United States v. Miller
Opinion
Defendant-appellant David Miller pleaded guilty to violating the Mann Act,
Represented by a new lawyer, the defendant argues for the first time on appeal that he received ineffective assistance of counsel in derogation of the Sixth Amendment because his trial attorney (now deceased) did not mount a defense premised on the statute of limitations in effect at the time of the offense.
2
But this argument runs headlong into a potential obstacle: the general rule is that such a claim must first be raised in the district court, either during the proceedings leading to the defendant's direct appeal or after the conclusion of that appeal (typically, through a petition for post-conviction relief pursuant to
I. BACKGROUND
We briefly rehearse the relevant facts. On November 30, 2016, a federal grand jury sitting in the District of Maine charged the defendant with two counts of transporting a minor with the intent to engage in criminal sexual activity in violation of
In 1995, the statute of limitations for the charged crime allowed prosecution until the victim reached twenty-five years of age.
See
The defendant originally maintained his innocence. During the pretrial proceedings, his attorney demonstrated an awareness that the applicable statute of limitations had changed mid-stream and indicated that he "wanted to look at the statute of limitations issue one final time." Ultimately, the attorney eschewed a limitations defense and, on June 1, 2017, the defendant entered a guilty plea to one of the charged counts. The district court sentenced the defendant to 327 months in prison and, at the same time, dismissed the remaining count lodged in the indictment. The defendant timely appealed, and at his request, this court appointed new counsel under the Criminal Justice Act. See 18 U.S.C. § 3006A.
II. ANALYSIS
We begin with constitutional bedrock: the Sixth Amendment guarantees "the right to the effective assistance of counsel."
Strickland
v.
Washington
,
To establish deficient performance by an attorney in a criminal case, the defendant must show that the attorney's representation was "outside the wide range of professionally competent assistance."
Strickland
,
Here, however, there is an antecedent question as to timing - a question
*642
that asks whether, as a prudential matter, the defendant should be allowed to raise his ineffective assistance of counsel claim for the first time on appeal. The general rule is that "fact-specific claims of ineffective assistance cannot make their debut on direct review of criminal convictions, but, rather, must originally be presented to, and acted upon by, the trial court."
United States
v.
Mala
,
This general rule - like most general rules - admits of exceptions. The exception that the defendant attempts to invoke provides that "where the critical facts are not genuinely in dispute and the record is sufficiently developed to allow reasoned consideration of an ineffective assistance claim, an appellate court may dispense with the usual praxis and determine the merits of such a contention on direct appeal."
United States
v.
Natanel
,
Stripped of rhetorical flourishes, the defendant's position is that his trial counsel was ineffective because the defendant had available a meritorious limitations defense but counsel turned a winner into a loser by neglecting to raise that defense. 3 So, the defendant says, this case fits the exception because no further development of the record is needed: any lawyer worth his salt would have advanced such a limitations defense.
In weighing this claim, a useful starting point is to consider whether it can be said with assurance that the amended version of the statute of limitations (enacted in 2003 and which had not yet expired when the defendant was charged) applies to the defendant's 1995 offense. If so, further development of the record would be a waste of time and the
Natanel
exception would be available.
Cf.
Vieux
v.
Pepe
,
Against this backdrop, we turn to the statutory construction question. Applying a statute of limitations enacted in 2003 to conduct that occurred in 1995 requires a retrospective application of the 2003 statute. Following the Supreme Court's lead,
see
Landgraf
v.
USI Film Products
,
The first step in the
Landgraf
approach involves "determin[ing] whether Congress has expressly prescribed the statute's proper reach."
With these principles in mind, we train the lens of our inquiry on the 2003 amendment. Some background lends perspective. The general statute of limitations for non-capital federal crimes is five years.
See
This brings us to 2003, when Congress amended section 3283. The amended version provided that: "[n]o statute of limitations that would otherwise preclude prosecution for an offense involving the sexual or physical abuse, or kidnaping, of a child under the age of 18 years shall preclude such prosecution during the life of the child."
The conference report amends the current law that covers the statute of limitations for offenses involving the sexual or physical abuse of a child. This section adds crimes of kidnapping and extends the statute of limitations to the life of the child victim. ... Under current law, the standard limitation rules do not bar prosecution "for an offense involving the sexual or physical abuse of a child under the age of eighteen years ... before the child reaches the age of 25 years." While this is better than a flat five-year rule, it remains inadequate in many cases. For *644 example, a person who abducted and raped a child could not be prosecuted beyond this extended limit - even if DNA matching conclusively identified him as the perpetrator one day after the victim turned 25.
H.R. Rep. No. 108-66, at 54 (2003) (Conf. Rep.), as reprinted in 2003 U.S.C.C.A.N. 683, 688 (footnote omitted). 4
We do not believe that a
Landgraf
analysis of the 2003 amendment yields a readily discernable result. To begin, neither the amendment nor its legislative history expressly states that the extension to the statute of limitations is to have retrospective reach. At first blush, the wording of the statute - "[n]o statute of limitations that would otherwise preclude prosecution for an offense ... shall preclude such prosecution during the life of the child,"
There is another fly in the ointment. As the defendant points out, the phrase "[n]o statute of limitations that would otherwise preclude prosecution," when read in historical context, is itself unclear: it may refer only to preclusion by the five-year federal default statute of limitations (
There is, of course, another side to the story. When enacting the 2003 amendment, Congress specifically identified the inadequacy of the then-existing (1994) statute of limitations as the very reason for fashioning the amendment.
See
H.R. Rep. No. 108-66, at 54,
as reprinted in
2003 U.S.C.C.A.N. at 688. And when Congress has opted to distinguish a particular statute of limitations from section 3282, it frequently has used language specifically tailored to achieve that goal.
See
,
e.g.
,
For present purposes though, the most important fact is that neither the statute nor the legislative history expressly states that the 2003 amendment is meant to have retrospective application. In the absence of such an express statement, the 2003 amendment arguably can be read as only preventing a prior statute of limitations from "preclud[ing] prosecution" of a prospective "offense."
Assuming, for argument's sake, that the defendant is able to clear this first
Landgraf
hurdle, the second step of the
Landgraf
analysis is equally hard to negotiate. This impediment is not surprising: as the Second Circuit aptly observed, it is "particularly difficult to categorize the presumptively impermissible effects of retroactively applying a statute of limitations."
Weingarten
v.
United States
,
At the end of the day, the reach of the 2003 amendment is uncertain.
6
This uncertainty casts a long shadow over the ineffective assistance claim: a limitations defense, if successful, "would have furnished [the defendant] a complete defense to the entire
*646
indictment."
Weingarten
,
On this meager record, the answer to this question remains an enigma. We are left to guess at trial counsel's thought processes, especially since we are unable to discern any strategic or tactical reason for spurning the defense. When all is said and done, we know little more than that trial counsel chose not to file a motion to dismiss. Given the potential potency of the limitations defense, the indicia of uncertainty that we have catalogued, the dearth of controlling case law, and our inability to evaluate the ineffective assistance claim without some insight into trial counsel's reasoning, 7 we conclude that resort to the Natanel exception is unwarranted.
This conclusion is not inconsistent with
Weingarten
. There, the court ruled that an attorney's failure to raise the same limitations issue did not constitute ineffective assistance of counsel.
See
III. CONCLUSION
We need go no further. Concluding, as we do, that it would be imprudent for us to attempt to adjudicate the defendant's ineffective assistance of counsel claim on direct review without a developed record, we hold that this case falls within the confines of the general rule, not within the narrow
Natanel
exception. Accordingly, we affirm the judgment below; without prejudice, however, to the defendant's right to raise his claim of ineffective assistance of counsel, if he so desires, in a collateral proceeding brought pursuant to
So Ordered.
Although the presentence investigation report states that the victim was twelve years old at the time of the crime, both the prosecution's version of the offense and the victim's testimony confirm that she was actually thirteen when the crime was committed.
Apart from the ineffective assistance of counsel claim, this appeal does not take issue with any aspect of either the defendant's conviction or his sentence.
The defendant does not challenge the advice given to him by his trial counsel in connection with his guilty plea. He does not allege, for example, that his plea was other than knowing and voluntary because his attorney failed to advise him of a possible limitations defense. Instead, his claim rests exclusively on the argument that his trial counsel should have moved to dismiss the indictment on limitations grounds - a step that he submits likely would have borne fruit and resulted in a dismissal of the charges prior to his tendering of a guilty plea.
For the sake of completeness, we note that Congress again amended the statute in 2006 to allow for prosecution "during the life of the child, or for ten years after the offense, whichever is longer."
The 2004 amendment to
Let us be perfectly clear. We do not hold that the 2003 amendment to
Although the defendant's trial counsel is now deceased, it may still be possible to flesh out the record. For example, a review of counsel's file and notes might shed light on his decision to eschew a limitations defense. So might testimony from his partners, associates, or co-workers. In any event, the defendant himself likely could testify about any strategic discussions that he and his attorney may have had.
See
Tse
v.
United States
,
Notwithstanding
Weingarten
's different procedural posture, the Second Circuit appears to share our concern about the uncertainty surrounding the limitations issue. After all, the
Weingarten
court found that issue to be "murky,"
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. David MILLER, Defendant, Appellant.
- Cited By
- 17 cases
- Status
- Published