United States v. Trent
Opinion
Richard Trent was convicted for being a felon in possession of a firearm in violation of
Mr. Trent then filed a
Exercising jurisdiction under
I. BACKGROUND
A. Factual Background
When Mr. Trent, Lloyd Robinson, and Angela Keller visited Michael Kimberly's home in Geronimo, Oklahoma in the summer of 2012, a neighbor called 911 to report that someone holding a gun outside Mr. Kimberly's house got into a green Volvo and drove away.
Trent I
,
B. District Court Proceedings
A jury convicted Mr. Trent on one count of being a felon in possession of a firearm, in violation of
C. Direct Appeal
On appeal, Mr. Trent argued that his sentence should not have been enhanced under the ACCA.
Trent I
,
The panel explained the analytical framework to determine whether Mr. Trent's Oklahoma conspiracy conviction should qualify under the ACCA as a serious drug offense. It said that under the "categorical approach," a sentencing court "looks only at the elements of the statute under which the defendant was convicted" and compares them to the elements in the ACCA statutory definition of "serious drug offense."
The panel further explained that when the prior conviction statute is "divisible," the court uses the "modified categorical approach" to determine which part of the statute was violated.
Id.
at 1052. A statute is divisible "when it 'sets out one or more elements of the offense in the alternative-for
*989
example, stating that burglary involves entry into a building
or
an automobile.' "
Id.
(quoting
Descamps v. United States
,
The Trent I panel then began its analysis as follows:
Oklahoma's general conspiracy statute states: 'If two or more persons conspire ... [t]o commit any crime[,] ... they are guilty of a conspiracy.'Okla. Stat. Ann. tit. 21, § 421 (A) (1999). Obviously, the statute could be violated in many ways that have nothing to do with drugs.
Under our first rationale, we determined the Oklahoma conspiracy statute is divisible based on a broad understanding of how to apply
Descamps
to the Oklahoma conspiracy statute. As previously noted, the statute makes it a crime for "two or more persons to conspire to commit a crime." The word "crime" refers to the criminal offenses in the Oklahoma criminal code.
Under our second rationale in Trent I , we found "Oklahoma's conspiracy statute is divisible and the modified categorical approach is appropriate" "even if the Supreme Court [in Descamps ] was using the term elements in its traditional sense." Id. at 1063. Based on our analysis of Oklahoma case law, the state's uniform jury instructions, and a case about the federal continuing-criminal-enterprise statute, we concluded that a jury must agree unanimously on the object of the conspiracy to convict under the statute. Id. at 1061-62. Accordingly, we held the conspiracy statute contained alternative traditional elements and is therefore divisible. Id. at 1063.
Under either the first or second rationale, once the Trent I court determined the Oklahoma conspiracy statute is divisible, it then could employ the modified categorical approach and examine the record to ascertain the crime underlying Mr. Trent's Oklahoma conspiracy conviction.
*990 Because Mr. Trent had pled guilty to "conspiracy to manufacture methamphetamine," the crime categorically fit the ACCA's serious drug offense definition. Id. at 1057. We therefore held that Mr. Trent's conspiracy conviction was an ACCA predicate offense. Id.
Because Mr. Trent had three ACCA-eligible convictions under either the first or the second rationale, we found that his ACCA sentence enhancement was proper and affirmed. Id. at 1063.
D. Original Section 2255 Motion and Mathis
Mr. Trent next filed a pro se § 2255 motion challenging his sentence on three grounds. First, he argued that his sentence was unconstitutional under
Johnson v. United States
, --- U.S. ----,
While Mr. Trent's motion was pending, the Supreme Court decided
Mathis
. In
Mathis
, the Court explicitly abrogated
Trent I
's first rationale,
Mathis
offered guidance on how to make the elements-versus-means determination. A state court decision can "definitively answer[ ] the question," or "the statute on its face may resolve the issue."
Id
. When state law does not resolve the question, courts may "peek at the record documents" for help: indictments, jury instructions, plea colloquies, plea agreements, and the like.
E. Amended § 2255 Motion and Denial of Motion
Mr. Trent received appointed counsel, who filed a "Revision to Previously Filed *991 § 2255 App lication for Relief" ("revised motion") shortly after Mathis was decided. The revised § 2255 motion focused on showing the text of the Oklahoma conspiracy statute did not qualify for ACCA enhancement as a drug offense or a violent felony, and it cited Descamps and Mathis.
The district court denied Mr. Trent's § 2255 motion.
Trent II
, No. CIV-16-0142-HE,
The district court also evaluated the "substantive merits of the motion." Id . at *3. It found that Oklahoma's conspiracy statute is divisible because the object of a given conspiracy is a traditional element of the crime. The court thus applied the modified categorical approach, determined the elements of Mr. Trent's conspiracy offense to include manufacture of methamphetamine, and compared them with the ACCA's serious drug offense definition to find that the ACCA's definition was satisfied. Id . at *4.
The district court accordingly denied Mr. Trent's § 2255 motion to vacate his sentence. It also granted his request for a COA. Mr. Trent timely appealed.
II. DISCUSSION
After describing our standard of review, we address the timeliness of Mr. Trent's Mathis claim and conclude, contrary to the district court, that the claim was timely. We then turn to the law of the case and determine that Trent I ' s second rationale on direct appeal holding that the Oklahoma conspiracy statute is divisible and that Mr. Trent's prior conviction is a serious drug offense under the ACCA is controlling in this § 2255 proceeding. No law of the case exception applies because Mathis was not an "intervening change" in controlling law with respect to the second rationale in Trent I . We therefore affirm on this ground and do not review the district court's merits analysis of the Mathis claim.
A. Standard of Review
On an appeal arising from "the denial of a § 2255 motion for post-conviction relief, we review the district court's findings of fact for clear error and its conclusions of law de novo."
United States v. Cruz
,
B. Timeliness of Mathis Claim
The district court held that Mr. Trent's
Mathis
claim was untimely because he attempted to add it after the one-year statute of limitations had expired.
Trent II,
1. Additional Procedural History
Shortly after he was appointed, Mr. Trent's counsel filed a "Revision to Previously
*992
Filed § 2255 App lication for Relief" ("revised motion"), calling it "[a] supplement to [Mr. Trent's] previously filed petition" and stating its purpose was "to amplify specifically the application of the state conspiracy conviction to enhance the sentence." ROA, Vol. 1 at 44. It analyzed the Oklahoma conspiracy statute, described the categorical approach, drew comparisons with the federal conspiracy statute, and concluded that Mr. Trent was previously convicted under a "general felony" statute and not a drug offense statute.
In its response to the revised motion, the Government argued that Mr. Trent could not use
Mathis
to reopen the issue settled in his direct appeal because
Mathis
did not contradict one of the rationales this court relied on to hold that his prior conviction was a serious drug offense.
In its order denying relief, the district court regarded the revised motion as having raised a
Mathis
claim: "[Mr.] Trent's final claim is based on
Mathis
."
Trent II
, WL 7471346, at *2. The court said Mr. Trent's new counsel "sought leave to file an amended motion"; that the "motion for leave referenced
Johnson
, but did not mention
Mathis
"; and that the court "specifically directed ... submission of an amended claim under
Johnson
, with no mention of
Mathis
."
2. Legal Background
A habeas petition "may be amended or supplemented as provided in the rules of procedure applicable to civil actions."
In
Mayle v. Felix
,
Moreover, in
Espinoza-Saenz
, we said the proposed amendment there attempted to add a claim that was "totally separate and distinct, in both time and type from those raised in [the] original motion."
3. Analysis
The district court thought Mr. Trent attempted to raise a new claim under Mathis that was untimely. We conclude otherwise-the Mathis claim related back to his original § 2255 motion and therefore was timely.
The revised motion focused on the text of the statute and argued that Mr. Trent's prior conviction did not qualify as an ACCA predicate drug offense. To hold otherwise, it contended, would violate
Descamps
and
Mathis
, mentioning the latter only in passing as newly decided. The revised motion provided additional analysis to support the pro se original motion, including citation of
Mathis
to bolster
Descamps
, which Mr. Trent had repeatedly cited in his original motion.
See
ROA, Vol. 1 at 31, 34, 41, and 42. Although the pro se original motion and the revised motion may not completely overlap, "[a] document filed
pro se
is to be liberally construed, and a
pro se
complaint, however inartfully pleaded, must be held to less stringent standards than formal pleadings drafted by lawyers."
Erickson v. Pardus,
The reference to
Mathis
in the revised motion was "tied to a common core of operative facts" underlying the original motion-Mr. Trent's prior conviction under the Oklahoma conspiracy statute and its fit with the ACCA's definition of serious drug offense.
Mayle
,
As to the district court's observation about "second or successive § 2255 petitions,"
Trent II
, WL 7471346 at *3 n.3, if the court thought the revised motion should be construed as a second or successive motion, we would disagree and instead concur with our sibling circuits that a pre-judgment request to add a claim to a § 2255 motion is not a second or successive motion; it is a motion to amend and should be considered under Federal Rule of Civil Procedure 15.
See
*994
Clark v. United States
,
The district court more likely meant that if an amendment asserts a claim that is deemed untimely, it would need to be pursued in a second or successive petition, and the district court would lack jurisdiction to consider it absent this court's authorization.
See
In sum, we disagree with the district court that Mr. Trent amended his original § 2255 motion to assert an untimely claim based on Mathis . If the district court had been correct, we would need to stop here because, as explained above, it would have lacked jurisdiction over an unauthorized second or successive § 2255 motion. Instead, we next address the parties' arguments regarding the law of the case doctrine.
C. Law of the Case
The following discussion presents legal background on the law of the case doctrine and its exceptions. We then consider Mr. Trent's arguments and conclude that Mathis was not an "intervening change in the law." As a result, this court's second rationale on Mr. Trent's direct appeal-holding that the Oklahoma conspiracy statute is divisible and that his conviction under that statute was a serious drug offense-stands as law of the case, precluding the § 2255 relief he seeks here.
1. Law of the Case Generally
Under the "law of the case" doctrine, "when a court decides upon a rule of law, that decision should continue to govern the same issues in subsequent stages in the same case."
United States v. Monsisvais
,
"[U]nder the law-of-the-case doctrine, courts ordinarily would refuse to
*995
reconsider arguments presented in a § 2255 motion that were raised and adjudicated on direct appeal."
Abernathy v. Wandes
,
2. Exceptions to Law of the Case
Courts have recognized exceptions to the law of the case doctrine in "three exceptionally narrow circumstances": "(1) when the evidence in a subsequent trial is substantially different; (2) when controlling authority has subsequently made a contrary decision of the law applicable to such issues; or (3) when the decision was clearly erroneous and would work a manifest injustice."
United States v. Alvarez
,
*996 3. Analysis: No "Intervening Change" in the Law as to Trent I 's Second Rationale
Mr. Trent relies only on the second exception to the law of the case doctrine-intervening change in the law-and does not argue the other exceptions apply. He contends that Mathis changed the law not only with respect to the first rationale in Trent I , but also the second because: (a) Mathis required courts to be "certain" that a provision in a criminal statute is an element; and (b) Trent I did not reach "certainty" in finding that the object of a conspiracy is a traditional element in the Oklahoma general conspiracy statute. See, e.g. , Aplt. Br. at 23-24.
We affirm because
Mathis
did not create an intervening change in the law with respect to our second rationale in
Trent I
. To do so, it would have needed to announce "a contrary decision of the law applicable" to the relevant issue.
Alvarez
,
a. No new certainty standard in Mathis
Mathis
did not create a new standard for "certainty." The "certainty" standard to determine whether an offense qualifies for ACCA enhancement derives from
Taylor v. United States
,
Mathis
comports with the
Taylor
certainty standard.
Mathis
mentions "certainty" only briefly. The Court said, in the context of determining "whether the listed items are elements or means" in "an alternatively phrased statute," that a court can look at state court decisions, the statute on its face, or the record of the prior conviction.
b. Trent I consistent with Mathis on certainty
Nothing in
Trent I
's second rationale contravenes
Mathis
regarding certainty.
Trent I
did not address certainty directly, but its approach under the second rationale to determine the divisibility of the Oklahoma general conspiracy statute was consistent with
Mathis
.
Trent I
analyzed, under the Oklahoma law, whether the object of a conspiracy is an element in the conspiracy statute. It did not find any case exactly on point but found persuasive evidence in case law and jury instructions.
Mr. Trent argues that Trent I ran afoul of Taylor and Mathis because its determination of the divisibility question did not have requisite "certainty." See, e.g., Aplt. Br. 23-24. But he fails to explain why Trent I 's reading of the Oklahoma cases and jury instructions is incorrect or insufficient. Instead, Mr. Trent argues that Trent I 's use of words like "suggestive" and "appears" reflects uncertainty. Id. at 24.
In that regard, Mr. Trent misunderstands what is necessary to find divisibility. The divisibility analysis contemplates a collective assessment of case law and other materials.
See
United States v. Titties
,
Even if Trent I 's analysis of divisibility fell short of the certainty required under Taylor and Mathis , it does not follow that Mathis created an intervening change in the law. This is so because, as discussed above, Mathis did not alter case law precedent established in Taylor and its progeny. And even if this panel may have reached a different conclusion on divisibility than the Trent I panel, the latter's decision is law of the case that we must accept.
As noted above, Mr. Trent argues only the intervening-change-in-law exception to the law of the case. As Mr. Trent himself asserts, his appeal rises or falls with his intervening-change argument. 13
*998 III. CONCLUSION
In Trent I , we held the Oklahoma conspiracy statute is divisible, that Mr. Trent's previous conspiracy offense under the modified categorical approach is a serious drug offense, and that he qualified for a sentencing enhancement under the ACCA. This holding is the law of the case unless an exception to that doctrine applies. As we have shown, Mathis did not create an intervening change in the law relative to our second rationale in Trent I . Because Mr. Trent has not argued for any other exception to law of the case, we affirm the district court's denial of his § 2255 motion. 14
We refer to this court's 2014 decision on Mr. Trent's direct appeal as " Trent I ."
We refer to the district court's 2016 decision denying his § 2255 motion as " Trent II ."
Under the ACCA, a state law conviction counts as a "serious drug offense" if it "involv[es] manufacturing, distributing, or possessing with intent to manufacture or distribute, a controlled substance ... for which a maximum term of imprisonment of ten years or more is prescribed by law."
Trent I
cited the Supreme Court's decision in
Richardson v. United States
as providing a definition for "traditional element": "[c]alling a particular kind of fact an 'element' carries certain legal consequences ... [For example,] a jury ... cannot convict unless it unanimously finds that the Government has proved each element."
Taylor v. United States
,
The
Thomas
decision excluded from relation back only "an entirely new claim or new theory of relief."
The Court cited and quoted 3 James Wm. Moore, et al., Moore's Federal Practice ¶ 15.19[2] (3d ed. 2004), for the proposition that "relation back [is] ordinarily allowed 'when the new claim is based on the same facts as the original pleading and only changes the legal theory.' "
In addition to the references to Descamps , Mr. Trent's pro se § 2255 motion stated under the "Supporting facts" section of "Ground One": "Oklahomas[sic] 'General Conspiracy Statue[sic]' does not qualify as predicate for ACCA enhancement." ROA, Vol. 1 at 13.
"[T]he 'law of the case' doctrine is not an inexorable command,"
White v. Murtha
,
In unpublished § 2255 cases in which the movant sought relief on a claim that was raised and rejected previously on direct appeal, we have explicitly denied the claim as "procedurally barred."
See, e.g.,
United States v. DeClerck
,
It appears that Mr. Trent's claim based on
Mathis
could be resolved on this ground. Indeed, in its response brief opposing § 2255 relief in district court, the Government argued the claim was "procedurally barred." ROA, Vol. 1 at 60, 62. When the district court denied relief, it described this argument as based on "the general rule, sometimes referred to as the 'law of the case' rule."
Trent II
,
We note the Eleventh Circuit has decided that using the procedural bar rule is more appropriate than the law of the case doctrine when a § 2255 motion raises an issue already decided on direct appeal.
See
Stoufflet v. United States
,
"[T]he law-of-the-case doctrine and binding circuit precedent function similarly from the perspective of a court addressing an initial § 2255 motion; typically, in both circumstances, the court is bound by a previous court's decision unless there has been an intervening change in the law."
Abernathy
,
Mr. Trent correctly points out that
Trent I
's discussion of federal continuing-criminal-enterprise case law,
See, e.g., Aplt. Br. at 22 ("[The Trent I decision on divisibility], right or wrong, would ordinarily prevent the divisibility conclusion from being revisited in a later action under 28 U.S.C. 2255. But this restriction does not apply when there is an intervening change in the law."); id. at 35-36 ("To be sure, before Mathis issued, Mr. Trent could not have obtained relief. The district court, and this court too, would have been bound by this court's decision in Mr. Trent's direct appeal. It was only after the intervening decision in Mathis that the district court and this court could reach a different conclusion.").
Because we affirm on this ground, we need not address the district court's substantive merits analysis.
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Richard Anthony TRENT, Defendant-Appellant.
- Cited By
- 62 cases
- Status
- Published