Stoney Lester v. United States
This text of 921 F.3d 1306 (Stoney Lester v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eleventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Opinion
BY THE COURT:
A petition for rehearing having been filed and a member of this Court in active service having requested a poll on whether this case should be reheard by the Court sitting en banc, and a majority of the judges in active service on this Court having voted against granting a rehearing en banc, it is ORDERED that this case will not be reheard en banc.
WILLIAM PRYOR, Circuit Judge, respecting the denial of rehearing en banc:
A majority of the Court has voted not to rehear this appeal en banc to reconsider whether a subset of federal prisoners classified as career offenders under the United States Sentencing Guidelines can seek resentencing on collateral review based on the void-for-vagueness doctrine explicated in
Johnson v. United States
, --- U.S. ----,
Our published order
In re Griffin
,
Griffin
and
Matchett
speak for themselves as to the first holding, but I write in response to Judge Martin's statement respecting the denial of rehearing en banc to explain that
Griffin
's second holding must be correct. In brief,
Johnson
was a substantive decision that entitled prisoners sentenced under the residual clause of the Armed Career Criminal Act to relief because it made clear that the law had never authorized their convictions and sentences. By contrast, a new rule extending
Johnson
to set aside pre-
Booker
career-offender sentences-all of which fall within the substantive statutory ranges prescribed by
Congress-would require only the procedural formality of a resentencing in which the district court would have the power to impose exactly the same sentence as before. Such a rule, as we concluded in
Griffin
, would not be substantive.
See
I divide my discussion in three parts. First, I explain that the rationale underlying the retroactivity of substantive rules is that courts lack the authority to enter a judgment of conviction or impose a sentence the substance of which the law does not authorize, and I explain that the new rule that Judge Martin's statement advocates would not be substantive in this sense because the sentences it would invalidate were imposed within the statutory ranges established by Congress. Second, I explain that Judge Martin's counterargument cannot be squared with Booker . Third, I respond briefly to Judge Rosenbaum's statement.
A. The Retroactivity of Substantive Rules.
In
Teague v. Lane
,
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BY THE COURT:
A petition for rehearing having been filed and a member of this Court in active service having requested a poll on whether this case should be reheard by the Court sitting en banc, and a majority of the judges in active service on this Court having voted against granting a rehearing en banc, it is ORDERED that this case will not be reheard en banc.
WILLIAM PRYOR, Circuit Judge, respecting the denial of rehearing en banc:
A majority of the Court has voted not to rehear this appeal en banc to reconsider whether a subset of federal prisoners classified as career offenders under the United States Sentencing Guidelines can seek resentencing on collateral review based on the void-for-vagueness doctrine explicated in
Johnson v. United States
, --- U.S. ----,
Our published order
In re Griffin
,
Griffin
and
Matchett
speak for themselves as to the first holding, but I write in response to Judge Martin's statement respecting the denial of rehearing en banc to explain that
Griffin
's second holding must be correct. In brief,
Johnson
was a substantive decision that entitled prisoners sentenced under the residual clause of the Armed Career Criminal Act to relief because it made clear that the law had never authorized their convictions and sentences. By contrast, a new rule extending
Johnson
to set aside pre-
Booker
career-offender sentences-all of which fall within the substantive statutory ranges prescribed by
Congress-would require only the procedural formality of a resentencing in which the district court would have the power to impose exactly the same sentence as before. Such a rule, as we concluded in
Griffin
, would not be substantive.
See
I divide my discussion in three parts. First, I explain that the rationale underlying the retroactivity of substantive rules is that courts lack the authority to enter a judgment of conviction or impose a sentence the substance of which the law does not authorize, and I explain that the new rule that Judge Martin's statement advocates would not be substantive in this sense because the sentences it would invalidate were imposed within the statutory ranges established by Congress. Second, I explain that Judge Martin's counterargument cannot be squared with Booker . Third, I respond briefly to Judge Rosenbaum's statement.
A. The Retroactivity of Substantive Rules.
In
Teague v. Lane
,
In contrast to new procedural rules, "[n]ew
substantive
rules generally apply retroactively."
Id.
at 351,
Although it is common for courts to "refer[ ] to rules of this ... type as falling under an exception to
Teague
's bar on retroactive application of procedural rules," "they are more accurately characterized as substantive rules not subject to the bar."
Schriro
,
More than a century before
Teague
, the Supreme Court held that prisoners could use the writ of habeas corpus to challenge the substantive validity of their convictions and sentences. Traditionally, of course, the writ was unavailable to challenge mere error by the sentencing court. The habeas jurisdiction of the federal courts was subject to "limitations ... arising from the nature and objects of the writ itself, as defined by the common law."
Ex parte Siebold
,
In
Siebold
, the best known of a number of late-nineteenth-century decisions with similar rationales, the Court held that a prisoner's argument that his statute of conviction was unconstitutional did not exceed the limited scope of the writ. The Court reasoned that an unconstitutional statute "affects the foundations of the whole proceedings."
To be sure, the Court's reasoning in
Siebold
and in related decisions has had its doubters. Some jurists have argued that these decisions expanded the traditional concept of jurisdiction,
see, e.g.
,
Wright v. West
,
But whatever doubt there may be about the reasoning in
Siebold
and similar decisions, there should be no doubt that, as a historical matter, it supplied the rationale
for what we now know as the substantive "exception." When Justice Harlan explained that courts should not bar the retroactive application of new rules "that place ... certain kinds of primary, private individual conduct beyond the power of the criminal law-making authority to proscribe," he added-with specific reference to
Siebold
and kindred decisions-that "the writ has historically been available for attacking convictions on such grounds."
Mackey
,
Nor can there be any doubt that the substantive exception
continues
to rest on this jurisdictional rationale. In
Montgomery v. Louisiana
, the Court explained that "[b]y holding that new substantive rules are ... retroactive,
Teague
continued a long tradition." 136 S.Ct. at 730. The
Montgomery
Court illustrated that "tradition" with a detailed discussion of
Siebold
, which, it explained, had "addressed why substantive rules must have retroactive effect."
Id.
The Court explained that "the same logic"-that is,
Siebold
's jurisdictional rationale-"governs a challenge to a punishment" that the states lack "authority to impose."
Id.
at 731.
Montgomery
reaffirmed
Siebold
's rule that "[a] conviction or sentence imposed in violation of a substantive rule is not just erroneous but contrary to law and, as a result, void."
Id.
And, the Court reasoned, "[i]t follows ... that a court has no authority to leave in place a conviction or sentence that violates a substantive rule, regardless of [when] the conviction or sentence became final."
Id.
The Court's explanation in
Welch
of why
Johnson
is substantive-that because the residual clause of the Armed Career Criminal Act "is invalid," it cannot "mandate or authorize any sentence," 136 S.Ct. at 1265 -also would have been at home in any of the decisions in the
Siebold
family.
Cf., e.g.
,
Mills
,
The doctrinal pedigree and rationale of the substantive exception logically dictate its scope. The exception is based on the idea that a court has no authority to enter a judgment of conviction under a void statute or to impose a sentence not authorized by law. Necessarily, then, when a prisoner's conviction is supported by a valid statute and his sentence
is
authorized by law, the substantive exception cannot apply.
Cf.
Lockhart v. Fretwell
,
From this understanding of the substantive exception, it follows that the exception does not apply to pre-
Booker
sentences under the Guidelines. Every sentence that has ever been imposed under the Guidelines-either before or after
Booker
-falls within the statutory range of punishment
prescribed by Congress for the defendant's offense.
See
Mistretta v. United States
,
Take Stoney Lester as an example. Lester pleaded guilty in 2003 to distributing more than five grams of crack cocaine, an offense with a statutory range of five to 40 years of imprisonment.
See
To look at the same idea from a different angle, consider the result if Lester or a similarly situated prisoner prevailed in a vagueness attack on the career-offender sentencing Guideline. A successful vagueness challenge would establish only that the district court improperly relied on an unacceptably unclear directive in arriving at the prisoner's sentence. But it would not in the slightest establish that the district court lacked the authority to impose the substantive sentence at which it arrived. On the contrary, as
Griffin
observed, the district court could impose exactly the same sentence on remand after the appellate court corrected its error.
B. The "Mandatory Guidelines" and Booker.
Judge Martin's statement responds that this reasoning "fundamentally misunderstands how the mandatory Guidelines worked" because it ignores that, before Booker , "the shortest sentence the District Court was legally allowed to give [Lester]" "[o]nce categorized as a career-offender" was greater than "the longest sentence he could have received if not deemed a career offender." Statement of Martin, J., at 48. The argument is not expressly framed in terms of whether the district court had the substantive authority to impose Lester's sentence, but to translate it into those terms is easy enough. In this view, it does not matter to retroactivity that the district court could sentence a pre- Booker career offender like Lester to the same term of imprisonment today . See id. at 49. Instead, the critical point is that-without the career-offender provision-it lacked the substantive authority to impose the sentence then , in the pre- Booker era when the Guidelines dictated what sentences were "legally allowed." Id. at 48; see also id. at 38-40.
This response contains an important internal tension. In Judge Martin's account, the putative unconstitutionality of the career-offender Guideline, which her statement contends was established by the Supreme Court's 2015 decision in Johnson , must "relate back" to the time of Lester's sentencing in 2003; otherwise, there would be no ground to argue that Lester's sentence was substantively invalid. But the advisory nature of the Guidelines, which was established by the Supreme Court's 2005 decision in Booker , must not relate back to Lester's sentencing. If Booker 's construction of the Guidelines' legal status was the correct view of the law at the time of Lester's sentencing, then the "mandatory Guidelines" did not exist in a legal sense, did not limit the district court's discretion to choose an appropriate sentence within the statutory range, and did not render his actual sentence substantively invalid.
The premise that the Sentencing Guidelines were in the strictest sense legally binding before
Booker
pervades Judge Martin's statement. As her statement puts it, "[u]nder the mandatory Guidelines, federal district courts were bound by law to impose sentences within the guideline range."
Id.
at 38,
This manner of speaking, of course, is by no means peculiar to Judge Martin. Virtually all of us are in the habit of distinguishing, in one way or another, between the "mandatory Guidelines" that operated before
Booker
and the "advisory Guidelines" that have operated since.
See, e.g.
,
Matchett
,
Purely as a description of judicial doctrine and practice, this language makes sense.
Cf.
Oliver Wendell Holmes,
The Path of the Law
,
But even if our idioms adequately describe judicial practice, they may be erroneous or inadequate in other respects. And we must be careful not to let the imprecision of our language control our reasoning. "[W]ords are wise men's counters, they do but reckon by them; but they are the money of fools." Thomas Hobbes, Leviathan 19 (Edwin Curley ed., Hackett 1994 [1651] ).
In particular, we should be mindful of the difference between a change in judicial doctrine and a change in law. This distinction,
although sometimes easy to overlook, is fundamental. Without distinguishing between judges' understanding of the law and the law itself, we could not meaningfully say, for example, that a change in judicial doctrine "proved Mr. Lester's objection right and Eleventh Circuit case law wrong," Statement of Martin, J., at 33, nor could the Supreme Court meaningfully describe a past decision of its own as "wrong the day it was decided,"
Planned Parenthood of Se. Penn. v. Casey
,
So it can be misleading to say, as we often do, that "the Sentencing Guidelines were mandatory," Statement of Martin, J., at 31, and that the Supreme Court "made" them advisory in
Booker
. These idioms suggest that the Guidelines were once
really
mandatory as a matter of law and that they became advisory as a matter of law only after-and only because of-
Booker
. But that cannot be right. If
Booker
's effect was to change the essential legal status of the Guidelines from mandatory to advisory, then it must have been one of two things: either a legislative amendment that removed the textual command that courts apply the Guidelines as mandatory,
see
The Supreme Court wields judicial power, not legislative power.
See
U.S. Const. art. I, § 1 ;
Booker
established that the Guidelines are not mandatory through two holdings. First, the Court held that the statutory requirement of mandatory application of the Guidelines would violate the Sixth Amendment as applied whenever it resulted in a sentence greater than the maximum sentence that could be imposed based only on the facts reflected in a jury's guilty verdict or admitted by the defendant.
See
Booker
,
Although
Booker
radically changed judicial
doctrine
with respect to the Guidelines, neither of its holdings was the equivalent of a legislative or constitutional amendment to the substance of the
law
. As far as the constitutional holding is concerned, this point should be obvious: "Constitutional invalidity of federal statutes ... is produced by the Constitution itself, not by the order of a court." John Harrison,
Severability, Remedies, and Constitutional Adjudication
,
Booker
's severability conclusion is no different. As the Supreme Court and commentators have long acknowledged, severability is fundamentally "an exercise in statutory interpretation."
Murphy v. Nat'l Collegiate Athletic Ass'n
, --- U.S. ----,
held invalid that the section cannot stand alone"). It is because severability issues are interpretive questions that courts answer them by using the same kinds of tools that are applied to other issues of statutory construction,
see, e.g.
,
Alaska Airlines, Inc. v. Brock
,
The interpretive character of severability holdings-
Booker
's included-also means that they cannot be understood as if they
changed
the law in the manner of a legislative amendment. As Justice Scalia once observed, even if it sometimes right to say that "judges in a real sense 'make' law," we must not forget that "they make it
as judges make it
, which is to say
as though
they were 'finding' it-discerning what the law
is
, rather than decreeing what it is today
changed to
, or what it will
tomorrow
be."
James B. Beam Distilling Co. v. Georgia
,
So, our usual figures of speech notwithstanding, it follows from the holdings in
Booker
that the Guidelines were
never
really mandatory-not as a matter of law. To be sure, an act of Congress instructed that the sentencing court "shall impose a sentence of the kind, and within the range," defined in the Guidelines,
The district court
did
err when it sentenced Lester, but the error was not imposing an illegal sentence under a mandatory, but unconstitutionally vague, sentencing Guideline. Instead, its error-an error that also happened to be shared by every other district court at the time-was treating the career-offender Guideline as mandatory in the first place. To be sure, that was an error of "constitutional significance," as
Booker
confirmed. Statement of Martin, J., at 49. But it was a
procedural
constitutional error, not a substantive one.
See
Varela v. United States
,
That job is reserved for substantive rules, and, in the light of Booker , Johnson cannot possibly have established that the district court lacked the substantive authority to impose Lester's sentence. If the sentencing court had known what Booker later clarified to be the correct understanding of the law, it would not have recognized that, "[b]y law, the longest sentence [Lester] could ... receive[ ] ... was 151 months." Id. at 48 (emphasis omitted). Instead, Johnson or no Johnson , it would have recognized that it was "legally allowed," id. , to impose any sentence within the statutory range of five to 40 years-just as it could if it sentenced Lester today.
Of course, we do not know what sentence Lester would have received if the district court had been aware of what Booker later held. But all we need to know is whether his sentence was within the substantive authority of the district court at the time it was imposed. And it clearly was. So Griffin was absolutely right to hold that a new rule extending Johnson to set aside pre- Booker sentences based on the career-offender Guideline would not be substantive and would not apply retroactively to cases on collateral review.
C. Judge Rosenbaum's Statement.
Judge Rosenbaum's statement responds to my argument in three parts. The first and second parts fail to engage with my argument. And the third part propounds a doctrine of judicial lawmaking that contradicts Marbury 's rationale for judicial review.
The first part of Judge Rosenbaum's statement quarrels with my account of the substantive exception. I am not sure Judge Rosenbaum's belief that the exception concerns equally
ultra vires
action by any branch, not just the judiciary, can be squared with basic habeas principles or with the precedents-all of which stress the sentencing "court['s] lack[ ] [of] power to exact a penalty that has not been authorized by any valid criminal statute,"
Welch
, 136 S.Ct. at 1268 ;
accord
Siebold
,
The second part of Judge Rosenbaum's statement identifies the heart of my argument, but it offers no meaningful response. I have said that statements like "
Booker
made the Guidelines advisory" are ubiquitous but not precisely accurate. Judge Rosenbaum's statement responds only by confirming that they are ubiquitous but makes no effort to refute my point that they are imprecise.
See
id.
at 58-60. I have said that courts used to treat the Guidelines as mandatory but that, as
Booker
held, they committed legal error by doing so. Judge Rosenbaum's statement responds only by insisting that courts used to treat the Guidelines as mandatory.
See
id.
at 60. Her statement's flotilla of quotations from the United States Reports,
see
id.
at 58-59, ignores, first, that
Booker
held that the literal sense of those statements is false and, second, that courts routinely describe the terms and intended effects of statutes
as if
they were valid even as they hold the opposite.
See, e.g.
,
Murphy
,
Only the third part of Judge Rosenbaum's statement is responsive, but unfortunately it fumbles the basic tenets-one might even say the metaphysics-of judicial review. Before
Booker
, it tells us, "
Judge Rosenbaum's statement continues: "[T]he Court's change effectively excised the Guidelines' mandatory language from the United States Code." Statement of Rosenbaum, J., at 62. The word "effectively" bears the whole weight of this sentence. Section 3553(b)(1) 's mandatory language is still there in the Code.
See
It follows that the correct application of the Guidelines has always been advisory-even for offenders, like Stoney Lester, convicted before
Booker
. And it follows from
that
that the substantive exception would not apply to a new rule extending
Johnson
to set aside Lester's sentence and others like it. Understanding the law on this point requires no familiarity with "the laws of physics" or "the space-time continuum." Statement of Rosenbaum, J., at 60. It instead requires only the humility that comes with appreciating the modest role
that the federal judiciary performs in our constitutional system: "to say what the law is," not what it should be.
Marbury
,
MARTIN, Circuit Judge, joined by ROSENBAUM and JILL PRYOR, Circuit Judges, respecting the denial of rehearing en banc:
In 2004, Stoney Lester was sentenced in the Middle District of Georgia to almost 22 years in prison for possessing more than five grams of cocaine. This long sentence was required by law at the time because the sentencing court had to treat Mr. Lester as a "career offender" under the then-mandatory United States Sentencing Guidelines. The Eleventh Circuit's binding precedent required the sentencing judge to count Mr. Lester's past conviction for walkaway escape as a "crime of violence" under a provision of the career-offender guideline known as the "residual clause." U.S.S.G. § 4B1.2(a) (2003). If Mr. Lester had not been sentenced as a "career offender," his term of incarceration would have been at least nine years shorter.
About eleven years after he was sentenced, the Supreme Court invalidated the residual clause of the Armed Career Criminal Act.
Johnson v. United States
, 576 U.S. ----,
So too with Mr. Lester's § 2255 petition. Our Court denied him relief based on our precedent in
In re Griffin
,
I understand that Mr. Lester is a free man today. Dkt. No. 44,
Lester v. Wilson
, Case No. 1:12cv681-LO-JFA,
I asked the Court to withhold the issuance of the mandate in Mr. Lester's case, in hopes that we could correct what I see as two errors in In re Griffin . First, I believe In re Griffin erroneously held that the mandatory Guidelines are not subject to vagueness challenges. Second, I think In re Griffin was wrong to say that Johnson does not apply retroactively in mandatory Guidelines cases. This Court declined to take up either issue. In making that decision, the Court also denied Mr. Lester all relief.
I wrote a dissent from the denial of en banc rehearing to express my disagreement with Griffin . But since Mr. Lester has won his freedom, there is no longer a need for en banc review of his case. Still, I am mindful that Mr. Lester is breathing free air solely because of a happenstance administrative decision to move him to a prison in the Eastern District of Virginia, together with his savviness in filing a § 2241 petition while he was there. Failing either one of these things, Mr. Lester would have been required to serve six more years in prison. His case is a testament to the arbitrariness of contemporary habeas law, where liberty can depend as much on geography as anything else. It also illustrates how limited is relief for the thousands of inmates sentenced within the Eleventh Circuit and whose sentence Johnson affected.
Not all inmates will be moved out of this Circuit. Also, Griffin continues to stand as binding precedent in this Circuit. For these reasons I take this opportunity to review why I believe the opinion in In re Griffin is mistaken.
I.
In 2004, Mr. Lester pled guilty to possession with intent to distribute more than five grams of crack cocaine. At that time, the Sentencing Guidelines were mandatory,
see
United States v. Booker
,
Mr. Lester's long sentence resulted from the District Court's finding that he was a "career offender" as that term was then defined in the Guidelines.
See
U.S.S.G. § 4B1.1 (2003). The career-offender provision required longer sentences for defendants sentenced for a "crime of violence" or a "controlled substance offense," and who in addition have two past convictions that are either a "crime of violence" or "controlled substance offense."
1
In light of his career-offender status, Mr. Lester was assigned an offense level of 34 and a criminal history category of VI. This yielded a guideline range of 262 to 327 months. U.S.S.G. chap. 5, pt. A. At the time, the District Court had no discretion to sentence Mr. Lester outside of this range. If (as we now know should have been the case) Mr. Lester had not been designated a career-offender, he would have had an offense level of 30 and a criminal history category of III, which together yield a guideline range of 121-151 months.
Over the years after his sentence was imposed, developments in the law proved Mr. Lester's objection right and Eleventh Circuit case law wrong. In 2009, the Supreme Court overturned the Eleventh Circuit rule that walkaway escape counts as a crime of violence.
Chambers
,
Then in 2015, the Supreme Court changed the law in a second way that made clear Mr. Lester's sentence resulted from not only a mistaken interpretation of the Guidelines, but an unconstitutionally vague Guideline provision as well.
Johnson
,
The constitutional problem with the residual clause is apparent in the application of what has become known as the categorical approach. When deciding whether a person's earlier criminal conviction counts as a violent felony under the ACCA residual clause, the Supreme Court instructed us not to look at what the defendant actually did.
See
Johnson
,
Johnson
"called into question the sentences of thousands of federal prisoners sentenced under ACCA and other, similarly worded statutes," including the career-offender guideline.
Ovalles v. United States
,
To correct an unlawful sentence, a prisoner may file a motion under
I think
Johnson
entitled Mr. Lester to relief. Yet in the Eleventh Circuit he gets none. Just as Mr. Lester was about to have his sentence reviewed, his efforts were halted by a decision this Court published a few days after he got permission to file his second or successive § 2255 motion.
In re Griffin
ruled that the mandatory Guidelines are not subject to vagueness challenges and, alternatively, that
Johnson
is not retroactive as applied in this context.
But Griffin was wrong in both its rulings, and it should not have stood in the way of Mr. Lester having his sentence corrected. 2 If it were not for the Fourth Circuit's intervention, Mr. Lester would still be in prison. Because Griffin will continue to bar relief to others like Mr. Lester, I will elaborate on how it erred.
II.
First,
Griffin
held that the mandatory Guidelines are not subject to vagueness challenges.
Supreme Court precedent amply establishes that the Guidelines were equivalent to law. The Supreme Court characterized the mandatory Guidelines as "the equivalent of legislative rules adopted by federal agencies."
Stinson v. United States
,
We know that in the mine-run case, if any given Guidelines provision-say, the career-offender provision-required a longer sentence, courts were legally bound to impose that longer sentence, just as they would be bound to follow the statutory provisions of ACCA. For that reason, the mandatory Guidelines must be subject to vagueness challenges in the same way regulations are.
E.g.
,
FCC v. Fox Television Stations, Inc.
,
United States v. Rutherford
,
Mr. Lester's case well illustrates why the mandatory Guidelines must give fair notice of the conduct they punish. If he had not been designated a career-offender, the law would not have permitted a sentence of higher than 151 months. Once he was designated a career-offender, however, the law did not permit the District Judge to impose a sentence of less than 262 months. The mandatory Guidelines established sentences in the same way ACCA does. Under ACCA, three prior qualifying convictions require a minimum fifteen-year sentence instead of a maximum ten-year sentence.
The statute that made the Guidelines mandatory did allow departures in limited circumstances. But this is not enough to insulate them from vagueness challenges. For one thing, "departures [were] not available in every case, and in fact [were] unavailable in most."
Booker
,
This Supreme Court precedent makes plain that the
Griffin
panel erred when it held the mandatory Guidelines are not subject to vagueness challenges.
See
III.
The
Griffin
panel also wrongly held that the rule established in
Johnson
does not apply retroactively to cases like Mr. Lester's for the reason that he was sentenced under the mandatory Guidelines, as opposed to ACCA.
Griffin
's recognition of the retroactive application of the
Johnson
rule for one statute, but not for others, is a novel approach I have not found elsewhere. Notably,
Griffin
cited no legal precedent that would allow us to parcel out retroactivity in this way.
See
In re Sapp
,
The Supreme Court does not ask in each case whether a new rule, as applied, would meet
Teague
's retroactivity standard. Instead, it analyzes whether the rule
itself
meets the retroactivity standard and then determines whether the petitioner can benefit from the rule.
See
Danforth v. Minnesota
,
Two cases make the point. In
Sawyer v. Smith
,
For another example, in
O'Dell v. Netherland
,
This Court's own precedent (
Griffin
aside) likewise treats rules as either retroactive or not.
E.g.
,
In re Hill
,
It is worth noting that this across-the-board approach to retroactivity emerged from a backlash to pre-
Teague
jurisprudence. Before
Teague
, the Supreme Court decided whether a new rule applied retroactively in any given collateral review case by weighing the purpose of the new rule, the reliance of the States on prior law, and the effect on the administration of justice of a retroactive application of the new rule.
See
Linkletter v. Walker
,
Perhaps worst of all, Griffin gave no explanation for its novel retroactivity holding. If this Court intends to intermittently apply rules retroactively, it should give the many habeas petitioners who come to us seeking relief an understanding of when a rule will apply retroactively to their case. This is particularly true where, as here, this Court does not intend to apply the rule after the Supreme Court has told us it applies retroactively. Will we do it case by case? Statute by statute? Griffin gives no answer to these questions.
IV.
Griffin
also indicates that
Johnson
should be treated differently for sentencing Guidelines, because in that context
Johnson
would merely "produce changes in how the sentencing procedural process is to be conducted."
Griffin
,
Mr. Lester's case is illustrative. By law, the
longest
sentence he could have received if not deemed a career offender was 151 months. Once categorized as a career-offender, however, the
shortest
sentence District Court was legally allowed to give him was 262 months. In effect, the mandatory Guidelines set minimum and maximum sentences.
Sapp
,
Neither is it an answer to say, as
Griffin
does, that
Johnson
's rule is simply procedural because Mr. Lester might receive the same sentence if he were resentenced
now under the advisory Guidelines. Judge William Pryor makes this argument as well. Pryor Statement, pp. 11-12. On remand a district court would resentence Mr. Lester under the
advisory
Guidelines, as opposed to the mandatory Guidelines, and this is a difference with constitutional significance.
See
Booker
,
What's more, the Supreme Court has taught us in other contexts that a rule is not procedural just because a court might impose the same sentence after resentencing. In
Montgomery v. Louisiana
, 577 U.S. ----,
V.
Mr. Lester should have been able to correct his 262-month career-offender sentence by a § 2255 motion in this Circuit, where he was sentenced. The residual clause in the mandatory Guidelines is unconstitutional for the same reasons it is unconstitutional in ACCA. There is simply no meaningful distinction between the two.
See
United States v. Brown
,
The relief Mr. Lester got from the Fourth Circuit highlights the limits this Court has placed on the Great Writ. His sentence was doubly infirm. He should not have been sentenced as a career offender. And his sentence was the product of an unconstitutionally vague Guidelines provision. The Fourth Circuit corrected the former error. If Mr. Lester had been convicted in the Seventh Circuit, that court would have corrected the latter. Eleventh Circuit precedent holds we have no power to do either.
I hoped our en banc Court would give Mr. Lester relief. Fortunately, the Court's decision not to do so did not stand in the way of his freedom. But it bears notice that our unwillingness to reconsider Mr. Lester's sentence will impact scores of inmates sentenced under the mandatory Guidelines in Alabama, Georgia, and Florida who have not been incarcerated outside of the Eleventh Circuit.
ROSENBAUM, Circuit Judge, joined by MARTIN and JILL PRYOR, Circuit Judges, respecting the denial of rehearing en banc:
I agree with Judge Martin's well-reasoned Statement respecting the denial of rehearing en banc. I write separately only to add a few points in response to Judge William Pryor's Statement respecting the denial of rehearing en banc ("Pryor Statement").
Section I of this dissent takes issue with the Pryor Statement's argument that prisoners sentenced under the pre- Booker 1 Guidelines can never state a successful Johnson 2 claim because Johnson 's rule is not retroactively applicable to them. As I explain, Johnson 's rule, in fact, is retroactively applicable to such prisoners since pre- Booker , prisoners wrongly sentenced under the career-offender guideline were subjected to higher mandatory-minimum sentences than they otherwise would have been. Section II explores the Pryor Statement's theory that the Sentencing Guidelines "were never really mandatory," Pryor Statement at 22, even though individuals sentenced during the two decades when courts applied the pre- Booker Guidelines-including the career-offender provision-remain in prison because of a sentencing regime that supposedly never was. And Section III shows how the Pryor Statement's theory that judicial opinions never change the law cannot be conceptually squared with the real effects of judicial opinions and the courts' role in our constitutional system.
The Pryor Statement asserts that Lester could not state a viable Johnson claim because Johnson is not retroactively applicable to cases where the career-offender guideline was applied pre- Booker . Pryor Statement at 22-23. It arrives at this incorrect conclusion by oversimplifying the "doctrinal pedigree and rationale of the substantive exception" that requires retroactivity. That oversimplification incorrectly causes the Pryor Statement to overlook the constitutional significance of wrongly applied mandatory-minimum sentences. Id. at 10.
In fact, as I have explained in
McCarthan v. Director of Goodwill Industries-Suncoast, Inc.
,
In
Johnson
, for example, Congress exceeded its authority by enacting an unconstitutionally vague law-the residual clause of the Armed Career Criminal Act ("ACCA")-"that fix[ed] the permissible sentences for criminal offenses."
Beckles v. United States
, --- U.S. ----,
The residual clause of the career-offender guideline, as employed under the pre-
Booker
regime, caused the same problem as the residual clause of the ACCA. First, the career-offender guideline mirrored the language of the ACCA's residual clause that the Supreme Court ruled unconstitutionally vague. And second, as Judge William Pryor has previously explained, when "Congress required sentencing courts to apply the Sentencing Guidelines and impose a sentence within the applicable guidelines range, it was reasonable to view the Guidelines as effectively setting minimum and maximum penalties that varied based on the circumstances of the offense and the characteristics of the offender."
United States v. Wright
,
So a defendant wrongly found to qualify for the career-offender guideline was subjected to a higher mandatory-minimum sentence than he would have been under the mandatory Guidelines regime, had the career-offender guideline not been applied. And that is a constitutional problem.
See
Alleyne v. United States
,
The Pryor Statement conveniently glosses over this constitutionally significant problem, diverting attention by focusing on the fact that the pre-
Booker
Guidelines did not cause defendants to be sentenced to higher maximum sentences than they would have been under the post-
Booker
Guidelines. But that defendants were not exposed to higher maximum penalties does not somehow render constitutionally insignificant the separate constitutional problem of "fix[ed]" higher mandatory-minimum sentences for defendants than were permissible under the pre-
Booker
regime.
See
Beckles v. United States
, --- U.S. ----,
The Pryor Statement has no answer to this problem. Instead, it conclusorily insists all that matters is whether the sentence that was actually imposed could have been applied under the substantive criminal statute for which the prisoner was convicted. But that ignores the fact that when a court applied the career-offender guideline during the mandatory Guidelines regime, the "legally prescribed range of available sentences" differed from what it would have been in the absence of the career-offender guideline during the mandatory Guidelines regime. In other words, it disregards the constitutional pickle created when Congress exceeded its powers in requiring, through
The Pryor Statement divorces the fact that Congress made all the Guidelines mandatory through
Perhaps for this reason, the Pryor Statement takes a second tack to argue prisoners incorrectly sentenced as career offenders pre- Booker have no cognizable § 2255 claim. In an unusual move, the Pryor Statement denies the reality that these prisoners were actually sentenced under a mandatory regime. It reasons that since the Supreme Court in Booker found that the mandatory Guidelines violated the Sixth Amendment, they "were never really mandatory," even though courts applied them that way for two decades. Pryor Statement at 22 (emphasis in original).
Hmm.
I doubt the perhaps 1,000-plus inmates 3 who sit in prison right now because a court sentenced them using a mandatory version of the Guidelines with an indisputably unconstitutionally vague career-offender clause would agree. 4
Nor does the Pryor Statement's conclusion that the Guidelines "were
never
really mandatory" comport with what the Supreme Court has had to say on the subject. On the contrary, the Court has bluntly explained that the pre-
Booker
Guidelines "b[ou]nd judges and courts in the exercise of their uncontested responsibility to pass sentence in criminal cases,"
Mistretta v. United States
,
Indeed, the Pryor Statement's conclusion today that the Guidelines "were
never
really mandatory" conflicts even with Judge William Pryor's own prior statements. Judge Pryor has previously described the Sentencing Reform Act of 1984 as "ma[king] the Guidelines mandatory."
Wright
,
Today, though, the Pryor Statement chalks these remarks up to a failure of linguistic precision and seeks to rewrite history. See Pryor Statement at 17. According to the Pryor Statement, the Booker Court did not make the Guidelines advisory because they were always advisory, since the Sixth Amendment never allowed them to be mandatory. Id. at 19. That is certainly interesting on a metaphysical level.
But it ignores reality. Back here on Earth, the laws of physics still apply. And the Supreme Court's invalidation of a law does not alter the space-time continuum. Indeed, there can be no dispute that from when the Guidelines were adopted in 1984 to when the Supreme Court handed down Booker in 2005, courts mandatorily applied them, as § 3553(b) required, to scores of criminal defendants-including many who still sit in prison because of them.
It's also a particularly mindboggling bit of judicial fiction to, in one breath, conclude that the Guidelines were always advisory, and in the next, withhold relief from individuals in Lester's circumstances by noting the advisory Guidelines do not apply retroactively because Booker is a procedural rule, even though, according to the Pryor Statement, the Guidelines always were advisory. Under the Pryor Statement's reasoning, the Guidelines were never mandatory, but to inmates like Lester, they will always be mandatory, since these prisoners remain subject to their punishment. This heads-I-win-tails-you-lose logic cannot withstand scrutiny.
Either the Guidelines were never mandatory, in which case, Lester and inmates like Lester would not have been sentenced under the mandatory regime or at least would not remain in prison because of the mandatory regime (a circumstance that is clearly not the case), or they were mandatory until Booker ruled they weren't, and inmates like Lester can mount Johnson challenges.
The last portion of the Pryor Statement that warrants a response is its theory that when Booker invalidated the mandatory nature of the Guidelines, that was really just a change in "judicial doctrine," but not "a change in law." Pryor Statement at 16. According to the Pryor Statement, the Supreme Court could not have made the Sentencing Guidelines advisory because the "Supreme Court wields judicial power, not legislative power" and therefore "has no power to amend the text or meaning of any statute ...." Id. at 17.
To be sure, the "Supreme Court wields judicial power, not legislative power" and therefore "has no power to amend the text or meaning of any statute." But that does not mean the Supreme Court's actions do not, in a very real sense, change the law. In my view, there are at least two problems with the Pryor Statement's line of thinking to the contrary: it ignores the reality of what happened in Booker , and it undermines the courts' constitutional power of judicial review.
First, I address what happened in
Booker
. When the United States went to sleep on January 11, 2005,
Despite the Supreme Court's express words, the Pryor Statement opines that though the Court may have "radically changed judicial
doctrine
," that change was not "equivalent" to a change in "the substance of the
law
." Pryor Statement at 19. Call it a change in doctrine, law, policy-pick the noun-but the reality will always be the same: the Court's change effectively excised the Guidelines' mandatory language from the United States Code, rendering what were once statutorily imposed mandatory Guidelines advisory. Importantly, the Court had a duty under the Constitution to make this change to our law because "[i]t is emphatically the province and duty of the judicial department to say what the law is."
Marbury v. Madison
,
Booker is a good example; one day the Guidelines were mandatory, and the next day they were not, solely because of the Supreme Court's opinion striking down § 3553(b)(1). So while we can pretend that the Supreme Court's decisions do not "change[ ] the law," Pryor Statement at 17, the reality is that in our constitutional system, sometimes they can and they do. And as I have noted, when that happens, those changes are just as valid under our constitutional system as if Congress had statutorily enacted them.
Finally, I must respond to Judge Pryor's charge that this Statement does not "say what the law is," but rather what I supposedly think "it should be."
See
Pryor Statement at 27 (quoting
Marbury
,
In short, Johnson 's rule applies retroactively when an unconstitutionally vague law results in the application of a fixed sentencing range that is higher than it otherwise would have been. Pre- Booker , when courts applied the career-offender guideline, that resulted in a higher mandatory minimum than otherwise would have pertained to a defendant under the mandatorily applied Guidelines. So Johnson 's rule applies to pre- Booker sentences that imposed the career-offender guideline based on at least one predicate conviction that qualified under only the unconstitutionally vague residual clause. Nor does the judicial fiction that the Guidelines "were never really mandatory" somehow erase the fact that they were applied in a mandatory way for more than 20 years. So if because of the residual clause, a prisoner was incorrectly sentenced under the career-offender guideline in the pre- Booker sentencing regime, he can establish a viable Johnson claim. And our Circuit precedent to the contrary is simply wrong.
Related
Cite This Page — Counsel Stack
921 F.3d 1306, Counsel Stack Legal Research, https://law.counselstack.com/opinion/stoney-lester-v-united-states-ca11-2019.