OPINION OF THE COURT
JOHNSON V. UNITED STATES
544 U. S. ____ (2005)
SUPREME COURT OF THE UNITED STATES
NO. 03-9685
ROBERT JOHNSON, Jr., PETITIONER
v. UNITED
STATES
on writ of certiorari to the united states court of
appeals for the eleventh circuit
[April 4, 2005]
Justice Souter delivered the
opinion of the Court.
The question here is when the
1-year statute of limitations in 28 U. S. C. §2255, ¶6(4),
begins to run in a case of a prisoner’s collateral attack on his
federal sentence on the ground that a state conviction used to
enhance that sentence has since been vacated. We hold that the
period begins when a petitioner receives notice of the order
vacating the prior conviction, provided that he has sought it with
due diligence in state court, after entry of judgment in the
federal case with the enhanced sentence.
I
In 1994, petitioner Robert
Johnson, Jr., was indicted for distributing cocaine base and
related conspiracy. Following his guilty plea to a single count of
distribution in violation of 21 U. S. C. §841(a)(1) and 18 U.
S. C. §2, the presentence investigation report recommended
that Johnson receive an enhanced sentence as a career offender
under §4B1.1 of the federal Sentencing Guidelines, owing to his two
1989 convictions by the State of Georgia for distributing cocaine.
Without elaboration, Johnson filed an objection to the
recommendation, which he withdrew at the sentencing hearing. The
District Court imposed the enhancement and entered judgment on
November 29, 1994.
On appeal, Johnson argued for the
first time that he should not have been sentenced as a career
offender because one of his Georgia convictions was
invalid.[
Footnote 1] The Court
of Appeals for the Eleventh Circuit affirmed the sentence, finding
that in the trial court Johnson had raised no objection to the
validity of his prior convictions and that the judge’s career
offender findings were not clearly erroneous.
United
States v.
Johnson, No. 94–9402 (Dec. 22, 1995)
(per curiam), App. 7
. In a footnote, the Court of
Appeals
“note[d] in passing that, should appellant obtain
at some future date the vacation of the state court conviction in
question because [it was] obtained in violation of his
constitutional rights, he could petition the district court under
28 U. S. C. §2255 for the relief he now asks us to provide.”
Id., at 8, n. 1.
We denied certiorari.
Johnson v.
United States,
517 U. S. 1162
(1996).
Two days later, the Antiterrorism and
Effective Death Penalty Act of 1996 (AEDPA) went into effect,
imposing, among other things, a 1-year period of limitations on
motions by prisoners seeking to modify their federal sentences:
“The limitation period shall run from the latest
of—
“(1) the date on which the judgment of
conviction becomes final;
“(2) the date on which the impediment to
making a motion created by governmental action in violation of the
Constitution or laws of the United States is removed, if the movant
was prevented from making a motion by such governmental action;
“(3) the date on which the right asserted was
initially recognized by the Supreme Court, if that right has been
newly recognized by the Supreme Court and made retroactively
applicable to cases on collateral review; or
“(4) the date on which the facts supporting
the claim or claims presented could have been discovered through
the exercise of due diligence.” 28 U. S. C. §2255, ¶6.
A fifth option supplied uniformly by the Courts of
Appeals gave prisoners whose convictions became final before AEDPA
a 1-year grace period running from the new statute’s effective
date.
Duncan v.
Walker, 533 U. S. 167, 183,
n. 1 (2001) (Stevens, J., concurring in part and concurring in
the judgment) (collecting cases).
On April 25, 1997, one year and three days
after his pre-AEDPA federal conviction became final and just after
the 1-year grace period expired, Johnson
pro se filed a
motion in the District Court for a 60-day extension of time to
attack his federal sentence under §2255.[
Footnote 2] Finding the AEDPA period expired, the
District Court denied the motion, though it added that denial was
without prejudice to Johnson’s right to file a §2255 motion
claiming any alternative limitation period under the statute.
On February 6, 1998, Johnson petitioned for
writ of habeas corpus in the Superior Court of Wayne County,
Georgia, claiming the invalidity of his guilty pleas in seven cases
between 1983 and 1993 because he had not knowingly, intelligently,
and voluntarily waived his right to counsel. One of the seven pleas
Johnson challenged was the basis for one of the 1989 convictions on
which the District Court had rested the career offender enhancement
of Johnson’s federal sentence.[
Footnote 3] The State of Georgia denied Johnson’s
allegations, but filed no hearing transcripts. The Superior Court
found that the records did “not show an affirmative waiver of
[Johnson’s] right to an attorney” in any of the cases, App. 10, and
entered an order of vacatur, that all seven convictions be
reversed,
ibid.
Just over three months later, Johnson was back
in the Federal District Court
pro se with a motion under
§2255 to vacate the enhanced federal sentence following the vacatur
of one of its predicate state convictions. He claimed his motion
was timely because the order vacating the state judgment was “new
evidence” not previously discoverable, and so the trigger of a
renewed limitation period. The Magistrate Judge took Johnson to be
relying on the discovery of “facts supporting the claim” addressed
in §2255, ¶6(4), but still recommended denial of the motion for
failure on Johnson’s part to exercise the “due diligence” required
by that provision.
Id., at 15–17. Although Johnson
objected that lack of education excused him from acting more
promptly, and that he had filed the state petition as soon as he
could get help from an inmate law clerk, the District Court denied
the §2255 motion as untimely. In the court’s view, the applicable
limitation was the 1-year grace period that was over in April 1997,
which Johnson had done nothing to toll in the 21 months he waited
after his conviction became final before filing his state habeas
petition.
Id., at 19.
A divided panel of the Court of Appeals
affirmed. 340 F. 3d 1219 (CA11 2003). The majority reasoned
that the state-court order vacating the prior state conviction was
not a “fact” under the fourth paragraph of the §2255 limitations
rule.
Id., at 1223. In the majority’s view, the
state-court order was properly classified as a “legal proposition”
or a “court action obtained at the behest of a federal prisoner,
not ‘discovered’ by him.”
Ibid. Because the fourth
paragraph of the limitations rule was therefore of no avail to
Johnson, the Court of Appeals majority agreed with the District
Court that the time for filing expired in 1997, at the end of the
1-year grace period.
Id., at 1226. The majority also
agreed that Johnson had no equitable claim to toll the running of
the 1-year period because he had waited too long before going back
to the state court.
Id., at 1226–1228. Judge Roney
dissented, arguing that the state court’s order was a “fact”
supporting Johnson’s §2255 motion, a fact not discoverable prior to
the order’s issuance.
Id., at 1228–1229. Over one dissent,
rehearing en banc was denied. 353 F. 3d 1328 (2003).
We granted certiorari, 542 U. S. ___ (2004),
to resolve a disagreement among the Courts of Appeals as to whether
vacatur of a prior state conviction used to enhance a federal
sentence can start the 1-year limitations period under the fourth
alternative of the §2255 rule. Compare 340 F. 3d 1219 (case
below) (vacatur not a trigger);
Brackett v.
United
States, 270 F. 3d 60 (CA1 2001) (same), with
United
States v.
Gadsen, 332 F. 3d 224 (CA4 2003)
(vacatur a fact not previously discoverable giving rise to a new
1-year period).
We agree with Johnson that the state-court
vacatur is a matter of fact for purposes of the limitation rule in
the fourth paragraph. But we also hold that the statute allows the
fact of the state-court order to set the 1-year period running only
if the petitioner has shown due diligence in seeking the order.
Applying that qualification, we affirm.
II
The Government shares Johnson’s
preliminary assumption that if he filed his §2255 motion in time,
he is entitled to federal resentencing now that the State has
vacated one of the judgments supporting his enhanced sentence.
Neither the enhancement provision of the Sentencing Guidelines
applied here, nor the mandatory enhancement under the Armed Career
Criminal Act (ACCA), 18 U. S. C. §924(e), has been read to
mean that the validity of a prior conviction supporting an enhanced
federal sentence is beyond challenge. Compare
Lewis v.
United States, 445 U. S. 55 (1980)
(validity of prior conviction irrelevant under federal statute
prohibiting possession of a firearm by a felon). Our cases applying
these provisions assume the contrary, that a defendant given a
sentence enhanced for a prior conviction is entitled to a reduction
if the earlier conviction is vacated.
Custis v.
United
States, 511 U. S. 485 (1994);
Daniels
v.
United States, 532 U. S. 374 (2001).
Such was the premise in
Custis v.
United States,
supra, even
though we held that the ACCA generally created no opportunity to
attack a prior state conviction collaterally at a federal
sentencing proceeding, 511 U. S., at 490, and that the Constitution
demands no more,
id., at 496–497. We thought that Congress
had not meant to make it so easy to challenge final judgments that
every occasion to enhance a sentence for recidivism would turn a
federal sentencing court into a forum for difficult and
time-consuming reexaminations of stale state proceedings.
Ibid. We recognized only one exception to this rule that
collateral attacks were off-limits, and that was for challenges to
state convictions allegedly obtained in violation of the right to
appointed counsel, an exception we thought necessary to avoid
undermining
Gideon v.
Wainwright, 372 U. S. 335 (1963).
Custis v.
United States,
supra, at
494–496. As to challenges falling outside of that exception, we
pointed out that a defendant who successfully attacked his state
conviction in state court or on federal habeas review could then
“apply for reopening of any federal sentence enhanced by the state
sentences.”
Id., at 497.
Daniels v.
United States,
supra, extended
Custis to hold, subject to the
same exception for
Gideon claims, that a federal prisoner
may not attack a predicate state conviction through a §2255 motion
challenging an enhanced federal sentence, 532 U. S., at 376, and
again we stressed considerations of administration and finality,
id., at 378–380. Again, too, we acknowledged that a
prisoner could proceed under §2255 after successful review of the
prior state conviction on federal habeas under §2254 or favorable
resort to any postconviction process available under state law,
id., at 381. We simply added that if the prior conviction
was no longer open to direct or collateral attack in its own right,
the federal prisoner could do nothing more about his sentence
enhancement.
Id., at 382.[
Footnote 4]
This case presents the distinct issue, of how
soon a prisoner, successful in his state proceeding, must challenge
the federal sentence under §2255. The resolution turns on
understanding what “facts” affecting an enhanced sentence could
most sensibly fall within that term as used in the fourth paragraph
of the §2255 limitation provision, under which the one year runs
from “the date on which the facts supporting the claim or claims
presented could have been discovered through the exercise of due
diligence.” Johnson says that the order vacating his prior
conviction is the factual matter supporting his §2255 claim,
discovery of which triggers the refreshed 1-year period. The Court
of Appeals majority said no because it understood a legally
operative order of vacatur to be a mandate of law or a consequence
of applying law, and therefore distinct from a matter of “fact” as
Congress used the term in §2255. 340 F. 3d
, at 1223.
The United States does not endorse that law-fact distinction, but
argues that the facts supporting Johnson’s §2255 claim, for
purposes of the fourth paragraph, are the facts on which he based
his challenge to the validity of his state convictions.
We think none of these positions is sound, at
least in its entirety. As for the Government’s proposed reading,
certainly it is true that the circumstances rendering the
underlying predicate conviction invalid are ultimate subjects of
fact supporting the §2255 claim, in the sense that proof of those
facts (or the government’s failure to negate them) is necessary to
vacate the prior state conviction and eliminate the ground for the
federal enhancement. But this is not enough to fit the Government’s
position comfortably into paragraph four. The text of §2255, ¶6(4),
clearly links the running of the limitation period to the discovery
of the “facts supporting the claim or claims presented,” but on the
Government’s view, the statute of limitations may begin to run (and
may even expire) before the §2255 claim and its necessary predicate
even exist. Prior to the federal conviction, a petitioner has no
§2255 claim because he has no enhanced federal sentence to
challenge; and prior to the state vacatur, which
Daniels
makes a necessary condition for relief in most cases, a petitioner
cannot obtain relief under §2255. Cf.
Bay Area Laundry and Dry
Cleaning Pension Trust Fund v.
Ferbar Corp. of Cal.,
522 U. S. 192,
195 (1997) (statutes of limitations ordinarily do not begin to run
until a plaintiff’s complete cause of action has accrued). Hence,
it is highly doubtful that in §2255 challenges to enhanced
sentences Congress would have meant to start the period running
under paragraph four on the discoverability date of facts that may
have no significance under federal law for years to come and that
cannot by themselves be the basis of a §2255 claim,
Daniels v.
United States, supra, at 376.
There are further reasons against applying the
fourth paragraph as the Government would. Congress does not appear
to have adopted a policy of enhancing federal sentences regardless
of the validity of state convictions relied on for the enhancement.
Custis and
Daniels were decided on just the
contrary, and unchallenged, understanding; it would certainly push
the limits of coherence for the Court now to apply the fourth
paragraph in a way that would practically close the door to relief
that each of those cases specifically left open.[
Footnote 5] Nor is there any reason to think
Congress meant the limitation period to run earlier for the sake of
preserving finality of state convictions; States are capable of
providing their own limitation periods (and most of them would have
barred Johnson’s challenge).[
Footnote 6]
Johnson’s argument improves on the
Government’s proposal by pegging the limitation period to notice of
the state order eliminating the predicate required for enhancement,
which is almost always necessary and always sufficient for relief.
We do not find his proposal vulnerable to the point made by the
majority of the Court of Appeals, that an order vacating a
conviction is legally expressive or operative language that may not
be treated as a matter of fact within the meaning of the statute.
We commonly speak of the “fact of a prior conviction,”
e.g.,
Apprendi v.
New Jersey,
530 U. S. 466, 490
(2000), and an order vacating a predicate conviction is spoken of
as a fact just as sensibly as the order entering it. In either
case, a claim of such a fact is subject to proof or disproof like
any other factual issue.
But Johnson’s take on the statute carries
anomalies of its own, one minor, one more serious. It is strange to
say that an order vacating a conviction has been “discovered,” the
term used by paragraph four, and stranger still to speak about the
date on which it could have been discovered with due diligence,
when the fact happens to be the outcome of a proceeding in which
the §2255 petitioner was the moving party. By bringing that
proceeding, the petitioner causes the factual event to occur, after
all, and unless his mail goes astray his prompt discovery of the
crucial fact is virtually guaranteed through official notice.
A more serious problem is Johnson’s position
that his §2255 petition is timely under paragraph four as long as
he brings it within a year of learning he succeeded in attacking
the prior conviction, no matter how long he may have slumbered
before starting the successful proceeding. If Johnson were right
about this, a petitioner might wait a long time before raising any
question about a predicate conviction, as this very case
demonstrates. Of course it may well be that Johnson took his time
because his basic sentence had years to run before the period of
enhancement began. But letting a petitioner wait for as long as the
enhancement makes no difference to his actual imprisonment, while
the predicate conviction grows increasingly stale and the federal
outcome is subject to question, is certainly at odds with the
provision in paragraph four that the one year starts running when
the operative fact “could have been discovered through the exercise
of due diligence.” And by maximizing the time that judgments are
open to question, a rule allowing that kind of delay would thwart
one of AEDPA’s principal purposes,
Duncan v.
Walker, 533 U. S., at 179;
Woodford v.
Garceau,
538 U. S. 202, 206
(2003), a purpose that was also central to our decisions in
Custis and
Daniels, see
supra, at
6–7.
We think neither anomaly is serious enough,
however, to justify rejecting Johnson’s basic argument that notice
of the order vacating the predicate conviction is the event that
starts the one year running. Our job here is to find a sensible way
to apply paragraph four when the truth is that with
Daniels not yet on the books AEDPA’s drafters probably
never thought about the situation we face here. Of course it is
peculiar to speak of “discovering” the fact of the very eventuality
the petitioner himself has brought about, but when that fact is
necessary to the §2255 claim, and treating notice of it as the
trigger produces a more reasonable scheme than the alternatives,
the scheme should be reconciled with the statutory language if it
can be. And here the fit is painless, if short on style.
While it sounds odd to speak of discovering a
fact one has generated, a petitioner does not generate the fact of
vacatur all by himself. He does, after all, have to learn of the
court’s response in the state proceeding, and receiving notice of
success can surely qualify as a kind of discovery falling within
the statutory language.
That leaves us with the question of how to
implement the statutory mandate that a petitioner act with due
diligence in discovering the crucial fact of the vacatur order that
he himself seeks. The answer is that diligence can be shown by
prompt action on the part of the petitioner as soon as he is in a
position to realize that he has an interest in challenging the
prior conviction with its potential to enhance the later sentence.
The important thing is to identify a particular time when the
course of the later federal prosecution clearly shows that
diligence is in order. That might be the date the federal
indictment is disclosed, the date of judgment, or the date of
finality after direct appeal. Picking the first date would require
the quickest response and serve finality best, but it would produce
some collateral litigation that federal acquittals would prove to
have been needless, and it shares the same disconnection from the
existence of a §2255 claim as the Government’s view of the relevant
“facts,” see
supra, at 8–9. If we picked the third date,
collateral litigation would be minimized, but finality would come
late. This shapes up as a case for choosing the bowl of porridge
between the one too hot and the one too cold, and settling on the
date of judgment as the moment to activate due diligence seems best
to reflect the statutory text and its underlying concerns. After
the entry of judgment, the subject of the §2255 claim has come into
being, the significance of inaction is clear, and very little
litigation would be wasted, since most challenged federal
convictions are in fact sustained.
The dissent, like Johnson, would dispense with
any due diligence requirement in seeking the state vacatur order
itself, on the ground that the States can impose their own
limitation periods on state collateral attacks, as most States do,
post, at 6 (opinion of Kennedy, J.). But the United States
has an interest in the finality of sentences imposed by its own
courts; §2255 is, after all, concerned directly with federal cases.
As to those federal cases, due diligence is not a “requirement of
[our] own design,”
post, at 1, but an explicit demand in
the text of §2255, ¶6(4), one that reflects AEDPA’s core purposes,
supra, at 11. The requirement of due diligence must
therefore demand something more than the dissent’s willingness to
accept no diligence at all, if the predicate conviction occurred in
a State that itself imposes no limit of time for collaterally
attacking its convictions.[
Footnote
7]
The dissent suggests that due diligence is
satisfied by prompt discovery of the existence of the order
vacating the state conviction.
Post, at 4–5. Where one
“discovers” a fact that one has helped to generate, however,
supra, at 11–12, whether it be the result of a court
proceeding or of some other process begun at the petitioner’s
behest, it does not strain logic to treat required diligence in the
“discovery” of that fact as entailing diligence in the steps
necessary for the existence of that fact. To see why this is so,
one need only consider a more commonplace use of the paragraph four
limitation rule. When a petitioner bases his §2255 claim on the
result of a DNA test, it is the result of the test that is the
“fac[t] supporting the claim” in the §2255 motion, and the 1-year
limitation period therefore begins to run from the date the test
result is “discovered.” Yet unless it is to be read out of the
statute, the due diligence requirement would say that the test
result only triggers a new 1-year period if the petitioner began
the testing process with reasonable promptness once the DNA sample
and testing technology were available. Under the dissent’s view,
however, the petitioner could wait untold years (perhaps until the
death of a key prosecution witness) before calling for the DNA
test, yet once he “discovered” the result of that test, he would
get the benefit of a rejuvenated 1-year period regardless of his
lengthy delay. Such a result simply cannot be squared with the
statute’s plain text and purpose.
We accordingly apply the fourth paragraph in
the situation before us by holding that from November 29, 1994, the
date the District Court entered judgment in his federal case,
Johnson was obliged to act diligently to obtain the state-court
order vacating his predicate conviction. Had he done so, the 1-year
limitation period would have run from the date he received notice
of that vacatur.[
Footnote
8]
III
Although Johnson knew that his
conviction subjected him to the career offender enhancement, he
failed to attack the predicate for enhancement by filing his state
habeas petition until February 1998, more than three years after
entry of judgment in the federal case. Indeed, even if we moved the
burden of diligence ahead to the date of finality of the federal
conviction or to AEDPA’s effective date two days later, Johnson
would still have delayed unreasonably, having waited over 21
months. Johnson has offered no explanation for this delay, beyond
observing that he was acting
pro se and lacked the
sophistication to understand the procedures. But we have never
accepted
pro se representation alone or procedural
ignorance as an excuse for prolonged inattention when a statute’s
clear policy calls for promptness, and on this record we think
Johnson fell far short of reasonable diligence in challenging the
state conviction. Since there is every reason to believe that
prompt action would have produced a state vacatur order well over a
year before he filed his §2255 petition, the fourth paragraph of
the §2255 limitation period is unavailable, and Johnson does not
suggest that his motion was timely under any other provision.
We accordingly affirm the
judgment of the Court of Appeals.
It is so ordered.
Footnote 1
The United States represents that Johnson
specified invalid waiver of counsel in support of the claim. Brief
for United States 7. The opinion of the Court of Appeals in
Johnson’s direct appeal, cited as authority by the Government,
indicates only that Johnson claimed invalid waiver of his
constitutional rights.
United States v.
Johnson,
No. 94–9402 (CA11, Dec. 22, 1995)
(per curiam), App. 7, 8.
While the Court of Appeals’ opinion in the instant case specified
that Johnson claimed a violation of his right to counsel, 340
F. 3d 1219, 1221 (2003), we know of nothing in the record
indicating that either party ever argued that his objection could
have been litigated under the
Gideon exception recognized
in
Custis v.
United States, 511 U. S. 485 (1994), see
infra, at 7.
Footnote 2
April 25, 1997, is the date Johnson’s motion
was stamped filed in the District Court. Johnson did not contend
below, and nothing in the record indicates, that his motion should
have been deemed filed on an earlier date by operation of the
so-called prison mailbox rule, see
Houston v.
Lack, 487
U. S. 266 (1988).
Footnote 3
Hindsight after
Daniels v.
United States, 532 U. S. 374 (2001), reveals that
Johnson’s claim likely would have brought his challenge within the
Gideon exception, entitling him to attack the state
conviction collaterally in a timely §2255 motion after enhancement
of his federal sentence, even without having first resorted to
state court. See
infra, at 7.
Footnote 4
The
Daniels Court allowed that
“there may be rare cases in which no channel of review was actually
available to a defendant with respect to a prior conviction, due to
no fault of his own,” in which case a prisoner might be able to use
a motion under §2255 to challenge the prior conviction as well as
the federal sentence based on it. 532 U. S., at 383–384. As in
Daniels, the circumstances of this case do not call for
further exploration of that possibility.
Footnote 5
It is also doubtful that Congress meant the
federal limitation period to begin running, let alone expire, at a
time when a typical state convict will have no inducement under
federal law to act. On the Government’s reading, in fact, a
defendant could be obligated to act at a time when he had no real
incentive for questioning the state conviction. Many of those
convictions that in time become predicates for enhancing later
sentences are, like the one here, the consequences of guilty pleas
entered on terms defendants are willing to accept. Thus, a federal
limitations rule obligating a defendant to turn around and attack a
state guilty plea he has just entered would in practice place most
predicate convictions beyond challenge as a matter of federal
law.
Footnote 6
At the time Johnson filed his state habeas
petition, Georgia law would have permitted him to wait indefinitely
before seeking reversal of his 1989 convictions. The Georgia
Legislature amended the state habeas statute in 2004 to create a
4-year statute of limitations for petitions for writs of habeas
corpus. Ga. Code Ann. §9–14–42 (Lexis Supp. 2004).
Footnote 7
Certainly, as the dissent notes,
post, at 8, “due diligence” is an inexact measure of how
much delay is too much. But the imprecision here is no greater than
elsewhere in the law when diligence must be shown, and the
statute’s use of an imprecise standard is no justification for
depriving the statutory language of any meaning independent of
corresponding state law, as the dissent would have us do. Ibid.
Footnote 8
Once a petitioner diligently has initiated
state-court proceedings, any delay in those proceedings that is not
attributable to the petitioner will not impair the availability of
the paragraph four limitation rule, once those proceedings finally
conclude. We further recognize that the facts underlying the
challenge to the state-court conviction might themselves not be
discoverable through the exercise of due diligence until after the
date of the federal judgment. In such circumstances, once the facts
become discoverable and the prisoner proceeds diligently to state
court, the limitations period will run from the date of notice of
the eventual state-court vacatur. Finally, we note that a
petitioner who has been inadequately diligent can still avail
himself of paragraph four if he can show that he filed the §2255
motion within a year of the date he would have received notice of
vacatur if he had acted promptly, though this may be a difficult
showing.
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