CLAY, Circuit Judge.
Defendant Ernest Wayne Grubbs appeals from the district court's order denying his motion pursuant to 28 U.S.C. § 2513 for a certificate of innocence on the charge of being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g)(1). For the reasons set forth below, we
Grubbs' petition for a certificate of innocence relates to his 2003 conviction for possession of a certain nine-millimeter handgun, overturned by this court for lack of sufficient evidence in United States v. Grubbs, 506 F.3d 434 (6th Cir.2007) ("Grubbs I"). In October 2001, Kentucky State Police officers executed a search warrant at the home of Defendant's mother
Defendant pleaded guilty to three counts related to the stolen vehicle allegations and went to trial on two firearms charges and one count of possessing ammunition as
506 F.3d at 437-38 (record citations omitted).
We held that this evidence was insufficient to prove beyond a reasonable doubt that Defendant possessed the nine-millimeter gun. While the jury could choose not to credit testimony that Paul owned the nine millimeter, the government "still [had] the burden to come forward with evidence connecting [Defendant] with the firearm." Id. at 440. We concluded that Edward Jones' testimony about his altercation with Defendant did not provide "the substantial evidence we need to uphold a conviction for constructive possession." Id. at 441. Jones was only able to describe the gun as "dark-colored" and "automatic." Id. As this Court concluded, "these attributes are too common to support a conviction for constructive possession." Id. at 441. Additionally, this Court found insufficient temporal proximity between the altercation with Jones and the discovery of the handgun during the search, calculating that, if viewed in the light most favorable to the government, Jones' testimony allows an inference that Defendant had threatened him with a gun ten days prior to the search — though the incident may have occurred as much as a month earlier. Id. at 442-43. We observed that ten days was "far more time" than had elapsed in United States v. Arnold, 486 F.3d 177 (6th Cir.2007), a case where the evidence was held sufficient to support a conviction based in part on testimony that the defendant threatened the victim with a gun minutes before officers found the weapon in close proximity to the defendant. Grubbs I, 506 F.3d at 442. Thus, while "[a]t best" Edward Jones' testimony could support a conclusion "that Grubbs possessed a black, semiautomatic firearm at some point before the arrest," his testimony was insufficient to establish beyond a reasonable doubt that Defendant possessed the particular firearm found in the search and charged in the indictment. Id. at 441.
The case was remanded for entry of a judgment of acquittal on the firearm count as well as resentencing on the stolen vehicle charges under United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005). Id. at 444. In January 2008, Defendant was resentenced on the stolen auto charges and released. (R. 124, Amended Judgment, J.A. at 310-15.)
The present appeal arises from Defendant's October 17, 2013, motion for a certificate of innocence on the handgun charge pursuant to 28 U.S.C. § 2513. The district court denied the motion on the grounds that the preponderance of the evidence introduced at trial established that Defendant did commit the crime of possessing the nine-millimeter gun as a felon. This appeal followed.
A person wrongly convicted of a federal crime may seek compensation in the Court of Federal Claims for the years that person spent wrongly incarcerated, provided that the person first obtains a certificate of innocence. 28 U.S.C. §§ 1495 and 2513 (2012). The statute is "a remedial act designed by a fair-minded government as a means of at least partially
Applying the plain language of the statute and guidance from the admittedly scant case law to the present case, we conclude that the district court did not abuse its discretion in denying Grubbs a certificate of innocence. Although the evidence tying Defendant to the nine-millimeter handgun fell short of supporting a criminal conviction, in a civil action such as this the district court could credit Jones' testimony as evidence that Defendant did possess the handgun subsequently recovered from his mother's house.
Appellate courts review a district court's decision to grant or deny a certificate of innocence for abuse of discretion. United States v. Graham, 608 F.3d 164, 172 (4th Cir.2010); Diamen v. U.S., 604 F.3d 653, 655-56 (D.C.Cir.2010); United States v. Racing Servs., Inc., 580 F.3d 710, 713 (8th Cir.2009); Betts v. United States, 10 F.3d 1278, 1283 (7th Cir.1993). "An abuse of discretion exists when the district court applies the wrong legal standard, misapplies the correct legal standard, or relies on clearly erroneous findings of fact." Geier v. Sundquist, 372 F.3d 784, 789-90 (6th Cir.2004) (internal quotation omitted); see also Graham, 608 F.3d at 178 (4th Cir.2010) (Gregory, J., dissenting) ("[T]he district court's failure to correctly apply [28 U.S.C. § 2513] is an error of law, which is necessarily an abuse of discretion.").
Under an abuse of discretion review, conclusions of law are reviewed de novo. Howe v. City of Akron, 723 F.3d 651, 658 (6th Cir.2013). See also Diamen, 604 F.3d at 655-56 (reviewing de novo a legal question in interpreting 28 U.S.C. § 2513). A factual finding, on the other hand, "will be deemed clearly erroneous only where it is against the clear weight of the evidence or when upon review of the evidence, the appellate court is left with the definite and firm conviction that a mistake has been committed." Smoot v. United Transp. Union, 246 F.3d 633, 641 (6th Cir.2001). Additionally, when the district court's factual findings rest upon credibility determinations, "this Court affords great deference to the findings[.]" Id. (citation omitted).
In order to obtain a certificate of innocence authorized by 28 U.S.C. § 2513(b), subsection (a) of the statute requires that the petitioner establish both of the following:
28 U.S.C. § 2513(a).
Reversal of a conviction for insufficiency of the evidence satisfies (a)(1). Pulungan, 722 F.3d at 984. Under the first section of (a)(2), "the district court must consider whether the petitioner is truly innocent — that is, whether he committed the acts charged and, if so, whether those acts constituted a criminal offense." Betts, 10 F.3d at 1283; 28 U.S.C. § 2513(a)(2). A petitioner does not meet this standard if his conduct "in connection with" the federal charge "constitute[s] an offense other than the one for which he was tried and convicted." Id. at 1284 (citing Sinclair v. United States, 124 Ct.Cl. 182, 109 F.Supp. 529, 531 (1953); Weiss v. United States, 95 F.Supp. 176, 179 (S.D.N.Y.1951)). For example, while the conduct that formed the basis for the prosecution may be held ultimately not to support federal criminal liability, it may nonetheless constitute a crime against the state in which the acts occurred.
The innocence of the petitioner "must be affirmatively established." Brunner, 200 F.2d at 280. Although the statute is "entirely silent as to what procedure a court should follow in determining whether or not a petitioner is entitled to a certificate," in Brunner this Court recognized that the trial court may "rely primarily on the record of the trial of the petitioner and that other relevant facts could be presented orally or by affidavit." Id. at 279. The person seeking the certificate bears the burden of proof. Pulungan, 722 F.3d at 986; Graham, 608 F.3d at 171-72; Burgess v. United States, 20 Cl. Ct. 701, 704 (1990). The district court
In light of the civil nature of proceedings for a certificate of innocence and the resulting shifts in the burdens and standards of proof from a criminal proceeding, an appellate decision reversing a petitioner's conviction will not in all cases control the question of innocence. Cf. Betts, 10 F.3d at 1284 (holding that where a previous opinion reversing Betts' conviction "[made] clear that Betts did not commit a criminal offense," that opinion conclusively determined his innocence and controlled the inquiry under 28 U.S.C. § 2513). In cases like the present one, "[e]ven though proofs ... failed to establish guilt beyond a reasonable doubt, it [does not] preclude the court from finding that the petitioner had failed to establish that he did not commit the offense charged in the indictment." Brunner, 200 F.2d at 279.
In the present case, Defendant elected not to add anything to the record, so the district court properly relied on the evidence put forth at trial. Although that evidence was insufficient to sustain Defendant's firearm conviction beyond a reasonable doubt, as this Court previously held, reversal on that basis typically "leaves room for the possibility that the petitioner in fact committed the offense with which he was charged." Betts, 10 F.3d at 1284 (citing Brunner, 200 F.2d at 280). In considering the totality of the evidence, we conclude that there was sufficient evidence in the record permitting the district court to conclude that Defendant failed to establish his innocence by a preponderance of the evidence. Because the district court's factual finding that Defendant did possess the handgun is not against the clear weight of the evidence, we are constrained to affirm. Smoot, 246 F.3d at 641.
This district court had before it conflicting evidence concerning the relationship between Defendant and the nine-millimeter gun. The gun was found under Paul's bedding after Paul disclosed its presence to the officers performing the search. At trial, Paul testified about when and where he purchased the gun, and he testified that he had not seen Defendant with a gun during the altercation with Edward Jones. (J.A. 201.) This evidence would tend to support a certificate of innocence.
On the other hand, Edward Jones testified that Defendant threatened him with an automatic, dark-colored handgun. There is some factual basis in the record to connect the weapon Jones observed to the nine-millimeter handgun: Jones' description of the handgun he observed matches the basic physical attributes of the nine millimeter, and the altercation took place in the weeks leading up to the search that produced the handgun. As this Court previously held, the attributes identified by Jones "are too common to support a conviction for constructive possession." Grubbs I, 506 F.3d at 441. However, in a context where two firearms were recovered during a search of the home and one of them (the nine millimeter) matched Jones' description, the district court would be within its rights to
Moreover, Jones' testimony is corroborated by his wife Reva, who also testified that she observed Grubbs on the evening of the altercation. She testified to seeing Defendant raise a gun as her husband pulled away as if to shoot into the trunk of her husband's car. She also testified that after her husband drove away Defendant approached her car and "squatted down beside [her] with a gun in his hands" to talk to her. (J.A. 140.)
In the final analysis, Defendant fails to prevail on his request for a certificate of innocence not because the government can prove his guilt beyond a reasonable doubt — the burden with respect to a request for a certificate of innocence does not rest with the government — but because Defendant has not satisfied his burden of establishing his innocence by a preponderance of the evidence.
In a proceeding where Defendant, rather than the government, bears the burden of proof, the Jones' testimony permits the district court to conclude that Defendant "failed to establish that he did not commit the offense charged in the indictment." Brunner, 200 F.2d at 279. The district court was tasked with resolving the conflicting evidence bearing on Defendant's alleged possession of the handgun, and we cannot say that its decision to credit evidence adverse to Defendant constituted an abuse of discretion.
For the foregoing reasons, the district court's order denying Defendant's motion for a certificate of innocence is