Forrester pleaded guilty, and was again sentenced to 30 years. He raises five issues on appeal. First, he claims that the district court erred by failing to allow him to argue that ecstasy should be categorized as a Schedule III, rather than a Schedule I, controlled substance, and that 21 U.S.C. § 841(b) is unconstitutional. Second, he asserts that he has a present right to accept the government's original plea offer—which he originally rejected— because he had been misadvised by the district court concerning his maximum sentence exposure. Third, Forrester alleges that his conspiracy indictment was unconstitutionally vague. Fourth, he argues that the district court erred in denying his motion to suppress all fruits of the wiretap. Finally, he claims that the district court erred in sentencing him to 30 years in prison.
We affirm Forrester's conviction, but vacate his sentence, and remand for resentencing.
Law enforcement authorities conducted a lengthy investigation into an elaborate conspiracy to manufacture ecstasy. Investigators tracked the conspiracy for over a year using an array of surveillance techniques. They traced chemical purchases, used confidential informants to infiltrate the operation, followed Forrester to Stockholm where he met with chemists, and discovered a clandestine laboratory in Escondido, California. Agents raided the lab
In October 2001, Forrester and his codefendants were charged with conspiracy to manufacture and distribute ecstasy. On October 23, 2002, the district court held a Faretta hearing to determine whether Forrester was competent to represent himself. The judge found that he was but, during the hearing, the district judge misinformed Forrester that he was facing a sentence of 10-years-to-life, when he was actually facing a sentence of 0-to-20 years. Forrester represented himself from that point in the proceedings until his initial appeal.
On July 3, 2003, the government approached Forrester and his codefendant Dennis Alba (Alba) with a deal. They informed Forrester and Alba that if they did not both plead guilty that same day, the government would file an enhancement pursuant to 21 U.S.C. § 851 requesting that Forrester's maximum sentence be increased from 20 to 30 years. Forrester and Alba both declined the offer and, on July 18, 2003, a jury found Forrester guilty. He was sentenced to 30 years on May 26, 2003. Forrester appealed on May 31, 2003. We found that Forrester had unknowingly and unintelligently waived his right to counsel because the district judge misinformed him regarding his maximum sentence, United States v. Forrester, 512 F.3d 500, 506-09 (9th Cir.2008) (Forrester I), and remanded the case to the district court. On remand, Forrester entered a conditional guilty plea, and was sentenced again to 30 years. He now appeals for the second time.
We have jurisdiction under 28 U.S.C. § 1291 and 18 U.S.C. § 3742.
In addressing Forrester's first claim regarding the classification of ecstasy as a Schedule I substance, we review de novo the district court's construction or interpretation of a statute. See Beeman v. TDI Managed Care Servs., Inc., 449 F.3d 1035, 1038 (9th Cir.2006). The district court's decision to preclude a defendant's proffered defense is also reviewed de novo. See United States v. Batterjee, 361 F.3d 1210, 1216 (9th Cir.2004).
Forrester next argues that his failure to accept the plea offer was involuntary. The voluntariness of a guilty plea is subject to de novo review. See United States v. Gaither, 245 F.3d 1064, 1068 (9th Cir.2001).
Forrester also contests the sufficiency of the conspiracy indictment, which we review de novo. United States v. Berger, 473 F.3d 1080, 1097 (9th Cir.2007).
We next address a number of issues with regard to the wiretap application. We review de novo the district court's interpretation of the wiretap statute. United States v. Luong, 471 F.3d 1107, 1109 (9th Cir.2006). A bifurcated standard of review applies to wiretap necessity findings. First, we review de novo whether a wiretap application is supported by a full and complete statement of the facts in compliance with 18 U.S.C. § 2518(1)(c). United States v. Rivera, 527 F.3d 891, 898 (9th Cir.2008). If a wiretap is adequately supported, then we review the district court's necessity finding for abuse of discretion. United States v. Lynch, 437 F.3d 902, 912 (9th Cir.2006).
Finally, Forrester raises three sentencing issues. We review ex post facto challenges to sentencing decisions de novo. United States v. Ortland, 109 F.3d 539, 543 (9th Cir.1997). Similarly, we review de novo whether the district court failed to make sufficient findings. United States v. Carter, 219 F.3d 863, 866 (9th Cir.2000). Whether the method used by the district court to approximate the quantity
Forrester appeals his conviction and sentence. First, he argues that ecstasy should be classified as a Schedule III substance, and that his maximum sentence must be determined by a jury. Second, he asserts that misinformation regarding his maximum sentence rendered his rejection of a plea deal unintelligent. Third, he claims that his conspiracy indictment was unconstitutionally vague. Fourth, he alleges that the district court erred in denying his motion to suppress all fruits of the wiretap. Finally, he claims that his sentence was improper.
The Controlled Substances Act (CSA), 21 U.S.C. § 801 et seq., establishes five categories or "schedules" of controlled substances. Ecstasy has been classified as a Schedule I controlled substance since March 23, 1988. See 53 Fed.Reg. 5156 (Final Rule dated Feb. 22, 1988—Schedules of Controlled Substances; Scheduling of 3,4 Methylenedioxy-methamphetamine (MDMA) into Schedule I of the Controlled Substances Act; Remand). Violations involving Schedule I substances carry more severe penalties than those in Schedule III because the drugs have a high potential for abuse and no generally accepted medical benefits.
The Attorney General (AG) has designated ecstasy as a Schedule I controlled substance under the CSA.
Forrester argues that the Schedule III definition more accurately describes ecstasy than does the one in Schedule I, and that "the scheduling of ecstasy has been questioned by the medical community." Forrester further argues that denying him the opportunity to argue that ecstasy should be designated a Schedule III controlled substance violates Touby v. United States, 500 U.S. 160, 111 S.Ct. 1752, 114
In Touby, the petitioners were convicted of conspiring to manufacture "Euphoria," a designer drug that was temporarily placed under Schedule I. 500 U.S. at 162, 111 S.Ct. 1752. The primary question in Touby was whether the AG's power to temporarily schedule a substance violated the non-delegation doctrine. Id. at 164-67, 111 S.Ct. 1752. The Court also considered whether the temporary scheduling statute was unconstitutional because it bars judicial review. Id. at 168-69, 111 S.Ct. 1752. The Court held that (1) direct, pre-enforcement review of a permanent scheduling order is plainly authorized by 21 U.S.C. § 877 and that petitioners wishing to challenge the order can do so when the temporary order becomes permanent, (2) the AG's compliance with his delegated duties may always be challenged by individuals facing criminal charges, whether they are temporary or permanent, and (3) substantive, collateral attacks on temporary scheduling orders may be brought by criminal defendants whose sentences will be affected by the order. Id. at 160, 111 S.Ct. 1752.
The concurring opinion in Touby emphasized that "the opportunity of a defendant to challenge the substance of a temporary scheduling order in the course of a criminal prosecution is essential to the result in this case" and that Congress "did not intend to foreclose review in the enforcement context." Id. at 169-70, 111 S.Ct. 1752. The concurring minority was concerned that temporary scheduling orders, which have not been fully vetted by the AG or passed all of the necessary procedural requirements, were going to have a severe impact on criminal defendants who were sentenced pursuant to the orders. In effect, the opinion permitted a concurrent vetting by the courts to ensure that such temporary orders were not improper. We construe Touby's holding to be limited to temporary orders because permanent orders are thoroughly vetted and allow for direct attacks through 21 U.S.C. § 877.
The Eleventh Circuit, the only circuit to have previously addressed this issue to date, came to the same conclusion. United States v. Carlson, 87 F.3d 440 (11th Cir. 1996). Carlson, like Forrester, attempted to substantively challenge the AG's ruling that ecstasy is a Schedule I controlled substance. Id. at 446. The Eleventh Circuit held that a defendant cannot "make a collateral attack on a final regulatory decision in a criminal case." Id. It gave two reasons: "[f]irst, the decision to schedule a substance like [ecstasy] is a complex matter,... [and] [s]econd, and more importantly, the agency itself is not a party in the case; hence it has no opportunity to defend its scheduling order." Id. Additionally, to allow all criminal defendants to collaterally attack a permanent scheduling order based on their view that a particular drug has been mis-scheduled would potentially place a continuing, onerous burden on district courts to constantly re-litigate the same issue.
Forrester argues that, in other situations, Congress has been explicit about not permitting collateral attacks at trial. For example, 8 U.S.C. § 1189(a)(8) states:
Section 1326(d) contains a similar provision in the deportation context. However, the
We hold that substantive collateral attacks on permanent scheduling orders are impermissible in criminal cases where defendants' sentences will be determined by those scheduling orders. Accordingly, we conclude that the district court did not err in denying Forrester's motion for an evidentiary hearing on the issue.
Forrester also argues that 21 U.S.C. § 841(b)(1)(C) violates the Fifth and Sixth Amendments, as construed in Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000), and United States v. Buckland, 289 F.3d 558 (9th Cir.2002), because it allows his maximum sentence to be determined by a fact not found by the jury beyond a reasonable doubt.
The Supreme Court held in Apprendi that "[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt." 530 U.S. at 490, 120 S.Ct. 2348. In Buckland, the government conceded that the district court had violated Apprendi when it, rather than the jury, determined the quantity of drugs attributable to the defendant. Buckland, 289 F.3d at 568. Forrester contends that the question of whether ecstasy meets the definition of a Schedule I substance is a factual determination that must be left to the jury.
In both Apprendi and Buckland, the judges made improper findings of conduct (sale of a particular drug and engaging in hate speech, respectively) by a preponderance of the evidence. The respective courts held that those findings should have been made by a jury beyond a reasonable doubt. See Buckland, 289 F.3d at 563; Apprendi, 530 U.S. at 471, 120 S.Ct. 2348. However, both cases explicitly confirm Congress's ability to "ramp up the punishment for controlled substance offenders based on the type and amount of illegal substance involved in the crime." Buckland, 289 F.3d at 568; see also Apprendi, 530 U.S. at 495, 120 S.Ct. 2348 (recognizing Congress's ability to choose "[t]he degree of culpability ... associate[d] with particular, factually distinct conduct"). Therefore, under Buckland and Apprendi, the relevant fact questions for the jury in this case would have been what conduct Forrester engaged in (conspiracy to manufacture and distribute drugs) and what type of drug was involved in the conspiracy (ecstasy). Here, those are issues of fact that would have been found by a jury had Forrester gone to trial, instead of pleading guilty.
On October 23, 2002, Forrester waived his right to counsel under Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975) (the Faretta hearing). However, during the Faretta hearing colloquy, the district court incorrectly advised Forrester that he faced 10 years-to-life in prison, whereas he actually faced zero-to-20 years in prison. Forrester I, 512 F.3d at 507. The government did not correct the court's erroneous advice.
On July 3, 2003 (five days before trial), the government extended a plea offer to Forrester and Alba. The government told Forrester that if both he and Alba accepted the "package deal," Forrester could limit his exposure to 20 years. The government stated that if the plea offer was not accepted by 2:00 pm that same day, it would file a sentence enhancement pursuant to 21 U.S.C. § 851. The offer was not accepted by either Forrester or Alba, and the government filed the § 851 enhancement, thereby enhancing Forrester's maximum penalty from 20 to 30 years. See 21 U.S.C. § 841(b)(1)(C).
The case proceeded to trial and Forrester was convicted, and sentenced to the maximum of 30 years. We reversed, finding a defective waiver of counsel due to the district court's erroneous sentencing advisement during the Faretta hearing. Forrester I, 512 F.3d at 505-09. Following remand, Forrester filed a motion requesting that the district court strike the § 851 enhancement and allow him to plead guilty without the enhancement because he had been misadvised of the potential penalties at the Faretta hearing. The district court denied the motion, stating:
Forrester then pleaded guilty and was sentenced (again) to the 30-year maximum. Forrester alleges that the district court erred by failing to dismiss the § 851 sentence enhancement due to its prior sentencing miscalculation, thereby depriving him of the opportunity to make a knowing and intelligent decision to accept an earlier plea offer that did not include the enhancement.
Federal Rule of Criminal Procedure 11(b) states that the court must hold a hearing and inform a defendant of, and determine that he understands, "any maximum possible penalty, including imprisonment, fine, and term of supervised release" and "any mandatory minimum penalty," before it accepts his guilty plea (the plea hearing). FED. R. CRIM. P. 11(b)(1)(H) & (I). A failure to ensure that a defendant understands his range of exposure may violate the requirement that a guilty plea be "knowing and voluntary." See, e.g., Tanner v. McDaniel, 493 F.3d 1135, 1146 (9th Cir.2007) (holding that guilty plea is voluntary and knowing only if defendant understands the range of allowable punishment
"[T]here is no constitutional right to plea bargain." Weatherford v. Bursey, 429 U.S. 545, 561, 97 S.Ct. 837, 51 L.Ed.2d 30 (1977). Nonetheless, defendants who plead guilty are given the protection of the "voluntary and intelligent" requirement because, in pleading guilty, they are relinquishing fundamental constitutional rights. See FED. R. CRIM. P. 11(b) (detailing defendant's right to plead not guilty, to a jury trial, to have counsel, to confront witnesses, and to present evidence). However, the voluntary and intelligent requirement has never been extended to rejections of plea offers. When a defendant turns down a guilty plea, he is giving up only the opportunity to limit his exposure to the terms of that plea.
Forrester argues that, once a plea offer has been made, a defendant has a right to be accurately informed about his potential exposure before deciding to reject it. He relies on Nunes v. Mueller, a habeas case in which an attorney misinformed the defendant that he had received a plea offer for 22 years as opposed to 11 years. 350 F.3d 1045 (9th Cir.2003). In Nunes, we suggested that the right to make an informed decision about a plea is a corollary to the right to voluntarily and intelligently plead guilty. Id. at 1053 ("The right that Nunes claims he lost was not the right to a fair trial or the right to a plea bargain, but the right to participate in the decision as to, and to decide, his own fate—a right also clearly found in Supreme Court law."). In that case, we ordered the reinstatement of Nunes' original plea offer, rather than the more common remedy of a new trial, in order to "put the defendant back in the position he would have been in if the Sixth Amendment violation never occurred." Id. at 1057 (internal quotation marks omitted).
Nunes was based on the well-founded constitutional right to effective assistance of counsel. Id. at 1051-1054. For Nunes to apply here, we would have to find that Forrester suffered a similar unconstitutional deprivation of rights that tainted his rejection of the plea offer. We decline to do so on these facts. Though a defendant may have a right to voluntarily and intelligently reject a plea offer, we need not reach that question in this case because any error was harmless. See Bains v. Cambra, 204 F.3d 964, 971 n. 3 (9th Cir. 2000) (reciting Chapman "harmless beyond a reasonable doubt" standard for constitutional trial type errors).
First, Forrester was offered a "package deal" with Alba. Because Alba rejected the deal, Forrester could not unilaterally have accepted it even if he had been aware of his actual potential sentence. Indeed, Alba had no incentive to accept the plea, as the threatened enhancement did not affect his exposure because he already faced life in prison on a continuing criminal enterprise count.
Second, Forrester's maximum and minimum possible sentences were overstated. Forrester was offered a 20-year cap on his sentence when he thought he faced 10-to-life if he went to trial. In rejecting the offer to cap his exposure at 20 years, he risked receiving what he thought was a life sentence for the potential benefit of being acquitted. He now claims that, had he known that he actually faced a potential sentence of 0-to-30 years (with the enhancement), he would have foregone risking the 30-year maximum and accepted the deal to cap his exposure at 20 years. In other words, he says he was willing to
Forrester alleges that his indictment for conspiracy was insufficient. The second superseding indictment at issue reads:
Forrester filed a motion to dismiss for deficiency, and the district court denied the motion without explanation.
An indictment "must be a plain, concise and definite written statement of the essential facts constituting the offense charged." FED. R. CRIM. P. 7(c)(1). "An indictment is sufficient if it (1) contains the elements of the offense charged and fairly informs a defendant of the charge against him which he must defend and (2) enables him to plead an acquittal or conviction in bar of future prosecutions for the same offense." United States v. Lazarenko, 564 F.3d 1026, 1033 (9th Cir.2009) (internal quotation marks omitted). "Generally, an indictment is sufficient if it sets forth the elements of the charged offense so as to ensure the right of the defendant not to be placed in double jeopardy and to be informed of the offense charged." United States v. Rodriguez, 360 F.3d 949, 958 (9th Cir.2004) (internal quotation marks omitted). With respect to conspiracies, "[a]n indictment under 21 U.S.C. § 846 ... is sufficient if it alleges: a conspiracy to distribute drugs, the time during which the conspiracy was operative and the statute allegedly violated, even if it fails to allege or prove any specific overt act in furtherance of the conspiracy." United States v. Tavelman, 650 F.2d 1133, 1137 (9th Cir. 1981) (internal quotation marks omitted).
Forrester contends that the indictment is insufficient because it fails to specify a beginning date for the conspiracy, thereby possibly subjecting him to double jeopardy. However, although an indictment cannot be completely open-ended, see United States v. Cecil, 608 F.2d 1294,
In addition, uncertainty regarding a conspiracy's beginning and ending dates does not render an indictment fatally defective so long as overt acts alleged in the indictment adequately limit the time frame of the conspiracy. United States v. Laykin, 886 F.2d 1534, 1542 (9th Cir.1989) (18 specific facts alleged in the indictment were sufficient to limit the time frame). Here, the second superceding indictment tracks the language of the conspiracy statute, identifies a location and co-conspirators, and alleges the purpose of the conspiracy. It also alleged a semi-discrete time period (it gave an end date but no beginning date) and certain overt acts. Taken together, the indictment was sufficient to apprise Forrester of the charges against him, enable him to prepare a defense, and to avoid double jeopardy on the same charge. We thus conclude that the district court did not err in denying Forrester's motion to dismiss the indictment.
On February 5, 2001, the government submitted an initial application for a 30-day wiretap order. The application contained a 53-page affidavit by Special Agent Robert Aguirre, and a separate 3-page affidavit (Exhibit C) that was filed under seal. The district judge approved the wiretap on the same day. Forrester challenges the wiretap on several grounds. First, he claims that he was entitled to access the redacted contents of Exhibit C. Second, he claims that the wiretap application failed to comply with the "necessity" requirement of the statute. Third, he claims that the wiretap violated the Fourth Amendment.
Exhibit C provided information about a confidential informant referred to as "CS." Federal Rule of Criminal Procedure 16 governs government disclosure of information, stating:
FED. R. CRIM. P. 16(a)(1)(E). In addition, 18 U.S.C. § 2518 states that the fruits of a wiretap may not be used in court unless a copy of the court order and the wiretap application are furnished to each party:
Id. § 2518(9).
The district court denied Forrester's motion for specific discovery of Exhibit C. It found that the items sought were not discoverable under Rule 16 because they were not material to the presentation of the defense. The question is whether 18
Forrester asks us to adopt the reasoning of the district court in United States v. Arreguin, 277 F.Supp.2d 1057 (E.D.Cal. 2003). That court held that, pursuant to 18 U.S.C. § 2518(9), a defendant has a right to all wiretap application materials, including unredacted copies of affidavits in support of the application. It reasoned that 18 U.S.C. § 2518 "was enacted to provide greater [privacy] protection than that mandated by the Constitution under then-existing precedent," id. at 1060 (citing Gelbard v. United States, 408 U.S. 41, 48 n. 7, 92 S.Ct. 2357, 33 L.Ed.2d 179 (1972)), and noted that "[t]he statutory requirements for wiretap authorization are far more burdensome than those mandated by the Constitution," id. at 1060-61. Similarly, the court noted that 18 U.S.C. § 2518(8)(b) provides that wiretap applications can not be unsealed absent a showing of good cause and gives judges discretion in determining what to disclose. Id. at 1061. Section 2518(9), on the other hand, requires that each party receive a copy of the wiretap application before evidence may be received—it does not include any of the discretionary language found in § 2518(8)(b). Id. The district court considered this to be "a judgment by Congress that the good cause requirement is satisfied where the government plans to use evidence derived from a wiretap." Id. at 1061-62. Under that reasoning, the court required the government to disclose wiretap applications in their entirety before using the evidence derived from the wiretaps. Id. at 1062-63; see also United States v. Manuszak, 438 F.Supp. 613, 619, 625 (E.D.Pa.1977) ("Unlike Section 2518(8)(d) ... which gives the court discretion to deny access to the order and application, Section 2518(9) mandates that these items be made available to a party facing any proceeding[.]" (internal quotation marks omitted)).
We find the reasoning in United States v. Danovaro more persuasive. 877 F.2d 583 (7th Cir.1989). In that case, the Seventh Circuit held that a defendant does not have a right to redacted portions of a wiretap application if the government is able (and willing) to defend the warrant without relying on the redacted information. Id. at 588. The court determined that such a rule was consistent with 18 U.S.C. § 2518(9) because "[s]tatutes requiring disclosure, but silent on the question of privilege, do not override customary privileges." Id. (citing Upjohn Co. v. United States, 449 U.S. 383, 397-98, 101 S.Ct. 677, 66 L.Ed.2d 584 (1981)). Furthermore, the privilege to withhold information in order to protect informants is well-established. See Roviaro v. United States, 353 U.S. 53, 59, 77 S.Ct. 623, 1 L.Ed.2d 639 (1957).
The preamble to Exhibit C states: "As noted in Exhibit B, none of the information set forth in this supplemental pleading is being submitted to establish either probable cause or necessity for the requested wiretap." The rest of the two-and-a-half page document is redacted. Exhibit B explains that
Because, as discussed below, the unredacted parts of the wiretap application were more than sufficient to establish necessity, we find that the district court did not err in denying Forrester's motion for specific discovery.
Under 18 U.S.C. § 2518(3)(c), a judge may authorize a wiretap if the application demonstrates that "normal investigative procedures have been tried and have failed or reasonably appear to be unlikely to succeed if tried or to be too dangerous." This "necessity requirement" is intended to ensure that wiretapping is not resorted to in situations where traditional investigative techniques would suffice to expose the crime. United States v. Kahn, 415 U.S. 143, 153 n. 12, 94 S.Ct. 977, 39 L.Ed.2d 225 (1974).
The district court authorized the wiretap after finding that it was necessary. The 72-page wiretap application extensively detailed target subjects, the basis of information, the MDA manufacturing process, the facts establishing probable cause, and the inadequacy of traditional investigative techniques. The latter section, spanning 20 pages, explained how the use of confidential informants and undercover officers, physical surveillance, pen registers, telephone rolls, search warrants, interviews, grand jury subpoenas, and trash searches had proven inadequate.
Forrester argues that the application did not provide a full and complete statement regarding the government's investigatory techniques, and therefore failed to meet the necessity requirement. In fact, the wiretap application contained a full and complete statement of the facts. It described
Based on this full and complete statement, the district court's necessity finding was not an abuse of discretion. The application carefully explains why traditional investigative techniques would not have enabled officers to achieve the goals of the investigation. For instance, it noted that one of the confidential informants knew of a clandestine lab but could not get the defendants to disclose its location. There was also some evidence that the confidential informant (CI) was receiving incorrect information, and as a drug buyer, the CI was not privy to key information about the defendants' operation. As another example, the application noted that the use of physical (camera and video) surveillance had enabled the government to identify some target subjects, confirm that Forrester traveled to Sweden, and confirm a meeting between Forrester and Alba. However, it could not establish the identities of all coconspirators or provide evidence of the purpose and content of conspiratorial meetings. The application also listed specific investigative goals not yet achieved through the use of conventional techniques, including the identification of all coconspirators of the target subjects, the manner in which they were laundering the proceeds, and the locations where they were manufacturing and distributing the ecstasy.
Forrester's reliance on United States v. Gonzalez, Inc., 412 F.3d 1102 (9th Cir. 2005), is misplaced. There, we found a lack of necessity because the government's investigation of a particular office building in question was too limited. Id. at 1108. "This brief investigation included: five days of pen registers ...; an equally brief use of trap-and-trace analysis of the telephones; limited physical surveillance; and a preliminary inquiry attempt to place an undercover agent...." Id. The investigation into Forrester and his codefendants, in comparison, went on for many months and was thorough and targeted.
The necessity requirement was intended to ensure that wiretaps are not used as the initial step in a criminal investigation. United States v. Giordano, 416 U.S. 505, 515, 94 S.Ct. 1820, 40 L.Ed.2d 341 (1974). However, officials need not exhaust every conceivable investigative technique before obtaining a wiretap. United States v. Commito, 918 F.2d 95, 98-99 (9th Cir.1990); United States v. Carneiro, 861 F.2d 1171, 1178 (9th Cir.1988). Based on these principles and the information contained in the wiretap application, we find that the district court did not abuse its discretion in finding that the wiretap was necessary, and denying the motion to suppress.
Forrester argues that, even if the necessity requirement was met, the application violated the Fourth Amendment
Id. at 60, 87 S.Ct. 1873. Berger did not create a bright-line exigency requirement. Rather, the Court was troubled that eavesdropping had been authorized without requiring probable cause, without a description of the conversations it sought to record, and without a termination date. Id. at 59-60, 87 S.Ct. 1873. Here, probable cause was established, the wiretap was limited to one month, and the application described the conversations and information that it sought to "seize."
Furthermore, the Supreme Court has routinely acknowledged that § 2518 "prescribes the procedure for securing judicial authority to intercept wire communications," Giordano, 416 U.S. at 507, 94 S.Ct. 1820, and was enacted specifically to "meet the constitutional requirements for electronic surveillance enunciated by [the Supreme Court] in [Berger] and Katz v. United States, 389 U.S. 347, 88 S.Ct. 507, 19 L.Ed.2d 576 (1967)," Mitchell v. Forsyth, 472 U.S. 511, 532, 105 S.Ct. 2806, 86 L.Ed.2d 411 (1985) (internal quotations omitted). Therefore, we conclude that because the wiretap application met the standards set forth in § 2518, which do not require a showing of exigent circumstances, the application did not violate the Fourth Amendment.
The November 2000 sentencing manual provided that one gram of MDA was the equivalent of 50 grams of marijuana. U.S.S.G. § 2D1.1 (2000). The Ecstasy Anti-Proliferation Act of 2000 (Ecstasy Act), contained in Pub.L. 106-310, directed the Sentencing Commission to increase penalties for ecstasy. Pub.L. 106-310 §§ 3663(a), 3664. Accordingly, the Sentencing Commission promulgated a temporary amendment to § 2D1.1 that increased this ratio to 500:1, effective retroactively to May 1, 2001. The district court relied on this temporary amendment in setting the base offense level. Forrester argues that subjecting him to a heightened sentence based on a conspiracy end date that was alleged in the indictment but not admitted in the plea agreement was improper. We agree.
The indictment alleges that the conspiracy continued until October 18, 2001. The indictment was reproduced in full in the plea agreement. The plea's "Factual Basis" section mentions only a beginning date, stating that "[i]n or about November, 2000, ... Forrester entered into an agreement with Alba, and others, to manufacture and distribute" ecstasy.
We have declined to treat "guilty pleas as admitting factual allegations in the indictment not essential to the government's proof of the offense." United States v. Cazares, 121 F.3d 1241, 1247 (9th Cir.
In Cazares, we held that, "having failed to [seek an explicit admission], the government must follow the normal procedure of proving relevant conduct at sentencing by a preponderance of the evidence." Id. at 1248. However, this case differs from Cazares in one crucial way—Forrester's plea failed to include the end date of the conspiracy, whereas Cezares's plea failed to mention an "overt act" (specifically, gun possession). See id. at 1247-48.
This distinction is critical because, unlike an overt act, the end date of a conspiracy carries ex post facto implications.
Unlike an overt act, the end date of a conspiracy with ex post facto concerns is not "relevant conduct" within the definition of U.S.S.G. § 1B1.3. Relevant conduct is used to determine the sentencing range within a particular version of the Guidelines. See U.S.S.G. § 1B1.3 (indicating that "Relevant Conduct" is synonymous with "Factors that Determine the Guideline Range," and using both terms interchangeably in the section heading). By contrast, the end date of a conspiracy determines which version of the Guidelines applies. The Guidelines make clear that a conspiracy end date with ex post facto implications is not relevant conduct. Indeed, the Guidelines expressly distinguish between the last date of offense conduct and the relevant conduct. See U.S.S.G. 1B1.11 cmt. n. 2 ("[T]he last date of the offense of conviction is the controlling date for ex post facto purposes.... This is true even if the defendant's conduct relevant to the determination of the Guidelines range under § 1B1.3 (Relevant Conduct) included an act that occurred ... after a revised
Judge Hall correctly notes that findings regarding the end date of a conspiracy seem to be in a "peculiar limbo" because they do not fit precisely within the definition of either offense conduct (because the end date is not an element of the crime) or relevant conduct (because the end date determines which Guidelines version applies). See Dissent at 952-53. However, even if the end date of the conspiracy could be construed as "relevant conduct," relevant conduct may not be used to justify the application of a later Guidelines version. See U.S.S.G. § 1B1.11 cmt. n. 2; see also id. § 1B1.11(b)(1) ("If the court determines that the use of the Guidelines Manual in effect on the date that the defendant is sentenced would violate the ex post facto clause ..., the court shall use the Guidelines Manual in effect on the date that the offense of conviction was committed.").
Either the end date of the conspiracy is not relevant conduct, and is therefore subject to ex post facto analysis rather than the relevant conduct preponderance standard, or it is relevant conduct, in which case it cannot be used to justify application of a later Guidelines version. Either way, the dissent's inclination to treat the end date as relevant conduct, and to use that relevant conduct to justify the application of the later Guidelines version, violates the ex post facto clause.
Under the Sentencing Guidelines, "[w]here there is no drug seizure or the amount seized does not reflect the scale of the offense," a district court may estimate the quantity of the drug and may consider "the size or capability of any laboratory involved." U.S.S.G. § 2D1.1 cmt. n. 12; see also United States v. Putney, 906 F.2d 477, 479 (9th Cir.1990). The government recommended a base offense level of 38 premised on (1) a "theoretical maximum yield" (TMY) of 183.6 kilograms (kilos) of ecstasy, as calculated by DEA chemist Skinner, (2) an "actual yield" of 63.1 kilos of ecstasy, also calculated by Skinner, and (3) a detailed "business plan" discovered at the ecstasy laboratory suggesting that the conspiracy intended to produce 440 kilos of ecstasy. Forrester argues that the conspiracy involved less than 60 kilos of ecstasy and that the appropriate base level (using the 50:1 ratio) was 32. The district court applied the 500:1 ratio and, without making specific findings as to the precise quantity of ecstasy involved, concluded that the base offense level was 38.
Forrester claims that the district court failed to make specific findings regarding the parties' factual disputes about the amount of ecstasy involved, in violation of Federal Rule of Criminal Procedure 32. In United States v. Carter, we held that "[f]or each disputed fact upon which the district court intends to rely in imposing the sentence, the district court must make an explicit factual finding that resolves the dispute [or] must clearly state that the disputed fact was not taken into account...." 219 F.3d 863, 867 (9th Cir. 2000).
Here, the district court held a lengthy hearing in which the government presented evidence about the estimated yield, which led to an extensive exchange between the parties regarding the chemist's theoretical yield estimate, the PSR, the reliability of Alba's statement corroborating that estimate, and Alba's business plan indicating that the goal of the conspiracy was to manufacture 440 kilos of ecstasy per month. The district court must rule on each of these disputed facts individually. See id. at 866-67. In doing so, the court ensures meaningful appellate review and avoids "the unfairness that would result to a defendant if prison or parole officials were to rely on false allegations or uncorrected reports." Id. at 866.
The district judge calculated a base level offense of 38 based on the "testimony of the chemist at trial, the grafts that were seized from the lab up there, and just tangentially the fact that the Ninth Circuit actually upheld the same base offense level in Mr. Alba's case."
We direct that the district court make explicit findings on all contested issues raised at sentencing, the most important of which is the amount of ecstasy involved in the conspiracy.
Although the district court did not make explicit findings as to the amount of ecstasy involved, it necessarily relied on some implicit finding of quantity in determining the base offense level. There are three criteria for approximations of drug quantity. United States v. Kilby, 443 F.3d 1135, 1141 (9th Cir.2006).
Id. (internal quotation marks omitted).
We have repeatedly held that a court must "err on the side of caution" when estimating drug quantity, Chase, 499 F.3d at 1069, and when there are two "equally good measures" for making a calculation under the Guidelines, a court must select the one "bringing the less punishment," United States v. Hardy, 289 F.3d 608, 614 (9th Cir.2002). We have also discouraged the use of a TMY analysis, and in individual cases have deemed it an inappropriate methodology to calculate drug quantity. Chase, 499 F.3d at 1069 ("the relevant inquiry [is] not what a theoretical maximum yield would be").
Here, the government's expert, DEA chemist Skinner, testified that one of his calculations was a maximum theoretical yield of 183.6 kilos of ecstasy. In Chase, the government's expert had "quite candidly
Since the district court did not make any explicit findings about the amount of ecstasy involved when it imposed a base offense level of 38, we need not reach the question of whether the court relied on an improper method of calculating the amount of ecstasy. However, we note that when there are two reasonable methods of calculation, the district court should select the measure that brings the lesser punishment, Hardy, 289 F.3d at 614. Therefore unless, on remand, the district court's findings show that the TMY was the most reliable method available to calculate the amount of ecstasy, the 183.6 estimate is likely too high.
Forrester also claims that his sentence was substantively unreasonable under 18 U.S.C. § 3553(a), but we decline to reach this issue because we are remanding for resentencing.
For the foregoing reasons, we AFFIRM Forrester's conviction, VACATE his sentence, and REMAND for resentencing under the November 2000 Sentencing Guidelines.
HALL, Circuit Judge, concurring in part and dissenting in part.
I dissent in part from Section V(A) of the amended majority opinion. The majority improperly remands for resentencing under the November 2000 Guidelines without providing any opportunity for the district court to make a factual finding regarding the end date of the conspiracy to manufacture and distribute ecstasy.
If Forrester's case had gone to trial, a jury would not have needed to determine an end date of the conspiracy in order to convict, and I therefore agree with the majority that the end date was not an "element" of Forrester's offense of conviction encompassed by his guilty plea. See Amended Maj. Op. at 945-46. At sentencing, however, it was necessary for the district court to determine an end date of the offense of conviction because that date would determine which version of the Sentencing Guidelines applies to Forrester. In our initial opinion, we accordingly remanded for further fact-finding and directed the government "to follow the normal procedure of proving relevant conduct at sentencing by a preponderance of the evidence." United States v. Forrester, 592 F.3d 972, 988 (9th Cir.2010) (quoting United States v. Cazares, 121 F.3d 1241, 1248 (9th Cir.1997)).
The majority now concludes that the initial remand order was improper because, for purposes of an Ex Post Facto analysis, the Sentencing Guidelines draw a distinction between "the last date of the
In order to determine whether the use of a particular version of the Guidelines violates the Ex Post Facto Clause, the district court must look only to the end date of the offense of conviction. U.S.S.G. § 1B1.11 cmt. n. 2. It may not consider conduct that does not underlie defendant's conviction, even if that conduct is relevant to determining the applicable Guidelines range. Id. This distinction made in Section 1B1.11 between the end date of offense conduct and the end date of "relevant conduct" does not mean that the district court cannot determine the end date of offense conduct under the usual preponderance of the evidence standard, and it certainly does not mean that the district court must accept defendant's proffered end date at face value.
A Tenth Circuit decision cited by Forrester aptly demonstrates the operation of Section 1B1.11. In United States v. Foote, 413 F.3d 1240, 1250 (10th Cir. 2005), defendant was convicted of conspiring to sell counterfeit Mont Blanc pens. It was undisputed that the Mont Blanc conspiracy terminated on December 7, 1998. Defendant, however, was also indicted for conspiring to sell a wide range of other counterfeit goods, and the district court determined that the sale of these goods (for which defendant was not convicted), continued until May 18, 2000. Given these two dates, the district court incorrectly applied the Sentencing Guidelines in effect May 2000, and the Tenth Circuit remanded for resentencing under the version in effect December 1998.
Unlike in Foote, in this case we are not faced with the scenario envisioned by Comment 2 of § 1B1.11. There is no need to distinguish between conduct that supported Forrester's conspiracy conviction and conduct that did not in order to determine which version of the Guidelines should apply. The district court must simply determine when the conspiracy to manufacture and distribute ecstasy terminated in light of the evidence presented by the parties, and this fact should be determined under the normal preponderance of the evidence standard. See United States v. Treadwell, 593 F.3d 990, 1000 (9th Cir. 2010) ("Ordinarily, a district court uses a preponderance of the evidence standard of
We have previously held that a district court may determine the "extent" of a conspiracy by a preponderance of the evidence, see id. at 1001; United States v. Riley, 335 F.3d 919, 926-27 (9th Cir.2003); United States v. Harrison-Philpot, 978 F.2d 1520, 1523 (9th Cir.1992), and it seems strange to conclude that the "extent" of a conspiracy does not include its duration. There are no cases in this circuit precluding a preponderance standard for determining the end date of a conspiracy, and a decision by the Eleventh Circuit expressly sanctions this approach. See United States v. Masferrer, 514 F.3d 1158, 1163-64 (11th Cir.2008) (where jury verdict did not establish end date of conspiracy, at sentencing "the court was simply required to find by a preponderance of the evidence that Masferrer conspired to obstruct the SEC in 2002" in order to apply the 2001 version of the Sentencing Guidelines Manual).
The majority provides no explanation for why an "ex post facto analysis," Amended Maj. Op. at 948, precludes fact-finding under a preponderance of the evidence standard, or for that matter under any other standard of proof. Where serious constitutional concerns have been raised by fact-finding in previous cases, we have simply ratcheted up the standard of proof at sentencing; we have not prohibited fact-finding altogether. See United States v. Zolp, 479 F.3d 715, 718 (9th Cir.2007) (where fact-finding at sentencing resulted in an "extremely disproportionate sentence," requiring the government to satisfy a "clear and convincing" standard or proof); United States v. Staten, 466 F.3d 708, 717 (9th Cir.2006) (requiring clear and convincing standard where factual finding resulted in fifteen-level enhancement). We have, however, reserved even a modestly heightened standard of proof for particularly egregious case. Even in the face of indisputably serious sentencing consequences, we have concluded that the normal preponderance standard should apply. See Treadwell, 593 F.3d at 1001 (rejecting defendant's argument that a clear and convincing standard applies, notwithstanding a 22-level increase in the Guidelines range). If constitutional due process only requires a preponderance standard where a factual determination increases the Guidelines range by 24-31 years, see id. at n. 8, Ex Post Facto concerns in this case cannot completely deprive the district court of its fact-finding authority.
The majority's analysis is also in tension with our holding that the end date of the conspiracy is not an element of Forrester's offense of conviction. On one hand, the end date of the conspiracy is not a fact necessary for conviction, and we hold that Forrester's guilty plea leaves open the issue of when the conspiracy terminated for purposes of sentencing. On the other hand, the majority prohibits the district court from making a factual finding on that issue. The net effect seems to be that the end date of the conspiracy is in a peculiar limbo where it is not reached either by a jury conviction, by a guilty plea (unless explicitly pled), or by a district judge at sentencing. Forrester broadly declares that the conspiracy did not last until the effective date of Temporary Amendment, and under the majority's analysis the district court may not consider the government's evidence to contrary. I see no compelling reason for hamstringing
For the foregoing reasons, I dissent in part from the amended majority opinion.