United States v. Roy
United States v. Roy
Opinion of the Court
Defendant Charles F. Roy, Jr. ("defendant" or "Roy") pled guilty in May, 2003 to conspiracy to distribute and distribution of cocaine base, in violation of
In June, 2016, defendant petitioned to vacate his sentence pursuant to
I.Background
In November, 2000, defendant was charged in a nine-count superseding indictment with conspiracy to distribute cocaine base (Count 1), possession of cocaine base with intent to distribute and distribution of cocaine base (Count 2), conspiracy to distribute marijuana (Count 4), interstate travel in aid of a racketeering enterprise *424(Count 5), possession of marijuana with intent to distribute (Count 6), use of a firearm during and in relation to drug trafficking crime (Count 7), witness tampering (Count 8) and retaliation against a witness (Count 9).
In April, 2003, the Court denied defendant's motions to dismiss Counts Six and Seven of the indictment for failure of venue and defendant's motion to sever Count 8 for purposes of trial. The Court allowed motions to sever Counts 1-3 and Count 9 from the remaining charges for purposes of trial.
Defendant pled guilty to Counts 1 and 2 on May 23, 2003 and Count 7 on February 12, 2004. Pursuant to the terms of the plea agreement dated September 20, 2003, the government agreed to dismiss Counts Four, Five, Six, Eight and Nine "provided that Defendant is found to be a Career Offender and is sentenced as such".
At the March 29, 2004 sentencing, the Court found that defendant qualified for the Career Offender enhancement under the Sentencing Guidelines. U.S.S.G. § 4B1.1 ("the career offender guideline"). Defendant was over eighteen at the time he committed the charged controlled substance offenses and he had two prior felony convictions that the Court determined were predicate offenses for the career offender designation. The two predicate offenses were both assault and battery convictions, one in Westborough District Court in 1997 and the second in Framingham District Court in 1998.
Defendant was sentenced to a term of imprisonment of 271 months, followed by five years of supervised release. The Court noted that: 1) the base offense level of Counts 1 and 2 was 22 and no adjustments applied, 2) the base offense level for Count 7, taking into account defendant's designation as a career offender, was 32 and 3) the defendant was entitled to a three level downward adjustment for acceptance of responsibility, resulting in a total offense level ("TOL") of 29. The Court determined that the defendant had 13 criminal history points, resulting in a criminal history category ("CHC") of VI. A TOL of 29 and a CHC of VI resulted in a guideline range of 151 to 188 months. Under
On June 22, 2016, defendant filed a petition under
II.Motion to Vacate Sentence
A. Legal Standard
A prisoner in federal custody may collaterally attack his sentence under
(1) that the sentence was imposed in violation of the Constitution or laws of the United States; (2) that the court was without jurisdiction to impose the sentence; (3) that the sentence was in excess of the maximum authorized by law; or (4) that the sentence is otherwise subject to collateral attack.
Damon v. United States,
*425Wilder v. United States,
Generally, a federal prisoner challenging his sentence under § 2255 may not rely on a new rule of constitutional law that was announced after his conviction became final. Butterworth v. United States,
B. Application
1. Residual clause of the career offender guideline
In June, 2015, the Supreme Court held that the residual clause of the Armed Career Criminal Act of 1984 ("ACCA"),
The ACCA defines "violent felony" to include any crime punishable by imprisonment for a term exceeding one year that 1) "has as an element the use, attempted use, or threatened use of physical force against the person of another" ("the force clause"), 2) falls within a list of certain enumerated offenses or 3) "otherwise involves conduct that presents a serious potential risk of physical injury to another" ("the residual clause"). § 924(e)(2)(B). The Supreme Court struck down the residual clause as unconstitutionally vague. Johnson II,
combin[ed] indeterminacy about how to measure the risk posed by a crime with indeterminacy about how much risk it takes for the crime to qualify as a violent felony.
The following year, the Court held that Johnson II applies retroactively to cases on collateral review. Welch,
In his § 2255 petition, Roy contends that he is entitled to have his sentence vacated because it was predicated on the residual clause of the career offender guideline in the Sentencing Guidelines. See U.S.S.G. § 4B1.2(a). Roy asserts that the new rule established in Johnson II, made retroactive by Welch, applies to the residual clause of the career offender guideline under which he was sentenced because that clause is identical to the residual clause of the ACCA that was struck down in Johnson II.
*426While Roy's petition was pending, the Supreme Court considered the applicability of Johnson II to the residual clause of the career offender guideline. Beckles v. United States, --- U.S. ----,
do not fix the permissible range of sentences ... [they] do not implicate the twin concerns underlying the vagueness doctrine-providing notice and preventing arbitrary enforcement.
In his supplemental memorandum, Roy maintains that the reasoning in Beckles is limited to sentences imposed post- Booker when the Sentencing Guidelines were made advisory. Roy contends that the distinction between the advisory and mandatory Guidelines is critical and that the Supreme Court recognized as much in its opinion. He stresses that while the advisory Guidelines are not subject to vagueness challenges, because they merely guide the court's exercise of discretion, the mandatory Guidelines do fix the permissible range of sentences, and are therefore subject to vagueness challenges under the rule announced in Johnson II.
The government rejoins that the decision in Beckles also applies to sentences imposed pre- Booker when the Sentencing Guidelines were mandatory. The government submits that the mandatory Guidelines did not "fix" minimum or maximum sentences because only Congress has the power to do so and it did not delegate that power to the Sentencing Commission. Furthermore, the government denies that courts lacked discretion under the mandatory Guidelines, pointing to a small number of "exceptional" cases where the Guidelines provided some authority to exceed the statutory maximum.
The First Circuit recently addressed the issue of whether, post- Beckles, the career offender provision of the Sentencing Guidelines is subject to vagueness challenges in pre- Booker cases. Moore v. United States,
a new rule of constitutional law, made retroactive to cases on collateral review by the Supreme Court, that was previously unavailable.
§§ 2244(b), 2255(h). Moore's motion purported to rely on the new rule created by Johnson II, which he argued "invalidates the residual clause of the career offender guideline applied at his [pre- Booker ] sentencing." Moore,
The First Circuit found that Moore made a prima facie showing that his application relied on a new rule of constitutional law made retroactive to cases on collateral review by the Supreme Court.
In its decision, the First Circuit considered and rejected the very characterization of the pre- Booker, mandatory Guidelines that the government makes here.
The government points to the limited exceptions in the SRA that permitted departures from the mandatory Guidelines to suggest that the SRA did not fix sentences in the same way the ACCA does. As noted by the First Circuit, however, those departures were "limited in scope, and sentencing courts had little leeway in employing them". Id. at 83. Those limited opportunities for departures did not save the mandatory Guidelines from being held unconstitutional in Booker and they are not enough to immunize the mandatory Guidelines from vagueness challenges here.
In the only other case in this District since Beckles to consider the constitutionality of the residual clause in the career offender guideline, as applied pre- Booker, the court held that it violated the Due Process Clause and allowed the petitioner's motion to correct his sentence. Reid v. United States, No. 03-cr-30031,
Beckles itself makes clear that its holding does not govern sentences imposed under the non-advisory, pre- Booker sentencing regime, and [ ] the logic of the Johnson decisions makes them fully applicable in a pre- Booker, mandatory Guidelines context...
Reid,
Roy was sentenced in 2004, under the pre- Booker mandatory Guidelines. The Supreme Court decision in Beckles is limited to sentences imposed under the advisory Guidelines. Accordingly, Beckles does not preclude application of Johnson II to the residual clause of the career offender guideline here.
2. Retroactivity
The government contends that, even if there is a rule allowing vagueness challenges to the mandatory Guidelines after Beckles, that rule is not substantive and therefore does not apply retroactively *428to cases on collateral review. Instead, the government submits that such a rule would be procedural because it would alter the computation of the Guidelines range but not the actual sentence that Roy received. Roy denies that the rule is procedural, noting that neither the holding nor reasoning in the Supreme Court's decision in Welch suggest that its decision on the retroactivity of Johnson II should be limited to the ACCA context.
It is undisputed that Johnson II announced a new rule of constitutional law: the residual clause in the ACCA is so vague that it violates due process for sentencing courts to use it to increase minimum or maximum sentences. Johnson II,
Roy does not ask that this Court establish a new rule, but rather requests that we apply the Johnson II rule to the identically-worded residual clause in the career offender guideline. In other words, the task at hand is not fashioning a new rule of constitutional law, but rather simply interpreting a statute, the SRA. See Moore,
The residual clause in the pre- Booker career offender guideline tracks the residual clause of the ACCA, making "a straightforward application of Johnson II" appropriate here.
simply reject[ed] the application of the rule of Johnson II to the advisory guidelines because, as a matter of statutory interpretation, those guidelines do not fix sentences.
The rule Roy relies on here is the rule announced in Johnson II, simply applied to the pre- Booker career offender guideline. That rule is retroactive to cases on collateral review and nothing in Welch suggests that the retroactivity determination is limited to cases challenging sentences imposed under the ACCA.
Accordingly, under the rule announced in Johnson II, as interpreted by the First Circuit, the residual clause of the career offender guideline is void for vagueness and that rule applies retroactively on collateral review to the pre- Booker sentence here.
3. Procedural default
The government also contends that Roy's § 2255 claims are procedurally defaulted because he did not raise the challenge to the residual clause in his criminal case or on direct appeal. If a federal prisoner fails to preserve an attack on his sentence by not presenting it to the trial court and not pursuing it on direct *429appeal, he risks dismissal of his § 2255 claim for procedural default. Bucci v. United States,
a. Cause
First, the government avers that Roy cannot show cause excusing his failure to raise the legal claim at sentencing or on direct appeal. The government contends that Roy could have challenged the career offender guideline's residual clause as vague well before Johnson II and that the constitutional claim was not so novel that it was unavailable to counsel at the time. Roy rejoins that his Johnson II claim was novel such that any failure to raise the claim earlier should be excused.
In order to show cause, a petitioner must demonstrate that the factual or legal basis for a claim was not "reasonably available to counsel" at the time on direct appeal. Reed v. Ross,
As has been recognized countless times in this District, Johnson II created a "monumental shift" in the law which explicitly overruled Supreme Court precedent as it existed at the time of Roy's sentencing. United States v. Webb,
b. Prejudice
The government also contends that Roy has failed to establish actual prejudice to excuse his procedural default. Specifically, the government asserts that even if Roy's predicate convictions for assault and battery no longer qualify under the residual clause of the career offender guideline, they still fall within the "force clause" of that guideline and are therefore still predicates for that guideline enhancement.
Roy disputes that his predicate convictions qualify as crimes of violence under the "force clause" of the career offender guideline. In his supplemental memorandum, Roy suggests that recent case law from the First Circuit confirms that a Massachusetts conviction for assault and battery is not a crime of violence. Roy submits that because he would not have been sentenced as a career offender under the Guidelines, his sentence would have been different and that demonstrates actual prejudice.
To show actual prejudice that excuses procedural default, a petitioner must show that there is a "reasonable probability" that his sentence would have been different but for the alleged error. Wilder v. United States,
In Descamps v. United States,
A three-step analysis is necessary to determine whether the offense of conviction involves a violent felony under Descamps. Faust,
Where the statute is overbroad, any violation of it cannot qualify as a predicate offense unless the statute is "divisible". The court's second step then is to determine whether the statute is divisible into "elements in the alternative" such that it "define[s] multiple crimes". Mathis,
If the offense is divisible, the court must move to step three and apply the "modified categorical approach" to determine whether the defendant was convicted of the violent form of the offense. Faust,
Roy's two predicate offenses are convictions under the Massachusetts assault and battery statute, Mass. Gen. Laws c. 265 § 13A, which incorporates the common law variants of assault and battery.
The First Circuit determined in Faust that the Massachusetts statute was divisible into reckless and intentional assault and battery, but that the intentional form was not further divisible into its harmful and offensive variations.
Because the statute is divisible and the intentional form of assault and battery is not a predicate offense, this Court is required to consider step three to determine (with Shepard - approved documents) whether Roy was convicted of intentional or reckless assault and battery. See, e.g., Monell v. United States, No. 12-10187,
will not be able to satisfy Taylor' s demand for certainty when determining whether a defendant was convicted of a generic offense.
Faust,
The government contends that the two assault and battery convictions are valid predicates. First, they suggest that the 1997 conviction is a valid predicate because Roy did not object to the PSR's factual description which stated that Roy punched another man in the jaw "for no apparent reason". Second, the government asserts that Roy did not argue that the 1998 assault was not violent, pointing to the police report which describes Roy and a co-defendant striking a victim with closed fists.
There is some debate about whether an unobjected-to factual description in the PSR constitutes an admission that is properly reviewed under Shepard.See United States v. Serrano-Mercado,
Even if the Court were to rely on the PSR for the 1997 conviction, the PSR does not demonstrate that Roy was convicted of the reckless form of assault and battery in his 1998 conviction. Instead, the government attempts to proffer evidence from the police report. The Supreme Court in Shepard explicitly held that a sentencing court may not rely on police reports in determining whether the defendant was convicted of a violent or non-violent offense. Shepard,
The government's emphasis on the violent nature of the conviction is misplaced. Because no Shepard - approved document can answer the question of "what crime, with what elements, a defendant was convicted of," Mathis,
Roy has established a reasonable probability that his sentence "would have been different but for the alleged error," thereby demonstrating the requisite prejudice to overcome the procedural default. Wilder v. United States,
ORDER
For the foregoing reasons, defendant's motion to vacate his sentence (Docket No. 277) is ALLOWED. The clerk will schedule the case for a prompt re-sentencing.
So ordered.
Reference
- Full Case Name
- United States v. Charles F. ROY, Jr.
- Cited By
- 6 cases
- Status
- Published