United States v. Thomas

               Revised February 24, 2000

            UNITED STATES COURT OF APPEALS
                 For the Fifth Circuit


                     No. 98-50410



               UNITED STATES OF AMERICA,

                                           Plaintiff-Appellee,

                        VERSUS


                STEVEN LEE THOMAS, III,

                                           Defendant-Appellant.


**********************************************************



                     No. 98-50411



               UNITED STATES OF AMERICA,

                                           Plaintiff-Appellee,


                        VERSUS


      HASHIM ESTEBAN THOMAS, also known as Joker,

                                           Defendant-Appellant.



     Appeals from the United States District Court
           for the Western District of Texas
                   February 4, 2000
Before KING, Chief Judge, and DUHÉ and DeMOSS, Circuit Judges.
DeMOSS, Circuit Judge:
      Federal prisoners Steven Lee Thomas and Hashim Esteban Thomas

appeal the district court’s order dismissing their 28 U.S.C. § 2255

motions   as   untimely   filed.     We   affirm   the   district   court’s

determination that the Thomases’ § 2255 motions were untimely,

although for reasons different than those articulated by the

district court.



                                     I.

      In 1995, brothers Steven and Hashim Thomas were convicted on

federal charges arising from their robbery of the Normangee State

Bank in Normangee, Texas.          Their convictions were affirmed on

direct appeal, and this Court issued final mandates with respect to

both appeals in July 1996.     The Thomases then filed petitions for

writ of certiorari with the Supreme Court, which were denied on

November 12, 1996.    One year and three days later, on November 14,

1997, the Thomases filed their § 2255 motions for collateral relief

in the district court. Neither the facts relating to the Thomases’

well-planned robbery nor the substance of their § 2255 claim are

relevant to this appeal.       Rather, the only issue for review is

whether the Thomases’ § 2255 motions seeking collateral review of

and   relief   from   their   criminal     sentences     were   barred   by

limitations.      The Thomases filed their § 2255 motions after the

effective date of AEDPA.      The motions are therefore controlled by

                                     2
the provisions of that statute.          See Lindh v. Murphy, 117 S. Ct.

2059 (1997).      Title 28 U.S.C. § 2255 provides that a one year

period of limitations is applicable to § 2255 motions.                That one

year limitation period typically begins to run “on the date on

which the     judgment   of   conviction   becomes    final.”     28    U.S.C.

§ 2255(1).1      Section 2255(1) does not, however, define when a

judgment    of   conviction   becomes    “final”     for   purposes    of   the

limitation period.       That issue is currently the subject of some

disagreement among our sister circuit courts, see Adams v. United

States, 173 F.3d 1339, 1342 (11th Cir. 1999) (marshaling the

competing authorities); see also United States v. Gurrusquieta,

Nos. 3-97-CR-0158-P-19, 3-99-CV-0993-P, 1999 WL 1080914 (N.D. Tex.

Nov. 29, 1999), and has not been definitively decided by this

Court, see United States v. Flores, 135 F.3d 1000, 1006 n.20 (5th

Cir. 1998).

     The primary issue for decision is whether a federal criminal

conviction becomes final for purposes of § 2255(1) when a final

judgment issues from the highest court to hear the case on direct

appeal, or instead, when the time for seeking further direct review

expires.    See id.   The district court opted in favor of the first



     1
          The date upon which the limitation period begins to run
may be extended beyond the date upon which the conviction becomes
final when certain circumstances have impeded the movants’ ability
to file a timely § 2255 motion. See 28 U.S.C. § 2255(2)-(4). None
of the alternative start dates is alleged to be applicable in this
case.

                                     3
alternative, holding that the Thomases’ convictions became final

and the limitation period began to run in July 1996, when this

Court issued final mandates on direct appeal.              Given that the

Thomases did not file their § 2255 motions until November 1997,

more than one year later, the district court held that their § 2255

motions were barred by limitations.       We granted a certificate of

appealability, limited to the narrow issue of when a federal

criminal   conviction   becomes   final   for   purposes    of   28   U.S.C.

§ 2255(1) when the movant has requested and has been denied a writ

of certiorari from the Supreme Court.      This is a question of first

impression in this Circuit.



                                  II.

     The issue of when a federal conviction becomes “final” for

§ 2255(1) purposes has been addressed to a varying degree by the

Third, Tenth, Fourth, and Seventh Circuits.2        The Third and Tenth

Circuits adhere to the view that direct review concludes and a

conviction becomes final when a criminal defendant’s options for

further direct review are foreclosed, rather than when the highest

court to consider the case issues its judgment. Thus, those Courts

hold that the conviction becomes final: (1) when the ninety day



     2
          In addition, the Eleventh Circuit recently issued an
opinion documenting the relevant authorities, but avoiding any
decision on the issue as unnecessary to the case at hand. See
Adams v. United States, 173 F.3d 1339, 1342-43 (11th Cir. 1999).

                                   4
period for filing a petition for writ of certiorari expires if the

defendant does not seek a writ of certiorari from the Supreme

Court, see SUP. CT. R. 13, (2) when the Supreme Court denies the

petition for writ of certiorari if such a petition is filed and

denied, or (3) when the Supreme Court issues a decision on the

merits, if the petition for writ of certiorari is granted and the

case proceeds to decision.   See, e.g., Rhine v. Boone, 182 F.3d

1153, 1155 (10th Cir. 1999), cert. denied, __ S. Ct. __, No. 99-

6598, 2000 WL 12398 (U.S. Jan 10, 2000); United States v. Kapral,

166 F.3d 565, 577 (3d Cir. 1998); United States v. Williamson, No.

99-3120, 1999 WL 1083750, at *1 n.1 (10th Cir. Dec. 2, 1999)

(unpublished); see also United States v. Miller, 197 F.3d 644, 652

n.9 (3d Cir. 1999) (applying rule announced in Kapral); United

States v. Lacey, No. 99-3030, 1998 WL 777067, at *1 (10th Cir. Oct.

27, 1998) (unpublished) (quoting Griffith v. Kentucky, 107 S. Ct.

708, 712 n.6 (1987), for the proposition that a federal conviction

becomes final when “`the availability of appeal has been exhausted,

and the time for filing a petition for certiorari elapsed or a

petition for certiorari [has been] finally denied’”); United States

v. Simmonds, 111 F.3d 737, 744 (10th Cir. 1997) (stating that a

federal conviction becomes final when the Supreme Court denies

certiorari in the context of an analysis of the retroactivity of §

2255).   The Fourth Circuit has likewise followed the rule that a

federal criminal conviction does not become final for purposes of

                                5
§ 2255(1) until the options for further direct review are exhausted

or the time for pursuing further direct review has expired in its

unpublished dispositions, see, e.g., United States v. Groves, No.

98-6635, 1999 WL 515445 at *2 n.* (4th Cir. July 21, 1999)

(unpublished) (collecting cases), although that court has left the

issue open for further decision in published decisions, see Davis

v. Scott, 176 F.3d 805, 808 n.* (4th Cir. 1999).

     The Seventh Circuit has adopted a slightly different view,

holding that, at least in a case in which the criminal defendant

does not seek further review, a criminal conviction becomes final

when the highest court to consider the case issues its decision,

rather than when the time period for seeking further review has

expired. See Gendron v. United States, 154 F.3d 672, 674 (7th Cir.

1998), cert. denied sub nom., Ahitow v. Glass, 119 S. Ct. 1758

(1999).      The    district       court’s    holding    that   the    Thomases’

convictions became final for purposes of § 2255(1) once this Court

issued    final    mandates   in    July     1996   relies   heavily   upon   the

reasoning and result in Gendron.             For the reasons that follow, we

believe this reliance was misplaced.

     The Seventh Circuit’s holding in Gendron is tied to the

textual difference between § 2244(d)(1), which is applicable to

collateral review of state court decisions, and § 2255(1), which is

applicable to collateral review of federal court convictions.

Section 2244(d)(1) also provides for a one year limitation period.


                                        6
See 28 U.S.C. § 2244(d)(1).        Section 2244(d)(1) provides, however,

that the one year period runs from “the date on which the judgment

became final by the conclusion of direct review or the expiration

of time for seeking such review.”            Id.      Section 2255(1), on the

other hand, provides merely that the limitation period runs from

“the date on which the judgment of conviction becomes final.”                  28

U.S.C.   §    2255(1).    The    Seventh     Circuit       reasoned    that   the

congressional decision to include the additional phrase providing

that a conviction becomes final upon “the conclusion of direct

review or the expiration of time for seeking such review” in

§ 2244(d)(1), while excluding that phrase from § 2255(1), must be

assigned some meaning.     See Gendron, 154 F.3d at 674.              The Seventh

Circuit noted that § 2244(d)(1) expressly forestalls the limitation

period by providing the petitioner time in which to decide whether

to seek further review.         See id. at 674.          That additional time

period   is   extended   without    regard      to    whether   the   petitioner

actually uses the opportunity to seek further available review.

Id.   Section 2255, on the other hand, does not expressly provide

for that additional time period.          Id.        Thus, the Seventh Circuit

concluded that Congress must have intended for the limitation

period for “federal prisoners who decide not to seek certiorari

with the Supreme Court” to run from the date of the appellate

court’s mandate on direct appeal.          Id.

      The Third Circuit rejected the textual argument underlying the


                                      7
Seventh Circuit’s decision in Gendron in United States v. Kapral,

166 F.3d 565 (3d Cir. 1998).     In Kapral, the district court relied

upon the textual differences between § 2244(d)(1) and § 2255(1) to

support its holding that § 2255(1)’s limitation period begins to

run once the appellate mandate is issued on direct appeal.           Kapral,

166 F.3d at 573-75.   The Third Circuit disagreed, concluding that

long-standing principles of finality in the collateral review

context outweigh any inference that could be drawn from the textual

difference.    Id. at 570-77.     The Third Circuit also faulted the

Seventh Circuit and the district court in that case for not taking

a third AEDPA limitation provision into account when trying to

divine what Congress intended in § 2255(1).            The Third Circuit

quoted the limitation period applicable under Chapter 154 of AEDPA

to   certain   petitions   for   collateral   review    of   state    court

convictions involving the death penalty.      That provision, which is

codified at 28 U.S.C. § 2263 provides, in relevant part, that a

habeas petition must be filed within 180 days “after final State

court affirmance of the conviction and sentence on direct review or

the expiration of the time for seeking such review.”                 Id. at

§ 2263(a).     The Third Circuit reasoned that “Congress’ use of

`State court’ to modify the well-settled meaning of direct review

(which includes the right to seek review in the Supreme Court),

provides strong support for the conclusion that the limitations

periods under § 2244 and § 2255 -- which lack an analogous modifier


                                    8
-- run from the conclusion of Supreme Court review.”               Id. at 576.

The Third Circuit also noted that both §§ 2244 and 2255 explicitly

tie the applicable limitations period to the “finality” of a

conviction, rather than an “affirmance” of that conviction, as does

§ 2263.    Id. The Third Circuit also observed that § 2263 provides

that the limitations period is “tolled” by the filing of a petition

for writ of certiorari.          See 28 U.S.C. § 2263(b)(1).        Tolling is

necessary under that section because the limitation period starts

to run before the time period for Supreme Court certiorari review

begins.    Kapral, 166 F.3d at 576.         The Third Circuit reasoned that

the absence of any analogous tolling provision for Supreme Court

review in either § 2244 or § 2255 strongly suggests that Congress

intended for the limitation provisions contained therein to begin

after the time for certiorari review expired.             Id. at 577.

      The Third Circuit’s elaborated review of AEDPA’s limitation

provisions is persuasive.         We agree that the mere omission of the

phrase “by the conclusion of direct review or the expiration of

time for seeking such review” in § 2255 cannot be reliably invoked

for the proposition that Congress intended to disrupt settled

precedent by requiring that a criminal defendant pursue collateral

relief before the time for seeking direct review expires and during

a   time   period   in   which    he   or   she   may   still   rightfully   be

considering the wisdom of further direct review.                Indeed, such a

rule would be inconsistent with well-settled principles of finality


                                        9
in the collateral review context.    “Collateral attack is generally

inappropriate if the possibility of further direct review remains

open.”   See Kapral, 166 F.3d at 570; see also Feldman v. Henman,

815 F.2d 1318, 1320-21 (9th Cir. 1987).    Such a rule would also be

inconsistent with analogous Supreme Court precedent.    See Griffith

v. Kentucky, 107 S. Ct. 708, 712 n.6 (1987) (federal conviction

becomes final when a “judgment of conviction has been rendered, the

availability of appeal exhausted, and the time for a petition for

certiorari elapsed or a petition for certiorari finally denied”).

To date, no other circuit has adopted Gendron’s competing view that

§ 2255's limitation period begins to run when the appellate mandate

issues if the defendant does not seek a petition for certiorari.

     More importantly, even if we were persuaded that the rationale

in Gendron should be extended, Gendron does not set forth a

competing rule for those situations where, as here, the movant

filed a petition for writ of certiorari.   The movant in Gendron did

not file any petition for writ of certiorari with the Supreme

Court.   See Gendron, 154 F.3d at 673.       Moreover, the Seventh

Circuit’s holding that the one year limitation period in § 2255(1)

begins to run when the appellate mandate issues is expressly

limited to cases in which the movant did not file a petition for

writ of certiorari.   See id. at 674 (the limitation period for

“federal prisoners who decide not to seek certiorari with the

Supreme Court” runs from the date of the appellate court’s mandate

                                10
on direct appeal).

     The district court did not cite any authority supporting its

decision to extend the rationale in Gendron to this case, in which

the movants did seek and were denied a writ of certiorari to the

Supreme Court.   Certainly, none of the federal circuits to have

addressed the issue have gone so far, and some courts have directly

rejected that approach.   See, e.g., Stead v. United States, 67 F.

Supp.2d 1064, 1072 (D.S.D. 1999); Carracedo v. Artuz, 51 F. Supp.2d

283, 284 (S.D.N.Y. 1999) (collecting cases); see also Kapral, 166

F.3d at 577.

     In sum, there is a circuit conflict with respect to when a

federal criminal conviction becomes final for purposes of § 2255 if

the defendant does not seek a petition for writ of certiorari from

the judgment of the appellate court.   Compare Kapral, 166 F.3d at

577 (when a federal criminal defendant does not file a petition for

writ of certiorari with the Supreme Court, a federal conviction

becomes final for § 2255(1) purposes when “the defendant’s time for

filing a timely petition for certiorari review expires”), with

Gendron, 154 F.3d at 674 (when a federal criminal defendant does

not file a petition for writ of certiorari with the Supreme Court,

a federal conviction becomes final for § 2255(1) purposes when the

appellate court issues the mandate on direct criminal appeal). The

authority is consistent, however, with respect to the date on which

§ 2255's limitation period begins to run when the defendant does


                                11
seek such a review.   Those circuits squarely addressing the issue

have held that the time period begins to run when a petition for

certiorari is denied by the Supreme Court or when the Supreme Court

issues a decision on the merits.    We are persuaded by that approach

and hold that the Thomases’ convictions became final on the date

upon which the Supreme Court denied their petitions for writ of

certiorari on November 12, 1996.        Because the Thomases’ motions

were not filed until November 14, 1996, more than one year after

that date, their § 2255 motions were untimely and were properly

dismissed by the district court.



                               III.

     The Thomases offer two arguments for extending the start date

of the one year period of limitations beyond the date upon which

the Supreme Court denied their petitions for writ of certiorari.

The Thomases first argue that their convictions became final, at

the earliest, when the Fifth Circuit received notice from the

Supreme Court that the Thomases’ petitions for writ of certiorari

were denied.   The parties agree that that notice was received by

this Court on November 15, 1996.    Thus, the Thomases maintain that

their § 2255 motions, filed exactly one year later on November 14,

1997, were timely.

     The Thomases support this argument with citation to Supreme

Court Rule 45.3, which provides in pertinent part:


                                   12
          In a case on review from any court of the United
          States, as defined by 28 U.S.C. § 451, a formal
          mandate   does  not   issue   unless   specifically
          directed; instead, the Clerk of this Court will
          send the clerk of the lower court a copy of the
          opinion or order of this Court and a certified copy
          of the judgment.      The certified copy of the
          judgment, prepared, and signed by this Court’s
          Clerk, will provide for costs if any are awarded.

SUP. CT. R. 45.3.   The Thomases argue, based upon the text of this

rule, that the Supreme Court’s decision denying certiorari is not

final until the certification of that decision is received by the

appellate court.

     We disagree.   The provisions of Supreme Court Rule 45.3 refer

to the mandate and judgment that issues after a Supreme Court

decision on the merits.       The denial of certiorari review is

governed by Supreme Court Rule 16.3, which provides:

          Whenever the Court denies a petition for writ of
          certiorari, the Clerk will prepare, sign, and enter
          an order to that effect and will notify forthwith
          counsel of record and the court whose judgment was
          sought to be reviewed. The order of denial will
          not be suspended pending disposition of a petition
          for rehearing except by order of the Court or a
          Justice.

SUP. CT. R. 16.3.   Thus, notice of an order denying a petition for

writ of certiorari is sent directly to the parties.    Moreover, an

order denying a petition for writ of certiorari is effective

immediately upon issuance, absent extraordinary intervention by the

Supreme Court or a Justice of the Supreme Court.         For these

reasons, we conclude that there is no justification or authority

for delaying the one year period of limitations until the appellate


                                 13
court receives notice that the Supreme Court has denied a criminal

defendant’s petition for writ of certiorari.   See Adams v. United

States, 173 F.3d 1339, 1342-43 (11th Cir. 1999) (rejecting the

argument that the one year limitation period in § 2255(1) does not

begin to run until after the lower court receives notice that a

defendant’s petition for writ of certiorari has been denied).

     Alternatively, the Thomases argue that their convictions did

not become final until the twenty-five day period allotted for the

filing of a petition for rehearing of the Supreme Court’s denial of

certiorari review expired.   See SUP. CT. R. 44.2.   We reject this

argument for similar reasons. The plain text of Supreme Court Rule

16.3 provides that an order denying certiorari review takes legal

effect and is not suspended pending any application for rehearing.



                             CONCLUSION

     For the foregoing reasons, we hold that, when a federal

criminal defendant files a timely petition for writ of certiorari

review on direct appeal and that petition is subsequently denied by

the Supreme Court, the federal judgment of conviction becomes final

for purposes of the one year limitation period set forth in

§ 2255(1) on the date that the Supreme Court denies the defendant’s

petition for writ of certiorari on direct review.      The Supreme

Court denied the Thomases’ petitions for writ of certiorari in this

case on November 12, 1996.   The Thomases did not file their § 2255


                                 14
motions until November 14, 1997, more than one year later.   Their

motions were therefore untimely and barred by the applicable

limitation period.

     Accordingly, the district court’s decision dismissing the

Thomases’ § 2255 motions for collateral relief from their federal

sentences is AFFIRMED.




                               15