Frederick Coleman v. United States
Citation79 F.4th 822
Date Filed2023-08-15
Docket22-1678
Cited27 times
StatusPublished
Full Opinion (html_with_citations)
In the
United States Court of Appeals
For the Seventh Circuit
____________________
No. 22-1678
FREDERICK J. COLEMAN,
Petitioner-Appellant,
v.
UNITED STATES OF AMERICA,
Respondent-Appellee.
____________________
Appeal from the United States District Court for the
Central District of Illinois.
No. 4:17-cv-4270 ā Sara Darrow, Chief Judge.
____________________
ARGUED FEBRUARY 15, 2023 ā DECIDED AUGUST 15, 2023
____________________
Before EASTERBROOK, WOOD, and LEE, Circuit Judges.
LEE, Circuit Judge. In 2014, Frederick Coleman was sen-
tenced to life imprisonment for conspiring to distribute crack
cocaine. The district judge based the sentence on 21 U.S.C.
§ 841(b)(1)(A), which, at the time, mandated a life sentence for a defendant who previously had committed two or more fel- ony drug oļ¬enses. After we denied his direct appeal, Cole- man ļ¬led a pro se motion under28 U.S.C. § 2255
to vacate his
sentence, arguing that his defense counsel had provided
2 No. 22-1678
ineļ¬ective assistance by not informing him of the potential
life sentence. Later, he ļ¬led a motion to amend his pleading,
expanding on his allegations, but, by that time, the limitations
period had run. After ruling against Coleman on his original
claim, the district court denied the motion to amend, ļ¬nding
that the amendment did not ārelate backā to his initial plead-
ing. Because the district court abused its discretion in reach-
ing that conclusion, we reverse and remand for further pro-
ceedings as to Colemanās amended ineļ¬ective assistance of
counsel claim.
I. BACKGROUND
In 2013, Coleman was convicted of conspiring to distribute
crack cocaine. See 21 U.S.C. §§ 841(a)(1), (b)(1)(A), 846. Pursu- ant to the Controlled Substances Act in eļ¬ect at that time, Coleman was sentenced to the statutorily mandated term of life imprisonment based on having at least two prior convic- tions for a āfelony drug oļ¬ense.āId.
§ 841(b)(1)(A) (2012). 1 We aļ¬rmed his sentence on direct appeal. United States v. Brown,822 F.3d 966, 976
(7th Cir. 2016). Coleman then ļ¬led a timely pro se motion to vacate his sen- tence pursuant to28 U.S.C. § 2255
. Colemanās § 2255 motion asserted, among other things, that his appointed counsel, An- thony Vaupel, was ineļ¬ective for having failed to inform him of the governmentās pretrial21 U.S.C. § 851
Notice of En-
hancement. This notice informed Coleman that, should he be
1 The First Step Act of 2018, enacted after Colemanās sentencing, re-
duced the mandatory minimum sentences from life to 25 yearsā imprison-
ment for a defendant having two or more prior convictions for a āserious
drug felonyā or āserious violent felony.ā Pub. L. 115-391, § 401(a)(2)(A)(ii),132 Stat. 5194
, 5220 (2018). No. 22-1678 3 found guilty at trial, the government would seek to enhance his sentence to life imprisonment based on his prior Illinois cocaine-related convictions, which, it believed, qualiļ¬ed as āfelony drug oļ¬ensesā under21 U.S.C. § 841
(b)(1)(A). Ac-
cording to Coleman, had Vaupel shown him this notice, he
never would have agreed to go to trial.
To inquire into these allegations, the district court ļ¬rst en-
tered an order that Coleman had waived the attorney-client
privilege as to his communications with Vaupel regarding
āthe government ļ¬ling a section 851 notice and [Coleman]ās
potential life sentence.ā It also ordered Vaupel to submit an
aļ¬davit addressing Colemanās claim.
In his aļ¬davit, Vaupel stated that he had informed Cole-
man on more than one occasion that he faced, and would re-
ceive, a mandatory life sentence if found guilty. Vaupel also
attested that he had told Coleman that the mandatory life sen-
tence was due to his prior convictions, and that despite the
governmentās willingness to enter a proļ¬er agreement with
Coleman, it was unwilling to waive the § 851 enhancement.
Before the district court ruled on Colemanās § 2255 mo-
tion, Coleman moved, again pro se, to amend it pursuant to
Federal Rule of Civil Procedure 15(c). His amendment con-
tained more detailed allegations and argued speciļ¬cally that
Vaupel was ineļ¬ective by failing to object to the § 851 notice
on the grounds that, under the categorical approach espoused
in Taylor v. United States, 495 U.S. 575 (1990), Colemanās prior
Illinois cocaine convictions did not qualify as āfelony drug of-
fensesā under § 841(b)(1)(A) given that Illinois deļ¬ned āco-
caineā more broadly than federal law.
4 No. 22-1678
The district court denied Colemanās initial § 2255 motion,
as well as his motion to amend. Without reaching the merits
of the amended claim, the court determined that Colemanās
motion to amend did not relate back to his initial pleading be-
cause āthe claims rest[ed] on distinct types of attorney misfea-
sance and [we]re supported by diļ¬erent facts.ā Coleman v.
United States, No. 4:17-cv-04270-SLD-JEH, 2022 WL 673702, at *8 (C.D. Ill. Mar. 7, 2022). And because Colemanās motion to amend was ļ¬led more than a year after his conviction became ļ¬nal, the district court found it untimely.Id. at *9
; see28 U.S.C. § 2255
(f)(1) (providing a one-year statute of limitations for collateral review). Then, ļ¬nding that reasonable jurists may disagree on this point, the district court granted Coleman a certiļ¬cate of appealability on his claim. 2Id.
Coleman ap-
pealed, and we recruited counsel. 3
II. DISCUSSION
Section 2255 provides a federal prisoner with the means to
collaterally attack the propriety of his sentence. Relief under
this statute is an āextraordinary remedy,ā and therefore only
available in limited circumstances. Almonacid v. United States,
476 F.3d 518, 521 (7th Cir. 2007). One such circumstance is
where defense counselās representation is so ineļ¬ective that it
2 Colemanās § 2255 motion alleged Vaupel was constitutionally inef-
fective in three other ways. The district court denied relief, as well as a
certificate of appealability, on each of those grounds. See Coleman,
2022 WL 673702, at *5ā*7, *9. Our review is therefore limited to Colemanās
claim relating to Vaupelās treatment of the governmentās § 851 notice.
3 We thank Colemanās counsel, Marc Krickbaum, as well as his col-
league Katherine Stallings Bailey of Winston & Strawn LLP, for their ad-
vocacy on Colemanās behalf.
No. 22-1678 5
violates the defendantās Sixth Amendment rights. U.S. Const.
amend. VI; Strickland v. Washington, 466 U.S. 668, 686(1984). Coleman argues that his appointed counsel was constitution- ally ineļ¬ective by failing to object to the § 851 notice. As he sees it, his attorney should have argued that Colemanās prior convictions did not qualify as āfelony drug oļ¬ensesā that could be used to enhance his sentence to life imprisonment under § 841. See generally United States v. Ruth,966 F.3d 642
(7th Cir. 2020). 4
Before we can reach the merits of Colemanās ineļ¬ective as-
sistance of counsel claim, however, we must resolve two pre-
liminary questions. First, we must determine whether appel-
late review of a district courtās disposition of a pleading
amendment under the ārelation-backā provision of Federal
Rule of Civil Procedure 15(c) is de novo or for an abuse of dis-
cretion. We must then apply that standard to determine the
propriety of the district courtās conclusion that Colemanās
amendment did not relate back to the ļ¬ling of his original mo-
tion.
A. Standard of Review
When a party seeks to amend its pleading, district courts
āshould freely give leave when justice so requires.ā Fed. R.
Civ. P. 15(a)(2). āThe Supreme Court has interpreted this rule
to require a district court to allow amendment unless there is
a good reasonāfutility, undue delay, undue prejudice, or bad
4 Colemanās amended motion was filed prior to our holding in Ruth
that an Illinois conviction for possession with intent to distribute cocaine
was not a āfelony drug offenseā under the federal sentencing laws because
Illinoisās definition of ācocaineā was broader than the federal definition.
966 F.3d at 650.
6 No. 22-1678
faithāfor denying leave to amend.ā Life Plans, Inc. v. Sec. Life
of Denver Ins. Co., 800 F.3d 343, 357ā58 (7th Cir. 2015) (citing Foman v. Davis,371 U.S. 178, 182
(1962)). This āliberal stand- ard,ā id. at 357, is limited, however, by any applicable statute of limitations. See Mayle v. Felix,545 U.S. 644, 655
(2005).
Where a party seeks to amend a pleading after the statute
of limitations has run, he must turn to the relation-back pro-
vision of Rule 15(c), which allows such amendment if it āas-
serts a claim or defense that arose out of the conduct, transac-
tion, or occurrence set outāor attempted to be set outāin the
original pleading.ā Fed. R. Civ. P. 15(c)(1)(B).
It is well-settled that review of a district courtās disposition
of a motion to amend under Rule 15(a) is for an abuse of dis-
cretion. 5 See, e.g., Foman, 371 U.S. at 182(āOf course, the grant or denial of an opportunity to amend [under Rule 15(a)] is within the discretion of the District Court[.]ā); Runnion ex rel. Runnion v. Girl Scouts of Greater Chi. & Nw. Ind.,786 F.3d 510, 524
(7th Cir. 2015) (applying deferential review but noting that, where a district courtās denial is futility-based, our re- view āincludes de novo review of the legal basis for the futil- ityā). But we have been less clear on the appropriate standard of review when a district court decides whether a proposed amendment ārelates backā to a pleading under Rule 15(c). In- deed, over six years ago, we made a mental note to āclarify the correct standard in a future case when the matter is properly before the court.ā Mulvania v. Sheriļ¬ of Rock Island Cnty., No. 16-1711,2017 WL 2726577
, at *2 (7th Cir. May 16,
5 The same is true for amendments made under Rule 15(b), which
governs amendments during and after trial. See Aldridge v. Forest River,
Inc., 635 F.3d 870, 875(7th Cir. 2011). No. 22-1678 7 2017) (denying petition for rehearing en banc). Compare Arre- ola v. Godinez,546 F.3d 788, 796
(7th Cir. 2008) (applying abuse of discretion review), OāBrien v. Ind. Depāt of Corr. ex rel. Turner,495 F.3d 505, 507
(7th Cir. 2007) (same), and Bibbs v. Sheriļ¬ of Cook Cnty.,618 F. Appāx 847, 851
(7th Cir. 2015) (same), with Delgado-Brunet v. Clark,93 F.3d 339, 342
(7th Cir.
1996) (applying de novo review). 6 With this issue squarely be-
fore us, we make clear that a district courtās disposition of a
motion to amend a pleading that turns on the ārelation-backā
provision of Rule 15(c) is reviewed for an abuse of discretion.
As an initial matter, the fact that this issue comes to us via
a § 2255 proceeding is of no consequence. Habeas corpus
cases under § 2255 are civil cases generally governed by the
Federal Rules of Civil Procedure. Conley v. United States,
5 F.4th 781, 794 (7th Cir. 2021) (citing Banister v. Davis,140 S. Ct. 1698, 1705
(2020)); see Beason v. Marske,926 F.3d 932, 938
(7th Cir. 2019) (discussing application of Rule 15ās
6 We also observe a split of authority in our sister circuits on this ques-
tion. Compare United States v. Ciampi, 419 F.3d 20, 23(1st Cir. 2005) (apply- ing abuse of discretion review in § 2255 context), United States v. Pittman,209 F.3d 314, 316
(4th Cir. 2000) (same), Mandacina v. United States,328 F.3d 995, 1000
(8th Cir. 2003) (same), Davenport v. United States,217 F.3d 1341
, 1343 n.4 (11th Cir. 2000) (same), with Slayton v. Am. Exp. Co.,460 F.3d 215
, 227ā28 (2d Cir. 2006) (applying de novo review), United States v. Santarelli,929 F.3d 95, 100
(3d Cir. 2019) (same in § 2255 context), Durand v. Hanover Ins. Grp., Inc.,806 F.3d 367, 374
(6th Cir. 2015) (applying de novo review), United States v. Marulanda,226 F. Appāx 709, 710
(9th Cir. 2007) (same in § 2255 context), United States v. Roe,913 F.3d 1285, 1298
(10th Cir. 2019) (same), and Anza Tech., Inc. v. Mushkin, Inc.,934 F.3d 1359, 1367
(Fed. Cir. 2019) (applying de novo review). The Fifth Circuit declined to resolve this issue in the § 2255 context in United States v. Alaniz,5 F.4th 632
(5th Cir. 2021), but noted that ā[its] cases tend to apply the abuse of discretion standard.āId.
at 635 n.2. 8 No. 22-1678 relation-back provision to a § 2255 motion); Fed. R. Civ. P. 81(a)(4). See generally Mayle,545 U.S. at 655
(applying Rule
15(c) to § 2244 habeas corpus proceedings). Accordingly, our
holding today applies generally to the relation-back provision
of Rule 15(c); it is not limited to habeas proceedings.
Determining whether a proposed amendment asserts a
claim arising from the same conduct, transaction, or occur-
rence involves more than a facial comparison of the original
and amended pleadings. In making this assessment, district
courts also must consider whether, under the particular cir-
cumstances of the litigation, the opposing party has been put
on notice as to the claim raised in the proposed amendment.
See Supreme Auto Transp., LLC v. Arcelor Mittal USA, Inc.,
902 F.3d 735, 741(7th Cir. 2018) (āThe central inquiry under Rule 15(c) is whether the original complaint āgave the defend- ant enough notice of the nature and scope of the plaintiļ¬ās claim that he shouldnāt have been surprised by the ampliļ¬ca- tion of the allegations of the original complaint in the amended one.āā) (quoting Santamarina v. Sears, Roebuck & Co.,466 F.3d 570, 573
(7th Cir. 2006)); see also Krupski v. Costa Cro- ciere S. p. A.,560 U.S. 538, 550
(2010) (explaining that the pur- pose of relation back is āto balance the interests of the defend- ant protected by the statute of limitations with the preference expressed in the Federal Rules of Civil Procedure in general, and Rule 15 in particular, for resolving disputes on their mer- itsā). In some cases, it may be clear from the face of the proposed amendment that the original pleading put the defendant on notice of a later-added claim. See, e.g., Tiller v. Atl. Coast Line R.R. Co.,323 U.S. 574, 581
(1945) (ļ¬nding that a new legal the-
ory related back where defendant was on notice āfrom the
No. 22-1678 9
beginning that [plaintiļ¬] was trying to enforce a claim against
itā based on the same facts alleged in the complaint). In oth-
ers, it may be clear from the face of the proposed amendment
that the opposing party was not on notice of such a claim. See,
e.g., Mayle, 545 U.S. at 648ā49 (no relation back where peti-
tioner initially claimed that admission of videotaped testi-
mony from a prosecution witness violated the Sixth Amend-
mentās Confrontation Clause, but his amended claim asserted
that the admission of his own pretrial testimony violated the
Fifth Amendment right against self-incrimination).
But there will be those cases in the middle, where the dis-
trict courtās familiarity with and proximity to the parties and
proceedings will help it decide whether a defendant would
(or reasonably should) be āsurprised by the ampliļ¬cationā of
the plaintiļ¬ās originally asserted claims. Supreme Auto,
902 F.3d at 741. Such decisions involving questions that āim- merse courts in case-speciļ¬c factual issuesā we typically re- view under the abuse-of-discretion standard. U.S. Bank Natāl Assān ex rel. CWCapital Asset Mgmt. LLC v. Vill. at Lakeridge, LLC,138 S. Ct. 960, 967
(2018).
We ļ¬nd our analysis in Supreme Auto instructive. There,
the district court determined that the plaintiļ¬sā amended
claims did not relate back to the initial complaint because the
transactions at issue āwere wholly distinctā from those of the
amended complaint. 902 F.3d at 741. We agreed. But we based our conclusion on more than a facial comparison of the two pleadings; we also looked to the partiesā representations of the scope of the dispute throughout the course of litigation.Id.
at 741ā42. Viewing the dispute through this lens, we con- cluded that at no time prior to the plaintiļ¬sā proposed amend- ment could the defendant have reasonably expected to defend 10 No. 22-1678 against the āwholly distinctā newly alleged conduct. Seeid.
(āWhatās more, Supreme Auto gave no indication during the ļ¬rst seven years of litigation that its suit included any more products other than [those alleged in the initial complaint].ā). Although we did not clarify in Supreme Auto the standard un- der which we reviewed the district courtās decision, when re- viewing mixed questions of fact and law, the standard turns on āwhich ājudicial actor is better positionedā to make the de- cision.ā U.S. Bank,138 S. Ct. at 967
(quoting Miller v. Fenton,474 U.S. 104, 114
(1985)). Because the district court in Supreme
Auto had been steeped in the circumstances of that case for ten
years before it reached us, we had no doubt the district court
was better positioned to determine whether the defendant
was or should have been on notice of the plaintiļ¬sā amended
claims.
In sum, because the application of Rule 15(c)ās ārelation-
backā provision requires a district court to consider whether
a nonmoving party would have been on notice of the moving
partyās amended claims based on all the relevant circum-
stances of a particular case, our review of a district courtās ap-
plication of that rule is for an abuse of discretion. 7
7 We are not persuaded by Colemanās reliance on Krupski to argue that
the āmandatory natureā of the Rule 15(c) inquiry signals de novo review.
560 U.S. at 553. Krupski merely holds that, once a district court finds that all the requirements of Rule 15(c) are satisfied, the district court has no discretion to deny the amendment. Seeid.
It does not hold, as Coleman
suggests, that the district court lacks discretion to determine whether
those requirements are satisfied in the first place.
No. 22-1678 11
B. Relation Back
Even under the deferential standard we have settled on to-
day, it is not diļ¬cult for us to conclude that, in this case, the
district court abused its discretion in denying Colemanās mo-
tion to amend.
As already noted, āamendments relate back to the date of
the original pleading when the claim asserted in the amended
plea āarose out of the conduct, transaction, or occurrence set
forth or attempted to be set forth in the original pleading.āā
Mayle, 545 U.S. at 656(quoting Fed. R. Civ. P. 15(c)(2)). Even where an amendment āinvoke[s] a legal theory not suggested by the original complaint and relie[s] on facts not originally asserted,ā relation back is in order ā[s]o long as the original and amended petitions state claims that are tied to a common core of operative facts.āId. at 659, 664
. Indeed, ā[e]ven āsignif- icantā changes to a complaint ⦠can relate back so long as the defendant had fair notice of the substance of the new allega- tions from the outset.ā Supreme Auto,902 F.3d at 741
.
Construing Colemanās original pro se § 2255 petition liber-
ally, as we must, see Erickson v. Pardus, 551 U.S. 89, 94 (2007),
we conclude that the government was reasonably on notice of
the claims contained within Colemanās amended petition.
Those claims are substantively similar in time and type to
those asserted in his original motion: his attorneyās failure to
provide legal advice as to the contents and impact of the § 851
notice.
Colemanās original § 2255 motion advanced an ineļ¬ective
assistance of counsel claim based on his attorneyās failure to
āinformā him of the governmentās § 851 notice that the gov-
ernment would use Colemanās prior convictions to enhance
12 No. 22-1678
his sentence to life imprisonment if he lost at trial. His
amended petition sought to expand on this claim to allege
that his attorney failed to adequately āresearch, investigate,
or informā Coleman whether those prior convictions could be
used to support a sentencing enhancement under § 851 at all.
Comparing these two claims, the district court acknowledged
that, ābroadly speaking,ā both the original and amended
claims challenged his attorneyās conduct as to the § 851 notice.
Coleman, 2022 WL 673702, at *8. Nevertheless, the district court concluded that the two claims were āsupported by dif- ferent facts,ā and therefore the amendment did not relate back.Id.
In the district courtās view, ā[w]hile the original pe-
tition contained a claim centered on an alleged failure to in-
form Coleman of the § 851 notice prior to Colemanās decision
to go to trial, the new claims center on substantive failures of
counsel throughout case preparation, client counseling, plea
negotiations, and at sentencing.ā Id.
This is too crabbed a view of Colemanās claims, particu-
larly given his pro se status at the time. The fact that an
amended claim may involve some diļ¬erent facts than those
originally alleged does not necessarily mean that that claim is
not tied to the original claim via a ācommon core of operative
facts.ā Mayle, 545 U.S. at 664(emphasis added). Colemanās success on either of his theories would require the district court to inquire into his attorneyās treatment of the § 851 no- tice and the adequacy of advice he provided to Coleman as to the impact the notice may have had on the case. This com- monality is enough to unite the claims. We also fail to see how the government could have reason- ably been surprised by Colemanās amended claim. The gov- ernment no doubt encounters countless pro se ļ¬lings such as No. 22-1678 13 this and knows that they must be construed liberally. Cole- manās allegations that his attorney had inadequately coun- seled him regarding the § 851 notice and the convictions listed therein were enough to put the government on notice that Coleman might challenge the use of those convictions for the enhancement. Furthermore, the district court alerted the par- ties that, by ļ¬ling his original motion, Coleman had waived the attorney-client privilege as to āany and all communications between [Coleman] and Mr. Vaupel relating to ⦠the govern- ment ļ¬ling a section 851 notice and [Coleman]ās potential life sentence.ā Text Order of 1/5/18 (emphasis added). This order was suļ¬ciently broad to uncover the facts underlying Cole- manās amended claims. Accordingly, on balance, any preju- dice the government may suļ¬er by allowing the amended complaint to relate back to the original ļ¬ling is outweighed by āthe preference expressed in the Federal Rules of Civil Pro- cedure in general, and Rule 15 in particular, for resolving dis- putes on their merits.ā Krupski,560 U.S. at 550
.
We therefore ļ¬nd that the district court abused its discre-
tion in determining that Colemanās amended § 2255 pleading
did not relate back to his original motion. Finding that Cole-
manās amendment was timely under the provisions of Rule
15(c), we turn to the merits of his ineļ¬ective assistance of
counsel claim.
C. Ineffective Assistance of Counsel
Under Strickland, Coleman is not entitled to collateral re-
lief on his claim unless he can establish that (1) his attorneyās
āperformance was deļ¬cientā and (2) āthe deļ¬cient perfor-
mance prejudiced the defense.ā 466 U.S. at 687.
14 No. 22-1678
1. Performance
We begin by considering whether defense counselās fail-
ure to challenge the use of Colemanās prior Illinois cocaine
convictions in the § 851 notice to enhance Colemanās sentence
was constitutionally deļ¬cient. As we have noted elsewhere,
ā[s]uch an argument, novel then, would succeed today.ā Har-
ris v. United States, 13 F.4th 623, 625 (7th Cir. 2021); see Ruth, 966 F.3d at 650 (applying the categorical approach established in Taylor and holding that Illinois cocaine convictions are not āfelony drug oļ¬ensesā that can be used to enhance a sentence under § 841(b)(1)(C)). But, to succeed on this ļ¬rst prong, Cole- man must show that his counselās performance āfell below an objective standard of reasonableness.ā Strickland,466 U.S. at 688
.
We have long recognized the general principle that ā[t]he
Sixth Amendment does not require counsel to forecast
changes or advances in the law.ā Lilly v. Gilmore, 988 F.2d 783,
786(7th Cir. 1993); Strickland,466 U.S. at 689
. āRather, the rea- sonableness of counselās performance must be assessed āin the context of the lawā at the time.ā Harris, 13 F.4th at 629 (quoting Lilly,988 F.2d at 786
). Nevertheless, āthere are some circum- stances where [defense counsel] may be obliged to make, or at least to evaluate, an argument that is suļ¬ciently foreshad- owed in existing case law.ā Bridges v. United States,991 F.3d 793
, 804 (7th Cir. 2021) (citations omitted).
In Harris, we determined that defense counsel should have
known about a possible categorical challenge to the use of Il-
linois cocaine convictions as predicate oļ¬ensesāthe same
that succeeded in Ruthāat least as early as 2017. 13 F.4th at
629 (āBy 2017, ⦠the categorical approach was well-estab-
lished.ā) (citing Bridges, 991 F.3d at 803). And the groundwork
No. 22-1678 15
for such an argument was, at the very least, foreshadowed by
numerous decisions issued before 2014 (the year Coleman
was sentenced) that applied the categorical approach to pred-
icate oļ¬enses in other contexts. See, e.g., Descamps v. United
States, 570 U.S. 254, 264ā65 (2013) (concluding that a Califor- nia burglary conviction could not serve as a predicate oļ¬ense under the Armed Career Criminal Act (āACCAā) because the state statute was broader than generic burglary); United States v. Tucker,703 F.3d 205, 209
(3d Cir. 2012) (applying categorical approach of Taylor to determine if prior convictions qualify as āserious drug oļ¬ensesā under ACCA); United States v. Bynum,669 F.3d 880, 885
(8th Cir. 2012) (same); Ruiz-Vidal v. Gonzales,473 F.3d 1072, 1078
(9th Cir. 2007), abrogated on other grounds by Kwong v. Holder,671 F.3d 872
(9th Cir. 2011) (holding that Californiaās deļ¬nition of ācontrolled substanceā was broader than the federal deļ¬nition because California āpunishe[d] the possession of optical and geometrical isomersā of metham- phetamine while federal law āpunishe[d] the possession of optical isomers aloneā); Samas v. United States, No. 3:10-CV- 422 (JCH),2011 WL 221866
, at *4 (D. Conn. Jan. 20, 2011) (con- cluding that § 2255 petitionerās state conviction was not a āfel- ony drug oļ¬enseā because two analogs of fentanyl criminal- ized in the Connecticut narcotics statute were not ānarcotic drug[s]ā as deļ¬ned by federal law). These cases demonstrate that, although the categorical approach had not yet been ap- plied to prior convictions like Colemanās by 2014, the frame- work for making such a challenge had been established. What is more, in White v. United States,8 F.4th 547
, 557 (7th
Cir. 2021), we determined (albeit under diļ¬erent
16 No. 22-1678
circumstances) 8 that āa challenge to cocaine delivery predi-
cate oļ¬enses was neither novel ⦠nor foreclosedā in as early
as 2013. And we recognized that the ābasis and authorityā for
Ruth had been established as early as 1990, when āthe Su-
preme Court ļ¬rst laid out the categorical approach in [Taylor]
and when the relevant portions of the Illinois and federal drug
statutes had taken their current form.ā White, 8 F.4th at 556.
Given that there was no adverse precedent foreclosing the vi-
ability of such a challenge in 2013, we held that the petitioner
had procedurally defaulted his argument by failing to timely
raise it in his direct appeal. See id. Similarly, here, we are un-
persuaded by the governmentās argument that application of
the categorical approach to cocaine isomers was too novel in
2014 to have been recognized by competent defense counsel.
As we have ārepeatedlyā made clear, ācomparing statutory
deļ¬nitions is part of competent representation,ā and applica-
tion of the categorical approach to drug isomers is ānot com-
plex.ā Harris, 13 F.4th at 630. 9
Accordingly, we hold that it would have been objectively
unreasonable for Colemanās defense counsel to have not even
considered a categorical challenge to the governmentās reliance
on prior Illinois cocaine convictions to enhance Colemanās
sentence. This is particularly true given that an enhanced sen-
tence here would have resulted in a mandatory life sentence.
8 White concerned a collateral challenge to the constitutionality of the
petitionerās sentence. See id. at 551. It did not address whether defense
counsel was constitutionally ineffective for failing to raise such a chal-
lenge.
9 Indeed, in Harris, āthe government admit[ted that] counsel only had
to compare the plain language of the statutesā to determine if the predi-
cate Indiana cocaine offenses were āfelony drug offenses.ā 13 F.4th at 630.
No. 22-1678 17
Of course, if counsel did consider the argument but had cred-
ible strategic reasons for not raising it, that would be a diļ¬er-
ent question. See id. at 631. But because the claim alleged in
Colemanās amended § 2255 motion, if proven, would entitle
him to relief, we ļ¬nd that an evidentiary hearing on this issue
is necessary. See Kafo v. United States, 467 F.3d 1063, 1067 (7th
Cir. 2006). On remand, the district court should determine
whether Vaupel considered the possibility of a categorical
challenge to Colemanās predicate oļ¬enses. And, if he did con-
sider it, what reasons he had for not raising it.
2. Prejudice
To succeed on his claim, Coleman also must establish that
he was prejudiced by defense counselās purportedly deļ¬cient
performance. ā[P]rejudice occurs when there is a āreasonable
probabilityā that āthe end result of the criminal process would
have been ⦠a sentence of less prison time.āā Harris, 13 F.4th
at 629 (quoting Missouri v. Frye, 566 U.S. 134, 147 (2012)). Cole-
man has met his burden.
We have held that, in cases where a court relies on an in-
correctly calculated Guidelines range to sentence a defendant,
a reasonable probability of prejudice is presumed absent un-
usual circumstances. Bridges, 991 F.3d at 808ā09 (citing Mo-
lina-Martinez v. United States, 578 U.S. 189, 200ā01 (2016)); see United States v. Wylie,991 F.3d 861
, 864 (7th Cir. 2021) (same); see also United States v. Coby,65 F.4th 707
, 713ā14 (4th Cir.
2023) (same). This principle comes from Molina-Martinez,
where the Supreme Court observed that āa defendant who
has shown that the district court mistakenly deemed applica-
ble an incorrect, higher Guidelines range has demonstrated a
reasonable probability of a diļ¬erent outcome.ā 578 U.S. at
200. But the Court was cautious, observing that ā[t]here may
18 No. 22-1678
be instances when, despite [the error], a reasonable probabil-
ity of prejudice does not exist,ā such as when the record
shows that the district court would have given the same sen-
tence in any event. 578 U.S. at 200. Only in these āunusual cir-
cumstances,ā the Court held, was the defendant ārequired to
show moreā to meet his burden. Id. at 201. We see no reason
why a courtās purportedly erroneous application of a statuto-
rily mandated minimum sentence, where it is stripped of all
sentencing discretion, should be treated diļ¬erently.
The allegations of prejudice in Colemanās § 2255 petition,
which went unchallenged both in the district court and on ap-
peal, are suļ¬cient to support application of the presumption
here. 10 As Coleman observes, absent the district courtās appli-
cation of the § 851 enhancement, he would not have been sub-
ject to a mandatory life sentence and the district court would
have had discretion to sentence him after full and fair consid-
eration of the sentencing factors of 18 U.S.C. § 3553(a). To be
sure, as Coleman acknowledges, at the sentencing hearing,
the district court noted that, even if it had the discretion to
impose a lower sentence, it would have āseriously con-
sider[ed]ā imposing life imprisonment. But therein lies the
rubāthe district court had no discretion whatsoever. Even if
it would have considered a life sentence (in the counterfactual
scenario), the record falls short of indicating that this is what
the court actually would have done. Given the signiļ¬cant
stakes of such a sentence, combined with the district courtās
lack of sentencing discretion, we are comfortable concluding
10 Indeed, the entirety of the governmentās position, here and below,
was that the argument was too novel in 2014 to succeedāan argument we
have already rejected. A bald speculation that an argument would have
been unsuccessful does not preclude a finding of prejudice.
No. 22-1678 19
that Coleman suļ¬ciently alleged that he was prejudiced by
his counselās purportedly deļ¬cient performance.
III. CONCLUSION
For these reasons, we REVERSE the district courtās deter-
mination that Colemanās amended § 2255 motion did not re-
late back to the original motion and REMAND the case to the
district court to hold an evidentiary hearing consistent with
this opinion.
20 No. 22-1678
EASTERBROOK, Circuit Judge, dissenting. I agree with my
colleagues about the standard of appellate review and with
their conclusion that the district court should have enter-
tained the petition as amended. But I do not think that a re-
mand is necessary.
Coleman was sentenced in 2014, long before United States
v. Ruth, 966 F.3d 642(7th Cir. 2020), held that the way Illinois law defines ācocaineā means that cocaine convictions in Illi- nois do not count toward federal recidivist sentencing. (Illi- nois defines as cocaine the products of coca leaves, including optical, positional, and geometric isomers; federal law men- tions only optical and geometric isomers.) Not until 2018 did any court of appeals reach the conclusion that Ruth adopted in 2020. See Lorenzo v. Sessions,902 F.3d 930
, 935ā36 (9th Cir. 2018). As of 2014 neither any court of appeals nor any federal district court had held that a state-law reference to positional isomers disqualifies a cocaine conviction for federal purposes. The tools that led to Ruth existedāthe ācategorical approachā of Taylor v. United States,495 U.S. 575
(1990), and its succes-
sors, plus the texts of the state and federal statutesābut tools
exist to make thousands of legal inquiries and arguments.
Most inquiries come up dry, and most novel arguments flop.
Thatās why lawyers usually limit their research to lines that
have support in judicial decisions. In 2014 an argument about
positional isomers had none.
Ruthās novelty is a reason why we held it non-retroactive.
See White v. United States, 8 F.4th 547, 556ā57 (7th Cir. 2021). And in Harris v. United States,13 F.4th 623
(7th Cir. 2021), we
rejected an effort to make Ruth retroactive indirectly, by treat-
ing as ineffective assistance a lawyerās failure to make a Ruth-
like argument before Ruth was issued. Harris observes that
No. 22-1678 21
counsel are not expected to be prescient and that legal work
should not be condemned with the benefit of hindsight.
Yet that is exactly what my colleagues do today. They ob-
serve (as Ruth, White, and Harris all state) that the tools to
make a Ruth-like argument existed in 2014 and hold that
counsel therefore should have at least done the research to
find the ingredients of such an argument and contemplated
the possibility of advancing it. This is hard to reconcile with
Harris and harder to reconcile with the principles established
in Strickland v. Washington, 466 U.S. 668 (1984), the genesis of
modern ineffective-assistance law.
āThe proper measure of attorney performance remains
simply reasonableness under prevailing professional norms.ā
Strickland, 466 U.S. at 688. Did āprofessional normsā in 2014
require lawyers to investigate a potential legal argument with
zero support in decided cases? I donāt think so. Attorneys rep-
resenting criminal defendants have dozens of potentially im-
portant tasks, and like physicians they must engage in triage.
The important issues, those with the largest potential returns,
must be seen toāand then counsel must move to the defense
of other clients. In determining what is most likely to be pro-
ductive, a reasonable attorney uses as cues what has been pro-
ductive. The number of potential lines of investigation and ar-
gument that have never succeeded in any court is large, as is
the cost of investigating all of them, but the anticipated return
is small. Sometimes a novel argument will prevailāthatās
what happened in Ruthābut only with the aid of hindsight
can a court say that it was so likely to prevail that any reason-
able lawyer would have pursued it.
Judicial scrutiny of counselās performance must
be highly deferential. It is all too tempting for a
22 No. 22-1678
defendant to second-guess counselās assistance
after conviction or adverse sentence, and it is all
too easy for a court, examining counselās de-
fense after it has proved unsuccessful, to con-
clude that a particular act or omission of counsel
was unreasonable. A fair assessment of attorney
performance requires that every effort be made
to eliminate the distorting effects of hindsight,
to reconstruct the circumstances of counselās
challenged conduct, and to evaluate the conduct
from counselās perspective at the time.
Strickland, 466 U.S. at 689 (internal citation omitted). Only
through hindsight could a court say that, in 2014, every rea-
sonable lawyer would have investigated the possibility that a
state lawās unusual reference to positional isomers of cocaine
would eliminate the use of a cocaine conviction in a federal
recidivist prosecution.
One may be tempted to reply that Taylor itself is support
for the sort of argument that prevailed in Ruth. In a general
sense, thatās true. But only in a general sense. If we define sup-
port at a high level of generality, then every lawyer must in-
vestigate every argument, for every argument has āsupportā
in a general sense. Taylor is the basis of hundreds if not thou-
sands of arguments that one or another state law is a mis-
match for one or another federal statute. (Just look at the num-
ber of decisions that the Supreme Court and the courts of ap-
peals have rendered since 1990 applying the ācategoricalā
and āmodified categoricalā approaches. A search by com-
puter turns up 197 for the Seventh Circuit alone, and that
search was limited to decisions that cite Taylor rather than one
of its successors.) What a lawyer needs to know is whether a
No. 22-1678 23
particular ācategoricalā argument has reasonable prospectsā
and in 2014 competent lawyers would not have rated the po-
sitional-isomer argument high on that list.
This discussion of āsupportā is parallel to the question
whether a particular legal rule has been clearly established.
The Justices say often that, to overcome qualified immunity,
the rule must be established concretely, as applied to a situa-
tion, rather than at a high level of generality. See, e.g., White
v. Pauly, 580 U.S. 73(2017); Mullenix v. Luna,577 U.S. 7
(2015).
The same proposition holds for the law of ineffective assis-
tance. Taylor supplies support at a high level of generality for
many inquiries into whether a state law is a match for a par-
ticular federal law, but it takes a decision such as Ruth to ap-
ply this principle so concretely that all reasonable lawyers
must try to take advantage.
What fraction of criminal defense lawyers in 2014 investi-
gated the possibility that a state statuteās mention of posi-
tional isomers would prevent use of a state conviction in re-
cidivist sentencing? Iāll hazard a guess that less than 1% did
so (for if even 1% made such an argument, starting soon after
Taylor, the holding of Ruth would have come decades earlier).
Can it really be that 99% of all criminal defense lawyers are in
the bottom 10% of the profession? If āprevailing professional
normsā govern, then a lawyer who does or omits what almost
every other lawyer at the time does or omits satisfies the con-
stitutional standard. Thatās what Strickland tells us. Only the
distorting effect of hindsight could lead to a contrary conclu-
sion.