UNITED STATES of America, Plaintiff-Appellee, v. Derrick WHEATEN, Defendant-Appellant.
No. 14-51123
United States Court of Appeals, Fifth Circuit
June 23, 2016
845 F.3d 843
PRISCILLA R. OWEN, Circuit Judge
Before WIENER, PRADO, and OWEN, Circuit Judges.
“[T]he failure to dispose of unserved, nonappearing defendants does not prevent a judgment from being final and appealable.” Fed. Sav. & Loan Ins. Corp. v. Tullos-Pierremont, 894 F.2d 1469, 1471 (5th Cir. 1990). In concluding that a party named in the litigation is not a party for purposes of appellate jurisdiction, we have required both non-service and nonappearance. In other words, absent Rule 54(b) certification, either service or appearance by a named party will defeat appellate jurisdiction under
It is unclear from the record before us whether Atkinson was ever served. The Charleses submitted a number of documents as evidence that Atkinson was properly served, and in their briefing to this court, they insist that Atkinson was served under the Louisiana long-arm statute. But while the district court docket indicates that four Proof of Service forms were “Returned Executed” on June 11, 2015, the docket also notes that a new summons was issued for Atkinson on July 15, 2015. Finally, while the district court‘s opinion granting summary judgment stated that “the Charleses have yet to locate Atkinson so that they can serve him,” in its order on the motion for reconsideration, it stated “[t]he claims against Atkinson remain and a pretrial conference will be set accordingly.”
In light of the confusion in the record, we REMAND this case to the district court for the limited purpose of determining whether Atkinson has been served and entering an order stating its findings and conclusions as to service. The case should then be returned to this panel for determination.
LIMITED REMAND.
Joseph H. Gay, Jr., Michael Robert Hardy, Esq., Assistant U.S. Attorneys, U.S. Attorney‘s Office, Western District of Texas, San Antonio, TX, for Plaintiff-Appellee.
Derrick Wheaten, Mendota, CA, Pro Se.
PRISCILLA R. OWEN, Circuit Judge:
The district court dismissed Derrick Wheaten‘s motion pursuant to
I
Wheaten pleaded guilty, in federal district court, to aiding and abetting the possession with intent to distribute cocaine base and was sentenced to 132 months of imprisonment. In Wheaten‘s direct appeal, this court affirmed that conviction and sentence on March 14, 2012,2 resulting in a deadline of June 12, 2012, to petition the Supreme Court for a writ of certiorari.3 On May 30, 2012, Wheaten, through counsel, filed a motion to extend the certiorari petition deadline to August 11, 2012, which the Supreme Court denied on June 7, 2012. Despite the passing of the June 12 deadline, Wheaten‘s counsel filed a certiorari petition on July 5, 2012. The petition was placed on the Supreme Court‘s docket with a notation as to its untimeliness.
The Government filed a memorandum in response to Wheaten‘s certiorari petition on July 31, 2012. In that filing, the Government stated that if the Supreme Court chose to “overlook” the untimeliness of Wheaten‘s petition, then certiorari should be granted, the judgment vacated, and the case remanded for further consideration in light of Dorsey v. United States.4 The Supreme Court denied the petition for certiorari without comment on October 1, 2012.5
On September 10, 2013, at the earliest, Wheaten filed a motion to vacate his sen-
The district court granted the Government‘s motion and denied Wheaten‘s motion. The district court agreed with the Government that the judgment became final when Wheaten‘s time for filing a certiorari petition expired on June 12, 2012, and held that the Supreme Court‘s denial of the untimely petition without comment did not restart or extend the limitations period. The district court further held that Wheaten was not entitled to equitable tolling. The district court granted Wheaten a certificate of appealability, concluding that its decision on the timeliness question was in tension with a footnote from a prior decision of this court.6 Wheaten appealed.
II
We first consider whether the date on which the judgment of conviction became final for purposes of
Under AEDPA, a one year statute of limitations governs habeas motions filed by federal inmates.8 That one year period runs from the latest of four triggering events, including, relevant here, “the date on which the judgment of conviction becomes final.”9
Although the statute does not define when a conviction “becomes final” for purposes of federal habeas review of a federal conviction, the Supreme Court stated in Clay v. United States that “[f]inality attaches when [the Supreme] Court affirms a conviction on the merits on direct review or denies a petition for a writ of certiorari, or when the time for filing a certiorari petition expires.”10 The Supreme Court‘s rules of procedure provide that a defendant has ninety days after the court of appeals affirms the conviction to file a certiorari petition,11 unless an extension is obtained. In Clay, the Court decided the “narrow” question of when a judgment in a federal prosecution becomes final if the defendant‘s direct appeal to a court of appeals is unsuccessful and the defendant does not petition for a writ of certiorari from the Supreme Court.12 The Government contended in Clay that the judgment became final when the court of appeals’ mandate issued (the mandate had automatically issued 21 days after entry of the court of appeals’ judgment). The defendant disagreed, contending that the judgement of conviction had become final 69 days later, at the end of the 90-day period for filing a petition for writ of certiorari. The Court held that “[f]or the purpose of starting the clock on § 2255‘s one-year limitation period,” the “judgment of conviction becomes final when the time expires for filing a petition for certiorari contesting the
We conclude that the general statement in Clay that “[f]inality attaches when [the Supreme] Court . . . denies a petition for a writ of certiorari” was not intended by the Supreme Court to govern the situation in which an untimely petition for writ of certiorari is summarily denied. The Court did not consider in Clay whether the denial of an untimely petition for certiorari, without comment, affected the
Wheaten relies on a footnote from this court‘s decision in United States v. Redd, in which we stated:
Even though Redd filed his certiorari petition more than ninety days after this court had affirmed the denial of his rule 33 motion, the fact that the Supreme Court considered and denied the petition started the statute of limitations from the date of the denial of the writ. “Finality attaches when this Court denies a petition for a writ of certiorari.”14
However, this statement in Redd had no bearing on any issue actually decided in that appeal. The statement is dicta and is not a statement of the law in this Circuit that is binding on our panel.15
In Redd, we were concerned only with whether a defendant‘s Rule 33 motion for a new trial filed after the deadline for filing a notice of appeal tolls the date of finality of the judgment of conviction for purposes of
3‘s statement was unnecessary to the judgment we rendered in Redd.28 We consider that statement only to the extent that it is persuasive. Our determination of whether the Supreme Court‘s denial of Wheaten‘s untimely petition for certiorari affected the finality of the judgment convicting him is a question that we consider de novo.
Wheaten argues that the Supreme Court Clerk‘s acceptance and transmission of his untimely petition to the Court, and the Court‘s consideration and denial of it, “reopened direct review” and “restored the pendency of the direct appeal,” such that the one-year period in which he was required to file his habeas motion began the day the Supreme Court denied the certiorari petition. He argues that the Supreme Court implicitly excused the lateness of his certiorari petition, which is within its discretion,29 by docketing (with a notation as to its lateness) and considering it, even though his motion to extend the time for filing had been expressly denied in a written order before he filed his untimely petition.
The Supreme Court‘s docketing and denial without comment of Wheaten‘s certiorari petition does not indicate that it actually exercised its discretion and excused the lateness of Wheaten‘s petition and therefore “reopen[ed] direct review.”30 Ad-
In light of the Supreme Court‘s practice of denying late-filed criminal petitions without any explanation, were we to agree with Wheaten, a defendant could bypass
A different conclusion would be difficult, if not impossible, to reconcile with the reasoning in a recent decision of our court in Catchings v. Fisher.32 There, a defendant convicted in state court failed to petition the Supreme Court for direct review within the required ninety-day period.33 Over one year later, he filed an untimely certiorari petition, which the Supreme Court denied without comment.34 The inmate then filed a federal habeas petition under
A contrary rule would permit any petitioner who missed the 90-day certiorari deadline to file a petition for certiorari years later and argue that his one-year limitations period did not begin until that late petition was denied. We thus decline to read the Supreme Court‘s apparent practice of denying late petitions without explanation, rather than simply refusing to file them, as reviving the direct review of tardy petitioners for purposes of section 2244(d)(1)(A).37
Although Catchings arose in the context of a
Wheaten relies upon the Supreme Court‘s decision in Jimenez v. Quarterman,38 but it did not address the issue in the present appeal. In Jimenez, after a state criminal defendant missed his state-
In Jimenez the Supreme Court cautioned that the mere “possibility that a state court may reopen direct review ‘does not render convictions and sentences that are no longer subject to direct review non-final.’ ”45 It held that “where a state court has in fact reopened direct review, the conviction is rendered nonfinal for purposes of
In holding that Wheaten‘s untimely direct review certiorari petition did not reset his one-year deadline for filing a
Accordingly, we hold that when a federal defendant files an untimely certiorari petition seeking direct review of his conviction, and the Supreme Court gives no indication that it excused the untimeliness, the denial of the petition without comment does not affect finality for purposes of
III
Wheaten argues in the alternative that the filing deadline should be equitably tolled and the
To be entitled to equitable tolling, a movant must show “(1) that he has been pursuing his rights diligently, and (2) that some extraordinary circumstance stood in his way and prevented timely filing.”55 Our inquiry is guided by the principle that equitable tolling of AEDPA‘s one-year limitations period is available only in “rare and exceptional circumstances.”56 It “applies principally where the plaintiff is actively misled by the defendant about the cause of action or is prevented in some extraordinary way from asserting his rights.”57
Wheaten claims that abandonment by his direct appeal attorney and a misleading
In assessing when an attorneys’ conduct may amount to “extraordinary circumstances,” the Supreme Court has differentiated between “garden variety claim[s] of excusable neglect, such as a simple ‘miscalculation’ that leads a lawyer to miss a filing deadline,” which do “not warrant equitable tolling,” and abandonment by counsel.58 Wheaten claims that his appellate lawyer “misled” him into believing that a timely certiorari petition would be filed, missed the deadline, and then failed to inform Wheaten about the missed deadline and the fact that the Supreme Court had denied his extension request until almost a month after the deadline had passed.
Our review of the record reveals that Wheaten‘s appellate attorneys’ conduct does not cross the line between “garden variety” neglect and attorney abandonment. In the cases in which the Supreme Court has recognized that attorney abandonment may result in equitable tolling, the movant‘s attorney “failed to communicate with [the movant] over a period of years”59 or did not in fact represent the movant in any capacity whatsoever during the movant‘s period for filing an appeal, even though the attorney failed to file a motion to withdraw.60 In
contrast, here, Wheaten‘s appellate counsel sent him four letters between May 2012, when she filed her motion for an extension with the Supreme Court, and October 2012, when she informed Wheaten that the Supreme Court had denied his certiorari petition. Counsel apprised him of the Supreme Court‘s denial of her extension request and of the fact that she filed his petition late. She provided him a habeas legal guide. This conduct does not constitute abandonment. More importantly, Wheaten readily acknowledges that he learned of the Supreme Court‘s denial of the motion for an extension, and of the missed deadline, within less than a month of that deadline‘s expiration. When he learned of these circumstances, he still had more than eleven months remaining on his AEDPA clock. Accordingly, counsel‘s failures cannot be said to have “stood in his way and prevented timely filing” of his
Wheaten alleges that in a telephone conversation days after his attorney submitted the untimely petition, the Supreme Court Clerk told him that “your certiorari [petition] has been docketed, accepted and is now pending. And after this Court‘s ruling, you have one-year to file a habeas corpus [sic] if the [C]ourt doesn‘t rule in your favor.” Wheaten claims that this incorrect advice misled him into believing that the Supreme Court‘s denial of his petition reset his AEDPA clock, and that this advice therefore constitutes an extraordinary circumstance. We disagree.
Similarly, here, Wheaten had been told at least two times that his certiorari petition was filed late. The fact that we had not yet resolved the question underlying the timing of his appeal does not change the fact that Wheaten “should have elected to err on the side of caution and abide by the earlier of the two possible deadlines,” as “a lack of knowledge of the law, however understandable it may be, does not ordinarily justify equitable tolling.”67 This is so even with respect to issues that neither our court nor the Supreme Court had decided by the time the habeas movant‘s deadline passes.68
Wheaten had ample time to prepare and file his
Accordingly, we affirm the district court‘s denial of equitable tolling.
* * *
For the reasons set forth above, we AFFIRM the judgment of the district court.
Notes
The [Supreme Court] Clerk‘s Office will . . . accept untimely criminal (but not civil) petitions for docketing, and transmit them to the Court with a notice that they have been filed out of time. Most of these petitions, like other petitions, are denied without comment, so that it is impossible to tell whether the tardiness of the petitions is the reason (or part of the reason) for the Court‘s action. All that can be said is that during the past 30 years, none of the criminal petitions that have been filed tardily by defendants—and there have been a number—has been granted. . . .
