*1
(“[W]here
circumscribing
investigation
judicially
its
a rule
.simply by
reflects
creat-
carefully
inquiring
avoid
into
policy
ed doctrine that reflects
consider-
token,
wrongdoing. By
...,
the same
howev-
partis
ations over time
certification is
er,
autonomy
(internal
and appropriate
the board’s
ularly compelling.”
quotation
respected.
omitted)).
exercise of discretion must be
hereby
marks
We
CERTIFY
Otherwise, a shareholder could misuse
following question
to the Delaware Su-
by submitting a
requirement
the demand
preme Court:
long
complaints to the board with-
list of
If a shareholder demands that a board
chaff,
from
separating
out
the wheat
investigate
underly-
directors
both an
then,
in-
and
after the board concludes its
ing wrongdoing
subsequent
mis-
un-
vestigation, criticize
board
statements
corporate officers about
complete inquiry
every
dertaking a
wrongdoing,
what factors should a
Allowing
raised in the demand.
matter
court
in deciding
consider
whether the
post
shareholders to undertake such ex
grossly negligent
board acted in a
fash-
maneuvers would be inconsistent with the
by focusing
investigation solely
ion
its
on
“presumption
making
in
a business
the underlying wrongdoing?
corporation
decision the directors of a
practice,
“Consistent with our usual
we do
basis,
good
acted on
informed
in
faith
scope
not intend to limit the
of the [Dela-
the honest belief that
the action
Supreme
analysis
ware
through
Court’s]
taken was
the best
interests of the
the formulation of our question, and we
Aronson,
company.”
Third Cir.
1994), predict here we are unable to with
any confidence how the Delaware courts Espinoza’s allegations.
would evaluate
Accordingly, we turn to the Dela
ware Court to assist us resolv 41(a)(ii) ing America, this case. Del. UNITED STATES of See R.S.Ct. (“[A] Plaintiff-Appellee, Appeals Court of of the United ... may, sponte, States on motion or sua certify to this Court for a question decision questions law....”); Nguyen Raymond Roger SURRATT, Jr.,
Holder, (2d Cir.2014) Defendant-Appellant. *2 Goldblatt, Court- Harris
Steven Counsel,
Assigned Amicus De Association Criminal
National Berman, Lawyers; Douglas A.
fense Appel
Professor, Supporting Amici
lant.
No. 14-6851. Appeals, Court States
Fourth Circuit.
Argued: Jan. 2015. July
Decided: *4 Hester,
ARGUED: Ann Loraine Feder- Carolina, al Defenders of Western North Inc., Charlotte, Carolina, Appel- North for Amy Ray, lant. Elizabeth Office Asheville, Attorney, United States North Carolina, Appellee. Maley, for Erika L. LLP, Sidley Washington, D.C., Austin for Goldblatt, Amici Curiae. Steven Harris Center, Georgetown University Law D.C., Washington, Court-Assigned Ami- BRIEF: Hall cus Counsel. ON Ross Richardson, Director, Executive Joshua B. Federal Defenders of Western Carpenter, Carolina, Inc., Asheville, North North Car- olina, Appellant. Tompkins, for Anne M. Attorney, Congress him to be resentenced. But set Office of Unit- States Asheville, Attorney, North Car- out certain conditions that must be met ed States Berman, A. olina, Douglas Appellee. for permit- before a successive motion be Law, The Ohio State Univer- ted, Professor of and did not meet those re- Surratt Green, Ohio; Columbus, Jeffrey T. sity, See 28 U.S.C. quired conditions. LLP, Leaman, Austin Sidley Kimberly A. 2255(h). him per- therefore denied We D.C., Amici Ru- for Curiae. Washington, mission to file a successive motion. See In Deutsch, Supervising Attorney, M. thanne Surratt, re Sept. No. 12-283 Cir. Counsel, Gupta, Student William Utsav 2012), ECF No. 6. Counsel, Hornbeck, Meredith Student court, In the district Surratt had simul- Counsel,
Wood,
Appellate Litiga-
Student
taneously
petition
filed a
for a writ of
Georgetown University Law
Program,
tion
§ 2241
corpus
habeas
under 28 U.S.C.
D.C.,
Center,
Washington,
Court-As-
seeking the same
relief.
Simmons-based
signed Amicus Counsel.
however,
prisoner,
As a federal
challenge
cannot
his conviction and sen-
TRAXLER,
Judge,
Chief
Before
tence
2241 unless 28
U.S.C.
AGEE,
Judges.
GREGORY
Circuit
“savings
called
—also
by published opinion. Judge
Affirmed
applies. The district court con-
clause”—
*5
majority
opinion,
AGEE wrote the
2255(e)
§
that
in fact
cluded
did not
confer
joined.
Judge TRAXLER
which Chief
jurisdiction to
claim in a
consider Surratt’s
dissenting
a
Judge GREGORY wrote
petition,
peti-
so it denied Surratt’s
opinion.
tion.
AGEE,
Judge:
Circuit
judgment
from
appeals
Surratt now
unsym-
court.
are not
of the district
We
pleading guilty
conspir-
In
after
to
claim;
dissent,
cocaine,
like the
Raymond
pathetic to his
we
acy to'distribute
Surratt
recognize
gravity
of a life
imprisonment.
sentenced to life
We
sentence.
was
However, Congress
power
sentence on
has the
to de-
affirmed his conviction and
appeal,
scope
corpus,
and Surratt’s motion
vacate his
fine the
of the writ of habeas
Congress
power
conviction and sentence under 28 U.S.C.
and
has
exercised
§ 2255 was likewise denied. Neither Sur-
narrowly
here to
limit the circumstances in
appeal
ratt’s direct
nor his
2255 motion
§a
2241 petition
brought.
which
be
legality
mandatory
his
questioned the
petition
present
Surratt’s
does
one of
life sentence.
permitted
According-
circumstances.
ly,
agree
we
that the district court lacked
later,
years
Several
Surratt returned to
jurisdiction
to consider
permission
this Court and asked for
to file
§ 2241
affirm
petition
Surratt’s
and
§ 2255 motion.
a second or successive
judgment below.
on United
request
premised
Surratt’s
was
Simmons,
States v.
plea agreement then for post-conviction moved below impose could not sentence April relief under 28 U.S.C. 2255 in minimum unless motion, 2008. In that Surratt claimed that sought a reduction substantial States he had received ineffective assistance of any rights also waived assistance. He during plea counsel his initial and sen appeals, further save in a few narrow cir- tence, sought and further a sentence re *6 stipulate, cumstances. Surratt did Sentencing duction based on an amended however, felony drug prior to convic- challenge Guideline. He did not his man tions. datory minimum sentence. The district court denied and dismissed the motion. plea,
After Surratt’s but before sen States, 3:08cv181, Surratt v. United Nos. Harp, decided United States tencing, we (W.D.N.C. 3:04cr250, (4th Cir.2005), WL which held 2011). Feb. We denied Surratt’s re drug that a North conviction Carolina quest appealability. for a of certificate if qualified “felony drug as a offense” “the Surratt, United States v. Fed.Appx. aggravated maximum sentence that [the Cir.2011). (4th 640, 640 that imposed state could for court] [have] upon crime a defendant with the worst years More than three after Surratt possible history” criminal exceeded one motion, filed his first we decided Harp, Id. at 246. year. all Sur- Under Overruling Harp, the Sim- Simmons. prior felony ratt’s convictions constituted mons en banc majority prior held that a Therefore, drug offenses. unless Surratt North Carolina conviction will constitute offered substantial assistance to the Gov felony purposes punish- of an enhanced ernment, mandatory Surratt faced a life only prior if the conviction was actu- ment sentence. ally punishable year for more than one of that imprisonment The district court sentenced Surratt to as to defendant. and the imprisonment life in October 2005. Initial- F.3d at 241. Surratt Government con- ly, expressed misgivings agree prior that one of Surratt’s the court some “felony drug appealed, arguing as a Surratt the dis- qualify victions would under Simmons. offense” him permitted trict court should have to proceed under 2241. The Government Simmons, advantage take of Seeking to agreed not to and also elected enforce the in relief both this Court sought Surratt appeal plea agreement. waiver Surratt’s August 2012. He court and the district permit Therefore, to him to file light this Court of the Government’s first asked Be 2225 motion. a second or successive position, appointed we amicus curiae to fell outside the stat motion cause Surratt’s judgment. defend the district court’s exceptions permitting utorily enumerated motion, see 28 type U.S.C. II. 2255(h), him to permission denied we Surratt, re No. 12-283 file. See In In the Antiterrorism and Effective 13, 2012), No. 6. On the Sept. Cir. ECF (“AEDPA”), Penalty Death Act of 1996 day request, that he filed that Sur- same Congress ability fed circumscribed ratt also moved in the district court to prisoners request post-conviction eral §§ 2241 and
vacate his sentence under
Weber,
relief. See Rhines v.
2255, or for writ of coram nobis. Surratt
274, 125 S.Ct.
that,
Simmons,
he
light
maintained
ordinary
provides
Section 2555
was “innocent” of
career offender en
challenge
means for a federal
and was a victim of fundamen
hancement
his conviction or sentence. But in AED-
particular,
argued
tal
error.
PA, Congress
jurisdiction
limited the
subject
he should not have been
to a
federal courts to hear second or successive
mandatory life sentence. The Government
See,
requests
e.g.,
In re
§ 2241
oppose
request.
Surratt’s
did
Weathersby, 717 F.3d
Cir.
parties’ agreement,
the dis
Despite
2013) (“Congress placed strict limitations
trict court denied
motion. Sur
Surratt’s
on second or successive motions under
ratt v. United
Nos. 3:04-CR-250-
2255[.]”).*
19, 3:12-CV-513, 2014
WL
(W.D.N.C.
2014).
May
Although it
Specifically,
courts
hear second or
again expressed misgivings about Surratt’s
petitions only they pertain
if
successive
sentence,
mandatory life
the court deter
(1) “newly
[clearly
...
discovered evidence
prisoner may
that a
mined
federal
use
*7
convincingly establishing]
and
that no rea-
2225(h)
§
§
2241 to seek relief that
would
sonable factfinder would have found the
only
otherwise bar
when a substantive
(2)
guilty
movant
of the
or
“a
offense”
new
change
coming
the law
after an initial
law,
rule of constitutional
made retroactive
§
petition
prisoner’s
rendered the
to cases on collateral review
the Su-
original offense conduct “non-criminal.”
Court,
preme
previously
that was
unavail-
challenged only
*1.
Id. at
Because Surratt
2255(h).
§
able.” 28 U.S.C.
We have al-
sentence,
the court concluded that he
ready
claim
not
held
Surratt’s
does
could not establish
Simmons ren
categories,
fall into either of these
so
any
dered
of his conduct “noncriminal.”
2255(h)
§
him to
Therefore,
permit
does
file
he could not obtain relief under
§
§
2241.
second or successive motion under
2255.
*Throughout
opinion,
quotations
we
from
unless otherwise noted.
*8
(11th
(1995),
man-Medium,
1253,
472
rendered his convictions for
738 F.3d
1280
Wandes,
Cir.2013); Abernathy
during
drug
“use” of a firearm
a
offense
v.
713 F.3d
Jones,
(10th
328,
538,
Cir.2013); Stephens
invalid.
In re
226
n. 7
v.
F.3d
329
546
(4th Cir.2000).
Herrera,
(9th
895,
Cir.2006);
Bailey had overruled this
464 F.3d
898
Hedrick,
957,
understanding
circuit’s
it meant
v.
392 F.3d
962
what
to Abdullah
(8th
Nash,
firearm,
Cir.2004);
(citing Bailey,
Cephas
“use” a
id. at 330
328 F.3d
(2d
143,
501),
98,
Cir.2003); Reyes-Requena
at
U.S.
116 S.Ct.
and Jones
n. 6
(5th
States,
argues
predi
He nevertheless
-that
243 F.3d
v. United
Cir.2001).
cate convictions constitute
of a
elements
separate, aggravated offense for recidi
mistakenly
The
tries to read
dissent
true,
proved
might say
vists.
If that
we
requirement
actual
out of Jones.
innocence
guilty
prior
Surratt was
the clear limitation
ignores
That course
“element,”
conviction
and therefore inno
that,
the case can be used to
Jones
before
cent of the recidivist offense. Yet we do
2255(e),
the law must have
invoke
a
prior
not treat
conviction “as
element
changed
that the conduct of which
“such
offense.” Almendarez-Torres v.
[the]
convicted is deemed not
prisoner
was
States,
United
118 S.Ct.
criminal.”
See, Smith, e.g., United States v. 451 F.3d Cir.2006); Jeanty accord B. Warden, FCI-Miami, Ramirez, Cir.2014); States v. here, simply apply Jones does not anything. innocent of All charge predicate Government did not parties agree that Simmons did not de And, convictions here in the indictment. any part underly criminalize of Surratt’s trial, it would not gone had the case ing conduct. Surratt admits that he con jury proven spired drugs, put to distribute have them before offense which he was convicted. beyond them reasonable doubt.
249
statute”);
Alleyne
that
al-
sentence-enhancement
In re
also do not believe
We
cf.
(5th
Cir.2011)
treating predi- Bradford, 660 F.3d
230
longstanding
rule
tered
(“[A]
enhancements, not ele-
claim of actual innocence of a career
as
cate convictions
jury
a
must
offender enhancement
is not a claim of
Alleyne
held
ments.
mandato-
actual innocence of the crime of conviction
facts that increase a
find certain
and, thus,
type
not the
of claim that
2155.
war-
ry minimum sentence.
at.
2241.”).
apply here remains
rants review under
Alleyne
How
would
parties
do
something
mystery,
of a
of actual innocence
The traditional view
authority indicating that
identify any
not
focuses on the elements
the crime of
retroactively
apply
case could
on col-
conviction,
Mikalaju
v.
see United States
Quite
contrary:
review.
courts
lateral
nas,
Cir.1999),
186 F.3d
494
apply
does not
ret-
Alleyne
have held that
nothing in
deviates from that settled
Jones
Olvera,
v.
roactively. See United States
Sawyer Whitley,
v.
approach.
Cf.
(5th Cir.2015) (“We
reit-
775 F.3d
S.Ct.
L.Ed.2d
Alleyne
apply
erate that
does not
retroac-
that,
(remarking
the context of
“[i]n
tively. This decision accords with that of
case,
noncapital
concept
a
of ‘actual
issue,
every circuit to have examined the
it
easy
grasp,”
innocence’ is
as means
Alleyne is
none of which has decided that
charged
the defendant did not commit the
retroactive.”).
crime). Jones,
all,
after
concerned “con
criminal,”
...
Alleyne held that facts other duct
deemed not to be
Regardless,
subject
a
conduct that remains criminal but
prior
than a
conviction
increase
Jones,
to a
mandatory
penalty.
minimum amount to “elements”
lesser
F.3d
Jones,
334;
see
of the crime.
who failed to their claims twice be remedy by § that “the motion [a 2255] appeal fore: on direct their initial inadequate or ineffective to test [must be] Thus, § interpretation 2255 motion. of legality of [Surratt’s] detention” before 2255(e) focusing “miscarriage on a of proceed he can 2241. 28 U.S.C. justice” argument interpret “is less an 2255(e) added). (emphasis find Con We ing amending 2255 than it is one for “test,” gress’s deliberate use of the word Anderson, § 2255.” Prost v. 636 F.3d expansive like rather than a more term Cir.2011); accord Williams “ensure,” “guarantee” very meaningful. or Warden, Prisons, Fed. Bureau (11th Cir.2013) “put proof.” To “test” means to to the (calling (2d ed.1989). English Dictionary justice “miscarriage “plainly standard” Oxford words, In other text antici inapplicable” question to the of whether pates opportunity challenge to raise a § 2241 particular forecloses a See, argument. e.g., Wag Dogs, More petition); Stephens, Perez v. 593 Fed. Cozart, (5th Cir.2015) (“Perez’s Corp. ar Ltd. Liab. Appx. (4th Cir.2012) (equating gov n. 3
gument that the actual innocence and mis 365
carriage
justice
provide
ability
plausibility
standards
an ernment’s
“to test the
§his
2255 motion on claims of ineffective
ability
its
to raise the
the claim” with
evi
particular
proves
impor
of counsel
most
argument
relevant
offer
assistance
Advertising
dence);
Inter-City
here,
complain
NLRB v.
as he cannot
of his
tant
Cir.1946)
Co.,
(say
in a
inability
post-
to “test” his detention
way
employer had no
“to test”
ing that an
proceeding when
2255 offered
conviction
where it
an administrative determination
to take it.
him that chance and he declined
*12
Therefore,
object).
legal
had no
avenue to
permitted to lever
prisoner
“A
cannot be
process—
with
“the clause is concerned
way
by making
into section 2241
his
his
petitioner
opportunity
an
ensuring the
remedy inadequate[J”
section 2255
Mor
argument
with substance—
bring (7th
668, Bezy,
—not
ales v.
499 F.3d
Cir.
op
nothing about what
guaranteeing
2007).
ultimately yield in
promised will
portunity
for
protests
But Surratt
that “the basis
Prost,
584;
at
terms of relief.”
636 F.3d
prece-
claim
circuit
was foreclosed
[his]
Taylor
Gilkey,
314 F.3d
see also
Opening
dent at the
Br. 20. That
time[J”
Cir.2002)
that
(agreeing
argument
for at least
reasons.
fails
two
2255(e)’s
“implies
use of the term “test”
than out
procedures
a focus on
rather
matter,
As a factual
we cannot know
comes”).
“op
too have focused on the
We
might
whether Surratt’s claim
have led to
procedural
portunity” or “unobstructed
relief because he never made it. We do
by §
not on the ulti
shot” afforded
“many
know that
defendants ... filed suits
section,
under that
mate result of motion
prior
asserting
to Simmons
the exact
clause.
defining
scope
same substantive claim that
now
[Surratt]
Rice,
B.
ular
fails and the client loses.
Similarly,
appellate
procedures
state’s
“test,”
way
In much the same
satisfy the Fourteenth
guar-
Amendment’s
in-
inadequacy
statute’s references to
and
“adequate
antee to an
and effective” ap-
pre-
tell us that
effectiveness
peal
long
procedures provide
so
as those
relief,
request
serves
chance to
minimum safeguards.
certain
See Smith
right
not the ultimate and absolute
to ob-
Robbins,
259, 276-84,
it.
tain
(2000).
746,
When discussing
years.
“effectiveness” and
v. Hayman,
United States
law,
“adequacy”
in other
areas
we U.S.
right to counsel.” Id. In like
C.
explained
Court
that a sentence
where,
illegal”
was “not
among other
clause also focuses on the
things,
punishment meted out
“[t]he
was
“legality”
Espe
of the relevant detention.
prescribed by
excess of that
context,
cially
post-conviction
in the
courts
relevant
statutes
multiple
[and]
terms
“illegal”
“unlawful”
recognized
have
imposed
were not
for the same offense.”
in a
sentences
narrow subset
cases.
States,
424, 430,
Hill v. United
368 U.S.
Actual innocence of the crime of conviction
(1962);
ment years which not be less than 20 Circuit, the Seventh this historical fact and no more than imprisonment[.]” life difference, made all the it believed 841(b)(1)(A). U.S.C. that —at least when courts treated the emphasizes Surratt often that his sen- mandatory Guidelines as lawful — “the parole,” tence is “without but that does not sentence was a [G]uidelines sentence.” Id. issue., any special create present Regardless In the *16 of whether the Seventh Circuit system, federal imprisonment equiv- correctly life characterized the former Guide (and parole every alent to life without in regime case. lines say we need not here Polk, did, Gilbert, See Richmond v. 375 F.3d 316 whether it see 640 F.3d at (4th Cir.2004) (“[T]he 1306-07), Sentencing Reform savings-clause its view on the Act of parole 1984 abolished for federal in harmony approach issue exists with the offenses committed after by Quite simply, November taken all other courts. 1984[.]”); 3624(b) § see also 18 U.S.C. the Seventh Circuit believed that it could (stating prisoners serving because, § permit petition life -sen- at least tences e-Booker, are not entitled to a pr unjustified deduction for an above-Guide credits). good time Congress equated When abol- lines sentence to a sentence above parole essentially ished in it statutory top “trans- maximum. The every late[d] life sentence into range provided life without Guidelines the relevant 2014) (“The sentence, and Brown’s sentence ed. act or an instance of hold maximum in ing person custody; maximum Guide confinement or pre-Booker exceeded contrast, compulsory delay.”). Physical in cases in confine lines sentence. advisory separate apart ment stands from the volving gost-Booker Guide sentence, lines, recognizes and some detentions that the Seventh Circuit even habeas, give petition rise to a do not sentencing cannot correct er follow that courts criminal sentences at all. proceedings, Pre-trial deten post-conviction rors otherwise, provide tions example, § if the sentence “is one common see 18 2241 or 3142(e), statutory maximum.” U.S.C. but other instances below the Hawkins mind, including come to detentions in in 706 F.3d .2013). civil contempt, stances of detentions Cir immigration proceedings, connection with Here, court sentenced Sur- the district witnesses, detentions of material or civil post-Booker, advisory ratt under sexually dangerous persons, detention of result, As a his life Guidelines scheme. Neuhauser, see F.3d at 125-31. statutory sentence does exceed being Rather than tied in all cases to a sentence, Brown would maximum and even then, punishment, sentence as criminal Thus, cannot afford him no relief. we 2255(e)’s reference to “detention” “illegal.” deem his detention speaks physical person’s restraint of a liberty. D. refer Pointing savings to the clause’s rendering In contrast to the of a crimi “detention,” suggests
ence to Con judiciary, physical nal sentence But gress permit meant to claims like his. holding of a federal represents Congress used the term “sentence” in function, “keeping executive back or §of see 28 portions some U.S.C. withholding” by the executive branch. See 2255(a)-(b), and “conviction” or “offense” Warden, FCC Coleman-Medi Samak (h)(1). 2255(f)(1), §§ It parts, in other id. (11th Cir.2014) um, 766 F.3d chose not to use those terms in the J., (Pryor, concurring). Attorney clause, 2255(e), obligated and we “are id. General, acting through the Bureau of give Congress’s effect to decision to use Prisons, “detainer,” as the and the acts language proximate subsec different sentencing court does not involve itself tions of the same statute.” United States prisoner restrained. See 18 keeping the Brandon, Cir. 3621(a) Bu (explaining that the U.S.C. 2001). think the term “de We responsibility reau of Prisons has the yet tention” is another textual indication person “who has been sentenced detain it petition; bars Surratt’s imprisonment to a term of ... until the draws a line not between conviction and expiration imposed, of the term or until challenges, sentencing per but between behavior”); satisfactory earlier released for challenges missible to executive acts and Gates, also, e.g., see Janko v. challenges to the of oth impermissible acts (D.C.Cir.2014) (agreeing party’s with a *17 government. er branches of ordinarily de concession that “courts don’t in concept ac physi- people”).
“Detention” concerns the act of tain We see this Congress in instances where cally confining restraining or an individu- tion those See, sentencing court from in e.g., English Dictionary precluded al. the Oxford ed.1989) (2d ongoing too much in the as (“Keeping custody volving in or con- itself (10th finement.”); States v. Dictionary pects of a detention. See United Black’s Law 258
Wilson,
329, 334,
1351, duty
authority
Judiciary
112
and
to call
503 U.S.
S.Ct.
account.”).
(1992)
jailer
that a
the
to
(holding
den is Surratt to Congress empowered sentence that If we embraced Surratt’s position, then is, impose district court to a sen- —that 2255(h) § the limits found in would first statutory tence within the limits. Sur- provides fall. That section that a prisoner petition not attack ratt’s does therefore may bring § a second or successive by act of detention the executive (1) only motion if prisoner produces Thus, Congress branch. would have newly discovered evidence of actual inno- expected prisoners bring federal to this cence; upon relies “a new rule of type petition § of a claim in a 2241 via law, constitutional made retroactive to savings clause. cases on collateral review Supreme Court, previously that was unavailable.”
E.
2255(h).
§
28 U.S.C.
cannot
§
The broader context of 2255 fur
bring his second or successive motion until
ther convinces us that
cannot in
grant
Surratt
we
him a certificate of authorization
§
“[Statutory
voke
2241.
construction
indicating
is
that the motion satisfies one of
endeavor,
a holistic
and we therefore must
these two conditions. Id.
Congress
“When
statutory
itself,
2255(h),
evaluate the
language
adopted §
it was undoubtedly
specific context in
which such
that prisoners might
aware
wish to press
used,
language
is,
and the broader context
arguments,”
other sorts of
that
argu-
of the statute as a whole.” R.H. Donnel ments other than actual innocence or con-
ley
Corp.
error,
v. United
76 stitutional
“in second or successive
Prost,
Particularly
post-convic
motions.”
stantial
of the denial of a constitu
F.
2253(c)(2);
right.”
tional
See id.
see
Lastly, we must take account of Con
— U.S. -,
Jennings
Stephens,
also
gress’ general purpose
enacting
the var
793, 807,
135 S.Ct.
Our narrower
important
one of the most
L.Ed.2d 437
This rule
even
preserves
clause
holds
sought
changes
to serve:
the law
in the petition-
that AEDPA
when
later
purposes
favor,
possibility
AEDPA serves multi
er’s
as “the
of a favorable
finality. Although
“comity, finality,
change in the
ple objectives, including
occurring
plea
law
after
federalism,”
Taylor,
accompan[y]
Williams v.
529 one of the normal risks that
Archie,
guilty plea.”
146 L.Ed.2d
United States v.
(2000),
goal
AEDPA
foremost
the.
—the
*21
Congress’
concern”—is
in
act’s “central
Government,
Undeniably, “the Federal
merits of concluded criminal
tent that “the
States,
no less than
has an
in
interest
in
not be revisited
the absence
proceedings
finality
judgments.”
of its criminal
innocence,”
strong showing
of actual
of
152, 166,
Frady,
United States v.
456 U.S.
538, 558,
Thompson,
Calderon v.
523 U.S.
(1982).
1584,
102
71
S.Ct.
L.Ed.2d 816
(1998).
1489,
118
Finality
tangible
offers
benefits for the S.Ct.
190 L.Ed.2d
least,
in
judicial system.
very
application
At the
it en- has no
the absence of ambi-
guity.”
already explained,
that court
on the
Id. As we have
sures
resources focus
2255(e)
contrast,
§in
appeal stage.
though,
ambiguity
initial trial and
In
we see no
every
precedential
favorable
decision when it comes to Surratt’s sentence. Fur-
“[i]f
ther,
being
could become ... a ticket to
attacks read like backdoor
resen-
Surratt’s
tenced,
justice system
challenges
the criminal
would constitutional
2255 itself.
continually
again,
in But here
canon of constitu-
“[t]he
need to
marshal resources
adjudi-
not a method of
keep
prison
order to
defendants whose
tional avoidance is
cating
questions by
trials
and
con-
constitutional
other
appeals
sentences
—
then-existing
Apel,
formed to
constitutional
means.” United States
Whiteside,
-,
1144, 1153,
standards.”
775 F.3d
Finality
provides
grant
per-
does avoidance
also
closure to
Nor
“
‘interpret’
ger-
statutes
slip
victims and the defendant:
it assures the mission
exceptions
punished,
rymandering
that his assailant
them with list of
victim
will be
case,”
party’s
happen
while it directs the defendant to move on that
to describe
id.,
just
the sort of
finality provides impor-
with his life. And
which strikes us as
thing
tant
If
means us to do.
litigants.
incentives
defendants
ales,
670;
Ultimately, though,
Murphy,
“if the
499 F.3d at
Lindh v.
statute
(7th Cir.1996) (en
concerns,
banc),
then
96 F.3d
does not raise constitutional
grounds,
the canon rev’d on other
521 U.S.
employing
there is no basis for
2059, 138
(1997);
Rodriguez v. S.Ct.
L.Ed.2d 481
of constitutional avoidance.”
(3d
Anselmi,
Robbins,
715 F.3d
Cir. States v.
207 F.2d
Cir.1953).
Dwinells,
2013);
original
States v.
1789 form of the
accord United
(1st Cir.2007);
post-conviction
508 F.3d
70-71
United writ did not afford
relief of
type sought
Tech.
Long
States ex rel.
v. SCS Bus. &
here. See Ex Parte Yer
(D.C.Cir.
(8 Wall.)
Instit., Inc.,
85, 101,
ger,
Guerre v. Cir.1998).
A.
We first conclude that our inter
end,
we need not settle the
2255(e)
pretation
presents
no color- particular question
Suspen
of whether the
Suspension
able issue under the
Clause.
protects
sion
Clause
the writ
its 18th or
provision
That
of the Constitution states
Century
reading
21st
form.
Our
Privilege
of Habeas
“[t]he
Writ
sufficiently respects the writ in
Corpus
suspended,
shall not be
unless
either event.
substitution of a col
“[T]he
when Cases of Rebellion or Invasion the
remedy
inadequate
lateral
which is neither
public Safety may require it.” U.S. Const.
*23
test,
nor
legality
ineffective to
the
of a
I,
9,§
Suspension
art.
cl.2. The
Clause person’s detention
does
constitute a
that, except during periods
“ensures
of
suspension of the writ of
corpus.”
habeas
suspension,
Judiciary
formal
will have Swain,
381,
at
97
S.Ct. 1224.
writ,
device,
a time-tested
to maintain Here, § 2255 itself
serves
the relevant
governance
the delicate balance of
that is
by holding
§
“substitute.” And
2255
itself the
safeguard
liberty.”
surest
of
presents
adequate
and effective substi
Boumediene,
745,
at
128 S.Ct.
detention,
tute means to test Surratt’s
we
Suspension
have likewise ensured that no
observes,
As the Government
Hayman,
Sus- Clause issue exists. See
pension
apply
Clause
here at all.
at
(refusing
U.S.
S.Ct. 263
to con
Supreme
any
§
Neither the
Court nor this Court
sider
constitutional attack on
Suspension
has decided whether
presence
savings
because the
of the
clause
issues);
protects
Clause
the writ as it
Medberry
existed
avoids those
see also
(11th Cir.2003)
today.
1049, 1057
1789 or the writ as it exists
Crosby,
See
Boumediene,
(“[Section 2255(e)
553 U.S. at
any
128 S.Ct.
avoided
serious
]
issue);
2229 (reserving
Cyr,
question
St.
replacement
about whether the
(same).
300-01,
U.S. at
corpus
S.Ct.
Sit-
the writ of habeas
for a federal
banp,
ting en
prisoner
§
we hinted that
the Clause
with the new 2255 caused an
might very
writ.”);
protect only
suspension
well
the former
unconstitutional
of the
Vial,
and not
Reyes-Requena,
the latter. See
Perhaps Surratt means to attack our
come.”
City
Armour v.
Indianapolis,
reading
together
with other
—Ind.,
U.S. -,
2073, 2082,
132 S.Ct.
2255(h)’s
limits found
such as
(2012);
sively protect
Hicks,
350-51,
1997);
447
at
also
U.S.
see
the State and
intermediary between
“an
J., dissenting)
(Rehnquist,
Alleyne, 133 S.Ct.
100 S.Ct.
criminal defendants.”
Washington,
2161;
Blakely v.
that
Court should
have
(concluding
also
the
at
see
2531,
296, 306,
124 S.Ct.
defendant had not
the
542 U.S.
intervened because
(“Just
(2004)
suffrage en
as
error at
constitutional
actually
L.Ed.2d
established
in
control
the
here,
ultimate
people’s
trial).
suggests
the
that
sures
no one
Yet
branches, jury tri
unconstitutional,
executive
legislative
sentence was.
Surratt’s
their control
the
to ensure
al is meant
“separate”
is no
er
now or then. There
Jones,
244-48, 119
judiciary.”);
U.S.
fact,
suggests
no one
ror.
develop
the historic
(describing
at the time that the
was
sentence
unlawful
overly
jury
a check on
as
ment
any way.
it in
imposed
court
district
sentences).
too,
Framers,
severe
importantly, Hicks
perhaps
But
emphasize
importance
the
the
chose to
identified on direct re
concerned
error
its role in
enshrining
jury by separately
thing
say
appel
to
that an
It is one
view.
words,
In other
we
Amendment.
the Sixth
it
process
due
when
late court violates
towards
special
a
solicitousness
show
an error
a non-final
refuses to correct
upon
has tread
that a mistake
claims
case,
appel
In that sort of
sentence.
role. Hicks reflects that
jury’s crucial
unwillingness to act
late court’s
renders
apply
therefore
It would not
concept.
meaningless exercise.
review
appellate
one,
implicate
cases,
that do not
like this
say
that due
quite
But it is
another
Indeed,
right.
jury
requires us to reach back
process
narrowly read Hicks
hold
Court has
every
sense
“correct”
sentence
law creates for
that where state
“only
imposed
at the time
proper
final and was
liberty
having
interest in
defendant
that the district
we now
because
believe
findings,
particular
make
Due
jury
extent of its discre
court misconceived
find
implies
appellate
Process Clause
Attorney’s
District
tion.
that entitle
protect
not suffice to
ings do
Office for
Cf.
Osborne,
376,
Bullock,
Dist. v.
Third Judicial
ment.” Cabana
wrongly, by
Head,
that the “other” defendants
suggest
543 n. dents
724 F.3d
Nags
Town of
Cir.2013).
untime-
from their
Although
particu-
that
should not obtain relief
Whiteside,
apply directly
ly
motions. See
does not
lar clause
to Fifth
has waived the oth-
“approach
187. The Government
government,
federal
has
equal protection claims
statute-of-limitations
applicable
Amendment
erwise
cases,
do,
equal
the same as to
it can
and this
those
as
always
precisely
been
some of
dispa-
produced
Fourteenth^]”
claims under
has
protection
intermittent waiver
Wiesenfeld, 420 U.S.
Weinberger v.
cases.
rate outcomes in somewhat similar
L.Ed.2d 514
n.
in treatment
stems
But
the difference
(1975).
actions, not
branch’s
from the executive
judicial
do not
those of the
branch. We
evidently thinks that
Surratt
ac-
imply
that the Government’s
mean
arises because
problem
equal-protection
prob-
any equal protections
tions create
Simmoris-
district courts
different
some
likelihood, they
their own—in all
lems of
§ 2255 relief to
granted
have
related cases
'
Venable,
do not. See United States
alone
But the difference
petitioners.
some
(4th Cir.2012)
(explaining
equal-protection
rise to an
give
does
“ordinarily has wide
government
that the
“time
Supreme
has said
issue. The
Court
prosecute”
deciding
latitude in
whether
that the
Fourteenth
again
[Fifth and]
the decision
long
“bas[e]
as it does not
uniformity
not assure
Amendment[s] do[ ]
race,
unjustifiable standard such as
on an
judi
immunity
or
from
judicial decisions
classification”).
arbitrary
or other
religion,
Washington, 369 U.S.
cial error.” Beck v.
confidently conclude
our
But we can
554-55,
2255(e)
nothing
to do
reading of
has
disagreement between [the
“A
equal protection.
with
interpretation
on the
statute
courts]
Court
a matter which either the
VI.
resolve;
it does not
Congress should
above,
reasons described
we
For the
equal protection rights
violate
ju-
that the
court lacked
conclude
district
person subjected to the more burdensome
to consider Sur-
risdiction
Agric. Mktg.
interpretation.” Hawkins
Cir.1993).
petition.
ratt’s
Serv.,
1125, 1131-32
that,
the Fifth and the
“[b]oth
Besides
power
to define
Congress holds
legisla
address
Fourteenth Amendments
corpus.
It also
scope of the writ of habeas
not discrimination
tive discrimination and
power
excep-
to define
holds an attendant
particular opinions
issued
on the basis
finality
normal rule of
of con-
tions to the
judiciary.”
by the federal
United States
lawfully
and sentences that were
victions
(N.D.W.Va.
Brown,
F.Supp.2d
they
at the time that
were en-
imposed
1998). So,
given us no reason
Surratt has
firmly
tered.
are
convinced
Con-
We
equal protection concepts
to believe
contemplate any exception
gress did not
apply here.
even
Certainly,
like this one.
Sur-
case
mandatory minimum sentence was
that defendants
ratt’s
Surratt also observes
have faced
higher
than the one he would
obtained relief in cases
which
have
op-
But
had the
§ 2255 after Simmons.
“they
previously
had not
filed a
legality
of that sen-
portunity to test
Opening
motion.”
Br. 34. The difference
and initial
appeal
tence in his direct
groups
in outcomes
these two
between
motion,
not to take it. He
and he chose
pres-
not stem from our
defendants 'does
*27
Terms,
actually
Post,
innocent of his offense
also is not
Harsh’
Wash.
Dec.
conviction,
of- at
predicate
or even the
A02.
that dictated his enhanced sentence.
fenses
We also stress that our
today
decision
And his sentence does not exceed the stat-
particular
limited to the
facts of this case.
utory
Congress
for
maximum
set
whether,
instance,
We do not decide
for
of conviction.
offense
federal
might bring
§a
2241 peti-
tion claiming that the district court unlaw-
Congress’
We cannot alter
decision to
fully sentenced him to a
imprison-
term of
jurisdiction.
deny
Nor can we rewrite ha-
ment exceeding
maximum.
a sympathetic
beas law for the sake of
say
Nor do we mean to
anything about the
guidance
case.
of the Supreme
“[T]he
types of claims that prisoners might bring
and,
Congress
Court and
is clear
in this
an initial 2255 motion. And we do not
situation, ties our hands.” United States
determine
change
whether a
in law stem-
Foote,
ming from a retroactively applicable Su-
token,
And
the same
the Government’s
preme
might
Court decision
offer relief
support
petitioner
also cannot
beyond the
already
circumstances
identi-
Young v.
258-
fied in
say,
Jones. Needless to
we there-
(1942) (“[A]
tence,
not more
sentencing
qualifying felony for federal
option beyond a
a
But the
maximum.
Simmons, 649
in United States v.
By foreclosing
purposes
life sentence is death.
Cir.2011) (en banc).
Both
relief, the ma- F.3d 237
post-conviction
avenue for
retroactively-
that under our
parties agree
not
Surratt for
essentially punishes
jority
decision,
see Miller
applicable
It
Simmons
penalty.
received the death
having
141, 147
Cir.
of his life
the rest
spend
him to
leaves
2013),
only one CSA
possesses
Surratt
of a different
sentence
a death
prison;
statutory mandato
felony. The
so,
majority
predicate
renders
the
doing
kind.
qualify
with one
nullity
ry
minimum for someone
complete
a
savings clause
the
actually
statutory
ing offense is not is
Suspension
Clause.
violation
841(b)(1)(A).
maximum. Id.
just a
above the statu
It is not
sentence
a fundamen
presents
maximum that
tory
twenty
the difference between
Given
always
so neat.
defect. Life is
tal
life,
asks to be resen-
years and
Surratt
complete
involves a
punishment
aWhen
Remarkably,
government
tenced.
liberty,
a sentence
then even
deprivation
agree
agrees
parties
with Surratt. Both
at,
statutory
exactly
exceeding,
but
legally ineligible
spend
to
that Surratt
extraordinary
maximum can constitute
prison.
this
the rest of his life
Given
justice
miscarriage of
of constitutional
parties agree
that the
is of consti-
mistake
cases, must allow
In such
we
magnitude.
further
magnitude,
parties
tutional
if
to invoke the
clause
that
is entitled to relief from
agree
Surratt
Writ,
always
“a
which has
been
the Great
very
the district court
sentence
against convictions
violate
bulwark
it would not have
unambiguously stated
”
Isaac,
fairness,’
Engle
‘fundamental
statutory
the erroneous
imposed absent
107, 126,
1558, 71
They
mandatory
agree
minimum.
(1982),
anything at
is to mean
L.Ed.2d
§ 2241
so is
motion
mechanism do
I dissent.
all.
2255(e).
savings clause of
via the
I.
II.
years
plead-
when he
was 31
old
Framers viewed freedom from un
“The
guilty
conspiracy
to distribute co-
ed
precept
lawful restraint as a fundamental
recommended a
caine. The Guidelines
the writ of
liberty,
they
understood
years, yet
of 19.6
penalty
maximum
instrument
corpus as
vital
habeas
It did so
imposed
court
life sentence.
secure that
freedom.” Boumediene
it
a life sen-
stating
while
believed
Bush,
unjust.
undeserved and
J.A.
tence-to be
(2008). Accordingly,
171 L.Ed.2d
remarked,
district court also
276. As the
suspension of the writ is
prohibition on
thought
option pursuant
it
it had no other
na
very blueprint
in the
of our
contained
mandatory-minimum
statutory,
to the
life-
Const,
tion, the
itself. U.S.
Constitution
prescribed by
time term
the Controlled
I,
9,§
art.
cl.2.
(CSA)
anyone
two
Act
with
Substances
felony drug offenses.
predicate
or more
of habeas cor-
privilege
of the writ
841(b)(1)(A).
276;
See J.A.
U.S.C.
justice
central
to our
pus has remained
codi-
system
even as the
scheme
years
A few
after Surratt’s first
undergone several
motion,
fying
from the
the writ has
a case remanded to us
years.
Bourne-
Court,
over
we corrected our mistak-
transformations
Supreme
diene,
553 U.S. at
As the
Court recognizes, the sav-
(explaining
recognized
that our Framers
ings clause ensures that subsequently-en-
*29
necessity to “secure the writ and ensure
§
acted limitations in 2255 do not run afoul
system”).
place
legal
its
our
Even when
Suspension
the
Clause. See Boume-
§
Congress
post-convic
added
2255 to the
diene,
776,
tration.
“Nowhere in the
of Sec-
challenge
chance to
an erroneous life sen-
2255,”
Court,
tion
determined the
“do we
tence—a fundamental defect of constitu-
any purpose
find
impinge upon prison-
'
tional
proportions
two
reasons.
rights
ers’
of collateral
upon
attack
their
—for
First,
he
challenging
because
is
his sen-
Hayman,
convictions.” See
342 U.S. at
underlying
tence rather
than the
convic-
mined
the
of
in-the
[trier
fact]
exercise
of its
discretion.” Hicks v.
IV.
Oklahoma,
-
case,
In this
majority
arrives at this constitution-
certainty
we know with 100%
that
the
ally-suspect
by
outcome
departing from
district court considered a life sentence
the traditional savings
analysis.
clause
It
ceiling
both the floor and the
of what it
ignores
precedent
that our
already
has
impose.
could
“I was
required
impose
established a
determining
framework for
sentence,”
court,
a life
stated the
“[a]nd
§
“inadequate
whether
2255 is
or ineffec-
I’ll
forget
the frustration I felt
2255(e).
§
tive.” 28 U.S.C.
As we have
I
doing that because
did think it was an
Jones,
savings
demonstrated in
clause
unjust
J.A. 276.
sentence[.]”
inquiry
a procedural
involves
and substan-
component.
tive
See Maj. Op. at 253. no to “tie[ ] that there is basis
insistence initial ‘miscarriage’ standard” from
th[e] “entirely supposedly to the 2255 motions savings question of relief via
separate majority is Maj. Op. at 251.
clause.” matching limitations on really mixing and Individually; WILLIAMS, T. Samuel relief. post-conviction Kourtney Bynum, Individually; Don precedent our to affirm disregarding Individually Reed, Sr., Be ald and on Surratt, majority a life sentence for Wrongful Death Beneficia half of the a death sentence simultaneously affirms Judy Reed, Jr.; ries of Donald make no mis- for the clause. But Individually Thompson, and on Be already analytical take. There exists Wrongful Death Beneficia half of the obligating grant us to Surratt path Reed, Jr., Donald Plaintiffs- ries of seeks, jus- that he and that resentencing Appellees, requires. tice
V. HAMPTON, Defendant- Sharon sym- majority I doubt that the is do not Appellant. end, I suppose In the pathetic Surratt. No. 12-60933. fundamentally views just
we have different corpus, of habeas as well as the on the role Appeals, United States Court judiciary granting role of the writ. Fifth Circuit. responsibility I it our solemn see July a morbid encroachment guard against precious our Fram- upon which so vitality continued in our
ers ensured its guard
Constitution. Instead we Great itself, closely that
Writ and so spend prison— the rest of his life in
must
against government the will of the and the *34 re-
district court. Our abdication this begs question: quis custo-
sponsibility ipsos guard
diet custodies? Who will
guards themselves? power
It is within our to do more than mercy of
simply leave Surratt to the right hope
executive branch. To for the perhaps
outcome in another’s hands is no- actually
ble. But when we do the our have omitted notes marks, citations, emphasis, internal or foot- prisoner cannot meet If a federal contended that his conduct therefore did 2255(h)’s requirements, § then he not amount to “use” under Bailey’s read petition term, to file a traditional for writ of ing Jones, seek of the id. at 334. howev § corpus er, under 28 U.S.C. 2241. already § habeas had filed a 2255 motion be right significant 2255(h) But that carries limits as Bailey, § fore barred him prisoner “may file a Specifically, well. filing from another one. at Id. 330. We § only if the petition habeas relief, decided to deeming § award typically collateral relief available under “inadequate or ineffective legal to test the § inadequate 2255 ‘is or ineffective to test ity of a conviction” when: ” legality of his detention.’ Prousalis v. (1) conviction, at the time of settled law (4th Cir.2014) Moore, 751 F.3d this circuit or the Court 2255(e)). § (quoting 28 If a federal U.S.C. conviction; established legality § prisoner brings petition a 2241 that does (2) subsequent prisoner’s to the direct fall scope “savings within the of this appeal motion, § and first the sub- clause,” then the district court must dis changed stantive law such that the con- ... miss the “unauthorized habeas motion prisoner duct of which the was convicted Rivera, jurisdiction,” for lack of Rice v. criminal; is deemed not to be (4th Cir.2010), 617 F.3d even if the prisoner satisfy cannot the gatek- supports the Government the prisoner’s eeping provisions §of 2255 because the position. new rule is not one of constitutional law. is a federal who Jones, 226 333-34. petition post- means to file a Therefore, short, conviction relief. we must as opened gate Jones a narrow “inadequate sess whether 2255 is inef way prisoners 2241 relief for certain legality fective to test the of his detention.” actually found innocent their offenses of 2255(e). 28 U.S.C. We consider that conviction, only allowing relief where the question de novo. See Yi v. Fed. Bureau acts for which the defendant was convicted (4th Cir.2005). Prisons, then, are not crime. Since we have jurisdiction appeal We have over this un aspect focused on this of Jones —actual der 28 U.S.C. charac innocence of criminal act—when See, terizing e.g., Farrow v. decision. Revell, III. Fed.Appx. 328-29 Cir. 2013); Stephens, Fed.Appx. Darden v. A. Cir.2011); Rice, 617 F.3d at Poole, 807; We have determined that 2255 was United States v. inadequate or ineffective in n. also prior one Other circuits case, petitioner Byron instance. In that actual in give substantial attention to the argued Bailey aspect discussing Jones when nocence Jones Warden, See, e.g., Bryant 133 L.Ed.2d it. FCC Cole
