B.J. Burleson v. James Saffle, and Drew Edmondson, 278 F.3d 1136, 10th Cir. (2002)
B.J. Burleson v. James Saffle, and Drew Edmondson, 278 F.3d 1136, 10th Cir. (2002)
3d 1136
The United States Court of Appeals for the Tenth Circuit, pursuant to 10th
Cir.R. 27.1 and Okla. Stat. tit. 20, 1602, hereby respectfully submits to the
Oklahoma Court of Criminal Appeals a certified question of Oklahoma law.
The answer to this question, which is not clearly provided by Oklahoma law,
may be determinative of the above-captioned matter now pending before this
Court.
The Question1
2
On August 1, 1997, the Oklahoma Court of Criminal Appeals held that "where
a vehicle is used to facilitate the intentional discharge of a weapon during a
single transaction or `shooting event' only one count of Using a Vehicle to
Facilitate the Intentional Discharge of a Firearm [Okla. Stat. tit. 21, 652(B)] is
appropriate." Locke v. State, 943 P.2d 1090, 1095 (Okla. Crim.App.1997). Did
the statute have the same meaning under Oklahoma law on May 2, 1997, the
day petitioner-appellant's criminal conviction for two counts of violating this
section was affirmed?
3
* B.J. Burleson asks this Court to reverse the decision of the district court
denying his petition for a writ of habeas corpus. He contends that his
Oklahoma state court conviction on two counts of using a vehicle to facilitate
the discharge of a weapon was in violation of the Double Jeopardy Clause of
the Fifth Amendment. We have certified the above question to the Oklahoma
Court of Criminal Appeals ("OCCA") because the answer will help us
determine the proper state law predicate for our resolution of the federal
constitutional question raised in this case.
II
4
Around midnight on February 16, 1995, Burleson was riding in the backseat of
a car with four friends. Earlier that night the group engaged in a series of hostile
telephone calls with two other men, Kristoffer Trim and Bobby Lindsey, during
which the parties exchanged various threats. Burleson and his friends arranged
to meet Trim and Lindsey at a convenience store to settle their dispute by
fistfight, but the rendezvous never occurred. Instead, Burleson and the others
drove to the house where Trim and Lindsey were staying. As the car passed the
house, Burleson fired approximately five shots at Trim and Lindsey, one of
which hit Trim and left him paralyzed.
On August 1, 1997, the OCCA issued an opinion in another case that appeared
as if it might have importance for Burleson. In Locke v. State, the OCCA held
that "where a vehicle is used to facilitate the intentional discharge of a weapon
during one single transaction or `shooting event' only one count of Using a
Vehicle to Facilitate the Intentional Discharge of a Firearm is appropriate." 943
P.2d 1090, 1095 (Okla. Crim.App.1997). Burleson proceeded to seek state postconviction relief in Oklahoma County District Court ("OCDC") in the wake of
the Locke decision, which even the state of Oklahoma conceded was in direct
conflict with the OCCA's earlier summary affirmance of Burleson's
convictions. (Order Den. Post-Conviction Relief at 2.) The OCDC noted that if
Locke had been issued by the OCCA while Burleson's convictions were not yet
final, retroactive application of the decision would have been required (id.), and
Burleson presumably would have been afforded relief. Unfortunately for
Burleson, the OCCA's decision in Locke was issued one day after his
convictions became final.2 As a result, the OCDC stated that "absent directions
from the Court of Criminal Appeals" it would decline to apply Locke
retroactively to Burleson's case. (Id.) The OCCA, in turn, refused to give such
instructions and on nonretroactivity grounds alone declined to grant Burleson
his requested post-conviction relief. (Order Affirming Den. Post-Conviction
Relief at 1-2.)
7
III
8
10
Every person who uses any vehicle to facilitate the intentional discharge of any
kind of firearm, crossbow, or other weapon in conscious disregard for the safety
of any other person or persons shall upon conviction be guilty of a felony
punishable by imprisonment in the State Penitentiary for a term of not less than
two (2) years nor more than twenty (20) years.
11
Okla, Stat. tit. 21, 652(B). Burleson asserts that the statute precludes multiple
convictions arising out of one shooting spree even if more than one person
is shot at because the plain language of the statute makes clear that the use
of a vehicle is the prohibited conduct, regardless of the number of potential
victims. If the Oklahoma legislature had intended to allow separate convictions
for each person whose safety was threatened, Burleson suggests, it would not
have included the reference to "any other person or persons" in the statute. Id.
(emphasis added). Thus, he contends, it would be a double jeopardy violation
to allow his conviction on two counts of violating the statute to stand even
though he engaged in only a single course of conduct. Burleson also notes,
correctly, that the OCCA ultimately adopted this very argument in Locke.
12
13
It is not the Supreme Court's decision in Teague that bars the retroactive
application of Locke to Burleson's case. Rather, it is the standard of review
imposed upon federal habeas courts by the Antiterrorism and Effective Death
Penalty Act of 1996 ("AEDPA"). Pursuant to AEDPA, we may not grant an
application for a writ of habeas corpus with respect to any claim adjudicated on
the merits by a state court unless that state court decision
14
15
16
28 U.S.C. 2254(d). To the extent that Burleson asks us to grant him habeas
16
relief by applying the "new rule" of Locke to his already final case, we have
only one question to consider: Was the OCCA's decision not to apply Locke
retroactively to Burleson's case contrary to or an unreasonable application of
federal law? The answer to that question is clearly no, because whether or not a
new rule of state law may be applied retroactively is a pure state law question.4
17
The "general rule of [Oklahoma] law," according to the OCCA, is that "new
rules or intervening changes in the law should only be applied prospectively
from their effective date, especially on collateral review, unless they are
specifically declared to have retroactive effect." (Order Affirming Den. of PostConviction Relief at 1-2.) This state law ruling provides no grounds for the
granting of habeas relief, and we do not consider it in our habeas analysis. See
Lewis v. Jeffers, 497 U.S. 764, 780, 110 S.Ct. 3092, 111 L.Ed.2d 606 (1990)
(affirming that "federal habeas corpus relief does not lie for errors of state
law"); Rose v. Hodges, 423 U.S. 19, 21, 96 S.Ct. 175, 46 L.Ed.2d 162 (1975)
(per curiam) (noting that in conducting habeas review, a federal court is limited
to deciding whether a conviction violated the Constitution, laws, or treaties of
the United States). It is therefore unnecessary for us to engage in a Teague
analysis with respect to the state law question of the applicability of Locke to
Burleson's case.
18
Although Teague itself is not relevant to the outcome of this case, we further
note that the magistrate's application of Teague was analytically flawed.
Teague's holding is that "new constitutional rules of criminal procedure will
not be applicable to those cases which have become final before the new rules
are announced," 489 U.S. at 310, 109 S.Ct. 1060 (emphasis added), unless a
new rule "places certain kinds of primary, private individual conduct beyond
the power of the criminal law-making authority to proscribe," or could be
considered a "watershed rule of criminal procedure," id. at 311, 109 S.Ct. 1060
(quotation omitted). To put the matter simply, Locke does not announce a new
constitutional rule of criminal procedure. Rather, we think it clear that Locke is
the Oklahoma court's substantive interpretation of a criminal statute, and that it
is neither "new" nor "procedural."
19
In the federal statutory context, the Supreme Court has stated that "because
Teague by its terms applies only to procedural rules, we think it is inapplicable
to the situation in which this Court decides the meaning of a criminal statute
enacted by Congress." Bousley v. United States, 523 U.S. 614, 620, 118 S.Ct.
1604, 140 L.Ed.2d 828 (1998). Moreover, a rule is not "new" when it is based
squarely on statutory interpretation. United States v. Talk, 158 F.3d 1064, 1071
(10th Cir.1998); see also United States v. Shelton, 848 F.2d 1485, 1489 (10th
Cir.1988) (noting that a "statute cannot mean one thing prior to the Supreme
Burleson also argues that, irrespective of the OCCA's decision in Locke, his
conviction on two counts of violating the Oklahoma drive-by shooting statute
offends the Double Jeopardy Clause. The district court denied habeas relief
based on this argument as well, holding that the OCCA's decision in Burleson's
case was not contrary to or an unreasonable application of clearly established
federal law.
1. Blockburger as Controlling Federal Law
21
In reviewing the district court's decision, our threshold question is whether the
Supreme Court has clearly established the federal law to be applied to this type
of alleged double jeopardy violation. We conclude that it has.
22
In a long line of double jeopardy decisions, the Supreme Court has held that it
is crucial to determine whether the criminal statute at issue proscribes conduct
that is of a discrete or of a continuing nature. The source of this doctrine is a
pair of bookend cases from 1887 that illuminates the distinction nicely. In Ex
parte Snow, the Court held that a defendant could be convicted only once under
a statute providing that "if any male person ... cohabits with more than one
woman, he shall be deemed guilty of a misdemeanor," 120 U.S. 274, 275, 7
S.Ct. 556, 30 L.Ed. 658 (1887), because this offense "is, inherently, a
continuous offence, having duration; and not an offence consisting of an
isolated act," id. at 281, 7 S.Ct. 556. In Ex parte Henry, in contrast, the Court
allowed multiple convictions to stand pursuant to the mail fraud statute
which provided that no person "shall, in and for executing [any] scheme or
artifice [to defraud] ... place any letter or packet in any post-office of the United
States," 123 U.S. 372, 373, 8 S.Ct. 142, 31 L.Ed. 174 (1887) (quotation
omitted) because each act of mailing a letter from the post office in
furtherance of a fraudulent scheme "is not, as in the case of In re Snow, a
continuous offence, but [instead] consists of a single isolated act, and is
repeated as often as the act is repeated," id. at 374, 8 S.Ct. 142 (citation
omitted). These cases establish the conceptual framework for distinguishing
between statutes that criminalize individual acts and statutes that criminalize a
course of conduct.
23
24
We thus conclude that federal law is clear that "there can be but one penalty"
when a statute criminalizes a course of action rather than an individual act.
Blockburger, 284 U.S. at 302, 52 S.Ct. 180 (quotation omitted); see also United
States v. Mathis, 673 F.2d 289, 293-95 (10th Cir. 1982).
2. Ascertaining the Legislature's Intent
25
The fact that the Supreme Court has clearly established the unconstitutionality
of multiple punishments for a single "course of action" does not by itself
dispose of the present case. We may grant Burleson habeas relief only if we are
convinced that the OCCA's affirmance of his conviction was contrary to, or an
unreasonable application of, Blockburger's mandates a conclusion that itself
depends upon whether Oklahoma's drive-by shooting statute criminalizes a
course of action rather than a discrete act.
26
The Double Jeopardy Clause could not have been offended in Burleson's case if
the Oklahoma legislature intended to allow defendants to be punished multiple
times pursuant to the state's drive-by shooting statute for engaging in a single
shooting event. See Missouri v. Hunter, 459 U.S. 359, 366, 103 S.Ct. 673, 74
L.Ed.2d 535 (1983) ("With respect to cumulative sentences imposed in a single
trial, the Double Jeopardy Clause does no more than prevent the sentencing
court from prescribing greater punishment than the legislature intended."). If
the Oklahoma legislature intended the use of a vehicle for prohibited purposes
to be the criminal conduct proscribed by statute regardless of the number of
potential victims, Burleson could be convicted of only one count of violating
Oklahoma's drive-by shooting statute. In such a circumstance, the OCCA's
affirmance of Burleson's multiple convictions would necessarily have been an
unreasonable application of federal law as established by the Supreme Court in
Blockburger. If, however, the legislature intended to allow for multiple
prosecutions when multiple potential victims are endangered, then Burleson's
convictions did not violate the Double Jeopardy Clause and the OCCA's
affirmance of the convictions would necessarily have been reasonable and
consistent with federal law.
27
P.2d at 1095.
28
Because resolution of the federal double jeopardy issue in the present case is
inextricably intertwined with the proper construction of Oklahoma's statute, the
OCCA's silence as to the reasons for its affirmance of Burleson's conviction
puts us in an unusual position. Pursuant to AEDPA our task is ordinarily
straightforward enough, even where resolution of a federal question depends
upon the resolution of a predicate state-law question: We defer absolutely to
the state court's disposition of the state-law question and proceed to review the
court's application of federal law to ascertain whether or not it was reasonable.
See Schad v. Arizona, 501 U.S. 624, 636, 111 S.Ct. 2491, 115 L.Ed.2d 555
(1991) (opinion of Souter, J., with Rehnquist, C.J., O'Connor and Kennedy, JJ.,
concurring) (noting that federal courts are limited to deciding whether a state's
criminal statute, as construed by the state's courts, violates the Constitution);
see also Johnson v. Fankell, 520 U.S. 911, 916, 117 S.Ct. 1800, 138 L.Ed.2d
108 (1997) ("Neither this Court nor any other federal tribunal has any authority
to place a construction on a state statute different from the one rendered by the
highest court of the State."); Robinson v. California, 370 U.S. 660, 666, 82
S.Ct. 1417, 8 L.Ed.2d 758 (1962) (holding that a state court's construction of
state statutes is "a ruling on a question of state law that is as binding on [federal
courts] as though the precise words had been written into the statute" (quotation
omitted)). Moreover, we have noted that "there is nothing inherently
objectionable in the Oklahoma court's use of summary opinions in unpublished
cases," King v. Champion, 55 F.3d 522, 526 (10th Cir. 1995), and that we will
normally defer to a state court's result even when it is unaccompanied by
supporting reasoning, Aycox v. Lytle, 196 F.3d 1174, 1177 (10th Cir. 1999).
29
30
We are not at liberty to conjecture that the [state] trial court acted under an
interpretation of the state law different from that which we might adopt and
then set up our own interpretation as a basis for declaring that due process has
been denied. We cannot treat a mere error of state law, if one occurred, as a
denial of due process; otherwise, every erroneous decision by a state court on
state law would come here as a federal constitutional question.
31
Gryger v. Burke, 334 U.S. 728, 731, 68 S.Ct. 1256, 92 L.Ed. 1683 (1948). Nor,
given our responsibility to provide the type of meaningful review that AEDPA
requires of us, see Aycox, 196 F.3d at 1178 (noting that when faced with a state
court's summary decision we are still obliged under AEDPA to conduct an
"independent review of the record and pertinent federal law"), will we
unquestioningly presume that the state court adopted a particular saving
construction of its own statute that would ensure its constitutional application in
a given case at least when the state court has subsequently interpreted the
statute in a manner implicating a defendant's constitutional rights.
32
We conclude that the proper course of action in the present case is to certify the
predicate state-law question to the OCCA and stay the proceedings until we
receive an answer. Cf. Stewart v. Smith, 534 U.S. 157, ____, 122 S.Ct. 1143,
151 L.Ed.2d 592 (2001) (per curiam) (certifying a question to state court
because the resolution of the federal issue depended upon the interpretation of a
state rule of law that had not been addressed in the state court's elliptical
holdings in the alternative). Once we learn whether the drive-by shooting
statute had the same meaning under Oklahoma law on May 2, 1997 (when
Burleson's conviction was affirmed) as it did on August 1, 1997 (when the
OCCA issued Locke v. State), we will be able to resolve the double jeopardy
claim that is before us.
IV
33
The clerk of this Court is directed to transmit a copy of this certification order to
counsel for all parties to the proceedings in this Court. The clerk shall also
submit to the Oklahoma Court of Criminal Appeals a certified copy of this
order, together with copies of the briefs filed in this Court, copies of the district
court's judgment, the names and addresses of counsel of record, and either the
original or a copy of the record as filed in this Court by the parties.
34
Notes:
Notes:
*
The Honorable Tom Stagg, District Judge for the Western District of Louisiana,
sitting by designation
Pursuant to Okla. Stat. tit. 20, 1604(3), we acknowledge that the Oklahoma
Court of Criminal Appeals, acting as the receiving court, may reformulate the
question we have certified to it
Burleson's appeal became final on July 31, 1997, ninety days after the OCCA's
denial of his appeal, at the conclusion of the period for filing a petition for a
writ of certiorari to the United States Supreme CourtSee Walker v. State, 933
P.2d 327, 331 n. 7 (Okla.Crim.App. 1997) ("`Final' means a case where the
judgment of conviction was rendered, the availability of appeal exhausted, and
the time for petition of certiorari had elapsed." (quotation omitted)); see also
Caspari v. Bohlen, 510 U.S. 383, 390-91, 114 S.Ct. 948, 127 L.Ed.2d 236
(1994); United States v. Burch, 202 F.3d 1274, 1276, 1279 (10th Cir.2000).
InBenton v. Maryland, the Supreme Court held that the Double Jeopardy
Clause of the Fifth Amendment was incorporated against the states by way of
the Due Process Clause of the Fourteenth Amendment. 395 U.S. 784, 794, 89
S.Ct. 2056, 23 L.Ed.2d 707 (1969).
Burleson does not contend, and we do not consider whether, the state's failure
to applyLocke retroactively to his case was a violation of his federal due
process rights.
offense of engaging in the business of selling the forbidden drugs, but penalizes
any sale." Id. at 302, 52 S.Ct. 180 (emphasis added).