Rolando Gus Paez v. Secretary, Florida Department of Corrections
Opinion of the Court
*1305This case involves a state inmate who filed a petition under
After oral argument and careful consideration, we conclude this was error. When a § 2254 petition states a legally sufficient claim for relief, a district court must order the State to respond, even if the petition appears untimely. This response need not be an answer on the merits. It may take whatever form the district court deems appropriate, including a motion to dismiss on timeliness grounds. But while district courts have discretion to direct various types of responses, they are without discretion to dispense with any response altogether.
Since this District Court ordered no State response to Mr. Paez's petition before dismissing it, we vacate that dismissal and remand for further proceedings consistent with this opinion. Our ruling does not prejudice the ability of the Secretary to question the timeliness of Mr. Paez's petition on remand.
I.
In 2004, Mr. Paez pled no contest to second degree murder and two cocaine charges in St. Lucie County (Florida) Circuit Court. The state court sentenced him to four years imprisonment followed by two years of "community control." In 2010, while still on community control, Mr. Paez was arrested for violating the terms of his supervised release. In response, the state court revoked his community control and sentenced him to 25 years on the murder charge and 15 years on the cocaine charges, all to run concurrently.
After years of state postconviction litigation over the sentences imposed for his violation of community control, in 2016 Mr. Paez filed a § 2254 petition asserting three claims. First, he said the state court lacked jurisdiction to sentence him for the violation of his community control. Second, he said his sentence for community control violation in turn violated his double jeopardy rights. And third, he argued he is actually innocent of the crimes charged. Mr. Paez's petition also set forth some of the relevant dates his state postconviction motions were filed and decided. No attorney appeared on behalf of the Secretary of the Florida Department of Corrections, who has custody of Mr. Paez. An email address belonging to the Florida Attorney General does appear on the docket, and some filings *1306are marked as having been sent to this address. However, the Florida Attorney General never filed anything in the case.
Mr. Paez's petition was assigned to a magistrate judge. Rule 4 of the Rules Governing Section 2254 Proceedings in the United States District Courts required the magistrate judge to do a preliminary assessment of Mr. Paez's petition and dismiss "[i]f it plainly appears from the petition ... that the petitioner is not entitled to relief." After conducting this review, the magistrate judge took it upon himself to calculate the timeliness of Mr. Paez's petition.
A § 2254 petition must be filed within a year of, as relevant here, the date the challenged conviction becomes final.
The dates Mr. Paez gave in his petition together with those reflected on the electronic dockets made it appear that his petition was untimely. Based on those dates, the magistrate judge recommended sua sponte dismissing Mr. Paez's petition under Rule 4 without ordering the Secretary to respond. The District Court adopted the Report and Recommendation over Mr. Paez's objections.
This appeal followed. Our Court granted Mr. Paez a certificate of appealability on the issue of whether the District Court erred in dismissing the petition as untimely. Because Mr. Paez was proceeding pro se, the Court appointed Joseph A. DiRuzzo, III, to represent him on appeal. We appreciate Mr. DiRuzzo's diligent representation of Mr. Paez and his service to the Court.
II.
This case presents two distinct issues. The first is whether the District Court could properly take judicial notice of the online state court dockets in Mr. Paez's criminal cases. The second is whether it was error to dismiss Mr. Paez's petition as untimely without ordering the Secretary to respond. We review a district court's decision to take judicial notice of a fact for abuse of discretion. Lodge v. Kondaur Capital Corp.,
A.
Federal Rule of Evidence 201 permits a court to "judicially notice a fact that is not subject to reasonable dispute because it ... can be accurately and readily determined from sources whose accuracy cannot reasonably be questioned." Fed. R. Evid. 201(b)(2). State court records of an inmate's postconviction proceedings generally satisfy this standard. See Cunningham v. Dist. Att'y's Office,
The dates the District Court noticed from the online state court dockets constitute judicially noticeable facts under Rule 201. The dockets can be found on the website for the Clerk of the St. Lucie County Circuit Court, who is the public officer responsible for maintaining records of the St. Lucie County Circuit Court.
However, we caution that "the taking of judicial notice of facts is, as a matter of evidence law, a highly limited process. The reason for this caution is that the taking of judicial notice bypasses the safeguards which are involved with the usual process of proving facts by competent evidence in district court." Shahar v. Bowers,
These safeguards have particular importance in the context of determining the timeliness of § 2254 petitions. We know that online state court dockets may not always reflect the correct filing date for purposes of calculating the statute of limitations. For example, Florida and this Court both follow the "mailbox rule," which deems inmate papers filed the date of mailing or, absent an indication of the mailing date, the day the inmate signed them. See Washington v. United States,
While we urge caution, we conclude proper safeguards were followed in this case. Mr. Paez had an opportunity to object to the Report and Recommendation after the magistrate judge took judicial notice of the dates from his state court dockets. Mr. Paez did not ask to be heard. See Fed. R. Evid. 201(e) (requiring a hearing where the party requests one). Neither did he dispute the accuracy of the docket entries the magistrate judge relied upon. Finally, Mr. Paez gave no indication he lacked the ability to dispute the docket sheets-because of, say, his lack of an Internet connection. The docket entries here were properly noticed, and the procedure followed gave Mr. Paez an opportunity to ask to be heard on the propriety of judicial notice. Thus, we see no abuse of discretion.
B.
Having concluded the docket entries relied upon by the District Court were properly noticed, we now turn to the second issue. That is, whether the District Court erred in dismissing sua sponte Mr. Paez's § 2254 petition without ordering the Secretary to respond. We hold the District Court abused its discretion when it dismissed Mr. Paez's petition in that way. Before dismissing Mr. Paez's petition on its own initiative, the District Court was required by Rule 4 of the Rules Governing Section 2254 Proceedings in the United States District Courts and by the Supreme Court's holding in Day v. McDonough,
Rule 4 requires district courts to dismiss § 2254 petitions without ordering the State to respond "[i]f it plainly appears from the petition and any attached exhibits that the petitioner is not entitled to relief." This preliminary review calls on the district court to perform a screening function, ordering summary dismissal where a petition makes no meritorious claim to relief. See Rules Governing § 2254 Cases, R. 4 advisory committee's note ("[I]t is the duty of the court to screen out frivolous applications."). The procedure serves to "eliminate the burden that would be placed on the respondent by ordering an unnecessary answer."
To survive Rule 4 review, a § 2254 petition must set forth facts that, if true, would establish a constitutional violation entitling the petitioner to relief. See Borden v. Allen,
*1309McFarland v. Scott,
Rule 4 does not, however, permit district courts to sua sponte dismiss § 2254 petitions based on non-jurisdictional procedural bars to habeas relief at this stage of preliminary review. See Borden,
What's more, we cannot imagine how it could "plainly appear from the petition that the petitioner is not entitled to relief" on non-jurisdictional procedural grounds, as required for Rule 4 dismissal. A State may waive these defenses. See In re Jackson,
Beyond this, Rule 4 required the District Court to order a response to Mr. Paez's petition. The Rule's text could not be plainer: "If the petition is not dismissed" as nonmeritorious, Rule 4 says "the judge must order the respondent to file an answer, motion, or other response within a fixed time, or to take other action the judge may order." Rules Governing § 2254 Cases, Rule 4 (emphasis added). The Rule gives district courts "flexibility" to order something other than an answer, such as a motion to dismiss where the petition appears untimely or unexhausted on its face, where the case warrants it.
The dissenting opinion disagrees with our reading, saying Rule 4's text does not limit summary dismissal to meritless petitions. Dissenting Op. at 1311-12. But we do not read the dissenting opinion to engage with Borden or Granberry, both of which describe Rule 4 dismissal as a merits determination. Neither does the opinion explain how a deficiency like untimeliness could ever be apparent from the face of a petition when the State can waive it. In our view, the State's position on a petition's timeliness will never appear in the petition or any attached exhibits, and these are the only materials the Rule contemplates district courts consulting as part of its preliminary review. See Rules Governing § 2254 Cases, R. 4.
The dissenting opinion also suggests we can infer the Secretary's desire to assert the statute of limitations from his silence in the face of Mr. Paez's petition. Dissenting Op. at 1313-14. But the Secretary's silence does not come from the petition or any attached exhibits either, so considering it takes us beyond the review that Rule 4 sets out. If we go so as far as to attribute meaning to silence, then surely Rule 4's requirement that the district court order *1310the respondent to take some action would kick in. In any event, this record contains no evidence about who monitors the email address listed on the docket or whether anyone from the Florida Attorney General's office reviewed Mr. Paez's petition. We have no confidence that this record supports an inference that the statute of limitations has been invoked in these circumstances.
Our holding is consistent with the Supreme Court's recognition in Day "that district courts are permitted, but not obliged, to consider, sua sponte, the timeliness of a state prisoner's habeas petition."
But at the same time it recognized a district court's discretion to raise timeliness sua sponte, the Day Court also recognized that this discretion has limits. Before a district court may "act[ ] on its own initiative," Day holds the district court "must accord the parties fair notice and an opportunity to present their positions." Id. at 210,
This limitation tracks Rule 4's requirements. Day confirms that a court must seek the parties' position on timeliness before dismissing a § 2254 petition on that ground. Id. at 210,
The dissenting opinion says Day does not control. Dissenting Op. at 1312. We certainly agree that Day does not answer the precise question before us. We simply observe that our opinion is consistent with the principles set forth in Day, so we believe we have the better reading of Rule 4.
*1311In short, Rule 4 and Day make no allowance for a district court to dismiss a § 2254 petition on timeliness grounds without first ordering the State to respond in some way, though district courts have broad discretion to choose the form of the response. The District Court abused its discretion here when it dismissed the petition without ordering any response from the Secretary.
III.
The District Court went beyond what Rule 4 and Day allow-and thus abused its discretion-when it dismissed Mr. Paez's petition without ordering the Secretary to respond in some form. We therefore VACATE the dismissal of Mr. Paez's habeas petition and REMAND for further proceedings consistent with this opinion. On remand, the District Court must order the Secretary to respond to Mr. Paez's petition. We express no view on the form that response should take, nor about the timeliness of Mr. Paez's petition. And we reiterate that nothing precludes the Secretary from raising the statute of limitations as a defense to Mr. Paez's petition.
In Bonner v. City of Prichard,
The docket entries can be found at: https://courtcasesearch.stlucieclerk.com/BenchmarkWebExternal/Home.aspx/Search. Mr. Paez's case numbers are 56-2003-CF2667B and 56-2003-CF2934A. We were able to access the docket sheets using these case numbers with no trouble.
This ruling is consistent with non-binding opinions from prior panels of this Court. See Boyd v. Georgia,
Judge Traxler's point that "the State has never indicated a desire to waive the limitations bar" is well taken. Dissenting Op. at 1313. But neither did the State indicate a desire to assert it in the District Court. This is why we made clear above and do so again here that the Secretary may assert the untimeliness of Mr. Paez's petition on remand.
Concurring in Part
I concur in Section II.A. of the majority's opinion. I agree that the district court properly took judicial notice of the online state court dockets to determine the timeliness of Mr. Paez's petition for habeas relief under
Through
Mr. Paez initiated his § 2254 petition by completing the standard form habeas petition (Form AO 251 (Rev. 01/15)). The Form instructs the petitioner that, "If your judgment of conviction became final over one year ago, you must explain why the one-year statute of limitations as contained in
*1312Accordingly, a report and recommendation was prepared for the district court, recommending summary dismissal after outlining the pertinent dates which demonstrated the untimeliness of the petition. Mr. Paez was provided with a copy of the report and recommendation. The magistrate judge's action was also docketed, and the docket entry likewise reflected the summary recommendation "that this petition for writ of habeas corpus be summarily dismissed with prejudice as time-barred pursuant to ... § 2244(d)(1)-(2)." DS: 4. Mr. Paez filed objections to the report and recommendation, but he did not contest the dates of his state court proceedings relied on by the magistrate judge to show untimeliness, nor did he indicate any inability to verify the information in the state docket sheets. The district court agreed with the magistrate judge's recommendation and dismissed the petition.
In my opinion, Mr. Paez was provided all the required notice and opportunity to be heard on the issue of timeliness, and neither Rule 4 nor the Supreme Court's decision in Day v. McDonough,
First, Rule 4 does not textually restrict summary dismissals to merits-based deficiencies. As noted above, the district court must dismiss the petition "[i]f it plainly appears from the petition and any attached exhibits that the petitioner is not entitled to relief in the district court." Rules Governing § 2254 Cases, R. 4; see also Kilgore v. Attorney Gen. of Colo.,
Nor, in my view, does the Supreme Court's decision in Day require the judge to order the State to respond to the timeliness issue, and either affirmatively assert or waive the defense, before the court dismisses the action at the Rule 4 screening stage. The pertinent question in Day was "whether a federal court lacks authority, on its own initiative, to dismiss a habeas petition as untimely, [if] the State has answered the petition without contesting its timeliness,"
This case involves the quite different question of whether the district court may dismiss a habeas petition as plainly insufficient at the Rule 4 screening stage of the § 2254 proceedings, before the government had filed a response at all and after the petitioner was provided with notice of the statute of limitations and the recommendation that the petition should be dismissed on that basis. See Kilgore,
Here, Mr. Paez was provided ample notice and opportunity to explain why his petition was timely in his Form petition and again when he was given the opportunity to respond to the magistrate judge's report and recommendation that the petition be summarily dismissed as untimely. Moreover, the Attorney General was notified of the court's action, had an opportunity to respond (including an opportunity to inform the district court of any intention to waive the timeliness defense), and remained silent. And to this day, no one *1314contests that the petition was untimely, and the State has never indicated a desire to waive the limitations bar.
For these reasons, I see no abuse of discretion by the district court under Rule 4 or the Supreme Court's decision in Day . Mr. Paez was given "due notice and a fair opportunity to show why the limitation period should not yield dismissal of the petition," and "nothing in the record suggests that the State 'strategically' withheld the defense or chose to relinquish it." Day,
Day appears to contemplate this interpretation of the Rule as well. Petitioner Day argued that the district court lost authority to sua sponte raise AEDPA's time bar once an answer has been ordered and filed by the State. "Were we to accept Day's position," the Court noted, "courts would never (or, at least, hardly ever) be positioned to raise AEDPA's time bar sua sponte," because "information essential to the time calculation is often absent ... until the State has filed, along with its answer, copies of documents from the state-court proceedings." Day v. McDonough,
Reference
- Full Case Name
- Rolando Gus PAEZ, Petitioner-Appellant, v. SECRETARY, FLORIDA DEPARTMENT OF CORRECTIONS, Respondent-Appellee.
- Cited By
- 9 cases
- Status
- Published