UNITED STATES OF AMERICA v. OMAR SIERRE FOLK, Appellant
No. 18-1865
United States Court of Appeals for the Third Circuit
April 3, 2020
2020 Decisions 340
Before: HARDIMAN, PORTER, and PHIPPS, Circuit Judges.
PRECEDENTIAL. On Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. No. 1-11-cr-00292-001). District Judge: Honorable John E. Jones, III. Submitted Under Third Circuit L.A.R. 34.1(a): January 14, 2020.
LAW OFFICES OF PHILIP GELSO
63 Pierce Street
Kingston, PA 18704
Counsel for Appellant Omar Sierre Folk
Eric Pfisterer, Deputy Chief, Criminal Division (Harrisburg)
Michael A. Consiglio
Kate L. Mershimer
OFFICE OF THE UNITED STATES ATTORNEY
228 Walnut Street, P.O. Box 11754
220 Federal Building and Courthouse
Harrisburg, PA 17108
Counsel for Appellee United States of America
OPINION OF THE COURT
PORTER, Circuit Judge
Omar Sierre Folk appeals the District Court‘s order denying his
I
Folk was convicted by a federal jury of one count of distribution and possession with intent to distribute cocaine and cocaine base, in violation of
Before sentencing, the Presentence Investigation Report (PSR) deemed Folk a career offender under U.S.S.G.
At sentencing, the District Court discussed Folk‘s four previous convictions with the parties and whether the convictions constituted crimes of violence. The convictions included two robberies in 2001, simple assault in 2003, and terroristic threats in 2003. The District Court adopted the PSR‘s recommended Guidelines range but sentenced Folk to 264 months’ imprisonment—120 months less than the bottom of the unenhanced Guidelines range and 156 months less than the bottom of the enhanced Guidelines range. Folk appealed his conviction, but we affirmed. See United States v. Folk, 577 F. App‘x 106 (3d Cir. 2014). Importantly, Folk did not challenge his sentence or his career-offender designation.
Then, the Federal Public Defender filed a timely
Finally, Folk filed a notice of appeal and a motion to alter or amend the judgment under
Folk‘s certificate of appealability identified two issues for review: (1) whether an erroneous career-offender designation is cognizable under
After we issued the certificate of appealability, Folk moved to expand the certificate of appealability and to supplement his appeal. Folk argued that his conviction for possession of 280 grams of cocaine is invalid under United States v. Rowe, 919 F.3d 752, 759 (3d Cir. 2019) (holding that separate acts of distribution of controlled substances are distinct offenses rather than a continuing crime). The motion to expand the certificate of appealability was referred to this panel and remains pending.
II
The District Court had subject-matter jurisdiction over Folk‘s
III
The first issue we must address is whether a challenge to an incorrect career-offender designation under the advisory Sentencing Guidelines is cognizable under
A
Under
The statute‘s language is somewhat lacking in precision but afford[s] federal prisoners a remedy identical in scope to federal habeas corpus [under
Folk‘s career-offender Guideline claim does not satisfy the first three bases for
Nonconstitutional claims that otherwise subject a sentence to collateral attack fall between two poles. See Doe, 810 F.3d at 155. At one end are plainly cognizable claims, such as a federal prisoner‘s claims that he is either actually innocent of his crime or that his prior conviction used to enhance his sentence has been vacated[.] Spencer v. United States, 773 F.3d 1132, 1139 (11th Cir. 2014) (en banc) (referencing Davis, 417 U.S. at 346–47 and Johnson v. United States, 544 U.S. 295, 303 (2005)); see also Doe, 810 F.3d at 155 (citing Davis, 417 U.S. at 343). On the other end are plainly noncognizable claims, which include technical procedural violations that do not prejudice a defendant. See, e.g., Peguero v. United States, 526 U.S. 23, 27–28 (1999) (holding that a district court‘s failure to notify a defendant of his right to appeal was not cognizable when the defendant knew of the right and was not prejudiced).
Supreme Court precedent recognizes that
B
A misapplication of the career-offender Guideline is not an omission inconsistent with the rudimentary demands of fair procedure. Sentencing errors that qualify as omission[s] inconsistent with fair procedure include procedural errors that prejudice a defendant. Doe, 810 F.3d at 155 (quoting Reed, 512 U.S. at 348 (plurality opinion)). Ordinarily, the procedural error is the failure to give a defendant advice required by the Federal Rules [of Criminal Procedure]. Peguero, 526 U.S. at 27–28 (holding that a district court‘s failure to notify a
Peguero, Timmreck, and Hill each involved a district court‘s failure to notify a defendant of certain rights under the Federal Rules of Criminal Procedure. Reed involved a district court‘s failure to follow certain procedural timing rules. Folk does not complain that the District Court failed to notify him of his rights under the Federal Rules of Criminal Procedure. Nor does he assert any other procedural error. His case is therefore not analogous to Peguero, Hill, and Timmreck, which recognized that a prejudicial procedural violation may be cognizable under
In Doe, a panel of this Court held that a misapplication of the career-offender designation under the mandatory Guidelines was cognizable. Doe‘s holding relied, in part, on Peguero. This Court said that the incorrect computation of a mandatory Guidelines range based on an erroneous career-offender designation is at least as serious as the error
Doe involved a substantive error. Peguero (and its predecessor cases at the Supreme Court) involved procedural errors that potentially caused prejudice. Doe thus blended the two avenues of
But the Supreme Court has never conducted a prejudice inquiry when deciding whether a substantive nonconstitutional error—rather than a procedural error—is cognizable under
C
In Doe, we held that an incorrect career-offender designation under the mandatory Guidelines is a fundamental defect inherently resulting in a complete miscarriage of justice cognizable under
Nearly every other circuit court of appeals has held or suggested that such a claim is not cognizable.7 Today, we join
Our conclusion is buttressed by four rationales: (1) the lawfulness of a sentence within the statutory limit; (2) the advisory nature of the Guidelines; (3) an interest in finality; and (4) a concern about workable standards.
1
Even when based on an incorrect advisory career-offender enhancement, a sentence within the statutory maximum is lawful. See Spencer, 773 F.3d at 1138 (noting that a sentence is lawful if it is less than the statutory maximum sentence prescribed by Congress (citing United States v. Addonizio, 442 U.S. 178, 186–87 (1979)); cf. United States v. Payano, 930 F.3d 186, 193 (3d Cir. 2019) (explaining that statutory ranges set the floor and the ceiling within which a district court must sentence, thereby . . . limit[ing] the extent to which a district court may permissibly stray from the Guidelines range (citations omitted)). And a lawful sentence is not a complete miscarriage of justice. See Addonizio, 442 U.S. at 186–87. So an incorrect career-offender designation that results in a sentence within the statutory maximum is not a fundamental defect inherently resulting in a complete miscarriage of justice and cannot be cognizable under
District courts possess broad discretion in imposing a sentence within a statutory range. Booker, 543 U.S. at 233. When sentencing defendants, district courts must consider the factors in
So long as a district court considers the
Even if a sentencing error affects the way in which the [sentencing] court‘s judgment and sentence [will] be performed, it does not affect the lawfulness of the judgment itself—then or now. Foote, 784 F.3d at 937 (quoting Addonizio, 442 U.S. at 187); see also Hawkins, 706 F.3d at 821–22, 824, opinion supplemented on denial of reh‘g, 724 F.3d 915 (noting that a sentence that is well below the ceiling imposed by Congress is not a complete miscarriage of justice even if the imposed sentence were far above the [G]uidelines range that would have been applicable had the career offender guideline not been in play).
For example, in Addonizio, the district court sentenced the defendant under the belief that the defendant would be eligible for parole after serving one-third of his sentence. 442 U.S. at 186. After the defendant was sentenced, the parole commission changed its rules, which subjected the defendant to more time in prison before he would be eligible for parole. The district court‘s incorrect assumption did not infect the proceeding with any error of fact or law of the fundamental character and did not merit
Based on Addonizio, other circuit courts have concluded that a sentencing error is not a fundamental defect requiring
2
Because the Guidelines are advisory and merely one factor considered within a sentencing court‘s discretion, an incorrect career-offender enhancement is not a fundamental defect inherently resulting in a complete miscarriage of justice.
First, oddities may arise if a court declare[s] that a fundamental defect or a complete miscarriage of justice has occurred in a situation in which a defendant could receive the same sentence under an advisory Guidelines scheme requiring individualized analysis of the sentencing factors set forth in . . .
Second, the advisory Guidelines merely inform the exercise of a [sentencing] court‘s discretion in choosing an appropriate sentence within the statutory range. Beckles v. United States, 137 S. Ct. 886, 892 (2017). It is true that the advisory Guidelines are the starting point and the initial benchmark for sentencing. Id. at 894 (quoting Gall, 552 U.S. at 49 (internal quotation marks omitted)). But the advisory Guidelines do not fix the permissible range of sentences. Id. at 892. [A] sentencing court may no longer rely exclusively on the Guidelines range; rather, the court must make an individualized assessment based on the facts presented and the other statutory factors. Id. at 894 (quoting Gall, 552 U.S. at 49 (internal quotation marks omitted)).
Holding otherwise would transform the advisory Guidelines into more than a discretionary guide and undermine Booker. The Guidelines lack legal force and are not tantamount to the laws of Congress because they are advisory and therefore not binding on a district court. Spencer, 773 F.3d at 1142 (citing Mistretta v. United States, 488 U.S. 361, 395 (1989)); see also Pepper v. United States, 562 U.S. 476, 501 (2011) (noting that a district court may in appropriate cases impose a non-Guidelines sentence based on
3
An interest in finality cautions against finding that an erroneous career-offender enhancement is a fundamental defect inherently resulting in a complete miscarriage of justice.
4
There is no manageable limit to the types of sentencing errors that would be cognizable under
Perhaps we could establish a rule that an incorrect career-offender enhancement qualifies for
D
Folk argues that this Court‘s decision in Doe and Supreme Court opinions discussing the advisory Guidelines require a different outcome. We disagree.
In Doe, we held that an erroneous career-offender designation under the mandatory Guidelines is cognizable under
To reach the conclusion, this Court noted that sentencing decisions are anchored by the Guidelines and even the advisory Guidelines exert controlling influence on the sentence that the [sentencing] court will impose. Id. (quoting Peugh v. United States, 569 U.S. 530, 541, 545 (2013)). We emphasized that the mandatory Guidelines carry even greater force. Id. (citing Booker, 543 U.S. at 234). Doe also rejected the suggestion that a sentence within a statutory limit that violates the mandatory Guidelines is lawful and thus
Folk adopts Doe‘s approach and relies on Peugh and Molina-Martinez v. United States, 136 S. Ct. 1338 (2016), to argue that Doe‘s holding applies to the advisory Guidelines. Folk emphasizes that Doe looked to the actual world of sentencing. Doe, 810 F.3d at 160. He argues that the determinative role the advisory Guidelines continue to hold at federal sentencing, which is de facto similar to the role held by the mandatory Guidelines requires us to apply Doe here. Appellant‘s Br. 48. Folk‘s argument is incorrect for several reasons.
First, Doe‘s narrow holding specifically did not extend to the advisory Guidelines. See 810 F.3d at 160 (Our holding is narrow, and we do not consider challenges to the advisory Guidelines[.]).
Second, the advisory Guidelines do not have the force and effect of laws. See Booker, 543 U.S. at 234. They are but one factor among many statutory factors that a district court considers when exercising its discretion at sentencing. So a district court may have multiple possible rationales supporting a sentence. See United States v. Evans, 526 F.3d 155, 165 (4th Cir. 2008). A sentencing court is free to deviate from a Guidelines range within its discretion and after consideration of the mandatory factors in
What‘s more, a sentencing court cannot presume the reasonableness of a within-Guidelines sentence. See Nelson v. United States, 555 U.S. 350, 352 (2009) (The Guidelines are not only not mandatory on sentencing courts; they are also not to be presumed reasonable. (emphasis in original)). In sum, the Guidelines are a system of guided discretion that advises sentencing courts in choos[ing] a sentence within [the] statutory limits. Beckles, 137 S. Ct. at 894–95 (emphasis added).
Third, Folk‘s reliance on Peugh and Molina-Martinez is misplaced. Both cases involved direct appeals and not
Molina-Martinez established a mere rebuttable presumption of prejudice on direct appeal when a sentencing court miscalculates a Guidelines range, see Payano, 930 F.3d at 193, which suggests that the error does not inherently result in a complete miscarriage of justice.
Essentially, Folk contends that perhaps the District Court would impose an even lower sentence on remand. And because that possibility exists, Folk asserts that he is prejudiced and the incorrect career-offender designation is a fundamental defect inherently resulting in a complete miscarriage of justice. But it is also possible that, after further review of the
In sum, we hold that a nonconstitutional claim based on an incorrect career-offender enhancement under the advisory Guidelines is not cognizable under
IV
Folk has moved to expand the certificate of appealability to include his argument under our decision in Rowe, 919 F.3d 752. To resolve the motion, we must decide whether (a) Folk‘s motion to expand the certificate of appealability is properly construed as a motion to amend his
A
If a federal prisoner has expended the one full opportunity to seek collateral review that
B
Having determined that Folk‘s motion to expand the certificate of appealability is a second or successive
Folk‘s motion to expand the certificate of appealability presents neither newly discovered evidence nor a new rule of constitutional law, so we will not certify Folk‘s motion as a second or successive
V
Today we join every other circuit court of appeals in deciding that an incorrect career-offender enhancement under
Notes
The Fifth Circuit has held that [§] 2255 motions may raise only constitutional errors and other injuries that could not have been raised on direct appeal that will result in a miscarriage of justice if left unaddressed. United States v. Williamson, 183 F.3d 458, 462 (5th Cir. 1999) (emphasis added) (citations omitted). Because [m]isapplications of the Sentencing Guidelines fall into neither category . . . [they] are not cognizable in
Two other circuits have faced the issue. The Second Circuit avoided drawing a categorical conclusion, but identified the advisory nature of the challenged career offender Guidelines as one factor, among others, that
