Lead Opinion
Dissenting opinion filed by Senior Circuit Judge RANDOLPH.
In 2007, the Federal Bureau of Prisons released Michael Hurd from prison after he had served roughly 13 months of a 42-month sentence. If that release were mistaken and quickly recognized as such, a prompt arrest and re-incarceration would seem unproblematic. But the Bureau of Prisons discharged Hurd under circumstances that he reasonably believed reflected a deliberate sentence reduction. Indeed, Hurd remained in the District of Columbia and for three years submitted to supervision by the U.S. Parole Commission and the Court Services and Offender Supervision Agency (CSOSA) for the District of Columbia before the Parole Commission recommended his release from federal custody. Federal authorities discharged Hurd from supervised release in March of 2010. In 2011, Hurd pleaded guilty to marijuana possession in D.C. Su
On November 16, 2011, Hurd filed a habeas petition against the United States in the D.C. Superior Court challenging his confinement as a violation of procedural and substantive due process. The court denied his petition from the bench in July 2012. Hurd appealed that decision to the D.C. Court of Appeals, but the court failed to act for another year and a half. By that point, Hurd had served the balance of his initial sentence and been released. The Court of Appeals dismissed his appeal as moot.
Hurd then filed in federal district court this damages action against the District of Columbia under 42 U.S.C. § 1983, again pursuing both procedural and substantive due process claims. The district court dismissed his substantive due process claim as precluded by the D.C. Superior Court’s 2012 decision denying his habeas petition against the United States, and dismissed both claims under Federal Rule of Civil Procedure 12(b)(6). See Hurd v. D.C.,
We conclude that the Superior Court’s 2012 decision lacks the preclusive effect the district court perceived. Because Hurd was unable to obtain a decision on his habeas appeal once he was no longer in custody, and because section 1983 claims cannot be joined in a habeas proceeding, the .Superior Court’s unreviewed bench ruling was not the result of a full and fair opportunity to litigate.
On the merits, Hurd’s complaint states a legally actionable procedural due process claim. His liberty interest sufficed to require that he be afforded some kind of process before he was locked up again. As for Hurd’s substantive due process claim, the district court erred in dismissing that claim based on material beyond the complaint, and not incorporated by reference in it, without converting the motion to dismiss into one for summary judgment as contemplated by Federal Rules of Civil Procedure 12(d) and 56. We accordingly remand the case to the district court for further proceedings.
I. Background
On appeal from an order granting a motion to dismiss for failure to state a claim under Federal Rule of Civil Procedure 12(b)(6), the relevant facts are those alleged in the complaint, taken in the light most favorable to the plaintiff and with all reasonable inferences drawn in his favor. Accordingly, except as otherwise noted, this factual background is based on the complaint.
Hurd was an active duty Marine from 1997 to 2001, and a Marine Corps reservist from 2001 to 2005. In 2006, after he pleaded guilty to possessing cocaine and an unregistered firearm in violation of D.C. law, the D.C. Superior Court sentenced Hurd to 42 months’ imprisonment with a three-year term of supervised release. Hurd began serving his sentence at a federal prison in West Virginia on September 21, 2006. If Hurd had served the entirety of that term, he would have been released from prison in March of 2010.
Hurd pleaded guilty to possession of marijuana almost a year later, in September 2011, when possession of less than two ounces of marijuana was still a crime under D.C. Jaw. Compare D.C. Code Ann. § 48-904.01(d)(l) (2010) (making marijuana possession a misdemeanor punishable by up to 180 days in jail), with D.C. Code Ann. § 48-904.01(a)(l)(A) (2015) (legalizing possession of two ounces or less). The Superior Court allowed Hurd, who had stable employment at the time, to serve his nine-day sentence in a local jail over the course of three weekends. He reported to D.C, jail on a Friday night and was released two days later. He returned the following weekend. But on Sunday, October 2, 2011, the D.C. Department of Corrections refused to release him. Prison personnel informed Hurd more than 50 months after his release from prison that he had 27 months of imprisonment still to serve on his 2006 sentence.
Hurd spent the ensuing years challenging his imprisonment. In November 2011, a few weeks after the District re-imprisoned him, Hurd petitioned the D.C. Superior Court on substantive and procedural due process grounds for habeas corpus relief against the United States (on behalf of which the District appeared to be holding him). The Superior Court sought and timely received responses from the United States and the District of Columbia, but Hurd’s petition then languished. After almost seven more months, Hurd filed a second petition requesting emergency relief.
The Superior Court held argument on the petition in July 2012. Hurd’s attorney attempted to put into evidence certain D.C. Department of Corrections documents that, she claimed, falsely stated that the Superior Court re-sentenced Hurd on October 2 and gave him a hearing on
Hurd appealed, but the D.C. Court of Appeals did not act for 17 months. Hurd’s appeal remained unresolved even after he was released on September 30, 2013.
Hurd then filed this suit in the district court against the District of Columbia under 42 U.S.C. § 1983, seeking damages'for a period of re-incarceration that he claimed violated both procedural and substantive due process. The District moved to dismiss, first on the ground that the Superior Court’s denial of Hurd’s habeas petition was res judicata. The District argued that the Superior Court had rejected the same constitutional claims “on the merits” and that that decision was entitled to full faith and credit, and thus preclusive of Hurd’s damages claim. Alternatively, the District contended that Hurd’s complaint failed plausibly to allege a violation of procedural or substantive due process. In support of its motion, the District attached as exhibits its brief and some of the accompanying sentencing and supervision documents that it had filed before the Superior Court in opposition to Hurd’s habe-as petition.
The district court dismissed Hurd’s substantive due process claim as precluded and rejected both the substantive and procedural due process .claims for failure to state a claim. First, the district court determined that “the Superior Court re
II. Discussion
A. Standard of Review
We review de novo the district court’s grant of the government’s Rule 12(b)(6) motion to dismiss. Banneker Ventures, LLC v. Graham,
B. Claim and Issue Preclusion
The district court held that Hurd’s substantive due process claim was precluded by the July 2012 decision of the D.C. Superior Court, but we hold that neither claim nor issue preclusion applies.
As a preliminary matter, it bears mention that Hurd’s habeas petition was against the United States, whereas the current case is against the District of Columbia. Neither the parties nor the district court discussed whether or why preclusion could apply despite that non-mutuality. Because that question was not briefed and we find the district court’s application of preclusion doctrine was erroneous on other grounds, we do not resolve it.
1. Claim Preclusion. The district court limited its analysis to claim preclusion, using the familiar inquiry for assessing whether a claim is precluded by a prior judgment. That inquiry “focuses on the following questions: (1) whether the claim was adjudicated finally in the first action; (2) whether the present claim is the same as thé claim which was raised or which might have been raised in the prior proceeding; and (3) whether the party against whom the plea [of preclusion] is asserted was a party or in privity with a party in the prior case.” Patton v. Klein,
On appeal, Hurd contends that his section 1983 damages claim was not the same as his habeas claim, because the damages claim was not and could not have been raised in the habeas proceeding. We agree. Preclusion is designed to limit a plaintiff to one bite at the apple, not to prevent even that single bite. It thus precludes later theories or pleas for relief arising out of the same claim only if they could have been asserted in the earlier case. As the Supreme Court has observed, “claim preclusion generally does not apply where ‘[t]he plaintiff was unable to rely on a certain theory of the case or to seek a certain remedy because of the limitations on the subject matter jurisdiction of the courts.’” Marrese,
Cases applying claim preclusion where a different amount of damages was available in the second action compared to the first, see Dissent at 690-91, can hardly support preclusion where no damages whatsoever were available in the first action. And it is far from clear that Hurd could have joined his damages claim with his habeas petition. See Dissent at 689-90. Generally speaking, the Supreme Court has reserved habeas for those seeking release from confinement and section 1983 for those seeking other relief, such as damages. See Skinner v. Switzer,
2. Issue Preclusion. The District alternatively defends the district court’s judgment on the ground that Hurd’s due process claims are issue precluded. Under D.C. law, issue preclusion generally prevents parties from re-litigating issues of fact or law decided in an earlier proceeding if “(1) the issue, was actually .litigated and (2) determined by a-valid, final judgment on the merits; (3) after a full and fair opportunity for litigation by the parties or their privies; (4) under circumstances where the determination was essential to the judgment, and not merely dictum.” Davis v. Davis,
Issue preclusion does not apply because the defense-was neither raised nor decided below and therefore is forfeited. See Taylor v. Sturgell,
The District appears to concede that the mooted-appeal exception to issue preclusion would normally apply here, but argues that we should nevertheless treat the Superior Court judgment as preclusive because Hurd did not specifically ask the D.C. Court of Appeals to vacate the Superior Court’s decision. For that point, the District relies on United States v. Munsingwear, Inc.,
For two reasons, we disagree with the District’s argument that Munsingwear overrides the mootness exception to issue preclusion. First,, the D.C. courts have.not followed Munsingwear to hold the mooted-appeal exception inapplicable merely, because'a lower court’s judgment was not vacated. We recognize that the D.C. courts have cited Munsingwear regarding courts’ power to vacate opinions when the controversies that spawned them became moot. See, e.g., Lewis v. Hotel and Rest. Emps. Union,
Second,, even if the D.C- courts embraced that .aspect of Munsingwear,. we would not apply it here. The Munsingwear rule involves “equitable” considerations and it' gives way when “fairness” requires. See U.S. Bancorp Mortg. Co. v. Bonner Mall P’ship,
We see no reason to treat Hurd’s due process claims as barred simply because he failed to take the added step of filing a motion for vacatur—particularly where the point was neither pressed nor passed on below. D.C. law does not appear to require it, and the D.C. Court of Appeals’ dismissal of Hurd’s appeal is reasonably read as so confirming. We therefore hold that the Superior Court’s unreviewed denial of Hurd’s habeas petition does not preclude him from asserting his section 1983 due process claims against the District of Columbia.
C. Sufficiency of the Complaint
The district court also held that Hurd’s complaint failed on the merits to state a claim on which relief could be granted. Hurd claimed that his re-incarceration violated his rights to procedural and substantive due process.
1. Procedural Due Process
It is “undisputed that the District failed to provide Hurd with any prior notice or hearing,” and therefore “the only question is whether he had a protected liberty interest” that would entitle him to some procedure before re-incarceration. Hurd,
The Due Process Clause may itself confer a procedurally protected liberty interest on someone living openly in society for years after what, unbeknownst to him, was his premature release from
In Morrissey, for instance, the Court recognized that a person who is out of prison under criminal justice supervision, even though subject to re-incarceration at any time for noncompliance with parole conditions, has a personal liberty interest sufficient to trigger procedural due process protection before his parole may be revoked.
The district court distinguished Morris-sey on the ground that the parole at issue there “is served in lieu of prison time,” while supervised release, which Hurd successfully completed between 2007 and 2010, “is served only after the prison term is ended.”
Hurd alleges facts that support a liberty interest crystallized sufficiently by the close of the period of supervision to entitle him to some kind of process before re-incarceration. As Hurd was aware, his original sentence did not impose a mandar
The government documented the terms, both temporal and otherwise, . of Hurd’s supervision. His Certificate of Supervised Release-recited July 18,2007 as the date of his release from prison, enumerated the conditions of supervision, and, on behalf of the Parole Commission, stated that Hurd was “to be released to supervised release for a term of 36 months upon release from imprisonment.” Joint App. 85. Hurd complied by reporting to OSOSA, officers regularly for three years, submitting urine samples for drug testing, and training for and obtaining a well-paid job. During 2007-2010, which all parties treated as his post-incarceration period of supervised release, the Parole Commission monitored Hurd and at no point expressed any governmental interest in.revoking his release and re-incarcerating him. By regulation, once Hurd’s term of supervision was complete, it was no longer subject to revocation., 28 C.F.R. § 2.211(d). Hurd’s many communications and interactions with the government reinforced his reasonable understanding that he was continuing to serve his sentence and that he was making progress toward unconditional release from criminal justice supervision.
Additional features of this case underscore the value of pre-deprivation process before re-incarcerating someone in Hurd’s situation. As the district court acknowledged, the D.C. Department of Corrections unilaterally re-incarcerated Hurd without a warrant or a detainer despite the fact that the--authority to detain him was statutorily committed to the Federal Bureau of Prisons, Hurd,
2. Substantive Due Process
The parties and the district court analyzed Hurd’s substantive due process claim challenging his reimprisonment under Merritt,
On Merritt’s federal habeas petition, the court found that “[r]esponsibility for the defendant’s release from prison and his subsequent at-large status rest[ed] entirely with the governmental authorities.” Id. The court considered the lack of fault on Merritt’s part, the responsibility of the government for the error, and the “actual-consequences” of an order requiring him to serve his federal sentence. Id. at 808. Merritt concluded that “[a]n order requiring service of defendant’s sentence now would needlessly jeopardize his long-term adjustment- to society, disrupt both his family and his family life, and destroy his economic base, all for no purpose other than to secure blind obedience to the 1973 sentence as it was then imposed.” Id.
Here, the district court restated the relevant considerations under Merritt as “(1) the length of mistaken release; (2) the government’s level of culpability; (3) the prisoner’s knowledge of, or contribution to, the mistake; and (4) the prejudice caused by re-incarceration, i.e., how well the prisoner has readjusted to society.”
The court deemed decisive, however, that Hurd had not “successfully turned his life around” during his supervised release. Id. at 70. In its' view, re-incarceration “is really only fundamentally unfair” where the prisoner has become “a success story.” Id. at 69. Taking judicial notice of exhibits the District filed with its motion to dismiss, the court recognized that Hurd “successfully completed his three-year term of supervision, worked as a sheet metal journeyman, completed an anger management course, and re-established his ties to his wife and children.” Id. at 70. The court decided, however, that his arrests and drug-testing records “negate[d] any argument that"[he] successfully turned his life around.” Id. The court reached that conclusion despite acknowledging that" Hurd’s only conviction after his 2007 release was for marijuana possession (and that was after his supervised release had ended); his other arrests resulted.either in acquittals or dismissals; and the Parole Commission had decided not to revoke his supervised release, but determined after three
For purposes of this appeal, we merely assume, in accord with the parties’ and district court’s approach in this case, that Merritt applies. Treating as relevant “how well the [ex-] prisoner has readjusted to society,” id. at 66, we hold that abbreviation of procedure in the district court requires a remand. The district court relied on material beyond the pleadings to grant the motion to dismiss without permitting discovery and summary judgment briefing on the substantive due process claim and, in particular, on the element the district court deemed determinative and on which Hurd’s own evidence would necessarily be highly relevant: whether he had “turned his life around.” Id. at 70. In concluding that Hurd was not entitled to relief under Merritt, the court looked beyond the allegations of the complaint to evidence the government submitted. The court noted that after his release Hurd, an acknowledged addict, had repeatedly tested positive for drugs and was arrested four times, once resulting in a conviction. Id. Those facts were neither alleged in Hurd’s complaint nor included in documents that the complaint incorporated by reference. Instead, the District of Columbia attached documentary evidence of Hurd’s drug tests and arrest records to its motion to dismiss. When a moving party introduces “matters outside the pleadings” in support of a motion to dismiss, Rule 12(d) requires the district court either to ignore that evidence in deciding the motion under Rule 12(b)(6), or to convert the motion into one for summary judgment. The district court did neither.
The District of Columbia argues that the court appropriately considered the District’s documentary evidence because it was filed in Hurd’s Superior Court habeas case and was subject to judicial notice. A federal court may take judicial notice of “a fact that is not subject to reasonable dispute” if it either “is generally known within the trial court’s territorial jurisdiction” or “can be accurately and readily determined from sources whose accuracy cannot reasonably be questioned.” Fed. R. Evid. 201(b). This court has for various purposes taken judicial notice of court records from other cases. For example, in Jankovic v. International Crisis Group,
That common-sense limitation on judicial notice is particularly apt in a ease where the court purports to treat a noticed fact as preclusive. “If it were permissible for a court to take judicial notice of a fact merely because it has been found to be true in some other action, the doctrine of collateral estoppel would be superfluous.” United States v. Jones,
In order to go beyond testing the adequacy of the allegations of the complaint, a district court must follow the pro
The district court did not take the requisite steps for looking beyond the complaint to consider the material the District of Columbia proffered. To do so, it would have had to notify Hurd of its intention to consider factual submissions and give him the opportunity to discover and offer evidence of his own—whether to rebut any facts or negative inferences the district court might draw from the government’s exhibits or to provide facts and context in his own support. See Fed. R. Civ. P. 12(d), 56. By casting the issue as one of the district court’s authority to take judicial notice at the motion-to-dismiss stage, the District sought to have documents supportive of its view of potentially disputed issues of fact considered as if they were part of the plaintiffs own allegations. But a movant may not, consistent with the Federal Rules of Civil Procedure, support a 12(b)(6) motion by pointing to the content of evidence in other cases to rebut facts adequately stated in an opposing party’s pleading. The reasoning set forth in the district court’s opinion therefore fails to support dismissal, and the case must be remanded for further proceedings.
We close by emphasizing again that this court has not yet had occasion to set forth a framework for analyzing a prematurely released prisoner’s re-incarceration, and we merely assume without deciding here that Merritt applies. This is not the type of due process issue that the courts have “reduced to detailed and nearly mechanical rules,” but rather one in which “the precepts are very general, and everything turns on the circumstances.” DeWitt v. Ventetoulo,
' Conclusion
For the foregoing reasons, we vacate the district court’s judgment and remand for further proceedings consistent with this opinion.
So ordered.
Notes
. It is unclear why Hurd would have 27 months left on his 2006 sentence if he served only 13 months of a 42-month sentence. The simple math would suggest he had 29 months remaining. The District assures us, however, that the underlying sentence calculation is not at issue in this dispute. Appellee Br. 7 n.l.
. Here too, the numbers do not add up. The Department of Corrections re-incarcerated Hurd on October 2, 2011. The Department told him he had 27 months remaining on his sentence, but released him on September 30, 2013—-just shy of 24 months later. Nothing in the record explains that discrepancy.
. The District contends that Hurd’s complaint did not include a separate claim for damages for an alleged violation of procedural due process. But Hurd claimed that he was "deprived of” both procedural and substantive due process, see First Am. Compl. ¶¶ 65-66, and he asserted a right "to notice and a hearing,” id. at ¶ 62. He sought "damages for violation of his constitutional right to liberty” as well as "[s]uch other and further relief as the Court may deem just and proper.” Id. at ¶ 74.
Dissenting Opinion
dissenting:
Michael D. Hurd,; Jr.’s complaint for damages, brought under 42 U.S.C. § 1983, alleged that the District of Columbia deprived him of due process in violation of the Fifth Amendment to the Constitution when he was reimprisoned after District authorities discovered that he had been prematurely released from prison. Hurd brought this action after he finished seeing the balance of his original sentence.
One of the problems with Hurd’s § 1983 complaint, and the only one I need address, is that before- he filed this action in federal court he brought the same claims of procedural and substantive due process in a habeas corpus petition in the District of Columbia Superior Court, and lost.
Here, the district court ruled that the Superior Court’s habeas decision precluded Hurd’s substantive due process' claim,
The majority rejects claim preclusion on different grounds. It first states that Hurd could not have raised his damages claim in the habeas petition. That is accurate. But there is no reason why he could not have joined the § 1983 damages claim with the habeas petition. The majority relies on Restatement (Second) of Judgments § 26(l)(c) (1982) (stating claim preclusion inapplicable when the “plaintiff was unable to rely on a certain theory of the case or to seek a certain remedy because of the limitations on the subject matter jurisdiction of the courts”), but that Restatement provision is inapposite.
Even if that were not the case, the District of Columbia’s definition of “claim” for preclusion purposes does not depend on the available relief. Under D.C. law the “nature and scope of a ‘cause of action’ is determined by the factual nucleus, not the theory on which a plaintiff relies.” Faulkner v. Gov’t Employees Ins. Co.,
The majority’s contrary view—that in order to have preclusive effect, the available relief in the first proceeding must meet or exceed the available relief in the second—finds no support in D.C. law. D.C. courts have repeatedly held the opposite. In Osei-Kuffnor v. Argana,
It is true, as the majority notes, that the above cases involved actions for damages in both the first and second forums. Maj. Op. 680. But the reasoning in the decisions directly applies to this case. An “aggrieved party should be given but one opportunity to allege” a particular wrong, the court wrote in Molovinsky, so claim preclusion may apply even when the first forum “lacked the jurisdictional competence” to provide the relief sought in the second action.
To be sure, no D.C. court has squarely held that a prior habeas decision can preclude a later § 1983 action. But no D.C. court has held the opposite. Because we must apply D.C. preclusion law, see Migra,
The Gonzales decision is no outlier. In Preiser v. Rodriguez,
These cases and others support the conclusion that Hurd’s § 1983 action is precluded.
. The district court properly reviewed the ha-beas decision in deciding to dismiss Hurd’s § 1983 action. See, e.g., Covad Commc'ns Co. v. Bell Atl. Corp.,
. The majority says that "D.C. courts have cited Munsingwear regarding courts’ power to vacate opinions when the controversies that spawned them became moot,” but argues that no D.C. court—at least in cases involving issue preclusion—has enforced the Munsing-wear vacatur requirement. Maj. Op. 681-82. When the D.C. Court of Appeals has discussed Munsingwear, however, it has noted the consequences of failing to vacate the decision under review. The decision would "remain in force unreviewed” and would permit "a judg- '■ ment, unreviewable because of mootness," to “spawn[] .,, legal consequences.” Lewis,
. Even if the Restatement provision were relevant, we must follow District of Columbia law, not the views of the Restatement drafters. See Migra,
. The majority states that "Hurd’s habeas petition was against the United States, whereas the current case is against the District of Columbia.” Maj. Op. 679. Yet the District of Columbia may have also been a party to the habeas case. The Superior Court asked the "United State’s [sic] Attorney’s Office and/or the District of Columbia Attorney General’s Office, as respondent(s),” to file responses to the habeas petition, and the District of Columbia filed a response contesting its inclusion in the case and addressing the merits. See Order to Show Cause, Hurd v. United States, No. 05-FEL-4391 (D.C. Super. Ct. Nov. 21, 2011); Non-Party District of Columbia Department of Correction’s Response to Plaintiff's Motion for Writ of Habeas Corpus at 1-3, Hurd v. United States, No. 05-FEL-4391 (D.C. Super. Ct. Dec. 21, 2011). The D.C. Superior Court apparently did not resolve the question whether the District of Columbia was a party,
Even if the District of Columbia was not a party, it is in privity with the United States for this action. "Traditional categories of privies” include "those whose interests are represented by a party to the action." Patton v. Klein,
. I express no view on whether Heck v. Humphrey,
