United States v. Quentin Miller, A/K/A "Q" Quentin MillerUnited States v. Quentin Miller, A/K/A "Q" Quentin Miller
OPINION OF THE COURT
Quentin Miller pled guilty to conspiring to distribute crack cocaine. After this Court reviewed the voluntariness of Miller’s plea and affirmed his sentence on direct appeal, he filed two pro se post-conviction motions in the District Court challenging the indictment underlying his conviction. The District Court, acting
sua sponte,
recharacterized Miller’s ineptly drafted motions as a single
This kind of recharacterization poses a novel problem of judicial administration. The Antiterrorism Effective Death Penalty Act (AEDPA) bars federal prisoners from attacking their convictions through second or successive habeas corpus petitions except in very limited circumstances.
See
Pub.L. No. 104-132, Title I, § 105, 110 Stat. 1214, 1220 (1996) (codified at
Following the lead of the Court of Appeals for the Second Circuit,
see Adams v. United States,
Since the District Court did not give Miller notification of this nature, we will set aside its decision to recharacterize his two post-conviction motions, vacate its order of dismissal, and remand for further proceedings consistent with this opinion.
I.
Miller participated in a conspiracy to transport crack cocaine from Philadelphia to York, Pennsylvania. A grand jury returned a two-count indictment against him: one count for distributing in excess of fifty grams of crack cocaine,
Unhappy with the calculation of his sentence in the presentence report, Miller, acting pro se, filed a letter with the District Court in an attempt to withdraw his guilty plea before sentencing. He asserted that his attorney had failed to warn him that he would be treated as a career offender. The District Court declined to hold an evidentiary hearing on this issue and denied Miller’s motion to withdraw his plea. Miller appealed to this court, challenging the District Court’s refusal to allow him to withdraw his guilty plea, which he claimed was involuntary because uninformed. In a not-for-publication memorandum opinion, we rejected Miller’s argument.
See United States v. Miller,
No. 96-7610,
Shortly after this Court’s judgment, Miller, again acting pro se, filed two post-conviction motions with the District Court. The first motion requested the dismissal of the underlying indictment, alleging that the prosecutor knowingly used perjured testimony before the grand jury. The second filing was a motion for a new trial under
Miller again sought to appeal. He argued in his Application for a Certificate of Appealability and Brief in Support that the indictment against him was based on perjured testimony and that the District Court lacked jurisdiction to hear his case. More importantly, he also asserted that “the district court construing the motion filed as a
if this court fail [sic] to reach the merits of the denial of the motion below, that the court will “REVERSE” the lower court’s order construing the motion filed as a§ 2255 motion and allow appellant the opportunity to file a proper§ 2255 motion as of right to raise the viable issues that he plans to raise outside the scope of the previous motion to dismiss the indictment.
Miller’s appointed appellate counsel filed only an opening brief on his client’s behalf. In it, he abandoned Miller’s contention that perjured testimony was used against him at the grand jury hearing. Instead, he raised an ineffective-assistance-of-counsel claim, asserting that Miller’s counsel prejudiced him in failing to advise him that he would be sentenced as a career offender.
The government makes two arguments in response. First, it contends that Miller’s ineffective-assistance-of-counsel argument is time barred. Second, it submits that even if the claim is timely, it has no merit.
II.
A.
The first question before us is whether the District Court properly characterized Miller’s two post-conviction motions as
In keeping with these obligations, district courts have “routinely converted post conviction motions of prisoners who unsuccessfully sought relief under some other provision of law into motions made under
The District Court’s recharacter-ization of Miller’s two post-conviction motions comports with the above-mentioned practices. Miller alleged that he discovered new evidence of perjured grand jury testimony that undermined both his conviction and the indictment against him. As do many pro se petitioners, however, Miller failed to state these claims in a manner consistent with the federal rules of criminal and appellate procedure. Miller’s
B.
Had AEDPA not been enacted, the District Court’s handling of Miller’s motions in this case would pose no problem. AED-PA, however, dramatically altered the form and timing of habeas petitions filed in the federal courts.
With AEDPA in place, the practice of liberally construing post-conviction motions as
Adams, an inmate acting pro se, had filed a postconviction Rule 12(b)(2) Motion to Dismiss, which the district court unilaterally recharacterized as a
To avoid this unfairness, and consistent with the above-mentioned practices of assisting pro se petitioners, the court concluded that district courts must apprise petitioners of the consequences of their petitions before the district court can make a
[District courts should not recharacterize a motion purportedly made undersome other rule as a motion made under § 2255 unless (a) the movant, with knowledge of the potential adverse consequences of such recharacterization, agrees to have the motion so recharac-terized, or (b) the court finds that, notwithstanding its designation, the motion should be considered as made under§ 2255 because of the nature of the relief sought, and offers the movant the opportunity to withdraw the motion rather than have it so recharacterized.
Id. at 584 (emphasis added).
Not finding either of these two preconditions met in Adams’s case, the court of appeals vacated the district court’s decision to treat Adams’s Rule 12(b)(2) motion as a
Were the
Adams
test to apply here, the same result would obtain. The District Court dismissed Miller’s two petitions without asking the government to submit a response and without holding a hearing at which Miller was present. Thus, without the benefit of Adams’s two-part notice requirement, Miller had neither the opportunity to “agree” or “disagree” that his pro se motions be recharacterized as a single
Only one other court of appeals appears to have addressed the post-AEDPA claim recharacterization issue raised by
Adams.
5
The Court of Appeals for the Fifth Circuit, albeit uncritically, seems to have taken the opposite approach to the problem. In
In re Tolliver,
The Fifth Circuit’s opinion in Tolliver is so brief and without elaboration that it is hard to use it as a foil to challenge the result in Adams. To be fair to our sister court, Tolliver was decided two years before Adams and almost immediately after AEDPA’s enactment. The Fifth Circuit did not have the benefit of Adams’s discussion, and it does not appear that the Adams argument was raised. Faced directly with this argument, the Tolliver court might have decided otherwise, or at the very least explained away the fairness concerns discussed at length in Adams.
At all events, we find
Adams
persuasive. First, we recognize that the practice of recharacterizing pro se post-conviction motions as
Under the
Tolliver
approach, district courts would be free to construe unilaterally a petitioner’s first post-conviction pleading as his
The rule we announce is prospective (and also narrow). For example, a pro se petitioner who filed a pre-AEDPA pleading, which was recast as a
C.
Because the District Court in this case unilaterally recharacterized Miller’s post-conviction motions as a
The government argues that permitting such a petition at this late date would run afoul of our recent decision in
United States v. Duffus,
Here, Miller seeks to file his original
For similar reasons, our decision to toll the statute of limitations to afford Miller the opportunity to file his
For the foregoing reasons, the order of the District Court will be vacated and the case remanded for further proceedings consistent with this opinion.
Notes
. In its initial brief, the government assumed that the District Court had correctly recharac-terized Miller’s post-conviction motions as one
.
. "By its express terms,
.
Courts in the Second Circuit have begun giving inmates, acting pro se, such notice.
See., e.g., United States v. Moore, 1999
WL 377258, *1 (2d Cir. June 1, 1999) (referring to petitioner's "options” in the "
'Adams
inquiry' ");
Warren v. Garvin,
No. 97-C3242,
. We note that a district court in our circuit purported to follow the
Adams
rule, but seems to have misapplied it.
See United States v. Hawkins,
No. CRIM. A. 93-221-01,
. A good example of this practice is a case from the Court of Appeals for the Tenth Circuit, decided before the enactment of AEDPA, which recognized the fairness concerns at issue in deciding whether or not to recharacterize pro se post-conviction pleadings. In
United States v. Warner,
.We anticipate that in some cases the petitioner will fail to respond at all to this form notice or fail to respond within the prescribed time. In such instances, the District Court should rule on the pleadings before it, as captioned.
We also observe that the same problem may arise in connection with a filing by a pro se
state
petitioner. Although the issue is not before us, we observe that a district court might see fit to take similar prophylactic steps before recharacterizing such a filing as a petition for habeas corpus under
. We do not speculate what these claims might be, pass on their merits, or render judgment on the ones that Miller and his counsel advanced in the present appeal.
. The statute began to run in Miller’s case on the date "judgment of conviction bec[ame] final.”