United States v. Plascencia
Opinion of the Court
Federal prisoner Joel Plascencia appeals from the district court’s dismissal of his 28 U.S.C. § 2255 motion, which was determined to be time-barred. We conclude that Plascencia’s conviction became final when the time expired to file a timely notice of appeal on direct review and that Plascencia is not entitled to the benefit of the 90-day period for seeking certiorari, after dismissal following denial of a Fed. R.App. P. 4(b)(4) motion, when determining § 2255’s limitation period. We therefore AFFIRM the district court’s judgment.
I.
Plascencia pleaded guilty to conspiracy to distribute cocaine and was sentenced to 210 months in prison. The district court entered its judgment on December 23, 2003. Plascencia is deemed to have filed his pro se notice of appeal on January 15, 2004.
Plascencia then filed a § 2255 motion on June 15, 2005. The district court dismissed the motion as untimely, reasoning that Plascencia’s conviction became final, and the one-year limitation period began, on January 12, 2004, at the expiration of the time for Plascencia to file a timely notice of appeal. The court determined that Plascencia’s § 2255 motion was due by January 12, 2005, and that the June 15, 2005 motion was therefore untimely. Plas-cencia appeals from the district court’s dismissal. We granted him a certificate of appealability on the issue whether, in determining the limitation period for purposes of § 2255, a federal prisoner has the benefit of an additional 90-day period in which to seek certiorari review in the Supreme Court from an appellate court’s af-firmance of the denial of a Rule 4(b)(4) motion.
II.
Plascencia contends that his conviction did not become final on direct appeal
Section 2255 provides a one-year limitation period that begins on the latest of four possible dates for a federal prisoner to seek collateral review of his conviction and sentence. The only date relevant in this case is “the date on which the judgment of conviction becomes final.”
We have observed, however, that there is no indication Congress intended federal and state prisoners to be treated differently in habeas proceedings and that “final” in § 2255 has the same meaning as “final” used for the analogous limitation period in 28 U.S.C. § 2254 proceedings.
Applying like reasoning to federal prisoners, at least three of our sister circuits have held that when a federal prisoner fails to file a notice of appeal from his conviction (in other words, when he fails to pursue the direct appeal process), the conviction becomes final for purposes of § 2255 upon the expiration of the 10-day period for filing a direct appeal.
In the instant case, Plascencia had until January 12, 2004, to file his timely notice of appeal. By failing to file an effective notice of appeal by January 12, 2004, Plas-cencia allowed the direct review process to expire, and his conviction became final on that date.
Rule 4 provides limited recourse for defendants who miss the filing deadline by permitting the district court, upon finding good cause or excusable neglect, to extend the time to file a notice of appeal for up to 30 days from the expiration of the time otherwise prescribed.
Plascencia insists, however, that his conviction was not final because he had 90 days to seek certiorari after our dismissal on June 9, 2004. In Clay v. United States, the Supreme Court held that if a federal defendant appeals his conviction to the court of appeals and then does not seek certiorari, the conviction becomes final when the 90-day period expires during which the defendant could have filed a petition for certiorari.
AFFIRMED.
.See Houston v. Lack, 487 U.S. 266, 276, 108 S.Ct. 2379, 2385, 101 L.Ed.2d 245 (1988) (concluding that a prisoner’s pro se notice of appeal is deemed filed when delivered to prison authorities for forwarding to the court clerk).
. See, e.g., United States v. Golding, 739 F.2d 183, 184 (5th Cir. 1984).
. United States v. Plascencia, No. 04-10079 (5th Cir. June 9, 2004) (unpublished).
. United. States v. Torres, 163 F.3d 909, 911 (5th Cir. 1999).
. 28 U.S.C. § 2255(f)(1).
. United States v. Thomas, 203 F.3d 350, 351— 52 (5th Cir. 2000).
. Reyes-Requena v. United States, 243 F.3d 893, 898 (5th Cir. 2001); see 28 U.S.C. § 2244(d)(1)(A).
. Roberts v. Cockrell, 319 F.3d 690, 694 (5th Cir. 2003).
. Id.
. Id.
. See Moshier v. United States, 402 F.3d 116, 118 (2d Cir. 2005); Sanchez-Castellano v. United States, 358 F.3d 424, 428 (6th Cir. 2004); Kapral v. United States, 166 F.3d 565, 577 (3d Cir. 1999).
. See Fed. R.App. P. 4(b)(4).
. See Golding, 739 F.2d at 184.
. Although when we dismissed the appeal we noted that a timely notice of appeal is a prerequisite to appellate jurisdiction, which was our traditional view, we have since recognized that Supreme Court precedent now establishes that Rule 4’s time requirement for filing notices of appeal in criminal cases is mandatory but not jurisdictional. See United States v. Martinez, 496 F.3d 387, 388-89 (5th Cir. 2007); see also Eberhart v. United States, 546 U.S. 12, 18-19, 126 S.Ct. 403, 406-07, 163 L.Ed.2d 14 (2005) (distinguishing between jurisdictional rules and nonjurisdic-tional claims-processing rules). Nevertheless, the distinction between jurisdictional rules and inflexible claims processing rules does not render the dismissal erroneous because a court does not err by strictly enforcing the latter. United States v. Leijano-Cruz, 473 F.3d 571, 574 (5th Cir. 2006).
. 537 U.S. 522, 532, 123 S.Ct. 1072, 1079, 155 L.Ed.2d 88 (2003); see also United States v. Gamble, 208 F.3d 536, 536-37 (5th Cir. 2000).
. See 537 U.S. at 525, 123 S.Ct. at 1074 (holding that “a judgment of conviction becomes final when the time expires for filing a petition for certiorari contesting the appellate court's affirmation of the conviction.” (emphasis added)).
. The dissent would apply the 90-day certio-rari period in the instant case because "[o]ur June 9, 2004 dismissal of Plascencia’s direct criminal appeal was reviewable by the Supreme Court as part of that appeal.” (Emphasis added). Although on June 9, 2004, we dismissed Plascencia’s "appeal,” there was no direct appeal pending because Plascencia had never filed an effective direct appeal of his conviction. The dissent contends that Plas-cencia’s late notice of appeal was sufficient to suspend the finality of Plascencia’s conviction because the ten-day filing period is nonjuris-dictional, and it implies that the Government’s failure to object to the late notice supports its position because a failure to object forfeits the objection. Whether or not the Government objected is irrelevant under the circumstances of this case because the Government never had an opportunity to object. We remanded to the district court before a briefing notice was even issued. As noted above, Plascencia’s "notice of appeal” was construed as nothing more than a Rule 4(b)(4) motion for extension of time to file an appeal, which requires a finding of good cause or excusable neglect. See Golding, 739 F.2d at 184. As we noted in Golding, "[w]e presume neither the presence nor absence of excusable neglect but defer to the district court for this determination.” Id. Seeking certiorari review of the denial of such a motion is not the same as seeking review of an adjudication of the merits of Plascencia’s direct criminal appeal. Had Plascencia allowed the ten-day
Dissenting Opinion
dissenting:
Although there is room for debate as to when a “judgment of conviction becomes final” for purposes of 28 U.S.C. § 2255, I respectfully dissent. Our June 9, 2004 dismissal of Plascencia’s direct criminal appeal was reviewable by the Supreme Court as part of that appeal. Accordingly, I would hold that Plascencia’s judgment of conviction did not become final, within the meaning of § 2255, until the time for filing a petition for certiorari seeking review of that dismissal expired.
Plascencia has filed the instant motion seeking a writ of habeas corpus pursuant to 28 U.S.C. § 2255. At issue is the meaning of subsection (f)(1) of that statute, which provides in pertinent part: “A 1-year period of limitation shall apply to a motion under this section. The limitation period shall run from ... the date on which the judgment of conviction becomes final.”
Plascencia filed a notice of appeal after he was convicted but did so three days beyond the ten-day period specified in Rule 4(b)(l)(A)(i) of the Federal Rules of Appellate Procedure. Although the Government did not object to the late filing, this court, on its own motion, remanded to the district court to determine if there was good cause or excusable neglect within the meaning of Rule 4(b)(4). The district court concluded there was not, and we agreed, dismissing the appeal as untimely.
The Supreme Court has held in Clay v. United States that “[w]hen a defendant in a federal prosecution takes an unsuccessful direct appeal from a judgment of conviction, but does not next petition for a writ of certiorari ... a judgment of conviction becomes final when the time expires for filing a petition for certiorari contesting the appellate court’s affirmation of the conviction.”
In Eberhart v. United States the Supreme Court strongly indicated that the filing of a late notice of appeal in a direct federal criminal appeal does not deprive an appellate court of subject matter jurisdiction.
The ten-day filing period in Federal Rule of Appellate Procedure 4(b)(l)(A)(i) accordingly appears to be a nonjurisdic-tional claims-processing rule in criminal cases.
In construing similar, though not identical, provisions in the one-year limitation pertaining to habeas review of state convictions in 28 U.S.C. § 2244(d)(1), which provides “[t]he limitation period shall run from the latest of ... the date on which the judgment became final by the conclusion of direct review or the expiration of the time for seeking such review,”
None of the three decisions from other circuits cited by the panel majority are directly on point. In Moshier v. United States, the defendant did not attempt a direct appeal of his federal conviction at
The panel majority concludes that even if Plascencia had filed a petition for certio-rari “following our dismissal”, that petition “would not have contested direct review of his conviction. Instead, it would have concerned only our ruling that the district court did not abuse its discretion by declin
The panel majority says “the dissent’s view, carried to its logical conclusion, would allow a defendant to ... obtain tolling of the limitations period by filing a non-effective late notice, no matter how much time has passed after the conviction, simply because the defendant could always seek certiorari review of our decision on the subsequent treatment of the notice.”
The judgment of conviction, the panel majority concludes, became final January 12, 2004, even though this court did not dismiss Plascencia’s appeal until June 9, 2004; a certiorari petition could have been filed up to ninety days after that date, and at least theoretically, Plascencia’s direct appeal could have proceeded if the Supreme Court had granted a certiorari petition and remanded. I find it difficult to believe that Congress intended the one-year limitation period to commence before the final outcome of proceedings regarding a notice of appeal from a judgment of conviction occurred. I therefore, with great respect for my colleagues, dissent.
. 28 U.S.C. § 2255(f)(1).
. United States v. Plascencia, No. 04-10079 (5th Cir. June 9, 2004) (unpublished).
. 537 U.S. 522, 524-25, 123 S.Ct. 1072, 155 L.Ed.2d 88 (2003).
. Id. at 527, 123 S.Ct. 1072.
. Id.
. 546 U.S. 12, 17-18, 126 S.Ct. 403, 163 L.Ed.2d 14 (2005).
. 361 U.S. 220, 221, 80 S.Ct. 282, 4 L.Ed.2d 259 (1960).
. Id. at 223, 80 S.Ct. 282 (quoting former Rule 45(b)).
. Id. at 229, 80 S.Ct. 282.
. Id. at 230, 80 S.Ct. 282.
. 546 U.S. at 18, 126 S.Ct. 403 (quoting Kontrick v. Ryan, 540 U.S. 443, 454, 124 S.Ct. 906, 157 L.Ed.2d 867 (2004)).
. Id. at 16, 126 S.Ct. 403.
. See id. at 15-16, 126 S.Ct. 403.
. See generally Bowles v. Russell, - U.S. -, 127 S.Ct. 2360, 2365, 168 L.Ed.2d 96 (2007) (explaining the “distinction between court-promulgated rules and limits enacted by Congress” and that the 90-day period for filing a petition for a writ of certiorari in the Supreme Court is a "statute-based filing period for civil cases” and thus "jurisdictional” but in criminal cases, " '[t]he procedural rules adopted by the Court for the orderly transaction of its business are not jurisdictional and can be relaxed by the Court in the exercise of its discretion.' ”) (quoting Schacht v. United States, 398 U.S. 58, 64, 90 S.Ct. 1555, 26 L.Ed.2d 44 (1970)).
. See Eberhart, 546 U.S. at 18, 126 S.Ct. 403; cf. Day v. McDonough, 547 U.S. 198, 202, 126 S.Ct. 1675, 164 L.Ed.2d 376 (2006) (holding that a "federal court ha[s] discretion ... to dismiss [a habeas petition] as untimely under AEDPA's one-year limitation” even though the State asserted the petition was timely; if this holding were extended by analogy, then a court of appeals might sua sponte question the timeliness of a notice of appeal in a federal criminal appeal).
. Ante, p. 389-90 n. 17.
. 28 U.S.C. § 2244(d)(1).
. Lawrence v. Florida, —- U.S. -, 127 S.Ct. 1079, 1083, 166 L.Ed.2d 924 (2007) (emphasis in original).
. Id. (quoting Clay v. United States, 537 U.S. 522, 527-28, 123 S.Ct. 1072, 155 L.Ed.2d 88 (2003)).
. Clay, 537 U.S. at 530, 123 S.Ct. 1072.
. Id. at 532, 123 S.Ct. 1072.
. 402 F.3d 116, 117 (2d Cir. 2005) ("Moshier did not file a direct appeal from the judgment, possibly because he had waived his right to appeal in a plea agreement.”).
. Id. at 118.
. 358 F.3d 424, 424-25 (6th Cir. 2004) ("The issue presented in his appeal is whether, for a federal defendant who did not seek a direct appeal, the one-year statute of limitations for § 2255 cases starts ten days or forty days after entry of the judgment of conviction. The time for filing a direct appeal is ten days after entry of judgment, but pursuant to Federal Rule of Appellate Procedure 4(b)(4) a federal defendant can seek an extension of time — for excusable neglect or good cause— up to the fortieth day after entry of judgment. Sanchez-Castellano maintains that the judgment did not become final until the last possible opportunity to seek review of his sentence had passed.”).
. Id. at 427.
. Id. at 428.
. 166 F.3d 565 (3d Cir. 1999).
. Clay v. United States, 537 U.S. 522, 123 S.Ct. 1072, 155 L.Ed.2d 88 (2003).
. Kapral, 166 F.3d at 567.
. Id. ("Appellant Michael Kapral did not file a petition for certiorari, but he filed his § 2255 motion within one year of the date on which his time to seek certiorari review expired. We hold that his filing was timely ....”).
. Ante, p. 389.
. See Clay, 537 U.S. at 529, 123 S.Ct. 1072 (rejecting the argument that "[wjhen a convicted defendant does not seek certiorari on direct review, § 2255’s limitations period starts to run on the date the court of appeals issues its mandate.”).
. Ante, p. 389-90 n. 17.
. See United States v. Robinson, 361 U.S. 220, 229, 80 S.Ct. 282, 4 L.Ed.2d 259 (1960) ("The courts have uniformly held that the taking of an appeal within the prescribed time is mandatory and jurisdictional.”).
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Joel PLASCENCIA, Also Known as “Oskie”, Defendant-Appellant
- Cited By
- 45 cases
- Status
- Published