United States v. Connell

                  UNITED STATES COURT OF APPEALS
                      FOR THE FIRST CIRCUIT

                                             

No.  93-1237

                    UNITED STATES OF AMERICA,

                            Appellee,

                                v.

                         GERALD CONNELL,

                      Defendant, Appellant.

                                             

           APPEAL FROM THE UNITED STATES DISTRICT COURT

                 FOR THE DISTRICT OF RHODE ISLAND

      [Hon. Raymond J. Pettine, Senior U.S. District Judge]
                                                          

                                             

                              Before

                      Selya, Circuit Judge,
                                          

            Aldrich and Coffin, Senior Circuit Judges.
                                                     

                                             

     Arthur W. Tifford for appellant.
                      
     Craig N. Moore, Assistant  United States Attorney, with whom
                   
Edwin  J. Gale, United States  Attorney, and Stephanie S. Browne,
                                                                
Assistant United States  Attorney, were on brief,  for the United
States.

                                             

                         October 6, 1993

                                             

          SELYA,  Circuit Judge.   This appeal,  in which  we are
          SELYA,  Circuit Judge.
                               

asked  to review  the  district court's  denial  of a  motion  to

reconsider a sentence  previously imposed,  presents yet  another

permutation of an existing  application of the "law of  the case"

doctrine.   For the reasons limned herein, we affirm the district

court's order.

I.  BACKGROUND

          Defendant-appellant Gerald Connell pleaded guilty to an

information that  charged him with structuring  cash transactions

to  avoid certain reporting requirements.  See 31 U.S.C.    5313,
                                              

5324 (1988).   At a sentencing hearing held on June 26, 1991, the

district  court imposed  a prison  sentence (thirty  months) that

fell  within  the  guideline  sentencing  range  (GSR),  fixed  a

supervised release  period, fined  Connell $15,000, and  directed

him to pay the  costs of his forthcoming confinement  at the rate

of $1,415.56 per month.

          Connell  appealed, complaining  that his  offense level

had been improperly  constituted, thereby inflating the  GSR.  We

affirmed the sentence, see United States v. Connell, 960 F.2d 191
                                                   

(1st Cir. 1992), but with the proviso that the district court, on

remand, nevertheless might consider whether an intervening change

in  the   sentencing  guidelines  warranted  adjustment   of  the

sentence.  See id. at 199.1
                  

                    

     1The  revision  to the  guidelines  involved  the number  of
levels that should be  added to a defendant's base  offense level
in a case where, as here, criminally derived funds were knowingly
laundered.   The extent, timing,  and effect of  the revision are
explained in our earlier  opinion, see Connell, 960 F.2d  at 197,
                                              

                                2

          After  the   case  returned  to  the   district  court,

defendant sought an  adjustment of sentence based  on the changed

guideline and also moved for reconsideration of the $15,000 fine.

The court heard oral argument on May 7, 1992.  It issued an order

on  that  date  recomputing the  GSR  in  line  with the  revised

guideline  and  reducing Connell's  prison  term to  twenty-seven

months,  but leaving  the fine  intact.   The cost-of-confinement

portion  of  the  sentence remained  unchallenged  and  unchanged

(except  that the court's estimate of overall cost was lowered to

reflect  the three-month decrease in the term of immurement).  An

amended judgment was entered  on or about May 28, 1992.   Connell

appealed from the order  and judgment, but let the  appeal slide.

The amended judgment thus became final.

          Some  seven months  later, Connell  shifted gears.   He

retained   new   counsel  and   filed   a   further  motion   for

reconsideration of sentence  in which  he raised,  for the  first

time,  a complaint  about  the cost-of-confinement  order.2   The

district court denied the motion.3  This appeal followed.

                    

and we will not rehearse those details here.

     2Connell filed this motion in the district court on November
24, 1992, and filed an amended  motion on December 23, 1992.  For
ease in reference, we  treat these pleadings as a  single motion,
sometimes styled the "December 1992 motion for reconsideration."

     3Although  the  government  has  not raised  the  point,  we
question  whether the  district court, so  long after  the appeal
period expired, had  jurisdiction to  entertain Connell's  motion
for reconsideration.  See United States v. Miller, 869 F.2d 1418,
                                                 
1421  (10th  Cir. 1989)  (ruling that  the district  court lacked
jurisdiction to  entertain a motion  to reconsider in  a criminal
case where defendant filed the motion twenty-one months after the
date on which the appeal period  [10 days] began to run);  United
                                                                 

                                3

II.  DISCUSSION

          Connell appeals the denial  of his December 1992 motion

for reconsideration,  sounding two variations on  a single theme:

that U.S.S.G.   5E1.2(i), which provides  for cost-of-confinement

orders  in  certain  criminal  cases,4  is  unconstitutional  or,

alternatively,  is  in  excess  of  the  Sentencing  Commission's

statutory  powers.     Although  the  challenge   itself  is  not

frivolous, compare, e.g., United  States v. Spiropoulos, 976 F.2d
                                                       

155, 165-69 (3d  Cir. 1992)  (striking down the  imposition of  a

cost-of-confinement order on similar grounds)  with, e.g., United
                                                                 

States v. Turner,     F.2d    ,     (7th Cir. 1993) [No. 93-1148,
                

                    

States v.  Cook, 670  F.2d 46,  48 (5th Cir.)  (holding that  the
               
district  court lacked  jurisdiction  to entertain  a motion  for
rehearing  filed  fifty-seven  days  after  the  entry  of  final
judgment  in a criminal case), cert. denied, 456 U.S. 982 (1982).
                                           
We  need not probe the point, however,  for it is settled that an
appellate  court may  forego the  resolution of  a jurisdictional
question if, as  is true  here, the appeal  is uncomplicated  and
easily  resolved in  favor  of the  party  to whose  benefit  the
jurisdictional question  would redound.   See Norton  v. Mathews,
                                                                
427 U.S.  524, 532 (1976);  Secretary of the Navy  v. Avrech, 418
                                                            
U.S. 676,  677-78  (1974)  (per curiam);  cf.  United  States  v.
                                                             
Leavitt, 925  F.2d 516, 517 (1st Cir. 1991) (stating that a court
       
may  overlook waiver of an issue by  a criminal defendant so long
as resolution on the merits will favor the same party  as would a
disposition premised on waiver).

     4The guideline provides in pertinent part: 

          Notwithstanding the  provisions of subsection
          (c)  [the fine  table] of  this section,  but
          subject to  the provisions of  subsection (f)
          [discussing the defendant's ability to  pay] 
          . . . , the court shall impose an  additional
          fine amount that  is at  least sufficient  to
          pay  the  costs  to  the  government  of  any
          imprisonment,   probation,   or    supervised
          release ordered.

U.S.S.G.   5E1.2(i).

                                4

1993  U.S. App.  LEXIS  17472  at  *3-*7] (upholding  a  cost-of-

confinement order against a  similar challenge) and United States
                                                                 

v.  Hagmann,  950 F.2d  175, 187  (5th  Cir. 1991)  (same), cert.
                                                                 

denied,  113 S.  Ct.  108  (1992);  see  also  United  States  v.
                                                             

Carrozza,      F.2d    ,      (1st Cir. 1993)  [No. 92-1798, slip
        

op.  at  34-37]  (leaving  question  open),  Connell  has  failed

properly to preserve it in the circumstances of this case.

          This  case is  analogous in  factual profile  and legal

stance to United  States v. Bell,  988 F.2d 247  (1st Cir.  1993)
                                

(Bell II).  Bell  originally challenged his sentence as  a career
        

offender under  the  sentencing guidelines,  contending that  the

offense of conviction   being a felon in possession of a  firearm

  was not a crime of violence.  See id. at  249; United States v.
                                                              

Bell, 966 F.2d 703, 704 (1st Cir. 1992) (Bell I).  Bell contended
                                               

that he should have been sentenced instead under the Armed Career

Criminal Act (ACCA), 18  U.S.C.   924(e)(1)(1988).  See  Bell II,
                                                                

988 F.2d at 249;  Bell I, 966 F.2d  at 704.  We  sustained Bell's
                        

appeal, holding  "that, where  the offense  of conviction  is the

offense of being  a convicted  felon in knowing  possession of  a

firearm,  the conviction  is not  for a  `crime of  violence' and

that,  therefore, the  career offender  provision of  the federal

sentencing guidelines does not apply."  Bell  I, 966 F.2d at 703.
                                               

Hence, we  vacated Bell's sentence and  remanded for resentencing

in light of our opinion.  See id. at 707.
                                 

          At the  resumed sentencing hearing, Bell  for the first

time  sought to challenge  the validity of  his prior convictions

                                5

and,  through that medium, his  ACCA status.   The district court

ruled  that the objection was  untimely and sentenced  Bell as an

armed career  criminal.   See Bell  II, 988 F.2d  at 249-50.   We
                                      

affirmed the district court's decision to deny reconsideration of

the second, delinquent, challenge.  See id. at 252.
                                           

          The  lesson  of the  Bell cases  is  as clear  as their
                                   

namesake:

          [A]  legal decision  made at  one stage  of a
          civil  or  criminal case,  unchallenged  in a
          subsequent  appeal  despite the  existence of
          ample opportunity to  do so, becomes  the law
          of  the case  for future  stages of  the same
          litigation, and the aggrieved party is deemed
          to have forfeited any right to challenge that
          particular decision at a subsequent date.

Id.  at  250.   This  lesson  embodies  a rather  straightforward
   

application of  the law of the case doctrine     a  doctrine that

is rooted  in an array of prudential  considerations:  "stability

in the decisionmaking process, predictability of results,  proper

working relationships  between trial  and  appellate courts,  and

judicial economy."   United  States v. Rivera-Martinez,  931 F.2d
                                                      

148, 151 (1st Cir.), cert.  denied, 112 S. Ct. 184 (1991).   That
                                  

is to  say, law-of-the-case rules  afford courts the  security of

consistency  within a single case while at the same time avoiding

the  wastefulness, delay, and  overall wheel-spinning that attend

piecemeal  consideration   of  matters  which   might  have  been

previously adjudicated.  See 18 Charles A. Wright et al., Federal
                                                                 

Practice  &  Procedure    4478  at  603  (Supp.  1993).   In  the
                      

interests of  both consistency  and judicial  economy, therefore,

litigants  should not ordinarily be  allowed to take serial bites

                                6

at the appellate  apple.  See, e.g., United  States v. Rosen, 929
                                                            

F.2d 839, 842 n.5 (1st Cir.), cert. denied, 112 S. Ct. 77 (1991);
                                          

United States v. DeJesus,  752 F.2d 640, 642-43 (1st  Cir. 1985);
                        

White  v. Murtha,  377 F.2d  428, 431 (5th  Cir. 1967);  see also
                                                                 

Williamsburg Wax Museum, Inc. v. Historic Figures, Inc., 810 F.2d
                                                       

243, 250 (D.C. Cir. 1987) (stating that a legal  decision made at

one  stage  of  litigation  becomes  the  law  of  the  case  for

subsequent   stages  of   litigation  if   the  opportunity   for

challenging the  decision in an  earlier appeal existed  and went

unexploited).

          We think it follows that when a trial court, on remand,

seeks  to dispose  of  a case  in  accordance with  an  appellate

court's  mandate,  it "must  implement  both the  letter  and the

spirit of the mandate, taking into account  the appellate court's

opinion  and the  circumstances it  embraces."  United  States v.
                                                              

Kikumura, 947 F.2d 72,  76 (3d Cir. 1991) (citation  and internal
        

quotation  marks  omitted).   Because  the  mandate  serves as  a

limitation  on  the power  of the  trial  court, the  issues that

remain  open on  remand frequently will  be circumscribed  by the

earlier appeal  and by the  appellate court's disposition  of the

issues therein.  See Rivera-Martinez, 931 F.2d at  150-51; United
                                                                 

States v. Cornelius, 968 F.2d 703, 705 (8th Cir. 1992).
                   

          The  case before  us is  governed by  these rules.   In

1991,  the  district  court   invoked  U.S.S.G.     5E1.2(i)  and

sentenced  Connell,  inter  alia,   to  pay  the  costs   of  his
                                

confinement.   Connell  appealed his  sentence, but  eschewed any

                                7

challenge to the cost-of-confinement order.  Having foregone that

opportunity,  Connell  could  not   thereafter  insist  that  the

district court exceed the limited scope of our remand in order to

revisit a settled issue.

          In this case, moreover, Connell defaulted not once, but

twice.   As we have indicated,  he did not challenge the cost-of-

confinement order on his  direct appeal.  He then  compounded his

difficulties  by  omitting any  reference  to  the  order in  the

proceedings   that  immediately   followed  our   remand.     His

afterthought request for  reconsideration, occurring, as it  did,

some  seven months  after the  district court  had fulfilled  its

mission on remand   and well beyond the expiration of the  appeal

period in respect to the revised sentence   came too  late.  See,
                                                                

e.g.,  United States v. Ramirez,  954 F.2d 1035,  1038 (5th Cir.)
                               

(holding that,  in order  to be  timely,  a criminal  defendant's

motion for reconsideration must be filed  within the ten-day time

period  allotted  for appeal),    cert.  denied,  112 S.Ct.  3010
                                               

(1992); see also  United States  v. Miller, 869  F.2d 1418,  1421
                                          

(10th Cir.  1989); United States  v. Cook,  670 F.2d 46,  48 (5th
                                         

Cir.), cert. denied, 456 U.S. 982 (1982).  After all, if Connell,
                   

having  initially conceded  the cost-of-confinement  issue, could

not  have raised it when the district court, on remand, undertook

its  reconsideration  of  the  incarcera-  tive  portion  of  his

sentence, see  Bell II, 988 F.2d  at 250, then he  clearly had no
                      

right  to raise the issue  after the revised  sentence had become

final.   Cf., e.g., Witty v. Dukakis,     F.2d    ,     (1st Cir.
                                    

                                8

1993) [No. 93-1238, slip op. at 7] ("A party confronted  by a set

period for taking an  action cannot allow the  time to lapse  and

then  resurrect  his  rights  merely  by  asking  the   court  to

reconsider or to confirm what the court has already done.").

          To  be sure, neither the  law of the  case doctrine nor

its kissing  cousin, the so-called "mandate rule," is designed to

function as a straitjacket.  Rather, these are discretion-guiding

principles,  generally thought to be subject to exceptions in the

interests of justice.5  See Bell II, 988 F.2d at  251 (collecting
                                   

cases).   But, the exceptions are narrowly  configured and seldom

invoked, and this  case has none of  the requisite earmarks:   no

new  evidence has  been unearthed,  no controlling  precedent has

emerged suddenly,  the motion  for  reconsideration contained  no

suggestion that  Connell  lacks the  means  to pay  the  cost-of-

commitment impost,  the delay in  raising the point  is unexcused

and seems  excessive, and,  most importantly, we  are unpersuaded

that the  "decision  was  clearly  erroneous  and  would  work  a

manifest injustice."  Rivera- Martinez,  931 F.2d at 151 (quoting
                                      

White,  377 F.2d at 432).  Given these circumstances, and mindful
     

of the  substantial latitude  retained by  the district  court in

deciding  whether to rethink matters previously  set to rest, see
                                                                 

United States v. Roberts, 978 F.2d 17,  20-21 (1st Cir. 1992), we
                        

cannot  say that the court below abused its discretion in denying

                    

     5Although it is not altogether clear that a trial court on a
limited  remand may exceed, for whatever reason, the scope of the
appellate court's mandate, see  Bell II, 988 F.2d at  251 n.2, we
                                       
assume arguendo, favorably to Connell, that such power exists.
               

                                9

Connell's belated  motion for  reconsideration of this  aspect of

his sentence.

III.  CONCLUSION

          We need  go  no further.6    Courts can  only  function

under the aegis of rules   and parties who ignore the rules do so

at  their peril.  See, e.g., Puleio  v. Vose, 830 F.2d 1197, 1203
                                            

(1st Cir. 1987) ("The law ministers to  the vigilant not to those

who sleep upon perceptible rights."), cert. denied, 485  U.S. 990
                                                  

(1988).  So it  is here:  appellant,  having failed to  challenge

the cost-of-confinement order in a timeous manner,  must bear the

predictable  consequences of his neglect.   On the  facts of this

case, we discern no  injustice in holding appellant to  the usual

raise-or-waive standard.

Affirmed.
         

                    

     6Citing  a  November 1992  amendment  to  U.S.S.G.    3E1.1,
Connell's December 1992 motion for reconsideration also  asserted
an  entitlement to a  more extravagant  credit for  acceptance of
responsibility.  The  district court hewed  to the original  two-
level decrease  for acceptance  of responsibility because  it did
not   believe  that   the   1992  amendment   could  be   applied
retroactively.  This court  later reached the same  conclusion in
an unrelated  case.  See United States  v. Desouza, 995 F.2d 323,
                                                  
324  (1st  Cir.  1993)  (per  curiam).    In  light  of  Desouza,
                                                                
appellant's counsel abandoned this issue at oral argument.

                                10