Opinion ID: 185366
Heading Depth: 2
Heading Rank: 1

Heading: Determinations of drug quantity

Text: 7 Appellants contend that the sentences they received on Counts 1 (Narcotics Conspiracy) and 3 (RICO Conspiracy) were improperly enhanced beyond the statutory maximum, because the finding as to drug quantity was not made by a jury. The PIR, prepared after the jury trial, divided Fields' 40 counts of conviction into six groups involving substantially the same harm, and Johnson's 16 counts of conviction into two such groups. See U.S. Sentencing Guidelines Manual 3D1.2 (1998) (rules for grouping closely related counts). Counts 1 and 3 were included in Group 1, along with Counts 62-64 (Money Laundering). The PIR listed the base offense level for both defendants at 38; this determination was derived from an assumption that the offenses involved more than the equivalent of 30,000 kilograms of marijuana. The PIR attributed 173,570 kilograms to Fields and 148,862 kilograms to Johnson. In reaching these estimates, the PIR purported to rely on testimony provided by members of the L Street Crew at the trial. 8 In Apprendi, the Court held 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. 120 S. Ct. at 2362-63. It therefore follows that drug quantity is an element of the offense where a factual determination of the amount of drugs at issue may result in a sentence that exceeds a maximum sentence prescribed in the applicable statute. See, e.g., United States v. Pratt, 239 F.3d 640, 646-47 (4th Cir.2001); United States v. Aguayo-Delgado, 220 F.3d 926, 933 (8th Cir.), cert. denied, 121 S. Ct. 600 (2000); United States v. Doggett, 230 F.3d 160, 164-65 (5th Cir. 2000), cert. denied, 69 U.S.L.W. 3555 (U.S. Feb. 20, 2001) (No. 00-7819). This court's ruling to the contrary in United States v. Lam Kwong-Wah, 966 F.2d 682, 685-86 (D.C. Cir.), cert. denied, 506 U.S. 901 (1992), is no longer good law. In light of Apprendi, it is now clear that, in drug cases under 21 U.S.C. §§ 841 and 846, before a defendant can be sentenced to any of the progressively higher statutory maximums that are based on progressively higher quantities of drugs specified in subsections 841(b)(1)(A) or (B), the Government must state the drug type and quantity in the indictment, submit the required evidence to the jury, and prove the relevant drug quantity beyond a reasonable doubt. 9 In the instant case, the Government did not come close to satisfying the requirements of Apprendi. The Indictment specified quantities of drugs alleged to be involved in Counts 1 and 3, but the verdict form asked only that the jury find detectable amount[s] of marijuana, crack cocaine, and phencyclidine (PCP) in order to find the defendants guilty. Therefore, it cannot be found that the jury's convictions on those counts were based on any specific factual findings as to drug quantity. It was only in connection with Count 2 (Continuing Criminal Enterprise) that the verdict form required specific findings that defendants distributed 1.5 kilograms or more of crack cocaine and 3,000 kilograms or more of marijuana, and the jury deadlocked on these issues. 10 It is undisputed that the quantity of controlled substances involved was a decisive factor in the defendants' sentences. The sentencing range for violations of 21 U.S.C. § 841 (1994 & Supp. IV 1998) is determined by drug quantities. Section 841(b)(1)(A) of Title 21 provides for a maximum penalty of life where the offense involves 1,000 kilograms or more of a mixture or substance containing a detectable amount of marijuana, and 21 U.S.C. § 841(b)(1)(B) provides for a maximum sentence of 40 years where the offense involves 100 kilograms or more of a mixture or substance containing a detectable amount of marijuana. Default statutory maximums of five to 30 years are provided in §§ 841(b)(1)(C) and (D). 11 In this case, there were no substantive controlled substance act offenses charged under 21 U.S.C. § 841. However, the Narcotics Conspiracy Count was charged under 21 U.S.C. § 846, and alleged a conspiracy to unlawfully possess with intent to distribute and to distribute controlled substances in excess of 1,000 kilograms or more of marijuana, 50 grams or more of cocaine base, and 100 grams or more of PCP, in violation of 21 U.S.C. § 841 (a)(1) and (b)(1)(A)(ii)-(iv), (vii). The RICO Conspiracy charged under Count 3 also alleged 21 U.S.C. § 841(a) violations. 12 At the sentencing hearing, the District Court adopted the calculations in the PIR, as well as the Government's proposed findings of fact and conclusions of law, and found well above the preponderance standard that 1,670 grams of crack cocaine, 11,388 grams of PCP, and 3,490 kilograms of marijuana were directly attributable to defendant Thomas Fields during the course of the charged conspiracy. With respect to Johnson, the District Court found that 1,670 grams of crack, 11,328 grams of PCP, and 2,182 kilograms of marijuana were reasonably foreseeable and part of jointly undertaken activity by defendant Johnson, and therefore are appropriately attributable to him. The life sentences imposed on appellants were predicated in part on these calculations. 13 The District Court's sentence enhancements contravene Apprendi. However, neither defendant objected at trial to the District Court's determination of drug quantities, so our review is for plain error. See United States v. Wolff, 195 F.3d 37, 40 (D.C. Cir. 1999); Fed. R. Crim. P. 52(b). And we may exercise our discretion to correct an error pursuant to Rule 52(b) only when an error is plain or obvious under current law, affects substantial rights, and seriously affects the fairness, integrity, or public reputation of judicial proceedings. Johnson v. United States, 520 U.S. 461, 466-67 (1997). 14 The Government concedes that the imposition of life sentences based on drug quantities determined by the trial judge at sentencing was plain error. The Government argues, however, that appellants are not entitled to relief, because they cannot show that the error affected their substantial rights. We disagree. 15 The Government first asserts that substantial rights were not affected, because the District Court correctly determined that the quantity of drugs far exceeded the amount required under the applicable provision of § 841(b)(1). However, in calculating the quantities at issue, the PIR relied heavily on the imprecise testimony of various cooperating witnesses, and the District Court simply adopted the PIR estimates. The only concrete evidence of drug quantity offered at the trial was from the seizures in this case and the testimony of Mr. Joseph Bono, a forensic chemist with the Drug Enforcement Administration. Government counsel acknowledged that this evidence did not establish that either defendant possessed more than 30,000 kilograms of marijuana. The Government nevertheless urges us to extrapolate from the concrete evidence and attribute a higher quantity of drugs to each defendant. Obviously, under Apprendi, we have no authority to do this. The Government was required to convince the jury, beyond a reasonable doubt, that the defendants possessed enough of a controlled substance for the District Court to adjust the base offense level to 38. They failed to do that in this case. 16 The Government next suggests that we should ignore drug quantity altogether and rely instead on the § 1963(a) RICO penalty provision. Section 1963 states that [w]hoever violates any provision of section 1962 of this chapter shall be ... imprisoned not more than 20 years (or for life if the violation is based on a racketeering activity for which the maximum penalty includes life imprisonment). 18 U.S.C. § 1963 (1994). The Government maintains that appellants were charged with, and convicted of, Racketeering Act 21, the kidnaping of K.D. Kidnaping, under the D.C. Code, carries a maximum sentence of life imprisonment. D.C. Code Ann. § 22-2101 (1996). Because the jury specifically found that appellants committed Racketeering Act 21, the Government asserts, the jury found facts justifying imposition of the statutory maximum sentence of life totally apart from drug quantity. The error in this reasoning is that neither the PIR nor the trial judge relied on this rationale in imposing the life sentences. Rather, the District Court, in raising the base offense level to 38 for the Group 1 offenses, relied on the PIR's findings on the marijuana equivalency amounts. We therefore reject the Government's arguments. 17 The District Court's failure to rely on concrete evidence to determine the base offense level for the Group 1 Counts undermined the fairness of the sentencing proceedings, because the error clearly affected the outcome of the case by substantially increasing defendants' sentences. We cannot ignore this plain error.