United States v. Frates
Opinion
LIPEZ, Circuit Judge.
Appellant David Frates pleaded guilty to one count of federal armed bank robbery, in violation of
Frates appeals this sentence, challenging his classification as a career offender, and alternatively asking us to vacate his sentence in light of a recently enacted amendment to the Guidelines. We find no error with the district court's application of the Guidelines. Nonetheless, we exercise our discretion under
United States
v.
Godin
(
Godin II
),
I.
This case arises at a peculiar moment in the history of the Sentencing Guidelines' career offender enhancement. That enhancement increases the sentencing ranges of certain defendants whose offense of conviction was "either a crime of violence or a controlled substance offense," and who have at least two such prior convictions. U.S. Sentencing Guidelines Manual § 4B1.1 (2016). At the time of Frates's sentencing in July 2016, the Guidelines defined the term "crime of violence" as follows:
The term "crime of violence" means any offense under federal or state law, punishable by imprisonment for a term exceeding one year, that-
(1) has as an element the use, attempted use, or threatened use of physical force against the person of another, or *96 (2) is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
The Guidelines' "crime of violence" definition mirrored the Armed Career Criminal Act's ("ACCA") definition of "violent felony."
In June 2015, the Supreme Court held that the residual clause of the ACCA's violent felony definition was unconstitutional.
Johnson
v.
United States
, --- U.S. ----,
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LIPEZ, Circuit Judge.
Appellant David Frates pleaded guilty to one count of federal armed bank robbery, in violation of
Frates appeals this sentence, challenging his classification as a career offender, and alternatively asking us to vacate his sentence in light of a recently enacted amendment to the Guidelines. We find no error with the district court's application of the Guidelines. Nonetheless, we exercise our discretion under
United States
v.
Godin
(
Godin II
),
I.
This case arises at a peculiar moment in the history of the Sentencing Guidelines' career offender enhancement. That enhancement increases the sentencing ranges of certain defendants whose offense of conviction was "either a crime of violence or a controlled substance offense," and who have at least two such prior convictions. U.S. Sentencing Guidelines Manual § 4B1.1 (2016). At the time of Frates's sentencing in July 2016, the Guidelines defined the term "crime of violence" as follows:
The term "crime of violence" means any offense under federal or state law, punishable by imprisonment for a term exceeding one year, that-
(1) has as an element the use, attempted use, or threatened use of physical force against the person of another, or *96 (2) is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
The Guidelines' "crime of violence" definition mirrored the Armed Career Criminal Act's ("ACCA") definition of "violent felony."
In June 2015, the Supreme Court held that the residual clause of the ACCA's violent felony definition was unconstitutional.
Johnson
v.
United States
, --- U.S. ----,
Not surprisingly, in the wake of
Johnson
, there were challenges to the constitutionality of the Guidelines' crime of violence definition. Most of the circuit courts to address the issue held that section 4B1.2(a)'s identically-worded residual clause was unconstitutionally vague.
See
United States
v.
Hurlburt
,
This "ongoing litigation and uncertainty resulting from the
Johnson
decision" prompted the United States Sentencing Commission to adopt an amendment eliminating the residual clause from the crime of violence definition. U.S. Sentencing Guidelines Manual supp. to app. C, Amend. 798. The amendment also moved some of the offenses listed in the commentary to section 4B1.2 into the body of
*97
section 4B1.2(a)(2).
Four months after Amendment 798 took effect, the Supreme Court rejected a void-for-vagueness challenge to the crime of violence definition's residual clause.
Beckles
v.
United States
, --- U.S. ----,
The result in Beckles creates a quirk for defendants (1) sentenced pursuant to section 4B1.2(a)'s residual clause prior to Amendment 798, and (2) whose appeals were pending when the amendment became effective. Although stricken by the Sentencing Commission, the residual clause remains valid as applied to them. Hence, they will be the last group subjected to the disfavored-yet constitutional-residual clause. This is the context in which Frates appeals his sentence.
II.
Frates asserts that neither his offense of conviction nor his prior convictions qualify as crimes of violence. As to his present conviction for federal armed bank robbery, he suggests that the crime does not fit within the force clause, and that we should remand to give the district court the opportunity to determine in the first instance whether the residual clause covers the crime. Regarding his prior convictions, he argues that his four Massachusetts unarmed robbery convictions do not count as crimes of violence under any of section 4B1.2(a)'s clauses, leaving him without the two requisite crimes of violence necessary to trigger the career offender enhancement. We address these contentions in turn.
A. Frates's Offense of Conviction
It is axiomatic that in determining whether a crime fits within the force clause, we look to the elements that comprise the offense, rather than the defendant's conduct in committing the crime.
See
,
e.g.
,
United States
v.
Ramos-González
,
The federal armed bank robbery statute, in relevant part, penalizes "[w]hoever, by force and violence, or by intimidation, takes, or attempts to take, ... any property or money ... belonging to ... any bank ...," and who, in committing such an offense, "assaults any person, or puts in jeopardy the life of any person by the use of a dangerous weapon or device."
Shortly after Frates filed his opening brief staking out these positions, we rebuffed identical arguments in
Ellison
,
Ellison
thus undermines Frates's assertion that federal armed bank robbery does not require the use, attempted use, or threatened use of force. Indeed, a conviction for federal unarmed bank robbery-at issue in
Ellison
-is a lesser included offense to federal armed bank robbery.
See
United States
v.
Spinney
,
B. Frates's Prior Convictions
The Massachusetts statute criminalizing unarmed robbery provides:
Whoever, not being armed with a dangerous weapon, by force and violence, or by assault and putting in fear, robs, steals or takes from the person of another, or from his immediate control, money or other property which may be the subject of larceny, shall be punished by imprisonment in the state prison for life or for any term of years.
Our precedent compels us to conclude that Massachusetts unarmed robbery is a crime of violence under the residual clause. In
United States
v.
De Jesus
, we held that the Massachusetts offense of larceny from the person qualified as a crime of violence under the residual clause.
Frates urges us to abandon this otherwise straightforward analysis and overrule De Jesus . He argues that De Jesus was based on the "ordinary case" method for determining whether an offense fits within the residual clause, and that Johnson rendered that methodology invalid. We disagree.
Under the ordinary case method, we assess whether the elements of the crime,
in the ordinary case
, "(1) present a risk of physical injury similar to the risk presented by the clause's enumerated offenses and (2) [are] similar 'in kind' to those offenses."
United States
v.
Holloway
,
Wurie thus undermines Frates's attempt to rely on Johnson to circumvent De Jesus . Instead, De Jesus remains controlling, and requires us to conclude that Massachusetts unarmed robbery is a crime of violence under the residual clause. As both Frates's offense of conviction and his prior unarmed robbery convictions were crimes of violence under the version of the Guidelines applicable at the time of his sentencing, the district court did not err in applying the career offender enhancement. 2
III.
Once we have concluded that a district court did not err in sentencing a defendant, it is ordinarily the end of the matter. In a narrow category of cases, however, we have discretion to vacate a correctly imposed *100 sentence and remand to allow the sentencing court to consider the United States Sentencing Commission's revised policy positions, as demonstrated by its subsequent amendment of the Guidelines. For the reasons detailed below, this is precisely the type of case in which exercising that discretion is warranted.
A. The Godin / Ahrendt Doctrine
Our discretion to remand in such situations derives from a pair of cases involving Amendment 709 to the Guidelines.
Godin II
,
Nonetheless, we vacated and remanded both of their sentences to give the district courts the opportunity to weigh the Sentencing Commission's revised policy as a discretionary factor in imposing sentence. Under the Commission's changed thinking, Godin and Ahrendt would have been subject to significantly lower guideline ranges. Godin had two prior burglary convictions for which she was sentenced on the same date.
Our decisions to vacate and remand in those cases were animated by two principal factors. The first involved the posture of the cases and the manner in which the Sentencing Commission chose to amend the Guidelines. In
Godin II
, we explained that "the posture of this case is peculiar: the amendment is not applicable retroactively, but neither has the pending appeal yet resulted in a final disposition."
The second factor that led us to vacate and remand in
Godin
and
Ahrendt
was the discretionary nature of the federal sentencing regime after
United States
v.
Booker
,
Three more recent cases provide guidance on when we will choose to exercise our discretion under the
Godin
/
Ahrendt
doctrine. The defendant in
United States
v.
Matos
,
We recently applied this reasoning from
Matos
in a case involving Amendment 798. In
Wurie
, we explained that it was unclear whether the defendant would have benefitted from the intervening amendment.
Lastly, we ordinarily will not use our discretion under the
Godin
/
Ahrendt
doctrine
*102
when the district court was aware of the proposed amendment at the time of the initial sentencing.
See
United States
v.
Adams
,
Godin II and Ahrendt thus establish a narrow doctrine that gives us discretion to vacate a defendant's sentence and remand when: (i) the Sentencing Commission adopts a substantive, non-retroactive amendment to the Guidelines; (ii) the amendment is adopted before the defendant's sentence becomes final on appeal; and (iii) the amendment would have lowered the defendant's guideline range if it had been in effect at the initial sentencing. However, we will ordinarily not exercise our discretion under Godin / Ahrendt when the district court's analysis on remand would be complex, or when the district court was aware of the amendment during the initial sentencing.
If we do remand a case pursuant to the Godin / Ahrendt doctrine, the district court is prohibited from recalculating the defendant's guideline range in light of the intervening amendment , lest it circumvent the Sentencing Commission's non-retroactivity determination. It may, however, consider the Commission's revised policy position in exercising its discretion to select an appropriate sentence for the defendant.
B. Vacating Frates's Sentence and Remanding for Resentencing
The facts of this case squarely implicate our Godin / Ahrendt doctrine, and counsel in favor of exercising our discretion to vacate Frates's sentence and remand to the district court. Amendment 798 is a substantive, non-retroactive amendment that the Sentencing Commission enacted while Frates's appeal was pending. If the amendment had been in effect at the time of Frates's sentencing, his guideline range would have decreased from 188-235 months' imprisonment to 92-115 months. Indeed, the government concedes that Frates's prior convictions for Massachusetts unarmed robbery would not qualify as crimes of violence under Amendment 798. 4
Given the government's concession, the sentencing process on remand will be "mechanistic," not complex.
Wurie
,
The government advances three primary reasons why we should nonetheless decline to vacate Frates's sentence and remand for resentencing. All three are unpersuasive. First, the government argues that a line from the Supreme Court's decision in
Dillon
v.
United States
,
The
Godin
/
Ahrendt
doctrine is entirely consistent with the Supreme Court's observation that the Sentencing Commission's retroactivity determinations are binding. Both
Godin II
and
Ahrendt
acknowledge that the Commission's pronouncement that Amendment 709 was non-retroactive bound the court.
Godin II
,
Second, the government contends that vacating and remanding in this case will effectively open the floodgates for defendants challenging their sentences "in light of Johnson ." This position is vastly overstated. As we detailed above, the Godin / Ahrendt doctrine applies only to a narrow category of cases involving certain non-retroactive amendments that are adopted before a defendant's sentence becomes final on appeal. Our holding here is thus potentially relevant to defendants sentenced pursuant to section 4B1.2(a)'s residual clause only if their sentences were not yet final when Amendment 798 went into effect in November 2017. We fail to see how-as the government seems to suggest-this case would apply more broadly to defendants challenging their sentences based on Johnson 's invalidation of the ACCA's residual clause.
Third, the government contends that the district court's decision to vary downward from Frates's guideline sentencing range makes remanding his case for resentencing unnecessary. Though "perhaps not irrelevant," a district court's decision to depart from a defendant's guideline range will not ordinarily be a significant factor in determining whether to remand under
Godin
/
Ahrendt
.
Ahrendt
,
This case provides a prime example of this principle. The district court varied downward based on Frates's history of substance abuse and mental health issues, and imposed a sentence of 132 months' imprisonment. Under the Sentencing Commission's current thinking, that sentence would constitute an upward variance of 17 months. The district court may well view *104 this fact as reason to vary even more significantly from Frates's guideline range.
IV.
For these reasons, we "think it prudent to allow the [district] court the opportunity to consider the Sentencing Commission's updated views."
Ahrendt
,
So ordered.
We employ a "modified categorical approach" when the statute sets forth alternative elements of a crime, some of which are broader than the crime of violence definition.
See
Descamps
v.
United States
,
The district court also concluded that Frates's prior conviction for Massachusetts breaking and entering was a crime of violence. Frates did not appeal this decision.
More specifically, Godin was sentenced in April 2006, we first decided her appeal in June 2007, and we adjudicated her petition for rehearing in April 2008.
Godin II
,
The government specifically conceded that Massachusetts unarmed robbery would not qualify as crimes of violence under section 4B1.2(a)'s force clause or under its enumerated crime of robbery.
896 F.3d 93 (United States v. Frates) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.