Federal Circuits, 9th Cir. (September 26, 2003)
Docket number: 99-17643
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Peggy S. Ruffa (argued) and Margo J. Yu, Deputy Attorney General, San Francisco, California, Office of the California Attorney General, for the respondent-appellee.
Appeal from the United States District Court for the Northern District of California; Jeremy Fogel, District Judge, Presiding. D.C. No. CV-97-20703-JF.Before: Robert R. Beezer, Sidney R. Thomas, and Richard R. Clifton, Circuit Judges.OPINIONBEEZER, Circuit Judge.Wallace Levan Griffey appeals the district court's denial of his habeas corpus petition, brought under 28 U.S.C. 2254. We have jurisdiction under 28 U.S.C. 2253. We hold that Griffey's petition is governed by the substantive standards of the Anti-terrorism and Effective Death Penalty Act of 1996 ("AEDPA") and that Griffey was not entitled to an evidentiary hearing on any of his claims. On the merits, we affirm the denial of Griffey's habeas petition.* Griffey challenges his conviction on eleven criminal counts, including several counts of rape and burglary, arising out of three different incidents. The first incident involved a burglary and rape in a Monterey, California hotel on July 25, 1983. The second incident involved the rape of a female jogger in a neighboring town on August 14, 1983. The third incident involved the burglary and rape of a woman in her Monterey hotel room on August 16, 1983, as well as the terrorizing of her roommate.Before trial, Griffey moved to exclude the identifications made by two of the victims, each of whom identified Griffey as the rapist. The state trial court held a hearing and denied Griffey's motion. Griffey was convicted by a jury on all eleven counts and sentenced to a 65-year term of imprisonment.Following his conviction, Griffey appealed. The California Court of Appeal rejected Griffey's appeal and the California Supreme Court denied his petition for review. At this point, Griffey began a series of collateral challenges to his conviction. We relate Griffey's post-conviction history in detail because of its importance in resolving the procedural issues in this case.Between 1987 and 1993, Griffey filed four separate habeas corpus petitions in the California courts: one in the California Superior Court and three in the California Supreme Court. In support of Griffey's first California Supreme Court habeas petition, Griffey attached several hundred pages of documentary evidence. All four state petitions were denied.Griffey filed his first federal habeas corpus petition in 1991, which was dismissed for failure to exhaust. In July 1993, Griffey filed his second federal habeas corpus petition.The district court determined in June 1995 that several of Griffey's allegations in the 1993 petition had not yet been exhausted in state court. The district court dismissed the petition, but gave Griffey leave to amend, so that Griffey could delete the unexhausted allegations. Griffey attempted to amend his petition by striking the unexhausted allegations from his petition. The district court, however, determined that Griffey did not adequately amend the petition and dismissed the petition. On appeal, we summarily reversed in an unpublished order and recognized that the court clerk could delete the portions of the amended petition that Griffey wanted deleted.Before the deletions, Griffey's federal habeas petition contained 14 broad claims. Many of these broad claims included numerous sub-claims. The unexhausted allegations were among these sub-claims. Following remand, the district court did not order the clerk to strike Griffey's unexhausted sub-claims as Griffey requested. The district court instead ordered that each of the broad claims containing the unexhausted sub-claims be stricken in their entirety.Griffey fought this order, applying to us for a writ of mandamus. We denied the mandamus request in an unpublished order, and instructed Griffey that he could eventually appeal if he objected to the district court's rulings.1Following the dismissal of Griffey's mandamus request, Griffey moved for a stay of the habeas proceedings while pursuing exhaustion before the California Supreme Court. In the alternative, Griffey requested that the district court allow him to dismiss the petition without prejudice. The district court denied the motion for a stay, but granted Griffey's request to dismiss the action without prejudice. In so doing, the district court made clear that it was dismissing the entire action.After Griffey exhausted his claims by filing his fourth habeas petition in California's Supreme Court, he filed the present federal habeas corpus petition.The district court concluded that Griffey's current petition is governed by AEDPA. The district court denied Griffey's claims on their merits without an evidentiary hearing. Griffey appeals.The district court granted a certificate of appealability ("COA") limited to four issues:1) whether AEDPA applies to this case;2) whether the district court correctly denied an evidentiary hearing based on Griffey's failure to establish that he attempted to and was prevented from developing the facts in state court, or to bring himself within the exception to 28 U.S.C. 2254(e)(2);3) whether Petitioner received ineffective assistance of counsel; and4) whether Petitioner's due process rights were violated by an allegedly suggestive identification procedure.IIGriffey's federal petition is governed by AEDPA. AEDPA significantly alters the legal standards and procedures governing federal habeas petitions, generally making it more difficult for prisoners to qualify for habeas relief. AEDPA applies to all federal habeas petitions filed after April 24, 1996, see Patterson v. Stewart, 251 F.3d 1243, 1245 (9th Cir.2001), and Griffey filed his present federal habeas petition in August 1997.Griffey argues that his current petition should not be governed by AEDPA because the federal habeas petition he filed in 1993 was improperly dismissed. In effect, Griffey asks us to set aside the final judgment governing his last petition and then allow him to use Federal Rule of Civil Procedure 15(c) to relate his current petition back to the filing date of his earlier petition.2It is settled law in this circuit that one cannot use Rule 15(c) once an action has been dismissed and a final judgment entered unless the judgment is set aside under Federal Rules of Civil Procedure 59(e) or 60(b).3 See Lindauer v. Rogers, 91 F.3d 1355, 1357 (9th Cir.1996). This rule applies equally to habeas petitions. See 28 U.S.C. 2242; Woodford v. Garceau, 538 U.S. 202, 123 S.Ct. 1398, 1402, 155 L.Ed.2d 363 (2003).In Ford v. Hubbard, 330 F.3d 1086 (9th Cir.2003), however, we recently allowed a habeas petitioner to use Rule 15(c) to relate time-barred habeas petitions back to timely filed petitions that were, like Griffey's petition, dismissed on exhaustion grounds. See id. at 1093, 1102. Ford does not specifically discuss Rules 59(e) or 60(b), but relies on improprieties in earlier, final dismissals to justify application of Rule 15(c). See id. at 1102-03. Ford does, however, draw on a line of cases that are grounded on an explicit recognition of the connection between Rule 60(b) and our circuit's back-dating principles in the habeas context.4We do not understand Ford to reject the requirement that a case be reopened under Rule 59(e) or Rule 60(b) before Rule 15(c) can be invoked. Nor do we understand Ford to reject the general rule that legal errors cannot justify Rule 60(b) relief once the time for filing an appeal under Federal Rule of Civil Procedure 4 has passed. See Plotkin v. Pacific Tel. & Tel. Co., 688 F.2d 1291, 1293 (9th Cir.1982).5We conclude that Ford fits into an exception to Rule 60(b)'s general rule: a petitioner may qualify for relief under Rule 60(b) based on a legal error if he can show "extraordinary circumstances which prevented or rendered him unable to prosecute an appeal." See Plotkin, 688 F.2d at 1293. In Ford, that extraordinary circumstance was the effective transformation of the petitioner's dismissals "without prejudice" into dismissals "with prejudice" caused by judicial interpretations of AEDPA's statute of limitations.6 See 330 F.3d at 1100.Griffey cannot show similar extraordinary circumstances which prevented or rendered him unable to prosecute his appeal. Griffey was aware that the district court's decisions could be challenged on direct appeal. In fact, we explicitly informed Griffey about the appeal option when we rejected his application for a writ of mandamus.Nor was Griffey led to abandon his appeal rights by the district court's labeling of the dismissal "without prejudice." Griffey had already appealed the district court's earlier order dismissing his petition without prejudice.Finally, this is not a situation like Ford, where a dismissal ostensibly "without prejudice" is substantively transformed. See 330 F.3d at 1100. No one contends that Griffey's petition is time-barred. There are simply no extraordinary circumstances justifying Rule 60(b) relief for Griffey. Griffey cannot benefit from Ford's holding.In requesting dismissal of his second federal petition, Griffey knowingly took a path that foreclosed appellate review of the orders he now challenges.7 As a result, Griffey is ineligible for Rule 60(b) relief. See Plotkin, 688 F.2d at 1293. Because Griffey is not eligible for Rule 60(b) relief, he cannot use Rule 15(c) to relate his current petition back to his earlier petitions.8 See Lindauer, 91 F.3d at 1357; see also Henry v. Lungren, 164 F.3d 1240, 1241 (9th Cir.1999). The district court correctly determined that AEDPA applies to Griffey's latest habeas petition.IIIThe district court did not conduct an evidentiary hearing on any of Griffey's claims. Griffey challenges that decision, raising two related arguments. First, Griffey argues that a number of his claims were not subject to 28 U.S.C. 2254(e)(2), which drastically curtails the availability of evidentiary hearings for federal habeas petitions.9 Second, Griffey argues that he is entitled to an evidentiary hearing under the pre-AEDPA standards that continue to govern evidentiary hearing requests involving claims that are not subject to § 2254(e)(2).We review de novo a district court's determination that § 2254(e)(2)'s standards govern a petitioner's evidentiary hearing request. See Baja v. Ducharme, 187 F.3d 1075, 1077 (9th Cir.1999). The district court's factual findings are reviewed for clear error. Id. If § 2254(e)(2) does not apply, we review the denial of an evidentiary hearing request for an abuse of discretion. See, e.g., Karis v. Calderon, 283 F.3d 1117, 1126 (9th Cir.2002). A petitioner who avoids the reach of § 2254(e)(2) qualifies for an evidentiary hearing if the petitioner alleges facts, that if proven, would entitle the petitioner to relief and the state court trier of fact has not, after a full and fair hearing, reliably found the relevant facts. See Jones v. Wood, 114 F.3d 1002, 1010, 1013 (9th Cir.1997).Although application of the wrong legal standard constitutes an abuse of discretion, see Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 406, 110 S.Ct. 2447, 110 L.Ed.2d 359 (1990), we may affirm the district court on any ground supported by the record. Paradis v. Arave, 240 F.3d 1169, 1175-76 (9th Cir.2001). We hold that the record adequately supports the district court's denial of Griffey's evidentiary hearing request.* Griffey asks us to determine whether he is entitled to an evidentiary hearing on several claims whose substantive merits are not properly before us.10 We decline to do so.In Williams v. Taylor, 529 U.S. 420, 120 S.Ct. 1479, 146 L.Ed.2d 435 (2000), the Supreme Court refused to evaluate the denial of an evidentiary hearing with respect to those claims that were rejected on the merits by the Fourth Circuit. See id. at 444, 120 S.Ct. 1479 ("The Court of Appeals rejected this claim on the merits ... so it is unnecessary to reach the question whether § 2254(e)(2) would permit a hearing on the claim."). We follow the same approach here. We restrict our consideration to those claims whose merits are encompassed by the COA: 1) Griffey's due process claims based on allegedly tainted identifications; and 2) Griffey's ineffective assistance of counsel claims.BGriffey received a pre-trial hearing in the state trial court on his claim that various identification procedures violated his due process rights. In his state habeas petitions, Griffey supplemented his original suggestive identification claim with additional allegations. The factual basis for these expanded allegations rests on a combination of documentary evidence, preliminary hearing testimony, evidence presented at the suppression hearing, and trial evidence. Griffey did not receive a state court evidentiary hearing on these expanded allegations.The district court based its denial of Griffey's suggestive identification claims on the documentary record before it. Even for a claim that avoids § 2254(e)(2), an evidentiary hearing is not required if the issues can be resolved by reference to the state court record. Totten v. Merkle, 137 F.3d 1172, 1176 (9th Cir.1998). As the district court was able to resolve the suggestive identification issues based on the record before it, there was no need for an evidentiary hearing.In this case, the only item missing from the record was the original photographic lineup used by the witnesses to first identify Griffey. The district court, however, had no obligation to hear evidence regarding the photographs. The photographic lineup was not part of the district court record and Griffey did not demonstrate any inability to produce it. See Van Pilon v. Reed, 799 F.2d 1332, 1337-38 (9th Cir. 1986). The district court did not abuse its discretion by ruling on the merits of Griffey's suggestive identification claims without conducting an evidentiary hearing.CThe district court did not hold an evidentiary hearing on Griffey's ineffective assistance of trial counsel claims. The district court concluded that Griffey failed to overcome § 2254(e)(2)'s barriers. We conclude, however, that Griffey exhibited adequate diligence to avoid § 2254(e)(2) with respect to his ineffective assistance of trial counsel claims. Despite this error, we find no harm in the district court's use of an erroneous standard. Even under the significantly more lenient standards governing the evidentiary requests of diligent petitioners, Griffey was not entitled to an evidentiary hearing.* A petitioner's request for an evidentiary hearing is governed by § 2254(e)(2) only if the petitioner has not been diligent in developing the record in state court. See Williams, 529 U.S. at 435, 120 S.Ct. 1479. Diligence depends upon whether the petitioner made a reasonable attempt, in light of the information available at the time, to investigate and pursue claims in state court. Id. In the usual case and at a minimum, diligence requires, that a petitioner seek an evidentiary hearing in state court in the manner prescribed by state law. Id. at 437, 120 S.Ct. 1479. We conclude that Griffey exhibited sufficient diligence to avoid the reach of § 2254(e)(2).The state argues that Griffey failed to request an evidentiary hearing in state court on his ineffective assistance of trial counsel claims, all of which were raised in state court habeas proceedings. The state's argument fails because Griffey's state habeas petitions were summarily dismissed by the California courts.Under California law, an appellate court receiving an original habeas petition first evaluates the petition to see if the facts alleged could possibly support relief. See People v. Romero, 8 Cal.4th 728, 731, 35 Cal.Rptr.2d 270, 883 P.2d 388 (1994). The state is ordered to file a return only if the petition passes through this initial screen. Id. at 738, 35 Cal.Rptr.2d 270, 883 P.2d 388. It is not until the petitioner files a traverse in response to the state's return that the California courts look to see if there are any factual conflicts that might bear on the success of the petitioner's challenge. Id. at 739-40, 35 Cal.Rptr.2d 270, 883 P.2d 388 (discussing the standards for receiving an evidentiary hearing). A request for an evidentiary hearing is needed, if at all, only at the traverse stage of the proceedings. See id. at 740, 35 Cal. Rptr.2d 270, 883 P.2d 388.Griffey was not required to request an evidentiary hearing under California law because his state habeas petitions were dismissed before Griffey reached the traverse stage. This early dismissal defeats the state's lack of diligence argument.11 Griffey's request for an evidentiary hearing should not have been evaluated under § 2254(e)(2).2Despite the district court's error, Griffey is still not entitled to an evidentiary hearing on his ineffective assistance of trial counsel claims. Griffey's claims can all be resolved by reference to the state record and the documentary evidence submitted by Griffey. See Totten, 137 F.3d at 1176. Despite a few gaps in the record, Griffey's attempts to fill these gaps with conclusory or speculative allegations are insufficient to justify an evidentiary hearing. See Campbell v. Wood, 18 F.3d 662, 679 (9th Cir.1994) (holding conclusory allegations were insufficient to justify an evidentiary hearing).12 Griffey was not entitled to any evidentiary hearing on his ineffective assistance of counsel claims.IVGriffey challenges the district court's decision denying relief on his suggestive identification and ineffective assistance of counsel claims. We affirm.* The district court's denial of Griffey's claims is reviewed de novo. Karis v. Calderon, 283 F.3d 1117, 1126 (9th Cir.2002). Factual determinations are reviewed for clear error. Id. Under AEDPA, a habeas corpus petition may be granted only if a state court's decision on the merits of a claim is "contrary to, or involve[s] an unreasonable application of clearly established Federal law, as determined by the United States," or "resulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding." 28 U.S.C. 2254(d).When a state court decision reaches the merits of a petitioner's claim but does not provide its reasoning, we independently review the record in determining whether the state court's denial of relief comports with AEDPA. Delgado v. Lewis,Try vLex for FREE for 3 days
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