Alexander CUEVAS, Petitioner, Appellant, v. UNITED STATES, Respondent, Appellee.
No. 14-1296.
United States Court of Appeals, First Circuit.
Feb. 11, 2015.
778 F.3d 267
Although nothing in this opinion bars the bringing of any claims by injured claimants against the Trust, we acknowledge that the Trust‘s failure to timely commence suit has the potential (if non-stale claims are not enough to exhaust the retention and the Hercules Policy) to reduce ultimately the amount of assets and insurance proceeds that the Trust has available to satisfy claims against it. Whether this result could have been avoided with better drafting, we cannot say. What we can say is that the Trust‘s argument fails because the Plan unambiguously terminated the automatic stay without limitation or qualification and contains no provision that even remotely provides for any further tolling of the limitations period beyond that granted by the Bankruptcy Code.
IV. Conclusion
For the foregoing reasons, we AFFIRM the order of the district court.
Michael A. Rotker, Attorney, United States Department of Justice, Criminal Division, with whom Carmen Ortiz, United States Attorney, Timothy E. Moran, Assistant United States Attorney, Leslie R. Caldwell, Assistant Attorney General, and Sung-Hee Suh, Deputy Assistant Attorney General, were on brief, for appellee.
Before LYNCH, Chief Judge, THOMPSON and BARRON, Circuit Judges.
LYNCH, Chief Judge.
This appeal requires us to decide a narrow question: Does a criminal defendant whose federal sentence was increased based on state convictions that have since been vacated for the reasons here and who seeks to obtain resentencing on the federal charge have a claim that is cognizable under
I.
On August 12, 2011, Alexander Cuevas was convicted by a jury of one count of conspiracy to possess with intent to distribute less than 100 grams of heroin and four counts of distributing and possessing with intent to distribute heroin. The Presentence Report calculated Cuevas‘s base offense level at 24 and his criminal history category at IV, yielding a Guidelines imprisonment range of 77 to 96 months. The district court adopted the probation office‘s calculations—which Cuevas agrees were correct—and sentenced Cuevas to 84 months imprisonment and a six-year term of supervised release. Judgment was entered on December 6, 2011. Cuevas appealed his conviction (but not his sentence), and this court affirmed. United States v. Cuevas, No. 11-2473 (1st Cir. Apr. 5, 2013).
Before Cuevas‘s trial, the government had filed an Information to Establish a Prior Conviction which alleged that Cuevas had two felony drug convictions in Massa
While the direct appeal in this case was pending, it came to light that Annie Dookhan, a chemist at the Massachusetts Department of Public Health‘s Hinton Drug Laboratory, had falsified certificates of drug analysis and contaminated negative samples so that they would test positive. It was difficult to ascertain which samples under her supervision resulted in falsified reports and which did not. Dookhan had participated in the drug analysis leading to both of Cuevas‘s state drug convictions, so Cuevas filed motions for a new trial in both cases. On December 5, 2012, the state court vacated the drug count in No. 0713-CR-1371. The court‘s order reads: “Ms. Dookhan was the confirmatory chemist; this fact was not known to the jury. The interests of justice mandate a new trial under these circumstances.”1 On April 11, 2013, the state court vacated the conviction in No. 0613-CR-7061, noting that Dookhan was the chemist and that the government did not object to Cuevas‘s motion for a new trial. The state filed a nolle prosequi as to both of the vacated convictions.
These developments had two potential effects on Cuevas‘s Guidelines calculation. First, the vacatur and dismissal of the conviction in No. 0613-CR-7061 eliminated two of his seven criminal history points.2 This would have reduced his criminal history category from IV to III and his Guidelines imprisonment range from 77-96 months to 63-78 months. Second, the combined effect of the vacaturs and dismissals was to extinguish both convictions forming the basis for the government‘s Information to Establish a Prior Conviction, thereby reducing the mandatory minimum term of supervised release from six years to three years. See
Cuevas‘s current projected release date is December 10, 2015. His release on that date is contingent on successful completion of a drug abuse program and transition to a halfway house. Were he to be resentenced at the high end of his revised Guidelines range (78 months), his projected release date would be June 15, 2015.
On June 3, 2013, Cuevas, acting pro se, filed a motion to vacate under
The district court granted Cuevas a Certificate of Appealability on the issue of whether “nonconstitutional Guidelines errors are susceptible to attack only in instances of manifest injustice.” The COA was later expanded to include the issue of whether, under Mateo v. United States, 398 F.3d 126 (1st Cir.2005) and Johnson v. United States, 544 U.S. 295, 303 [125 S.Ct. 1571, 161 L.Ed.2d 542] (2005), Cuevas‘s claim is cognizable under [28 U.S.C.] § 2255, including whether he claims the right to be released on the ground that the sentence “was imposed in violation of the Constitution” or “is otherwise subject to collateral attack.”
II.
Cuevas‘s brief argues principally that the state convictions upon which the federal sentencing calculations were based were vacated because they were obtained unconstitutionally, and suggests that accordingly his claim is cognizable under the first prong of
The government, like the district court, has characterized Cuevas‘s claim as one alleging a “misapplication[] of the federal Sentencing Guidelines.” The government argues that such errors are not cognizable under any of the four prongs of
The defendant then filed a
Here, Cuevas acknowledges that the district court‘s calculations were legally correct at the time of sentencing. His claim of error is of a different stripe: he argues that he is entitled to resentencing because the convictions upon which those calculations were based are no longer valid. This error is not jurisdictional. The narrow question before us is whether Cuevas‘s claim is cognizable under the “otherwise subject to collateral attack” prong of
We hold that it is, under Supreme Court and First Circuit precedent. The
In Johnson v. United States, 544 U.S. 295, 125 S.Ct. 1571, 161 L.Ed.2d 542 (2005), the Supreme Court addressed the issue of “when the 1-year statute of limitations in [§ 2255] begins to run in a case of a prisoner‘s collateral attack on his federal sentence on the ground that a state conviction used to enhance that sentence has since been vacated.” Id. at 298. The petitioner, Johnson, had been sentenced in federal court in 1994 as a career offender under
The Supreme Court held that the vacatur of the state conviction was a “fact” triggering a new 1-year limitations period under
In the course of its opinion, the Court noted the parties’ agreement that, “if [Johnson] filed his § 2255 motion in time, he [would be] entitled to federal resentencing now that the State has vacated one of the judgments supporting his enhanced sentence.” Id. at 302-03. The Court explained that this proposition had been a “premise” of its prior cases. Id. at 303 (citing Custis v. United States, 511 U.S. 485, 497 (1994); Daniels v. United States, 532 U.S. 374, 382 (2001)).
Johnson strongly suggests that a defendant like Cuevas—whose predicate state convictions were vacated in the interests of justice because of Dookhan‘s misconduct—may reopen his sentence in a
We are particularly inclined to treat the Johnson dicta as authoritative since, were it not accurate, the Johnson opinion would have been a largely theoretical exercise. The statute of limitations issue would have been irrelevant if Johnson‘s claim were not cognizable in a
Our decision in Pettiford lends further support to our conclusion. There, we confronted a
The government argues that Pettiford is distinguishable because it involved the ACCA rather than the Sentencing Guidelines. This distinction matters, says the government, because misapplications of the ACCA “necessarily produce[ ] a sentence ‘in excess of the maximum authorized by law,’ within the meaning of the [third] clause of Section 2255(a).” But Pettiford‘s rationale was not so limited. Pettiford did not rely on the third clause of the statute. See 101 F.3d at 201 (“[W]hether on constitutional or grounds otherwise subject to collateral attack, we concur with the district court‘s recognition of federal habeas jurisdiction.” (emphasis added)). We read Pettiford (and Custis) as also applicable to cases involving vacaturs of state convictions which affect federal Guidelines sentences. Many courts have agreed, finding that there is no principled difference between enhancements under the ACCA and increases under the Sentencing Guidelines. See United States v. Caldwell, No. 97-5252, 210 F.3d 373, 2000 WL 331950, at *9 (6th Cir. Mar. 23, 2000) (unpublished table opinion) (collecting cases); see also, e.g., Mateo v. United States, 398 F.3d 126, 134 (1st Cir.2005) (noting that the “underlying principle” of Pettiford applies to Guidelines errors as well as to the ACCA); United States v. Doe, 239 F.3d 473, 475 (2d Cir.2001); United States v. LaValle, 175 F.3d 1106, 1108 (9th Cir.1999). Johnson itself supports this proposition. See 544 U.S. at 303 (equating enhance
The government‘s attempts to distinguish Mateo, which also supports our holding, are similarly unavailing. In that case, the defendant‘s federal sentence was enhanced because of a state drug conviction that was later vacated on constitutional grounds. Mateo, 398 F.3d at 127-28, 134. Relying on Pettiford, we held that § 2255 relief was appropriate, and we rejected the government‘s contention that the claim was not cognizable on collateral review. Id. at 133-36. Here, the government argues that Mateo is distinguishable because Cuevas‘s state convictions, unlike Mateo‘s, were not vacated on constitutional grounds, but we are not persuaded. Mateo did not rely solely on the first prong of
The majority of our sister circuits have held or expressly assumed that a defendant whose sentence is increased based on convictions that are subsequently vacated can reopen his or her sentence via a § 2255 proceeding. See Purvis v. United States, 662 F.3d 939, 942 (7th Cir.2011); Stewart v. United States, 646 F.3d 856, 864 (11th Cir.2011); United States v. Pettiford, 612 F.3d 270, 276 (4th Cir.2010); Doe, 239 F.3d at 475; LaValle, 175 F.3d at 1108; United States v. Cox, 83 F.3d 336, 339 (10th Cir.1996); United States v. Nichols, 30 F.3d 35, 36 (5th Cir.1994); see also 3 Wright & Miller, Federal Practice and Procedure § 626 (4th ed. 2014) (“[A] defendant who has successfully attacked a state conviction may use § 2255 to seek review of any federal sentence that was enhanced because of the prior state conviction.“). We are aware of no Court of Appeals case taking a contrary position. Accordingly, we join our sister circuits and hold that claims such as Cuevas‘s are cognizable under the fourth prong of
The government makes several arguments in favor of its contention that Cuevas‘s claim is not cognizable, but we do not find them persuasive.
First, the government argues that “Cuevas’ assertion that his claim is cognizable under Mateo does not constitute the kind of ‘effort at developed argumentation’ that is required to avoid a finding of waiver.” Whatever the clarity of Cuevas‘s appellate brief, it quoted the language from Johnson that supports his position and cited Pettiford and Mateo for the proposition that “[w]here a state conviction used to enhance a federal sentence is subsequently vacated, a § 2255 motion is the appropri
Second, the government argues that Cuevas cannot seek relief in a § 2255 proceeding because, upon resentencing, the district court would “ha[ve] the legal authority, objectively speaking, to reimpose the same sentence after considering the properly-calculated advisory range.” We reject this argument. “Speculation that the district court today might impose the same sentence is not enough to overcome the fact that, at the time of his initial sentencing, [Cuevas] was sentenced based upon the equivalent of a nonexistent offense.” Narvaez v. United States, 674 F.3d 621, 629 (7th Cir.2011). We will not deny relief on the basis of the “frail conjecture” that the district court would have sentenced Cuevas to 84 months in prison and six years supervised release even absent these two state convictions. See id. (quoting Hicks v. Oklahoma, 447 U.S. 343, 346, 100 S.Ct. 2227, 65 L.Ed.2d 175 (1980)).
Third, the government contends that Johnson is distinguishable because Johnson was sentenced before United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), when the Guidelines were mandatory. We disagree. The Guidelines, even though now only advisory, remain the “lodestone of sentencing.” Peugh v. United States, — U.S. —, 133 S.Ct. 2072, 2084, 186 L.Ed.2d 84 (2013). “Even after Booker ..., district courts have in the vast majority of cases imposed either within-Guidelines sentences or sentences that depart downward from the Guidelines on the Government‘s motion.” Id. Thus, the cognizability of Cuevas‘s claim should not turn on whether the Guidelines were mandatory or advisory at the time of his sentencing. Peugh, which held that, under the Ex Post Facto Clause, a defendant may not be sentenced under Guidelines promulgated after he committed the offense if the new version provides a higher sentencing range, id. at 2078, favors our conclusion. Peugh rejected the argument that the advisory nature of the Guidelines obviated any constitutional problem, reasoning that the Guidelines still tend to “steer district courts to more within-Guidelines sentences.” Id. at 2084.7
Finally, the government makes several policy arguments in support of its broad contention that “Guidelines errors
Moreover, Johnson holds that a petitioner may reopen a federal sentence based on the vacatur of a predicate state conviction only if he “sought [the vacatur] with due diligence in state court, after entry of judgment in the federal case with the enhanced sentence.” 544 U.S. at 298, 125 S.Ct. 1571. This limitation significantly ameliorates any finality concerns that the Johnson rule might otherwise raise.
To be clear, on remand, the district court must hear Cuevas‘s arguments and decide an appropriate sentence. But we do not suggest in any way what that sentence should be. See Custis, 511 U.S. at 497; LaValle, 175 F.3d at 1108.
III.
We hold that Cuevas‘s claim is cognizable under
Reversed.
UNITED STATES, Appellee, v. Ismael VÁZQUEZ-LARRAURI, a/k/a El Gordo, a/k/a Junito, a/k/a Tara, Defendant, Appellant.
No. 13-1061.
United States Court of Appeals, First Circuit.
Feb. 13, 2015.
