Banister v. DavisBanister v. Davis
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- Before:
- Alito
Syllabus
NOTE: Where it is feasible, a syllabus (headnote) will be released, as is being done in connection with this case, at the time the opinion is issued. The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See United States v. Detroit Timber & Lumber Co., 200 U. S. 321, 337.
Petitioner Gregory Banister was convicted by a Texas court of aggravated assault and sentenced to 30 years in prison. After exhausting his state remedies, he filed for federal habeas relief, which the District Court denied. Banister timely filed a
Held: Because a
(a) The phrase “second or successive application” is a term of art and does not “simply ‘refe[r]’ ” to all habeas filings made ” ‘second or successively in time,’ ” following an initial application. Magwood v. Patterson, 561 U. S. 320, 332. In addressing what qualifies as second or successive, this Court has looked to historical habeas doctrine and practice and AEDPA‘s purposes. Here, both point toward permitting
Prior to AEDPA, the Court held in Browder v. Director, Dept. of Corrections of Ill., 434 U. S. 257, that
Congress passed AEDPA against this backdrop, and gave no indication that it meant to change what qualifies as a successive application. Nor do AEDPA‘s purposes of reducing delay, conserving judicial resources, and promoting finality suggest any different result.
(b) Gonzalez v. Crosby, 545 U. S. 524, which held that a
Reversed and remanded.
Kagan, J., delivered the opinion of the Court, in which Roberts, C. J., and Ginsburg, Breyer, Sotomayor, Gorsuch, and Kavanaugh, JJ., joined. Alito, J., filed a dissenting opinion, in which Thomas, J., joined.
Opinion of the Court
Justice Kagan delivered the opinion of the Court.
A state prisoner is entitled to one fair opportunity to seek federal habeas relief from his conviction. But he may not usually make a “second or successive habeas corpus application.”
I
This case is about two procedural rules. First,
A
The filing of a
B
This case began when, nearly two decades ago, petitioner Gregory Banister struck and killed a bicyclist while driving a car. Texas charged him with the crime of aggravated assault with a deadly weapon. A jury found him guilty, and he was sentenced to 30 years in prison. State courts upheld the conviction on direct appeal and in collateral proceedings. Banister then turned to federal district court for habeas relief. Although raising many claims, his petition mainly argued that his trial and appellate counsel provided him with constitutionally ineffective assistance. The District Court disagreed and entered judgment denying the application.
At that point, Banister timely filed a
Yet the Court of Appeals for the Fifth Circuit dismissed the appeal as untimely. That ruling rested on the view that Banister‘s
We granted certiorari to resolve a Circuit split about whether a
II
This case requires us to choose between two rules—more specifically, to decide whether AEDPA‘s
The phrase “second or successive application,” on which all this rides, is a “term of art,” which “is not self-defining.” Slack v. McDaniel, 529 U. S. 473, 486 (2000); Panetti v. Quarterman, 551 U. S. 930, 943 (2007). We have often made clear that it does not “simply ‘refer’ ” to all habeas filings made ” ‘second or successively in time,’ ” following an initial application. Magwood, 561 U. S., at 332 (quoting Panetti, 551 U. S., at 944 (alteration omitted)). For example, the courts of appeals agree (as do both parties) that an amended petition, filed after the initial one but before judgment, is not second or successive. See 2 R. Hertz & J. Liebman, Federal Habeas Corpus Practice and Procedure §28.1, pp. 1656–1657, n. 4 (7th ed. 2017) (collecting cases); Brief for Petitioner 20–21; Brief for Respondent 16. So too, appeals from the habeas court‘s judgment (or still later petitions to this Court) are not second or successive; rather, they are further iterations of the first habeas application.3 Chronology here is by no means all.
In addressing what qualifies as second or successive, this Court has looked for guidance in two main places. First, we have explored historical habeas doctrine and practice. The
phrase “second or successive application,” we have explained, is “given substance in our prior habeas corpus cases,” including those “predating [AEDPA‘s] enactment.” Slack, 529 U. S., at 486; Panetti, 551 U. S., at 944; see id., at 943 (stating that
A
This Court has already held that history supports a habeas court‘s consideration of a
Congress passed AEDPA against this legal backdrop, and did nothing to change it. AEDPA of course made the limits on entertaining second or successive habeas applications more stringent than before. See supra, at 3. But the statute did not redefine what qualifies as a successive petition, much less place
Nor do AEDPA‘s purposes demand a change in that tradition. As explained earlier, AEDPA aimed to prevent serial challenges to a judgment of conviction, in the interest of reducing delay, conserving judicial resources, and promoting finality. See supra, at 7. Nothing in
Indeed, the availability of
The upshot, after AEDPA as before, is that
B
Texas (along with the dissent) resists this conclusion on one main ground: this
Brief for Respondent 8. After all, the State argues, both
But
of the habeas judgment, and a decision on the former merges into the latter for appellate review. See supra, at 2–3, 10-11. By contrast, a
In short, a
III
Our holding means that the Court of Appeals should not have dismissed Banister‘s appeal as untimely. Banister properly brought a
It is so ordered.
Justice Alito, with whom Justice Thomas joins, dissenting.
Gregory Banister, a state prisoner, filed a federal habeas petition arguing that his conviction was invalid for 53 reasons. His arguments spanned almost 300 pages and featured an imagined retelling of the jury deliberations in the form of stage dialogue. After the District Court determined that all his claims lacked merit, he filed a motion rearguing many of them.
If Banister had labeled this motion what it was in substance—another habeas petition—it would have been summarily dismissed under
The question in this case is whether a state prisoner can evade the federal habeas statute‘s restrictions on second or successive habeas petitions by affixing a
answer is no. If a Rule 59(e) motion asserts a habeas claim, the motion functions as a second or successive habeas petition and should be treated as such.
I
The Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA) “streamlin[es] federal habeas corpus proceedings.” Rhines v. Weber, 544 U. S. 269, 277 (2005). A state prisoner is generally limited to a single federal habeas petition, which usually must be filed within one year after the end of direct review; the district court must give this petition “priority“; if the prisoner is dissatisfied with the district court‘s decision and wants to appeal, he must seek permission from the appropriate court of appeals and must set out the errors he thinks the district court made; and the appeal can go forward only if a specified standard is met.
Habeas petitions occupy an outsized place on federal dockets. See infra, at 13. Their efficient resolution not only preserves federal judicial capacity but
Integral to AEDPA‘s design are its restrictions on “second or successive” habeas petitions, which, prior to AEDPA, sometimes led to very lengthy delays. See, e.g., Kuhlmann v. Wilson, 477 U. S. 436, 453, and n. 15 (1986) (plurality opinion). A provision added by AEDPA,
A prisoner wishing to file a second or successive petition must apply to a court of appeals for permission to do so, and the court of appeals cannot authorize the filing unless the petition makes a prima facie showing that it meets
II
In Gonzalez, we considered how
To see how this analysis plays out, imagine a case in which a state prisoner files a Rule 60(b) motion alleging that he was denied the effective assistance of counsel at trial. If that claim was not in his initial habeas petition, the motion constitutes a second or successive habeas petition because it asserts a new reason why he is entitled to habeas relief. And if that claim was in his initial habeas petition but he
Although Gonzalez concerned a motion under Rule 60(b), nothing in its reasoning was tied to any specific characteristics of such a motion, and accordingly, there is no good reason why a Rule 59(e) motion should not be subject to the same rules. Indeed, the application of Gonzalez‘s reasoning is even more clear-cut when a habeas petitioner files a Rule 59(e) motion. Like its neighbor, Rule 59(e) provides a way for a civil litigant to get relief after the entry of judgment, but a Rule 59(e) motion can seek only “reconsideration of matters properly encompassed in a decision on the merits.” White v. New Hampshire Dept. of Employment Security, 455 U. S. 445, 451 (1982); accord, ante, at 10. And a claim that “attacks the federal court‘s previous resolution of a claim on the merits” is exactly the type of claim that, under Gonzalez, is subject to
Today‘s opinion thus permits precisely the type of circumvention that Gonzalez prevents. Consider again the habeas petitioner with the allegedly bad trial lawyer. Suppose that, after the district court denies an ineffective-assistance claim in his initial petition, he submits three effectively indistinguishable filings under different headers: a second habeas petition asserting the same claim again; a Rule 60(b) motion disputing the court‘s resolution of the claim; and a Rule 59(e) motion doing the same. The first two will face dismissal under
III
The Court provides a variety of reasons for refusing to follow Gonzalez, but none is sound.
A
The Court begins by saying that a Rule 59(e) motion is part of a petitioner‘s “one fair opportunity to seek federal habeas relief,” ante, at 1, but if there is a reason why a Rule 60(b) motion could not also be called part of that “opportunity,” the Court does not offer one. A repetitive habeas claim is as much a repetitive habeas claim if filed under Rule 59(e) in 28
B
The Court proclaims that Rules 59(e) and 60(b) differ “in just about every way that matters to the inquiry here,” ante, at 13, but none of the differences that the Court cites matter under Gonzalez‘s reasoning, which relies on the nature of the claim asserted in the post-judgment motion. Under that reasoning, it makes no difference that a Rule 60(b) motion may be filed later than a Rule 59(e) motion, that a Rule 59(e) motion (but not a later-filed Rule 60(b) motion) suspends a judgment‘s finality for purposes of appeal, or that an order denying a Rule 59(e) motion merges with the judgment for purposes of appeal, whereas a Rule 60(b) denial is separately appealable. Ante, at 14–15. Gonzalez did not rely on a single one of the Rule 60(b) characteristics mentioned by the Court here, and none matters under Gonzalez‘s reasoning. On the contrary, Gonzalez‘s logic was simple: If a motion advances a habeas claim, it counts as a habeas petition.
C
The Court looks to the history of motions to alter or amend a judgment, see ante, at 7–8, but it is hard to see how that history has a bearing on the issue in this case. As the Court notes, trial courts once had the power to correct errors in their judgments during but not after the term in which the judgment was handed down, but how this is relevant to our issue is a mystery. The point in time at which a court‘s power to alter or amend a judgment ends (whether at the conclusion of a court term or at a specified point after the entry of the judgment) is used to determine whether a motion to alter or amend is timely. But the issue before us is not whether Banister filed his Rule 59(e) motion within the time allowed for such motions (he did) but whether his motion counts as a habeas petition. The question would be exactly the same if district courts still had terms of court and his motion was filed before the term ended.
D
In arguing that “[t]his case requires us to choose between”
This argument greatly exaggerates the very limited role of Habeas Rule 12. Although “habeas corpus proceedings are characterized as ‘civil,‘” “the label is gross and inexact.” Harris v. Nelson, 394 U. S. 286, 293–294 (1969). They are “unique,” and even before AEPDA they “conformed with civil practice only in a general sense.” Id., at 294. Thus, we have contrasted a “civil action, governed by the full panoply of the Federal Rules of Civil Procedure,” with the “swift, flexible, and summary determination” of a habeas claim. Preiser v. Rodriguez, 411 U. S. 475, 495–496 (1973). The Civil Rules themselves give AEDPA precedence. They “apply to proceedings for habeas corpus” only insofar as “the practice in those proceedings is not specified in a federal statute” or the Habeas Rules and
Let‘s count some of the ways in which habeas proceedings deviate from the Civil Rules. Discovery rules, which are central to civil litigation, do not apply “as a matter of right” in habeas proceedings. Ibid. Instead, a court‘s leave is required for factual development. See Habeas Rule 6(a); see also Bracy v. Gramley, 520 U. S. 899, 908–909 (1997). Another civil mainstay, the Rule 12(b)(6) motion to dismiss, also has no place in habeas. See Browder v. Director, Dept. of Corrections of Ill., 434 U. S. 257, 269, n. 14 (1978); see also Habeas Rule 4 (responsive pleading not required unless the court directs). Indeed, the entire “civil action procedural sequencing—from a motion to dismiss, to an answer, to discovery, and ultimately to trial—[i]s not applicable in habeas cases.” O‘Brien v. Moore, 395 F. 3d 499, 506 (CA4 2005) (discussing Browder, 434 U. S., at 269, n. 14). Even nationwide service of process authorized by statute, rather than the Civil Rules, is unavailable in habeas. See Schlanger v. Seamans, 401 U. S. 487, 489–491, and n. 4 (1971). And though courts have long applied “noncontroversial rules in habeas corpus proceedings,” Harris, 394 U. S., at 294, n. 5, the mixed bag shows habeas‘s hybrid nature. See 4 C. Wright, A. Miller, & A. Steinman, Federal Practice and Procedure §1021, n. 6 (4th ed. Supp. 2020) (Wright & Miller) (cataloging other rules that courts have and have not applied).
Our decisions rejecting some of the Civil Rules’ procedural “formalisms” have often inured to the benefit of habeas petitioners. Hensley v. Municipal Court, San Jose-Milpitas Judicial Dist., Santa Clara Cty., 411 U. S. 345, 350 (1973). In O‘Neal v. McAninch, 513 U. S. 432 (1995), we rejected a State‘s argument that Rule 61 put the burden on habeas petitioners to resolve doubts about whether trial errors were harmless, and we reached that conclusion primarily because habeas proceedings are “[u]nlike the civil cases cited by the State.” Id., at 440. In Holiday v. Johnston, 313 U. S. 342 (1941), the petitioner sought habeas relief from a district court but received a hearing before an Alcatraz commissioner. We held that Rule 53, which allows a court to send some issues to a “master,” did not justify that practice in habeas cases; the federal habeas statute contemplated proceedings before judges, giving Rule 53 “no application.” Id., at 353. In so holding, we rejected the argument that the practice at issue was permissible because it was “a convenient one,” id., at 352, the same claim that the Court makes about Rule 59(e), ante, at 11. Instead, we held that a court “may not substitute another more convenient mode” from civil practice if it contravenes “the Congressional policy” reflected “in the Habeas Corpus Act.” Holiday, 313 U. S., at 352.
AEDPA has only widened the gap between habeas and other civil proceedings, see Felker v. Turpin, 518 U. S. 651, 664 (1996), and Gonzalez illustrates the point. Like Rule 59(e) and the other Rules just discussed, no federal habeas provision “expressly circumscribe[s]” the application of Rule 60(b) in habeas cases. 545 U. S., at 529. And
On its own, then, Habeas Rule 12 cannot do the work that Banister needs. He must show that AEDPA itself contains the loophole he seeks to exploit, and he has not done so. The refrain echoed by the Court—that a Rule 59(e) motion comes included with a petitioner‘s “one full and fair opportunity” for habeas relief, Brief for Petitioner 1; see ante, at 1—simply begs the question that AEDPA answers: namely, what that opportunity entails. It does not entail “a second chance to have the merits” of a habeas claim “determined favorably.” Gonzalez, 545 U. S., at 533, n. 5.
Lifting partial quotations from our decision in Browder, 434 U. S., at 271, the Court states that we have “already held” that Rule 59(e) is ” ‘thoroughly consistent’ with habeas law,” ante, at 7, but the partial quotations are highly misleading. The case had nothing to do with the interplay between Rule 59(e) and restrictions on filing a second or successive habeas petition.
In Browder, a prison warden moved for reconsideration of a judgment granting habeas relief, but he did not do so within the time allowed by Rule 59 and
Browder in no way establishes that it is “thoroughly consistent with” AEDPA to allow a petitioner to accomplish via a Rule 59(e) motion what the prisoner could not achieve by honestly labeling his motion as a habeas petition.2 The warden, of course, was not seeking habeas relief, so his Rule
59(e) motion could not have constituted a successive habeas petition.
E
This brings us to the Court‘s final redoubt, pre-AEDPA practice. We have sometimes looked there in interpreting AEDPA‘s terms. See Slack v. McDaniel, 529 U. S. 473, 486 (2000). But assuming pre-AEDPA practice can inform our understanding of AEDPA, history lends no real support to the Court‘s holding that a Rule 59(e) motion cannot count as a second or successive habeas petition. Research has found exactly one decision that directly addresses that question, and its holding is contrary to the Court‘s position. In Bannister v. Armontrout, 4 F. 3d 1434 (CA8 1993), after the District Court denied a habeas petition, the prisoner filed a Rule 59(e) motion asserting a new claim. The Eighth Circuit held that this motion
Without any direct support, the Court reads volumes into what it sees as the disparate treatment of habeas petitioners’ Rule 60(b) and 59(e) motions in pre-AEDPA days. Pre-AEDPA courts often, though not always, treated prisoners’ Rule 60(b) motions as successive habeas petitions. See Brewer v. Ward, 1996 WL 194830, *1 (CA10, Apr. 22, 1996) (noting the trend as to motions “raising new claims” but affirming a denial of Rule 60(b) relief on the merits). By contrast, only Bannister denied a Rule 59(e) motion on that basis, and a handful of cases denied (or reversed lower-court decisions granting) habeas petitioners’ Rule 59(e) motions on other grounds. Ante, at 9. From this state of affairs, the Court infers that Rule 59(e) motions were generally regarded as free from the pre-AEDPA strictures on second or successive petitions. In other words, the Court infers that judges thought that they were required to decide Rule 59(e) motions on the merits even if they were second or successive habeas petitions in substance.
This is nothing but speculation, and there is a more likely explanation for the disparity between reported cases dismissing Rule 60(b) and Rule 59(e) motions as second or successive. Before AEDPA, whether to entertain a successive habeas petition was left to “the sound discretion of the federal trial judges,” Sanders v. United States, 373 U. S. 1, 18 (1963), and therefore the disparity may be attributable, not to what judges thought they were required to do, but to what they chose to do as a matter of discretion. And the Court provides the obvious reasons why judges might have been more inclined to reach the merits in Rule 59(e) cases. A Rule 59(e) motion raises claims that the judge recently decided; a Rule 60(b) motion may raise entirely new claims and may be filed later. For these reasons, judges might have found it more attractive to decide the merits in Rule 59(e) cases when they had the discretion to do so.
The important point, however, is that the Court can only speculate. But based on that speculation, the Court is willing to conclude that in the days before AEDPA, judges thought that they were legally required to decide the merits of second or successive habeas petitions if they were labeled as Rule 59(e) motions and that AEDPA‘s express and tight restrictions on second or successive petitions were enacted on the understanding that this feature of pre-AEDPA practice would not be disturbed. That is a tall order indeed, and this inconclusive case law does not suffice. See, e.g., Isbrandtsen Co. v. Johnson, 343 U. S. 779, 783 (1952) (“Statutes . . . are to be read with a presumption favoring the retention of long-established and familiar principles“).
IV
A
The Court muses that its opinion “may make habeas proceedings more efficient,” ante, at 11, but improving statutes is not our job, and in any event, the Court‘s assessment of the consequences of its decision is dubious.
State prisoners file thousands of federal habeas petitions per year.3 After a petition
The Court is probably right that, once in a while, a Rule 59(e) motion could save the need for an appeal. But that positive effect is very likely outweighed by the burden imposed by the entirely meritless Rule 59(e) motions that today‘s decision will give prisoners an incentive to file. Not only will prisoners file such motions on the off chance of winning, but some may file simply to toll the deadline for filing an appeal,
The Court‘s decision would be more understandable if it
offered any real benefit for habeas petitioners, but it does not. As Banister concedes, see Brief for Petitioner 33, the standard for Rule 59(e) relief from an erroneous judgment is higher than the standard for permission to appeal. Compare Miller-El v. Cockrell, 537 U. S. 322, 336 (2003) (“reasonable debate” standard for a certificate of appealability), with 11 Wright & Miller §2810.1 (“manifest error” standard for Rule 59(e) relief ). So if a prisoner has a claim that can prevail under Rule 59(e), there should be no problem in obtaining permission to appeal. That is the procedure prescribed by AEDPA, and it is an entirely reasonable one that does not prejudice habeas petitioners.
B
If treated according to their substance rather than their label, Rule 59(e) motions would still have “an unquestionably valid role to play” in habeas cases. Gonzalez, 545 U. S., at 534. The construction of AEDPA in Gonzalez did not doom the Rule 60(b) motion at issue in that case. Although deficient for other reasons, that motion challenged “a nonmerits aspect of the first federal habeas proceeding,” the denial of the habeas petition on timeliness grounds. Ibid. That sort of claim is not the equivalent of a habeas claim. It does not assert a federal basis for relief from the state-court judgment; rather, it seeks to cure a “defect” in the federal habeas proceeding itself. Id., at 532.
Rule 59(e) motions can do the same. Through that Rule, a petitioner can flag manifest errors in a district court‘s application of AEDPA‘s statute of limitations, AEDPA‘s exhaustion requirement, or the rules of procedural default. See Webb v. Davis, 940 F. 3d 892, 898 (CA5 2019) (adding “the district court‘s denial of funding, the district court‘s dismissal of claims without conducting an evidentiary hearing, . . . the district court‘s failure to consider claims presented in the habeas application,” and “the denial of a claim based on a valid appeal waiver” (internal quotation marks omitted)). These challenges relate only to a petitioner‘s ability to assert a claim, not the merits of the claim itself. Under Gonzalez, a petitioner could seek
That is not what Banister sought. In substance, his Rule 59(e) motion was simply a repackaged version of his petition, and since the Fifth Circuit had not authorized him to file it, the District Court had no jurisdiction to consider it. See Burton v. Stewart, 549 U. S. 147, 153 (2007) (per curiam).
V
The question remains whether Banister‘s Rule 59(e) motion tolled his appeal deadline. Under
Appellate Rule 4(a) provides that “the time to file an appeal runs for all parties from the entry of the order disposing of,” among other things, a Rule 59(e) motion.
Banister contends that, even if his Rule 59(e) motion constituted a habeas petition, the simple act of filing it gave him more time to appeal. He points to the statement in Artuz v. Bennett, 531 U. S. 4 (2000), that an application is commonly regarded as having been “‘filed‘” if “it is delivered to, and accepted by, the appropriate court officer for placement into the official record.” Id., at 8. Under this definition, he argues, his motion was filed, and therefore, the time to take an appeal was tolled until it was denied.
This argument fails because the timeliness of Banister‘s appeal does not depend on whether what Banister labeled a Rule 59(e) motion was “filed” in the District Court. Under Appellate Rule 4(a), the time to appeal runs from the date when the district court finally disposes of a motion falling within one of six categories, including motions to alter or amend the judgment under Rule 59. And whether a motion falls into one of those categories depends on the substance of the motion, not the label that is affixed to it. See, e.g., Budinich v. Becton Dickinson & Co., 486 U. S. 196, 199–200, 203 (1988) (a motion for attorney‘s fees is not equivalent to a Rule 59(e) motion and did not toll the time to appeal); State Nat. Ins. Co. v. County of Camden, 824 F. 3d 399, 410 (CA3 2016); Yost v. Stout, 607 F. 3d 1239, 1243 (CA10 2010); Borrero v. Chicago, 456 F. 3d 698, 700 (CA7 2006); Moody Nat. Bank of Galveston v. GE Life and Annuity Assurance Co., 383 F. 3d 249, 251 (CA5 2004); Jones v. UNUM Life Ins. Co. of America, 223 F. 3d 130, 136 (CA2 2000). Thus, to toll the time to appeal, Banister‘s motion had to be a motion to alter or amend, and because
* * *
I would hold that a Rule 59(e) motion that constitutes a second or successive habeas petition is subject to