OCTOBER TERM, 1995
Syllabus
LONCHAR
v. THOMAS, WARDEN
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE
ELEVENTH CIRCUIT
No. 95-5015. Argued December 4, 1995-Decided April 1, 1996
Petitioner Lonchar was sentenced to death for murder nine years
ago. In the years following the affirmance of his conviction and
sentence, his sister and brother each filed "next friend" state
habeas petitions, which Lonchar opposed, and Lonchar filed, and
then had dismissed, a state habeas petition. Shortly before his
scheduled execution, he filed another state habeas petition. When
it was denied, he filed this "eleventh hour" federal petition, his
first. Reasoning that federal Habeas Corpus Rule 9, not some
generalized equitable authority to dismiss, governed the case, the
District Court held that Lonchar's conduct in waiting almost six
years to file his federal petition did not constitute an
independent basis for rejecting the petition and granted a stay to
permit time for consideration of other grounds for dismissal raised
by the State. The Court of Appeals vacated the stay. It held that
equitable doctrines independent of Rule 9 applied, relying chiefly
on this Court's
per curiam order in
Gomez v.
United States Dist. Gourt for Northern Dist of Gal.,
503 U. S. 653.
Setting aside the Rules and traditional habeas doctrines, the court
concluded that Lonchar did not merit equitable relief.
Held:
1. The principle of
Barefoot v.
Estelle, 463 U. S. 880, applies
when a district court is faced with a request for a stay in a first
federal habeas case: If the district court cannot dismiss the
petition on the merits before the scheduled execution, it is
obligated to address the merits and must issue a stay to prevent
the case from becoming moot. If the court lacks authority to
directly dispose of the petition on the merits, it would abuse its
discretion by attempting to achieve the same result indirectly by
denying a stay. Since Lonchar's claims certainly seem substantial
enough to prevent dismissal under Habeas Corpus Rule 4 and the
State does not argue to the contrary, the courts below correctly
assumed that he could not be denied a stay unless his petition was
properly subject to dismissal. This Court's
Gomez order has
not displaced
Barefoot's rationale with one permitting
denial of a stay in first federal habeas cases, even when the
district court lacks authority to dismiss the petition on the
merits.
Gomez did not involve a denial of a stay in a case
in which the lower court had no authority to dismiss the petition
or a
315
first habeas petition, and it neither discussed nor cited
Barefoot, much less repudiated its rationale. Pp.
319-321.
2. The Court of Appeals erred in dismissing Lonchar's first
federal petition for special ad hoc "equitable" reasons not
encompassed within the relevant statutes, the Federal Habeas Corpus
Rules, or prior precedents. First, the history of the Great Writ
reveals, not individual judges dismissing writs for ad hoc reasons,
but, rather, the gradual evolution of more formal judicial,
statutory, or rules-based doctrines of law that regularize and
thereby narrow the discretion that individual judges can freely
exercise. See,
e. g., McCleskey v.
Zant, 499 U. S. 467, 479489.
Second, the fact that the writ has been called an "equitable"
remedy, see,
e. g., Gomez, supra, at 653-654, does not
authorize a court to ignore this body of statutes, rules, and
precedents. Rather, "courts of equity must be governed by rules and
precedents no less than the courts of law,"
Missouri v.
Jenkins, 515 U.
S. 70, 127 (THOMAS, J., concurring). The arguments against ad
hoc departure from settled rules seem particularly strong when
dismissal of a
first habeas petition is at issue, since such
dismissal denies the petitioner the protections of the Great Writ
entirely. See
Ex parte Yerger, 8 Wall. 85, 95. Third, Rule
9(a)-which permits courts to dismiss a habeas petition when "it
appears that the state ... has been prejudiced in its ability to
respond ... by delay in [the petition's] filing" -specifically and
directly addresses the delay factor that led the Court of Appeals
to dismiss Lonchar's petition. The District Court was not asked to,
and did not, make a finding of prejudice in this case, whereas the
Rule's history makes plain that the prejudice requirement
represents a critical element in the balancing of interests
undertaken by Congress and the Rule's framers, which courts may not
undermine through the exercise of background equitable powers. See
Bank of Nova Scotia v.
United States, 487 U. S. 250, 255.
Fourth, contrary to the Court of Appeals' view,
Gomez,
supra, at 653-654, did not authorize ad hoc equitable
departures from the Habeas Corpus Rules and did not purport to work
a significant change in the law applicable to the dismissal of
first habeas petitions. Fifth, the fact that Lonchar filed his
petition at the "eleventh hour" does not lead to a different
conclusion.
Gomez, supra, at 654, and,
e. g., Sawyer
v.
Whitley, 505 U. S. 333, 341, n. 7, distinguished. The
complexity inherent in developing fair and effective rules to
minimize the harms created by last-minute petitions in capital
cases offers a practical caution against a judicial attempt,
outside the framework of the Habeas Rules, to fashion reforms
concerning first federal habeas petitions. Sixth, a different
result is not warranted by the special circumstances in this case,
including the "next friend" petitions filed by Lonchar's siblings,
his filing and later withdrawal of his own
state habeas
petition, and the fact that his motive for
316
filing this federal habeas petition was in part to delay his
execution. The Court expresses no view about the proper outcome of
the Rules' application in this case. Pp. 322-332.
58 F.3d
590, vacated and remanded.
BREYER, J., delivered the opinion of the Court, in which
STEVENS, O'CONNOR, SOUTER, and GINSBURG, JJ., joined. REHNQUIST, C.
J., filed an opinion concurring in the judgment, in which SCALIA,
KENNEDY, and THOMAS, JJ., joined,
post, p. 334.
Donald B. Verrilli, Jr., argued the cause for
petitioner.
With him on the briefs were Paul M. Smith and Clive A. Stafford
Smith.
Mary Beth Westmoreland, Senior Assistant Attorney General
of Georgia, argued the cause for respondent. With her on the brief
were
Michael J. Bowers, Attorney General, and
Susan v:
Boleyn, Senior Assistant Attorney
General.
JUSTICE BREYER delivered the opinion of the Court.
This case asks us to decide whether a federal court may dismiss
a first federal habeas petition for general "equitable" reasons
beyond those embodied in the relevant statutes, Federal Habeas
Corpus Rules, and prior precedents. We decide that the Court of
Appeals erred in doing so in this case. The primary "equitable"
consideration favoring dismissal of the "eleventh hour" petition
before us is serious delay. A Federal Habeas Corpus Rule deals
specifically with delay. See 28 U. S. C. § 2254 Rule 9(a)
(permitting courts to dismiss a habeas petition when "it appears
that the state ... has been prejudiced in its ability to respond
... by delay in its filing"). And, in our view, this Rule, not some
general "equitable" power to create exceptions to the Rule, should
have determined whether or not the petition's dismissal was
appropriate.
I
Petitioner Larry Lonchar was sentenced to death for murder nine
years ago. He filed this "eleventh hour" petition
317
for habeas corpus-his
first federal habeas corpus
petitionon June 28, 1995, the day of his scheduled execution. To
understand the procedural significance of this petition, the nature
of the delay here at issue, and other relevant special features of
this case, we must consider the petition in the context of earlier
proceedings, which, for ease of exposition, we divide into five
stages:
Stage One: Trial, Appeal, Execution Date: 1987-1990. In
1987, Lonchar was convicted in state court for murdering three
people and sentenced to death by electrocution. A mandatory
state-court appeal led to affirmance of the conviction and sentence
in 1988. The trial judge then issued a death warrant for the week
of March 23, 1990. Throughout these proceedings Lonchar said he
wanted to die and refused to cooperate with his lawyer or to attend
his trial. He also attempted (unsuccessfully) to waive his
mandatory appeal, declined to authorize any collateral attacks on
his conviction or sentence, and wrote the trial judge asking for an
execution date.
Stage Two: Sister's "Next Friend" Habeas: March
1990February 1993. Two days before the scheduled execution,
Lonchar's sister, Chris Kellog, filed a "next friend" habeas
petition in state court, claiming Lonchar was incompetent. Lonchar
opposed the action and eventually the state and federal courts, at
trial and appellate levels, held that Lonchar was competent and
dismissed the petition. The state courts again issued a death
warrant, this time for the week of February 24, 1993.
Stage Three: Lonchar's own State Habeas: February 1993May
1995. After Lonchar's lawyer told him that his brother, Milan, was
threatening to kill himself because of Lonchar's execution, Lonchar
authorized a habeas petition in state court and obtained a stay of
execution. He subsequently changed his mind and told the judge he
did not want to proceed. Although his lawyers objected that Lonchar
was incompetent to make this decision, the judge dismissed
318
the petition without prejudice. A death warrant was issued for
the week of June 23, 1995.
Stage Four: Brother's "Next Friend" Habeas: June 20June
23, 1995. Three days before the scheduled execution, Lonchar's
brother, Milan, filed another "next friend" habeas petition in
state court. Lonchar again opposed it. Within three days, Milan's
petition met the same fate as his sister's earlier petition. That
is to say, federal and state courts, at trial and appellate levels,
all found Lonchar competent and denied the petition.
Stage Five: Lonchar's Current Habeas: June 23,
1995
Present. Immediately thereafter, after discussions with
his lawyers, Lonchar filed another state habeas petition containing
22 claims, including one that challenged the method of execution.
He told the state-court judge that he wished to pursue each of the
22 claims, but was litigating them only to delay his execution,
with the hope that the State would change the execution method to
lethal injection so he could donate his organs. The state courts
stayed the execution briefly, and then, two days later, denied the
petition. Lonchar immediately filed his first federal habeas
petition, which set forth the same 22 claims.
The State asked that Lonchar's federal petition be dismissed,
stressing what it called Lonchar's "inequitable conduct" in waiting
almost six years, and until the last minute, to file a federal
habeas petition. The District Court held that this could not
constitute an independent basis for rejecting the petition. In its
view, Habeas Corpus Rule 9, not some generalized equitable
authority to dismiss, governed the case. And, it held, Rule 9's
authority to dismiss for "abuse of the writ" applied to "second or
successive" habeas petitions, not to a first petition, such as
Lonchar's. See Habeas Corpus Rule 9(b) ("A
second or
successive petition may be dismissed if ... the judge finds
that the failure of the petitioner to assert those grounds
in a
prior petition constituted an abuse of the writ") (emphasis
added). The District
319
Court therefore granted a stay to permit time for consideration
of the State's other grounds in its motion to dismiss.
The next day the Court of Appeals for the Eleventh Circuit
vacated the stay.
58 F.3d
590 (1995). It pointed out that the District Court had "based
its holding exclusively on Rule 9."
Id., at 592. It held
that "equitable doctrines independent of Rule 9" applied, relying
chiefly on this Court's
per curiam order in
Gomez v.
United States Dist. Court for Northern Dist. of Cal.,
503 U. S. 653
(1992). 58 F. 3d, at 593. And, setting aside the Rules and
traditional habeas doctrines, the court concluded that, in the
circumstances of this case, "Lonchar does not merit equitable
relief."
Ibid.
As mentioned above, we granted certiorari in order to consider
whether a federal court may, in such circumstances, dismiss a valid
first habeas petition for "equitable reasons" other than reasons
listed in federal statutes and Rules, or well established in this
Court's precedents.
II
We first discuss a preliminary matter. We have before us a Court
of Appeals order that vacates a stay, not an order to dismiss the
habeas petition. We believe, however, that this fact makes no
difference. That is, the Court of Appeals order vacating the stay
is lawful
only if dismissal of the petition would have been
lawful. By bringing about Lonchar's execution, vacating the stay
would prevent the courts from considering the petition's merits,
just as would its dismissal.
This Court has previously considered, in a slightly different
context, whether a court may allow a first federal habeas petition
to be mooted by an execution, even though the court lacked the
authority to dispose of the petition on the merits. In
Barefoot v.
Estelle, 463 U. S. 880 (1983), the
Court considered the proper standard for granting or denying a stay
pending consideration of an appeal from a dismissal of a first
federal habeas petition. The Court stated:
320
"When a certificate of probable cause is issued by the district
court, as it was in this case, or later by the court of appeals,
petitioner must then be afforded an opportunity to address the
merits, and the court of appeals is obligated to decide the merits
of the appeal. Accordingly, a court of appeals, where necessary to
prevent the case from becoming moot by the petitioner's execution,
should grant a stay of execution pending disposition of an appeal
when a condemned prisoner obtains a certificate of probable cause
on his initial habeas appeal."
Id., at 893-894.
We believe that the same principle applies when a district court
is faced with a request for a stay in a first federal habeas case:
If the district court cannot dismiss the petition on the merits
before the scheduled execution, it is obligated to address the
merits and must issue a stay to prevent the case from becoming
moot. That is, if the district court lacks authority to directly
dispose of the petition on the merits, it would abuse its
discretion by attempting to achieve the same result indirectly by
denying a stay. Of course, a district court is authorized to
dismiss a petition summarily when "it plainly appears from the face
of the petition and any exhibits annexed to it that the petitioner
is not entitled to relief in the district court," Habeas Corpus
Rule 4, just as a court of appeals is not required to address an
appeal that fails to meet the certificate of probable cause
standard of a "substantial showing of the denial of a federal
right," see
Barefoot, 463 U. S., at 893-894. And, as is also
true of consideration of appeals, a district court may, within the
constraints of due process, expedite proceedings on the merits.
Id., at 894-895.
In this case, Lonchar's claims certainly seem substantial enough
to prevent dismissal under Rule 4, and the State does not argue to
the contrary. That being so, we believe that the District Court and
Court of Appeals were correct to as-
321
sume that Lonchar could not be denied a stay unless his petition
was properly subject to dismissal. See App. 62, 63-64; 58 F. 3d, at
593.
The concurrence argues that the Court's decision in
Gomez
v.
United States Dist. Court for Northern Dist. of Cal.,
supra, displaced the rationale of
Barefoot, relying
particularly on the statement that a "court may consider the
lastminute nature of an application to stay execution in deciding
whether to grant equitable relief." 503 U. S., at 654. The
concurrence understands this statement to authorize denial of a
stay, for generalized equitable reasons, in first federal habeas
cases, even when the district court lacks authority to dismiss the
petition on the merits. We do not believe this sentence, or the
rest of the Court's order in
Gomez, supports this
conclusion.
First,
Gomez did not involve denial of a stay in a case
in which the lower court had no authority to dismiss the petition.
Instead, as the concurrence concedes,
post, at 338, the case
could have been dismissed as an "abuse of the writ." See 503 U. S.,
at 653-654. Second,
Gomez involved a
fifth attempt to
secure collateral review, not a
first habeas petition.
Barefoot indicated that stays in "[s]econd and successive
federal habeas corpus petitions present a different issue," since
in such cases it is more likely that" 'a condemned inmate might
attempt to use repeated petitions and appeals as a mere delaying
tactic,'" and because this danger is specially recognized and
addressed in the Habeas Corpus Rules.
Barefoot, supra, at
895. Finally, the concurrence's reading of
Gomez seriously
conflicts with
Barefoot's wellsettled treatment of first
habeas petitions. We decline to adopt such a far-reaching
interpretation of this
per curiam order, especially since
Gomez did not concern a first habeas petition, and since the
Gomez order did not discuss (or even cite)
Barefoot,
much less explicitly repudiate its rationale.
322
III
We turn, then, to the main question: Could the Court of Appeals
properly dismiss this first habeas petition for special ad hoc
"equitable" reasons not encompassed within the framework of Rule 9?
We conclude that it could not.
First, the history of the Great Writ of Habeas Corpus reveals,
not individual judges dismissing writs for ad hoc reasons, but,
rather, the gradual evolution of more formal judicial, statutory,
or rules-based doctrines of law. See,
e. g.,
McCleskey v.
Zant, 499 U. S. 467, 479-489
(1991);
Barefoot, supra, at 892;
Kuhlmann v.
Wilson, 477 U.
S. 436, 451 (1986) (plurality opinion);
Sanders v.
United States, 373 U. S. 1, 15
(1963);
Townsend v.
Sain, 372 U. S. 293, 313
(1963). In earlier times, the courts followed comparatively simple
rules, even occasionally disregarding complex procedural doctrines,
such as res judicata, see
McCleskey, supra, at 479, as they
exercised the writ in light of its most basic purpose, avoiding
serious abuses of power by a government, say a king's imprisonment
of an individual without referring the matter to a court. See,
e. g., L. Yackle, Postconviction Remedies § 4, pp.
9-11 (1981); W. Duker, A Constitutional History of Habeas Corpus
4-6 (1980); W. Church, A Treatise on the Writ of Habeas Corpus §§
1-46, pp. 2-40 (2d ed. 1893). As the writ has evolved into an
instrument that now demands not only conviction by a court of
competent jurisdiction, see
In re Coy, 127 U. S. 731, 756-758
(1888), but also application of basic constitutional doctrines of
fairness, see
Jones v.
Cunningham, 371 U. S. 236, 243
(1963), Congress, the Rule writers, and the courts have developed
more complex procedural principles that regularize and thereby
narrow the discretion that individual judges can freely exercise.
Those principles seek to maintain the courts' freedom to issue the
writ, aptly described as the "highest safeguard of liberty,"
Smith v.
Bennett, 365 U. S. 708, 712
(1961), while at the same time avoiding serious, improper delay,
expense, complexity, and interference with a State's interest in
the "finality" of
323
its own legal processes.
Withrow v.
Williams,
507 U. S. 680,
698 (1993) (O'CONNOR, J., concurring in part and dissenting in
part);
McCleskey, supra, at 490-492;
Reed v.
Ross,
468 U. S. 1, 10 (1984). These legal principles are embodied in
statutes, rules, precedents, and practices that control the writ's
exercise. Within constitutional constraints they reflect a
balancing of objectives (sometimes controversial), which is
normally for Congress to make, but which courts will make when
Congress has not resolved the question. See
Brecht v.
Abrahamson, 507 U. S. 619, 632-633
(1993).
Second, the fact that the writ has been called an "equitable"
remedy, see,
e. g., Gomez, supra, at 653-654, does not
authorize a court to ignore this body of statutes, rules, and
precedents. "There is no such thing in the Law, as Writs of Grace
and Favour issuing from the Judges."
Opinion on the Writ of
Habeas Corpus, Wilm. 77, 87, 97 Eng. Rep. 29, 36 (1758)
(Wilmot, J.). Rather, "courts of equity must be governed by rules
and precedents no less than the courts of law."
Missouri v.
Jenkins, 515 U.
S. 70, 127 (1995) (THOMAS, J., concurring). See also
Albemarle Paper Co. v.
Moody, 422 U. S. 405, 417
(1975); The Federalist No. 78, p. 528 (J. Cooke ed. 1961). As
Selden pointed out so many years ago, the alternative is to use
each equity chancellor's conscience as a measure of equity, which
alternative would be as arbitrary and uncertain as measuring
distance by the length of each chancellor's foot. See 1 J. Story,
Commentaries on Equity Jurisprudence 16 (13th ed. 1886).
That is why this Court, in
McCleskey, said that concern
about habeas petition abuses has led to "a complex and evolving
body of equitable
principles informed and controlled by
historical usage, statutory developments, and judicial decisions."
499 U. S., at 489 (emphasis added). And it is why this Court, in
McCleskey, also reaffirmed the importance, " 'in order to
preclude individualized enforcement of the Constitution in
different parts of the Nation,'" of" 'lay[ing] down as specifically
as the nature of the problem permits the
324
standards or directions that should govern the District Judges
in the disposition of applications for habeas corpus by prisoners
under sentence of State Courts.'"
Id., at 496 (quoting
Brown v.
Allen, 344 U. S. 443, 501-502
(1953) (opinion of Frankfurter, J.)).
After all, equitable rules that guide lower courts reduce
uncertainty, avoid unfair surprise, minimize disparate treatment of
similar cases, and thereby help all litigants, including the State,
whose interests in "finality" such rules often further. See
Barefoot, 463 U. S., at 892;
Kuhlmann, supra, at
451; Townsend, supra, at 313. See also
Coleman v.
Thompson, 501
U. S. 722, 750 (1991) (barring consideration of claims
procedurally defaulted in state court absent cause and prejudice or
a fundamental miscarriage of justice);
Teague v.
Lane, 489 U.
S. 288, 299-316 (1989) (plurality opinion) (barring from habeas
proceedings federal claims based on certain "new rules" of
constitutional law);
Rose v.
Lundy, 455 U. S. 509, 522 (1982)
("[A] district court must dismiss habeas petitions containing both
unexhausted and exhausted claims").
And the arguments against ad hoc departure from settled rules
would seem particularly strong when dismissal of a
first
habeas petition is at issue. Dismissal of a
first federal
habeas petition is a particularly serious matter, for that
dismissal denies the petitioner the protections of the Great Writ
entirely, risking injury to an important interest in human liberty.
See
Ex parte Yerger, 8 Wall. 85, 95 (1869) (the writ "has
been for centuries esteemed the best and only sufficient defence of
personal freedom");
Withrow, supra, at 700 (O'CONNOR, J.,
concurring in part and dissenting in part) (decisions involving
limitation of habeas relief "warrant restraint"). Even in the
context of "second and successive" petitions-which pose a greater
threat to the State's interests in "finality" and are less likely
to lead to the discovery of unconstitutional punishments-this Court
has created careful rules for dismissal of petitions for abuse of
the writ. See
McCleskey, supra.
325
This is not to say that a district court has no discretion in
dealing with first federal habeas petitions. The Habeas Corpus
Rules themselves provide district courts with ample discretionary
authority to tailor the proceedings to dispose quickly,
efficiently, and fairly of first habeas petitions that lack
substantial merit, while preserving more extensive proceedings for
those petitions raising serious questions. For instance, as noted
above, the Rules permit a district court to dismiss summarily a
first petition without waiting for the State's response if "it
plainly appears from the face of the petition and any exhibits
annexed to it that the petitioner is not entitled to relief."
Habeas Corpus Rule 4. Moreover, even if the petition cannot be
dismissed under that standard, the district court is still
authorized to "take such other action as the judge deems
appropriate."
Ibid. The Advisory Committee's Note makes
clear that this provision was
"designed to afford the judge flexibility in a case where either
dismissal or an order to answer may be inappropriate. For example,
the judge may want to authorize the respondent to make a motion to
dismiss based upon information furnished by respondent, which may
show that petitioner's claims have already been decided on the
merits in a federal court; that petitioner has failed to exhaust
state remedies; that the petitioner is not in custody within the
meaning of 28 U. S. C. § 2254; or that a decision in the matter is
pending in state court. In these situations, a dismissal may be
called for on procedural grounds, which may avoid burdening the
respondent with the necessity of filing an answer on the
substantive merits of the petition. In other situations, the judge
may want to consider a motion from respondent to make the petition
more certain. Or the judge may want to dismiss some allegations in
the petition, requiring the respondent to answer only those claims
which appear to have some arguable merit." 28 U. S. C., p.478.
326
The Rules also afford the district court substantial discretion
in the conduct of a case once an answer has been ordered. It may
decide to order expansion of the record to facilitate a disposition
on the merits without the need for an evidentiary hearing. Habeas
Corpus Rule 7. Discovery is available only if "the judge in the
exercise of his discretion and for good cause shown grants leave."
Habeas Corpus Rule 6(a). And the district court is afforded a
degree of discretion in determining whether to hold an evidentiary
hearing. See Habeas Corpus Rule 8(a);
Townsend, 372 U. S.,
at 318;
Keeney v.
Tamayo-Reyes, 504 U. S. 1, 11-12 (1992).
Thus, the district court is afforded substantial discretion to
expedite proceedings, cf.
Barefoot, supra, at 894-895, in
order quickly to dispose of meritless first petitions while at the
same time preserving the important right of those raising serious
habeas questions to have their claims thoroughly considered by the
district court.
Third, a specific federal Habeas Corpus Rule, Rule 9(a),
directly addresses the primary factor-delay-that led the Court of
Appeals to dismiss the petition for "equitable reasons." That Rule
says:
"Delayed petitions. A petition may be dismissed if it
appears that the state of which the respondent is an officer has
been prejudiced in its ability to respond to the petition by
delay in its filing unless the petitioner shows that it is based on
grounds of which he could not have had knowledge by the exercise of
reasonable diligence before the circumstances prejudicial to the
state occurred." (Emphasis added.)
The Rule applies because Lonchar's petition is a "delayed
petition." And the language of the Rule requires, as a condition of
dismissal, a finding of "prejudice," which the District Court was
not asked to, and did not, make. (Because the State specifically
disavows reliance upon Rule 9(a), we do not consider what would
constitute sufficient "prejudice"
327
to justify application of the Rule in the context of a
lastminute habeas petition.) Instead, it asked the Court of Appeals
to develop an equitable rule under which a "petition may be
dismissed" for "delay in its filing"
without the prejudice
precondition.
But the history of the Rule makes plain that the prejudice
requirement represents a critical element in the balancing of
interests undertaken by Congress and the framers of the Rule which
courts may not undermine through the exercise of background
equitable powers. See
Bank of Nova Scotia v.
United
States, 487 U. S.
250, 255 (1988) ("The balance struck by the Rule between
societal costs and the rights of the accused may not casually be
overlooked 'because a court has elected to analyze the question
under the supervisory power'" (quoting
United States v.
Payner, 447 U.
S. 727, 736 (1980)). The Advisory Committee's Note indicates
that the very maxim upon which the Court of Appeals relied as
authority for acting outside the Rules-the equitable maxim that
"the petitioner's conduct may ... disentitle him to relief," 58 F.
3d, at 592-was taken into account when the Rule's framers drafted
Rule 9(a) and included its prejudice requirement. See Advisory
Committee's Note on Habeas Corpus Rule 9, 28 U. S. C., p. 484.
Moreover, Congress, when considering a draft of the Rule, see 28 U.
S. C. § 2074, directly focused upon the prejudice requirement and
rejected, by removing from the draft Rule, a provision that
would have eased the burden of the prejudice requirement by
presuming prejudice after a delay of five years. Compare Rules of
Procedure: Communication from the Chief Justice of the United
States Transmitting Rules and Forms Governing Proceedings Under
Sections 2254 and 2255 of Title 28, H. R. Doc. No. 94-464, pp.
38-39 (1976), with Act of Sept. 28, 1976, Pub. L. 94-426, § 2(9),
90 Stat. 1335. See also H. R. Rep. No. 94-1471, p. 5 (1976) ("[I]t
is unsound policy to require the defendant to overcome a
presumption of prejudice"). Cf.
McCarthy v.
Madigan,
503 U. S. 140,
144 (1992)
328
(Even in an area, such as exhaustion, where judges have
considerable discretionary authority, "appropriate deference to
Congress' power to prescribe the basic procedural scheme under
which a claim may be heard in a federal court requires fashioning
of exhaustion principles in a manner consistent with congressional
intent and any applicable statutory scheme").
We recognize there is considerable debate about whether the
present Rule properly balances the relevant competing interests.
See,
e. g., U. S. Judicial Conference, Ad Hoc
Committee on Federal Habeas Corpus in Capital Cases, Committee
Report and Proposal 6, 18-21 (1989) (hereinafter Powell Report)
(suggesting a statute of limitations for habeas petitions);
American Bar Association, Toward a More Just and Effective System
of Review in State Death Penalty Cases 29-30 (1990) (hereinafter
ABA Report) (same). But, to debate the present Rule's effectiveness
is to affirm, not to deny, its applicability. Moreover, that
debate's focus upon Congress also reveals the institutional
inappropriateness of amending the Rule, in effect, through an ad
hoc judicial exception, rather than through congressional
legislation or through the formal rulemaking process. See
Vasquez v.
Hillery, 474 U. S. 254, 265 (1986)
("[D]espite many attempts in recent years, Congress has yet to
create a statute of limitations for federal habeas corpus actions.
We should not lightly create a new judicial rule ... to achieve the
same end") (citation omitted); Appendix to this opinion (listing
more than 80 bills that have proposed a statute of limitations for
federal habeas cases since
Vasquez, none of which has been
adopted).
Fourth, contrary to the Court of Appeals' view, we do not
believe that this Court, in
Gomez v.
United States Dist.
Court for Northern Dist. of Cal., 503 U. S. 653 (1992),
authorized ad hoc equitable departures from the Habeas Corpus
Rules. The Court of Appeals relied heavily on the statement:
329
"Even if we were to assume, however, that Harris could avoid the
application of McCleskey to bar his claim, we would not
consider it on the merits. Whether his claim is framed as a habeas
petition or as a [42 U. S. C.] § 1983 action, Harris seeks an
equitable remedy." Id., at 653-654.
But, this statement, understood in context, does not mean that
this Court authorized setting aside the Habeas Corpus Rules and
refusing to consider a first habeas petition for generalized
"equitable" reasons. As we explained above,
Gomez was
not a first habeas petition. Harris, after bringing four
habeas petitions, argued that he still could raise a "method of
execution" claim in a last-minute § 1983 action, to which habeas
rules, like
McCleskey's abuse of the writ doctrine, would
not apply. The quoted sentence simply says that these rules
would apply, even if § 1983 were also a proper vehicle for
his "method of execution" claim, since Harris was still seeking
equitable relief and the equitable rationale underlying
McCleskey's abuse of the writ doctrine-avoiding, among other
things, "last-minute attempts to manipulate the judicial process,"
503 U. S., at 654;
McCleskey, 499 U. S., at 484-485,
491-493-would apply to a suit challenging the method of execution,
regardless of the technical form of action.
Gomez did not,
and did not purport to, work a significant change in the law
applicable to the dismissal of first habeas petitions.
Fifth, the fact that Lonchar filed his petition at the "eleventh
hour" does not lead to a different conclusion. We recognize that
the Court in
Gomez said that "[a] court may consider the
last-minute nature of an application to stay execution in deciding
whether to grant equitable relief." 503 U. S., at 654. And this
Court has made similar statements in other cases. See,
e.
g., Sawyer v.
Whitley, 505 U. S. 333, 341, n. 7
(1992) (judge may resolve doubts against petitioners who "delay
their filings until the last minute with a view to obtaining a stay
because the district court will lack
330
time to give them the necessary consideration before the
scheduled execution");
Herrera v.
Collins, 506 U. S. 390, 425426
(1993) (O'CONNOR, J., concurring).
These statements do not help the State, however, for they all
involve "second or successive" habeas petitions. The Rules
specifically authorize dismissal of
those petitions for
"abuse of the writ." Habeas Corpus Rule 9(b). See also 28 U. S. C.
§ 2244(b) (authorizing dismissal when "the applicant has ...
deliberately withheld the newly asserted ground
or otherwise
abused the writ") (emphasis added).
McCleskey gives
content to the notion of "abuse of the writ," as do the cases just
mentioned. These statements, therefore, reflect an effort to follow
and to apply the Habeas Corpus Rules, not an effort to develop law
outside the Rules.
Indeed, to try to devise some sensible way of supplementing
first federal habeas petition rules with ad hoc equitable
devices would prove difficult. As we discussed,
supra, at
324, the interest in permitting federal habeas review of a first
petition is quite strong. And, given the importance of a first
federal habeas petition, it is particularly important that any rule
that would deprive inmates of all access to the writ should be both
clear and fair. As two prominent bodies charged with developing
proposals for habeas law reform have pointed out, developing fair
and effective rules to minimize the harms created by last-minute
petitions in capital cases is quite complicated, requiring
consideration of issues such as the State's control over setting
execution dates, the time needed to exhaust state remedies, the
common practice of substituting specialized capital counsel for
habeas, and the time needed by habeas counsel to investigate
claims, some of which (such as ineffective assistance of counsel)
often cannot be raised on direct appeal. See ABA Report 26-29,
114-134;
id., at 29 ("In a system of review that employs
artificial execution dates as a catalyst, there are
many
eleventh hours and
many last minutes, because, if the
petitioner does not seek a stay of execution at
331
virtually every level, the execution is imminent"); Powell
Report 1 ("[P]risoners often cannot obtain qualified counsel until
execution is imminent"). These bodies, consequently, have proposed
a comprehensive set of interrelated changes, see ABA Report 5-39;
Powell Report 5-7, as have recent legislative proposals. See,
e. g., H. R. 3, 104th Cong., 1st Sess. (1995); H. R.
729, 104th Cong., 1st Sess. (1995); H. R. 2703, 104th Cong., 1st
Sess. (1995); S. 3, 104th Cong., 1st Sess. (1995); S. 623, 104th
Cong., 1st Sess. (1995); S. 735, 104th Cong., 1st Sess. (1995).
This complexity offers a practical caution against a judicial
attempt, outside the framework of the Habeas Corpus Rules, to
fashion similar reforms concerning first federal habeas
petitions.
Sixth, the special circumstances in this case-other than
delay-do not warrant a different result. The earlier habeas
petitions brought by Lonchar's sister and brother are beside the
point. Lonchar did not assert his claims in those proceedings, nor
did he conspire with his siblings to delay his execution. To the
contrary, he opposed their petitions and prevailed in his
opposition. See App. 22, 35, 48. These "next friend" petitions
neither aggravate nor mitigate Lonchar's delay in filing his own
petition during those six years.
Lonchar's filing and later withdrawal of his own
state
habeas petition would seem similarly beside the point. At most, the
assertion and withdrawal of that petition would create a potential
ground for a state-law procedural bar to a second state petition,
which, in certain circumstances, might also prevent litigation of
similar claims in federal court. See
Coleman, 501 U. S., at
729-732. The State (despite its apparent agreement to Lonchar's
withdrawal of the state petition "without prejudice," see App. 34,
161-163) has asserted just such a bar. It is free to litigate the
matter on remand.
Nor do we believe that Lonchar's motive for filing this federal
habeas petition can make a critical difference. Lonchar
332
did say that he filed this petition to delay his execution with
the hope that the State would change its execution method. But
Lonchar's petition also requested the traditional habeas relief of
a new trial or resentencing, App. 362, and he told the District
Court specifically that he had considered each and every claim and
wanted the court to hear them. Normally courts will not look behind
an action that states a valid legal claim on its face in order to
try to determine the comparative weight a litigant places on
various subjective reasons for bringing the claim. A valid
antitrust complaint or environmental action, for example, does not
suddenly become invalid simply because the litigant is subjectively
indifferent about receiving the requested equitable relief, but
instead primarily wants to please his or her family or obtain
revenge. More importantly, litigation about a petitioner's
subjective motivations risks adding to the complexity of habeas
litigation, asking a subjective question (about the petitioner's
true motives) that is often unanswerable and the very asking
of which may encourage and reward the disingenuous. See
Murray v.
Carrier, 477 U. S. 478, 487 (1986)
(rejecting a subjective test for determining "cause" for procedural
default, in part because under such a rule "federal habeas courts
would routinely be required to hold evidentiary hearings to
determine what prompted counsel's failure to raise the claim in
question").
In sum, we believe that this case should have been examined
within the framework of the Habeas Corpus Rules and settled
precedents, not according to generalized equitable considerations
outside that framework. We, of course, express no view about
the proper outcome of the application of the Rules.
The judgment of the Court of Appeals is vacated, and the case is
remanded for further proceedings consistent with this opinion.
It is so ordered.
333
APPENDIX TO OPINION OF THE COURT
In the last 10 years, bills proposing a statute of limitations
for federal habeas corpus petitions have been introduced every year
in Congress, more than 80 bills in all. See S. 2301, 99th Cong., 2d
Sess. (1986); S. 2850, 99th Cong., 2d Sess. (1986); H. R. 72, 100th
Cong., 1st Sess. (1987); H. R. 73, 100th Cong., 1st Sess. (1987);
H. R. 1333, 100th Cong., 1st Sess. (1987); H. R. 3777, 100th Cong.,
1st Sess. (1987); S. 260, 100th Cong., 1st Sess. (1987); S. 1285,
100th Cong., 1st Sess. (1987); S. 1970, 100th Cong., 1st Sess.
(1987); H. R. 5217, 100th Cong., 2d Sess. (1988); H. R. 1090, 101st
Cong., 1st Sess. (1989); H. R. 1953, 101st Cong., 1st Sess. (1989);
H. R. 2709, 101st Cong., 1st Sess. (1989); H. R. 3119, 101st Cong.,
1st Sess. (1989); S. 88, 101st Cong., 1st Sess. (1989); S. 271,
101st Cong., 1st Sess. (1989); S. 1225, 101st Cong., 1st Sess.
(1989); S. 1228, 101st Cong., 1st Sess. (1989); S. 1970, 101st
Cong., 1st Sess. (1989); S. 1971, 101st Cong., 1st Sess. (1989); H.
R. 3918, 101st Cong., 2d Sess. (1990); H. R. 4079, 101st Cong., 2d
Sess. (1990); H. R. 4737, 101st Cong., 2d Sess. (1990); H. R. 4820,
101st Cong., 2d Sess. (1990); H. R. 5055, 101st Cong., 2d Sess.
(1990); H. R. 5269, 101st Cong., 2d Sess. (1990); S. 2245, 101st
Cong., 2d Sess. (1990); S. 2695, 101st Cong., 2d Sess. (1990); H.
R. 18, 102d Cong., 1st Sess. (1991); H. R. 365, 102d Cong., 1st
Sess. (1991); H. R. 1400, 102d Cong., 1st Sess. (1991); H. R. 3371,
102d Cong., 1st Sess. (1991); S. 19, 102d Cong., 1st Sess. (1991);
S. 148, 102d Cong., 1st Sess. (1991); S. 149, 102d Cong., 1st Sess.
(1991); S. 620, 102d Cong., 1st Sess. (1991); S. 635, 102d Cong.,
1st Sess. (1991); S. 1151, 102d Cong., 1st Sess. (1991); S. 1241,
102d Cong., 1st Sess. (1991); S. 1335, 102d Cong., 1st Sess.
(1991); S. 2305, 102d Cong., 2d Sess. (1992); S. 3292, 102d Cong.,
2d Sess. (1992); H. R. 2217, 103d Cong., 1st Sess. (1993); H. R.
2321, 103d Cong., 1st Sess. (1993); H. R. 2847, 103d Cong., 1st
Sess. (1993); H. R. 2872, 103d Cong., 1st Sess. (1993); H. R. 3131,
103d Cong., 1st Sess. (1993); H. R. 3315, 103d Cong., 1st Sess.
(1993); S. 8, 103d Cong., 1st Sess.
334
REHNQUIST, C. J., concurring in judgment
(1993); S. 38, 103d Cong., 1st Sess. (1993); S. 47, 103d Cong.,
1st Sess. (1993); S. 1356, 103d Cong., 1st Sess. (1993); S. 1441,
103d Cong., 1st Sess. (1993); S. 1488, 103d Cong., 1st Sess.
(1993); S. 1607, 103d Cong., 1st Sess. (1993); S. 1657, 103d Cong.,
1st Sess. (1993); H. R. 4018, 103d Cong., 2d Sess. (1994); H. R.
4055, 103d Cong., 2d Sess. (1994); H. R. 4079, 103d Cong., 2d Sess.
(1994); H. R. 4092, 103d Cong., 2d Sess. (1994); H. R. 4197, 103d
Cong., 2d Sess. (1994); H. R. 4848, 103d Cong., 2d Sess. (1994); H.
R. 5008, 103d Cong., 2d Sess. (1994); H. R. 5134, 103d Cong., 2d
Sess. (1994); S. 2389, 103d Cong., 2d Sess. (1994); H. R. 3, 104th
Cong., 1st Sess. (1995); H. R. 729, 104th Cong., 1st Sess. (1995);
H. R. 920, 104th Cong., 1st Sess. (1995); H. R. 2703, 104th Cong.,
1st Sess. (1995); S. 3, 104th Cong., 1st Sess. (1995); S. 623,
104th Cong., 1st Sess. (1995); S. 735, 104th Cong., 1st Sess.
(1995); S. 816, 104th Cong., 1st Sess. (1995).
CHIEF JUSTICE REHNQUIST, with whom JUSTICE SCALIA, JUSTICE
KENNEDY, and JUSTICE THOMAS join, concurring in the judgment.
I agree with the Court that the judgment of the Court of Appeals
should be reversed, but I am in sufficient disagreement with the
Court's reasoning to write separately. I disagree with the Court's
statement that "the Court of Appeals order vacating the stay is
lawful
only if dismissal of the petition would have been
lawful."
Ante, at 319. This statement, I believe, misreads
our opinion in
Barefoot v.
Estelle, 463 U. S. 880 (1983), and
ignores our reasoning in
Gomez v.
United States Dist.
Court for Northern Dist. of Cal., 503 U. S. 653 (1992).
The order under review does not dispose of a petition for a writ
of habeas corpus; it vacates a stay of execution. The Court
dismisses this distinction as a "preliminary matter," which "makes
no difference," because "the Court of Appeals order vacating the
stay is lawful
only if dismissal of the petition would have
been lawful."
Ante, at 319. In my view,
335
the fact that we are reviewing an order vacating a stay is
anything but "preliminary."
The Court is correct inasmuch as the underlying petition's
likelihood of success is one factor to be considered in determining
whether a stay should be entered. See
Hilton v.
Braunskill, 481 U. S. 770, 776
(1987). Rule 9 of the Rules Governing § 2254 Cases sets forth the
grounds upon which a habeas petition may be dismissed other than
the merits. Under Rule 9(b), a petition may be dismissed if it is
found to be successive or abusive. Under Rule 9(a) it may also be
dismissed
"if it appears that the state of which the respondent is an
officer has been prejudiced in its ability to respond to the
petition by delay in its filing unless the petitioner shows that it
is based on grounds of which he could not have had knowledge by the
exercise of reasonable diligence before the circumstances
prejudicial to the state occurred." 28 U. S. C. § 2254 Rule
9(a).
In this case, there was no basis for denying a stay on the
ground that petitioner's habeas claims are without merit; for the
purposes of considering the stay application, it is undisputed that
those claims are substantial. Because the habeas petition was
petitioner's first, it would also have been inappropriate to deny a
stay on the ground that the petition could have been dismissed
under Rule 9(b). I agree with the majority,
ante, at 326,
that, on the record before us, the petition likewise could not have
been dismissed under Rule 9(a), because the Rule's elements were
not satisfied. Although the District Court determined that
petitioner engaged in delay, it made no determination that the
delay prejudiced the State's ability to respond to the petition,
within the meaning of Rule 9(a), by depriving the State of adequate
time to respond or otherwise.
However, an applicant's likelihood of success is not the only
consideration in determining whether he is entitled to a stay.
336
REHNQUIST, C. J., concurring in judgment
See
Hilton, supra, at 776. The Habeas Rules say little if
anything about this determination, and understandably so. It must
be remembered the statutes governing habeas corpus, 28 U. S. C. §§
2241-2255, were enacted in 1948, before the writ developed into a
vehicle for federal courts "to reexamine federal constitutional
issues even after trial and review by a state,"
Brown v.
Allen, 344 U.
S. 443, 459 (1953), and long before this Court declined to
declare the death penalty unconstitutional, in
Gregg v.
Georgia, 428
U. S. 153 (1976), Proffitt v.
Florida, 428 U. S. 242 (1976), and
Jurek v.
Texas, 428 U. S. 262 (1976). It
would have been difficult for Congress to have anticipated the
issues that arise in a system in which state death sentences are
presumptively valid, but are "reexamined" in federal court before
execution to consider constitutional challenges to the manner in
which they were imposed.
In the typical noncapital habeas case, it is relatively easy to
rule on an application to stay execution of a state sentence by
consulting ordinary principles governing stays. Rarely, if ever,
does a noncapital petitioner seek a stay of his sentence before the
district court has passed on the merits of his petition. When a
petitioner does make such a request, he usually has little chance
of success on the merits, since he has been confined pursuant to a
presumptively valid final judgment of conviction rendered by a
state court. See 28 U. S. C. § 2254(d). If, after entertaining his
petition, the district court awards the writ, the "stay equities"
shift in favor of the petitioner, who will be enlarged unless the
State can demonstrate that the equities counsel otherwise.
Hilton, supra, at 774.
This easily managed system can be adapted to govern capital
habeas cases, so long as the capital petitioner files his habeas
petition sufficiently in advance of his execution date. If he files
in a timely fashion, the district court may then consider the
petition in due course, without in any way disturbing the sentence
or execution date before ruling on the
337
petition's merits. But if, as in this case, the petitioner
instead files an "eleventh hour" federal habeas petition, the
customary principles must be revised accordingly. The district
court may feel that it simply does not have time before the date of
execution to adequately consider the merits of petitioner's claims,
and will naturally be disposed, as the District Court was here, to
enter a stay to enable it to do SO.l In so doing, the district
court sets aside a scheduled state execution of sentence, imposed
by a presumptively valid final state judgment of conviction, on the
basis of a tentative assessment that the judgment violates a
federal constitutional right. Unless the eleventh-hour nature of
the petition is taken into account, the late filing may induce the
federal court to disregard federal-state comity and "frustrate ...
the States' sovereign power to punish offenders,"
Engle v.
Isaac, 456 U.
S. 107, 128 (1982), when such interference might have been
avoided by timely filing.2 The customary principles must also be
revised to account for an attempt by a petitioner to manipulate the
district court into granting relief where relief is clearly
precluded.
In
Gomez v.
United States Dist. Court for Northern
Dist. of Cal., 503 U. S. 653 (1992),
this Court demonstrated how last-minute or manipulative uses of the
stay power constitute equitable grounds which can justify the
denial of an application for stay of a state-court order of
execution. The Court
1 The Court is not concerned by this prospect because district
courts have discretion to "order expansion of the record,"
authorize discovery, decide "whether to hold an evidentiary
hearing," and generally "expedite proceedings."
Ante, at
326. These tools are useless, however, when a petitioner
deliberately leaves the district court only one day to review a
petition's claims.
2 Of course, there may be cases in which the eleventh-hour
nature of the petition is attributable to the State's scheduling
the execution date before the petitioner may appeal the denial of
postconviction relief in a timely manner, not to the petitioner's
deliberate refusal to seek relief. I am certain that district
courts are capable of distinguishing between the two
situations.
338
REHNQUIST, C. J., concurring in judgment
vacated a stay of execution issued on behalf of Robert Alton
Harris, a California prisoner, pending consideration of a 42 U. S.
C. § 1983 action alleging that his method of execution violated the
Eighth Amendment. See 503 U. S., at 653. Because Harris had not
raised the Eighth Amendment claim in any of the four federal habeas
corpus petitions he had filed over 10 years, the Court considered
the § 1983 claim "an obvious attempt to avoid the application of
McCleskey v.
Zant, 499 U. S. 467 (1991), to
bar this successive claim for relief."
Ibid. We could have
vacated the stay on the basis of the successive-petition bar alone,
but we explicitly did not:
"Even if we were to assume, however, that Harris could avoid the
application of McCleskey to bar his claim, we would not
consider it on the merits. Whether his claim is framed as a habeas
petition or as a § 1983 action, Harris seeks an equitable remedy.
Equity must take into consideration the State's strong interest in
proceeding with its judgment and Harris' obvious attempt at
manipulation. This claim could have been brought more than a decade
ago. There is no good reason for this abusive delay, which has been
compounded by last-minute attempts to manipulate the judicial
process. A court may consider the last-minute nature of an
application to stay execution in deciding whether to grant
equitable relief." Id., at 653-654 (citations omitted).
Our order confirms that "abusive delay"-waiting until the last
minute to submit a claim that could have been submitted earlier-and
"obvious attempt[s] at manipulation"-in that case, asking the court
to exercise its equitable powers in defiance of a clearly
applicable legal rule precluding relief on the merits-constitute
equities to be considered in ruling on the prayer for relief. More
important, because we explained that this misconduct constituted
sufficient grounds to deny Harris' stay application, "[e]ven if"
McCleskey did not bar
339
his claim, we made clear that such abuse may tip the scales
decisively against a stay applicant regardless of the applicant's
likelihood of success on the merits.3
Gomez also confirms that a habeas petitioner's misconduct
in applying for a stay may disentitle him to the stay even if the
petition is his first. The inequitable conduct
Gomez
criticized, abusive delay and manipulation, may be present in any
stay application. In
Gomez we did not equivocate when we
said: "Equity must take into consideration [an] obvious attempt at
manipulation .... A court may consider the last-minute nature of an
application to stay execution in deciding whether to grant
equitable relief." 503 U. S., at 654 (citations omitted). It may be
admitted that there would be a stronger presumption in favor of
deciding the merits of a first-time petition than for a successive
petition. The successive nature of a petition gives rise to an
additional concern counseling against review of the merits: that
the petitioner is frustrating the State's attempts to execute its
judgment by exploiting the fact that ordinary principles of res
judicata do not apply in habeas corpus.
McCleskey v.
Zant, 499 U.
S. 467, 479, 491-492 (1991). It does not follow, however, that
because a first-time petitioner does not abuse the writ under Rule
9(b) he may never be found to have engaged in the misconduct we
criticized in
Gomez; it means only that misconduct by such a
petitioner is less likely to result in a refusal to grant a stay in
order to consider the merits of the petition.
The majority attempts to distinguish
Gomez because the
matter before the Court in that case was "not a
first habeas
petition."
Ante, at 321. This reading is wholly implausible,
because the first paragraph of the Court's order had already
discussed the fact that Harris was not a first-time petitioner.
3 The § 1983 action was a class-action suit, of which Harris was
one member. I note that the claim that the Court declined to
consider on the merits has enough merit for the class plaintiffs to
have prevailed in district court and the court of appeals.
Fierro v.
Gomez, 77 F.3d
301 (CA9 1996).
340
REHNQUIST, C. J., concurring in judgment
If the paragraph about Harris' misconduct in relation to his
application, quoted above, had legal significance only if his
petition was successive, it would have been superfluous.
To support its view that a stay must be granted if a first
federal habeas petition is not dismissed, the Court relies on our
decision in
Barefoot v.
Estelle, 463 U. S. 880 (1983). But
Barefoot and the present case arose in different contexts.
The question presented and decided in
Barefoot only
addressed how the merits of the habeas petition may determine
whether the petitioner obtains a stay.
Id., at 887
(announcing the Court was considering "the appropriate standard for
granting or denying a stay of execution pending disposition of an
appeal by a federal court of appeals by a deathsentenced federal
habeas corpus petitioner");
id., at 891 (affirming the
denial of a stay because the Court of Appeals "ruled on the merits
of [Barefoot's] appeal"). The issue in the present case is quite
different: whether a petitioner's course of conduct in seeking the
writ may be considered by the district court in deciding whether to
grant a stay. To the extent that the Court's reading of
Barefoot depends on the belief that a decision on a first
federal habeas petition is somehow necessary to validate a state
conviction, the Court ignores
Barefoot's assertion to the
contrary:
"The role of federal habeas proceedings ... is secondary and
limited. Federal courts are not forums in which to relitigate state
trials .... The procedures adopted to facilitate the orderly
consideration and disposition of habeas petitions are not legal
entitlements that a defendant has a right to pursue irrespective of
the contribution these procedures make toward uncovering
constitutional error." Id., at 887-888.
And, contrary to the Court's refusal to consider whether
Barefoot's "rationale" might brook a distinction between
seasonable and eleventh-hour first habeas petitions,
ante,
at 321, our opinion warned that federal habeas corpus is
not
"a
341
means by which a defendant is entitled to delay an execution
indefinitely." 463 U. S., at 887.
I nonetheless agree with the Court that the Court of Appeals
erred in vacating the stay granted in this case by the District
Court. The District Court did not consider whether petitioner's
conduct in court constituted misconduct so abusive that it
disentitled him to a stay; it focused solely on the likelihood that
petitioner's habeas petition might be dismissed. Although the court
determined that petitioner had "abused the writ," it did not rely
on this finding to deny a stay, correctly concluding that a first
habeas petition may not be dismissed on the basis of abuse of the
writ. App. 61-62. There was no determination that petitioner's
habeas petition could be dismissed under Rule 9(a). There is no
other ground under which to dismiss a first petition other than the
merits, and the Court of Appeals erred in concluding otherwise.
Although the findings supporting the District Court's
determination that petitioner abused the writ would go a long way
toward supporting affirmance on the ground that petitioner's
misconduct disentitled him to a stay, reversal is still in order. I
agree with the Court that petitioner's conduct in the next-friend
proceedings "neither aggravate nor mitigate Lonchar's delay in
filing."
Ante, at 331. Petitioner may not be blamed for
having asserted his competence and his control over his habeas
claims, because our case law required the District Court to
establish as much. See
Whitmore v.
Arkansas, 495 U. S. 149, 165
(1990). Nor should he be blamed for his brother's and sister's
desire to protect him, although it would be a different case if the
record established that his relatives and he were colluding to stay
his execution but avoid putting his claims before the court, so as
to keep his options open in the future. Because the District Court
erred in concluding that petitioner was culpable for the course of
the next-friend proceedings and "[i]t is a paradigmatic abuse of
discretion for a court to base its judgment on
342
REHNQUIST, C. J., concurring in judgment
an erroneous view of the law,"
Schlup v.
Delo,
513 U. S. 298,
333 (1995) (O'CONNOR, J., concurring) (citing
Cooter &
Gell v.
Hartmarx Corp., 496 U. S. 384, 405
(1990)), the District Court necessarily abused its discretion in
determining there was abuse of the writ. Reconsideration of this
determination and the other equities of petitioner's stay
application is now in order. I therefore concur in the judgment of
reversal.
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