STEVENS, J., DISSENTING
PACE V. DIGUGLIELMO
544 U. S. ____ (2005)
SUPREME COURT OF THE UNITED STATES
NO. 03-9627
JOHN A. PACE, PETITIONER
v. DAVID
DiGUGLIELMO, SUPERINTENDENT, STATE CORRECTIONAL INSTITU- TION AT
GRATERFORD, et al.
on writ of certiorari to the united states court of
appeals for the third circuit
[April 27, 2005]
Justice Stevens, with whom
Justice Souter, Justice Ginsburg, and Justice Breyer join,
dissenting.
Under the Antiterrorism and
Effective Death Penalty Act of 1996 (AEDPA), prisoners in state
custody have a 1-year window in which they may file a federal
habeas corpus petition. 28 U. S. C. §2244(d)(1). The statute
provides, however, for tolling of the statute of limitations during
the pendency of any “properly filed application for State
post-conviction or other collateral review.” §2244(d)(2). Under the
interpretation of that statutory provision adopted by the Court
today, a petition for state postconviction relief does not
constitute a “properly filed application for … collateral review,”
even if the application has been accepted, filed, and reviewed in
full by the state court. The Court’s chosen rule means that a state
application will not be deemed properly filed—no matter how long
the state court has held the petition, how carefully it has
reviewed the merits of the petition’s claims, or how it has
justified its decision—if the court ultimately determines that
particular claims contained in the application fail to comply with
the applicable state statute of limitations. The Court’s
interpretation of §2244(d)(2) is not compelled by the text of that
provision and will most assuredly frustrate its purpose.[
Footnote 1]
I
The words “properly filed
application for … collateral review” are not defined in AEDPA. We
did, however, interpret those words in
Artuz v.
Bennett,
531 U. S. 4 (2000), by considering their
ordinary meaning in the context of the statutory scheme in which
they appear. This Court has long understood that a “paper is filed
when it is delivered to the proper official and by him received and
filed.”
United States v.
Lombardo,
241 U. S. 73, 76
(1916)
. In
Artuz, we expanded upon that
understanding, explaining that an “application is ‘filed,’ as that
term is commonly understood, when it is delivered to, and accepted
by, the appropriate court officer for placement into the official
record. And an application is ‘
properly filed’ when its
delivery and acceptance are in compliance with the applicable laws
and rules governing filings.” 531 U. S., at 8 (citations omitted).
Because applications and claims are distinct, we held that a
petitioner’s
application for postconviction review is
“properly filed” even when his legal
claims are
procedurally barred under state law.
Artuz left open the
question presented here—whether a state statute of limitations that
allows certain categories of petitioners to file otherwise late
applications is comparable to a general precondition to filing
(such as the payment of a filing fee) or is instead more akin to a
procedural bar that prevents a court from considering particular
claims.
Id., at 8–9, n. 2. If the state time bar at
issue here is more like the former, Pace’s failure to comply with
it would make his application improperly filed under AEDPA. If,
however, the state time bar is more like the procedural bar in
Artuz, Pace’s failure to comply with it would not change
the fact that his application was “properly filed.” Before
answering that question, it is useful to explain why the state
court ultimately found Pace’s application to be untimely.
II
Pace filed the application in
question—his second request for state postconviction review—
pro
se on November 27, 1996, under the Pennsylvania Post
Conviction Relief Act (PCRA), 42 Pa. Cons. Stat. §9541
et
seq. (1998).[
Footnote 2]
Pace’s PCRA petition raised two claims that he alleged had not been
presented during his first round of postconviction review: first,
that his life-without-parole sentence was unconstitutional under
state and federal law; and second, that his guilty plea colloquy
violated due process. Pace provided new evidence that he had not
presented during his first round of postconviction review, see App.
191, 195–201, and explained to the court that his two new claims
should not be procedurally barred because they had not been “fully
litigated or waived” under state law,
ibid. Pace’s
justifications for raising these two new claims make plain that he
was attempting to fit his application within the commonly
recognized judicial exceptions to Pennsylvania’s then-applicable
state procedural bars.[
Footnote
3]
At the time Pace filed his PCRA
petition, no Pennsylvania court had yet applied the PCRA statute of
limitations to a petitioner whose conviction had become final prior
to the effective date of the Act.[
Footnote 4] Nor had the time in which Pace had a right to
file a federal habeas petition expired. Under AEDPA, Pace had until
April 24, 1997, to file a federal habeas petition. See
Carey v.
Saffold,
536 U. S. 214, 217
(2002) (1-year limitations period runs from April 24, 1996, for any
prisoner whose conviction became final prior to the effective date
of the Act). Pace could not, however, obtain relief in a federal
court without first exhausting his state remedies. 28 U. S. C.
§2254(b)(1)(A). Thus, as far as Pace knew on November 27, 1996,
there was no state or federal statute of limitations that precluded
him from obtaining relief, but he was required (1) by AEDPA to go
to state court and (2) by state law to demonstrate that his claim
was not procedurally barred. Unless Pace’s PCRA petition tolled the
federal statute of limitations, his claims would be time barred in
federal court on April 24, 1997.
Pace’s petition was docketed and the court
appointed counsel. On July 23, 1997, the state trial court denied
relief on the merits. Pace appealed. In May 1998, well after Pace’s
time to file a federal habeas petition had expired, the
Commonwealth filed a brief in the state appellate court, which
argued
for the first time that Pace’s petition was
untimely under the PCRA’s statute of limitations. On December 3,
1998, the state appellate court agreed, explaining that none of
Pace’s several claims fell within the three statutory exceptions to
untimeliness contained in Pa. Cons. Stat. §9545(b) (1998). The
state appellate court’s conclusion became final on July 29, 1999.
It is that determination that provides the basis for this Court’s
ruling that, as a matter of federal law, the pleading that
generated protracted litigation in the state courts was never
“properly filed” in the first place.
III
In
Artuz v.
Bennett,
531 U. S. 4 (2000), we held that an
application for state postconviction review may be considered
“properly filed” within the meaning of 28 U. S. C. §2244(d)(2)
even if the application fails to comply with state-law procedural
requirements that preclude relief on the merits of the applicant’s
claims. 531 U. S., at 8. To construe “ ‘properly filed
application’ to mean ‘application raising claims that are not
mandatorily procedurally barred,’ [would elide] the difference
between an ‘application’ and a ‘claim.’ Only individual
claims, and not the application containing those claims,
can be procedurally defaulted under state law … .”
Id., at 9. Furthermore:
“Ignoring this distinction would require judges to
engage in verbal gymnastics when an application contains some
claims that are procedurally barred and some that are not.
Presumably a court would have to say that the application is
‘properly filed’
as to the nonbarred claims, and not
‘properly filed’
as to the rest. The statute, however, …
does not contain the peculiar suggestion that a single application
can be both ‘properly filed’ and not ‘properly filed.’ Ordinary
English would refer to certain
claims as having been
properly
presented or
raised, irrespective of
whether the application containing those claims was properly
filed.”
Id., at 10.
The same reasoning applies with
equal force to the PCRA time bar, which in effect operates in the
same manner as the procedural bar in
Artuz. Under the
PCRA, the state court must determine not whether the entire
application is time barred, but rather whether individual
claims are time barred given the various exceptions
enumerated in §9545(b). See n. 3,
supra. Imagine, for
example, a Pennsylvania petitioner who states two claims in what is
his second state habeas petition. The first claim asserts a
violation of due process rights under
Brady v.
Maryland,
373 U. S. 83 (1963), in
which the petitioner demonstrates that his failure to raise the
claim during his first round of state postconviction review was
“the result of interference by government officials with the
presentation of the claim” under 42 Pa. Cons. Stat. §9545(b)(1)(i)
(1998). The second claim asserts an
ineffective-assistance-of-counsel claim based on the same evidence
raised in the petitioner’s first PCRA application. Under the rule
announced by the Court today, a federal court would be forced to
conclude that the petitioner’s first claim was a “properly filed
application for … collateral review” for AEDPA purposes, while his
second claim was improperly filed. This is precisely the type of
incoherent result that
Artuz sought to avoid.
Incoherent results will not be limited to
petitions filed in Pennsylvania. Many States provide exceptions
from their postconviction statutes of limitations that apply to
applicants’ individual claims. See,
e.g., Alaska Stat.
§12.72.020 (Lexis 2004) (exempting from the statute of limitations,
inter alia, any
claims “based on newly discovered
evidence”); Fla. Rule Crim. Proc. 3.850 (2005 Supp. Pamphlet)
(excepting from the general time bar any claim based on newly
discovered evidence, newly recognized rights, or neglect of
counsel); Ill. Comp. Stat. Ann., ch. 725, §5/122–1(c) (West Supp.
2004) (allowing for late fillings when petitioner can show that
delay was not due to negligence and excepting entirely from the
limitations period any “claim of actual innocence”); Iowa Code
§822.3 (2003) (exception for any “ground of fact or law that could
not have been raised within the applicable time period”); Okla.
Stat. Ann., Tit. 22, §§1089(D)(4)–(8) (West Supp. 2005) (requiring
the reviewing court to examine each claim and permitting late
filing if any included claim could not have previously been
presented on account of legal or factual unavailability). For all
applications originating in such States, federal district courts
must now engage in the very “verbal gymnastics” that
Artuz
condemned. See 531 U. S., at 10.
The Court’s interpretation of “properly filed”
in this context conflicts with the meaning we gave the phrase in
Artuz. Indeed, the Court’s rule suggests that the phrase
“properly filed” takes on a different meaning when applied to time
bars than it does in the context of procedural bars. This Court has
generally declined to adopt rules that would give the same
statutory provision different meanings in different contexts, see,
e.g., Clark v.
Martinez, 543 U. S. ___,
___ (2005) (slip op., at 15), and I would decline to do so
here.
It would be much wiser simply to apply
Artuz’s rule to state time bars that, like the PCRA,
operate like a procedural bar. In this case, the PCRA time bar’s
enumerated exceptions, which require state courts to review the
claims elucidated in postconviction petitions and to determine
whether particular claims trigger the applicability of the
exceptions, plainly function like a procedural bar. Thus, I would
hold that Pace’s petition was “properly filed”—it was “delivered
to, and accepted by, the appropriate court officer for placement
into the official record” and complied with the “applicable laws
and rules governing filings.”
Artuz, 531 U. S., at 8.
Application of the
Artuz rule in this
context is clearly consonant with the statutory text.[
Footnote 5] A time bar is nothing more than
a species of the larger category of procedural bars that may
preclude consideration of the merits of the state petition, and may
raise questions that are equally difficult to decide. Indeed, under
Federal Rule of Civil Procedure 8, the contention that a claim is
untimely is an affirmative defense that can be waived. Because most
state laws respecting untimely filings of postconviction petitions
function in a manner identical to the procedural bar at issue in
Artuz, there is no justification for giving special
treatment to any state rule based on untimeliness.
IV
A rule treating statutes of
limitations equivalently to procedural bars would accomplish the
statutory purposes Congress sought to vindicate in AEDPA. Congress
fashioned 28 U. S. C. §2244(d)(2) in order to provide a strong
“incentive for individuals to seek relief from the state courts
before filing federal habeas petitions.”
Duncan v.
Walker,
533
U. S. 167, 180 (2001). As we explained in
Duncan:
“The tolling provision of §2244(d)(2) balances the
interests served by the exhaustion requirement and the limitation
period. Section 2244(d)(2) promotes the exhaustion of state
remedies by protecting a state prisoner’s ability later to apply
for federal habeas relief while state remedies are being pursued.
At the same time, the provision limits the harm to the interest in
finality by according tolling effect only to ‘properly filed
application[s] … .’ ”
Id., at 179–180.
In construing the words “properly filed,”
therefore, we must consider not only the “potential for delay in
the adjudication of federal law claims,” but also the need to avoid
overburdening district courts by encouraging “the very piecemeal
litigation that the exhaustion requirement is designed to reduce.”
Id., at 180. AEDPA, after all, was designed to “streamline
and simplify” the federal habeas system in order to reduce the
“interminable delays” and “shameful overloading” that had resulted
from “various aspects of this Court’s habeas corpus jurisprudence.”
Hohn v.
United States,
524 U. S. 236, 264–265
(Scalia, J., dissenting). The Court’s rule is unfaithful to these
legislative goals.
The Court’s principal justification for its
rule is the fear that allowing statutory tolling in this context
would allow prisoners to extend the federal statute of limitations
indefinitely by repeatedly filing meritless state petitions. See
ante, at 5 (“[A] state prisoner could toll the statute of
limitations at will simply by filing untimely state postconviction
petitions”). That fear is misguided for two reasons. First, it
ignores a basic fact that we have recognized repeatedly—a
“prisoner’s principal interest, of course, is in obtaining speedy
federal relief on his claims.”
Rose v.
Lundy,
455 U. S. 509,
520 (1982). Indeed, it is an understatement to say that the vast
majority of federal prisoners “have no incentive to delay
adjudication of their claims,”
Duncan, 533 U. S., at 191
(Breyer, J., dissenting). Most prisoners have precisely the
opposite incentive because delaying the initiation of federal
postconviction relief will almost assuredly maximize their periods
of incarceration.
Second, the Court’s concern is premised on the
incorrect assumption that the phrase “properly filed” has no
meaningful content unless all untimely petitions are by definition
improper. The reason that assumption is wrong is because any claim
that a state application has tolled the limitations period will
always depend on the district court’s finding that the petition was
“properly filed.” In my view, it would be entirely appropriate, and
consistent with the text and purposes of AEDPA, to define “properly
filed” as excluding any filings deemed by the district court to be
repetitious or abusive. If an application for postconviction review
is not filed in good faith—filed, in other words, explicitly to
prolong the federal statute of limitations—it would be improper
under AEDPA, and statutory tolling would not be appropriate.
Federal and state courts have considerable experience identifying
and preventing the kind of dilatory pleadings that concern the
Court today. See,
e.g., McCleskey v.
Zant,
499
U. S. 467, 479–489 (1991). There is no reason that courts could
not engage in similar analyses to prevent state prisoners from
prolonging indefinitely the AEDPA statute of limitations.[
Footnote 6]
Unfortunately, the most likely consequence of
the Court’s new rule will be to increase, not reduce, delays in the
federal system. The inevitable result of today’s decision will be a
flood of protective filings in the federal district courts. As the
history of this case demonstrates, litigants, especially those
proceeding
pro se, cannot predict accurately whether a
state court will find their application timely filed. Because a
state court’s timeliness ruling cannot be predicted with certainty,
prisoners who would otherwise run the risk of having the federal
statute of limitations expire while they are exhausting their state
remedies will have no choice but to file premature federal
petitions accompanied by a request to stay federal proceedings
pending the exhaustion of their state remedies. Cf.
Rhines
v.
Weber,
ante, at 8. The Court admits that this
type of protective filing will result from its holding. See
ante, at 8. I fail to see any merit in a rule that
knowingly and unnecessarily “add[s] to the burdens on the district
courts in a way that simple tolling … would not.”
Duncan,
533 U. S., at 192 (Breyer, J., dissenting).
Beyond increasing the burdens faced by
district courts, the Court’s tacit encouragement of countless new
protective filings will diminish the “statutory incentives to
proceed first in state court” and thereby “increase the risk of the
very piecemeal litigation that the exhaustion requirement is
designed to reduce.”
Id., at 180. Congress enacted
§2254(d)(2), along with §2254(b), to “encourage litigants
first to exhaust all state remedies and
then to
file their federal habeas petitions as soon as possible.”
Id., at 181. The Court’s rule turns that statutory goal on
its head—in essence, encouraging all petitioners who have doubts
regarding the timeliness of their state petitions to file
simultaneously for relief in federal and state court.
Artuz appropriately prevented such a result with respect
to procedural bars. Because I see no reason to depart from that
sound approach, I would hold that Pace’s application was “properly
filed” under AEDPA. I respectfully dissent.
Footnote 1
Because I would hold that Pace was entitled
to statutory tolling, I need not answer the question whether the
Court of Appeals erred by reversing the District Court’s decision
to grant Pace equitable tolling.
Footnote 2
Pace’s conviction became final in 1986, long
before the Pennsylvania Legislature adopted the PCRA’s current
statute of limitations. Pace’s original petition for postconviction
relief was filed under the Pennsylvania Post Conviction Hearing Act
(PCHA), 42 Pa. Cons. Stat. §9541
et seq. (1988) (amended
and renamed by Act No. 1988–47, §§3, 6, 1988 Pa. Laws pp. 337–342),
which did not include a statute of limitations. The Pennsylvania
Supreme Court denied Pace’s request for review on September 3,
1992. The PCRA time bar did not become effective until January 16,
1996. See Act No. 1995–32, §9579, 1995 Pa. Laws p. 1126 (Spec.
Sess. 1).
Footnote 3
For instance, Pace argued that his failure to
raise the claims below should be excused because of ineffective
assistance of counsel. See App. 191–194, 220–226. Pace also argued
that a failure to consider the new claim would constitute a
“miscarriage of justice,”
id., at 192, 217–219, and that
his new claims challenged the legality of his sentence,
id., at 189, 192. To support each of these arguments, Pace
cited state cases demonstrating the existence of judicial
exceptions to procedural default.
Footnote 4
That time bar provides that “[a]ny petition
under this subchapter, including a second or subsequent petition,
shall be filed within one year of the date the judgment becomes
final, unless the petition alleges and the petitioner proves that:
(i) the failure to
raise the claim previously was the
result of interference by government officials with the
presentation of the claim . . . ; (ii) the facts upon which
the
claim is predicated were unknown to the petitioner and could
not have been ascertained by the exercise of due diligence; or
(iii) the right asserted is a constitutional right that was
recognized by the Supreme Court of the United States or the Supreme
Court of Pennsylvania after the time period provided in this
section and has been held by that court to apply retroactively.” 42
Pa. Cons. Stat. §9545(b) (1998) (emphasis added).
Footnote 5
The majority claims that this interpretation
of “properly filed” is inconsistent with the text of §2244(d)(2).
See
ante, at 7–8. But the rule I favor relies on the same
interpretation, of the same statutory text, that we adopted in
Artuz. See 531 U. S., at 10. Unless the Court means
implicitly to overrule
Artuz, its rule compels the
conclusion that the singular phrase “properly filed” takes on
different meanings in different contexts. That is the same
interpretive exercise we unequivocally rejected in
Clark
v.
Martinez. See 543 U. S. ___, ___ (2005) (slip op., at
15).
Footnote 6
Such an inquiry is consistent with
Artuz, which distinguished between properly filed
applications and individual claims contained within those
applications. An application filed intentionally to prolong the
federal statute of limitations would be improper in its entirety.
Indeed, it is difficult to imagine how one particular claim in an
application could be improperly motivated to delay federal
proceedings, while another claim was “properly filed” under
AEDPA.
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