Robert E. Wier, United States District Judge.
The narrow question before the Court is whether the First Step Act of 2018's broadening of 18 U.S.C. § 3553(f) (i.e., the statutory "safety valve") applies to a defendant who pleaded guilty before the Act became law but was sentenced after that date. The answer turns on the meaning of "conviction entered" in § 402(b) of the Act. Because the Court concludes that conviction entry, in context, corresponds with pronouncement of guilt rather than date of judgment, it finds the § 402 changes inapplicable in this pre-Act plea scenario.
Timothy Havens pleaded guilty to one count of possession with intent to distribute 50 grams or more of methamphetamine, in violation of 21 U.S.C. § 841(a)(1). On October 4, 2018, United States Magistrate Judge Ingram conducted the Rule 11 hearing. See DE # 21 (Plea Agreement); DE # 22 (Rearraignment Minutes). Judge Ingram recommended acceptance of Havens's plea, see DE # 23 (R & R), and neither Havens nor the United States objected. Judge Van Tatenhove, then the district judge on the case,
On December 21, 2018, President Trump signed into law the First Step Act of 2018 (Pub. L. No. 115-391, 132 Stat. 5194 (2018)). Title IV of the Act, labeled "Sentencing Reform," did just that. It reduced certain mandatory minimum penalties in § 841, diminished the severity of offense "stacking" under 18 U.S.C. § 924(c), retroactively applied the Fair Sentencing Act of 2010, and—relevant here—broadened the existing § 3553(f) safety valve, offering more offenders relief from specific mandatory minimum incarceration terms. Because Havens has more than one criminal history point, he fails to qualify for the statutory safety valve under the pre-First Step Act version of § 3553(f). Given the Act's changes to § 3553(f)'s requirements, however, Havens objected to the Presentence Investigation Report's failure to apply the new statutory safety valve. See DE # 31. Consistent with Department of Justice policy, the United States agreed with Havens and argued that the modified safety valve should apply. See DE # 32. Both parties, and the Court, acknowledge that Havens satisfies all qualifications of § 3553(f) as amended. Thus, the sole issue is whether Congress intended amended § 3553(f) to extend to defendants adjudged guilty (via plea or verdict) prior to December 21, 2018, though not yet sentenced by First Step Act passage.
Section 402 of the First Step Act, titled and effecting a "Broadening of Existing Safety Valve," provides: "APPLICABILITY.—The amendments made by this section shall apply only to a conviction entered on or after the date of enactment of this Act." § 402(b), 132 Stat. at 5221. The Act does not define or further describe the phrase "conviction entered." If the date that a "conviction [is] entered"
"When a term goes undefined in a statute, we give the term its ordinary meaning[,]" Taniguchi v. Kan Pac. Saipan, Ltd., 566 U.S. 560, 132 S.Ct. 1997, 2002, 182 L.Ed.2d 903 (2012), as commonly understood at the time of enactment, see Keeley v. Whitaker, 910 F.3d 878, 882 (6th Cir. 2018). The word "conviction" is defined as either "[t]he act or process of judicially finding someone guilty of a crime; the state of having been proved guilty[,]" or "[t]he judgment (as by a jury verdict) that a person is guilty of a crime." Conviction,
The Supreme Court undertook a like analysis in the context of the Fair Sentencing Act of 2010, deciding whether the 2010 Act's provisions reducing the crack-to-powder cocaine sentencing ratio applied to crimes committed pre-enactment: "The underlying question before us is one of congressional intent as revealed in the Fair Sentencing Act's language, structure, and basic objectives. Did Congress intend the Act's more lenient penalties to apply to pre-Act offenders sentenced after the Act took effect?" Dorsey v. United States, 567 U.S. 260, 132 S.Ct. 2321, 2326, 183 L.Ed.2d 250 (2012). Acknowledging
Dorsey dealt with a statute utterly silent on the timing of its applicability. The Court carefully noted that it worked by probing the text for the intent of Congress; Dorsey insisted on assurance that ordinary interpretive considerations "point clearly" to the conclusion that Congress intended to apply "new penalties to a set of pre-Act offenders." Id. at 2332. Ultimately, the Court identified six considerations in finding new-law applicability. Those included thorough review of the Sentencing Reform Act (which required that a sentencing court apply Guidelines in effect at the time of sentencing) and the Fair Sentencing Act's emergency Guidelines amendment authorization (showing that Congress knew the Guidelines timing issue and intended to assure concurrent leniency for newly sentenced offenders). Id. at 2332-33.
Unlike the Fair Sentencing Act of 2010, the First Step Act lacks clear or even "fair implication" of an intent to apply the more lenient safety valve to those pronounced guilty pre-Act; rather, the language and structure of the First Step Act strongly suggest the opposite conclusion. Within the Sentencing Reform Title of the First Step Act, Congress included three express "applicability" provisions. In both §§ 401 and 403 (the provisions governing § 841 mandatory minima and § 924(c) stacking, respectively), Congress used the following language: "APPLICABILITY TO PENDING CASES.—This section, and the amendments made by this section, shall apply to any offense that was committed before the date of enactment of this Act, if a sentence for the offense has not been imposed as of such date of enactment." §§ 401(c) & 403(b), 132 Stat. at 5221, 5222. This describes the precise timeline in Havens's case—offense commission (and Havens's guilty plea) occurred pre-Act, but "a sentence for the offense ha[d] not been imposed as of" December 21, 2018.
The Court also finds the First Step Act's § 924(c) fix instructive. Deal had interpreted § 924(c)(1)(C) to require penalty stacking when a jury made sequential, cascading guilt findings on multiple § 924(c) counts within one Indictment. See 113 S.Ct. at 1996. The Court treated each guilt finding as a "conviction" for purposes of the phrase "second or subsequent conviction." See id. ("In the context of § 924(c)(1), we think it unambiguous that `conviction' refers to the finding of guilt by a judge or jury that necessarily precedes the entry of a final judgment of conviction."). The First Step Act reversed Deal. The Act now allows the stacked enhancement only as to a § 924(c) "violation ... that occurs after a prior conviction under this subsection has become final." See § 403(a), 132 Stat. at 5222. Thus, Congress,
Equally important is the language Congress omitted in Title IV of the First Step Act. In finding the requisite indicia of Congressional intent in the Fair Sentencing Act of 2010, the Dorsey Court heavily relied on the 2010 Act's inclusion of Guidelines "emergency amendment" authority, "allowing `the Commission to incorporate the statutory changes' in the Guidelines while `minimiz[ing] the lag between any statutory and guideline modifications for cocaine offenders.'" 132 S.Ct. at 2329 (citation omitted).
To date, two district courts have considered this precise issue, and both have reached the same conclusion the Court does here. In a case from this District, Judge Reeves concluded that, despite party reliance—as here—on the policy goal of avoiding unwarranted sentencing disparities, as well as the First Step Act's general theme of greater leniency in sentencing, the language implementing the safety valve changes controlled in the pre-Act
Given the language and structure of Title IV, the Court is likewise unable to find any textual "fair implication" of Congress's intent to apply the new, more lenient variant of § 3553(f) in this circumstance. The differing applicability provisions—analyzed in light of background interpretation principles and, particularly, the Supreme Court's decision in Dorsey—lead the Court to conclude that "conviction entered" in the context of § 402(b) correlates with the entry of a finding of guilt, rather than entry of judgment. The sincere and important contra policy arguments cannot override or transform the text, which clearly points against the advocates' view. Accordingly, absent circuit or Supreme Court authority, the Court is bound by the mandatory minimum incarceration term.
For these reasons, the Court must