Kell v. Benzon
Opinion of the Court
This is an interlocutory appeal from an order staying a habeas proceeding. We lack jurisdiction and dismiss the appeal.
Mr. Troy Kell sought habeas relief, but he had not exhausted two of his claims in state court. The unexhausted claims created a Catch-22 for Mr. Kell, risking a dismissal of all of his claims without an opportunity to timely refile. To relieve Mr. *451Kell of this Catch-22, the district court entered a limited stay, halting proceedings on one of the unexhausted claims while Mr. Kell returned to state court to exhaust the claim. For the remaining habeas claims, however, the district court continued with the proceedings.
In the midst of the ongoing habeas proceedings in district court, Utah appealed from the grant of a stay, arguing that the district court should have declined to grant a stay. Our threshold question involves appellate jurisdiction. To establish jurisdiction, Utah relies on the collateral-order doctrine, which allows appeals from some decisions before the entry of a final judgment. But the district court's issuance of a stay does not satisfy the collateral-order doctrine's requirements, so we dismiss the appeal for lack of appellate jurisdiction.
1. Mr. Kell timely files a habeas petition.
Mr. Kell was convicted of murder and sentenced to death in Utah, and his conviction became final roughly sixteen years ago. Mr. Kell then had one year to seek federal habeas relief, but the one-year limitations period was tolled while he pursued state post-conviction remedies.
2. The district court stays the habeas case to allow Mr. Kell to exhaust a new claim.
In 2013, Mr. Kell asserted two new habeas claims: (1) that the trial court had improperly commented to the jury that Mr. Kell bore the burden in the penalty phase to show that his life should be spared and (2) that the jurors had improperly considered extraneous information. Mr. Kell had not exhausted the two new claims, so the district court needed to grapple with how to proceed. Continuing with the new habeas claims could prevent consideration of any of the claims because a federal district court must ordinarily dismiss the entire petition when one or more of the habeas claims are unexhausted. Rose v. Lundy ,
To avoid this dilemma, Mr. Kell requested a stay so that he could exhaust his new habeas claims in state court. For this request, Mr. Kell invoked a procedure adopted in Rhines v. Weber ,
1. "Good cause" exists for the failure to exhaust the claim.
2. The unexhausted claim is "potentially meritorious."
3. The petitioner did not engage in "abusive litigation tactics" or intentionally delay the proceedings.
Rhines ,
3. Utah appeals the order granting a limited stay.
In this appeal, Utah argues that the federal district court erred in granting the stay because
• the court used the wrong test for "good cause" and misapplied that test,
• the new habeas claim lacks potential merit based on timeliness, the existence of a procedural default, and the absence of a constitutional violation, and
• Mr. Kell was dilatory by waiting over three years to assert the new habeas claim and over eight years to seek a stay based on this claim.
4. We lack jurisdiction to consider interlocutory appeals from Rhines stays.
We can consider these arguments only if Utah establishes appellate jurisdiction. See EEOC v. PJ Utah, L.L.C. ,
Utah argues that we nonetheless have jurisdiction under the collateral-order doctrine. This doctrine would apply only if the district court's decision
• conclusively decided the disputed question,
• resolved an important issue separate from the merits, and
• could not be effectively reviewed on direct appeal.
Van Cauwenberghe v. Biard ,
Each element is considered stringent. E.g. , Flanagan v. United States ,
We assume, for the sake of argument, that an order issuing a Rhines stay conclusively determines the disputed question. But the grant of a Rhines stay involves issues that are intertwined with the merits and reviewable on direct appeal. We thus lack jurisdiction under the collateral-order doctrine. See *453Crystal Clear Commc'ns, Inc. v. Sw. Bell Tel. Co. ,
A. The grant of a Rhines stay is not completely separate from the merits.
The collateral-order doctrine applies only when the order involves an important issue that is not intertwined with the merits. Coopers & Lybrand v. Livesay ,
1. Avoidance of Piecemeal Litigation
The requirement of complete separation is designed to prevent piecemeal appellate review. Van Cauwenberghe v. Biard ,
But interlocutory appeals of Rhines stays would often require federal appellate courts to consider the merits at least twice:
• once in the interlocutory appeal (when the respondent argues that a Rhines stay is improper because the petitioner's unexhausted claim lacks potential merit) and
• again after entry of the judgment (when the parties disagree over the claim's actual merit).
And if the district court enters multiple Rhines stays,
This possibility is apparent here. For example, consider Utah's argument that the district court's jury instruction was correct. This argument involves a classic issue on the merits. See Gillette v. Prosper ,
The dissent disagrees:
Even where a district court issues multiple Rhines stays, each Rhines stay concerns different claims by a petitioner and therefore different issues. To illustrate, a district court issues a Rhines *454stay on claim x , allowing the petitioner to exhaust the claim in state court. After the petitioner exhausts claim x in state court and returns to federal court, the district court is not going to issue another Rhines stay for the purpose of allowing the petitioner to exhaust claim x . If there is a second Rhines stay, it would be issued for the petitioner to exhaust claim y . If both of these Rhines stays are appealed, and then the final judgment is appealed, the "same issues" would not be before this Court three or more times.
Dissent at 475 n.5 (emphasis in original).
We respectfully think that the dissent has misunderstood us. When reviewing a Rhines stay, we consider the "potential merit" of the unexhausted claim. For example, let's consider Utah's argument that the district court erred in granting a stay because the unexhausted habeas claim lacks potential merit. If we have appellate jurisdiction under the collateral-order doctrine, we would consider whether the district court acted within its discretion in treating the unexhausted claim as potentially meritorious.
Let's assume, for the sake of argument, that we were to uphold this determination. When the habeas case ends in district court, the parties could appeal the district court's ultimate determination of the claim's actual merit. See Alexander v. U.S. Parole Comm'n ,
The same would be true for any case involving a Rhines stay. So in a case with multiple Rhines stays and multiple interlocutory appeals, we could face the same issues after a final judgment (even if the interlocutory appeals individually involved different issues).
2. The Significance of the Relationship Between the Rhines Factor of "Potential Merit" and the Actual Merits of Mr. Kell's New Claim
Because "potential merit" is essential for Rhines stays, interlocutory review would frequently require us to consider the potential merit of the underlying habeas claims. And "potential merit" is obviously not "completely separate" from the actual merits. The dissent agrees, stating that the Rhines issue ("potential merit") "undoubtedly overlaps with the merits." Dissent at 475.
3. Application of the Test of "Complete Separation"
To apply the element of complete separation, we must evaluate the pertinent *455issue based on the entire class of orders ( Rhines stays) rather than the particular arguments in this appeal. United States v. Bolden ,
The Supreme Court has repeatedly cautioned that the collateral-order doctrine requires "complete separation" from the merits. E.g. , Microsoft Corp. v. Baker , --- U.S. ----,
4. Utah's Focus on its Own Arguments (Rather than the Class of Orders)
Utah also points to its arguments involving good cause, insisting that they do not relate to the merits. And the dissent relies on Utah's arguments involving timeliness, dilatoriness, and procedural default. The focus of Utah and the dissent on Utah's particular appeal points is misguided, as it disregards
• the overlap between Utah's appellate arguments and the merits and
• the need to consider separation categorically based on the class of orders rather than the particular issues invoked by the appellant.
a. Utah's Arguments on Good Cause
Utah tries to justify application of the collateral-order doctrine based on the district court's alleged misidentification and misapplication of the test for good cause. We reject this effort.
i. Misidentifying the Test for Good Cause
Utah identifies the definition of good cause as an "important" issue. To determine an issue's importance under the collateral-order doctrine, we consider
• whether the issue is "important in a jurisprudential sense"6 and
• whether the interests that " 'would potentially go unprotected without immediate appellate review are significant relative to efficiency interests *456sought to be advanced by adherence to the final judgment rule.' "7
The definition of good cause might be considered jurisprudentially important now because we lack a precedent squarely defining the test for good cause under Rhines . Of course, if we were to undertake interlocutory review and define the test, that definition would settle the issue, rendering it jurisprudentially unimportant in the future. See 15A Charles Alan Wright, Arthur R. Miller & Edward H. Cooper, Federal Practice & Procedure: Jurisdiction & Related Matters § 3911.5, at 438 (2d ed. 1992) ("Implementation of a serious and unsettled question requirement can easily lead to a situation in which a particular question is suitable for collateral order appeal the first time it is presented, but not thereafter.").
And Utah has not shown an urgency to immediately define the standard for good cause under Rhines . Indeed, Utah has offered many alternative arguments for reversal, such as expiration of the limitations period, procedural default, misapplication of the district court's own test for good cause, dilatoriness, and lack of potential merit. Given Utah's alternative arguments, we may not even need to decide the test for good cause if we were to reverse the grant of a Rhines stay.
The dissent nonetheless insists that the test for good cause is important because a court in "literally every grant of a Rhines stay, not just this particular grant of a Rhines stay, must decide what the appropriate standard for determining 'good cause' is." Dissent at 474. We see the issue differently. If the collateral-order doctrine applied, only two possibilities exist:
1. We decide now what the test is for good cause.
2. We do not decide the test now, ruling on other grounds.
Let's consider the first possibility (that we decide the test for good cause in this appeal). Once we define the test, future panels and district courts will be bound by stare decisis to apply that test in all future cases. United States v. Meyers ,
The second possibility is that we avoid defining the test for good cause. This possibility is real because we could reverse a Rhines stay based on any of the three prongs. For example, we might reverse the grant of a Rhines stay based on dilatoriness or a lack of potential merit rather than address the issue of good cause.
*457Given these two possibilities, application of the collateral-order doctrine based on the test for good cause would paradoxically allow every respondent to appeal every grant of a Rhines stay based on an issue that we have already decided or, if not, might not even need to decide. This paradox highlights the need to consider the importance of the issues categorically based on the class of orders involved rather than the particular arguments raised in a particular case.
ii. Misapplying the Test for Good Cause
On the merits of the stay, Utah argues that the district court misapplied the test for good cause. Utah's argument shows that application of the good cause test not only overlaps with the merits but would often require consideration of them. For example, petitioners could sometimes raise the same theory for good cause and the merits of a habeas claim. An example is a Brady claim. See Brady v. Maryland ,
An overlap also exists between the inquiry on good cause and the merits of other habeas claims. For example, the inquiry on good cause may overlap with the merits when a petitioner alleges ineffective assistance of trial counsel. Suppose that a petitioner alleges good cause based on post-conviction counsel's failure to assert ineffective assistance on the part of trial counsel. This allegation could suffice to avoid a procedural default. Martinez v. Ryan ,
The Supreme Court addressed this kind of overlap in Van Cauwenberghe v. Biard ,
Like issues involving forum non conveniens and class certification, the issue of good cause will often overlap with a court's preliminary assessment of the merits, preventing application of the collateral-order doctrine. See Cunningham v. Hamilton Cty., Ohio ,
Here, for example, Utah challenges the finding of good cause, arguing that Mr. Kell could have asserted the claim at trial and in a direct appeal. To address this argument, we would need to ask whether Mr. Kell's attorneys should have asserted the claim at trial or in the direct appeal. This inquiry would presumably overlap with Mr. Kell's habeas claims of ineffective assistance of counsel. Thus, resolution of Utah's arguments on good cause could entangle us in the substance of Mr. Kell's underlying habeas claims. In these circumstances, consideration of good cause under Rhines is not categorically separate from the merits.
b. Timeliness, Dilatoriness, and Procedural Default
In this appeal, Utah also argues that (1) Mr. Kell was dilatory and (2) his unexhausted claim is untimely and procedurally defaulted. Utah does not suggest that these arguments would support collateral-order jurisdiction. But the dissent does, stating that timeliness, dilatoriness, and procedural default are separate from the merits.
For the sake of argument, let's assume that the dissent is right and ignore the fact that Utah (the appellant invoking appellate jurisdiction) didn't present these arguments as grounds to invoke the collateral-order doctrine. See pp. 465-66, below (citing cases for the unavailability of sua sponte arguments to support jurisdiction). As Utah argues, however, the separate issue must also be considered important in order to trigger this doctrine. See p. 452, above. Neither Utah nor the dissent offers *459any argument about the importance of Utah's arguments on timeliness, dilatoriness, or procedural default. These arguments involve garden-variety application of legal principles settled long ago. See U.S. Fidelity & Guaranty Co. v. Arch Ins. Co. ,
c. The Categorical Approach
Perhaps in some appeals of Rhines stays, the specific argument being advanced might not involve the potential merit of an unexhausted claim. But the Supreme Court has "consistently eschewed a case-by-case approach to deciding whether an order is sufficiently collateral." Cunningham v.Hamilton Cty., Ohio ,
The wisdom of the Supreme Court's approach is self-evident. For example, let's assume that Utah's appellate arguments are important and completely separate from the merits. If we were to base the collateral-order doctrine solely on the happenstance of what Utah argues in a given case, we would be allowing or disallowing interlocutory appeals of all Rhines stays based on what a single party has chosen to argue in a single case. To avoid this anomaly, the Supreme Court has required us to consider the underlying class of orders rather than the peculiarities of the arguments presented by this particular appellant. See pp. 454-55, above. So here we consider the entire category of orders. See
The dissent apparently agrees, stating that we must "look[ ] to the issues the class of orders ( Rhines stays) generally raise." Dissent at 473. And the dissent acknowledges that we are not to focus on "case-specific issues," such as the issues presented in this particular order granting a Rhines stay.
With this acknowledgment, the dissent contends that the appellant must present "at least one issue " that is "completely separate from the merits." Id. at 472 (emphasis in original). But the Supreme Court has consistently rejected this approach, holding that even if some appeals of Rhines stays might involve appellate issues separable from the merits, the collateral-order doctrine cannot apply absent complete separation for the entire class of orders. Richardson-Merrell, Inc. v. Koller ,
The categorical approach is apparent in the Supreme Court's handling of qualified immunity. There the Court has held that legal issues involving a clearly established violation are completely separate from the merits. Mitchell v. Forsyth ,
The Supreme Court later went further, expressly disavowing a case-by-case approach in Johnson v. Jones ,
Beyond qualified immunity, circuit courts have followed the Supreme Court's lead by deciding the element of complete separation based on the class of orders involved rather than approaching this element based on the particular issues raised by a particular appellant. See Henry v. Lake Charles Am. Press, L.L.C. ,
*461("The Supreme Court has applied the collateral order rule categorically, treating different sorts of defenses or issues as either covered or not covered.").
* * *
Viewed as a category, interlocutory appeals of Rhines stays would generally enmesh us in the merits. Thus, the collateral-order doctrine's second element is not met when the district court grants a Rhines stay.
B. The grant of a Rhines stay can be reviewed in the appeal from a final judgment.
Utah fails to satisfy not only the collateral-order doctrine's second element but also the third element.
Under this element, appellate jurisdiction exists only if the issue is important and could not otherwise be effectively reviewed after the entry of final judgment. Mitchell v. Forsyth ,
Utah argues that the grant of a Rhines stay is unreviewable after a final judgment because (1) the loss of time can never be remedied and (2) the grant of a stay becomes moot upon entry of a final judgment. We reject both arguments.
As Utah points out, the delay itself is unreviewable because a court can't restore Utah's lost time. But we do not ordinarily regard the loss of time as sufficiently important to trigger the collateral-order doctrine. See United States v. Section 17 Tp. 23 North, Range 22 East of IBM, Delaware Cty., Okla. ,
Time is a precious commodity in habeas proceedings, particularly when the petitioner faces a death sentence (as Mr. Kell does). And until now, the case has lingered in state and federal courts for roughly a quarter of a century. But we cannot single out particular cases to decide the extent of the interest lost by deferring review. Instead, we must consider the public interest based on the class of orders ( Rhines stays). See Mohawk Indus., Inc. v. Carpenter ,
To answer, we must consider the many important interests that exist, often in tension with one another. For example, the state has important interests in comity and enforcement of its own criminal judgments, which Congress recognized in the Antiterrorism and Effective Death Penalty Act of 1996. See Williams v. Taylor ,
To ease this tension, Congress has required habeas petitioners to exhaust state-court remedies.
The Supreme Court sought to balance these competing interests in Rhines by giving discretion to federal district courts to stay habeas proceedings while a petitioner exhausts state-court remedies. Rhines v. Weber ,
For this inquiry, we start with Congress's policy against piecemeal review. In general, Congress has tried to avoid piecemeal review by confining appellate review to final orders. See Abney v. United States ,
The Supreme Court has respected this congressional policy choice and restricted prejudgment review because it inefficiently fosters piecemeal appeals. See Mohawk Indus., Inc. v. Carpenter ,
Given Congress's preference against interlocutory review, we must consider whether Rhines stays involve aberrant circumstances justifying our intrusion into Congress's effort to avoid piecemeal review. We think not. In Rhines itself, the Supreme Court balanced the compelling interests by devising a procedure to accommodate
• the state's interest in comity,
• the congressional requirement of exhaustion of state-court remedies,
• the congressional determination that piecemeal review generally slows the litigation,
• the universal recognition that habeas cases should proceed expeditiously, and
• the congressional objective in the Antiterrorism and Effective Death Penalty Act to streamline habeas proceedings.
Rhines v. Weber ,
If we were to intervene after a district court granted a stay, would our intervention quicken or slow the litigation? Here, the district court stayed the proceedings for only a single claim and stated that the proceedings would continue on all of the other habeas claims. If we were to interject ourselves now, we could inadvertently trigger simultaneous litigation of the same case in three courts:
1. the state district court or the state appellate court,
2. the federal district court, and
3. our court.
We question the efficiency of duplicative litigation in three courts. See Swanson v. DeSantis ,
But double or triple litigation tracks could create not only inefficiency but also more delay. For example, if we were to affirm the grant of a stay, we could be needlessly slowing the habeas litigation for the time that we take to decide the appeal. And, of course, district courts aren't limited to the number of Rhines stays in a single case. Here, for example, the district court has issued two Rhines stays. If those stays had triggered the collateral-order doctrine, we could have slowed the litigation twice already with the possibility of a third delay when the case ends in district court. In these circumstances, we decline to single out Rhines stays as a class of orders that would be resolved more quickly by authorizing piecemeal appeals.
*465Our dissenting colleague disagrees, stating that this is not the relevant question. Dissent at 477-78. But we are simply addressing the arguments presented by Utah and our dissenting colleague. Both argue that interlocutory review is essential to prevent delays in enforcing the State's criminal judgment. Indeed, while challenging our characterization of the question, the dissent insists that "[t]he delay-which is, in itself, a win for Petitioner-is exactly what harms the State's interest." Id. at 478. In short, the arguments by Utah and our dissenting colleague require us to consider whether piecemeal review would truly promote the State's interest in expeditious enforcement of its criminal judgments or cause more delay.
Utah and the dissent also argue that waiting for a final judgment might prevent any appeal of an order granting a Rhines stay.
Even if review of the grant of a Rhines stay would eventually become moot, however, the final judgment would certainly be appealable. See *466Alexander v. U.S. Parole Comm'n ,
* * *
The issues in Rhines stays are not categorically separate from the merits and can be effectively reviewed in an appeal from a final judgment. So two of the three elements of the collateral-order doctrine are absent, precluding appellate jurisdiction.
C. The Supreme Court's consideration of the merits in Rhines does not support jurisdiction here.
Finally, Utah contends that appellate jurisdiction is supported by the Supreme Court's decision in Rhines to reach the merits. This contention is based on two steps:
1. Rhines v. Weber was appealed to the Eighth Circuit as a collateral order. See Rhines v. Weber ,346 F.3d 799 , 800 (8th Cir. 2003) (per curiam).
2. If the Eighth Circuit had lacked jurisdiction in Rhines , the Supreme Court would not have reached the merits.
We reject this contention.
In Rhines , appellate jurisdiction was not mentioned in any of the briefs or in the Supreme Court's opinion. And "[w]hen a potential jurisdictional defect is neither noted nor discussed in a federal decision, the decision does not stand for the proposition that no defect existed." Ariz. Christian School Tuition Org. v. Winn ,
But it wouldn't matter here even if the Supreme Court had implicitly blessed application of the collateral-order doctrine in Rhines . Before Rhines was appealed to the Eighth Circuit, that court's opinion in Carmichael v. White had allowed stays of mixed habeas petitions only in "truly exceptional circumstances." Carmichael v. White ,
When Rhines later went to the Supreme Court, the parties disagreed over the validity of the Eighth Circuit's test and the extent of a district court's authority to stay, consider, or dismiss mixed habeas petitions. See Rhines v. Weber ,
Given the Supreme Court's creation of a new test in Rhines , our consideration of Utah's appeal would entail
*467• the application of the Rhines factors rather than the previous Eighth Circuit test and
• the appropriateness of a stay rather than the district court's authority to stay, consider, or dismiss mixed habeas petitions.
These issues did not exist when Rhines was appealed to the Eighth Circuit. So even if the Supreme Court had silently concluded that the collateral-order doctrine applies to stays granted under the test in Carmichael , that conclusion would not apply to an appeal addressing the appropriateness of a stay based on the Rhines factors. See Howard v. Norris ,
5. Conclusion
We lack appellate jurisdiction. A Rhines stay is not a final decision, and two elements of the collateral-order doctrine are not met. This doctrine applies only when the order conclusively decides an important question, separate from the merits, that would be effectively unreviewable in a direct appeal from a final judgment. But when Rhines stays are viewed categorically, the issues are generally inseparable from the merits and reviewable after entry of the final judgment. We thus lack appellate jurisdiction and dismiss the appeal.
As the dissent points out, the district court denied certification of an interlocutory appeal. In denying certification, the district court reasoned that an interlocutory appeal would slow the litigation.
The Supreme Court has explained:
The requirement that the matter be separate from the merits of the action itself means that review now is less likely to force the appellate court to consider approximately the same (or a very similar) matter more than once, and also seems less likely to delay trial court proceeds (for, if the matter is truly collateral, those proceedings might continue while the appeal is pending).
Johnson v. Jones ,
Here, for example, the district court granted two Rhines stays. Our appeal involves only the second stay.
Utah and the dissent downplay the significance of this relationship between the two, calling "potential merit" a "fraction of a fraction" of the test governing grants of Rhines stays. Appellant's Reply Br. at 5; Dissent at 475.
It is true that potential merit is just one element for a Rhines stay. But a court can enter a Rhines stay only if the unexhausted claim has potential merit. See pp. 451-52, above. Thus, potential merit may be a "fraction" of the test, but it is a requirement in any Rhines stay.
Utah also asserts that the "underlying merit of a habeas claim is only a fraction of the 'potential merit' factor." Appellant's Reply Br. at 5. We are not sure why Utah regards "potential merit" under Rhines as more inclusive than the actual merit of a habeas claim, and Utah supplies no explanation. Even if Utah were right, however, it has not explained how the issue of potential merit could satisfy the requirement of complete separation from the merits.
In Bolden , we considered whether the collateral-order doctrine applied to orders disqualifying an entire U.S. Attorney's office from representing the government.
Marc Dev't, Inc. v. FDIC ,
Pierce v. Blaine ,
Utah and the dissent criticize Mr. Kell for being dilatory, arguing that Mr. Kell waited until 2017 to seek a stay on his unexhausted claims. Because we lack jurisdiction, we have no occasion to address whether Mr. Kell was dilatory. We note, however, that Mr. Kell requested a stay in a reply brief filed in 2014. See Kell v. Benzon, No. 2 : 07-CV-359, dkt. no. 115 at 50 (D. Utah Jan. 24, 2014) (Pet'r's Reply Br.) ("Mr. Kell asks this Court to stay these proceedings and hold them in abeyance to allow him to return to state court to exhaust those claims."). But as Utah and the dissent point out, he didn't move for a stay on this issue until 2017.
The dissent calls this possibility an "irrelevant rabbit hole," reasoning that "the question is whether the district court's order resolves an issue that is completely separate from the merits." Dissent at 474 n.4. As the dissent elsewhere acknowledges, however, the question must not only be completely separate from the merits but also "important." Dissent at 471-72. Here we are considering the element of importance. Because the presence of an important issue is necessary under the collateral-order doctrine, our inquiry into the importance of the good-cause test is not an "irrelevant rabbit hole."
The dissent questions our application of the requirement of complete separation, stating that we are avoiding the "obvious" reality that the definition of the standard for good cause is "a purely legal issue that has no overlap with the merits of the case." Dissent at 474 (emphasis in original). The dissent bases its disagreement on footnote ten in Mitchell v. Forsyth ,
The Supreme Court illustrated this point with a disqualification order.
Under Mitchell ' s footnote ten, misapplication of Rhines 's requirement of good cause could not satisfy the "complete separation" requirement unless the issue were categorically separate from the merits of any of the habeas claims.
The Koller Court explained:
This Court ... has expressly rejected efforts to reduce the finality requirement of [28 U.S.C.] § 1291 to a case-by-case determination of whether a particular ruling should be subject to appeal. Even if some orders disqualifying counsel are separable from the merits of the litigation, many are not. Orders disqualifying attorneys on the ground that they should testify at trial, for example, are inextricable from the merits because they involve an assessment of the likely course of the trial and the effect of the attorney's testimony on the judgment. Appellate review of orders disqualifying counsel for misconduct may be entwined with the merits of the litigation as well.
472 U.S. at 439,
Because Kozeny was issued by a two-judge motions panel, we would ordinarily discount the opinion's precedential value. Crystal Clear Comm'ns, Inc. v. Sw. Bell Tel. Co. ,
In Kershaw , the Fifth Circuit observed that in Moses Cone , the Supreme Court had regarded a stay as final when its purpose and effect were to surrender jurisdiction of a federal suit to a state court. Kershaw ,
In Mohawk Industries , the Supreme Court explained:
[T]he decisive consideration is whether delaying review until the entry of final judgment "would imperil a substantial public interest" or "some particular value of higher order."
In making this determination, we do not engage in an "individualized jurisdictional inquiry." Rather, our focus is on "the entire category to which the claim belongs." As long as the class of claims, taken as a whole, can be adequately vindicated by other means, "the chance that the litigation at hand might be speeded, or a 'particular injustic[e]' averted," does not provide a basis for jurisdiction under § 1291.
Mohawk Indus .,
Other circuit courts have generally declined to apply the collateral-order doctrine to orders subject to the abuse-of-discretion standard. See Grace v. Vannoy ,
Utah contends that these stays have "become the norm" for Utah's death row inmates. In fact, as Utah points out, seven Utah inmates on death row (including Mr. Kell) have requested Rhines stays. The district court denied two of these requests. Honie v. Benzon , No. 2:07-cv-628 JAR, dkt. no. 120 (D. Utah. Dec. 13, 2017); Lafferty v. Benzon , No. 2:07-cv-322 DB, dkt. no. 379 (D. Utah Oct. 30, 2015). And in a third case, the respondent did not object to a Rhines stay. Carter v. Benzon , No. 2:02-cv-326 TS, dkt. nos. 567, 576 (D. Utah Mar. 1, 2016). We thus know only that a slight majority of capital defendants in Utah have obtained Rhines stays over an objection. Archuleta v. Benzon , No. 2 : 07-cv-630 TC, dkt. no. 107 (D. Utah Nov. 12, 2014); Kell v. Benzon, No. 2 : 07-cv-359, dkt. nos. 51, 258 (D. Utah Oct. 8, 2009, Nov. 16, 2017); Taylor v. Benzon , No. 2 : 07-cv-194 TC, dkt no. 45 (D. Utah Feb. 14, 2008); Menzies v. Benzon , No. 2:03-cv-902 TC, dkt. nos. 41, 47 (D. Utah Oct. 27, 2004, May 5, 2005).
Rather than await a final judgment, the government could have sought a writ of mandamus. See Gulfstream Aerospace Corp. v. Mayacamas Corp. ,
Utah devoted a single sentence to this issue, writing (with no explanation) that "[t]he grant of a Rhines stay will always be moot and unreviewable on plenary appeal." Appellant's Opening Br. at 6. In response, Mr. Kell argued that if the district court grants relief on the stayed claim, the Court of Appeals could reverse the entry of a Rhines stay and find the claim unexhausted. Appellee's Response Br. at 6. Utah failed to respond to this argument in its reply brief.
Dissenting Opinion
Today, this Court holds we do not have appellate jurisdiction over grants of Rhines stays in capital cases. In so holding, the Court fails to see the forest for the trees. Despite the Supreme Court's repeated admonitions that we should give
I.
The Court's opinion brings to mind the 1989 Report of the Ad Hoc Committee on Federal Habeas Corpus in Capital Cases, which was formed by Chief Justice Rehnquist and chaired by Justice Powell. Judicial Conference of the U.S., Ad Hoc Comm. on Fed. Habeas Corpus in Capital Cases, Comm. Report and Proposal (Aug. 23, 1989) [hereinafter Powell Comm. Report]. The Committee determined federal habeas law "has led to piecemeal and repetitious litigation, and years of delay between sentencing and a judicial resolution as to whether the sentence was permissible under the law."
Against this backdrop, Congress passed the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA)-the long title of which is "An Act to deter terrorism, provide justice for victims, provide for an effective death penalty , and for other purposes."
*468Pub. L. No. 104-132,
Prior to the passage of AEDPA, a district court was required to dismiss a federal habeas petition that included both exhausted and unexhausted claims-that is, a "mixed" petition. Rose v. Lundy ,
In Rhines , the Supreme Court upheld this stay-and-abeyance procedure but acknowledged "[s]tay and abeyance, if employed too frequently, has the potential to undermine" the purposes of AEDPA.
II.
In 1994, Petitioner Troy Kell, a white supremacist incarcerated in state prison, *469stabbed African-American inmate Lonnie Blackmon sixty-seven times. Petitioner's attack lasted approximately two and a half minutes, during which Petitioner walked away twice only to return again to Blackmon's writhing body to continue to stab him. Blackmon, who was handcuffed and held down by Petitioner's accomplice during the attack, bled to death. The facts of the murder have never been in dispute, as the murder was captured on prison security video. Petitioner proceeded to trial, and in 1996, a jury found Petitioner guilty of aggravated murder and sentenced him to death. In 2002, the Supreme Court of Utah upheld his conviction and sentence on direct appeal. State v. Kell ,
Petitioner's federal case resumed after the three-year Rhines stay. In 2013, Petitioner filed an amended habeas petition. In this petition filed seventeen years after his conviction, Petitioner raised the new claim that the trial court gave an unconstitutional supplemental jury instruction that shifted the burden of proof onto Petitioner during the penalty phase deliberations. In support, Petitioner attached three juror declarations signed eight months before he filed his amended petition. Two jurors recalled the trial judge speaking to the jury after deliberations began. The other juror recalled, in more specificity, that when the judge spoke to the jurors during deliberations, he said "that [Petitioner's] attorney's [sic] had to show us that [Petitioner's] life should be spared." ROA Vol. IV, 666. Petitioner noted "[t]here are no indications in the trial transcripts of a question from the jury after the beginning of deliberations, either during the guilt or penalty phases."
Over four and a half years after filing his amended habeas petition , Petitioner filed a motion for a second Rhines stay so that he could exhaust his supplemental-instruction claim (and another claim not relevant to this appeal) in state court.
Regarding the potential merit of the supplemental-instruction claim, the district court did not consider the State's arguments that the claim would be time-barred or procedurally barred in state court. Invoking notions of "federalism" and "comity," the court held the state courts must "have the opportunity to make those procedural decisions." Id. at 1728-29. The court then explained Petitioner's claim and apparently held it was potentially meritorious. The district court's analysis-which, again, purports to be about whether the supplemental-instruction claim was potentially meritorious-reads in full:
Counsel in [Petitioner's] state habeas proceedings admitted that he was unaware of this issue because he failed to speak with any of the jurors, and that there was no strategic reason for his failure to do so. Because counsel was unaware of the issue, he failed to raise this claim to the state court, meaning that [Petitioner] has been denied the opportunity to have this potentially significant claim reviewed by the state court. Counsel's failure to raise this potentially meritorious claim constitutes good cause under Rhines .
Id. at 1732 (citation omitted). In other words, the district court concluded Petitioner's claim was potentially meritorious without analyzing whether the claim was potentially meritorious. Instead, the district court looked to Petitioner's counsel's failure to investigate and raise the claim in state court-considerations not at all relevant to whether Petitioner's constitutional rights were potentially violated by an alleged ex parte supplemental jury instruction-and confusingly determined this failure constitutes "good cause," a conclusion the court had already reached in element one.
Lastly, the district court held there was "no indication that [Petitioner] has engaged in intentional or abusive dilatory litigation tactics." Id. at 1733. The court reasoned federal proceedings were stayed until 2012, and Petitioner had followed the case management schedule. Rejecting the State's argument that nothing prevented Petitioner from bringing the claim in state court earlier, the court held Petitioner satisfied the third Rhines element.
After determining all three elements were satisfied, the district court issued the stay. Only then did Petitioner file a petition in state court raising the supplemental-instruction claim. Not surprisingly, the state trial court has since rejected this claim as both time and procedurally barred. The case is now pending before the Supreme Court of Utah.
*471Kell v. Ben zon , No. 20180788 (appeal docketed Oct. 1, 2018).
In the meantime, the State requested that the district court certify for immediate appeal its grant of a second Rhines stay under
III.
This Court has "jurisdiction of appeals from all final decisions of the district courts of the United States[.]"
*472Cohen v. Beneficial Indus. Loan Corp. ,
A.
The second collateral order doctrine element requires the order to "resolve important questions separate from the merits." Swint ,
*473(stating the order must "resolve an important issue completely separate from the merits of the action" (emphasis added)); Coopers & Lybrand v. Livesay ,
Of utmost importance, in each of these cases, "completely separate" modified "issues," "an issue," "a question," and "questions," not "an order." Therefore, the only reasonable conclusion to be reached is that there must be "an issue" that is "completely separate" from the merits of the action. Such a conclusion is consistent with the Supreme Court's explicit rejection of the argument that there must be no overlap whatsoever between a collateral order and the merits of a claim. Mitchell , 472 U.S. at 529 n.10,
The Court today understands this to contravene the requirement that we must view the class of orders as a whole. To be clear, I absolutely agree with the well-settled requirement that we must focus on the class of orders. We cannot focus on the class of orders, however, without looking to the issues the class of orders generally raise. Here, we must look to Rhines -stay-specific issues. Looking to Rhines -stay-specific issues is wholly different than analyzing the issues on a case-by-case basis. At no point in this dissent do I advocate for analyzing case-specific issues-something the Court and I agree is unacceptable. In sum, we must look to issues that orders granting Rhines stays generally raise (as opposed to the issues this order granting a Rhines stay raises); if one or more of these issues is completely separate from the merits, this element is satisfied. From what I understand, the Court thinks we must look to issues that any order granting a Rhines stay could hypothetically raise; if any of these issues overlap with the merits, this element is not satisfied. This understanding does not comport with Supreme Court precedent, nor our own. Mitchell , 472 U.S. at 529 n.10,
The requirement that there be "an issue" that is "completely separate" from the merits is undoubtedly met in this case. In fact, at least three such issues are involved in granting a Rhines stay. The first, which is a purely legal issue, is whether the appropriate standard for "good cause" is akin to "cause" to overcome procedural default or is something less stringent. "Cause" to overcome procedural default requires a petitioner to show "something external to the petitioner, something that cannot fairly be attributed to him" or his counsel prevented the petitioner *474from raising a claim. Coleman v. Thompson ,
Unfortunately, the Court today sidesteps the State's purely legal argument about the "good cause" standard and unnecessarily criticizes the State's arguments by noting we must look to categories of cases rather than the particular arguments raised in an individual case. Maj. Op. at 455-57. But literally every grant of a Rhines stay, not just this particular grant of a Rhines stay, must decide what the appropriate standard for determining "good cause" is.
The second issue that does not overlap with the merits is whether the district court can consider state time and procedural bars in determining whether a claim is "potentially meritorious." In this case, the district court answered in the negative: "[I]n considering whether [Petitioner's] claims are potentially meritorious, this court will not address possible state court time and procedural bars, but will leave the determination of the procedural posture of the claims to the state court." ROA Vol. VII, 1729. The district court supported its holding with statements from a district court order, two wholly inapposite out-of-circuit opinions, and one Tenth Circuit opinion that does not address this issue.
*475Simpson v. Camper ,
Additionally, the third Rhines element, which requires a court to consider whether the petitioner engaged in intentionally dilatory litigation tactics, does not overlap with the merits. While this element does not appear to present a purely legal issue, the facts involved are completely separate from the facts involved in a petitioner's unexhausted claim. At this point, we have three issues, two of which are purely legal, that have no overlap with the merits of a petitioner's claim-none whatsoever. The Court today fails to acknowledge this reality.
The Court instead focuses only on two issues that it asserts overlap with the merits: the application of the "good cause" standard to the facts of the case and whether the claim has "potential merit." This latter issue, which is "a fraction of a fraction" of the total inquiry in issuing a Rhines stay, undoubtedly overlaps with the merits. Rep. Br. at 5. The former issue's overlap with the merits, however, is questionable. The Court's assertion that the application of the good cause standard will "often overlap with a court's preliminary assessment of the merits" seems to me to be an exaggeration. Maj. Op. at 458. The Court points to two situations in which this could happen: if a petitioner raises a Brady claim and if a petitioner raises a different claim of ineffective assistance of counsel. As explained above, I do not understand Supreme Court precedent to require us to engage in a hypothetical inquiry of all possible permutations of claims that could be brought in order to determine whether an order is appealable pursuant to the collateral order doctrine. Accordingly, I remain focused on the issues grants of Rhines stays generally raise, rather than every issue a grant of a Rhines stay could hypothetically raise.
Even though the district court must consider some factual allegations in a petition before granting a Rhines stay (a duty that the district court failed miserably to perform in this case), a grant of a Rhines stay undoubtedly "resolve[s] important issues 'completely separate from the merits.' " Microsoft Corp. ,
B.
The third collateral order doctrine element requires the order to be "effectively *476unreviewable on appeal from the final judgment in the underlying action." Swint ,
The Court points out that "the district court's ultimate rulings on the habeas claims would be reviewable after the final judgment." Maj Op. at 466. Of course. But that certainly does not mean "the collateral-order doctrine's third element would remain unsatisfied even if the grant of a Rhines stay were to become moot." Id. at 466. We are not concerned here with whether other issues involved in this case, such as "the district court's ultimate rulings on the habeas claims," would be reviewable on appeal of the final judgment; we are concerned with whether the issues involved in granting a Rhines stay are reviewable on appeal of the final judgment.
Even assuming a court has the opportunity to review a district court's issuance of a Rhines stay after final judgment-a proposition I vehemently disagree with-we must then look to the importance of the interests at stake. Whether an order is "effectively unreviewable" necessarily requires "a judgment about the value of the interests that would be lost through rigorous application of a final judgment requirement." Mohawk Indus., Inc. ,
The "decisive" question, then, is just this: does delaying review of the Rhines stay until after a petitioner exhausts his claims in state court and returns to federal court "imperil a substantial public interest" or "some particular value of a high order"? See Mohawk Indus., Inc. ,
Not only has the Supreme Court put "great weight" on a state's power to enforce its criminal law, Congress has also prioritized this power with the passage of AEDPA. One of the driving forces in passing AEDPA was to "reduce delays in the execution of state and federal criminal sentences, particularly in capital cases ." Rhines , 544 U.S. at 276,
The Court today does not dispute the importance of the issues at stake. Indeed, this would be difficult to do in light of the fact that this Court has previously held an appeal concerning an anti-SLAPP statute, which aims to "nip harassing litigation in the bud," was too important to be denied review until entry after final judgment. Los Lobos Renewable Power, LLC v. Americulture, Inc. ,
*478
Let us not forget: Petitioner stabbed Blackmon to death almost twenty-five years ago; he was sentenced to death over twenty-two years ago; his direct appeals ended over sixteen years ago; his state post-conviction proceedings ended over ten years ago; his federal habeas petition was filed nearly ten years ago; he received his first Rhines stay, which lasted three years, over nine years ago; and his amended petition was filed over six years ago. The State of Utah most certainly has an undeniable interest, deemed important by both the Supreme Court and Congress, to carry out its punishment against Petitioner without further delay. This interest is indeed lost if the State cannot appeal the grant of the Rhines stay now. The delay-which is, in itself, a win for Petitioner-is exactly what harms the State's interest. Because delaying review would jeopardize both "a substantial public interest" and "some particular value of a high order," the grant of a Rhines stay in a capital case is "effectively unreviewable on appeal from a final judgment."
* * *
The Court cites to three other circuits in support of its holding that a grant of a Rhines stay is reviewable after final judgment: Grace v. Vannoy ,
Even if we push that crucial fact aside, these cases otherwise rest on flimsy reasoning. In Thompson , the Ninth Circuit indeed held "[a] district court order staying proceedings to allow a state habeas petition to exhaust claims in state court is reviewable on appeal after final judgment."
The Court also cites to Howard , which held the grant of a Rhines stay "fails the third condition [of the collateral order doctrine] 'because a district court's conclusion about whether a habeas claim has been exhausted is addressable on appeal after final judgment.' "
The latest circuit to join the conversation is the Fifth Circuit in Grace . Grace relied on Thompson and Howard -albeit in conjunction with a more thoughtful analysis-to reach the conclusion that Rhines stays are not appealable orders. Grace ,
C.
As if satisfying the three collateral order doctrine elements was not enough, the policy behind limiting jurisdiction to "final" orders-which in many cases cuts against the exercise of jurisdiction, see, e.g. , Moses H. Cone ,
IV.
The Supreme Court has made itself perfectly clear that only a "narrow class" of decisions fall within the collateral order doctrine, and I have taken this directive to heart. See Los Lobos Renewable Power, LLC ,
Because we have jurisdiction pursuant to the collateral order doctrine, I respectfully dissent. I would proceed to the merits.
The Court states that Petitioner requested a stay in 2014. Maj. Op. at 456 n.8. Just to be clear, this "request" consisted of one sentence buried in a 208-page reply brief to his petition, which obviously has not been ruled on. ROA Vol. VI, 1278. The fact remains that Petitioner did not file a motion to stay regarding the issue underlying this appeal until 2017-over four and a half years after filing his amended habeas petition.
I preface my discussion of the collateral order doctrine by noting Rhines itself was appealed to the Eighth Circuit pursuant to the collateral order doctrine. Rhines v. Weber ,
Federal courts, including the Supreme Court, "have an independent obligation to determine whether subject-matter jurisdiction exists, even in the absence of a challenge from any party." Arbaugh v. Y&H Corp. ,
An order is "conclusive" when "nothing in the subsequent course of the proceedings in the district court ... can alter the court's conclusion." See Mitchell v. Forsyth ,
Given a district court must hold "good cause" exists (which requires defining the "good cause" standard) in order to issue a Rhines stay, this fact is not up for debate. The Court "see[s] the issue differently" because if the Court proceeded to the merits, we might not reach the "good cause" issue and instead rule on other grounds. Maj. Op. at 456-57. But the question is not whether this Court would necessarily have to rule on the issue. At the risk of sounding like a broken record, the question is whether the district court's order resolves an issue that is completely separate from the merits. E.g. , Will , 546 U.S. at 349,
In its discussion of the second element, the Court asserts: "if the district court enters multiple Rhines stays, we could face three or more appeals with overlapping issues." Maj. Op. at 453. I understand that if Rhines stays are appealable and multiple Rhines stays are entered, this Court could face three or more appeals. But the Court does not clarify when these potential "three or more appeals" would concern "overlapping issues." Even where a district court issues multiple Rhines stays, each Rhines stay concerns different claims by a petitioner and therefore different issues. To illustrate, a district court issues a Rhines stay on claim x , allowing the petitioner to exhaust the claim in state court. After the petitioner exhausts claim x in state court and returns to federal court, the district court is not going to issue another Rhines stay for the purpose of allowing the petitioner to exhaust claim x . If there is a second Rhines stay, it would be issued for the petitioner to exhaust claim y . If both of these Rhines stays are appealed and then the final judgment is appealed, the "same issues" would not be before this Court three or more times.
The Court also states Petitioner could have filed a writ of mandamus rather than await final judgment. Maj. Op. at 465 n.17. But a writ of mandamus is not the relief the Supreme Court contemplated in Rhines . The standard for issuing a writ of mandamus is higher than the abuse of discretion standard. In re Cooper Tire & Rubber Co. ,
Even so, the Court's analysis of this question is divorced from reality. I suggest if this court could review Rhines stays, the court might hold, for example, that "good cause" is akin to "cause" under procedural default. Or perhaps the court would hold that district courts' refusals to take state time and procedural bars into account in deciding whether a claim has potential merit does not comport with AEDPA or Rhines 's caution that stays be granted in only "limited circumstances." It would seem to me that if either of those very possible things happened, interlocutory review of Rhines stays would undoubtedly speed review over time, given district courts have issued multiple stays based on a lower standard of "good cause" and an understanding that the district court cannot consider time and procedural bars.
Congress and the Supreme Court have determined this piecemeal litigation, which is specifically caused by the total exhaustion requirement that renders Rhines stays necessary, is justified by comity. That is, state courts should have the chance to decide all issues before federal courts do. The Powell Committee questioned whether, in reality, we promote comity by allowing the state court to decide an issue before the federal court can. See Powell Comm. Report, supra page 1, at 22-23 ("Because of the existence of state procedural default rules, exhaustion is futile in the great majority of cases. It serves the state interest of comity in theory, but in practice it results in delay and undermines the state interest in the finality of its criminal convictions.").
Reference
- Full Case Name
- Troy Michael KELL, Petitioner-Appellee, v. Larry BENZON, Warden Utah State Prison, Respondent-Appellant.
- Cited By
- 14 cases
- Status
- Published