Lead Opinion
In this 28 U.S.C., § 2254 death penalty case, Perez appeals the March 27, 2012, dismissal (“March 2012 Judgment”) of his habeas petition and application for a Certificate of Appealability (“COA”). Although Perez failed to file a notice of appeal within 30 days of the judgment as required by Federal Rule of Appellate Procedure (“FRAP”) 4(a)(1), in its most recent ruling in this case, the district court reopened the time to appeal pursuant to FRAP 4(a)(6), and Perez filed an appeal of the March 2012 Judgment following that
I. Background
A Texas jury convicted Perez of capital murder and sentenced him to death. Perez I,
Perez’s attorney, Sadaf Khan, received notice of the judgment, but decided not to appeal after concluding that an appeal was not in her client’s best interest. Khan informed neither Perez nor the consulting attorney, Richard Burr, of the judgment, nor did she consult Perez on whether to file an appeal. Burr only learned of Khan’s failure to appeal after the deadline to timely appeal had passed. After Burr informed Khan that death penalty litigants should exhaust all appeals as a matter of course, Khan filed a motion on June 25, 2012, to reopen the time to appeal pursuant to FRAP 4(a)(6). The district court entered an order denying Khan’s motion on July 3, 2012, (the “July 2012 Order”) reasoning that Khan had received notice of the judgment when it was entered. See FRAP 4(a)(6) (providing that the court may only reopen the time to appeal if, inter alia, the moving party did not receive notice under Federal Rule of Civil Procedure 77(d)). The district court also noted that Khan missed the deadline to file a FRAP 4(a)(5) motion. Khan did not appeal the district court’s order. •
Perez then obtained new counsel who filed FRAP 4(a)(5) and 4(a)(6) motions, as well as a motion under Federal Rule of Civil Procedure (“Civil Rule”) 60(b)(6), on August 29, 2012 (collectively, “August 29 Motions”). The district court concluded that Khan had abandoned Perez and granted his Civil Rule 60(b) motion. The court directed the clerk to reenter the March 2012 Judgment denying habeas relief so that Perez could timely appeal. The March 2012 Judgment was reentered on December 18, 2012 (“December 2012 Order”). While the district court dismissed Perez’s FRAP 4(a)(5) and FRAP 4(a)(6) motions, it held in the alternative that it would have granted relief under FRAP 4(a)(6) if it had not entered judgment under Civil Rule 60(b). Perez filed an appeal that would be timely as to the reentered March 2012 Judgment, and the Director timely appealed the grant of Perez’s August 29 Motion for Civil Rule 60(b) relief. In that appeal, the Director also filed a motion to dismiss for want of jurisdiction with this court on the grounds that Perez could not render his appeal timely through either Civil Rule 60(b) or FRAP 4(a)(6).
Similarly, we held that FRAP 4(a)(6) did not provide Perez with an alternative avenue for filing a timely notice of appeal. Id. at 177 n. 4. Perez did not appeal the district court’s July 2012 Order or December 2012 Order denying his FRAP 4(a)(6) motions. Nevertheless, the December 2012 Order held in the alternative that FRAP 4(a)(6) was a viable means of relief, while William Stephens, the Director of the Texas Department of Criminal Justice (“the Director”), argued in his motion to dismiss for want of jurisdiction that it was not. In light of this dispute Perez I explained:
The district court ruled in the alternative that it would have granted the Appellate Rule 4(a)(6) motion, despite its earlier conclusion that this rule did not apply because Khan received timely notice. Perez does not argue that Appellate Rule 4(a)(6) would provide an alternate basis to find his appeal timely. This rule does not cover an attorney’s decisions that lead to an untimely appeal. See Resendiz v. Dretke,452 F.3d 356 (5th Cir.2006). Even if Appellate Rule 4(a)(6) were an available source of relief in a case such as this one, as suggested by the dissenting opinion, it permits only a fourteen-day reopening of the time for appeal. This appeal was filed twenty-eight days after the district court’s Civil Rule 60(b)(6) order. Thus, Appellate Rule 4(a)(6) does not aid Perez here.
After this court’s disposition of Perez and the Director’s appeals and the Supreme Court’s denial of certiorari, Perez filed a letter with the district court “Re-urging ... Pending Motions to Reopen or Extend the Time to File Notice of Appeal.” The letter requested that the court grant Perez’s August 29 Motions for relief under FRAP 4(a)(5) and 4(a)(6), the two alternative bases the district court had previously considered and dismissed in its December 2012 Order. Perez reasoned that this court’s vacatur of the district court’s Civil Rule 60(b) judgment also vacated the district court’s dismissal of both motions. Therefore, he argued that both motions remained pending before the district court. The district court seemingly agreed with this contention, and reopened the time to appeal pursuant to FRAP 4(a)(6) on the grounds that Khan, who had received notice of the denial of habeas relief, had abandoned Perez and thus Perez was not on notice of the March 2012 Judgment. The district court’s order was entered on December 11, 2014 (the “December 2014 Order”), and Perez then appealed the March 2012 Judgment denying habeas relief and denying a COA, as well as all other adverse orders. In this second round of appeals, the Director did not
The court requested letter briefs from each party addressing this court’s jurisdiction to consider this appeal. In response, the parties filed letters addressing whether the district court’s December 2014 Order violated the mandate rule and whether the district court lacked the power to grant an extension of the time to appeal the March 2012 Judgment.
II. Discussion
Before addressing why the district court’s December 2014 Order reopening the time to appeal under FRAP 4(a)(6) violated Perez J’s mandate, we must dispense with Perez’s argument that the Director’s failure to appeal the district court’s FRAP 4(a)(6) Order renders it unreviewable on appeal. Relying on Amatangelo v. Borough of Donora,
It is axiomatic that we must consider the basis of our own jurisdiction, sua sponte if necessary. Wilkens v. Johnson,
The question, then, is whether we have jurisdiction to consider Perez’s appeal of the March 2012 Order. Because we find that the district court’s December 2014 Order reopening the time to appeal' violates this court’s mandate in Perez I, we must dismiss this appeal for want of jurisdiction.
Under law-of-the-case doctrine, “the district court on remand, or the appellate court on a subsequent appeal, abstains from reexamining an issue of fact or law that has already been decided on appeal.” United States v. Teel,
To determine whether the December 2014 Order violated the mandate rule, we must assess the scope of Perez I’s mandate. As stated above, this court has a duty to examine the basis of its own juris
Both our holding in Perez I and our instructions to the district court unambiguously rejected the December 2012 Order’s alternate holding that FRAP 4(a)(6) was a permissible method of attaining jurisdiction.
Perez implicitly argues that his failure to appeal the district court’s denial of FRAP 4(a)(6) relief renders our statement in Perez I dictum and therefore not law of the case. See Pegues v. Morehouse Parish Sch. Bd.,
That the district court exceeded the scope of Perez I’s mandate is bolstered by our disposition of the case. We addressed all avenues of potential relief Perez possessed and rejected each in turn. Perez I vacated the district court’s December 2012 Order, reinstated the March 27 Judgment from which a FRAP 4(a)(6) motion would have been untimely, dismissed Perez’s appeal as untimely, and did not remand to the district court. Moreover, Perez I did not purport- to vacate either the district court’s December 2012 Order or July 2012 Order denying FRAP 4(a)(6) relief. See id. at 181 (“VACAT[ING] the order granting Civil Rule 60(b)(6) relief.” (emphasis added)). The totality of these actions clearly manifested an 'intent to dispense with the case. Quite simply, there was nothing left for the district court' to do. While one could argue that the failure to remand likely does not deprive the district
Finally, Perez’s repeated failure to raise the FRAP 4(a)(6) issue is also dispositive. The mandate rule “bars litigation of issues decided by the district court but foregone on appeal or otherwise waived.” United States v. Lee,
This appeal is not the second, but the third attempt by Perez to extend the time to appeal under FRAP 4(a)(6). Despite raising this issue twice before the district court, Perez did not appeal or address either the July 2012 Order denying the relief or the December 2012 Order dismissing FRAP 4(a)(6) relief, including the fact that the latter Order stated that the Rule might provide an alternative method of filing a timely notice of appeal, except to assert that he was not relying on FRAP 4(a)(6). Perez had yet another opportunity to address this issue in Perez I in response to the Director’s motion to dismiss for want of jurisdiction, but again failed to do so. See
The dissenting opinion argues that Perez, as the appellee in Perez I, is subject to a more lenient standard and as such his neglect is excusable. See Tex. Midstream Gas Servs., LLC v. City of Grand Prairie,
Moreover, the basis for the policy choice applying a more lenient standard to appellees is that, by definition, appellees are unable to choose which issues will be appealed and are unable to file reply briefs. See Laitram Corp. v. NEC Corp.,
Finally, even if we were to determine that the FRAP 4(a)(6) issue was not precluded by the ruling and events of Perez I, we conclude that FRAP 4(a)(6) relief is unavailable in a situation such as this one. FRAP 4(a)(6) provides that “a district court may reopen the time to file an appeal for a period of 14 days after the date when its order to reopen is entered,” but only if (1) a party did not receive notice of the entry of the judgment under Federal Rule of Civil Procedure 77(d) within 21 days after entry,
While this fact would ordinarily foreclose the availability of relief under FRAP 4(a)(6), Perez and the dissenting opinion maintain that an exception to this rule is warranted because Khan “abandoned” him. Although notice received by an attorney is imputed to the client, see Pioneer Inv. Servs. Co. v. Brunswick Assocs. Ltd. P’ship,
In Resendiz,
counsel filed a federal habeas petition on [petitioner’s] behalf and, after meeting with [petitioner], moved, albeit untimely, to reopen the period for filing a notice of appeal. If counsel’s failure to file a timely notice of appeal constitutes abandonment, then [petitioner’s] argument would allow an end run around the requirements set forth in Rule 4(a)(6). Stated another way, the proposed exception would swallow the rule.
Id. at 362.
Khan’s actions do not materially differ from the actions of the negligent counsel in Resendiz. Like the attorney in Resendiz, Khan received notice of an adverse judgment, failed to inform her client, and consequently failed to timely appeal (although in her case, she made the decision not to appeal based upon strategic considerations, which seems even less likely to be “abandonment,” see Perez I,
Further, this argument runs squarely against Supreme Court precedent holding that we are not at liberty to grant exceptions pursuant to 28 U.S.C. § 2107, which is “carrie[d] into practice” by FRAP 4. See Bowles v. Russell,
III. Conclusion
There are multiple avenues that arrive at the same conclusion — this appeal should be dismissed. The mandate rule barred relitigation of Perez’s FRAP 4(a)(6) claim. The district court erred by exceeding the scope of Perez I’s mandate, and Perez erred by not raising his FRAP 4(a)(6) argument in a timely fashion. Under any of these circumstances, the district court’s December 2014 Order reopening the time to appeal was invalid. Even if the mandate rule did not bar relitigation of Perez’s 4(a)(6) claim, the Rule’s terms were not met, so no such relief is available here. Accordingly, we again DISMISS Perez’s appeal for want of jurisdiction.
Notes
. "Perez” refers to the petitioner, while "Perez I" will denote this court's previous decision.
. We typically hold that a district court exceeds the “spirit" of a mandate when we have remanded for a limited purpose but the district court proceeds to consider extraneous issues. See United States v. Matthews,
. The dissenting opinion suggests there would be no reason to appeal the Rule 4(a)(6) determination, given that the district court stated it would grant this relief and granted Perez Rule 60(b) relief. This argument would not explain Perez's lack of response to the motion to dismiss or his affirmative statement that he was not relying on 4(a)(6). Additionally, it supports our conclusion that this alternative basis for relief was before us in Perez I and decided against Perez.
. On December 1, 2005, FRAP 4(a)(6) was amended such that “only formal service pursuant to Federal Rules of Civil Procedure 77(d) and 5(b) constitutes notice.” Resendiz,
Dissenting Opinion
dissenting:
The majority correctly notes that obiter dictum is not the law of the case, but incorrectly concludes that the Perez I majority’s discussion of FRAP 4(a)(6) was not dictum'. Next, the majority mistakenly concludes that Perez waived the FRAP 4(a)(6) issue by failing to raise it in the prior appeal. Lastly, the majority errone
First, the majority opinion in Perez I did not include a holding as to FRAP 4(a)(6)— any mention of FRAP 4(a)(6) was dictum and therefore not the law of the case. See Jama v. Immigration & Customs Enforcement,
Obiter dictum is “[a] judicial comment made while delivering a judicial opinion, but one that is unnecessary to the decision in the case and therefore not precedential.” Black’s Law Dictionary 1240 (10th ed.2014); see also Bohannan v. Doe,
To arrive at its conclusion that the FRAP 4(a)(6) issue was properly before the Perez I panel, the majority concludes that the district court’s December 2012 Order included an “alternate holding” that Perez was entitled to FRAP 4(a)(6) relief. The district court’s holding as to FRAP 4(a)(6), however, was to dismiss Perez’s motion for relief under FRAP 4(a)(6). The majority, therefore, reaches the paradoxical conclusion that the district court’s December 2012 Order both held that Perez was entitled to FRAP 4(a)(6) relief and denied him such relief. The district court did not maintain these contradictory holdings. Instead, the district court granted Perez’s motion to vacate judgment under Civil Rule 60(b)(6), dismissed Perez’s alternative motions under FRAP 4(a)(5) and
Second, the majority concludes that Perez forfeited his FRAP 4(a)(6) argument by failing to raise it before the Perez I panel and, because of the forfeiture, the district court could not grant FRAP 4(a)(6) relief now. For purposes of the FRAP 4(a)(6) issue, Perez was the appellee in Perez I. “[Wjhen the derelict party is the appellee, who may rely on a favorable ruling by the trial court, it makes sense to construe the ‘rule’ of forfeiture more leniently.” Tex. Midstream Gas Servs., LLC v. City of Grand Prairie,
Last, the majority holds that the district court was wrong to grant Perez’s FRAP 4(a)(6) motion, even if the Perez I mandate did not otherwise settle the issue. FRAP 4(a)(6) allows a district court to reopen the time to file a notice of appeal if the court finds that the moving party did not receive notice of entry of judgment. The district court determined that although Khan, Perez’s trial attorney, had received notice of the entry of judgment, that notice could not be imputed to Perez because Khan had abandoned him. See Maples v. Thomas, — U.S. —,
The majority relies heavily on Resendiz v. Dretke,
Because the district court did not abuse its discretion in granting Perez’s motion to reopen the time to file an appeal, and because Perez timely filed his notice of appeal within the window that the district court created, we have jurisdiction to hear this appeal. I therefore respectfully dissent from the majority’s opinion.
. In the district court’s place, I would have termed these motions “denied as moot,” rather than "dismissed,” but I do not believe that this difference in nomenclature is dispositive.
. I do not suggest that Perez had no reason to appeal the dismissal of his FRAP 4(a)(6) motion merely because the district court stated that it would have granted that motion. Perez had no need to appeal the FRAP 4(a)(6) dismissal because he had succeeded under Civil Rule 60(b)(6).
. The majority also suggests that the FRAP 4(a)(6) issue was properly before the Perez I panel because this court has an obligation to assess its own jurisdiction. See United States v. Key,
. The district court’s decision does not run afoul of the rule that a court may not "create equitable exceptions to jurisdictional requirements.” See Bowles v. Russell,
