Jerome Julius Weeks v. United States
Opinion
This appeal presents a unique factual and legal situation. As set forth below, it involves a successive motion under
This appeal is unique because, after sentencing but during the pendency of Mr. Weeks's direct appeal, there were significant developments relevant to the issue of whether the residual clause was the sole basis for his ACCA enhancement. Thus, we must decide, when a claimant challenged his ACCA enhancement on direct appeal, whether the relevant time frame for this inquiry is limited to the sentencing hearing or if it extends through the claimant's direct appeal. We hold that, where a claimant challenged his ACCA enhancement on direct appeal, the relevant time frame to consider when determining whether the residual clause solely caused the enhancement of a claimant's sentence extends through direct appeal. Because Mr. Weeks has carried his burden of showing that it is more likely than not that the residual clause, and only the residual clause, caused his sentence to be enhanced *1266 and that he no longer has three ACCA predicate convictions, we reverse the district court's order denying his § 2255 motion and remand for resentencing.
I. BACKGROUND
A. Conviction and Sentencing
After a stipulated bench trial, Mr. Weeks was found guilty of one count of being a felon in possession of firearms in violation of
(i) has as an element the use, attempted use, or threatened use of physical force against the person of another; or
(ii) is burglary, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
Probation relied on four of Mr. Weeks's prior convictions from Massachusetts in recommending that he qualified for an ACCA-enhanced sentence: (1) assault and battery, (2) resisting arrest, (3) distributing cocaine, and (4) possession with intent to distribute cocaine. 3 Mr. Weeks objected to this recommended sentencing enhancement, contending that these prior convictions did not qualify as violent felonies. The Government agreed with Probation's recommendation. As to Mr. Weeks's prior assault and battery conviction, the PSR stated that "[t]he criminal complaint in this instance alleged that the defendant assaulted and beat the victim." 4 The Government *1267 did not introduce any Shepard 5 documents and the relevant portions of the PSR did not contain any further information derived from Shepard documents.
1. Resisting Arrest Prior Conviction at Sentencing
At the sentencing hearing, the district court heard arguments from the parties as to whether these prior convictions qualified as violent felonies under the ACCA. At the time of Mr. Weeks's resisting arrest offense, Massachusetts law provided:
(a) A person commits the crime of resisting arrest if he knowingly prevents or attempts to prevent a police officer, acting under color of his official authority, from effecting an arrest of the actor or another, by:
(1) using or threatening to use physical force or violence against the police officer or another; or
(2) using any other means which creates a substantial risk of causing bodily injury to such police officer or another.
Mass. Gen. Laws ch. 268, § 32B(a). In his sentencing memorandum and at the sentencing hearing, Mr. Weeks argued that while § 32B(a)(1) qualified as a violent felony, § 32B(a)(2) did not. The Government argued that both subsections qualified, pointing to First Circuit case law,
United States v. Almenas
, which held that Massachusetts resisting arrest qualified as a crime of violence under U.S.S.G. § 4B1.2 because the first method of violating the statute "fits squarely" within the elements clause while the second method "falls safely within the residual clause."
2. Assault and Battery Prior Conviction at Sentencing
At the time of Mr. Weeks's assault and battery offense, Massachusetts law provided:
Whoever commits an assault or an assault and battery upon another shall be punished by imprisonment for not more than two and one half years in a house of correction or by a fine of not more than five hundred dollars.
Mass. Gen. Laws ch. 265, § 13A (amended 2002). The offense is not defined by statute but instead finds its definitions in Massachusetts common law. See
Commonwealth v. Burke
,
In his sentencing memorandum and at the sentencing hearing, Mr. Weeks argued
*1268
that the charging language used in the criminal complaint for his prior assault and battery conviction-"defendant assaulted and beat the victim"-was boilerplate language used in charging assault and battery offenses regardless of the type of battery that occurred.
6
He contended that his charging document could not support an inference that he committed a violent felony because it encompassed offensive battery, which is nonviolent. Mr. Weeks also pointed to the certiorari petition that had been granted from the Eleventh Circuit's decision in
Curtis Johnson
, which was poised to answer whether nonharmful touching could qualify as a violent felony under the ACCA.
See
United States v. Curtis Johnson
,
The Government argued in its sentencing memorandum and at the sentencing hearing that the "assaulted and beat" charging language indicated that Mr. Weeks was convicted of harmful battery, as previously held by the First Circuit.
See
United States v. Rivera
,
In announcing its Sentencing Guideline calculations, the sentencing court stated:
I'm going to overrule the Defendant's objection to paragraph 45 of the Pre-Sentence Report. I think that the Defendant does qualify for the armed career criminal enhancement based on the two drug charges for distributing cocaine and possession with the intent to distribute cocaine and for the assault and battery charge and for the resisting arrest charge. In the absence of extremely persuasive authority, I think that I should follow the [First] Circuit authority in this area which as I understand it would count all of those convictions for the armed career criminal enhancement.
B. Direct Appeal
On direct appeal, Mr. Weeks argued, among other things, that the district court erred in sentencing him as an armed career criminal.
See
United States v. Weeks
,
1. Resisting Arrest Prior Conviction on Direct Appeal
As to his resisting arrest conviction, Mr. Weeks reiterated the same arguments he made before the sentencing court. He conceded that the first method of violating the statute, Mass. Gen. Laws ch. 268, § 32B(a)(1) ("using or threatening to use physical force or violence against the police officer or another"), qualified as a violent felony, but argued that the second method of violating the statute, § 32B(a)(2) ("using any other means which creates a substantial risk of causing bodily injury to such police officer or another"), did not qualify.
Weeks
,
*1269 Weeks argues that "[u]nder Massachusetts law, the offense of resisting arrest may be committed violently or non-violently," but we agree with the First Circuit that resisting arrest under Massachusetts law always involves violence. "Because the police officer is duty-bound to effectuate the arrest, the offense engenders a significant risk of conflict and, concomitantly, a significant risk of injury." Almenas ,553 F.3d at 34 ; see also [ United States v. Weekes ,611 F.3d 68 , 73 (1st Cir. 2010).] Weeks has failed to establish that resisting arrest by "using any other means which creates a substantial risk of causing bodily injury to such police officer or another," § 32B(a)(2), can be committed without "present[ing] a serious potential risk of physical injury to another," § 924(e)(2)(B).
2. Assault and Battery Prior Conviction on Direct Appeal
As to his assault and battery prior conviction, Mr. Weeks reiterated the same arguments he made before the sentencing court-that the "assaulted and beat" charging language was boilerplate, meaning that it did not permit ruling out nonviolent offensive battery, and consequently this conviction could not qualify as a violent felony under the elements clause.
See
Appellant's Br. at 47-48,
United States v. Weeks
, 442 F. Appx 447 (11th Cir. 2011) (No. 10-11087), ECF No. 28. Mr. Weeks cited to
Curtis Johnson
,
Because the direct appeal panel had previously concluded that Mr. Weeks had three ACCA predicate convictions, however, it declined to reach these arguments regarding his assault and battery conviction. The panel stated:
Weeks also contends that the district court erred when it relied on his prior conviction for assault and battery under Massachusetts law, Mass. Gen. Laws ch. 265, § 13A, as a predicate violent felony under the Act, but we decline to decide that issue. Because we have already determined that Weeks has two prior convictions for serious drug offenses and one prior conviction for a violent felony, Weeks qualifies as a career offender under the Act.
Weeks
,
C. First Collateral Challenge
In his first § 2255 motion, Mr. Weeks, proceeding
pro se
, maintained that he was improperly sentenced as an armed career criminal. The district court, adopting the magistrate judge's report and recommendation, dismissed Mr. Weeks's motion because he did not present any arguments that could not have been raised on direct appeal.
See
United States v. Weeks
, No. 1:08-CR-393-TWT,
D. Second Collateral Challenge
In 2016, Mr. Weeks filed an application for leave to file a second or successive § 2255 motion, contending that after the ACCA's residual clause was held unconstitutional in
Samuel Johnson v. United States
("
Samuel Johnson
"), --- U.S. ----,
Mr. Weeks then filed the instant § 2255 motion before the district court. 7 This motion *1271 contended that neither the resisting arrest conviction nor the assault and battery conviction counted as ACCA predicates after Samuel Johnson , that he no longer had three predicate convictions, and that he must be resentenced accordingly. The Government moved to dismiss this motion, arguing that Mr. Weeks could not show that he was sentenced under the residual clause. No additional Shepard documents were proffered. The district court granted the Government's motion to dismiss and denied Mr. Weeks's § 2255 motion in a short order, stating in relevant part:
In this case, the Defendant has not and cannot meet his burden of showing that he was sentenced under the residual clause of the ACCA. Two of his prior convictions qualified as drug trafficking offenses. At the time of sentencing, the assault and battery and resisting arrest convictions qualified under the elements test as violent felonies.
United States v. Weeks
, No. 1:08-CR-393-TWT,
Mr. Weeks appealed, and a non-argument panel of this Court affirmed the district court's dismissal of his § 2255 motion in an unpublished opinion.
Weeks v. United States
,
II. DISCUSSION
A. Legal Standards
We review legal issues in a § 2255 proceeding de novo.
Lynn v. United States
,
In
United States v.
Beeman, we held that a § 2255 movant raising a
Samuel Johnson
claim bears the burden of showing, more likely than not, that "it was use of the residual clause that led to the sentencing court's enhancement of his sentence."
*1272 Id. at 1224. We acknowledged that this allocation of the burden of proof will mean that, whenever the record is silent, the § 2255 movant's claim might fail:
We do not mean to imply that every sentencing record will lack sufficient evidence about whether the district court relied on the residual clause in finding that the defendant was an armed career criminal. Some sentencing records may contain direct evidence: comments or findings by the sentencing judge indicating that the residual clause was relied on and was essential to application of the ACCA in that case. Nor do we mean to suggest that there will not sometimes be sufficient circumstantial evidence to show the specific basis of the enhancement. For example, there could be statements in the PSR, which were not objected to, recommending that the enumerated clause and the elements clause did not apply to the prior conviction in question and did not apply to other prior convictions that could have served to justify application of the ACCA. Or the sentencing record may contain concessions by the prosecutor that those two other clauses do not apply to the conviction in question or others. And there could be other circumstances on which a movant can rely; the above are but a few examples. Each case must be judged on its own facts.
We note that Beeman has likewise pointed to no precedent since 2009 so holding. But even if such precedent had been announced since Beeman's sentencing hearing, it would not answer the question before us. What we must determine is a historical fact: was Beeman in 2009 sentenced solely per the residual clause? And as noted, Beeman bears the burden of proving that historical fact. Certainly, if the law was clear at the time of sentencing that only the residual clause would authorize a finding that the prior conviction was a violent felony, that circumstance would strongly point to a sentencing per the residual clause. However, a sentencing court's decision today that [the statute of conviction] no longer qualifies under present law as a violent felony under the elements clause (and thus could now qualify only under the defunct residual clause) would be a decision that casts very little light, if any, on the key question of historical fact here: whether in 2009 Beeman was, in fact, sentenced under the residual clause only.
Beeman's sentence was fixed at his sentencing hearing, as he did not challenge his sentence on direct appeal. See id. at 1218 ("Beeman appealed his convictions but not his sentences"). Therefore, the Beeman court could only look to the "historical fact" of what occurred at the sentencing hearing to determine whether the movant "establish[ed] that his sentence enhancement turned on the validity of the residual clause." Id. at 1221 (internal quotation marks and brackets omitted).
In
United States v. Pickett
, we considered another second § 2255 claimant who was sentenced under the ACCA and subsequently raised a
Samuel Johnson
claim.
Like Beeman, Pickett's sentence was fixed at the sentencing hearing, as he did not file a direct appeal of his sentence.
See
Pickett v. United States
, Nos. 10-60720-Civ-Middlebrooks, 06-60304-Cr-Middlebrooks,
We address immediately below whether we are bound by the suggestions in
Beeman
and
Pickett
that the relevant time frame for determining the precise cause for Mr. Weeks's enhancement is limited to the time of sentencing. Aside from that issue, Beeman and
Pickett
establish the following rules for this case: in order to prove his
Samuel Johnson
claim, Mr. Weeks must prove that, more likely than not, the enhancement of his sentence was caused
solely
by the residual clause, that is, not also by the elements clause. In proving this, Mr. Weeks may rely on the relevant record and/or on legal precedent at the relevant time "holding, or otherwise making obvious, that a violation [of the relevant state criminal statute] qualified as a violent felony only under the residual clause."
Beeman
,
B. Are We Bound by Dicta in Beeman and Pickett that Sentencing is the Only Relevant Time Period for Determining Whether the Sole Cause for Mr. Weeks's Enhanced Sentence Was the Residual Clause, as Opposed to the Elements Clause?
"The holding of a case comprises both the result of the case and those portions of the opinion necessary to that result."
United States v. Caraballo-Martinez
,
Both Beeman and
Pickett
contain language that can be read to mean that the only relevant time period that may be considered in a § 2255 motion raising a
Samuel Johnson
claim is the "historical
*1274
fact" of what occurred at the sentencing hearing.
See
Pickett
,
C. If Not Bound by Beeman and Pickett , is it Appropriate in this Case to Consider the Record Developments and the Legal Framework Through the Time of Direct Appeal?
Having concluded that we are not bound by prior precedent to consider solely the timeframe of the sentencing hearing, we must determine whether we may consider the period of direct appeal. We hold that when a claimant challenges his ACCA enhancement on direct appeal, we may, in a later § 2255 motion raising a
Samuel Johnson
claim, consider the time period of the direct appeal. The central focus in
Beeman
was that in order "[t]o prove a [
Samuel
]
Johnson
claim, a movant must establish that his sentence enhancement 'turned on the validity of the residual clause.' In other words, he must show that the clause actually adversely affected the sentence he received."
Contrary to the Government's position at oral argument, our holding is not an erosion of the standard set forth in
Beeman
and applied in
Pickett
. A § 2255 claimant raising a
Samuel Johnson
claim and referencing evidence from the period of direct appeal must still "show that it is more likely than not" that the direct appeal panel could have "
only relied on
the residual clause."
See
Pickett
,
The same type of potential evidence is available to the parties through the direct appeal stage as was available in
Beeman
at the sentencing stage. By way of example, a claimant who has challenged his enhanced sentence on direct appeal may point to the appellate opinion, concessions made by the parties, or legal precedent through the time of the direct appeal making it more likely than not that
only
the residual clause could have formed the basis for his ACCA enhancement.
Cf.
Beeman
,
In this case, Mr. Weeks did appeal his sentence and did argue on direct appeal that his resisting arrest and assault and battery prior convictions did not qualify as violent felonies.
*1276
Weeks
,
D. Resisting Arrest Conviction
We first consider Mr. Weeks's prior conviction for resisting arrest. At the time of Mr. Weeks's conduct, the Massachusetts resisting arrest statute provided
(a) A person commits the crime of resisting arrest if he knowingly prevents or attempts to prevent a police officer, acting under color of his official authority, from effecting an arrest of the actor or another, by:
(1) using or threatening to use physical force or violence against the police officer or another; or
(2) using any other means which creates a substantial risk of causing bodily injury to such police officer or another.
Mass. Gen. Laws ch. 268, § 32B(a). The Government did not introduce
Shepard
documents at sentencing and the sentencing court did not clearly indicate whether Mr. Weeks's prior resisting arrest conviction rested upon a violation of § 32B(a)(1) or (a)(2). The sentencing court, in counting this prior conviction as an ACCA predicate, merely indicated that "[i]n the absence of extremely persuasive authority, I think that I should follow the [First] Circuit authority." The relevant First Circuit case law cited in sentencing memoranda or at the sentencing hearing held that a conviction under § 32B qualified as a crime of violence under the Sentencing Guidelines.
United States v. Almenas
,
As we have made clear, Mr. Weeks's sentence did not become fixed at sentencing. Therefore, we can consider the record through the direct appeal stage and the relevant legal precedent through that time. On direct appeal, the panel considered whether Mr. Weeks's resisting arrest prior conviction qualified under the ACCA. It commented on the "significant risk of injury" posed by the offense, citing
Almenas
.
Weeks
,
E. Assault and Battery Conviction
We next consider Mr. Weeks's prior conviction for assault and battery. At the time of Mr. Weeks's conduct, Massachusetts law provided that:
Whoever commits an assault or an assault and battery upon another shall be punished by imprisonment for not more than two and one half years in a house of correction or by a fine of not more than five hundred dollars.
Mass. Gen. Laws ch. 265, § 13A (amended 2002). This statute "encompasses three common law crimes: harmful battery, reckless battery, and offensive battery."
Eberhart
,
Harmful battery is "[a]ny touching 'with such violence that bodily harm is likely to result'...." Reckless battery is a "wilful, wanton and reckless act which results in personal injury to another." Offensive battery occurs when "the defendant, without justification or excuse, intentionally touched the victim, and ... the touching, however slight, occurred without the victim's consent."
At Mr. Weeks's sentencing hearing, the sentencing court stated, "I think that I should follow the [First] Circuit
*1278
authority in this area which as I understand it would count all of those convictions for the armed career criminal enhancement." Although the sentencing court did not explain its reasoning in more detail with respect to Mr. Weeks's assault and battery conviction, presumably this meant that it was following
United States v. Rivera
,
Because Mr. Weeks's sentence did not become fixed at sentencing, this panel proceeds to consider what occurred or was made obvious by relevant legal precedent during the time frame of his direct appeal. Because the direct appeal panel had already concluded that Mr. Weeks had three ACCA predicates, it did not reach his assault and battery conviction on direct appeal.
See
Weeks
,
However, in the unique circumstances of this case, there is significant circumstantial evidence in the form of relevant legal precedent at the time that Mr. Weeks's direct appeal was pending which makes it apparent that Mr. Weeks's assault and battery conviction could only qualify as a violent felony under the residual clause. Just a few days after Mr. Weeks's sentencing hearing, the Supreme Court handed down its
Curtis Johnson
opinion.
Curtis Johnson
made clear that we must look to state law in interpreting prior state convictions, including determining the elements of an offense.
Curtis Johnson
-issued just a few days after Mr. Weeks's sentencing-made clear that state law should control a federal court's interpretation of the Massachusetts assault and battery offense.
See
Curtis Johnson
,
Thus, Massachusetts law at the time made clear that "did assault and beat" charging language did not necessarily mean that a defendant was charged with harmful battery.
See
We look to state law. According to the Massachusetts statute prescribing the proper form of criminal indictments and complaints, the following language is sufficient to charge an assault and battery: "That A.B. did assault and beat C.D."Mass. Gen. Laws ch. 277, § 79 . The statute does not break the offense down into its various types nor does it provide charging language specific to those types. Consequently, a sentencing court may not rely on the generic "did assault and beat" charging language to identify which particular battery offense served as the offense of conviction. It is clear under state court construction of the statute that the statute encompasses a category of offenses which are no more than offensive touchings.
Holloway
,
It is clear that, at the time of direct appeal a federal court could no longer rely upon the criminal complaint's "assaulted and beat" language to determine which version of assault and battery Mr. Weeks was charged. Moreover, there were no
Shepard
documents on which the direct appeal panel could have relied to affirm the sentencing court on the basis of the elements clause. Because it could not rely on the "assault and beat" language or any
Shepard
documents to support affirmance on the basis of the elements clause, the direct appeal panel was required by
Curtis Johnson
to presume that Mr. Weeks's prior conviction "rested upon ... the least of these acts."
See
Accordingly, even though the sentencing court may have relied also on the elements clause, we know that the direct appeal panel could have affirmed counting Mr. Weeks's assault and battery conviction as an ACCA predicate only on the basis of the residual clause, and we know that it could not have affirmed on the basis of the elements clause. We thus conclude that Mr. Weeks has established that it is more likely than not that the ultimate reason that his assault and battery conviction was counted as an ACCA predicate was based solely on the residual clause.
III. CONCLUSION
In sum, in a § 2255 motion asserting a Samuel Johnson claim where the claimant challenged his ACCA sentencing enhancement on direct appeal, we hold that it is appropriate to consider the record of what transpired at sentencing and through the pendency of the direct appeal, as well as the legal landscape through that time. Having considered what occurred or was otherwise made clear by relevant precedent through the time of Mr. Weeks's direct appeal, we conclude that he has carried his burden of showing that it is more likely than not that the residual clause, and only the residual clause, caused his sentence to be enhanced.
With respect to both of Mr. Weeks's prior convictions-resisting arrest and assault and battery-he has established that the direct appeal panel could only have relied on the residual clause to support the application of the ACCA enhancement and could not possibly have relied on the elements clause. And because we now know from Samuel Johnson that the residual clause is unconstitutionally vague, it necessarily follows that Mr. Weeks's prior conviction for resisting arrest, and his prior conviction for assault and battery, can no longer count as ACCA predicates. Because Mr. Weeks had only two other ACCA predicates, he no longer has three qualifying ACCA predicate convictions and the ACCA enhancement of his federal sentence must therefore fail. Accordingly, the judgment of the district court dismissing Mr. Weeks's § 2255 motion must be reversed, and this case must be remanded to the district court for resentencing.
REVERSED AND REMANDED.
Samuel Johnson v. United States
, --- U.S. ----,
Because it is obvious that Mr. Weeks's prior convictions at issue in this case (resisting arrest and assault and battery) do not qualify under the enumerated offenses clause, we discuss only the elements clause and residual clause.
In this Court's order granting Mr. Weeks permission to file a second or successive § 2255 motion, we made clear that Mr. Weeks's two prior drug convictions qualify as "serious drug offenses" under
Mr. Weeks objected to the factual statements contained in this portion of the PSR "to the extent derived from police reports or sources of information not sanctioned under"
Shepard v. United States
,
Shepard v. United States
,
To support this argument, Mr. Weeks pointed to
"[I]f a § 2255 movant asserts that his § 2255 motion is timely because he filed it within one year of the Supreme Court's issuance of a decision recognizing a new right, we must determine whether each claim asserted in the motion depends on that new decision."
Beeman
,
We acknowledge that many of our sister circuits have also held that a § 2255 claimant carries the burden of proof of establishing that the sentencing court relied on the residual clause in enhancing the claimant's sentence. Many of them, like Beeman and
Pickett
contain language referencing the sentencing court as the focus of this inquiry. However, like Beeman and
Pickett
, these cases considered claimants who did not challenge their ACCA enhancements on direct appeal.
See
United States v. Clay
,
For example, imagine a Samuel Johnson § 2255 claimant whose case presents the following facts. The district court expressly ruled that the claimant's prior conviction is an ACCA predicate under the elements clause and declined to address the Government's argument that the conviction also qualified under the residual clause. The claimant challenged the enhancement on direct appeal. In that appeal, we held that the conviction is not an ACCA predicate under the elements clause, but affirmed the ACCA enhancement because we agreed with the Government that the conviction qualified under the residual clause. In such a case, it would make no sense to limit the Beeman temporal inquiry to the district court sentencing hearing.
Indeed, the Government's brief to this panel concedes that the direct appeal panel held that Mr. Weeks's resisting arrest conviction qualified as an ACCA predicate under the residual clause; and the Government did not argue in this § 2255 case, either in the district court or on appeal to us, that Mr. Weeks had not established his Samuel Johnson claim with respect to his resisting arrest prior conviction.
At oral argument, Mr. Weeks's counsel conceded that the state of First Circuit law at the time of sentencing was that the charging language "did assault and beat" was sufficient to meet the elements clause. Oral Argument at 5:54-6:12. That the sentencing court may have relied on the elements clause does not control our analysis because Mr. Weeks's sentence was not fixed at sentencing and was subject to change on direct appeal.
Accord
United States v. Jones
,
Reference
- Full Case Name
- Jerome Julius WEEKS, A.K.A. Clarence Royden Weekes, Etc., Petitioner-Appellant, v. UNITED STATES of America, Respondent-Appellee.
- Cited By
- 9 cases
- Status
- Published