United States v. DuffeyUnited States v. Duffey
CORY T. WILSON, Circuit Judge:
The primary issue in this appeal is whether § 403 of the First Step Act applies to post-enactment resentencings of defendants whose pre-enactment sentences were vacated after the law was enacted. It does not, so Appellants’ § 403 claims lack merit. Further, Appellant Duffey‘s challenge to the application of a sentencing enhancement at his resentencing and Appellant Hewitt‘s challenge to his remaining
I.
Appellants Corey Deyon Duffey, Jarvis Dupree Ross, and Tony R. Hewitt were convicted in 2009 on numerous counts of conspiracy, attempted bank robbery, and bank robbery, as well as using a firearm in furtherance thereof, in violation of
Appellants filed unsuccessful motions to vacate, set aside, or correct their sentences under
In 2020, Appellants filed motions for authorization to file successive
Appellants then filed their successive habeas applications in the district court, which granted relief. The district court vacated Appellants’
Prior to Appellants’ resentencing hearings, they each filed objections to their respective presentence reports (PSR), arguing, inter alia, that § 403 of the First Step Act of 2018 applied to their resentencing. Specifically, they argued they were subject only to the five-year mandatory minimum sentence set by
In addition to Appellants’ § 403 arguments, Duffey and Hewitt each raised additional arguments at their 2022 resentencings that are at issue in this appeal. Duffey objected to the application of a two-level adjustment under
The district court overruled Appellants’ objections—including Duffey‘s physical-restraint enhancement objection—and denied Hewitt‘s motion to dismiss. Appellants were then resentenced as follows: Duffey received 1,560 months imprisonment; Ross received 1,625 months imprisonment; and Hewitt received 1,625 months imprisonment. Appellants now challenge those sentences.
II.
We review questions of statutory interpretation de novo. United States v. Tilford, 810 F.3d 370, 371 (5th Cir. 2016). We review the district court‘s interpretation and application of the Sentencing Guidelines de novo and its factual findings for clear error. United States v. Garcia, 857 F.3d 708, 711-12 (5th Cir. 2017). On matters of jurisdiction, our review is de novo, using the same standard as the district court. Gulf Petro Trading Co. v. Nigerian Nat‘l Petroleum Corp., 512 F.3d 742, 746 (5th Cir. 2008). Questions of law relating to a
III.
We must first determine whether § 403(a) of the First Step Act applies to Appellants’ latest resentencings. We conclude it does not.
“[W]e start where we always do: with the text of the statute.” Van Buren v. United States, 141 S. Ct. 1648, 1654 (2021). Section 403(b) of the First Step Act states that § 403(a) “shall apply to any offense that was committed before the date of enactment of th[e] Act, if a sentence for the offense has not been imposed as of such date of enactment.” In the mine run of pending cases, application of this language is straightforward. But does the First Step Act‘s reach encompass prior offenses for which a pre-Act sentence is later vacated? Can it be said that such a sentence “has not been imposed“?
These questions have “vexed[] and split[] our sister circuits.” United States v. Mitchell, 38 F.4th 382, 386 (3d Cir. 2022). On one side of the split, the Third, Fourth, and Ninth Circuits have held that the First Step Act “requires [courts] to treat the vacated sentence as if it were never imposed[]” so that § 403(b) encompasses offenses involving the post-enactment vacatur of pre-enactment sentences. United States v. Merrell, 37 F.4th 571, 577-78 (9th Cir. 2022); see also Mitchell, 38 F.4th at 389; United States v. Bethea, 841 Fed. App‘x 544, 550-51 (4th Cir. 2021).2 On the other side, the Sixth Circuit has held that § 403(b) does not apply when, notwithstanding post-enactment vacatur, “a sentence had been imposed” prior to the date of enactment. United States v. Jackson, 995 F.3d 522, 525 (6th Cir. 2021); see also United States v. Carpenter, 80 F.4th 790, 791 (6th Cir. 2023) (Kethledge, J., joined by Sutton, C.J., Thapar, and Bush, JJ., concurring in the denial of rehearing en banc) (“[F]or purposes of precluding the Act‘s retroactivity as to the sentence for a particular conviction—the imposition of any sentence will do. For § 403(b) simply asks whether, as of the Act‘s date of enactment (December 21, 2018), ‘a’ sentence has or ‘has not been imposed[.]‘“) (citation omitted). As explained below, we agree with the Sixth Circuit‘s interpretation of § 403(b) because it is the reading more faithful to the statute‘s text.
“When faced with questions of statutory construction, ‘we must first determine whether the statutory text is plain and unambiguous’ and, ‘[i]f it is, we must apply the statute according to its terms.‘” Asadi v. G.E. Energy (USA) L.L.C., 720 F.3d 620, 622 (5th Cir. 2013) (quoting Carcieri v. Salazar, 555 U.S. 379, 387 (2009)). “The plainness or ambiguity of statutory language is determined by reference to the language itself, the specific context in which that language is used, and the broader context of the statute as a whole.” Id. (quoting Robinson v. Shell Oil Co., 519 U.S. 337, 341 (1997)). “If the statutory text is unambiguous, our inquiry begins and ends with the text.” Id. (quoting BedRoc Ltd. v. United States, 541 U.S. 176, 183 (2004)).
Appellant Hewitt and the Government both argue that § 403(b)‘s reference to “a sentence” is “ambiguous as to whether it refers to the historical fact of the imposition of a sentence, regardless of its validity, or whether it refers to the imposition of a sentence with continuing validity.” The thrust of their ambiguity argument stems from § 403(b)‘s use of the present-perfect tense in the phrase “has not been imposed[.]” The Government maintains that this language “indicates that Congress was not focused on the single point in time of the pronouncement of the judgment, but rather on the sentence‘s continuing validity.” We disagree.
As an initial matter, we have previously said that a sentence is “imposed” “when the district court pronounces it[.]” United States v. Gomez, 960 F.3d 173, 178 (5th Cir. 2020). Thus, the phrase “has not been imposed” suggests an act yet to be completed by the district court. See Uriarte, 975 F.3d at 606-07 (Barrett, J., dissenting). Put differently, whether a sentence has been “imposed” appears to hinge on a district court‘s action or inaction—not on a defendant‘s status. See id. at 607. Because of this, § 403(b)‘s use of “imposed” puts the “focus on the historical fact” of a sentence‘s imposition. Id.
Couple this with § 403(b)‘s delineation that the First Step Act applies to defendants for whom “a sentence ha[d] not been imposed” as of the enactment date. Again, in the mine run of cases, the statute‘s
But in today‘s case, a question remains: Does § 403(b)‘s use of “a sentence” mean any sentence—including subsequently vacated ones—or, as the parties argue, does it mean only a sentence with continuing validity? The answer is the former.
Section 403(b)‘s text does not indicate that Congress intended for the First Step Act to apply only to a sentence with continuing validity. The Government‘s argument to the contrary tracks with the Fourth and Seventh Circuits’ reasoning: “Had Congress intended the phrase ‘a sentence’ to convey a very broad meaning, it could have used the word ‘any’ as it did earlier in the same sentence[.]” Bethea, 841 F. App‘x at 549 (quoting Uriarte, 975 F.3d at 604 (majority opinion)). But that gun kicks as hard as it shoots. If Congress meant for the First Step Act‘s retroactivity bar to apply only to valid sentences, it could easily have said so. Instead, § 403(b)‘s use of “the indefinite article ‘a’ is broad enough to refer to any sentence that has been imposed for the offense, even one that was subsequently vacated.” Uriarte, 975 F.3d at 608 (Barrett, J., dissenting).
True enough, Congress‘s use of “a sentence“—as opposed to “any sentence” or “a valid sentence“—could perhaps have been clearer. But “[t]he mere observation that the statutory language could be made clearer does not make it unclear in the first place.” Jackson, 995 F.3d at 526. Nor does it make it ambiguous. Indeed, “[u]nambiguity does not require perfection.... [W]e should not reject [§ 403(b)] just because it could be made even more clear.” Bethea, 841 F. App‘x at 557 (Quattlebaum, J, dissenting).
The parties urge us—admittedly with support from our sister circuits—to focus on the impact of sentence vacatur when interpreting § 403(b). But vacatur has no effect on our interpretation. As the Sixth Circuit made clear in Jackson, “vacatur does not erase [Appellants‘] prior sentence[s] from history.” Id. at 525 (quoting Vacate, BLACK‘S LAW DICTIONARY (11th ed. 2019)). “[E]liminating a sentence‘s prospective legal effect only ‘wipe[s] the slate clean’ looking forward.” Id. (quoting Pepper v. United States, 562 U.S. 476 (2011)). Indeed, “vacatur wipes the slate clean insofar as the defendant will be sentenced anew,” but it “does not require the district court to proceed as if the initial sentencing never happened.” Uriarte, 975 F.3d at 608 (Barrett, J., dissenting) (citing Pepper, 562 U.S. at 507-08).3 This makes good sense; otherwise, one who, as here, has been in prison for over a decade serving later-vacated sentences would nonetheless qualify as “a defendant on whom a sentence has not been imposed” as of the First Step Act‘s enactment date. Carpenter, 80 F.4th at 792 (Kethledge, J., concurring) (quoting Merrell, 37 F.4th at 578 (Boggs, J., dissenting)).
We find a helpful analogue in
defendant‘s prior sentence for purposes of determining his guidelines range . . . but at the same time pretend that sentence never happened for purposes of determining the defendant‘s mandatory minimum.” Id. We do not read § 403(b)‘s text to create such incongruity.
To summarize, we read § 403(b) as drawing the line for § 403(a)‘s application at the date on which a sentence—whether later-vacated or with ongoing validity—was imposed. We do not discern ambiguity in § 403(b)‘s language.4 Cf. Gomez, 960 F.3d at 177 (“The Act itself plainly states that § 403 is not retroactive: It applies to an offense committed before its December 21, 2018 effective date only ‘if a sentence for the offense ha[d] not been imposed as of such date.‘“); see also United States v. Smith, 967 F.3d 1196, 1212 (11th Cir. 2020) (“There is no ambiguity in § 403(b). It plainly draws a line based on the Act‘s enactment date and provides that whether the amendments in § 403(a) apply to a case depends on which side of that line the imposition of the sentence falls.“).5 Our analysis thus “begins and ends with the text.” Asadi, 720 F.3d at 622 (citation omitted). Applying that text, because sentences for Appellants’ offenses had been imposed upon them prior to the First Step‘s Act‘s December 21, 2018 enactment date—even though those sentences were later vacated in 2020—§ 403(a) of the First Step Act does not apply, as the district court correctly held.
IV.
Duffey also challenges his latest resentencing, in which the district court applied a two-level enhancement under
A.
Before we address the merits of Duffey‘s argument, we must first ensure
In Hanner, the defendant challenged whether his manslaughter conviction—entirely separate from those encompassed in the grant of his application to file a successive habeas application—qualified as an Armed Career Criminal Act predicate after a change in the law. Id. Because “Hanner neither sought nor obtained permission to file a successive § 2255 motion raising [that] claim[,]” the district court lacked jurisdiction to consider the issue, and Hanner‘s appeal was dismissed to the extent that issue was raised. Id.
Duffey‘s challenge to the two-level Guidelines enhancement diverges substantially from Hanner. His motion to file a successive habeas application was cabined to whether “he was convicted and sentenced under
B.
Turning to the merits, we agree with the Government that the district court properly applied the physical-restraint enhancement. Section 2B3.1(b)(4)(B) imposes a two-level enhancement “if any person was physically restrained to facilitate commission of the offense or to facilitate escape.” The Guideline commentary defines “physically restrained” as “the forcible restraint of the victim such as by being tied, bound, or locked up.” Garcia, 857 F.3d at 712 (quoting
Duffey relies primarily on Garcia to support his position. There, during an armed robbery, a defendant held a gun to an employee‘s head and demanded that he get down on the floor. Id. at 710. Based on this conduct, the district court approved
Duffey contends that Garcia encapsulates his situation, so the enhancement should not apply in his case, either. But Garcia is distinguishable. In Garcia, we noted that courts had previously found the physical-restraint enhancement appropriate “where defendants force their victims to move into confined spaces at gunpoint and instruct the victims not to leave.” Id. at 712 (collecting cases). The panel stressed that Garcia was not such a case because “the defendants allowed the employees to remain where they were and never forced them to move to a confined space.” Id. Duffey‘s case is more akin to United States v. Frank, 223 F. App‘x 412 (5th Cir. 2007). There, we found the physical-restraint enhancement applicable because the defendants “escorted a security guard and several casino employees to the casino manager‘s office at gunpoint and instructed them not to leave.” Frank, 223 F. App‘x at 413.
As in Frank, in the string of bank robberies in which Duffey was involved, Duffey and his partners in crime did more than “simply stand[] near a door, hold[] a firearm, and instruct[] a victim to get on the ground[.]” Garcia, 857 F.3d at 713. The district court‘s findings, adopted from Duffey‘s PSR, show that in each robbery, the banks’ managers “w[ere] held at gunpoint and moved to the vault and told to open the vault.” At Duffey‘s March 2022 resentencing hearing, the district court noted that Duffey and his cohorts “robbed . . . bank[s] in a takeover fashion[,]” and, in at least one of these robberies, pointed a gun at a bank manager‘s head and forced the manager to the vault area to open it, such that there were “more than enough facts to support restraint.” The district court‘s findings are plausible in light of the record as a whole. United States v. Rodriguez, 630 F.3d 377, 380 (5th Cir. 2011) (citations omitted). The district court therefore did not clearly err, and it follows that the court did not abuse its discretion in applying the
V.
We turn finally to whether the district court erred in determining that it did not have jurisdiction to vacate Hewitt‘s remaining
Before his 2022 resentencing, Hewitt moved to dismiss his convictions predicated on substantive bank robbery. Hewitt argued that because his initial convictions based on
When determining whether the district court has jurisdiction to decide the merits of a successive
We granted Hewitt‘s motion to file a successive
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Based on the foregoing, as to all issues presented, the district court is AFFIRMED.