950 F.3d 670
10th Cir.2019Background
- Defendant Jared Faulkner was convicted in federal court of being a felon in possession of a firearm (18 U.S.C. § 922(g)).
- His Presentence Investigation Report counted a prior Oklahoma conviction for "endeavoring to manufacture methamphetamine" (Okla. Stat. tit. 63, § 2-408) as a "controlled substance offense," raising his Guidelines base offense level to 20 (total offense level 22) and producing an 84–105 month advisory range; the district court adopted the PSR and sentenced him to 96 months.
- Faulkner did not object in district court and appealed under plain-error review (Fed. R. Crim. P. 52(b)), arguing his prior Oklahoma conviction does not qualify as a "controlled substance offense" under U.S.S.G. § 4B1.2(b).
- The Circuit applied the categorical/modified categorical approach, assumed (without deciding) the Oklahoma statute was divisible, and compared Oklahoma "endeavoring" to the generic definition of "attempt."
- The Tenth Circuit concluded Oklahoma "endeavoring" sweeps more broadly than generic "attempt" (so treating the conviction as a controlled-substance predicate was error), but the court held the error was not "plain" under Rule 52(b) and therefore affirmed the sentence.
Issues
| Issue | Faulkner's Argument | Government's Argument | Held |
|---|---|---|---|
| Whether Faulkner's prior Oklahoma conviction for "endeavoring to manufacture" qualifies as a "controlled substance offense" under U.S.S.G. § 4B1.2(b) | "Endeavoring" encompasses "any effort" and can criminalize mere preparation, so it is broader than generic "attempt" and does not match § 4B1.2(b) | "Endeavoring" is equivalent to or includes attempt or aligns with listed federal possession-with-intent offenses, so it qualifies | The conviction is not a categorical match with the Guidelines' definition (district court erred in treating it as a predicate), but the error was not plain on appeal; sentence affirmed. |
| Whether the district court's error was "plain" under plain-error review (Rule 52(b)) | Prior Tenth Circuit and Supreme Court precedent make it obvious that a non-matching prior conviction cannot be used as a § 4B1.2(b) predicate | Government conceded that if error was plain, prongs 3 and 4 of plain-error review are satisfied; argued error was not obvious given lack of controlling precedent | Court: Error was not "clear or obvious" under well-settled law; no controlling precedent made the precise issue plain, so plain-error relief denied. |
Key Cases Cited
- United States v. McKibbon, 878 F.3d 967 (10th Cir. 2017) (applied categorical approach and held certain "offer" statutes do not qualify as controlled-substance predicates; discussed plain-error analysis)
- United States v. Madkins, 866 F.3d 1136 (10th Cir. 2017) (held a Kansas "offer"/possession-with-intent formulation can be broader than an attempt-based predicate)
- Tidmore v. State, 95 P.3d 176 (Okla. Crim. App. 2004) (OCCA: Oklahoma "endeavoring" is distinct from attempt and does not require an overt/perpetrating act)
- Mathis v. United States, 136 S. Ct. 2243 (2016) (controls divisibility inquiry: elements vs. means under the categorical/modified categorical approach)
- United States v. Mendez, 924 F.3d 1122 (10th Cir. 2019) (framework for defining generic offenses and applying the categorical approach)
