United States v. Leroy S. Outen Rodney D. Smith Sheldon Wilford Donald Gordon Euton Christian Tyrone McFadden Herbie Noel, AKA "Wayne"United States v. Leroy S. Outen Rodney D. Smith Sheldon Wilford Donald Gordon Euton Christian Tyrone McFadden Herbie Noel, AKA "Wayne"
Defendant Herbie Noel appeals from a judgment of conviction entered by the United States District Court for the Eastern District of New York (Frederic Block,
Judge)
on two counts of possession of marijuana with intent to distribute, for each of which defendant was principally sentenced to 60 months’ imprisonment, and one count of conspiracy to possess with intent to distribute marijuana, for which he was sentenced principally to 110 months’ imprisonment, all sentences to run concurrently. The indictment did not charge, nor did the jury find, either the quantity of marijuana involved in any of the counts or whether the defendant received any remuneration in connection therewith. Defendant’s appeal presents two important questions arising from the Supreme Court’s landmark decision in
Apprendi v. New Jersey,
BACKGROUND
Defendant Noel was an employee of the Port Authority of New York and New Jersey (the “Port Authority”), which has primary responsibility for the operation of the three major airports serving New York City, including John F. Kennedy Airport (“JFK”). Defendant worked for the Port Authority at JFK, and by virtue of his position with the Port Authority he had access to certain restricted areas of the airport, including areas from which luggage arriving on international flights could be retrieved without subjecting it to scrutiny by the United States Customs Service. The government alleged that defendant used this position to smuggle shipments of narcotics into the United States.
Defendant was prosecuted pursuant to a superseding indictment, dated September 11, 1995, which charged him with six counts, to all of which he pled not guilty: one count of conspiracy to distribute and to possess with intent to distribute cocaine; two counts of attempting to possess with intent to distribute cocaine; one count of conspiracy to distribute and to possess with intent to distribute marijuana; and two counts of distribution and possession with intent to distribute marijuana. Defendant was acquitted after a jury trial on the three cocaine-related counts; this appeal concerns, and reference will be made, only to the remaining three marijuana-related counts. None of the counts alleged any quantity of marijuana involved in the offenses nor any fact related to remuneration. However, the parenthetical statutory references following each count referenced specific penalty provisions: on the conspiracy count,
Trial commenced on November 7, 1995. The government’s case was based largely on the testimony of two cooperating defendants, Rodney Smith and Donald Gordon, both of whom were baggage handlers employed by Triangle Aviation Services. Both men testified to several occasions between 1990 and their arrest in 1994 when allegedly they retrieved suitcases full of marijuana at JFK, bypassed Customs, and delivered the suitcases to Noel in exchange for payment. The government introduced corroborating evidence in the form of phone and pager records detailing various phone calls and pages among the defendants. Smith and Gordon were arrested after an undercover agent arranged with them to recover shipments of cocaine at JFK in a like manner, and they implicated Noel in both the cocaine and marijuana shipments.
The jury returned verdicts of guilty on the marijuana counts on November 22, 1995. The defendant did not request, and the jury was not charged, to determine the amount of marijuana involved in any of the offenses.
Prior to sentencing, defendant expressed his dissatisfaction with his trial attorney and acquired new counsel. At sentencing on January 10, 1997, defendant contested not only the evidence of the quantity of marijuana involved in the conspiracy but also the standard to be applied, arguing that at least as to uncharged conduct the court should apply a higher standard than preponderance of the evidence,
On April 8, 1997, defense counsel filed a motion in this Court requesting a 60-day extension of time in which to file defendant’s initial brief (which was due on April 17). The moving papers stated the reason for seeking the extension as the difficulty appellate counsel had in obtaining the case file from trial counsel, but also stated as follows:
Additionally, the Appellant anticipates filing a motion in the District Court pursuant to28 U.S.C. Sec. 2255 within the next few weeks. Granting the requested enlargement of time would enable us to determine whether this case can be resolved through such a motion in the District Court. In the event the Sec. 2255 motion is denied, a consolidated appeal would be the most expeditious manner in which to resolve all issues in this case. That would be possible by granting the requested 60 day enlargement of time.
The supporting affidavit of appellate counsel stated further that
[i]t is our view that, in the event we are not successful in the trial court on the§ 2255 petition, the most efficient and expeditious course of action in this case would be a consolidation of the direct appeal with the appeal from a denial of the§ 2255 petition, thereby enabling all issues to be resolved one way or the other in one forum at one time. Obviously, if we are successful with the§ 2255 motion, we would move to dismiss the appeal and we would not need to burden this Court.
We plan to file Mr. Noel’s§ 2255 petition within the next four weeks. The issues involved are not complex and we should be able to arrive at a resolution of the issues within a short time frame. Indeed, it is our hope that we can resolve those issues within a time frame that would enable us to meet thebriefing schedule as extended pursuant to this motion. In the event we are not successful with the § 2255 petition, we would immediately move to consolidate the appeal.
This Court granted defendant a 30-day extension on April 11, 1997. The order granting the extension contained a handwritten notation by a staff attorney of the Court that “[pjarties could stipulate to withdraw appeal pending resolution of sec. 2255 motion.”
On May 14, 1997, the Court received from defendant a stipulation which stated that the appeal would be “removed from the docket.” On May 28, defendant’s counsel wrote to the Court to “confirm” a telephone conversation he had apparently had with a representative of the Clerk of the Court. According to defense counsel’s letter, the Clerk’s office had informed him that the stipulation needed to state that the appeal was being “withdrawn,” and that theD stipulation required the defendant’s signature authorizing the withdrawal. In the letter, counsel authorized the Court to alter the stipulation to read “withdrawn,” assured the Court that a statement of authorization from defendant would be forthcoming shortly, and also stated that
As we discussed, and as the stipulation provides, the point is that we have agreed to stay the appeal pending a resolution before the trial court of a motion under28 U.S.C. § 2255 , with the idea that a consolidated appeal would better serve the interests in judicial economy. So, while we are withdrawing the appeal now, it is with the right to reinstate it, if necessary, following a decision by the trial court on Mr. Noel’s petition.
No letter of approval from defendant was forthcoming, however, and on June 16, 1997, this Court ordered the defective stipulation stricken from the docket for failure to comply with the signature requirement of
This Court received from defendant a revised stipulation to withdraw his appeal, executed by all parties, on July 28, 1997. The stipulation stated, in its entirety, as follows:
IT IS HEREBY STIPULATED by and between the parties, subject to the approval of the Court, that the appeal of Herbie Noel be withdrawn upon the following conditions:
1. that within 10 days of notice of the decision of the District Court on appellant’s28 U.S.C. § 2255 motion, appellant shall move to restore this appeal to the calendar; and
2. that within fourteen (14) days of said restoring of the appeal to the calendar, appellant’s brief and appendix shall be served on appellee and filed with the Court.
The stipulation was signed for the Court by a staff attorney and filed on July 30, 1997.
Despite defense counsel’s representations that a
On July 30, 1997, as to Appellant Her-bie (Wayne) Noel, the above-referenced appeal was suspended and held in abeyance pending the prosecution of a motion in the district court under28 U.S.C. § 2255 in the case. I have just received notice by mail that on August 4, 2000, the district judge entered an order denying Mr. Noel’s motion under§ 2255 . Accordingly, the appeal is now due to be reinstated and a briefing schedule can now be set for the direct appeal.
It is not clear to me exactly how to proceed most efficiently. The purpose of the suspension of the appeal was to allow all of the issues to be consolidated in one vehicle to avoid excess litigation. However, it would appear that Mr. Noel will need to file a separate notice of appeal within 60 days of August 4, 2000, and pursue the certificate of appealability process as to the§ 2255 motion (the district court denied a certificate of ap-pealability as part of the order, thereby making the matter ripe for Mr. Noel to seek the certificate from this Court); while this direct appeal is ready to proceed. I would appreciate any thoughts on the matter. If they can still be consolidated that would seem to be helpful all around, although I cannot, of course, speak for government counsel.
A reinstatement order was issued by the clerk of this Court on September 19, 2000, which stated that “[a]n order withdrawing the appeal of defendant-appellant, HER-BIE NOEL, having been entered on 7/30/97 and the counsel for the defendant-appellant having filed the necessary papers, upon consideration thereof; it is ORDERED that the appeal be, and it hereby is reinstated.” The remainder of the procedural history before this Court is of no significance to this appeal.
DISCUSSION
I. Appellate Jurisdiction
We first address two issues of this Court’s jurisdiction. The first question— which we raise
sua sponte
in furtherance of our obligation to assess our own jurisdiction at the outset of every appeal,
see Goldberg v. Cablevision Sys. Corp.,
A. The Direct Appeal
Our
concern over
our jurisdiction on the direct appeal arises from the fact that, on its face, we have a voluntary withdrawal of an appeal by defendant followed by a request to “reinstate” the appeal some three and one-half years after entry
We begin by noting that we approved the procedure followed here — withdrawal of a direct appeal of a conviction followed by “reinstatement” of the appeal upon the district court’s decision on a
We conclude that we have jurisdiction to consider Hernandez’s claim that the district court improperly denied his suppression motion. Hernandez timely filed his notice of appeal for his direct appeal. We granted his motion for withdrawal of his direct appeal without prejudice, and he complied with our instructions for reinstatement of his appeal. Therefore, the suppression issue is properly before us.
Id.
(footnote omitted). We did not, however, further explain the basis for our jurisdiction, nor, apparently, was any question of the consistency of this practice with
We need not test that assumption here because, despite its label, the stipulation “withdrawing” the appeal was not, in fact, a withdrawal. In determining the proper procedural treatment of a paper filed with the Court, we have consistently eschewed reliance on the denomination given it by a party in favor of examining its purpose or function.
See McAllan,
A withdrawal of an appeal is an expression of the intent of the parties (principally, of course, the appellant) not to pursue the appeal any further and brings the appeal to an end.
5
Defendant here, however, clearly never intended to abandon his direct appeal. Indeed, he initially requested an extension of time to file briefs — effectively holding the appeal in abeyance — pending the
Finally, this construction of our own jurisdiction does not call into question the district court’s adjudication of the
B.
The
The government nonetheless contends that we have no jurisdiction to review the district court’s denial of defendant’s
We start by noting that we specifically held in
Hernandez
that a notice of appeal is required to bring the denial of a defendant’s
It is undisputed that defendant filed no formal notice of appeal with the
We find that the August 18 letter from defense counsel requesting reinstatement of the direct appeal suffices as a notice of appeal from the denial of defendant’s
Our jurisdictional inquiry has one more step, however, and that is defendant’s failure to secure a COA, as required
II.
The Constitutionality of
We now turn to the merits of defendant’s direct appeal. Defendant attacks his convictions and sentence based on the intervening Supreme Court decision in
Apprendi,
benefit of which defendant receives because his conviction is still under direct review.
See Griffith v. Kentucky,
Defendant’s first claim of error is that
Apprendi
renders
The defendant in
Apprendi
was convicted of possession of a firearm with an unlawful purpose, a second-degree offense punishable under New Jersey law by a maximum of ten years’ imprisonment. At sentencing, the trial judge applied a sentencing enhancement statute under New Jersey law which provided that, if the trial judge found by a preponderance of the evidence that a crime was motivated by racial bias, the maximum penalty for a second-degree offense was twenty years.
Apprendi,
We applied the teachings of
Apprendi
to
Defendant’s facial challenge to the constitutionality of
First, as we made clear in
Thomas,
drug quantity becomes an “element of the offense” under
Second, we see no constitutional problem presented by the government’s charging drug quantities that support penalties greater than those of the provisions relating to indeterminate amounts — i.e., those instances where drug quantities become elements of the offense. True, in such a situation
To the extent that defendant is arguing that we cannot reconcile a construction of
III.
The Marijuana Sentencing Provisions of
Defendant’s second claim of error below is that the district court sentenced him on each count to greater than the statutory maximum for offenses involving an indeterminate amount of marijuana. Because no quantity of marijuana was charged in the indictment, nor was drug quantity submitted to the jury, such a sentence would be error under
Apprendi
and
Thomas.
12
As alluded to above, while
There are five provisions in
1) § 841(b)(l)(A) (vü) provides for a term of imprisonment of 10 years to life imprisonment for a violation of§ 841(a) involving 1000 kilograms or more of marijuana; 13
2)§ 841(b)(1) (B) (vii) provides for a term of imprisonment of 5 to 40 years for a violation involving 100 kilograms or more;
3)§ 841(b)(1)(C) provides, “except as provided in subparagraphs (A), (B), and (D),” for a term of imprisonment of up to 20 years for a violation involving any Schedule I or II controlled substance; 14
4)§ 841(b)(1)(D) provides for a penalty of up to 5 years for a violation involving less than 50 kilograms of marijuana, “except as provided in paragraphs (4) and (5) of this subsection”; and
5)§ 841(b)(4) provides that “[n]ot-withstanding paragraph (1)(D) of this subsection, any person who violates subsection (a) of this section by distributing a small amount of marijuana for no remuneration shall be treated as provided in section 844 of this title and section 3607 of Title 18.”
Section 844 of Title 21 covers offenses involving simple possession and provides for a maximum imprisonment of 1 year.
Defendant argues that, absent an indictment and jury finding with respect to quantity, the maximum allowable sentence is one year under
We believe that Congress intended that
Apprendi,
however, specifically noted and reaffirmed the distinction between “facts in aggravation of punishment and facts in mitigation.”
Apprendi,
Fundamentally, we believe defendant’s mistake is to misread
Apprendi
not for what it actually says but for the way it has been applied. That is, defendant argues, paraphrasing
United States v. Lowe,
This methodology, despite its surface appeal, is nowhere to be found in
Apprendi. Apprendi
stated that “any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.”
Applying this test to the competing positions in this case, it is clear that
TV. Substantial Rights
Because we have determined that the statutory maximum penalty for an indeterminate amount of marijuana under
Under our “modified plain-error rule,” applied where, as here, “the source of plain error is a supervening decision,” the government, not the defendant, bears the burden to demonstrate that the error did not affect substantial rights — i.e., that the error was harmless.
See United States v. Monteleone,
We reject defendant’s contention that, because at this point he has already served more than sixty months in prison, our holding that the maximum allowable sentence on the conspiracy count is sixty months should lead to his immediate release — in other words, that the district court should not be allowed to alter the concurrent running of the sentences. We rejected a similar argument in
United States v. Triestman,
We reject defendant’s challenge to § 841’s constitutionality and hold that the “default” provision for marijuana is the five-year term of § 841(b)(1)(d). Further, we find that defendant’s sentence on the conspiracy count, though in excess of this five-year statutory maximum, did not affect defendant’s substantial rights because it did not lengthen his overall term of imprisonment. We therefore affirm the convictions and sentences.
Construing defendant’s August 18, 2000 letter to this Court as a notice of appeal from the denial of his § 2255 motion as well as a motion for a certificate of appeal-ability, we deny the motion for failure to make a substantial showing of the denial of a constitutional right, and we dismiss the appeal for lack of jurisdiction.
Notes
. In
United States v. Gigante,
. Defendant fell within Criminal History Category I, resulting in a Guideline range of 97 to 121 months.
. We assume for these purposes that defendant's request to reinstate this appeal complied with the terms of the stipulation of withdrawal, i.e., that he "moved to restore this appeal” "within 10 days of notice of the decision of the District Court on appellant’s
. We say "perhaps” because one possible reading of the quoted portion of Hernandez is that we treated compliance with the terms of the withdrawal stipulation as a jurisdictional prerequisite.
. Thus, for example, "a notice of appeal filed and dismissed voluntarily is gone, no more effective in conferring jurisdiction on a court than a notice never filed.”
Barrow v. Falck,
. Holding an appeal "in abeyance” in this case (as in most) amounted to nothing more than an extension of time for filing of the appellant's brief. Courts of appeal are expressly allowed to extend any time limit except for, as noted above, the time to file a notice of appeal.
We note that by holding the appeal in abeyance pending the resolution of the
. Without expressing any opinion on or limiting the basis for our holding in Hernandez, we note that the construction we apply here would suffice equally well to support our finding of jurisdiction in that case.
. Rule 11 of the Rules Governing
The fact the letter was filed with this Court, rather than the district court, is not fatal to the appeal.
See
. This result is in no way inconsistent with
Hernandez.
The defendant there, in requesting to reinstate his direct appeal, made no reference to appealing the denial of his
. The district court denied defendant’s
. Thus, for example, a prohibited offense involving an undetermined amount of cocaine results in a prison term of zero to twenty years, § 841(b)(1)(C); one involving 500 grams or more results in a term of five to forty years, § 841(b)(l)(B)(ii); and one involving 5 kilograms or more results in a term of ten years to life imprisonment, § 841 (b)( 1 )(A)(ii). The threshold quantities under §§ 841(b)(1)(A) and (B) for crack cocaine, on the other hand, are 5 grams and 50 grams, respectively. §§ 84l(b)(l)(A)(iii) and (B)(iii).
. As noted above, the district court did determine the quantity on defendant’s conspiracy conviction beyond a reasonable doubt.
. The prescribed range of penalties in § 841(b)(1) increases based on the presence of either or both of two additional facts, neither of which is applicable in this case: (1) death or serious bodily injury results from use of the controlled substance involved, or (2) the defendant has prior felony drug convictions.
. Marijuana is a Schedule I controlled substance. See
. The government has not asked to us to consider § 841(b)(1)(C) to be applicable to a conviction involving an indeterminate amount of marijuana. We therefore do not address the issue although — purely as a matter of statutory construction — we are inclined to believe that Congress intended that § 841(b)(1)(C) be read as providing the penalties for offenses involving not less than 50 kilograms of marijuana while (b)(1)(D) applies to indeterminate quantities.
.By contrast, offenses involving 50 kilograms of marijuana may represent a lesser magnitude of societal harm than those involving 100 or 1000 kilograms but it would be difficult to argue that they are of a fundamentally different type, hence another reason not to consider § 841(b)(1)(D) to represent a mitigating "exception” to the provisions of (b)(1)(C).
. With most other controlled substances— i.e., the ones for which the indeterminate-quantity provision of § 841(b)(1)(C) specifies the lowest penalty tier — these two methodologies yield the same result.
. Although in other cases the government has suggested that our modified plain-error rule is no longer good law in light of
Johnson v. United States,
. The Sentencing Guidelines provide that, except with respect to counts for which there is a statutorily prescribed term of imprisonment or which are required to be run consecutively to other counts, and except where doing so would exceed a statutory maximum, the sentence imposed on each count "shall be the total punishment” as determined by application of the Guidelines — in this case, 110 months. U.S.S.G. § 5G1.2(b); § 5Gl.l(a). The "stacking” provision provides that "if the sentence imposed on the count carrying the highest statutory maximum is less than the total punishment, then the sentence imposed on one or more of the other counts shall run consecutively, but only to the extent necessary to produced a combined sentence equal to the total punishment.” § 5G 1.2(d).
We have held that the application of § 5G1.2 is largely mandatory except that a district court has the discretion to depart from its provisions to run sentences concurrently "where the imposition of multiple stacked sentences based on similar conduct create[s] 'an aggravating or mitigating circumstance, of a kind or to a degree, not adequately taken into consideration by the Sentencing Commission.’"
United States v. White,