DOMINIQUE CORDELL WALLACE, Petitioner-Appellant, v. UNITED STATES OF AMERICA, Respondent-Appellee.
No. 20-5764
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
August 5, 2022
RECOMMENDED FOR PUBLICATION Pursuant to Sixth Circuit I.O.P. 32.1(b) File Name: 22a0172p.06. Appeal from the United States District Court for the Middle District of Tennessee at Nashville. Nos. 3:15-cr-00098-1; 3:19-cv-01122—Aleta Arthur Trauger, District Judge. Argued: June 8, 2022. Decided and Filed: August 5, 2022.
Before: SUTTON, Chief Judge; KETHLEDGE and
COUNSEL
ARGUED: Kolya
OPINION
MURPHY, Circuit Judge. Dominique Wallace tried to rob a convenience store just weeks after his release on probation from a three-year detention for attempted murder. This crime left an accomplice dead and a victim terribly disabled. Wallace pleaded guilty to, among other things, discharging a firearm during a “crime of violence” that resulted in death, in violation of
Wallace is right with respect to his crime-of-violence conviction under
But Wallace is wrong with respect to his felon-in-possession conviction under
I
Before Wallace turned 18, he had accumulated a lengthy history of run-ins with the law in Nashville, Tennessee. Most seriously, a 17-year-old Wallace and an accomplice robbed a man at gunpoint in April 2012. According to Wallace‘s presentence report in his federal cases, the robbery victim‘s attempt to escape the robbery led Wallace to shoot him. A state juvenile court ordered Wallace to be tried as an adult, and a grand jury indicted him on charges that included attempted first-degree murder. The state detained Wallace without trial for three years. Nothing in the record explains this lengthy pretrial delay. In May 2015, though, Wallace pleaded guilty to attempted second-degree murder,
Wallace flouted this condition. Within weeks, he committed the crimes that initiated his federal cases. On June 3, 2015, Wallace and three coconspirators attempted to rob a Nashville convenience store—the “Express Market“—after its 10:00 p.m. closing. Wallace, Demontay Thomas, and Robert Brooks went into the store armed with handguns; a getaway driver waited in the car. When the three robbers entered, the Express Market‘s owner stood near the cash register and an employee stood near the entrance. The robbers demanded money at gunpoint and forced the employee to join the store owner at the cash-register counter, which was partially protected by a plexiglass wall. Thomas and Brooks attempted to get behind the wall to access the cash register. Thomas crawled under the counter as Brooks squeezed through a gap in the wall. But they did not coordinate with each other. Thomas thus surprised Brooks as the pair simultaneously emerged on the counter‘s other side. A startled Brooks shot Thomas, who made it back to the entrance before collapsing dead. The gunshot caused Brooks and Wallace to flee. On the way out, Wallace shot the store employee twice—once in the head and once in the stomach. The employee miraculously survived.
Wallace remained at large. A week after this attempted robbery, officers thought they saw him engage in a drug deal. When the officers approached the car in which Wallace was sitting, they smelled marijuana. Seeking to search the car, the officers asked Wallace to get out. As Wallace exited, an officer spotted a handgun underneath his leg. They arrested him for illegally possessing a firearm.
These two incidents led separate grand juries to indict Wallace in separate cases. For the crimes at the store, a grand jury charged Wallace with conspiring to commit Hobbs Act robbery and attempting to commit such a robbery—both in violation of
Wallace pleaded guilty to all counts in both cases. The district court held a combined sentencing hearing. It heard testimony from the Express Market employee who had been shot. A Yemeni immigrant who had become a U.S. citizen, this employee worked seven days a week before the shooting to help his cousin (the store‘s owner) operate the store. He sent most of his earnings back to his wife and kids in Yemen. At the time of the shooting, he had been arranging for them to come to the United States because the war in Yemen had made living there unsafe. Immediately after he was shot, he lay on the floor believing that he was going to die due to all the blood. He remained hospitalized for some six weeks and underwent, among other things, three stomach surgeries. For
In light of this testimony, the district court called Wallace‘s case “one of the worst violent cases” it had seen. Id., PageID 803. Wallace‘s presentence report calculated his guidelines range as 360 months to life imprisonment. The court chose an “effective 360-month sentence[.]” Id., PageID 805. To reach that result, it imposed a statutory-maximum sentence for each of the two Hobbs Act convictions (20 years’ imprisonment) and each of the three felon-in-possession convictions (10 years’ imprisonment under then-existing law). See
Wallace appealed. He argued that
Wallace then filed a motion under
II
Our court granted certificates of appealability on Wallace‘s Davis and Rehaif claims. Wallace obtained pro bono counsel, whom we thank for ably discharging their duties. We now conclude that Wallace‘s Davis claim has merit because of an even more recent Supreme Court decision. But
A. Davis Claim
Wallace pleaded guilty to “caus[ing] the death of a person through the use of a firearm” “in the course of a violation of”
After Davis, Wallace‘s two Hobbs Act crimes can be “crimes of violence” only if the offenses fall within the statute‘s elements clause. Courts must evaluate whether an offense fits this clause using a “categorical approach” that considers the offense‘s elements in the abstract, not the offender‘s conduct in a particular case. See United States v. Taylor, 142 S. Ct. 2015, 2020 (2022). This approach means that we must ignore Wallace‘s brutal conduct. We instead must ask whether every conspiracy to commit Hobbs Act robbery or every attempted Hobbs Act robbery will have “as an element the use, attempted use, or threatened use of physical force against the person or property of another.”
The Supreme Court‘s Taylor decision dictates the answer: No. The government has long conceded that a conspiracy to commit Hobbs Act robbery does not fit within the elements clause. United States v. Ledbetter, 929 F.3d 338, 360-61 (6th Cir. 2019). And Taylor recently held that attempted Hobbs Act robbery does not either. 142 S. Ct. at 2020-21. We thus must reverse the district court‘s denial of Wallace‘s request to vacate his
B. Rehaif Claim
Wallace also pleaded guilty to three counts of “possess[ing]” a “firearm or ammunition” after having been convicted of “a crime punishable by imprisonment for a term exceeding one year[.]”
Wallace relies on Rehaif in an attempt to invalidate his three guilty pleas to being a felon in possession of firearms and ammunition. The district court did not inform Wallace during his plea colloquies that the government must prove that he knew he had been convicted of a crime
At the outset, the government does not defend the district court‘s two rationales for rejecting this claim. It concedes that Rehaif announced a substantive rule that applies retroactively to
Nevertheless, Wallace faces a different procedural obstacle to raising his Rehaif claim in a
In response, Wallace does not dispute that he defaulted this claim. But he offers two reasons why we should still consider it. He argues that he can show “cause and prejudice” and that he is “actually innocent.” Neither theory overcomes his default.
Cause and Prejudice. Prisoners may avoid a procedural default by offering a sufficient excuse for their failure to timely raise a claim (showing “cause“) and explaining why they would be harmed if they could not belatedly assert it (showing “prejudice“). See Gatewood v. United States, 979 F.3d 391, 394 (6th Cir. 2020). To prove cause, prisoners often argue that their attorney provided constitutionally ineffective assistance. See Huff v. United States, 734 F.3d 600, 606 (6th Cir. 2013); Elzy v. United States, 205 F.3d 882, 884 (6th Cir. 2000). This excuse requires prisoners to show both that an attorney performed incompetently and that this legal malpractice prejudiced them. See Nagi v. United States, 90 F.3d 130, 134-35 (6th Cir. 1996). Our cases also hold that a prisoner who makes the prejudice showing for an ineffective-assistance claim (to establish “cause” for a procedural default) generally satisfies the logically distinct “prejudice” element to avoid the procedural default. See Hall v. Vasbinder, 563 F.3d 222, 237 (6th Cir. 2009).
Here, Wallace does not argue that his trial attorney provided ineffective assistance by failing to raise a Rehaif claim during his plea proceedings. At that time, our caselaw did not require Rehaif‘s knowledge element, see United States v. Conley, 802 F. App‘x 919, 922 (6th Cir. 2020), and counsel is not typically deficient for failing to anticipate a change in law, see Malone v. United States, 817 F. App‘x 188, 191 (6th Cir. 2020) (per curiam); cf. Chase v. MaCauley, 971 F.3d 582, 594 (6th Cir. 2020). But Wallace suggests that the circumstances had evolved by the time of his appeal. He argues that his appellate attorney wrongly failed to raise this claim because the Supreme Court decided Rehaif before we resolved his appeal. We need not consider whether Wallace‘s appellate counsel performed incompetently because Wallace cannot show prejudice.
To prove prejudice from an appellate attorney‘s error, prisoners must show that there is a “reasonable probability” that they would have won on the issue that the attorney failed to raise. Smith v. Robbins, 528 U.S. 259, 285 (2000); Valentine v. United States, 488 F.3d 325, 338 (6th Cir. 2007). This prejudice element thus addresses the “merits” of the claim that the attorney overlooked. Ivory v. Jackson, 509 F.3d 284, 294 (6th Cir. 2007). Here, then, we must “[o]ddly” consider the validity of Wallace‘s Rehaif claim—the very claim that he procedurally defaulted—to decide whether his appellate counsel provided ineffective assistance (and whether we may consider this claim despite that default). Kelly v. Lazaroff, 846 F.3d 819, 829 (6th Cir. 2017).
Yet if Wallace had raised this Rehaif claim for the first time on appeal, we would have reviewed it only for plain error because he did not preserve it in the district court. Greer, 141 S. Ct. at 2096. Under plain-error review, we could not grant him relief unless the district court‘s failure to inform him of Rehaif‘s knowledge element affected his “substantial rights[.]” Id. at 2097 (quoting
This plain-error prejudice test is not easy to meet. Appellate courts start with a healthy dose of skepticism when evaluating any after-the-fact claim that a prisoner would not have pleaded guilty but for some error in the prisoner‘s plea proceeding. These courts require “contemporaneous evidence” from the time of the plea proceeding that objectively verifies such a claim. Hobbs, 953 F.3d at 857 (quoting Lee, 137 S. Ct. at 1967). This judicial skepticism only increases for a Rehaif claim. “Felony status is simply not the kind of thing that one forgets.” Greer, 141 S. Ct. at 2097 (quoting United States v. Gary, 963 F.3d 420, 423 (4th Cir. 2020) (Wilkinson, J., concurring in denial of rehearing en banc)). So the government typically will not face much difficulty proving Rehaif‘s knowledge element. See Rehaif, 139 S. Ct. at 2198. Indeed, defendants commonly stipulate at trial to their status as felons so that the jury does not learn easy-to-prove (yet highly prejudicial) evidence about their past crimes. See Old Chief v. United States, 519 U.S. 172, 180-92 (1997). It is thus the rare case in which Rehaif will alter a defendant‘s calculus about whether to plead guilty or stand trial. See Greer, 141 S. Ct. at 2097. If anything, moreover, we should be even more skeptical of Rehaif claims when they are raised in a
And here, nothing in the “contemporaneous” record of the plea proceedings suggests that Wallace would have gone to trial
To begin with, the nature of Wallace‘s prior conviction goes a long way toward proving his knowledge (and Rehaif‘s immateriality to his guilty pleas). Wallace did not plead guilty to committing a felony that one might confuse for a misdemeanor—say, damaging a mailbox, see
By the time of his plea proceedings, moreover, Wallace indisputably knew that attempted second-degree murder was a felony. He admitted as much. During the plea colloquy in one of his federal cases, for example, the government stated that Wallace‘s attempted-murder conviction made him “a convicted felon” when describing the facts underlying his felon-in-possession charge. Plea Tr., R.105, No. 3:15-cr-98, PageID 304. Wallace conceded that the government accurately described his offense. Id., PageID 305. He also conceded that, if he decided to stand trial, the government could prove that he had “been convicted of a crime punishable by a term of imprisonment exceeding one year[.]” Id., PageID 305-06. These admissions “strongly” suggest that Wallace knew of his felon status even earlier when he possessed the firearms and ammunition. United States v. Ward, 957 F.3d 691, 695 (6th Cir. 2020) (quoting Conley, 802 F. App‘x at 923); see United States v. Pollard, 20 F.4th 1252, 1257 (9th Cir. 2021).
Next, while Wallace received a 10-year suspended sentence for his murder conviction and was released on probation, his state-court records show that he had already served three years in jail by that point. Plea Pet., R.11-2, No. 19-cv-1122, PageID 56. Wallace presumably knew that he had been detained for these three years. Further, his signed plea petition acknowledged that he would receive “jail credit” for this detention. Id. (Tennessee statutes require sentencing courts to award this credit.
Critically, moreover, Wallace committed his felon-in-possession offenses at issue in these federal cases only weeks after serving this lengthy detention. Given this temporal proximity, it is highly unlikely that he would have “forgotten” that he had just spent three years in jail when he decided to possess firearms and ammunition. So his case differs from others in which a defendant served a short prison stint years in the past. Cf. United States v. Werle, 35 F.4th 1195, 1203-04 (9th Cir. 2022); United States v. Guzmán-Merced, 984 F.3d 18, 20-21 (1st Cir. 2020).
Wallace‘s state-court records likewise reveal that he went through a standard plea process when pleading guilty to attempted murder. This process exists to ensure that defendants know the nature of the offense to which they are pleading guilty. See Bousley, 523 U.S. at 618. And judicial records memorializing the process exist to create a “formidable barrier” against an untimely allegation that a defendant did not understand some aspect of the offense. Blackledge v. Allison, 431 U.S. 63, 74 (1977); see Ramos v. Rogers, 170 F.3d 560, 563 (6th Cir. 1999). Wallace‘s records create this “barrier.” In his signed petition to plead guilty, he acknowledged that his charged crime (attempted first-degree murder) was a felony punishable by between 15 and 25 years’ imprisonment. Plea Pet., R.11-2, No. 19-cv-1122, PageID 55. He also agreed to plead guilty to attempted second-degree murder and to recommend to the court a suspended sentence of 10 years’ imprisonment. Id., PageID 55-56. But he conceded that he must “accept any punishment which the law permits the Court to impose.” Id., PageID 55. And again, he recognized that he would receive “jail credit” for the three years that he had just served. Id., PageID 56. In the order accepting Wallace‘s plea, the state court also explained that it had asked Wallace questions during a plea colloquy and certified that Wallace knew the “nature” of the charge and “the maximum possible penalty provided by law” for it. Ord., R.11-2, No. 19-cv-1122, PageID 58. These plea records confirm that there is no reasonable probability that Wallace would have opted for a trial if the district court had informed him of Rehaif‘s knowledge element. Cf. Brandon, 965 F.3d at 432.
We end our cause-and-prejudice discussion with a separate point. Apart from his ineffective-assistance claim, Wallace attempts to show “cause” with a “futility” argument. In a single paragraph, he asserts that it would have been futile to raise a Rehaif claim in his criminal cases because the existing circuit precedent foreclosed the claim. Yet we have held that prisoners cannot invoke any “futility” exception to procedural default if the Supreme Court has yet to disagree with their claim—whether or not circuit courts have rejected it. See Gatewood, 979 F.3d at 395-96. At day‘s end, though, we need not
Actual Innocence. Prisoners can alternatively overcome a procedural default if the failure to consider their collateral challenge would result in a “fundamental miscarriage of justice” because they are factually innocent of the crime of which they have been convicted. McQuiggin v. Perkins, 569 U.S. 383, 392-94 (2013) (quoting Herrera v. Collins, 506 U.S. 390, 404 (1993)); Bousley, 523 U.S. at 623-24. But prisoners seeking to prove this actual-innocence exception face a high bar. See Davis v. Bradshaw, 900 F.3d 315, 326 (6th Cir. 2018). They must show that “it is more likely than not that no reasonable juror would have convicted” them if they stood trial. Bousley, 523 U.S. at 623 (quoting Schlup v. Delo, 513 U.S. 298, 327-28 (1995)).
Relying on Rehaif, Wallace alleges that he is factually innocent of his felon-in-possession offenses because he did not know that attempted murder was punishable by more than a year in prison when he possessed the guns and ammunition. He has fallen well short, however, of proving that this case is an “extraordinary” one triggering the narrow actual-innocence exception. McQuiggin, 569 U.S. at 393. In his
*
Wallace has both procedural and substantive objections to our rejection of his Rehaif claim. As a matter of procedure, he argues that we should remand his claim to the district court rather than resolve the procedural-default issue on appeal. Admittedly, we took that path in another case in which a district court wrongly held that Rehaif did not apply retroactively. See Baker, 848 F. App‘x at 190-91. Yet our cases give us discretion to affirm a district court‘s decision on any ground that the record proves correct, including a ground that an appellee raised but that the district court did not reach. See McCormick v. Braverman, 451 F.3d 382, 396 (6th Cir. 2006); Katt v. Dykhouse, 983 F.2d 690, 695 (6th Cir. 1992); Russ’ Kwik Car Wash, Inc. v. Marathon Petroleum Co., 772 F.2d 214, 216 (6th Cir. 1985) (per curiam). In Baker, moreover, we remanded the Rehaif claim in part because the petitioner had argued that the government forfeited its procedural-default defense by failing to raise it in the district court. See Baker, 848 F. App‘x at 190. Here, by contrast, the government preserved the defense, and the parties have exhaustively briefed it. Judicial economy thus counsels in favor of considering procedural default immediately—as we have done in other cases. See Gatewood, 979 F.3d at 394.
Wallace responds that we should not take this course because he should get an evidentiary hearing over whether he knew he was a felon before we accept the government‘s procedural-default defense. But his
Wallace‘s pro se
Turning to the merits, Wallace identifies three reasons why the record shows that he might not have believed that he had been convicted of a crime punishable by more than a year in prison. He initially points out that he received a suspended sentence and was immediately released on probation. He disregards that he had served three years in jail at the time of the sentence and that his plea petition acknowledged he would receive “jail credit” for this detention. Plea Pet., R.11-2, No. 19-cv-1122, PageID 56. His case thus differs from those in which a felon served only a short sentence on the prior conviction. Cf. Werle, 35 F.4th at 1203-04.
Wallace next argues that he was a juvenile when he committed the state offense, and that even state judges have expressed uncertainty over when juvenile offenses count as felonies under Tennessee law. Even if his attempted-murder charge started in juvenile court, however, the state quickly transferred it to adult court. So no basis exists for Wallace to think he had been convicted of a juvenile offense. Cf. United States v. Wilson, 853 F. App‘x 297, 305-07 (10th Cir. 2021).
Wallace lastly argues that he had “nothing to lose” by going to trial because he received no benefit by pleading guilty. Appellant‘s Br. 58. Not so. His plea triggered a three-level offense-level reduction for acceptance of responsibility. This reduction changed his guidelines range (with the
*
All told, we affirm the district court‘s denial of relief with respect to Wallace‘s three felon-in-possession convictions but reverse its denial of relief with respect to his
Many judges have recognized the problems with the “categorical approach” for evaluating whether a defendant has committed a “crime of violence.” See United States v. Burris, 912 F.3d 386, 407 (6th Cir. 2019) (en banc) (Thapar, J., concurring). It requires us to consider hypothetical conduct, not a defendant‘s actual conduct. See Cradler v. United States, 891 F.3d 659, 672 (6th Cir. 2018) (Kethledge, J., concurring). In this case, for example, Wallace‘s attempted-robbery conviction is not a crime of violence under
Yet the categorical approach‘s problems do not affect a district court‘s balancing of the sentencing factors. Courts may not ignore reality in that distinct context. They must consider the “nature and circumstances” of the defendant‘s crime.