Federal Circuits, 1st Cir. (November 06, 1997)
Docket number: 97-1579
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U.S. Court of Appeals for the 3rd Cir. - Lawrence Duane Christy, Appellee, v. Martin F. Horn, Commissioner, Pennsylvania Department of Corrections; James S. Price, Superintendent, State Correctional Institution At Green; Joseph Mazurkiewicz, Superintendent, State Correctional Institution At Rockview, Appellants., 115 F.3d 201 (3rd Cir. 1997) Appellee, v. Martin F. Horn, Commissioner, Pennsylvania Department of Corrections; James S. Price, Superintendent, State Correctional Institution At Green; Joseph Mazurkiewicz, Superintendent, State Correctional Institution At Rockview, Appellants.
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U.S. Court of Appeals for the 11th Cir. - Carl Francis Guenther, Petitioner-Appellant, v. Arnold Holt, Warden, Et Al., Respondents-Appellees. Samuel Jackson, Petitioner-Appellant, v. Billy Mitchem, Warden, Et Al., Respondents-Appellees., 173 F.3d 1328 (11th Cir. 1999) Petitioner-Appellant, v. Arnold Holt, Warden, Et Al., Respondents-Appellees. Samuel Jackson, Petitioner-Appellant, v. Billy Mitchem, Warden, Et Al., Respondents-Appellees.
Leo T. Sorokin, Federal Defender Office, Boston, MA, for appellant.
Peter E. Papps, First Assistant United States Attorney, Concord, NH, with whom Paul M. Gagnon, United States Attorney, was on brief, for appellee.Before SELYA, BOUDIN and STAHL, Circuit Judges.SELYA, Circuit Judge.Petitioner-appellant David P. Pratt, who is currently serving a federal sentence, filed a second petition for post-conviction relief under 28 U.S.C. 2255 (1994 and Supp.1996).1 Relying on the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), Pub.L. No. 104-132, 110 Stat. 1214 (1996) (codified in scattered sections of 28 U.S.C.), the district court dismissed the petition pro forma because Pratt had not obtained clearance from the court of appeals. AEDPA's novelty, together with the odd timing and peculiar circumstances of the petitioner's case, take us down a sometimes recondite legal trail. In the end, we conclude that AEDPA applies here and that, properly construed, it bars Pratt's attempt to prosecute a second habeas petition.I. BACKGROUNDIn April of 1994, a federal petit jury in the District of New Hampshire heard testimony that, after a local police chief confiscated several of Pratt's firearms, Pratt sent him a mutilated pig carcass. Weighing this and other evidence, the jury found Pratt guilty of mailing a threatening communication in violation of 18 U.S.C. 876 (1994). The judge departed upward and sentenced Pratt to a lengthy prison term. The appeal period expired and Pratt's conviction became final.After unsuccessfully moving pro se to file a tardy notice of appeal, Pratt filed his first section 2255 petition on March 9, 1995. He alleged a violation of his Sixth Amendment right to the effective assistance of counsel premised on a claim that, despite repeated requests, his trial attorney had failed to perfect a timeous appeal of the conviction. Pratt did not aver, however, that his attorney's performance at trial was constitutionally defective. The district court granted the petition in an unpublished order, vacated the judgment, and after appointing fresh counsel resentenced Pratt (thus triggering a new appeal period). Pratt's new lawyer filed a timely appeal, but to no avail; a panel of this court affirmed the conviction. See United States v. Pratt, 73 F.3d 450, 454 (1st Cir.1996).2On January 17, 1997, Pratt filed his second section 2255 petition, this time seeking to set aside his conviction on the ground that his original lawyer's lack of trial acumen violated Pratt's Sixth Amendment right to the effective assistance of counsel. On April 8, 1997, the district court dismissed this petition without prejudice for failure to comport with AEDPA's "prior approval" prerequisite for second or successive habeas petitions. This appeal ensued.II. ANALYSISAEDPA took effect on April 24, 1996, after the district court resolved Pratt's initial habeas petition but before his second petition eventuated. The new law imposes significant restrictions on second or successive habeas petitions brought on behalf of federal prisoners. These restrictions have both procedural and substantive dimensions. Procedurally, AEDPA incorporates by reference in section 2255 the same screen that AEDPA makes applicable to second or successive habeas petitions prosecuted on behalf of persons being held in state custody. The statute thus requires a federal prisoner, before docketing a second or successive habeas petition in the district court, to obtain from "the appropriate court of appeals ... an order authorizing the district court to consider the application." 28 U.S.C. 2244(b)(3)(A) (as incorporated in 28 U.S.C. 2255); see also Felker v. Turpin, --- U.S. ----, ----, 116 S.Ct. 2333, 2337, 135 L.Ed.2d 827 (1996). Substantively, AEDPA directs the court of appeals to condition its authorization of a second or successive petition on the applicant's showing of either: (1) newly discovered evidence that, if proven and viewed in light of the evidence as a whole, would be sufficient to establish by clear and convincing evidence that no reasonable factfinder would have found the movant guilty of the offense; or (2) a new rule of constitutional law, made retroactive to cases on collateral review by the Supreme Court, that was previously unavailable.28 U.S.C. 2255.This appeal necessitates that we determine whether Pratt's second section 2255 petition comes within AEDPA's reach, and if so, whether the statute permits us to authorize further proceedings in the district court. Before pursuing either of these inquiries, however, we pause to address the government's contention that this court lacks jurisdiction to hear the instant appeal.A.In the proceedings below, the district court dismissed Pratt's second habeas petition without prejudice, noting that he had failed to obtain clearance from the court of appeals as required by AEDPA. The government contends that, inasmuch as the order is not dispositive of any issue, it is not a "final order," 28 U.S.C. 1291 (1994), and thus cannot support the weight of an appeal. The government is wrong.AEDPA's prior approval provision allocates subject-matter jurisdiction to the court of appeals by stripping the district court of jurisdiction over a second or successive habeas petition unless and until the court of appeals has decreed that it may go forward. See Nunez v. United States, 96 F.3d 990, 991 (7th Cir.1996). This statutory directive means that a district court, faced with an unapproved second or successive habeas petition, must either dismiss it, see id., or transfer it to the appropriate court of appeals,3 see Benton v. Washington, 106 F.3d 162, 164 (7th Cir.1996); Liriano v. United States, 95 F.3d 119, 122-23 (2d Cir.1996). The court below chose the former course.If Pratt had acknowledged that AEDPA governed his latest petition, the district court's decision might not have been appealable. Here, however, Pratt disputes AEDPA's applicability. He can regain access to the district court (and thereby vindicate his theory) only by an appeal and a subsequent holding that the district court erred in applying AEDPA to his latest petition. The district court's order is therefore final in the relevant sense, see In re Nineteen Appeals Arising Out of the San Juan Dupont Plaza Hotel Fire Litig., 982 F.2d 603, 608 (1st Cir.1992) (explaining that section 1291's finality requirement has a practical cast), and it is appealable. That the district court's dismissal was without prejudice is of no moment. Appellate courts routinely exercise jurisdiction over claims dismissed without prejudice when the dismissal contains sufficient indicia of finality. See, e.g., Presbytery of N.J. v. Florio, 40 F.3d 1454, 1461 (3d Cir.1994); Kobleur v. Group Hospitalization & Med. Services, Inc., 954 F.2d 705, 708 (11th Cir.1992); Brady v. Sullivan, 893 F.2d 872, 876 n. 8 (7th Cir.1989); Local Div. No. 714 v. Greater Portland Transit Dist., 589 F.2d 1, 6 (1st Cir.1978).To be sure, Pratt also contends that even if AEDPA applies generally to cases in the same temporal posture its provisions do not bar his pursuit of post-conviction relief. To this extent, the government's jurisdictional jousting may hit closer to home. Nevertheless, we need not spend much time on this largely metaphysical debate. In very similar circumstances, the Seventh Circuit has crafted a pragmatic approach to this sort of problem. It has declared that it will treat a notice of appeal as a request for an authorization to file a second section 2255 petition and thus preserve appellate jurisdiction if doing so will save unnecessary paperwork without sacrificing any party's substantial rights. See Nunez, 96 F.3d at 991.Pratt invites us to employ that approach here, the appellate record is adequate to the task, and taking this avenue expedites adjudication of the matters in issue. We therefore hold that, when a district court dismisses a second or successive petition without prejudice because the court of appeals has not approved its prosecution, and the petitioner appeals, the court of appeals may in its discretion treat the notice of appeal as a request for authorization to file a second or successive petition. We exercise that discretion here to the extent, if at all, that it may be necessary to do so. Either way, we have jurisdiction to hear and determine the issues raised in Pratt's appeal.B.The filing dates of Pratt's two section 2255 petitions straddle AEDPA's effective date. On this basis, Pratt maintains that the question whether the statute applies to his second petition must be answered in the negative because doing so would place an impermissible retroactive burden on his first petition. We disagree.We begin our analysis by remarking the obvious: applying a statute to a pleading that was filed after the statute's effective date is not really a "retroactive" application in the classic sense. Here, moreover, we know on the best of authority that Congress intended that AEDPA apply to all section 2255 petitions filed after its effective date (April 24, 1996). See Lindh v. Murphy, --- U.S. ----, ----, 117 S.Ct. 2059, 2063, 138 L.Ed.2d 481 (1997).We know, too, that the Supreme Court recently and uncritically applied AEDPA to a prisoner's second habeas petition even though the prisoner had filed his first petition prior to AEDPA's enactment. See Felker, at ---- - ----, 116 S.Ct. at 2336-37. Several courts of appeals have followed suit. See, e.g., In re Medina, 109 F.3d 1556, 1561-62 (11th Cir.1997); Roldan v. United States, 96 F.3d 1013, 1014 (7th Cir.1996); Hatch v. Oklahoma, 92 F.3d 1012, 1014 (10th Cir.1996). This approach is sound not only from a legal perspective but also from the standpoint of common sense. After all, if pre-AEDPA jurisprudence somehow attached to an entire course of post-conviction proceedings by virtue of a prisoner's having filed a pre-enactment petition at some point along the way, then the Court's opinion in Felker would be drained of all meaning.Faced with these formidable obstacles, Pratt attempts to refocus the definition of retroactivity. He reminds us of the Supreme Court's directive that a court which confronts a possible retroactivity problem should ask whether a freshly minted statute "attaches new legal consequences to events completed before its enactment." Landgraf v. USI Film Prods., 511 U.S. 244, 270, 114 S.Ct. 1483, 1499, 128 L.Ed.2d 229 (1994). Wielding this club, Pratt asserts that the application of AEDPA to his second petition impermissibly alters the legal consequences of his first petition (which was fully adjudicated prior to AEDPA's passage). This argument, in turn, leads him to embrace the "mousetrapping" doctrine. See Burris v. Parke, 95 F.3d 465, 468-69 (7th Cir.1996). Based on this construct (which to our knowledge has not been adopted outside the Seventh Circuit), he argues that, even if AEDPA otherwise might control his second habeas petition, it should not do so in the circumstances of this case.4The particulars of Pratt's claim are fuzzy. He appears to be saying, with minimal elaboration, that the district court would have entertained his second section 2255 petition under the prevailing pre-AEDPA standard, see McCleskey v. Zant, 499 U.S. 467, 493, 111 S.Ct. 1454, 1469, 113 L.Ed.2d 517 (1991) (discussing the parameters of the "abuse of the writ" principle), and so, application of AEDPA's more stringent standard to his second section 2255 petition will attach new and unforeseen legal consequences to the filing of his first petition (in effect penalizing him retroactively for having failed to include all possible constitutional claims in his first petition). In Pratt's view, this adverse effect on his post-conviction litigation strategy "mousetraps" him.Even were we to address the mousetrapping doctrine--a matter that we leave for another day--Pratt could not take advantage of it. The doctrine requires a habeas petitioner to show that he consciously chose to withhold a potential ground for relief from his first petition because he detrimentally relied upon pre-AEDPA law. See, e.g., Alexander v. United States, 121 F.3d 312, 314 (7th Cir.1997); Roldan, 96 F.3d at 1014; see also In re Magwood, 113 F.3d 1544, 1552-53 (11th Cir.1997). Pratt cannot carry this burden. Although he states perfunctorily that he "relied upon the abuse of the writ law as it existed when he filed his [original] § 2255" petition, he offers no legal or factual support for this conclusory statement. More is needed. See In re Medina, 109 F.3d at 1562 n. 1 (holding that a petitioner's "one-sentence conclusory statement" did not establish detrimental reliance).More important than Pratt's subjective understanding is the utter lack of any facts remotely suggesting detrimental reliance. "In assessing detrimental reliance vel non, the test is one of objective reasonableness under the circumstances." Henry v. Connolly, 910 F.2d 1000, 1003 (1st Cir.1990). Accordingly, the question here is not whether Pratt actually believed, when he filed his first habeas petition, that then-prevailing law would allow him to file a second petition on the withheld ground of ineffective assistance of trial counsel so long as he could pass muster under McCleskey; the question, rather, is whether such a subjective belief, even if it existed, is objectively reasonable.As a general matter, reliance upon pre-AEDPA law as a basis for permitting a second petition rarely will clear this hurdle. The "cause and prejudice" test that McCleskey imposed to screen out abusive deployments of the writ is notoriously difficult to pass. See, e.g., McCleskey, 499 U.S. at 500, 111 S.Ct. at 1473-74; Murray v. Carrier, 477 U.S. 478, 495-96, 106 S.Ct. 2639, 2649, 91 L.Ed.2d 397 (1986); United States v. Shaid, 937 F.2d 228, 236 (5th Cir.1991); see generally Erwin Chemerinsky, Federal Jurisdiction § 15.4.3, at 809-11 (2d ed.1994).5 Pratt cannot satisfy its rigors.The only reason that Pratt advances for exhuming his second habeas petition from the abuse of the writ graveyard is our statement in Bonneau v. United States, 961 F.2d 17, 23 (1st Cir.1992), to the effect that a prisoner who files a section 2255 petition in which he alleges that his attorney failed to perfect a direct appeal "must be treated like any other appellant appealing for the first time." But this statement has absolutely nothing to do with abuses of the writ; as Bonneau itself makes clear in the immediately succeeding sentence, the language on which Pratt relies only "means that [the section 2255 petitioner] does not have to show that there are meritorious issues to be appealed." Id. Because Bonneau merely restates the uncontroversial rule that a federal habeas petitioner who alleges a Sixth Amendment deprivation grounded in his attorney's failure to perfect a direct appeal need not prove actual prejudice, see Penson v. Ohio, 488 U.S. 75, 88, 109 S.Ct. 346, 354, 102 L.Ed.2d 300 (1988), the single sentence that Pratt wrests out of context fails to serve his ends.With Bonneau out of the picture, Pratt's cupboard is bare; he has not proffered any other basis for a finding of detrimental reliance. Consequently, we have no occasion to consider the merits of the mousetrapping doctrine because Pratt's case does not come within its ambit. Accord In re Magwood, 113 F.3d at 1552-53 (distinguishing, but not endorsing, Burris ); In re Medina, 109 F.3d at 1562-63 (same).To recapitulate, since Pratt has not shown that application of AEDPA to his second section 2255 petition works an impermissible retroactive effect, his second petition is, as a temporal matter, within AEDPA's jurisprudential reach. See Lindh, at ----, 117 S.Ct. at 2063.C.Pratt has another string to his bow. He maintains that the instant petition is not "second or successive" within AEDPA's contemplation and, hence, is not subject to the new statutory restrictions.Like prior habeas statutes, AEDPA does not define the mantra "second or successive." Courts that have interpreted the same phrase in relation to the pre-AEDPA version of 28 U.S.C. 2244(b) have determined that a numerically second petition is not "second or successive" if it attacks a different criminal judgment or if the earlier petition terminated without a judgment on the merits. See 2 James S. Liebman & Randy Hertz, Federal Habeas Corpus Practice and Procedure § 28.3a, at 916-20 (2d ed.1994). We agree that AEDPA does not blunt the force of these interpretations, but we are not persuaded that the emergent rule pertains in the circumstances presented here.1.Decisions that construe the meaning of "second or successive" most frequently concern a court's dismissal of a prisoner's first habeas petition for failure to exhaust state remedies. See, e.g., Howard v. Lewis, 905 F.2d 1318, 1322-23 (9th Cir.1990); Hill v. Lockhart, 894 F.2d 1009, 1010 (8th Cir.1990) (en banc). Recent post-AEDPA cases have hewed to the line exemplified by Howard and Hill and have preserved the rule that if the original petition did not produce an adjudication on the merits a prisoner's later petition will not be deemed "second or successive." See, e.g., In re Gasery,Try vLex for FREE for 3 days
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