Lead Opinion
The court having been polled at the request of one of the members of the Court and a majority of the Circuit Judges who are in regular active service not having voted in favor of it (Rule 35, Federal Rules of Appellate Procedure), the Suggestion of Rehearing En Banc is DENIED.
Lead Opinion
respecting the denial of rehearing en banc:
I write to respond to the dissents filed by three of my colleagues about the denial of a rehearing en bane. I continue to adhere to the view expressed by Judges Henry Friendly and Raymond Randolph that dissents from the denial of rehearing en banc, particularly where one did not participate in the decision, are “of dubious policy,” United States v. Shaygan,
I. BACKGROUND
Michael Morgan was one of “the principal leaders of an elaborate drug operation, dating back to 1988, that supplied, distributed and sold crack cocaine throughout Florida, Alabama, Mississippi, Georgia, and North and South Carolina.” United States v. Mothersill,
As law enforcement officials investigated the Tillman murder, Paul Howell and Morgan became concerned that Bailey would report them to the authorities. Morgan offered a friend $1,000 to lure Bailey to a highway rest stop so he could kill her. The friend, looking for a way to beg off, asked about Bailey’s baby, who Morgan had fathered. Morgan told her to bring the baby, too. But the friend refused the money and began to avoid Morgan. Paul Howell wired Bailey some money to drive to Ft. Lauderdale to see him, possibly to rehearse the statement she should give to police and possibly to kill her. But Bailey spent the money on her new apartment instead and, when Paul Howell called to ask why she had not come to Ft. Lauder-dale, she told him that her baby was sick and she needed a microwave to warm the baby’s milk. Paul Howell then constructed a pipe bomb to kill Bailey and placed the pipe bomb in a microwave oven, which he gift-wrapped for delivery to her. Id. at
Morgan, along with several of his coconspirators, was convicted in 1993 of various racketeering offenses, and the Tillman murder served as one of the underlying racketeering acts. The district court sentenced Morgan to life without parole under the then-mandatory sentencing guidelines. We affirmed Morgan’s convictions on direct appeal. Id. at 1220. In 2004, Morgan filed his first motion to vacate, set aside, or correct his sentence, 28 U.S.C. § 2255, and alleged a violation of his right to confrontation under the decision of the Supreme Court in Crawford v. Washington,
Twenty years after his conviction and following years of unsuccessful attempts to vacate his sentence, Morgan moved this Court to grant him the extraordinary opportunity of filing a fourth motion to vacate, set aside, or correct his sentence. Based on the decision of the Supreme Court in Miller v. Alabama, — U.S. -,
We held that Morgan could not file his second or successive motion because Miller has not been made retroactive on collateral review by the Supreme Court. A prisoner may receive permission to file a second or successive motion to vacate, set aside, or correct a sentence when a decision of the Supreme Court creates a new rule of constitutional law that “prohibit[s] a certain category of punishment for a class of defendants.” In re Moss,
We held that the rule established in Miller could not be considered a substantive rule. Miller did not “h[o]ld, as a substantive matter, that the Eighth Amendment prohibits the [imposition of life without parole for juvenile offenders] such as [Morgan] regardless of the procedures followed.” See id. Instead, Miller held that “mandatory life without parole for those under the age of 18 at the time of their crimes violates the Eighth Amendment! ]” because “[s]uch a [sentencing] scheme prevents those meting out punishment from considering a juvenile’s lessened culpability and greater capacity for change, and runs afoul of [the] requirement of individualized sentencing for defendants facing the most serious penalties.” Miller,
II. DISCUSSION
Although the panel decision involved a straightforward application of Supreme Court and Circuit precedent, three of my colleagues appear to misunderstand both the decision and our governing precedents. The Supreme Court has drawn a clear distinction between substantive and procedural rules for the purpose of retroactive application on collateral review: substantive rules generally apply retroactively and procedural rules generally do not. Notwithstanding the hyperbole in the dissents, the procedural nature of the rule established in Miller is not debatable. En banc consideration of this question would be a waste of judicial resources.
A. The Supreme Court Has Drawn a Clear Distinction Between Substantive and Procedural Rules for the Purpose of Retroactive Application on Collateral Review.
“New rules” of constitutional law do not apply retroactively to criminal cases that have become final before the rule was announced, unless the new rule falls within one of two narrow exceptions. See Teague v. Lane,
This distinction drawn by the Supreme Court between substantive and procedural rules makes sense. Substantive rules “apply retroactively because they necessarily carry a significant risk that a defendant stands convicted of an act that the law does not make criminal or faces a punishment that the law cannot impose upon him.” Summerlin,
And the distinction between substantive and procedural rules reflects the interest of the state and federal courts in the finality of judgments. See Teague,
B. Notioithstanding the Misunderstandings in the Dissents, the Rule Established in Miller Is Procedural.
The dissents reflect an astonishing number of fundamental misunderstandings about the circumstances in which a prisoner may obtain the benefits of a new rule of constitutional law on federal collateral review. I count at least five of these misunderstandings, and the error of each argument is apparent.
First, all three of the dissenters labor under the misconception that, if a rule might have affected the sentence imposed upon a defendant, that rule must be substantive. Judge Barkett’s dissent argues that the rule in Miller must be substantive because, “[bjefore Miller, a juvenile offender convicted of certain crimes would automatically receive a sentence of life without the possibility of parole; after Miller, the vast majority of such offenders will receive a substantively different and lesser sentence.” Dissenting Op. of Barkett, J., at 1196. Judge Wilson and Judge Martin’s dissent argues that, “to write off as merely procedural a new rule that will compel a different substantive result—’that is, a different, and lesser, sentence'—in the majority of cases that will follow would be to stretch the meaning of ‘procedural’ too far.” Dissenting Op. of Wilson, J., & Martin, J., at 1198. But that a different result is likely under a new rule does not make that rule substantive. Although all new constitutional rules are likely to produce different results in at least some circumstances, the Supreme Court has explained that only some of these rules apply retroactively. Substantive rules “apply retroactively because they ‘necessarily carry a significant risk that a defendant stands convicted of an act that the law does not make criminal’ or faces a punishment that the law cannot impose upon him,” Summerlin,
And the speculation of the dissenters about the likely effect of Miller in any particular case underscores the procedural nature of the rule. Judge Barkett’s dissent speculates that Miller will result in reduced sentences for the “vast majority” of juvenile offenders. Dissenting Op. of Barkett, J., at 1196. Judge Wilson and Judge Martin’s dissent speculates that the rule “will compel a different substantive result ... in the majority of cases that will follow.” Dissenting Op. of Wilson, J., & Martin, J., at 1198 (emphasis added). And Judge Wilson and Judge Martin’s dissent makes much of the speculation of the majority in Miller that the rule established in that decision would make sentences of life imprisonment for juvenile offenders uncommon. See id. But the Supreme Court has explained that, when the effect of a rule in any particular case is speculative, the rule is procedural. See Summerlin,
Second, the dissenters argue that Miller may be substantive because it expands the possible sentencing outcomes for juvenile offenders who were previously subject to mandatory life imprisonment without the possibility of parole, but that argument is foreclosed by Supreme Court precedent. Judge Barkett’s dissent asserts that the rule in Miller is substantive because it “expanded the range of possible substantive sentencing outcomes for juvenile offenders.” Dissenting Op. of Barkett, J., at 1196. Judge Wilson and Judge Martin’s dissent asserts less confidently that, “[b]y altering the range, of possible outcomes for a juvenile sentenced to life without parole under a mandatory sentencing scheme, Miller arguably heralds a substantive rule.” Dissenting Op. of Wilson, J., & Martin, J., at 1198. But the Supreme Court has .explained that a new rule is procedural, not substantive, when it does not “alter the range of conduct ... subjected to [a punishment],” but instead “alter[s] the range of permissible methods for determining whether a defendant’s conduct is punishable by [that punishment].” Summerlin,
Third, Judge Barkett’s dissent displays a fundamental misunderstanding of the term “punishment.” Judge Barkett’s dissent argues that the rule established by the Supreme Court in Miller is substantive and retroactive on collateral review because it “prohibits] a certain category of punishment for a class of defendants because of their status or offense.” Dissenting Op. of Barkett, J., at 1195 (quoting Penry,
Fourth, Judge Wilson and Judge Martin’s dissent confuses the rules of retroactivity that apply on federal collateral re
Finally, my dissenting colleagues devote considerable attention to the position taken by the United States Department of Justice in a proceeding before the Eighth Circuit that the rule established in Miller is substantive, but that position has no bearing on our consideration of the question. The bar on second or successive motions is jurisdictional, see Panetti v. Quarterman,
C. En Banc Consideration of a Decision that Is Undoubtedly Correct Would Be a Waste of Judicial Resources.
Two of my colleagues, though not prepared to declare that the rule established by Miller is substantive, argue that the matter should be considered en banc because it presents “a question of exceptional importance,” but en banc consideration of this issue, no matter how important, would be a waste of judicial resources. A precedent of a panel of this Circuit is as binding as a precedent of the en banc Court. Smith v. GTE Corp.,
This Court often decides issues of exceptional importance without granting en banc review. For example, when 26 states challenged the constitutionality of the Affordable Care Act and moved this Court to grant en banc review, we denied their request even though the challenged Act involved an unprecedented exercise of federal power to compel citizens to purchase health insurance and to require state governments to expand their Medicaid programs. See Fla. ex rel. Att’y Gen. v. U.S. Dep’t of Health & Human Servs.,
In our democratic republic, where the right to vote is fundamental, we routinely decide appeals about elections and voting without granting en banc review. For example, when we preliminarily enjoined Florida from increasing its subsidy of the campaign of a gubernatorial candidate who had accepted public funding because the increased subsidy unfairly penalized the free speech of an opponent who had declined public funding, we did not vote to rehear that appeal en banc. See Scott v. Roberts,
We also have declined to grant en banc review in matters of church and state. For example, when we affirmed the decision that permitted the Cobb County Commission to continue its practice of legislative prayer to begin its meetings, we did not rehear that appeal en banc. See Pelphrey v. Cobb Cnty., Ga.,
Even in matters of life and death, we rarely grant en banc review. For example, when the parents of Terri Schiavo petitioned this Court to rehear their appeals of the decisions not to enjoin her starvation and death, we denied their requests, notwithstanding their obvious importance. Schiavo ex rel. Schindler v. Schiavo,
The dissents that follow offer no good reason to rehear this matter en banc. The panel decision is plainly right. We have declined to review myriad decisions that were of equal or even greater importance, and granting en banc review of this matter would waste precious judicial resources.
Dissenting Opinion
dissenting from the denial of rehearing en banc:
I completely agree with Judge Wilson that this case is one that should be reheard en banc. However, I do so because I believe the panel opinion makes a critical mistake in holding that the rule established in Miller v. Alabama, — U.S. -,
The Supreme Court has established that a rule is substantive if it “prohibits] a certain category of punishment for a class of defendants because of their status or offense.” Penry v. Lynaugh,
The panel opinion relies heavily on the Supreme Court’s statement in Schriro v. Summerlin,
It is unreasonable to conclude that all juvenile offenders like Morgan who were sentenced to mandatory life sentences without the possibility of parole and who, had they been sentenced after Miller, would have almost certainly received a lesser sentence, now have no avenue of relief. As I have said previously, we cannot interpret AEDPA’s procedural hurdles as mandating us to turn a blind eye to constitutionally-flawed sentences. See In re Hill,
Dissenting Opinion
dissenting from the denial of rehearing en banc, in which MARTIN, Circuit Judge, joins:
For crimes he committed between the ages of 13 and 17, Michael Morgan was sentenced to mandatory life in prison without the possibility of parole. Such a sentence would be unconstitutional were it handed down today. In Miller v. Alabama, — U.S. -,
In the original panel order, we denied Morgan’s application, holding' that while Miller announced a new rule of constitutional law, the rule was not retroactive to cases on collateral review because it did not “ ‘prohibit! ] a certain category of punishment for a class of defendants.’ ” In re Morgan,
The United States Department of Justice has decided upon a uniform policy—its United States Attorneys will advocate in favor of Millers retroactivity in cases on collateral review all across the country! Government’s Response to Petitioner’s Application for Authorization to File a Second or Successive Motion Under 28 U.S.C. § 2255 at 6-7, Johnson v. United States, No. 12-3744 (8th Cir. Feb. 22, 2013) (“Mille-f s holding that juvenile defendants cannot be subjected to a mandatory life-without-parole sentence' is properly regarded as a substantive rule.”); see Motion of the United States for a Further Extension of Time at 1, Johnson v. United States, No. 12-3744 (8th Cir. Jan. 29, 2013) (“Because the issue has nationwide application, the Department of Justice is formulating the government’s position on retroactivity rather than individual U.S. Attorney’s Offices.”). That is, not even the government wants these juvenile offenders—who are condemned to die in prison pursuant to now-unconstitutional sentencing schemes—deprived of their ability to seek the writ of habeas corpus. See Government’s Response to Petitioner’s Application for Authorization to File a Second or Successive Motion Under 28 U.S.C. § 2255 at 2, Johnson v. United States, No. 12-3744 (8th Cir. Feb. 22, 2013) (“Because the United States agrees that Johnson’s reliance on Miller makes ... a prima facie showing, his motion should be granted and the case certified for filing in the district court.”). If the availability of the writ to Morgan and the hundreds of similarly situated juvenile offenders serving mandatory life-without-parole sentences that would be indubitably unconstitutional were they handed down today is not a question of exceptional importance, I cannot imagine what is.
I do not mean to suggest that any rule that is outcome determinative is also a fortiori a substantive rule retroactively applicable to cases on collateral review. As the Supreme Court has made clear, because rules of procedure “merely raise the possibility that someone convicted with use of the invalidated procedure might have been acquitted otherwise,” they have a “speculative connection to innocence” that does not justify retroactive applicability. Schriro,
In the original panel order rejecting Morgan’s application, the majority relied on the Supreme Court’s statement in Schriro that “rules that regulate only the manner of determining the defendant’s culpability are procedural.” Schriro,
I reiterate that the merits are not even at issue here—the only question we face is whether Morgan’s application presents a question of exceptional importance worthy of review by the full Court sitting en banc. See Fed. R.App. P. 35(a)(2). A majority of this Court today decides that the issue presented by Morgan’s application— whether juveniles previously sentenced to life in prison without the possibility of parole can avail themselves of the Great Writ to challenge sentences we all agree would be constitutionally flawed if they were handed down today—is not important enough to warrant further discussion. See Miller,
In addition, the prima facie showing necessary for certification under § 2255(h) merely requires “a sufficient showing of possible merit to warrant a fuller exploration by the district court.” In re Davis,
I end where I began—in my view, there can be little doubt that whether a juvenile offender can attack on collateral review his sentence of mandatory life imprisonment without the possibility of parole—a sentence that would now be constitutionally flawed pursuant to Miller—constitutes “a question of exceptional importance” deserving of en banc review. Fed. R.App. P. 35(a)(2). Indeed, to Morgan and hundreds of similarly situated juvenile offenders sentenced to life without parole who would likely receive a different sentence were they able to collaterally attack their sentences under § 2255, the issue presented here is one of immense proportions.
As a court, we therefore stand at a crossroads: we can either cling to the belief that the government is wrong and
Notes
. As of April 20, 2011, there were 336 juvenile offenders serving life without parole within our circuit. See Sentencing Juveniles, N.Y. Times, Apr. 20, 2011, http://www.nytimes. com/interactive/2011/04/20/us/juveniles.html? ref=u&_r=0 (explaining that there are 266 such offenders in Florida, 62 in Alabama, and 8 in Georgia). Of those 336 offenders, 17 of them are 13- or 14-year-olds. Id.
. Compare In re Landry, No. 13-247 (4th Cir. May 30, 2012) (granting motion to file second or successive habeas petition brought solely on the ground that Miller announces a new rule retroactively applicable to cases on collateral review), In re James, No. 12-287 (4th Cir. May 10, 2013) (same), Hill v. Snyder, No. 10-14568,
. Judge Pryor submits that I "confuse[j the rules of retroactivity that apply on federal collateral review with the rules of retroactivity that apply to state collateral review” because many of the cases cited in the footnote above "were decisions by state courts on state collateral review.” Concurring Op. of Pryor, J., at 1192-93. Again, that simply isn’t the case. It is true that state courts can choose the principles that govern retroactivity in their own state collateral proceedings, see Danforth v. Minnesota,
. Given that a "court of appeals may authorize the filing of a second or successive application only if it determines that the application makes a prima facie showing” of retroactivity or of evidence showing the applicant's innocence, 28 U.S.C. § 2244(b)(3)(C) (emphasis supplied), Judge Pryor is wrong to state that "[djictum in the footnote of a single opinion of a federal district court” provides the only support for Morgan’s application, Concurring Op. of Pryor, J., at 1193. The holdings of two separate orders from the Fourth Circuit permit the applicants in those cases to file second or successive petitions. See In re Landry, No. 13-247 (4th Cir. May 30, 2012); In re James, No. 12-287 (4th Cir. May 10, 2013). Those holdings are permitted under federal law only if the court of appeals first concludes that the applicant has made a prima facie showing that he satisfies the requirements of § 2255(h). The only issue before us is whether Morgan has made such a prima facie showing. So, if we are counting cases in the courts of appeals, as Judge Pryor seems to suggest we ought to be doing, there are actually more cases supporting Morgan's application than opposing it. Compare In re Landry, No. 13-247 (4th Cir. May 30, 2012), and In re James, No. 12-287 (4th Cir. May 10, 2013), with Craig,
