United States v. Rivera-Ruperto
United States v. Rivera-Ruperto
Opinion
Pending before the court is a petition for rehearing or rehearing en banc in United States v. Rivera-Ruperto and a petition for rehearing or rehearing en banc in United States v. Rivera-Ruperto . The petitions for rehearing having been denied by the panel of judges who decided the cases, and the petitions for rehearing en banc having been submitted to the active judges of this court and a majority of the judges not having voted that either case be heard en banc, it is ordered that the petitions for rehearing and the petitions for rehearing en banc be denied.
BARRON
,
Circuit Judge, concurring in the denial of rehearing en banc, joined by HOWARD, Chief Judge, and TORRUELLA, LYNCH, THOMPSON, and KAYATTA, Circuit Judges
. The bulk of the 161-year and ten-month prison sentence that Wendell Rivera-Ruperto challenges-130 years of it to be exact-was imposed for his six convictions under
But, § 924(c) did not merely permit this greater-than-life-without-parole sentence. It mandated it. It did so by requiring a minimum prison sentence of five years for the first of Rivera's § 924(c) convictions and consecutive twenty-five year prison sentences thereafter for each of his "second or subsequent" § 924(c) convictions.
Thus, in consequence of Rivera's multiple convictions for his involvement in this one sting operation, Rivera was required to receive a punishment that seemingly could have been more severe only if it had required his death. And that is so even though this case is replete with factors that-under a discretionary sentencing regime-would surely have been relevant to a judge's individualized rather than arithmetical assessment of whether what Rivera did should not only be punished severely but also deprive him (absent a pardon or commutation) of any hope of ever enjoying freedom again. 2
Despite the force of Rivera's argument that this mandatory sentence is so grossly disproportionate as to be unconstitutional under the Eighth Amendment, I am not permitted to conclude that it is. Other federal judges have expressed their dismay that our legal system could countenance extreme mandatory sentences under § 924(c) that are even shorter than this one.
3
And yet, just as those judges concluded that they were required by precedent to uphold the sentences in their cases, I conclude, like the panel,
Rivera-Ruperto II
,
I do think it is important to say something, however, about that precedent and why I believe the Supreme Court should revisit it. And so, in what follows, I explain my reasoning.
I.
The body of precedent that controls here concerns the meaning of the Eighth Amendment, which provides that "[e]xcessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted." U.S. Const. amend. VIII. The Amendment's text does not expressly state that prison sentences may be unconstitutional solely in consequence of their length. The Supreme Court, however, has long indicated that a sentence may, in rare cases, be so disproportionate to the seriousness of the underlying offense that it violates the Eighth Amendment.
See
Weems
v.
United States
,
In
Rummel
v.
Estelle
,
Solem
specified the criteria that bear on whether the length of a prison term is impermissibly out of proportion to the seriousness of the offense (or offenses) of conviction.
Solem
emphasized that "no single criterion can identify when a sentence is so grossly disproportionate that it violates the Eighth Amendment,"
Solem
,
[A] court's proportionality analysis under the Eighth Amendment should be guided by objective criteria, including (i) the gravity of the offense and the harshness of the penalty; (ii) the sentences imposed on other criminals in the same jurisdiction; and (iii) the sentences imposed for commission of the same crime in other jurisdictions.
Solem appeared to contemplate a holistic analysis, in which the assessment of each of these three criteria would inform the assessment of the others. That approach, notwithstanding its inherently (and appropriately) deferential nature, had teeth. In fact, in Solem , the Court concluded on the basis of this holistic assessment that "the Eighth Amendment proscribes a life sentence without the possibility of parole for a seventh nonviolent felony,"
id="p28" href="#p28" data-label="28" data-citation-index="1" class="page-label">*28
Thus, if Solem were the last word, I would have to assess in the following way whether Rivera's mandatory life-without-parole sentence for multiple felonies-each of which is seemingly nonviolent, though hardly minor in nature-comports with the Eighth Amendment. 6 I would have to consider, holistically, the three criteria that Solem identifies as relevant to the proportionality determination. And, based on a consideration of those criteria, as I will next explain, I would find that Rivera's mandatory, more-than-century-long sentence was grossly disproportionate and thus in violation of the Eighth Amendment. 7
A.
The first
Solem
criterion requires a relatively abstract inquiry. In performing it, a reviewing court must consider the gravity of the offense "in light of the harm caused or threatened to the victim or society[ ] and the culpability of the offender."
Solem details how a court should go about the task of assessing a crime's severity for purposes of applying this first criterion. Of direct relevance here, Solem makes clear that drug crimes are serious, even though they do not inherently require proof of any harm having been done to any identifiable victim.
That guidance from
Solem
matters in this case. Section 924(c) sanctions anyone who "uses or carries, or who, in furtherance of [a predicate] crime, possesses a firearm,"
Thus, we are undoubtedly dealing with the repeated commission of a serious crime under
Solem
's reasoning. We are also dealing with a type of crime that is certainly more serious than the crime of uttering a "no account" check that triggered the sentence that
Solem
struck down.
Still, Solem did not describe the repeated commission of the crime of drug dealing (let alone inchoate versions of that crime) as, in and of itself, violent conduct, even if the drug involved were heroin. 8 Nor did Solem describe drug dealing as a crime that was just as serious as many violent offenses undoubtedly are, at least for purposes of making a threshold assessment of whether a sentence's length is so grossly disproportionate to the underlying offense as to violate the Eighth Amendment. Nor, finally, does Solem suggest that possession of a firearm-even in furtherance of a drug crime-is itself a crime of violence.
Indeed,
Solem
emphasized that the fact that an offense does not actually require proof that the defendant inflicted any bodily harm against any identifiable victim generally makes that offense less serious than an offense that does.
In offering guidance to judges about how they should evaluate an offense's seriousness under the first criterion,
Solem
also explicitly distinguished completed crimes from inchoate ones.
Rivera was convicted of completed crimes in one sense, given that § 924(c) requires proof of firearm possession in furtherance of the predicate crimes.
Solem
did recognize that the fact that an offender is a recidivist is also potentially relevant to the analysis of how serious the conduct being punished is for Eighth Amendment purposes.
Solem
,
That understanding of recidivism accords with the understanding relied on in
Rummel
. There, the Supreme Court rejected an Eighth Amendment challenge to a life sentence with the possibility of parole that had been imposed for a defendant's conviction for committing a third nonviolent felony.
Rummel
,
Rivera, by contrast, was sentenced to a prison term of more than 100 years for the § 924(c) convictions that he received at a single trial,
Rivera-Ruperto II
,
But, although Rivera's criminal conduct is not of the most serious kind, his no-hope sentence undoubtedly is. Indeed, his sentence could not have been harsher save for a sentence of death having been imposed. Yet, the Supreme Court has made clear that the Constitution does not permit a death sentence to be imposed for offenses that do not result in death.
See
Coker
v.
Georgia
,
Nor is the severity of Rivera's sentence solely a function of its length. His sentence is especially unforgiving because the sentencing judge was required to ignore any mitigating circumstances, like Rivera's lack of any criminal history prior to the sting.
Rivera-Ruperto I
, 846 F.3d at 420. Rivera's sentence in this respect is less forgiving than the life-without-parole sentence that
Solem
deemed disproportionate. That sentence was at least discretionary and therefore necessarily tailored to the
defendant's particular circumstances,
see
Solem
,
So, what are we to conclude from a consideration of Solem 's first criterion? Are the offenses that Rivera committed serious enough that the imposition of the most serious of prison sentences would not be grossly disproportionate?
Notably, Solem recognized the problem with calling upon judges to make this kind of abstract assessment. The range of criminal conduct that might reasonably be thought to be serious enough to warrant very severe punishment is broad. But, as one moves from consideration of crimes that involve core violent conduct to more boundary-pressing cases, judicial judgments about the relative severity of the crime necessarily risk becoming subjective.
Solem
also appeared to recognize (even if it did not expressly hold) that this concern about judicial subjectivity is not properly addressed by simply requiring judges to uphold life-without-parole sentences so long as there is a rational basis to think the sentence is
not
grossly disproportionate. The cruelty and unusualness of punishment has long been understood to be determined, in part, by "evolving standards of decency," which themselves become knowable in part through a consideration of the actual penal practices of comparable jurisdictions.
See
Miller
v.
Alabama
,
It is not surprising, then, that
Solem
appears to have proceeded on the understanding that judges need to undertake a real-world comparative inquiry, even if the more abstract threshold inquiry does not in and of itself demonstrate the sentence to be grossly disproportionate. For, at least in a case involving conduct such as is involved here, I read
Solem
to require courts to move beyond an abstract, threshold assessment of the "gravity of the offense and the harshness of the penalty,"
Solem
,
This more holistic approach accords with the approach that is often taken in applying the Eighth Amendment. For, as I have noted, its bounds have long been understood to be drawn, at least in part, by actual legislative practices and by the norms of decency that those practices may be understood to reflect.
See
Graham
v.
Florida
,
B.
I begin by reviewing the sentences that the federal government imposes for other serious criminal conduct. That review suggests that, however debatable the question might be in the abstract, there is a gross disproportionality between the gravity of Rivera's offenses (serious though they are) and the severity of the punishment that he received for them.
Under federal law, "an aircraft hijacker ..., a terrorist who detonates a bomb in a public place ..., a racist who attacks a minority with the intent to kill and inflicts permanent or life threatening injuries ..., a second-degree murderer, [and] a rapist,"
Rivera-Ruperto II
,
Consideration of the federal government's treatment of seemingly comparable conduct under § 924(c) itself further suggests that Rivera's sentence is grossly disproportionate. Rivera was involved in a series of putative drug transactions with, among other people, a group of FBI agents who were merely pretending to be drug traffickers. That the only person other than Rivera who was involved in each of the fake transactions was an FBI agent conducting a sting rather than an actual drug trafficker hardly makes Rivera's course of conduct more concerning than if he had been dealing with the same actual drug trafficker in each transaction. Yet, due to a quirk of conspiracy law and the way that it interacts with § 924(c), his involvement in an FBI-engineered sting rather than a true drug trafficking conspiracy dramatically increased his sentencing exposure under § 924(c).
Specifically, under our precedent, Rivera could not have been charged with participating in a single overarching conspiracy due to the way the FBI staged the sting. We have held that a conspiracy may not be between one individual and a government agent.
United States
v.
Portela
,
The decision to charge Rivera for his course of conduct in that manner was quite consequential. It helped to pave the way for the more-than-century-long mandatory prison sentence that he received under § 924(c). Each of his six § 924(c) convictions was predicated on one of the underlying drug conspiracy convictions that corresponded to Rivera's participation in one of the six fake drug transactions that the FBI staged. 11
Notably, though, if Rivera had participated in the same type of extended conspiracy with a real drug trafficker standing in the stead of the FBI agent who was present for each of the six transactions, and if Rivera had then been charged with participating in a single, extended conspiracy for his course of conduct, he could have been sentenced under § 924(c) to a prison term of only five years for possessing a firearm in furtherance of that conspiracy. And that is because a single conspiracy conviction may not serve as the predicate for multiple § 924(c) convictions,
United States
v.
Rodriguez
,
In this way, then, § 924(c) itself appears to treat the very same course of conspiratorial conduct in which Rivera engaged far more leniently depending on how that course of conduct happens to be charged. After all, Rivera received a mandatory sentence that is more than twenty-five times greater than the defendant in
Rodriguez
received. And Rivera received that sentence, even though, just like the defendant in
Rodriguez
, Rivera was found to have committed multiple acts of gun possession in the course of committing a predicate offense and even though these acts were as a functional matter part and parcel of a single-somewhat extended-criminal conspiracy.
Compare
Rivera-Ruperto II
,
To be sure, in addition to his conspiracy convictions, Rivera was also convicted of six counts of attempted drug possession with intent to distribute, and those convictions independently served as predicates for his § 924(c) convictions. But the conduct underlying those predicate attempt convictions was itself part and parcel of the conduct that could have supported charging Rivera with participating in one extended conspiracy, had an FBI agent not been the only other party to the whole of it. And it is hard to see how those predicate convictions for attempted possession with intent to distribute a substance containing a detectable amount of cocaine
in and of themselves show that Rivera's course of conduct was more than twenty-five times worse than that of a § 924(c) offender who, while conspiring with actual drug traffickers in a similarly extended conspiracy to possess cocaine with the intent to distribute, served as an armed lookout for each drug transaction but (unlike Rivera) never had "the power and intent to exercise control over" the cocaine.
Henderson
v.
United States
, --- U.S. ----,
This assessment of Rivera's mandatory sentence relative to the way that the federal government treats seemingly worse or at least comparable conduct does little to allay the concerns about disproportionality-however debatable those concerns may be in the abstract-that a consideration of the first
Solem
criterion raised. This comparison in turn raises the concern that the congressional choice to mandate this level of punishment for an offender like Rivera may not have been a carefully considered one. And that fact necessarily diminishes (even though it does not negate) the legislative claim to deference that informs the whole of the
Solem
framework.
Solem
,
C.
The final
Solem
criterion requires a comparison of this sentence with "the sentences imposed for commission of the same crime in other jurisdictions."
Solem
,
As the government did not address this prong of the
Solem
inquiry, the government does not address whether there is any state that would impose for comparable conduct the same draconian punishment that § 924(c) required the District Court to impose in this case. But, my own unaided review accords with Rivera's contention that this sentence is an outlier compared to the sentencing practices elsewhere in the United States. That review indicates that virtually all "drug and weapons crimes amenable to federal mandatory minimums are actually prosecuted in state courts pursuant to state laws carrying much lower sentences." Erik Luna and Paul Cassell,
Mandatory Minimalism
,
In addition, it appears that no country subject to the jurisdiction of European Court of Human Rights (ECtHR) may impose this sentence for any offense, let alone for an offense that is not of the most serious kind.
Cf.
Graham
,
In accord with that right, the ECtHR ruled that all people facing "whole life" sentences must be afforded a "review which allows the domestic authorities to consider whether any changes in the life prisoner are so significant, and such progress towards rehabilitation has been made in the course of the sentence, as to mean that continued detention can no longer be justified on legitimate penological grounds." Hutchinson , Eur. Ct. H.R. ¶ 20(a). The court declined to "prescribe the form-executive or judicial-which that review should take, or to determine when that review should take place." Id. ¶ 20(b). But, the court emphasized that "comparative and international law materials provide clear support for the institution of a dedicated mechanism guaranteeing a review no later than twenty-five years after the imposition of a life sentence, with further periodic reviews thereafter[.]" Id. And the court added that "[a] whole life prisoner is entitled to know, at the outset of his sentence, what he must do to be considered for release and under what conditions, including when a review of his sentence will take place or may be sought[.]" Id. ¶ 20(d). Thus, the court explained that, "where domestic law does not provide any mechanism or possibility for review of a whole life sentence," the unlawfulness of the sentence under Article 3 of the Convention "arises at the moment of the imposition of the whole life sentence and not at the later stage of incarceration." Id.
Accordingly, consideration of the last two Solem criteria reinforces the concern about whether Rivera's sentence is grossly disproportionate that consideration of the first Solem criterion raises. The consideration of these last two criteria reveals that Rivera's severe sentence is most unusual when compared to the sentences that have been imposed for crimes that would seem to be no less serious. And that is so whether one looks to the sentencing practices of other jurisdictions or even to the sentencing practices of the federal government itself, which appears to punish conduct that is quite similar, and even seemingly worse, far less severely.
D.
In the end, the question whether Rivera's sentence is constitutional under Solem is not without some difficulty. His crimes are more serious than the minor one that triggered the sentence that Solem struck down. But, Rivera received the harshest of prison sentences for crimes that Solem does not treat as being of the most serious kind. Moreover, comparative analyses reveal that his sentence is an outlier. I thus conclude that, if Solem were the last word, then Rivera's sentence would be grossly disproportionate. Under the Eighth Amendment, therefore, Rivera would be entitled to have his mandatory life-without-parole sentence vacated and his case remanded for resentencing. 16
II.
Solem , however, is not the last word. I thus must address the post- Solem Supreme Court precedent that addresses the constitutionality of imposing mandatory life-without-parole sentences under the Eighth Amendment for drug offenses. And that precedent is Harmelin . 17
There, a defendant brought an Eighth Amendment proportionality challenge to his mandatory life-without-parole sentence under Michigan law for the possession of what the Supreme Court described as 672.5 grams of cocaine.
Harmelin
,
Harmelin
did not produce a majority opinion. Rather, a fractured Court yielded a controlling opinion that took the form of a three-Justice concurrence.
Id.
;
see
Graham
,
A.
The first way in which the
Harmelin
concurrence adversely affects Rivera's proportionality challenge has to do with the concurrence's treatment of the second and third
Solem
criteria. The concurrence makes clear that consideration of these two criteria-which require real-world comparative analyses-are "appropriate only in the rare case in which a threshold comparison of the crime committed and the sentence imposed leads to an inference of gross disproportionality."
19
Harmelin
,
I agree that a sentence's outlier status does not in and of itself demonstrate that a sentence is so grossly disproportionate as to be unconstitutional. But, as the discussion above demonstrates, there are consequences if judges are too quickly barred from gaining insight into whether a sentence is grossly disproportionate through a comparative analysis of other relevant sentencing practices. Those consequences are likely to be especially significant, moreover, in cases in which the offense is, per Solem , not of the most serious kind, but the prison sentence is.
In fact, all four dissenting Justices in
Harmelin
challenged the concurrence on this point.
The dissenters also expressed the concern that the concurrence's approach to the first criterion-by making it so difficult to make a showing that would justify undertaking a real-world comparative analysis-threatened to render any objective Eighth Amendment proportionality analysis "futile."
Id.
at 1020,
Nevertheless, the dissenters did not prevail. I thus must, like the panel,
Rivera-Ruperto II
,
B.
The second way in which the
Harmelin
concurrence adversely affects Rivera's Eighth Amendment challenge concerns the way in which the
Harmelin
concurrence actually performed
Solem
's threshold inquiry with respect to the criminal conduct at issue in that case. Specifically, the concurrence determined that the drug possession crime in that case was of a sufficiently "serious nature" that no inference of gross disproportionality was warranted by the imposition of a mandatory life-without-parole sentence.
Harmelin
,
In making this critical judgment, the concurrence reasoned that the "[p]ossession, use, and distribution of illegal drugs represents 'one of the greatest problems affecting the health and welfare of our population.' "
The concurrence stressed in this regard that the suggestion that the "crime was nonviolent and victimless ... is false to the point of absurdity."
The concurrence further explained that the fact that the offense involved drug possession was important because "quite apart from the pernicious effects on the individual who consumes illegal drugs, such drugs relate to crime[.]"
The concurrence then concluded, without the benefit of any comparative inquiry into the practices of other jurisdictions, that whether or not Michigan's penalty scheme was "correct or the most just in the abstract sense," the Michigan legislature "could
with reason
conclude that the threat posed to the individual and society by possession of this large an amount of cocaine-in terms of violence, crime, and social displacement-is momentous enough to warrant the deterrence and retribution of a life sentence without parole."
This reasoning, in my view, is dispositive here. Rivera's convictions are not for offenses that are identical to Harmelin's. Indeed, he was not convicted of actually possessing any drugs. Still, I do not see how a lower court may say that the Michigan
legislature had reason to conclude that a conviction for possession of a large quantity of cocaine and no guns warranted a mandatory life-without-parole sentence, but that Congress could not have had a rational basis for concluding that such a sentence was warranted for multiple convictions for possession of a firearm in furtherance of conspiring or attempting to possess with intent to distribute a "detectable amount" of cocaine packaged in five-kilogram-sized substances.
See
III.
Although I am convinced that the Harmelin concurrence controls the outcome here, and that it does so by limiting our inquiry to a consideration of only Solem 's first criterion, I am also convinced that the Court should revisit the logic of the Harmelin concurrence, at least insofar as it applies to mandatory greater-than-life-without-parole sentences under § 924(c) in cases involving predicate drug offenses. 22 That is so for three reasons.
A.
First, given the range of possible ways that a defendant may commit multiple § 924(c) offenses, it is not realistic to posit that the Congress that enacted § 924(c) made a focused judgment that defendants like Rivera should receive a mandatory life-without-parole sentence for their drug-related criminal conduct. There was, by contrast, far more reason to believe in Harmelin that the legislature had made a focused penal judgment to mandate a life-without-parole sentence for the particular criminal conduct in which the defendant there had engaged.
Accordingly, the
Harmelin
concurrence's concern that "set[ting] aside [Harmelin's] mandatory sentence would require rejection not of the judgment of a single jurist ... but rather the collective wisdom of the ... Legislature and, as a consequence, the ... citizenry,"
Harmelin
,
As the
Harmelin
concurrence noted, the life-without-parole sentence in that case was mandated pursuant to a carefully calibrated and graduated penalty scheme in which the Michigan legislature specially singled out only a subset of precisely defined large-quantity drug possession crimes for such harsh punishment. Michigan's penalty scheme, the concurrence explained, "is not an ancient one revived in a sudden or surprising way; it is, rather, a recent enactment
calibrated with care, clarity, and much deliberation
to address a most serious contemporary social problem."
Perhaps, in the face of the exercise of such legislative care to address a new social problem in a new way, there is a case to be made for according the kind of deference to the penal judgment at issue in Harmelin that the concurrence in Harmelin thought proper. And thus, perhaps, in such a circumstance, there is less need to check the judicial intuition about the proportionality of a mandatory life-without-parole sentence for a large-quantity drug possession offense against actual legislative practice than the dissenters in Harmelin thought there was.
But even if, in light of the legislative care taken in Michigan, the sentence at issue in Harmelin warranted such deferential review, uninfluenced by real-world sentencing practices, I cannot see what the case would be for applying the same limited form of review here. In contrast to the focused sentencing scheme considered in Harmelin , which targeted only carefully specified large-quantity drug possession crimes, § 924(c) criminalizes much conduct that-given that statute's famously ambiguous scope-is in its nature not similarly precisely knowable to legislators. 24
Moreover, § 924(c) imposes a sentence as harsh as the one that Rivera received only because the statute requires the stacking of various individual § 924(c) sentences. As explained above, under § 924(c), a first conviction leads to a mandatory sentence of five years, and each "second or subsequent conviction" mandates an additional twenty-five year prison term that must be served consecutively.
In consequence, life-without-parole sentences may be required under § 924(c) for an astoundingly wide array of possible offense combinations, including mixes potentially of both state and federal offenses and various combinations of predicate drug offenses, whether or not paired with "crime[s] of violence."
See
Nor is there anything in § 924(c)'s legislative history to indicate that Congress, in enacting § 924(c), gave the kind of focused consideration to potential sentencing implications in a case of this sort that the concurrence in
Harmelin
plainly thought that the Michigan legislature had given to the type of case presented there. Section 924(c) in its original form-before the statute was amended to add "drug trafficking crime[s]" as predicate offenses-was introduced as a floor amendment.
Simpson
v.
United States
,
The concern that Congress did not give focused consideration is not allayed by the text of § 924(c). Its use of the curious "second or subsequent" phrase hardly reveals that Congress must have foreseen a result such as this one in amending the statute to encompass defendants who were involved not in committing "crimes of violence" but only in inchoate drug offenses. Anti-Drug Abuse Act of 1986, Pub. L. No. 99-570,
The Supreme Court in
Deal
did finally reject the view of some lower courts-and the four dissenters in that case,
Moreover, unlike the scheme at issue in
Harmelin
, § 924(c) subjects offenders to mandatory life-without-parole sentences even for predicate drug offenses that-like ones for conspiracy-are inchoate. Prosecutorial decisions about whether to treat a series of events as part of one conspiracy or as multiple discrete offenses, however, can lead to wildly different sentencing outcomes under § 924(c), even though comparable conduct has occurred and is being punished.
Cf.
Deal
,
Thus, this sentencing regime is very different from the one at issue in
Harmelin
, in which the state legislature "mandated the penalty" for a discrete drug possession crime.
I am troubled that the "forever" sentence that results from such charges must be upheld on the basis of only the abstract and highly deferential threshold inquiry that Harmelin limits us to undertaking. And yet, under that constricted inquiry, judges have no choice but to approve mandatory "forever" sentences under § 924(c) so long as they can hypothesize a rational reason for the legislature to have thought that the underlying criminal conduct was as serious as the large-quantity drug possession at issue in Harmelin .
Simply put, it is one thing to uphold such a sentence for the drug-related conduct at issue here on the basis of a limited and abstract threshold inquiry when that sentence has been legislatively "calibrated with care, clarity, and much deliberation to address a most serious contemporary social problem."
Harmelin
,
B.
There is a second reason for my concern about applying the constricted form of the analysis that the
Harmelin
concurrence requires in this case.
Harmelin
was decided at a time at which, on the concurrence's own account, a state was trying out a new means of responding to a serious crime problem that was causing great concern.
But, here, we are considering a federal statutory sentencing mandate. And that mandate bears none of the hallmarks of considered experimentation, undertaken as a means of fashioning a bold, if untried, response to a new and vexing problem. In fact, this mandate's dramatic sentencing consequences result in significant part from a judicial construction of a much debated statutory phrase-"second or subsequent"-that was the subject of seemingly little discussion in Congress.
Moreover, we are reviewing that mandate's proportionality at a time when decades have passed since the Supreme Court first considered Michigan's arguably similar approach to combating the drug scourge through the imposition of mandatory life-without-parole sentences. Yet, during those intervening years, virtually no other jurisdiction has seen fit to follow suit. Indeed, if anything, the trend lines are moving in just the opposite direction.
See
Bullock
, 485 N.W.2d at 877 ;
cf.
Graham
,
Thus, for this reason, too, the concerns that appear to have animated the
Harmelin
concurrence's conclusion that a real-world comparative inquiry was not properly undertaken in that case do not appear to me to be present here. Rather, in a case like this, it seems to me that there is good reason for courts to undertake the holistic review that the dissenters in
Harmelin
understood
Solem
to require but that the
Harmelin
concurrence determined was not needed to review a mandatory life sentence that a state's legislature was thought to have required as a "bold experiment" to address the drug problem.
Harmelin
,
C.
These two concerns about applying the Harmelin concurrence's gloss on the Solem inquiry to this context are reinforced, in my view, by two lines of Supreme Court precedent that have developed since Harmelin was decided. I briefly describe each in turn.
First, in
Alleyne
v.
United States
,
The concurrence in Harmelin did not have the benefit of Alleyne . But, insofar as Alleyne indicates that the focus must be on the least of the conduct criminalized in evaluating a sentence's proportionality, the potential consequences of following the Harmelin concurrence's extremely deferential approach in the context of § 924(c) become even more concerning.
Consider in this regard that, seemingly contrary to
Alleyne
's logic, the
Harmelin
concurrence reasoned that the sentence there at issue was not disproportionate because Harmelin "possessed" 672.5 grams of "undiluted cocaine" as well as assorted drug paraphernalia,
The offense in that case, however, actually held Harmelin criminally liable merely because he "possessed" 650 grams of a "mixture containing" cocaine,
Still, there is no doubt that the Michigan legislature did intend to mandate a life-without-parole sentence for even that "mixture" crime, given how clearly the statute at issue set forth that penalty scheme. By contrast, it is less clear to me that Congress would have been fully aware of just how minimal the conduct could be that would result in a "forever" sentence under § 924(c). As I have explained, § 924(c)'s scope is notoriously ambiguous, the statute encompasses even inchoate crimes, and it requires the "stacking" of mandatory sentences even for related conduct that results in multiple convictions at a single trial due to a prosecutorial choice to divvy up the conduct. Thus, in light of how Alleyne suggests proportionality review must now proceed, there is additional reason to doubt that Congress, in enacting this sentencing regime, contemplated the full implications of its mandate, even if that mandate does encompass a range of cases involving more serious conduct that Congress no doubt had in view.
The second line of post-
Harmelin
cases that I have in mind further gives me pause about applying the
Harmelin
concurrence's
more limited form of
Solem
review here. This line of precedent has resulted in the invalidation under the Eighth Amendment of life-without-parole sentences for juveniles.
Miller
,
Those cases, of course, are by no means controlling here. But, in them, the Court has emphasized in a way that it had not previously-and thus in a way that it had not when Congress enacted § 924(c) -that life sentences without the possibility of parole raise special constitutional concerns.
In particular, the Court has explained that such sentences constitute some of the "most severe punishments" that society imposes.
Miller
,
[S]hare some characteristics with death sentences that are shared by no other sentences .... [T]he sentence alters the offender's life by a forfeiture that is irrevocable. It deprives the convict of the most basic liberties without giving hope of restoration .... [A] life without parole sentence ... means denial of hope; it means that good behavior and character improvement are immaterial; it means that whatever the future might hold in store for the mind and spirit of [the convict], he will remain in prison for the rest of his days.
Graham
,
It may be that, even despite these strong statements, the Eighth Amendment is still best understood to permit Congress to mandate, even for conduct like Rivera's that resulted in no bodily harm, that "whatever the future might hold" for him, he must "remain in prison for the rest of his days."
But, at least in a case involving a sentence this harsh for crimes of this type, one would think that such deference would stem from confidence that the legislature has in fact made a considered penal judgment to impose such an unforgiving sentence and from careful consideration of the way in which offenders more generally are punished for comparable or even worse conduct. For such confidence and consideration would ensure that judges in deferring to a legislative judgment are recognized to be engaged in an understandable, rather than an unforgivable, means of carrying out their duty to say what the constitutional prohibition against "cruel and unusual" punishment is.
Thus, in light of the concerns that the Court has recently expressed about the imposition of life-without-parole sentences, I do not see how the kind of abstract review that is contemplated under the first Solem criterion-and that the Harmelin concurrence requires us to treat as dispositive here-can suffice to permit us to determine whether Rivera's sentence is grossly disproportionate under the Eighth Amendment. In my view, a comparative assessment, grounded in actual legislative practice, should be required to inform the judge's assessment of proportionality in such a case.
Such a requirement would prevent judges from simply substituting their own preferences for legislative ones in evaluating whether a mandatory life-without-parole sentence is cruel and unusual. Such a requirement would also ensure that the judicial assessment of a mandatory life-without-parole sentence for drug-related offenses of the sort at issue here does not unduly discount the defendant's Eighth Amendment right to be protected from grossly disproportionate punishment.
IV.
Rivera faces the longest and most unforgiving possible prison sentence for conduct that, though serious, is not of the most serious kind. He does so not because the legislature had authorized its imposition and a judge had then considered all of the aggravating and mitigating circumstances and determined that this sentence was appropriate. He does so only because Congress has been deemed to have made a blanket judgment that even an offender like Rivera-who has no prior criminal record and whose series of related crimes resulted in no harm to an identifiable victim-should have no hope of ever living free. And he does so even though virtually every comparable jurisdiction punishes comparable criminal conduct less harshly, and even though the federal government itself punishes nearly the same or seemingly worse conduct more leniently.
Almost three decades have now passed since the concurring Justices in Harmelin concluded, without reference to real-world comparative benchmarks, that the Eighth Amendment afforded the Michigan legislature the scope to try out what at the time was viewed as a permissible sentencing experiment to address a newly concerning crime problem. In those intervening decades, virtually no jurisdiction has been willing to replicate that state's experiment. In fact, even the state that the Harmelin concurrence permitted to try it has abandoned it. And yet the Harmelin concurrence still controls.
In my view, a consequence as grave as the one that Harmelin requires in a case like this should have the imprimatur of more than only a nearly three-decade old, three-Justice concurrence. I thus urge the Supreme Court to consider whether the Eighth Amendment permits, at least in a case such as this, the mandatory stacking of sentences under § 924(c) that-due to their cumulative length-necessarily results in the imposition of a mandatory sentence of life without parole.
LIPEZ, Circuit Judge , statement regarding the denial of rehearing . In voting to deny panel rehearing, I express my agreement with the concurring statement issued by my colleagues in denying appellant's petition for en banc review.
Rivera was indicted for six counts of violating
The first trial concerned the charges arising out of five of the six fake drug transactions, including five of the § 924(c) counts.
Id.
;
United States
v.
Rivera-Ruperto
,
Rivera appealed both of his convictions.
Id.
;
Rivera-Ruperto II
,
Among the individualized factors that the sentencing judge could have considered if he had the discretion to do so are the fact that, although Rivera was caught up in a sting designed to catch corrupt police officers, he was himself not a police officer,
Rivera-Ruperto II
,
United States
v.
Abbott
,
In both
Rivera-Ruperto II
and
Rivera-Ruperto I
, Rivera challenged the cumulative length of his sentence-161 years and ten months (of which 130 years stem from his § 924(c) convictions)-as disproportionate under the Eighth Amendment.
Rivera-Ruperto I
,
Prior to
Rummel
, in
Weems
,"the Court had struck down as cruel and unusual punishment a sentence of
cadena temporal
imposed by a Philippine Court. This bizarre penalty, which was unknown to Anglo-Saxon law, entailed a minimum of 12 years' imprisonment chained day and night at the wrists and ankles, hard and painful labor while so chained, and a number of 'accessories' including lifetime civil disabilities."
Solem
v.
Helm
,
As a result of the length of Rivera's sentence, I do not address how long a sentence imposed on an adult defendant must be in order for that sentence to be one that necessarily constitutes a life sentence. There can be no question, after all, that a sentence of more than one hundred years is properly considered to be a life sentence for any adult defendant, no matter that defendant's age at sentencing.
Prior to
Solem
, the Court had arguably adopted a much stricter test for determining whether a sentence might run afoul of the Eighth Amendment due to its length alone. In upholding the life sentence with parole in
Rummel
, the Court explained that there were serious concerns about judicial line-drawing presented by challenges to the proportionality of sentences based on the number of years a defendant had been sentenced to imprisonment for a particular offense.
Rummel
,
The Court had no occasion to do so, as none of the defendant's offenses were drug related and the statute at issue in
Solem
imposed a mandatory life sentence on those convicted of multiple felonies-including drug-related felonies-if "one or more of the prior felony convictions was for a crime of violence."
To be precise, while two of Rivera's co-defendants participated in two transactions with Rivera, no defendant, other than Rivera himself, was present at all six transactions in which Rivera participated.
Rivera was not the only defendant caught up in this FBI sting to have been exposed to a much longer sentence due to how this quirk of conspiracy law interacts with § 924(c).
See e.g.
,
United States
v.
Diaz-Castro
,
I note that, not long after Rivera was arraigned, the government made him a plea offer of fourteen years' imprisonment for all of his charged offenses. After negotiations, the government then agreed to reduce the offer to twelve years. Rivera rejected that offer, however, and proposed a counteroffer of eight years instead, which the government declined to accept. Later, the government renewed its twelve-year offer, but Rivera again rejected it.
Rivera-Ruperto II
,
The large majority of circuits apply this same rule.
Rodriguez
,
In Rivera's case, an FBI agent handed him the bag that held the sham cocaine for him to weigh, thus ensuring that "[i]n every transaction ... he held the [sham cocaine] in his hands."
The only present exceptions of which I am aware appear to be Alabama,
see
Ala. Code § 13A-12-231(2)(d) (a person convicted of possession of over ten kilograms of controlled substance shall be imprisoned for life without parole);
see also
Alabama Bd. of Pardons & Paroles
v.
Smith
,
Article 3 of the European Convention on Human Rights states: "No one shall be subject to torture or to inhuman or degrading treatment or punishment." We note that, even prior to
Vinter
's ruling regarding Article 3, nine nations within the jurisdiction of the ECtHR allowed no life sentences at all.
Vinter
, 2013-III Eur. Ct. H.R. at 338. Of those that did, the majority had mandatory mechanisms to review such sentences after a fixed number of years, and only five had any provision at all for life sentences without the possibility of release.
I acknowledge that crafting a remedy in this case would not be without difficulty. Rivera's more-than-a-century-long sentence was imposed pursuant to § 924(c)'s consecutive sentences requirement, which raises challenges about how it could be rendered constitutional without producing arbitrary results. And these challenges are aggravated by the fact that Rivera was sentenced at one trial based on five of the § 924(c) convictions (when he was thirty-nine years old) and sentenced at a separate trial for the sixth conviction. Nevertheless, as Justice White's dissent in
Harmelin
made clear, post-
Solem
, in the rare cases in which a sentence violates the Eighth Amendment due to its length, courts can vacate the sentence and remand for resentencing as a remedy.
See
Harmelin
,
Other post- Solem Supreme Court cases do address the proportionality of life sentences. However, only Harmelin has ever upheld the mandatory imposition of such a sentence for a comparable crime where there was no possibility of parole.
A majority of the Supreme Court has not in any clear way embraced the reasoning of the
Harmelin
concurrence. Certainly
Graham
had no occasion to do so.
Graham
invalidated the life-without-parole sentence imposed on a juvenile under a special variant of the Eighth Amendment's proportionality test that applies when a sentencing practice, rather than a sentence in a particular case, is being challenged as disproportionate in all cases.
The
Harmelin
concurrence read
Rummel
as helpful to its position.
Harmelin
,
Harmelin
noted that in
Solem
the Court contrasted the "minor" offenses for which the defendant had been convicted with "very serious offenses," such as "a third offense of heroin dealing," and stated that "[n]o one suggests that [a statute providing for life imprisonment without parole] may not be applied constitutionally to fourth-time heroin dealers or other violent criminals."
Harmelin
,
I note that I read the
Harmelin
concurrence to equate its conclusion that Michigan had a rational basis for deciding the defendant's drug-related conduct was as serious as the offense of felony murder with no intent to kill with its ultimate conclusion that the sentence that Michigan imposed for that conduct does not even give rise to an inference that such a sentence was grossly disproportionate.
See
Harmelin
,
The Court's post-
Harmelin
affirmances in
Ewing
and
Lockyer
of mandatory twenty-five-year-to-life sentences with the possibility of parole under California's three strikes law offer little guidance here. Unlike in
Ewing
or
Lockyer
, we are dealing in this case with an offender with no prior criminal history.
Ewing
, 538 U.S. at 20,
I note that
Ewing
also emphasized the focused and deliberative nature of the judgment that the California legislature had made in imposing the severe sentence required under that regime for recidivist offenders, by determining that "individuals who have repeatedly engaged in serious or violent criminal behavior, and whose conduct has not been deterred by more conventional approaches to punishment, must be isolated from society in order to protect the public safety."
Ewing
, 538 U.S. at 24,
There is a large body of case law interpreting the uncertainties inherent in § 924(c). For example, even as it relates solely to drug crimes, courts of appeals have grappled with what constitutes a "drug trafficking crime,"
see
Cazarez-Gutierrez
v.
Ashcroft
,
In a post-
Harmelin
case in which the Court has addressed the proportionality of a life sentence, albeit one with the possibility of parole, the Court again emphasized that state legislatures have "broad discretion" over sentence length.
Lockyer
, 538 U.S. at 76,
As discussed above,
see
infra at 32-33, part of the reason Rivera was exposed to this "forever" sentence is that, due to a quirk of his case, his course of conspiratorial conduct could only be encompassed fully by charging him with many discrete conspiracy offenses rather than by charging him with having been a participant in a single overarching and extended conspiracy.
See
Portela
,
Nor is my concern about how considered the congressional judgment was for conduct like that at issue in this case diminished by the fact that Rivera's § 924(c) convictions were predicated not only on his underlying conspiracy convictions but also on his underlying convictions for attempted possession with the intent to distribute a substance containing a detectable amount of cocaine. As I have explained, see infra at 32-34, it is hard to credit the notion that Congress made a considered judgment that an armed participant in an extended drug conspiracy who touches the cocaine-bearing substance in each transaction must be imprisoned for the rest of his life, while an armed member of the conspiracy who serves as a lookout as to each transaction only warrants a five-year prison sentence under § 924(c), as such a conspirator would receive if he were charged and convicted of being a participant in that single, extended conspiracy.
Reference
- Full Case Name
- UNITED STATES, Appellee, v. Wendell RIVERA-RUPERTO, A/K/A Arsenio Rivera, Defendant, Appellant.
- Cited By
- 4 cases
- Status
- Unknown