Lead Opinion
This is Humberto Martin’s third visit to this court. Four years ago, we affirmed his conviction for cocaine offenses.
What remain are a variety of objections to the calculation of the sentence. We held in Scott v. United States,
Although we recognized in Durrive that any extra time in prison is significant from the defendant’s perspective, we adopted a rule of proportionality: the sort of increase produced by a few levels’ difference in sentencing calculations cannot be raised indirectly on collateral attack by complaining about counsel’s work. A few levels is exactly what Martin wants us to examine. Actually, his complaint is about a single criminal-history level (equivalent to two offense levels). Such an argument is barred by Scott when presented directly, and by Durrive when presented as an attack on counsel’s performance. Martin asks us to disregard Durrive because the prosecutor did not cite it, but a court is not restricted to the cases the parties discuss. Elder v. Holloway,
Affirmed.
Lead Opinion
ON PETITION FOR REHEARING AND SUGGESTION OF REHEARING EN BANC
March 19, 1997.
Humberto Martin filed a petition for rehearing and suggestion of rehearing en banc on December 18, 1996. Ml members of the panel voted to deny the petition for rehearing. A judge in active service called for a vote on the suggestion of rehearing en banc, but a majority of the active judges voted to reject the suggestion. The petition for rehearing is denied, and the suggestion of rehearing en banc is rejected.
dissenting from the denial of rehearing en banc.
Humberto Martin alleges that his appellate counsel was ineffective in failing to challenge a sentencing error that resulted in a sixteen-month increase in his sentence. In its opinion, the panel declined to consider whether error indeed did occur in application of the Sentencing Guidelines, as Martin argues. It found instead that Durrive v. United States,
Today the full court regrettably declines to reexamine the holding in Durrive. I joined the opinion in Durrive, but upon reflection I have come to believe that we were mistaken
1.
In 1990, Martin was convicted of conspiring to distribute cocaine, and his term of imprisonment was determined using the Sentencing Guidelines. In the presentence report, the probation officer concluded that Martin should be assigned a criminal history category of III, and the parties lodged no objection to that recommendation. Had the court employed that criminal history category, the resulting guidelines sentencing range would have been 97 to 121 months. At sentencing, however, the district court sua sponte assigned Martin a criminal history category of IV, which boosted the sentencing range to 121 to 137 months. The district court ordered Martin to serve the maximum sentence within that range (137 months), a term sixteen months longer than the high end of the range that a criminal history category of III would have produced.
Martin appealed directly to this court and we affirmed his conviction. United States v. Martin,
Having lost the sole opportunity to present his claim of sentencing error, Martin filed a section 2255 petition asserting that his appellate attorney was constitutionally ineffective for failing to raise the error on direct review. Any reasonable attorney would have argued this point on appeal, Martin posited, and the omission resulted in obvious and concrete prejudice: a sentence sixteen months longer than it would have been had the Sentencing Guidelines been applied correctly. Unfortunately for Martin, however, that claim ran headlong into our opinion in Durrive.
We held in Durrive that even when it is clear that an attorney’s unreasonable mistake or omission has resulted in an erroneous sentence, the difference in outcome is insufficient to establish prejudice under the Strickland analysis; only if it is likely that the defendant’s sentence would have been “ ‘significantly less harsh’ ” can there be a viable claim of ineffectiveness.
[A]n analysis focussing solely on mere outcome determination, without attention to whether the result of the proceeding was fundamentally unfair or unreliable, is defective. To set aside a conviction or sentence solely because the outcome would have been different but for counsel’s error may grant the defendant a windfall to which the law does not entitle him.
2.
Although Durrive held out Lockhart as the foundation for its holding, I believe the court overlooked not only the context of the Supreme Court’s decision but limitations in the very language of its opinion. The question before the Court in Lockhart was whether a habeas petitioner could prevail on an ineffectiveness claim based on his attorney’s failure to invoke at sentencing a decision of the Eighth Circuit that was later overruled. An Arkansas jury had convicted the petitioner in Lockhart, Bobby Ray Fretwell, of felony murder and sentenced him to death. The jury found as an aggravating factor warranting the death penalty the fact that the murder (which had occurred during a robbery attempt) had been committed for pecuniary gain. Shortly before Fretwell was convicted and sentenced, however, the Eighth Circuit held in Collins v. Lockhart,
The Supreme Court emphasized that a single-minded focus on “mere outcome determination,” without considering whether the result of the proceeding was unfair or unreliable, is a “defective” approach to evaluating attorney ineffectiveness, for it may result in an unwarranted “windfall” to the defendant.
As the Court’s own choice of words suggests, it was concerned that the defendant not be granted “a windfall to which the law does not entitle him.” Lockhart,
Today the Court identifies another factor that ought not inform the prejudice inquiry. Specifically, today we hold that the court making the prejudice determination may not consider the effect of an objection it knows to be wholly meritless under current governing law, even if the objection might have been considered meritorious at the time of its omission. That narrow holding, of course, precisely disposes of this case as it appeared before the Eighth Circuit. The omitted objection of which respondent complained very well may have been sustained had it been raised at trial. But by the time the Eighth Circuit reviewed respondent’s ineffective assistance claim, on-point Circuit authority bound that court to hold the objection meritless; the Arkansas Supreme Court had rejected the objection as well. Perry v. Lockhart,871 F.2d 1384 , 1392-1394(CA8), cert. denied,493 U.S. 959 ,110 S.Ct. 378 ,107 L.Ed.2d 363 (1989); O’Rourke v. State,295 Ark. 57 , 63-64,746 S.W.2d 52 , 55-56 (1988). Consequently, respondent’s claim of prejudice was based not on the allegation that he was denied an advantage the law might permit him. It was predicated instead on the suggestion that he might have been denied “a right the law simply does not recognize,” Nix, supra,475 U.S. at 186-187 ,106 S.Ct. at 1004 (Blackmun, J., concurring in the judgment), namely the right to “have the state court make an error in his favor,” ante, at 371,113 S.Ct. at 843 (opinion of the Court) (internal quotation marks omitted). It seems to me that the impact of advocating a decidedly incorrect point of law, like the influence of perjured testimony, is not a proper consideration when assessing “the likelihood of a result more favorable to the defendant.” Strickland, supra,466 U.S. at 695 ,104 S.Ct. at 2068 . I therefore join the Court in holding that, in these somewhat unusual circumstances, the Court of Appeals should have concluded that respondent suffered no legally cognizable prejudice.
What quite obviously sets this case apart from Lockhart is that Martin is not relying on a “decidedly incorrect statement of the law” or anything else that falls into the category of “arbitrariness, whimsy, caprice, ‘nullification,’ and the like” to establish prejudice. He is not seeking a “windfall.” What Martin contends, as the petitioner in Durrive contended, is that for no legitimate strategic reason, his attorney failed to make an argument that the law recognized then and still recognizes now, and which, had it been made, would have resulted in a lesser sentence. Absolutely nothing in Lockhart addresses
3.
Durrive derived its “significance” test from the Fifth Circuit’s opinion in Spriggs v. Collins, but as with its invocation of Lock-hart, Durrive overlooked the particular circumstances that led that court to rule as it did. Waymon Spriggs had pleaded guilty to a charge of first-degree murder and a Texas state court had ordered him to serve a prison term of thirty-five years. Spriggs sought relief from the sentence pursuant to 28 U.S.C. § 2254, contending that his counsel at sentencing was ineffective for not objecting to the presentence investigation report’s representation that he had a “long history of assaultive and aggressive behavior.” The Fifth Circuit observed at the outset of its analysis that under a “rigid application” of Strickland, the prejudice prong — which requires a reasonable probability that but for counsel’s error the outcome would have been different — might be relatively easy to meet in a non-capital sentencing case:
This is because a non-capital sentencer does not simply have the choice of life or death. Rather, non-capital sentencing hearings, particularly in jurisdictions without sentencing guidelines, typically involve wide sentencing discretion. In the ease of non-capital murder in Texas, such discretion is extensive. See TexPenal Code § 12.32 (sentencing range for first degree felony, including murder, is from five to 99 years, with option of $10,000 fine). Arguably, when the discretionary sentencing range is great, practically any error committed by counsel could have resulted in a harsher sentence, even if only by a year or two.
We note that one foreseeable exception to this requirement would be when a deficiency by counsel resulted in a specific, demonstrable enhancement in sentencing— such as an automatic increase for a “career” offender or an enhancement for use of a handgun during a felony — which would have not occurred but for counsel’s error.
Id. at 89 n. 4 (emphasis supplied). By its own terms, then, Spriggs leaves the door open to relief in cases where the ineffectiveness of sentencing counsel results in a concrete, readily ascertainable increase in the defendant’s prison term, even if the increase is not “significant.”
In purporting to follow Spriggs' lead, we overlooked the express qualifications in the Fifth Circuit’s own rationale. Where a petitioner like Martin alleges that his attorney’s ineffectiveness either contributed to a misapplication of the Sentencing Guidelines (by failing to object to an evident error in the presentence report, for example) or left that error uneorrected (by failing to raise the error on direct appeal), there typically will be no need to speculate as to the impact of the error on the petitioner’s sentence. The Guidelines themselves, which strive for uniformity of punishment through the confine
We have thus transformed Spriggs into an ostrich of a rule that deliberately blinds us even to an error that produces a quantifiable increase in a petitioner’s sentence. Nothing in Spriggs supports that result; on the contrary, if we are to take the language of Spriggs seriously, the Fifth Circuit itself would not countenance that outcome. Without precedential support, then, we have fashioned a rule that without exception requires a petitioner to convince us that the excess in his prison term is “significant” before we will entertain the prospect of relief for his attorney’s ineffectiveness.
4.
Exactly what does constitute a “significant” increase in someone’s incarceration? We know from Durrive that an increase of twelve months is not “significant,” and from this case that sixteen months is not. Durrive suggests that a twenty-two month increase is also not “significant.” See
Durrive leaves such questions unanswered, freeing individual judges and panels to reach their own conclusions. And it already appears clear that the results will be inconsistent. In United States v. Kissick,
I cannot help but believe that in the adoption of this “significance” test, we have transformed ourselves into a kind of feudal duchy, with the power to grant or deny a reprieve to wrongfully sentenced prisoners according to our own whim. This is repugnant not only to our office as appellate judges but to the Guidelines themselves, which after all were adopted to achieve greater consistency in sentencing among similarly situated defendants.
5.
When this court concluded in Scott v. United States, supra, that errors in the application of the Sentencing Guidelines cannot be raised on collateral review absent extraordinary circumstances, we observed:
Congress provided for enforcement of the Guidelines by an adversarial clash, and in this sense they create “rights.” Still, the Sentencing Guidelines are not exactly a Bill of Rights for criminals! One full and fair opportunity to make arguments under the Guidelines — at sentencing and on direct appeal — is enough.
What the court has effectively done, it seems to me, is to lower dramatically the quality of advocacy vis á vis sentencing that will satisfy the Sixth Amendment. For although the court is willing to assume that a sentencing error was made and left unaddressed as the result of the ineffectiveness of Martin’s counsel, and it is willing to assume that the error increased Martin’s sentence, it refuses to entertain the prospect of relief. If there is no redress for the denial of effective assistance of counsel, then practically speaking there is no real right to such assistance. In Durrive’s language, only a “grave error” producing a “large effect” on the sentence might support relief on collateral review.
