Mayle v. Felix
Opinion of the Court
delivered the opinion of the Court.
This case involves two federal prescriptions: the one-year limitation period imposed on federal habeas corpus petitioners by the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), 28 U. S. C. § 2244(d)(1); and the rule that pleading amendments relate back to the filing date of the original pleading when both the original plea and the amendment arise out of the same “conduct, transaction, or occurrence,” Fed. Rule Civ. Proc. 15(c)(2).
Jacoby Lee Felix, California prisoner and federal habeas petitioner, was convicted in California state court of first-degree murder and second-degree robbery, and received a life sentence. Within the one-year limitation period AEDPA allows for habeas petitions, Felix filed a pro se petition in federal court. He initially alleged, inter alia, that the admission into evidence of videotaped testimony of a witness for the prosecution violated his rights under the Sixth Amendment’s Confrontation Clause. Five months after the expiration of AEDPA’s time limit, and eight months after the federal court appointed counsel to represent him, Felix filed
In ordinary civil proceedings, the governing Rule, Rule 8 of the Federal Rules of Civil Procedure, requires only "a short and plain statement of the claim showing that the pleader is entitled to relief.” Fed. Rule Civ. Proc. 8(a)(2). Rule 2(c) of the Rules Governing Habeas Corpus Cases requires a more detailed statement. The habeas rule instructs the petitioner to “specify all the grounds for relief available to [him]” and to “state the facts supporting each ground.”
The issue before us is one on which federal appellate courts have divided: Whether, under Federal Rule of Civil Procedure 15(c)(2), Felix’s amended petition, filed after AEDPA’s one-year limitation and targeting his pretrial statements, relates back to the date of his original timely filed petition, which targeted the videotaped witness testimony. Felix urges, and the Court of Appeals held, that the
I
In 1995, after a jury trial in Sacramento, California, respondent Jacoby Lee Felix was found guilty of murder and robbery stemming from his participation in a carjacking in which the driver of the car was shot and killed. App. E to Pet. for Cert. 2-7. He was sentenced to life imprisonment without the possibility of parole. App. C to Pet. for Cert. 1-2. The current controversy centers on two alleged errors at Felix’s trial. Both involve the admission of out-of-court statements during the prosecutor’s case in chief, but the two are otherwise unrelated. One prompted a Fifth Amendment self-incrimination objection originally raised in the trial court, the other, a Sixth Amendment Confrontation Clause challenge, also raised in the trial proceedings.
Felix’s Fifth Amendment claim rested on the prosecution’s introduction of statements Felix made during pretrial police interrogation. These statements were adduced at trial on direct examination of the investigating officer. Felix urged that the police used coercive tactics to elicit the statements. Id., at 8-9. His Sixth Amendment claim related to the admission of the videotaped statements prosecution witness Kenneth Williams made at a jailhouse interview. The videotape records Williams, a friend of Felix, telling the police that he had overheard a conversation in which Felix described the planned robbery just before it occurred. When Williams testified at trial that he did not recall the police interview, the trial court determined that Williams’ loss of
On direct appeal, Felix urged, inter alia, that the admission of Williams’ videotaped statements violated Felix’s constitutional right to confront the witnesses against him. He did not,, however, argue that admission of his own pretrial statements violated his right to protection against self-incrimination. The intermediate appellate court affirmed Felix’s conviction and sentence, id., at 10-13,17, and the California Supreme Court denied his petition for review, App. F to Pet. for Cert. 2. Felix’s conviction became final on August 12,1997. App. C to Pet. for Cert. 10.
Under AEDPA’s one-year statute of limitations, Felix had until August 12, 1998, to file a petition for a writ of ha-beas corpus in federal district court. See § 2244(d)(1)(A). Within the one-year period, on May 8,1998, he filed a pro se petition for federal habeas relief. Felix’s federal petition repeated his Sixth Amendment objection to the admission of the Williams videotape, but he again failed to reassert the objection he made in the trial court to the admission of his own pretrial statements. App. G to Pet. for Cert. 1-7. On May 29,1998, a Magistrate Judge appointed counsel to represent Felix. App. C to Pet. for Cert. 6; App. H to Pet. for Cert. 2. Thereafter, on September 15,1998, the Magistrate Judge ordered Felix to file an amended petition within 30 days. Id., at 3. On Felix’s unopposed requests, that period was successively extended. Id., at 4-5. Pending the filing of an amended petition, the State was not required to interpose an answer.
On January 28, 1999, over five months after the August 12, 1998 expiration of AEDPA’s time limit, and eight months after the appointment of counsel to represent him, Felix filed an amended petition. Id., at 5. In this pleading, he reasserted his Confrontation Clause claim, and also asserted, for the first time post-trial, that his own pretrial statements to
The Magistrate Judge recommended dismissal of Felix’s Fifth Amendment coerced statements claim. Relation back was not in order, the Magistrate said, because Felix’s “allegedly involuntary statements to police d[id] not arise out of the same conduct, transaction or occurrence as the videotaped interrogation of [prosecution witness] Kenneth Williams.” Ibid. It did not suffice, the Magistrate observed, that Felix’s Fifth and Sixth Amendment claims attack the same criminal conviction. Ibid. Adopting the Magistrate Judge’s report and recommendation in full, the District
A divided panel of the Court of Appeals for the Ninth Circuit affirmed the District Court’s dismissal of Felix’s Confrontation Clause claim, but reversed the dismissal of his coerced statements claim and remanded that claim for further proceedings. 379 F. 3d 612 (2004). In the majority’s view, the relevant “transaction” for purposes of Rule 15(c)(2) was Felix’s “trial and conviction in state court.” Id., at 615. Defining the transaction at any greater level of specificity, the majority reasoned, would “unduly strai[n] the usual meaning of ‘conduct, transaction, or occurrence’ ” by dividing the “trial and conviction [into] a series of perhaps hundreds of individual occurrences.” Ibid. Judge Tallman concurred in part and dissented in part. In his view, defining “conduct, transaction, or occurrence” under Rule 15(c)(2) “so broadly that any claim stemming from pre-trial motions, the trial, or sentencing relates back to a timely-filed habeas petition” would “obliterate] AEDPA’s one year statute of limitation.” Id., at 618. “While an amendment offered to clarify or amplify the facts already alleged in support of a timely claim may relate back,” he reasoned, “an amendment that introduces a new legal theory based on facts different from those underlying the timely claim may not.” Id., at 621.
We granted certiorari, 543 U. S. 1042 (2005), to resolve the conflict among Courts of Appeals on relation back of habeas petition amendments. Compare 379 F. 3d, at 614 (if original petition is timely filed, amendments referring to the same trial and conviction may relate back); Ellzey v. United States, 324 F. 3d 521, 525-527 (CA7 2003) (same), with United States v. Hicks, 283 F. 3d 380, 388-389 (CADC 2002) (relevant transaction must be defined more narrowly than the trial and conviction); United States v. Espinoza-Saenz, 235 F. 3d 501, 503-505 (CA10 2000) (same); Davenport v. United States, 217 F. 3d 1341, 1344-1346 (CA11 2000) (same); United States v.
II
A
In enacting AEDPA in 1996, Congress imposed for the first time a fixed time limit for collateral attacks in federal court on a judgment of conviction. Section 2244(d)(1) provides: “A 1-year period of limitation shall apply to an application for a writ of habeas corpus by a person in custody pursuant to the judgment of a State court.” See also §2255, ¶ 6 (providing one-year limitation period in which to file a motion to vacate a federal conviction).
A discrete set of Rules governs federal habeas proceedings launched by state prisoners. See Rules Governing Section 2254 Cases in the United States District Courts.
The Civil Rule governing pleading amendments, Federal Rule of Civil Procedure 15, made applicable to habeas proceedings by § 2242, Federal Rule of Civil Procedure 81(a)(2), and Habeas Corpus Rule 11, allows pleading amendments with “leave of court” any time during a proceeding. See Fed. Rule Civ. Proc. 15(a). Before a responsive pleading is served, pleadings may be amended once as a “matter of course,” i. e., without seeking court leave. Ibid. Amendments made after the statute of limitations has run relate back to the date of the original pleading if the original and amended pleadings “ar[i]se out of the conduct, transaction, or occurrence.” Rule 15(c)(2).
The “original pleading” to which Rule 15 refers is the complaint in an ordinary civil case, and the petition in a habeas proceeding. Under Rule 8(a), applicable to ordinary civil proceedings, a complaint need only provide “fair notice of what the plaintiff’s claim is and the grounds upon which it rests.” Conley v. Gibson, 355 U. S. 41, 47 (1957). Habeas Corpus Rule 2(c) is more demanding. It provides that the petition must “specify all the grounds for relief available to the petitioner” and “state the facts supporting each ground.” See also Advisory Committee’s Note on subd. (c) of Habeas Corpus Rule 2,28 U. S. C., p. 469 (“In the past, petitions have frequently contained mere conclusions of law, unsupported by any facts. [But] it is the relationship of the facts to the claim asserted that is important . . . .”); Advisory Committee’s Note on Habeas Corpus Rule 4, 28 U. S. C., p. 471 (“ ‘[N]otice’ pleading is not sufficient, for the petition is expected to state facts that point to a real possibility of constitutional error.” (internal quotation marks omitted)). Accordingly, the model form available to aid prisoners in filing their habeas petitions instructs in boldface:
*656 “CAUTION: You must include in this petition all the grounds for relief from the conviction or sentence that you challenge. And you must state the facts that support each ground. If you fail to set forth all the grounds in this petition, you may be barred from presenting additional grounds at a later date.” Petition for Relief From a Conviction or Sentence By a Person in State Custody, Habeas Corpus Rules, Forms App., 28 U. S. C., p. 685 (2000 ed., Supp. V) (emphasis in original).
A prime purpose of Rule 2(c)’s demand that habeas petitioners plead with particularity is to assist the district court in determining whether the State should be ordered to “show cause why the writ should not be granted.” §2243. Under Habeas Corpus Rule 4, if “it plainly appears from the petition ... that the petitioner is not entitled to relief in the district court,” the court must summarily dismiss the petition without ordering a responsive pleading. If the court orders the State to file an answer, that pleading must “address the allegations in the petition.” Rule 5(b).
B
This case turns on the meaning of Federal Rule of Civil Procedure 15(c)(2),s relation-back provision in the context of federal habeas proceedings and AEDPA’s one-year statute of limitations. Rule 15(c)(2), as earlier stated, provides that pleading amendments relate back to the date of the original pleading when the claim asserted in the amended plea “arose out of the conduct, transaction, or occurrence set forth or attempted to be set forth in the original pleading.” The key words are “conduct, transaction, or occurrence.” The Ninth Circuit, whose judgment we here review, in accord with the Seventh Circuit, defines those words to allow relation back of a claim first asserted in an amended petition, so long as the new claim stems from the habeas petitioner’s trial, conviction, or sentence. Under that comprehensive definition,
The majority of Circuits, mindful of “Congress’ decision to expedite collateral attacks by placing stringent time restrictions on [them],” ibid., define “conduct, transaction, or occurrence” in federal habeas cases less broadly. See id., at 388-389; Espinoza-Saenz, 235 F. 3d, at 503-505; Davenport, 217 F. 3d, at 1344-1346; Pittman, 209 F. 3d, at 317-318; Duffus, 174 F. 3d, at 337; Cray craft, 167 F. 3d, at 457. They allow relation back only when the claims added by amendment arise from the same core facts as the timely filed claims, and not when the new claims depend upon events separate in “both time and type” from the originally raised episodes. Ibid. Because Felix’s own pretrial statements, newly raised in his amended petition, were separated in time and type from witness Williams’ videotaped statements, raised in Felix’s original petition, the former would not relate back under the definition of “conduct, transaction, or occurrence” to which most Circuits adhere.
We are not aware, in the run-of-the-mine civil proceedings Rule 15 governs, of any reading of “conduct, transaction, or occurrence” as capacious as the construction the Ninth and Seventh Circuits have adopted for habeas cases. Compare Maegdlin v. International Assn, of Machinists and Aerospace Workers, 309 F. 3d 1051, 1052 (CA8 2002) (allowing relation back where original complaint alleged that defendant union had breached its duty of fair representation by inadequately representing plaintiff because of his gender, and amended complaint asserted a Title VII gender discrimination claim based on the same differential treatment); Clip
Felix asserts that he seeks, and the Ninth Circuit accorded, no wider range for Rule 15(c)’s relation-back provision than this Court gave to the Rule’s key words “conduct, transaction, or occurrence” in Tiller v. Atlantic Coast Line R. Co., 323 U. S. 574, 580-581 (1945). We disagree. In Tiller, a railroad worker was struck and killed by a railroad car. His widow sued under the Federal Employers’ Liability Act, 45 U. S. C. § 51 et seq., to recover for his wrongful death. She initially alleged various negligent acts. In an amended complaint, she added a claim under the Federal Boiler Inspection Act for failure to provide the train’s locomotive with a rear light. We held that the amendment related back, and therefore avoided a statute of limitations bar, even though the amendment invoked a legal theory not suggested by the original complaint and relied on facts not originally asserted.
Felix contends, however, that his amended petition qualifies for relation back because the trial itself is the “transaction” or “occurrence” that counts. See Brief for Respondent 21-23. Citing Chavez v. Martinez, 538 U. S. 760 (2003) (plurality opinion), Felix urges that neither the videotaped interview with witness Williams nor the pretrial police interrogation to which Felix himself was exposed transgressed any constitutional limitation. Until the statements elicited by the police were introduced at trial, Felix argues, he had no actionable claim at all. Both the confrontation right he timely presented and the privilege against self-incrimination he asserted in his amended petition are “trial right[s],” Felix underscores. Brief for Respondent 21 (emphasis deleted). His claims based on those rights, he maintains, are not “separate,” id., at 22; rather, they are related in time and type, for “they arose on successive days during the trial and both
Felix artificially truncates his claims by homing in only on what makes them actionable in a habeas proceeding. We do not here question his assertion that his Fifth Amendment right did not ripen until his statements were admitted against him at trial. See Chavez, 538 U. S., at 766-767. Even so, the essential predicate for his self-incrimination claim was an extrajudicial event, i. e., an out-of-court police interrogation. The dispositive question in an adjudication of that claim would be the character of Felix’s conduct, not in court, but at the police interrogation, specifically, did he answer voluntarily or were his statements coerced. See Haynes v. Washington, 873 U. S. 503, 513-514 (1963) (vol-untariness is evaluated by examining the “totality of circumstances” surrounding the “making and signing of the challenged confession”).
Habeas Corpus Rule 2(c), we earlier noted, see supra, at 655-656, instructs petitioners to “specify all [available] grounds for relief” and to “state the facts supporting each ground.” Under that Rule, Felix’s Confrontation Clause claim would be pleaded discretely, as would his self-incrimination claim. Each separate congeries of facts supporting the grounds for relief, the Rule suggests, would delineate an “occurrence.” Felix’s approach, the approach that prevailed in the Ninth Circuit, is boundless by comparison. A miscellany of claims for relief could be raised later rather than sooner and relate back, for “conduct, transaction, or occurrence” would be defined to encompass any pretrial, trial, or post-trial error that could provide a basis for challenging the conviction. An approach of that breadth, as the Fourth Circuit observed, “views ‘occurrence’ at too high a level of generality.” Pittman, 209 F. 3d, at 318.
Felix urges that an unconstrained reading of Rule 15(c)(2) is not problematic because Rule 15(a) arms district courts with “ample power” to deny leave to amend when justice so requires. See Brief for Respondent 31-33. Under that Rule, once a responsive pleading has been filed, a prisoner may amend the petition “only by leave of court or by written consent of the adverse party.” Rule 15(a); see Ellzey v. United States, 324 F. 3d, at 526 (AEDPA’s aim to “expedite resolution of collateral attacks ... should influence the exercise of discretion under Rule 15(a) — which gives the district judge the right to disapprove proposed amendments that would unduly prolong or complicate the case.”). This argument overlooks a pleader’s right to amend without leave of court “any time before a responsive pleading is served.” Rule 15(a). In federal habeas cases that time can be rather long, as indeed it was in the instant case. See supra, at 651. Under Habeas Corpus Rule 4, a petition is not immediately served on the respondent. The judge first examines the pleading to determine whether “it plainly appears . . . that the petitioner is not entitled to relief.” Only if the petition survives that preliminary inspection will the judge “order the respondent to file an answer.” In the interim, the petitioner may amend his pleading “as a matter of course,” as Felix did in this very case. Rule 15(a). Accordingly, we do not regard Rule 15(a) as a firm .check against petition amendments that present new claims dependent upon discrete facts after AEDPA’s limitation period has run.
As to the question presented, for the reasons stated, the judgment of the Court of Appeals for the Ninth Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
The Habeas Corpus Rules were recently amended, effective December 1, 2004. Because the amended Rules are not materially different from those in effect when Felix filed his habeas petition, this opinion refers to the current version of the Rules.
Because Felix had not presented his coerced statements Fifth Amendment claim on appeal to the California courts, the State moved to dismiss the amended petition on the ground that it contained both exhausted and unexhausted claims. See 28 U. S. C. § 2254(b)(1)(A); Brief for Respondent 6-7. Before the Magistrate Judge acted on the motion, Felix presented the coerced statements/ineffective-assistance claim to the California Supreme Court in a habeas petition. Opposition to Respondents’ Motion to Dismiss in No. Civ. S-98-0828 WBS GGH P (ED Cal.), p. 3. After that court denied the petition without comment, the State withdrew its motion to dismiss. See Request to Vacate Hearing on Motion to Dismiss in No. Civ. S-98-0828 WBS GGH P (ED Cal.), pp. 1-2.
Section 2255 establishes a separate avenue for postconviction challenges to federal, as opposed to state, convictions.
Habeas corpus proceedings are characterized as civil in nature. See, e. g., Fisher v. Baker, 203 U. S. 174, 181 (1906).
The dissent asserts that Clipper Exxpress is comparable to this case in according Rule 15(c)(2) a ‘“capacious”' reading. Post, at 668, n. 2. Clipper Exxpress involved a series of allegedly sham protests, commonly designed to restrain trade, a charge of the pattern or practice type. The amendment in question added a fraud charge, a new legal theory tied to the same operative facts as those initially alleged. 690 F. 2d, at 1259, n. 29. That unremarkable application of the relation-back rule bears little resemblance to the argument made by Felix and embraced by the dissent — that all manner of factually and temporally unrelated conduct may be raised after the statute of limitations has rim and relate back, so long as the new and originally pleaded claims challenge the same conviction. See infra, at 659-661.
The dissent builds a complex discussion on an apparent assumption that claim preclusion operates in habeas cases largely as it does in mine-run civil cases. See post, at 673-674. Ironically, few habeas petitions
For example, in Mandacina v. United States, 328 F. 3d 995, 1000-1001 (CA8 2003), the original petition alleged violations of Brady v. Maryland, 373 U. S. 83 (1963), while the amended petition alleged the Government’s failure to disclose a particular report. Both pleadings related to evidence obtained at the same time by the same police department. The Court of Appeals approved relation back. And in Woodward v. Williams, 263 F. 3d 1135, 1142 (CA10 2001), the appeals court upheld relation back where the original petition challenged the trial court’s admission of recanted statements, while the amended petition challenged the court's refusal to allow the defendant to show that the statements had been recanted. See also 3 J. Moore et al., Moore’s Federal Practice § 15.19[2], p. 15-82 (3d ed. 2004) (relation back ordinarily allowed “when the new claim is based on the same facts as the original pleading and only changes the legal theory”).
The dissent is concerned that our decision “creates an unfair disparity between indigent habeas petitioners and those able to afford their own counsel.” Post, at 665; see post, at 675 (“[TJoday’s decision . . . will fall most heavily on the shoulders of indigent habeas petitioners who can afford no counsel without the assistance of the court.”). The concern is understandable, although we note that in Felix’s case, counsel was appointed, and had some two and a half months to amend the petition before AEDPA’s limitation period expired. See supra, at 651. That was ample time to add a claim based on the alleged pretrial extraction of damaging statements from Felix. Ordinarily, as we observed in Halbert v. Michigan, ante, at 624, n. 8, the government (federal or state) “ ‘need not equalize economic conditions’ between criminal defendants of lesser and greater wealth” (quoting Griffin v. Illinois, 351 U. S. 12, 23 (1956) (Frankfurter, J., concurring in judgment)); see Pennsylvania v. Finley, 481 U. S. 551, 557 (1987) (holding that States need not provide appointed counsel in post-conviction proceedings). This case, it is inescapably true, does not fit
Dissenting Opinion
dissenting.
This case requires the Court to decide how the relation back provision of Rule 15(c)(2) of the Federal Rules of Civil Procedure ought to apply in federal habeas corpus cases, when neither text nor precedent provides clear guidance. I see nothing in habeas law or practice that calls for the Court’s narrow construction of the rule, and good reasons to go the other way, including the unfortunate consequence that the Court’s view creates an unfair disparity between indigent habeas petitioners and those able to afford their own counsel. I respectfully dissent.
► — 4
At the outset, there is need for care in understanding the narrow scope of the problem this case presents. A habeas petitioner’s opportunity to amend as a matter of course, without permission of the trial court, exists only before the responsive pleading is served, and even then only once. Rule 15(a). After one amendment, or after the government files the answer or other response, assuming one is even required, see Habeas Corpus Rule 4, the prisoner may not amend without the court’s leave or the government’s consent, Fed. Rule Civ. Proc. 15(a). While leave to amend “shall be freely given when justice so requires,” ibid., justice does,
The limited opportunity to amend also supplies perspective on the claim that Felix’s reading of the relation back rule would undermine the 1-year limitation period of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA) and the statute’s concomitant concern for finality of judgments. See ante, at 662, 663. In fact, AEDPA’s objectives bear little weight in the analysis, because the very point of every relation back rule is to qualify a statute of limitations, and Rule 15(c) “is based on the notion that once litigation involving particular conduct or a given transaction or occurrence has been instituted, the parties are not entitled to the protection of the statute of limitations against the later assertion by amendment of defenses or claims that arise out of the same conduct, transaction, or occurrence as set forth in the original pleading.” 6A Wright & Miller § 1496, at 64. AEDPA’s statute of limitations, like any other, may be trumped by relating back when the subject of the amendment arises out of the same conduct, transaction, or occurrence described in the original pleading, but that alone does not help us figure out what conduct, transaction, or occurrence is the same.
II
Felix’s disputed right to amend with relation back effect turns entirely, as the Court says, ante, at 656, on how nar
The text alone does not tell us the answer, for either the facts specific to the claim or the trial as a whole could be the relevant “conduct, transaction, or occurrence.” The Court assumes that the former approach is correct and then proceeds to explain, based on that assumption, the infirmity of a contrary approach. For example, the Court asserts that under Felix’s rule, “all manner of factually and temporally unrelated conduct may be raised after the statute of limitations has rim . . . .” Ante, at 658, n. 5. But in saying this the Court presumes that the relevant transaction is what occurred outside the courtroom. Felix’s entire argument is that the proper transaction is instead what occurred in court, namely, the imposition of the conviction that justifies the challenged custody. If he is right, then the Court’s assertion is incorrect, for what Felix seeks to add is a claim not about
The Court also cautions that “it would be anomalous to allow relation back under Rule 15(c)(2) based on a broader reading of the words ‘conduct, transaction, or occurrence’ in federal habeas proceedings than in ordinary civil litigation.” Ante, at 663. The cases the Court cites to establish the scope of civil relation back, however, see ante, at 657-660, simply stand for the proposition that an amendment relates back only if it deals with the same conduct, transaction, or occurrence. Felix does not purport to claim anything more.
Nor is there any policy underlying the particular habeas pleading rule that requires a more grudging relation back standard. As the Court concedes, ante, at 656, the purpose of the heightened pleading standard in habeas cases is to help a district court weed out frivolous petitions before eall-
While considerations based on habeas pleading fail to pan out with support for Mayle’s restricted reading of Rule 15(c), several reasons convince me that Felix’s reading is right. Most obvious is the fact that both of his claims can easily fit within the same “transaction or occurrence,” understood as
Then there are a number of indications that Congress would not want the rule read narrowly, the first centering on the word “transaction.” That term not only goes to the breadth of relation back, but also to the scope of claim preclusion. E. g., Kremer v. Chemical Constr. Corp., 456 U. S. 461, 482, n. 22 (1982) (“Res judicata has recently been taken to bar claims arising from the same transaction even if brought under different statutes .. . ”); accord, 1 Restatement (Second) of Judgments §24(1) (1980) (“[T]he claim extinguished includes all rights . . . with respect to all or any part of the transaction, or series of connected transactions, out of which the action arose”). For purposes of claim preclusion in ha-beas cases, the scope of “transaction” is crucial in applying AEDPA’s limitation on second or successive petitions: with very narrow exceptions, federal habeas limits a prisoner to only one petition challenging his conviction or sentence. See 28 U. S. C. § 2244(b)(1).
There is, rather, a fair indication that Congress would have intended otherwise, in the fact that it has already placed limits on the right of some habeas petitioners to amend their petitions. In Chapter 154 of Title 28, providing special procedures for habeas cases brought by petitioners subject to capital sentences in certain States, Congress specifically prohibited amendment of the original habeas petitions after the filing of the answer, except on the grounds specified for second or successive petitions under 28 U. S. C. § 2244(b). See § 2266(b)(3)(B). Congress’s intent to limit capital petitioners’ opportunity to amend (and thus to take advantage of relation back) makes sense owing to capital petitioners’ incentive for delay, but the provision it enacted also helps us make sense of Rule 15(c) in the usual habeas case where a prisoner has no incentive to string the process out. For Congress has shown not only that it knows how to limit amendment in habeas cases, but also that it specifically considered the subject of limiting amendment in such cases and chose not to limit amendment in the ordinary ones.
The Court of Appeals got it right, and I respectfully dissent.
There is a tendency toward the gestalt in reading the phrase, but the three items are distinct, and a party claiming the benefit of the rule need satisfy only one.
In any event, it is not clear why it is more “capacious,” ante, at 657, to regard a single trial lasting days or weeks as one transaction or occurrence than it is, for example, to view numerous separate protests filed with the Interstate Commerce Commission over a period of two years (each in response to a different proposed tariff amendment) as one transaction or occurrence, see Clipper Exxpress v. Rocky Mountain Motor Tariff Bureau, Inc., 690 F. 2d 1240, 1260, n. 29 (CA9 1982) (“The protests involve a single transaction or occurrence” (emphasis deleted)), cited ante, at 657-658.
The Court responds that in Clipper Exxpress the amendment was “tied to the same operative facts as those initially alleged.” Ante, at 658, n. 5. But as just noted, those “operative facts” (i e., the relevant transaction) consisted of a number of separate protests filed with the Interstate Commerce Commission over a period of two years, each in response to a different proposed tariff amendment. This is, to say the least, a rather expansive transaction, much more so in my view than a single trial involving
Neither does the warning on the model habeas petition (that failure to set forth every ground for relief may preclude the presentation of additional grounds later) tell us anything about relation back. The Court implies that it does, ante, at 655-656, but the language on the form says nothing about relation back, and if the Court’s implication were correct then the warning would also bar amendments filed within the limitation period.
By contrast, use at trial of the fruits of the alleged police misconduct would not be a prerequisite to success in an action under Rev. Stat. § 1979, 42 U. S. C. § 1983, because such an action would indeed be challenging the conduct itself rather than the custody obtained by use at trial of the fruits of that conduct. C£ ante, at 659 (citing Jackson v. Suffolk County Homicide Bureau, 135 F. 3d 254 (CA2 1998), where the Court of Appeals, in a § 1983 case, concluded that two different instances of postarrest police conduct were not part of a single transaction or occurrence). The Court’s analysis thus lies in some tension with our understanding that the signal, defining feature setting habeas cases apart from other tort claims against the State is that they “necessarily demonstrate] the invalidity of the conviction,” Heck v. Humphrey, 512 U. S. 477, 481-482 (1994); see generally Wilkinson v. Dotson, 544 U. S. 74, 78-82 (2005).
There are other examples of the Court’s describing Felix’s claims with reference to the trial. See ante, at 650 (“Felix’s Fifth Amendment claim rested on the prosecution’s introduction of statements Felix made during pretrial police interrogation. . . . His Sixth Amendment claim related to the admission of the videotaped statements prosecution witness Kenneth Williams made at a jailhouse interview”); ante, at 651 (“On direct appeal, Felix urged . . . that the admission of Williams’ videotaped statements violated Felix’s constitutional right to confront the witnesses against him. He did not, however, argue that admission of his own pretrial statements violated his right to protection against self-incrimination”).
See Neder v. United States, 527 U. S. 1, 18 (1999) (“The erroneous admission of evidence in violation of the Fifth Amendment’s guarantee against self-incrimination, and the erroneous exclusion of evidence in violation of the right to confront witnesses guaranteed by the Sixth Amendment are both subject to harmless-error analysis under our cases” (citations omitted)); Penry v. Johnson, 532 U. S. 782, 795 (2001) (success on Fifth Amendment self-incrimination claim in habeas case requires showing that the error had “substantial and injurious effect or influence in determining the jury’s verdict” (internal quotation marks omitted)); see also, e. g., Banks v. Dretke, 540 U. S. 668, 691 (2004) (elements of prosecutorial misconduct claim under Brady v. Maryland, 373 U. S. 83 (1963), include showing of prejudice); Donnelly v. DeChristoforo, 416 U. S. 637, 643 (1974) (improper prosecutorial comment not reversible error unless remarks “so infec[t] the trial with unfairness as to make the resulting conviction a denial of due process”); Strickland v. Washington, 466 U. S. 668, 695 (1984) (to find prejudice for purposes of ineffective-assistance claim, court “must consider the totality of the evidence before the judge or jury”).
The Court asserts that my argument here “builds ... on an apparent assumption that claim preclusion operates in habeas cases largely as it does in mine-run civil cases.” Ante, at 661, n. 6. In actuality, the argument rests only on a fact we have previously recognized: that AEDPA’s “restrictions on successive petitions constitute a modified res judicata rule----” Felker v. Turpin, 518 U. S. 651, 664 (1996).
The Court is mistaken in stating that I “would read Rule 15(c)(2)’s words, 'conduct, transaction, or occurrence,’ into ... 28 U. S. C. §§ 2244(b) and 2255, ¶ 8 . . . .” Ante, at 662, n. 6. What I would do is adopt, for purposes of reconciling Rule 15(c)(2) with AEDPA’s 1-year statute of limitations, a definition of “transaction” that is consistent with what other sections of AEDPA, those governing second or successive petitions, functionally regard as the relevant “transaction.”
It is not that I see the Court’s rule as constitutionally troubling. But this case requires us to apply text that is ambiguous, and the Court’s resolution of that ambiguity is based on the assumption that when Congress authorized the appointment of counsel in habeas cases, it would have intended the appointed lawyer to have one hand tied behind his back, as compared with an attorney hired by a prisoner with money. That is not in my view a sound assumption. (The Court also observes that in this case counsel had plenty of time to file an amended petition, but that fact cannot drive this decision, for the rule the Court adopts today will of course apply in cases other than this one.)
Reference
- Full Case Name
- Mayle, Warden v. Felix
- Cited By
- 1890 cases
- Status
- Published