PATRICK E. HIGGINBOTHAM, Circuit Judge:
I
On February 3, 2003 Darnell McCrim-mon, pursuant to a plea agreement, plead guilty and was convicted of conspiring to possess with the intent to distribute a mixture and substance containing cocaine base, in violation of 21 U.S.C. §§ 841(a)(1) and (b)(1)(C) and 846. Acceding to the fact statement supporting the guilty plea, McCrimmon engaged in a transaction involving 287.3 grams of cocaine base.
The pre-sentence report (“PSR”) indicated an offense level 35
and a criminal history category I, resulting in a sentencing guideline range of 168-210 months of imprisonment.
Prior to sentencing, McCrimmon filed objections to the PSR, as to the amount of cocaine used to determine his base offense level. Arguing that no weapons were involved in the offense, McCrimmon also sought a downward adjustment in his offense level, pursuant to the “safety valve” provision.
The district court rejected these objections and sentenced McCrim-mon to 168 months of imprisonment, followed by a three-year term of supervised release.
On direct appeal
(“McCrimmon
/”), McCrimmon complained that the district court erred by not providing him safety-valve relief and that the district court did not have jurisdiction to entertain his guilty plea. McCrimmon did not allege error in the methodology of calculating his sentence. On June 9, 2004, we affirmed McCrimmon’s conviction. However, we vacated and remanded the case for resen-tencing to allow the district court to correct its error in concluding that the PSR had adequately considered that a firearm was not used.
This Court directed the district court, on remand, to “fully explore whether McCrimmon satisfied the [safety-valve] requirements.”
On October 18, 2004, the district court conducted a second sentencing hearing, at
which time McCrimmon restated his safety-valve objection and, also, contended that the district court violated
Blakely v. Washi
ngton
by impermissibly basing his sentence on an amount of drugs greater than the 287.3 grams of cocaine to which McCrimmon had admitted. The district court, relying on
United States v. Pineiro
determined that
Blakely
was inapplicable and held that McCrimmon did not qualify for the safety-valve provision. Thus, the district court, again, sentenced McCrim-mon to 168 months of imprisonment. McCrimmon timely filed notice of appeal.
II
This Court reviews a sentencing court’s decision to apply the safety-valve provision of the sentencing guidelines, U.S.S.G. § 5C1.2, for clear error.
A defendant is eligible for the safety-valve reduction when the sentencing court finds that:
not later than the time of the sentencing hearing, the defendant has truthfully provided to the Government all information and evidence the defendant has concerning the offense or offenses that were part of the same course of conduct or of a common scheme or plan, but the fact that the defendant has no relevant or useful other information to provide or that the government is already aware of the information shall not preclude a determination by the court that the defendant has complied with this requirement.
McCrimmon has the burden of showing that he is entitled to the safety-valve adjustment.
The government’s narcotic agent testified at the resentencing hearing that McCrimmon was evasive during an interview, regarding McCrimmon’s own offense. The agent questioned McCrimmon’s candor during the proffer session because he gave answers inconsistent with corroborated information provided by his codefendants concerning his own drug-trafficking. Moreover, McCrimmon ended the interview when asked about certain people involved in distributing the cocaine. Consequently, the district court found both that
McCrimmon had not been truthful regarding his own role in the offense and that he had not provided all of the information within his knowledge about the offense. The district court noted that the premature termination of the proffer session was particularly compelling.
We agree. The district court’s finding that McCrimmon had been less than truthful is not clearly erroneous. The agent’s testimony was sufficient to support the district court’s independent determination that McCrimmon was not entitled to the safety-valve adjustment.
The district court did not err in refusing a safety-valve adjustment.
III.
McCrimmon also contends that his case should be remanded for resentencing pursuant to
United States v.
Booker,
in order to allow the district court the opportunity to sentence him under a non-mandatory guidelines regime and without considering any unproven quantity of narcotics.
In response to a properly preserved objection pursuant to
Booker,
this Court “will ordinarily vacate the sentence and remand, unless [it] can say the error is harmless under [Fed.R.Crim.P. 52(a)].”
“The government must bear the burden of demonstrating beyond a reasonable doubt that the federal constitutional error of which the defendant complains did not contribute to the sentence he received.”
If, however, the objection was not properly preserved, the plain error standard applies.
In order to establish plain error, the defendant must show (1) error, (2) that is clear or obvious, and (3) that affects substantial rights.
Moreover, “ ‘[i]f all three conditions are met an appellate court may then exercise its discretion to notice a forfeited error but only if (4) the error seriously affects the fairness, integrity, or public reputation of judicial proceedings.’ ”
Therefore, we must determine the applicable standard of review — decide whether McCrimmon properly preserved a Booker-type assertion of error.
At the time of McCrimmon’s first sentencing, neither
Blakely
nor
Booker
had been decided.
Free access — add to your briefcase to read the full text and ask questions with AI
PATRICK E. HIGGINBOTHAM, Circuit Judge:
I
On February 3, 2003 Darnell McCrim-mon, pursuant to a plea agreement, plead guilty and was convicted of conspiring to possess with the intent to distribute a mixture and substance containing cocaine base, in violation of 21 U.S.C. §§ 841(a)(1) and (b)(1)(C) and 846. Acceding to the fact statement supporting the guilty plea, McCrimmon engaged in a transaction involving 287.3 grams of cocaine base.
The pre-sentence report (“PSR”) indicated an offense level 35
and a criminal history category I, resulting in a sentencing guideline range of 168-210 months of imprisonment.
Prior to sentencing, McCrimmon filed objections to the PSR, as to the amount of cocaine used to determine his base offense level. Arguing that no weapons were involved in the offense, McCrimmon also sought a downward adjustment in his offense level, pursuant to the “safety valve” provision.
The district court rejected these objections and sentenced McCrim-mon to 168 months of imprisonment, followed by a three-year term of supervised release.
On direct appeal
(“McCrimmon
/”), McCrimmon complained that the district court erred by not providing him safety-valve relief and that the district court did not have jurisdiction to entertain his guilty plea. McCrimmon did not allege error in the methodology of calculating his sentence. On June 9, 2004, we affirmed McCrimmon’s conviction. However, we vacated and remanded the case for resen-tencing to allow the district court to correct its error in concluding that the PSR had adequately considered that a firearm was not used.
This Court directed the district court, on remand, to “fully explore whether McCrimmon satisfied the [safety-valve] requirements.”
On October 18, 2004, the district court conducted a second sentencing hearing, at
which time McCrimmon restated his safety-valve objection and, also, contended that the district court violated
Blakely v. Washi
ngton
by impermissibly basing his sentence on an amount of drugs greater than the 287.3 grams of cocaine to which McCrimmon had admitted. The district court, relying on
United States v. Pineiro
determined that
Blakely
was inapplicable and held that McCrimmon did not qualify for the safety-valve provision. Thus, the district court, again, sentenced McCrim-mon to 168 months of imprisonment. McCrimmon timely filed notice of appeal.
II
This Court reviews a sentencing court’s decision to apply the safety-valve provision of the sentencing guidelines, U.S.S.G. § 5C1.2, for clear error.
A defendant is eligible for the safety-valve reduction when the sentencing court finds that:
not later than the time of the sentencing hearing, the defendant has truthfully provided to the Government all information and evidence the defendant has concerning the offense or offenses that were part of the same course of conduct or of a common scheme or plan, but the fact that the defendant has no relevant or useful other information to provide or that the government is already aware of the information shall not preclude a determination by the court that the defendant has complied with this requirement.
McCrimmon has the burden of showing that he is entitled to the safety-valve adjustment.
The government’s narcotic agent testified at the resentencing hearing that McCrimmon was evasive during an interview, regarding McCrimmon’s own offense. The agent questioned McCrimmon’s candor during the proffer session because he gave answers inconsistent with corroborated information provided by his codefendants concerning his own drug-trafficking. Moreover, McCrimmon ended the interview when asked about certain people involved in distributing the cocaine. Consequently, the district court found both that
McCrimmon had not been truthful regarding his own role in the offense and that he had not provided all of the information within his knowledge about the offense. The district court noted that the premature termination of the proffer session was particularly compelling.
We agree. The district court’s finding that McCrimmon had been less than truthful is not clearly erroneous. The agent’s testimony was sufficient to support the district court’s independent determination that McCrimmon was not entitled to the safety-valve adjustment.
The district court did not err in refusing a safety-valve adjustment.
III.
McCrimmon also contends that his case should be remanded for resentencing pursuant to
United States v.
Booker,
in order to allow the district court the opportunity to sentence him under a non-mandatory guidelines regime and without considering any unproven quantity of narcotics.
In response to a properly preserved objection pursuant to
Booker,
this Court “will ordinarily vacate the sentence and remand, unless [it] can say the error is harmless under [Fed.R.Crim.P. 52(a)].”
“The government must bear the burden of demonstrating beyond a reasonable doubt that the federal constitutional error of which the defendant complains did not contribute to the sentence he received.”
If, however, the objection was not properly preserved, the plain error standard applies.
In order to establish plain error, the defendant must show (1) error, (2) that is clear or obvious, and (3) that affects substantial rights.
Moreover, “ ‘[i]f all three conditions are met an appellate court may then exercise its discretion to notice a forfeited error but only if (4) the error seriously affects the fairness, integrity, or public reputation of judicial proceedings.’ ”
Therefore, we must determine the applicable standard of review — decide whether McCrimmon properly preserved a Booker-type assertion of error.
At the time of McCrimmon’s first sentencing, neither
Blakely
nor
Booker
had been decided. Though not expressly alleging a Sixth Amendment violation, McCrimmon asserts that he preserved his argument for appeal, as a result of an objection wherein McCrimmon contested the consideration of facts pertaining to any quantity of drugs exceeding the 287.3 grams of cocaine that McCrimmon admitted selling to the government informant. McCrimmon’s objection at the sentencing
hearing sufficiently invokes the alleged
Booker
error.
McCrimmon, however, did not assert a
Blakely-type
error on direct appeal, and we subsequently issued a remand order concerning only the safety-valve provision. At the resentencing hearing on remand, McCrimmon, again, raised the objection concerning the quantity of drugs used in his sentencing determination, this time citing
Blakely.
Never passing on the scope of remand, the district court cited
Pineiro,
ruling on the merits of the objection that
Blakely
was inapplicable to the federal sentencing guidelines.
On this appeal, McCrimmon, citing
Booker,
argues that the objection has been preserved and that the proper standard of review is set forth in
United States v. Akpan,
wherein we held that this Court will vacate and remand unless the error is harmless.
The government, however, argues that consideration of McCrimmon’s objection was outside the scope of our remand order and that McCrimmon’s objection to the PSR at the resentencing hearing was, therefore, impermissibly raised.
Consequently, the government urges that the plain-error standard controls.
Moreover, the government contends that McCrimmon has failed to carry his burden of demonstrating plain error.
The scope of our mandate in
McCrim-mon I,
vacating McCrimmon’s sentence, determines whether McCrimmon rightfully renewed his
Blakely-type
objection at the second sentencing hearing.
We find that a Blakely-type objection exceeds the scope of this Court’s prior order remanding the case on
non-Booker-type
grounds.
A district court on remand “must implement both the letter and the spirit of the appellate court’s mandate and may not disregard the explicit directives of that court.”
Additionally, pursuant to the “waiver approach” to the mandate rule:
[t]he only issue on remand properly before the district court are those issues arising out of the correction of the sentence ordered by this court. In short, the resentencing court can consider whatever this court directs — no more, no less. All other issues not arising out of this court’s ruling and not raised before the appeals court, which could have been brought in the original appeal, are not proper for reconsideration by the district court below.
The mandate rule is but a corollary to the law of the case doctrine.
There are three exceptions to the mandate rule: “(1) the evidence at a subsequent trial is substantially different; (2) there has been an intervening change of law by a controlling authority; (3) the earlier decision is clearly erroneous and would work a manifest injustice.”
The mandate in
McCrimmon I
directed the district court to fully explore whether McCrimmon met the safety-valve requirements:
Accordingly, we VACATE McCrimmon’s sentence and REMAND to the district court. Upon remand, the district court should fully explore whether McCrim-mon satisfied the requirements of U.S.S.G. § 5C1.2.
VACATED AND REMANDED IN PART; AFFIRMED IN PART.
This mandate cannot be said to allow a subsequent
Blakely
challenge, absent the application of one of the three exceptions to the mandate rule. Though other circuits have a less restrictive rule, “ ‘only those discrete, particular issues identified by the appeals court for remand are properly before the resentencing court’ ” in the Fifth Circuit.
The second mandate rule exception, the only potentially applicable basis for relief, turns on-the legal landscape at the time of the order. After
McCrimmon
/, upon re-sentencing, both
Blakely
and
Pineiro
had been decided, but
Booker
had not. The rulings of our Sister Circuits are instructive in this matter. Both the Tenth and Eighth Circuits have addressed whether
Blakely
claims exceed the scope of prior remand orders, and each circuit reached a different conclusion. The Tenth Circuit held a Sixth Amendment objection within the scope of remand, noting that the remand order was general and that
Blakely
presented an “exceptional circumstance” constituting “a dramatic change in the legal landscape .... ”
The Eighth Circuit,
however, determined that a
Blakely
claim raised for the first time on appeal following resentencing was beyond the scope of the remand order and refused to entertain the objection.
The Tenth Circuit’s approach in
Lang II
is consistent with this Court’s exception to the mandate rule enunciated in
Matthews II,
allowing issues to be considered when there is an intervening change in the law.
In
Matthews II,
we decided that the consideration of whether the necessary facts for a carjacking enhancement needed to be pleaded in the indictment and proven to a jury beyond a reasonable doubt was not beyond the scope of the mandate, due to a change in the law regarding statutory sen-fences wrought by
Apprendi v. New Jersey.
However,
Matthews II
can be distinguished from both
Lang II
and the instant case because the defendant in
Matthews II
raised the enhancement objection on direct appeal.
Thus,
Apprendi
directly repudiated
Matthews I.
The instant case can also be distinguished from both
Walterman,
the Eighth Circuit case affirming the defendant’s sentence, and
Mares,
on which the government relies here, because McCrimmon did raise the
Blakely
objection at both sentencing hearings.
Ultimately, we find that
Blakely
does not satisfy the requirements of the
intervening law exception to the mandate rule as applied in this case because the constitutional argument existed, as applied in
Apprendi
and as evidenced by McCrimmon’s objection at the first sentencing hearing directed precisely at that constitutional transgression. Yet also,
Blakely
was not controlling authority over the instant matter since it applies only to state sentencing guidelines.
Consequently, citing
Pineiro
at the suggestion of the prosecutor upon resentencing, the district court was without discretion to rule on the merits of McCrimmon’s
Blakely
objection, as it was beyond the scope of our remand order.
Finding that the mandate was limited and that no exception to the mandate rule then applied, a timely objection had to have been made on direct appeal in order for this Court to apply the requested
Booker
relief; harmless error review is inappropriate. We conclude that McCrim-mon forfeited and could not timely revive his objection upon resentencing, in light of the narrow scope of our resultant mandate.
McCrimmon may possibly have waived his Booker-type objection,
for failure to raise it on direct appeal, despite having raised it at both sentencing hearings — thus distinguishing the instant case from
Walterman
and other Fifth Circuit cases.
Since
Pineiro
had not yet been decided prior to
McCrimmon I,
it did not, therefore, constitute directly opposing precedent, rendering a
Booker-type
objection futile.
Moreover, McCrimmon
recognized the potential merit of the argument by objecting to the unproven quantity of narcotics at the first sentencing hearing.
McCrimmon proffers no viable explanation or extraordinary circumstance for failing to raise the
Blakely-
type objection on the first appeal to this Court. We do not, however, decide whether waiver or plain-error review applies to the alleged constitutional violation because the distinction is not outcome determinative.
IV
Assuming, in favor of McCrimmon, that waiver does not apply, he cannot, in any event, establish plain error. McCrimmon can satisfy the first two elements of the plain-error analysis. The Supreme Court has determined that “[a]ny fact (other than a prior conviction) which is necessary to support a sentence exceeding the maximum authorized by the facts established by a plea of guilty or a jury verdict must be admitted by the defendant or proved to the jury beyond a reasonable doubt.”
Consequently, the evidence relied upon by the district court at the sentencing hearings, then confined by the mandatory guideline regime, constitutes a violation of McCrimmon’s constitutional rights.
The conspiracy count of McCrimmon’s indictment did not contain an amount of cocaine base. McCrimmon’s plea agreement did not indicate any particular amount of cocaine base, and, in fact, acknowledged that McCrimmon pled guilty pursuant to 21 U.S.C. § 841(b)(1)(C) — applicable to amounts of cocaine base less than five grams and imposing a term of imprisonment of no more than 20 years. During the recitation of the factual basis for the plea, to which McCrimmon acquiesced, the prosecutor stated that McCrimmon had provided 287.3 grams of cocaine base to the Government’s confidential informant. The amount of cocaine used to calculate McCrimmon’s sentence, more than 2,400 grams, was neither proved by admission nor found beyond a reasonable doubt by a jury. Therefore, McCrimmon’s 168-month mandatory guideline sentence, based on an unproven quantity of drugs, violates the Sixth Amendment and constitutes error that is clear or obvious.
However, McCrimmon fails to satisfy the third element of the plain error inquiry. “The standard for determining whether an error affects substantial rights ... requires a showing that the error ‘must have affected the outcome of the district court proceedings.’ ”
“To meet this standard the proponent of the error must demonstrate a probability ‘sufficient to undermine confidence in the outcome.’ ”
An amount of cocaine base of at least 150 grams but less than 500 grams — inclusive of 287.3 grams — results in an offense level of 34.
Subtracting the three levels for acceptance of responsibility, the total offense level is 31, for which the sentencing range is 108-135 months of imprisonment. Even though, McCrimmon’s
guideline range would be significantly reduced — even the maximum sentence of 135 months would be significantly less than the 168 months to which McCrim-mon was sentenced — neither the sentencing transcripts nor evidence adduced at oral argument indicates that the district court would have sentenced McCrimmon to less than the 168 months of imprisonment, had it not been curtailed by the applicable guideline range for the sentence.
McCrimmon, therefore, cannot demonstrate prejudice — that his sentence would have been any different or that the Sixth Amendment violation necessarily contributed to the sentence.
AFFIRMED.