UNITED STATES OF AMERICA v. ANDRE MICHAEL DUBOIS, a.k.a. Larry Davis, a.k.a. Andre Dubois
No. 22-10829
United States Court of Appeals For the Eleventh Circuit
March 5, 2024
[PUBLISH]
Before WILLIAM PRYOR, Chief Judge, and ROSENBAUM and ABUDU, Circuit Judges.
WILLIAM PRYOR, Chief Judge:
This appeal by Andre Dubois, a federal prisoner, of his convictions and sentence for three federal firearm offenses requires us to answer five questions. First, did New York State Rifle & Pistol Association v. Bruen, 142 S. Ct. 2111 (2022), which held that the Second Amendment protects a right to bear arms outside the home, abrogate our precedent upholding the felon-in-possession ban? See
I. BACKGROUND
In 2018, Andre Dubois entered an Express Copy Print & Ship store in Suwanee, Georgia, and attempted to ship a box containing firearms to the Commonwealth of Dominica. Federal officials seized the shipment and charged Dubois with three counts: attempting to smuggle firearms out of the United States, see
At trial, the prosecution presented evidence that on April 23, 2018, a car parked outside the ship store. Dubois exited the passenger side and walked into the store carrying a large, sealed box on his shoulder. Jeffrey Morris was working the front desk. Morris asked Dubois to state his
Dubois behaved strangely during the transaction. Dubois read some of the information that he gave Morris from a piece of paper that he had pulled from his pocket. And he made or took three phone calls during his brief exchange with Morris to “double check” the information he provided. When Morris tried to verify the return address using the store‘s online database, it came back as an “unknown” address. Because this notification sometimes appeared for new addresses not yet programmed in the database, Morris asked Dubois whether his address was new. Dubois replied, “it‘s a newer address.” Morris testified that he asked Dubois twice whether the information that he provided was accurate, and both times Dubois said that it was. Morris also specifically asked Dubois whether, “if [he] opened the box, there would be two frying pans in it.” Dubois replied, “yes.” And on the customer invoice—which Dubois signed “Larry Davis“—Dubois certified that his shipment complied with federal law, that the information he provided was “true and correct,” and that “the contents of th[e] shipment [we]re as stated” on the invoice. Dubois paid for the shipment in cash before exiting the store.
Federal officials seized the package after a carrier employee identified a suspicious object during an x-ray screen. Officials discovered a loaded revolver, two disassembled pistols, and over 400 bullets, all wrapped in aluminum foil and hidden in two individually packaged deep fryers. According to an investigator, firearm smugglers often try to evade detection by packaging firearms in this manner.
An investigation into the shipper‘s identity revealed that the information Dubois gave Morris was false. Agents began their investigation by looking for “Larry Davis,” the listed sender, but they could not find anyone with that name associated with the listed address or phone number. Nor could agents locate “Monette Paul,” the listed recipient. Finally, using the ship store‘s surveillance footage, agents identified Dubois as the shipper by tracing the logo on the shipper‘s sweatshirt to Dubois‘s former employer. An agent testified that “every shipper” he has encountered “who has attempted or successfully made an illegal export from the United States . . . provided false information on the shipping documents.”
At the close of the prosecution‘s case, Dubois moved for acquittal on all counts. See
A probation officer prepared a presentence investigation report recommending an imprisonment range of 130 to 162 months and a fine range of $25,000 to $250,000 under the Sentencing Guidelines. The officer assigned Dubois a base offense level of 20 after concluding that Dubois‘s 2013 Georgia conviction for possession
The presentence investigation report also described Dubois‘s “[f]inancial [c]ondition” and his “[a]bility to [p]ay” a fine. The report stated that the probation officer had requested “signed authorization forms and financial documents” from Dubois, but Dubois never provided this information. So the probation officer obtained Dubois‘s financial information by consulting public records, Dubois‘s bond report, and Dubois‘s pretrial services record. The officer calculated Dubois‘s net worth as exceeding $54,000 by subtracting his student loan debt and unpaid court fines from the value of a condo that he had inherited from his mother. And the officer found that Dubois had a monthly income exceeding $3,000. Last, the probation officer determined that Dubois was “able-bodied and could work while in custody to make minimal payments towards any fine the Court orders.” Based on this information, the officer concluded that Dubois “ha[d] the ability to pay a fine within the fine guideline range” of $25,000 to $250,000.
Dubois objected to three parts of the presentence investigation report. First, he objected to the description of his offense conduct on the ground that “he is not guilty of the offense charged” because “the government did not prove that he knew what was in the box.” Second, Dubois objected to the probation officer‘s application of an enhanced base offense level of 20 because his Georgia marijuana conviction does not qualify as a categorical controlled substance offense under the guidelines. Last, he objected to the stolen-gun enhancement on the ground that applying it “on a strict liability basis” violates due process and that its accompanying commentary “impermissibly expands” the guideline beyond its plain text. Dubois did not object to the probation officer‘s recommended fine range or to the finding that Dubois could afford a fine within that range. And aside from the description of his offense conduct, Dubois did not object to any of the factual findings in the report.
The district court overruled Dubois‘s objections and, on March 1, 2022, sentenced Dubois to a below-guideline prison sentence of 110 months and a low-end fine of $25,000. It did not provide reasoning for the fine amount during the sentencing hearing, but Dubois‘s counsel made no specific objection to the amount or to Dubois‘s ability to pay it. His counsel made only a general objection: “I‘ll object to the sentence as procedurally and substantively unreasonable and also object to the substantive reasonableness specifically of both the sentence and the fine.”
Dubois appealed his convictions and sentence. While his appeal was pending, but before the parties filed their briefs, the Supreme Court decided in Bruen that “the Second and Fourteenth Amendments protect an individual‘s right to carry a handgun for self-defense outside the home.” 142 S. Ct. at 2122. Dubois later moved to stay his appeal pending two decisions. See United States v. Rahimi, No. 22-915 (U.S. argued Nov. 7, 2023); Jackson v. United States, No. 22-6640 (U.S. argued Nov. 27, 2023). We denied his motion to stay and his motion for reconsideration.
II. STANDARDS OF REVIEW
We review de novo a challenge to the sufficiency of the evidence, “viewing the evidence in the light most favorable to the government and resolving all reasonable inferences and credibility determinations in the government‘s favor.” United States v. Green, 981 F.3d 945, 960 (11th Cir. 2020). We will affirm the jury‘s verdict so long as “any reasonable construction of the evidence could have allowed the jury to find ‘the essential elements of the crime’ beyond a reasonable doubt.” United States v. Colston, 4 F.4th 1179, 1190 (11th Cir. 2021) (quoting Jackson v. Virginia, 443 U.S. 307, 319 (1979)). We also review de novo the interpretation and constitutionality of the Sentencing Guidelines. United States v. Amedeo, 370 F.3d 1305, 1312 (11th Cir. 2004) (interpretation); United States v. Matchett, 802 F.3d 1185, 1191 (11th Cir. 2015) (constitutionality). And we review de novo the denial of a motion for a judgment of acquittal. United States v. Seher, 562 F.3d 1344, 1364 (11th Cir. 2009). We review for plain error an unpreserved challenge to a criminal fine. See United States v. Hernandez, 160 F.3d 661, 665 (11th Cir. 1998).
III. DISCUSSION
We proceed in five parts. First, we explain that our precedent forecloses Dubois‘s argument that
A. Our Precedent Bars Dubois‘s Second Amendment Challenge.
Dubois challenges the denial of his motion for a judgment of acquittal on the felon-in-possession charge. See
In District of Columbia v. Heller, 554 U.S. 570, 635 (2008), the Supreme Court sustained a Second Amendment challenge to a District of Columbia law that prohibited private possession of handguns. The Court adopted an approach “bas[ed] o[n] both text and history” for analyzing gun restrictions and ruled the prohibition unconstitutional. Id. at 595. It held that law-abiding citizens have a Second Amendment right to possess handguns in the home for self-defense. Id. at 635–36.
Heller cautioned that the Second Amendment right “is not unlimited.” Id. at 626. Importantly, the Court stated that “nothing in [its] opinion should be taken to cast doubt on longstanding prohibitions on the possession of firearms by felons and the mentally ill.” Id. The Court labeled these federal regulations “presumptively lawful.” Id. at 627 n.26. And it explained that the Second Amendment guarantees a right to “law-abiding, responsible citizens” who “use arms in defense of hearth and home.” See id. at 635.
Two years after Heller, we rejected a challenge to
After Heller and Rozier came Bruen, which involved a challenge to New York‘s gun-licensing regime. 142 S. Ct. at 2122. New York prohibited law-abiding citizens from obtaining a license to carry outside the home unless they first proved “a special need for self-defense.” Id. The Court ruled the scheme unconstitutional because “the Second and Fourteenth Amendments protect an individual‘s right to carry a handgun for self-defense outside the home.” Id.
Bruen began its analysis by rejecting, as inconsistent with Heller, the second part of a two-step test that then prevailed in most circuits. See id. at 2125–30. Under that test, a court would first ask whether the challenged law burdened conduct that falls within the scope of the Second Amendment, “as historically understood.” See, e.g., United States v. Greeno, 679 F.3d 510, 518 (6th Cir. 2012). If it did, the court would review the regulation under either intermediate or strict scrutiny. See id. We embraced this two-part framework in dicta beginning in 2012, see GeorgiaCarry.Org, Inc. v. Georgia, 687 F.3d 1244, 1260 n.34 (11th Cir. 2012), but we have never actually applied the second, means-end-scrutiny step, see United States v. Jimenez-Shilon, 34 F.4th 1042, 1052–53 (11th Cir. 2022) (Newsom, J., concurring).
Bruen approved “[s]tep one of the predominant framework” as “broadly consistent with Heller, which demands a test rooted in the Second Amendment‘s text, as informed by history.” 142 S. Ct. at 2127. But Bruen rejected the second, “means-end scrutiny” step as incompatible with Heller, which “expressly rejected” applying a “judge-empowering interest-balancing inquiry” to analyze Second Amendment challenges. id. at 2127, 2129 (internal quotation marks omitted) (quoting Heller, 554 U.S. at 634). Bruen then reiterated that “Heller‘s text-and-history standard” is the correct test for determining the constitutionality of gun restrictions. See id. at 2138.
The Supreme Court left no doubt that it viewed its decision as a faithful application of Heller, not a departure from it. See, e.g., id. at 2122 (stating that its holding is “consistent with Heller“); id. at 2131 (stating that its test “[f]ollow[s] the course charted by Heller“); id. (stating that “[t]he test that [the Court] set forth in Heller” is the same one that courts must “apply today“). That approval of Heller included the recognition that the Second Amendment is “subject to certain reasonable, well-defined restrictions.” id. at 2156 (citing Heller, 554 U.S. at 581). Although the Court did not mention felon-in-possession
To determine whether Bruen abrogates Rozier, we apply our prior-panel-precedent rule: “a prior panel‘s holding is binding on all subsequent panels unless and until it is overruled or undermined to the point of abrogation by the Supreme Court or by this court sitting en banc.” In re Lambrix, 776 F.3d 789, 794 (11th Cir. 2015) (quoting United States v. Archer, 531 F.3d 1347, 1352 (11th Cir. 2008)).
An intervening Supreme Court decision abrogates our precedent only if the intervening decision is both “clearly on point” and “clearly contrary to” our earlier decision. Edwards v. U.S. Att‘y Gen., 56 F.4th 951, 965 (11th Cir. 2022) (emphasis omitted) (citation and internal quotation marks omitted). If the Supreme Court “never discussed” our precedent and did not “otherwise comment[] on” the precise issue before the prior panel, our precedent remains binding. See United States v. Vega-Castillo, 540 F.3d 1235, 1238-39 (11th Cir. 2008). To abrogate a prior-panel precedent, “the later Supreme Court decision must ‘demolish’ and ‘eviscerate’ each of its ‘fundamental props.‘” Del Castillo v. Sec‘y, Fla. Dep‘t of Health, 26 F.4th 1214, 1223 (11th Cir. 2022) (alterations adopted) (citation omitted), cert. denied, Del Castillo v. Ladapo, 143 S. Ct. 486 (2022). So, for example, if our precedent relied on “a line of Supreme Court precedents that the [Supreme] Court itself emphasizes in a later decision is not implicated by that later decision,” the Supreme Court‘s intervening decision “cannot have” abrogated our precedent. Id.
Bruen did not abrogate Rozier. Because the Supreme Court “made it clear in Heller that [its] holding did not cast doubt” on felon-in-possession prohibitions, McDonald, 561 U.S. at 786 (plurality opinion), and because the Court made it clear in Bruen that its holding was “[i]n keeping with Heller,” 142 S. Ct. at 2126, Bruen could not have clearly abrogated our precedent upholding
Dubois argues that we may depart from Rozier because Bruen abrogated “[a]ll prior precedent relying on the two-step analysis.” But Rozier upheld
B. Sufficient Evidence Supported the Verdict.
Dubois also argues that the district court erred by denying his motion for a judgment of acquittal on all counts because there was insufficient evidence that
Although there is no direct evidence that Dubois knew that the box contained firearms, the prosecution may and often does prove knowledge using circumstantial evidence. Id. at 1190 (“Guilty knowledge can rarely be established directly.“). And there is ample circumstantial evidence that allowed a reasonable jury to find that Dubois knew that firearms were in the box. For example, there is substantial evidence that Dubois tried to make the illicit shipment untraceable to either himself or the intended recipient—efforts that would be inexplicable if Dubois did not know that the box contained illegal contraband. In particular, the jury heard that Dubois gave Morris fake names, addresses, and phone numbers for both himself and the recipient; that Dubois falsely certified that this information was accurate; and that he paid for the transaction in cash. See United States v. Myers, 550 F.2d 1036, 1049 (5th Cir. 1977) (stating that “concealment, assumption of a false name, and related conduct[]” may be evidence of guilt (citation omitted)). The parties also stipulated at trial that Dubois knew that he was a felon when he possessed the box. Dubois‘s felon status provides a plausible motivation for his lying about the shipment and supports an inference that he knew the box contained firearms or ammunition as opposed to some other contraband. Dubois also knew some of the contents of the package: he told Morris that the box contained “two frying pans,” and the box in fact contained “two deep fryers” in addition to the firearms and ammunition. That Dubois knew some of the contents of the box supports an inference that he knew the remaining contents as well. And by delivering the box to the ship store, Dubois “was instrumental to [the] success” of the criminal plan—another circumstantial “guidepost[]” by which we have said a jury may infer knowledge. Colston, 4 F.4th at 1190.
We accept Dubois‘s argument that the evidence also supports an inference that he was being directed by someone else to mail the package: someone else drove Dubois to the ship store; Dubois read some of the shipping information that he relayed to Morris from a piece of paper; and Dubois made or took three phone calls during the brief transaction to confirm that information. But that inference is consistent with the inference that Dubois too knew the package contained a gun. See id. (“[I]f a defendant . . . was in frequent contact with someone who knew th[e critical] fact, then a jury may be able to infer knowledge.“). This “reasonable construction of the evidence” allowed the jury to find that the prosecution proved Dubois‘s knowledge beyond a reasonable doubt. See id.
C. Dubois‘s Georgia Marijuana Conviction is a “Controlled Substance Offense” Under the Sentencing Guidelines.
Next, Dubois argues that we should vacate his sentence because his 2013 conviction for possession with intent to distribute marijuana is not a predicate “controlled substance offense” under the Sentencing Guidelines. Although Dubois‘s base offense level for his firearm convictions would ordinarily be 14, see
To determine whether a state conviction qualifies as a controlled substance offense under the guidelines, we apply the “categorical approach.” Hollis v. United States, 958 F.3d 1120, 1123 (11th Cir. 2020). This approach requires us to compare the guideline definition of “controlled substance offense” with the state statute of conviction. United States v. Lange, 862 F.3d 1290, 1293 (11th Cir. 2017), abrogated on other grounds by United States v. Dupree, 57 F.4th 1269 (11th Cir. 2023) (en banc). Unless “the least culpable conduct prohibited under the state law . . . qualif[ies] as a predicate [controlled substance] offense,” the defendant‘s state conviction cannot be the basis of an enhancement under the guidelines, regardless of the actual conduct underlying the conviction. See United States v. Laines, 69 F.4th 1221, 1233 (11th Cir. 2023).
Dubois argues that his Georgia conviction for possession with intent to distribute marijuana does not qualify him for base-level enhancement because his statute of conviction is categorically broader than the guideline definition of “controlled substance offense.” He explains that at the time of his conviction in 2013, both Georgia and federal law defined “marijuana” to include hemp. See
Our precedent does not resolve Dubois‘s challenge. The government relies on our decision in United States v. Bates, 960 F.3d 1278, 1293 (11th Cir. 2020), which held that “Bates‘s prior Georgia convictions for possession of marijuana with intent to distribute qualified as predicate [controlled substance] offenses . . . [under] the Guidelines.” But there was no intervening-change-of-law problem in Bates. Even though Bates was decided after the amendments excluding hemp from the Georgia and federal definitions of marijuana were passed, Bates was convicted of the Georgia marijuana offense and sentenced for the federal firearm offense before those amendments were passed. See Brief of Appellant at 1, 10, United States v. Bates, 960 F.3d 1278 (11th Cir. 2020) (No. 18-12533), 2018 WL 4858856, at *1, *10.
We must decide whether marijuana is a “controlled substance” under the guideline definition of “controlled substance offense,” see
1. For a Prior State Conviction, a “Controlled Substance” is a Substance Regulated by State Law.
The first sub-question is whether “controlled substance” is defined by reference to federal or state drug schedules. Most circuits that have addressed it have held that, for prior state convictions, a “controlled substance” is one regulated by state law, even if it is not also regulated by federal law. See United States v. Lewis, 58 F.4th 764, 768–69 (3d Cir. 2023); United States v. Ward, 972 F.3d 364, 372 (4th Cir. 2020); United States v. Jones, 81 F.4th 591, 599 (6th Cir. 2023); United States v. Ruth, 966 F.3d 642, 654 (7th Cir. 2020); United States v. Henderson, 11 F.4th 713, 718 (8th Cir. 2021); United States v. Jones, 15 F.4th 1288, 1291 (10th Cir. 2021). But two circuits have held that the meaning of “controlled substance” is limited to drugs regulated by the federal Controlled Substances Act, even for state-law convictions. See United States v. Townsend, 897 F.3d 66, 74–75 (2d Cir. 2018); United States v. Bautista, 989 F.3d 698, 702 (9th Cir. 2021); see also United States v. Crocco, 15 F.4th 20, 23 (1st Cir. 2021) (describing, in dicta, this federal-law-only approach as “appealing” and the majority approach as “fraught with peril“); United States v. Gomez-Alvarez, 781 F.3d 787, 793–94 (5th Cir. 2015) (adopting a federal-law-only approach to define “controlled substance” under section 2L1.2(b)(A)(i) of the Sentencing Guidelines).
We adopt the majority approach. A drug regulated by state law is a “controlled substance” for state predicate offenses, even if federal law does not regulate that drug. More precisely, state law defines which drugs qualify as a “controlled substance” if the prior conviction was under state law, and federal law defines which drugs qualify as a “controlled substance” if the prior conviction was under federal law. This approach is compelled by the text of the guidelines and our precedent.
We begin with the text. “When interpreting the guidelines, we apply the traditional rules of statutory construction.” United States v. Stines, 34 F.4th 1315, 1318 (11th Cir. 2022) (citation and internal quotation marks omitted). And “in every statutory-interpretation case, we start with the text—and, if we find it clear, we end there as well.” Heyman v. Cooper, 31 F.4th 1315, 1318 (11th Cir. 2022) (citation and internal quotation marks omitted). The text of the guidelines makes clear that a “controlled substance” includes a substance that is regulated only by the law of the state of conviction.
Although the guidelines do not define “controlled substance,” they define “controlled substance offense” broadly to include “an offense under federal or state law.”
Moreover,
Our precedent supports our rejection of the federal-law-only approach. We have held that a state statute need not include the same elements as a generic “federal analogue[]” crime to constitute a controlled substance offense because “the sentencing guidelines d[o] not define ‘controlled substance offense’ by reference to those analogues.” United States v. Pridgeon, 853 F.3d 1192, 1198 (11th Cir. 2017) (citing United States v. Smith, 775 F.3d 1262, 1268 (11th Cir. 2014)). And the identity of “marijuana” as the substance possessed is undoubtedly an element of Dubois‘s statute of conviction, which criminalizes “possess[ion] with intent to distribute marijuana.”
The two sister-circuit decisions adopting the federal-law-only approach do not persuade us. The Second Circuit selected that rule by relying on the presumption that “the application of a federal law does not depend on state law.” Townsend, 897 F.3d at 71 (citing Jerome v. United States, 318 U.S. 101, 104 (1943) (“[W]e must generally assume, in the absence of a plain indication to the contrary, that Congress when it enacts a statute is not making the application of the federal act dependent on state law.“)). But that presumption is overcome by the plain text of
Nor are we swayed by the reasoning of the Ninth Circuit that our approach undermines the guidelines’ “goal[]” of uniformity. See Bautista, 989 F.3d at 702;
Because Dubois‘s underlying conviction was under Georgia law, we consult
2. “Controlled Substance” is Defined by the Law in Effect at the Time of the Prior State Conviction.
Next, we must decide whether the guideline definition of “controlled substance offense” incorporates the state drug schedules in effect when Dubois was convicted of his state drug offense or the version in effect when he was sentenced for his federal firearm offense. We presume under the categorical approach that Dubois was convicted for trafficking hemp, which the parties agree was the least culpable conduct criminalized. So if district courts must look to the time of conviction, the district court correctly concluded that Dubois‘s 2013 Georgia marijuana conviction is a “controlled substance offense” under the guidelines because hemp was a controlled substance under Georgia law at that time. But if district courts must instead look to the time of sentencing, hemp‘s delisting from the state drug schedules before sentencing means that Dubois‘s 2013 conviction is not a controlled substance offense and that the enhancement was improper.
Our sister circuits are split on this timing question. Three have adopted a time-of-state-conviction approach. See Lewis, 58 F.4th at 771; United States v. Clark, 46 F.4th 404, 406 (6th Cir. 2022), cert. denied, 144 S. Ct. 107 (2023); United States v. Perez, 46 F.4th 691, 703 (8th Cir. 2022). Two others follow a time-of-federal-sentencing approach. See United States v. Abdulaziz, 998 F.3d 519, 524 (1st Cir. 2021); Bautista, 989 F.3d at 703; see also United States v. Gibson, 55 F.4th 153, 159, 166 (2d Cir. 2022) (concluding that a time-of-sentencing rule is “more appropriate” but declining to decide whether “the district court should consult the [Controlled Substances Act] version at the time of the defendant‘s current offense or the version at the time of his sentencing for this offense, since the controlled substance schedules were narrower than state law at both times“), adhered to on reh‘g, 60 F.4th 720 (2d Cir. 2023).
We adopt a time-of-state-conviction rule: the term “controlled substance,” see
We begin again with the text. The guideline assigns the defendant a base offense level of 20 if he “committed any part of the instant offense subsequent to sustaining one felony conviction of . . . a controlled substance offense.”
The Supreme Court‘s decision in McNeill supports this interpretation. McNeill involved “a closely related question” under the Armed Career Criminal Act,
The Supreme Court unanimously held that the “plain text” of the Armed Career Criminal Act requires sentencing courts to consider the maximum penalties in place at the time of the state conviction, not those in place at the time of the federal firearms sentencing. Id. at 820. The Court reasoned that the phrase “previous convictions” in the Act calls for a “backward-looking” inquiry, answerable only by “consult[ing] the law that applied at the time of that conviction.” Id. And the Court explained that the “[u]se of the present tense in the definition of ‘serious drug offense‘“—which refers to a maximum penalty that “is prescribed by law“—“does not suggest otherwise.” Id. (emphasis added). The “natural reading” of the text clearly “is concerned with convictions that have already occurred“; Congress “used the present tense to refer to past convictions.” Id. at 820, 822. It would be “absurd,” the Court explained, to permit “subsequent changes in state law [to] erase an earlier conviction” under the Act. Id. 822-23. That interpretation would also yield “dramatically different federal sentences” for defendants “who violated [section] 922(g) on the same day and who had identical criminal histories” based “solely” on the happenstance of their federal sentencing dates. Id. at 823. The time-of-state-conviction approach, in contrast, promotes fair notice and uniformity by allowing “a defendant to know even before he violates [section] 922(g) whether [the Act] would apply.” Id. Although this interpretation of the Armed Career Criminal Act does not bind our interpretation of the guidelines, McNeill‘s analysis “is nonetheless instructive” because the two provisions are similar. See United States v. Patton, 114 F.3d 174, 177 (11th Cir. 1997); cf. United States v. Fritts, 841 F.3d 937, 940 n.4 (11th Cir. 2016) (“Because the relevant parts of the definition of ‘violent felony’ under the [Armed Career Criminal Act] and ‘crime of violence’ under the Sentencing Guidelines are identical, this Court often considers cases interpreting the language in the Sentencing Guidelines as authority in cases interpreting the language in the [Act].“).
The four reasons that led the Supreme Court in McNeill to adopt a time-of-state-conviction approach under the Armed Career Criminal Act apply readily to our interpretation of the Sentencing Guidelines.
The circuits that have adopted a time-of-federal-sentencing interpretation bypassed McNeill‘s reasoning on a ground not applicable here. Those circuits all applied the federal-law-only approach for defining which drugs are controlled substances under the guidelines. See Bautista, 989 F.3d at 702; Abdulaziz, 998 F.3d at 523 & n.2 (applying the federal-law-only approach because the government forfeited, by not timely raising, the argument that a state-law approach applied); see also Gibson, 55 F.4th at 164. Having selected that approach, the issue before those courts became which version of the federal drug schedules courts must consult to determine whether a prior drug conviction involved a “controlled substance.” The question in McNeill was different, these courts reasoned, because it involved an intervening change in state law, not federal law. Bautista, 989 F.3d at 703 (“Unlike in McNeill, the state law in our case has not changed. Rather, federal law has changed.“); Gibson, 55 F.4th at 162 (“[T]he focus [in McNeill] was not on federal law but only on North Carolina law.“); Abdulaziz, 998 F.3d at 530 (“[I]n McNeill, the Court did not consider—because it had no occasion to consider—the issue of what temporal version of the federal drug schedules was relevant.“). Putting aside whether that distinction warrants a departure from McNeill‘s reasoning, the distinction is absent here. Because we hold that state law defines which drugs are controlled substances for state predicate offenses, the focus here, as in McNeill, is state law. And Dubois‘s arguments for applying a time-of-sentencing rule run headlong into McNeill.
To sum up, we hold that a “controlled substance” under
D. Our Precedent Bars Dubois‘s Challenge to the Stolen-Gun Enhancement.
The district court enhanced Dubois‘s base offense level under the guidelines after finding that one of the guns he possessed had been stolen. See
Dubois acknowledges that our precedent bars his challenge, but he asks us to “revisit” and “overturn” it in the light of Kisor v. Wilkie, 139 S. Ct. 2400 (2019). Kisor holds that courts may not give controlling deference to an agency‘s interpretation of its own regulation unless the regulation is “genuinely ambiguous.” Id. at 2414. And we have extended this rule to commentary interpreting the Sentencing Guidelines. Dupree, 57 F.4th at 1276. The commentary to the stolen-gun guideline states that the enhancement applies “regardless of whether the defendant knew or had reason to believe that the firearm was stolen.”
Dubois attacks a strawman. Richardson did not mention the commentary to the stolen-gun enhancement—the decision rested only on the guideline‘s text, which this Court held was “not ambiguous” and “clearly” imposed “no mens rea requirement.” 8 F.3d at 770. It is true that our later decision in Holden cites both Richardson and the challenged commentary when reiterating that “knowledge that [the gun] is stolen property is not a prerequisite to the application of [section] 2K2.1(b)(4).” Holden, 61 F.3d at 860. But the Holden Court did not purport to give the commentary “controlling weight,” so that decision does not implicate Kisor‘s limitations on Auer deference. See Rafferty v. Denny‘s, Inc., 13 F.4th 1166, 1179 (11th Cir. 2021). Even if it had, to the extent that Holden‘s reasoning departs from Richardson‘s, Richardson‘s controls. See MacPhee v. MiMedx Grp., 73 F.4th 1220, 1250 (11th Cir. 2023) (under the “earliest case” rule, when prior panel precedents conflict, the earlier case controls (citation and internal quotation marks omitted)); Thompson v. Alabama, 65 F.4th 1288, 1301 (11th Cir. 2023) (a later panel is bound by “the reasoning” of “the first panel‘s ruling” (citation and internal quotation marks omitted)). We affirm the application of the stolen-gun enhancement.
E. The District Court did Not Plainly Err by Imposing a Fine.
Dubois‘s final challenge is to the district court‘s imposition of a low-end $25,000 fine. He argues that he is unable to pay the fine and that the district court was required to, but did not, provide reasons for imposing it. We reject his challenge and affirm the fine.
The guidelines require the district court to impose a fine in every case, unless “the defendant establishes” that he is presently unable to pay a fine and will not likely become able to pay one in the future.
Although we ordinarily review for clear error a finding that a defendant can afford a fine, see United States v. McGuinness, 451 F.3d 1302, 1307 (11th Cir. 2006), we review only for plain error if the defendant fails to object on the basis of his inability to pay the fine, see Hernandez, 160 F.3d at 665. To preserve clear-error review, an objection must be specific enough to “adequately apprise[] the trial court of the true basis for [the] objection.” United States v. Williford, 764 F.2d 1493, 1502 (11th Cir. 1985) (citation and internal quotation marks omitted). So “a general objection or an objection on other grounds will not suffice.” United States v. Gallo-Chamorro, 48 F.3d 502, 507 (11th Cir. 1995). Nor will “vague reference[s] to [the] concern.” Williford, 764 F.2d at 1502. The defendant also must “specifically and clearly object” to any disputed facts listed in the presentence investigation report; otherwise, those facts are deemed admitted, and the district court is entitled to rely on them at sentencing. United States v. Corbett, 921 F.3d 1032, 1043 (11th Cir. 2019) (citation and internal quotation marks omitted).
Dubois failed to object on the basis of his inability to pay the fine in response to the presentence investigation report or during his sentencing hearing, so we review his objection for plain error. In his objections to the report, Dubois did not challenge the probation officer‘s assertion that he could afford a fine of up to $250,000. Nor did he challenge any of the findings about his assets, liabilities, income, or ability to work for pay while incarcerated. And during the sentencing hearing, defense counsel made only a vague, general objection—challenging both the fine and sentence as “substantively unreasonable.” “This abstract and general objection did not inform the district court of [Dubois]‘s specific objections to [the fine], and [Dubois] thereby deprived the court of the opportunity to consider (and if necessary correct) them.” See United States v. Carpenter, 803 F.3d 1224, 1238 (11th Cir. 2015). Dubois‘s counsel never argued that Dubois could not afford to pay the fine or otherwise asked the district court for “further findings with respect to the fine.” Gonzalez, 541 F.3d at 1256 (quoting Hernandez, 160 F.3d at 666). These challenges, which Dubois raises for the first time on appeal, are not challenges to the substantive reasonableness of the fine. See United States v. Bradley, 644 F.3d 1213, 1304 (11th Cir. 2011) (explaining that the defendant‘s inability to pay a fine does not make it “substantively unreasonable“); Gall v. United States, 552 U.S. 38, 51 (2007) (explaining that challenging the district court‘s “fail[ure] to adequately explain the chosen sentence” challenges the sentence‘s procedural reasonableness, not its substantive reasonableness).
The district court did not plainly err by imposing a $25,000 fine without explanation because the record contains unchallenged evidence of Dubois‘s ability to pay it. See Hernandez, 160 F.3d at 665-66. Even on appeal, Dubois does not dispute the probation officer‘s findings that Dubois had a total net worth of over $54,000 (more than double the fine amount), that he had an additional monthly income of over $3,000, or that he was “able-bodied and could work while in custody to make minimal payments towards
IV. CONCLUSION
We AFFIRM Dubois‘s convictions and sentence.
ROSENBAUM, J., Concurring
ROSENBAUM, Circuit Judge, joined by ABUDU, Circuit Judge, Concurring:
I concur in today‘s decision, including the conclusion that we must look to state law at the time of the prior conviction to determine whether, under
That said, I write separately for two reasons. First, I explain that today‘s approach is correct regardless of the Supreme Court‘s forthcoming decisions in Jackson v. United States, No. 22-6640, and Brown v. United States, No. 22-6389. Second, I identify two policy reasons in favor of revising the Sentencing Guidelines to take a time-of-sentencing approach.
A. No matter how the Court rules, Jackson and Brown are distinguishable.
I begin with a brief discussion of Jackson and Brown. I then explain that, however the Court rules, those decisions are unlikely to alter our conclusion that Dubois‘s state conviction is a “controlled substance offense” under the Sentencing Guidelines.
Both Jackson and Brown concerned the definition of “serious drug offense” in the Armed Career Criminal Act (“ACCA“),
Jackson challenged his ACCA enhancement, asserting that his prior cocaine-related state convictions did not qualify as “serious drug offenses.” United States v. Jackson, 55 F.4th 846, 850 (11th Cir. 2022), cert. granted, 143 S. Ct. 2457 (2023). Jackson argued that his prior cocaine-related state conviction was categorically overbroad because the state‘s definition of “cocaine” was broader than the federal definition at the time of his federal firearm offense. Id. at 851. We rejected this argument, holding that the definition of “serious drug offense” incorporates the version of the federal Controlled Substances Act (“CSA“) in effect at the time of the defendant‘s prior state drug conviction, not the version in effect at the time of the later federal firearm
Similarly, Brown challenged his ACCA enhancement based on a prior state marijuana conviction. United States v. Brown, 47 F.4th 147, 148 (3d Cir. 2022), cert. granted, 143 S. Ct. 2458 (2023). He asserted that his prior state offense no longer qualified as a “serious drug offense” after Congress amended the federal CSA to remove hemp from the definition of “marijuana.” Id. The Third Circuit applied the federal CSA in effect when Brown committed his federal offense, not at the time of his prior state conviction or at the time of federal sentencing. Id. at 155.
The Supreme Court granted certiorari to resolve this timing question—whether a sentencing court applies the federal CSA at the time of the prior state conviction, federal firearm offense, or federal sentencing when imposing an ACCA enhancement.
Unlike Jackson and Brown, Dubois‘s case arises under the Sentencing Guidelines, not under ACCA. And that makes all the difference, if the Supreme Court concludes in Jackson and Brown that ACCA‘s definition of “serious drug offense” requires courts to consider the federal controlled-substances lists applicable at the time of the federal firearm offense (or sentencing) rather than at the time of the prior state offense.
ACCA defines the term “controlled substance” with express reference to the federal CSA. See
In other words, by expressly referencing the CSA and incorporating its definition of “controlled substance” into ACCA, Congress intended that ACCA would effectively be amended every time that Congress amended the CSA (or the Attorney General updated the CSA lists1). So to trigger an ACCA enhancement, a defendant‘s prior
But the text of ACCA‘s definition of “serious drug offense” and the Guidelines’ definition of “controlled substance offense” differ in three important ways that make any such holding in Jackson and Brown inapplicable to the Sentencing Guidelines context.
First, unlike ACCA,
Because the guideline lacks a cross-reference to another specified law, it does not provide the same basis that ACCA‘s text may for us to adopt the meaning of “controlled substance” at the time of the federal firearm offense (or federal sentencing).
Second, while Congress can amend the federal CSA (and thus effectively ACCA) at any time, it cannot amend state drug schedules. Nor can the federal Sentencing Commission. So Congress‘s amendment of the federal CSA or any other federal law2 doesn‘t allow us to conclude that a newer version of state controlled-substances lists govern.
Nor can states amend the federal Sentencing Guidelines. So it makes little sense to condition application of the federal Guidelines on changes in state law if the text of the guideline in question does not otherwise require it.
Third, because the Guidelines lack any statutory cross-reference—and that is the only material difference between ACCA‘s definition of “serious drug offense” the Guidelines’ definition of “controlled substance offense“—nothing allows us to persuasively distinguish McNeill. McNeill requires us to look to the state‘s penalty for the prior state offense at the time of the prior state conviction, not at the time of the federal firearm offense (or federal sentencing), if the state has amended that penalty. 563 U.S. at 825. That‘s so because the term “previous convictions” in ACCA directs a “backward-looking” inquiry, and “subsequent changes in state law [do not] erase an earlier conviction.” Id. at 820, 823.
In the same way,
Indeed, if the Supreme Court upholds our ruling in Jackson, then as in that case, McNeill drives the answer here. The only
But if the Supreme Court reverses Jackson—holding that ACCA‘s express reference to the CSA requires us to consult the CSA as it existed at the time of the federal offense (or federal sentencing)—that reasoning doesn‘t translate to the Guidelines context because the Guidelines lack an express cross-reference to another statute. So whatever the Supreme Court may decide about ACCA‘s unique text and the question of which version of the federal CSA governs under it, that decision does not bear on the distinct question of which version of the state‘s controlled-substances lists governs in the Guidelines context. See Jackson, 55 F.4th at 856 n.7 (quoting Brown, 47 F.4th at 154) (“‘longstanding principles of statutory interpretation allow different results under the Guidelines as opposed to under the ACCA‘“).
In short, McNeill and the text of the Guidelines require us to conclude that Dubois‘s state marijuana conviction remains a “controlled substance offense” under the Sentencing Guidelines even if it would not qualify as a “serious drug offense” under ACCA. So I concur in today‘s judgment.
B. The Sentencing Commission should consider revising the guidelines to take a time-of-sentencing approach.
As I‘ve explained, I believe that our holding today is legally compelled. But at least two policy reasons suggest that the Sentencing Commission may wish to revisit the guidelines’ definition of “controlled substance offense.”
First, as the First Circuit has pointed out, “[a] guideline‘s enhancement for a defendant‘s past criminal conduct—such as the enhancement that [U.S.S.G.] § 2K2.1(a)(4)(A) imposes—is reasonably understood to be based in no small part on a judgment about how problematic that past conduct is when viewed as of the time of the sentencing itself.” United States v. Abdulaziz, 998 F.3d 519, 528 (1st Cir. 2021). So when the state that criminalized the conduct underlying the defendant‘s prior conviction determines that conduct no longer warrants treatment as a criminal offense, that is evidence that the state no longer views the underlying conduct as problematic.3 As a result, it undercuts the basis for enhancing the defendant‘s sentence based on his prior conviction for that conduct.
Second, whether or not
Besides that, even without the guideline‘s enhancement, the sentencing judge retains the discretion to account further
In my view, these circumstances provide good reason for the Sentencing Commission to consider expressly whether
