James Dwight Thomas v. James CrosbyJames Dwight Thomas v. James Crosby
Lead Opinion
Aрpellant James Dwight Thomas, a state prisoner, appeals the district court’s denial of his petition for a writ of habeas corpus. We affirm.
I. BACKGROUND
In 1973, Appellant pled nolo contendere in Florida state court to second-degree murder and was sentenced to 85 years’ imprisonment. He subsequently escaped from a Florida prison and fled to New York, where he remained a fugitive for close to 17 years. In 1993, Appellant was extradited to Florida to serve the remainder of his original sentence.
The Florida Parole Commission (FPC) considered Appellant’s case in 1994 and 1997, and ultimately set a presumptive parole release date of October 20, 2017. Appellant challenged the proceedings before the FPC. Of particular relevance to this case, Appellant sought a writ of mandamus in Leon County Circuit Court and then a writ of habeas corpus in Calhoun County Circuit Court. The Leon County Circuit Court denied Appellant’s petition for a writ of mandamus. Appellant did not ap
In February 1999, Appellant sought post-conviction relief in federal court by filing pro se a document captioned “FORM TO BE USED BY FEDERAL PRISONERS FILING A PETITION FOR WRIT OF HABEAS CORPUS PURSUANT TO
The magistrate judge recommended that two of Appellant’s four claims be denied under exhaustion and procedural bar principles and that Appellаnt’s remaining two claims be denied on the merits. The district court adopted the magistrate judge’s report and recommendation and denied Appellant’s petition for habeas relief.
On July 5, 2001, we issued a certificate of appealability under
Whether the district court erred in finding that appellant’s first two claims that he was denied due process and equal protection under the law by the Florida Parole Commission in the setting of his presumptive parole release date and in refusing to set an effective parole release date were procedurally barred in light of O’Sullivan v. Boerckel,526 U.S. 838 ,119 S.Ct. 1728 ,144 L.Ed.2d 1 (1999).
After this issue was briefed, however, we sua sponte vacated the July 5 certificate of appealability and issued a new one on the following issue only:
Whether the district court erred in converting petitioner’s application for a writ of habeas corpus pursuant to28 U.S.C. § 2241 into an application for a writ of habeas corpus pursuant to28 U.S.C. § 2254 in that petitioner’s application did not collaterally attack a state court conviction. Instead, the application attacked a decision of the Florida Parole Commission concerning petitioner’s parole eligibility.
We now hold Appellant’s petition for a writ of habeas corpus is governed by both
II. DISCUSSION
Before addressing the merits of the issue set out in the second COA, we briefly address the State’s contention that the issue is not properly before the Court because Appellant never raised it. ■
Notably, there is no question we have jurisdiction in this case. “A COA is usually a jurisdictional prerequisite to an appeal in a post-conviction relief proceeding following a state or federal court conviction.” Pagan v. United States,
The State’s primary complaint regarding the second COA is that Appellant did not raise the issue set out therein and therefore has waived it. As we rule in the State’s favor on the merits based on prior Circuit precedent, we need not resolve the waiver issue.
The issue set out in the second COA — whether the district court erred by treating the petition filed by Appellant, a state prisoner in custody pursuant to the judgment of a state court, as one under
In Medberry, we held that a habeas petition filed by a state prisoner in custody pursuant to the judgment of a state court is subject both to
“[T]here are two distinct means of securing post-conviction relief in the federal courts: an application for a writ of habeas corpus (governed by, inter alia,
[T]he writ of habeas corpus is a single post-conviction remedy principally governed by two different statutes....
The difference between the statutes lies in the breadth of the situations to which they apply.Section 2241 provides that a writ of habeas corpus may issue to a prisoner in the following five situations:
(1) He is in custody under or by color of the authority of the United States or is committed for trial before some court thereof; or
(2) He is in custody for an act done or omitted in pursuance of an Act of*786 Congress, or an order, process, judgment or decree of a court or judge of the United States; or
(3) He is in custody in violation of the Constitution or laws or treaties of the United States; or
(4) He, being a citizen of a foreign state and domiciled therein is in custody for an act done or omitted under any alleged right, title, authority, privilege, protection, or exemption claimed under the commission, order or sanction of any foreign state, or under color thereof, the validity and effect of which depend upon the law of nations; or
(5) It is necessary to bring him into court to testify or for trial.
28 U.S.C. § 2241(c) .Section 2254 , on the other hand, applies to a subset of those to whom§ 2241(c)(3) applies — it applies to “a person in custody pursuant to the judgment of a State court” who is “in custody in violation of the Constitution or laws or treaties of the United States.”28 U.S.C. § 2254(a) (emphasis added).
Id. at 1059. Accordingly, we concluded in Medberry that where a prisoner is in custody pursuant to the judgment of a state court, his petition is subject to both
In so ruling, we pointed out that our conclusion was supported by the canon of statutory construction that the more specific statute takes precedence over the more general statute. Id. at 1060. “ ‘[Bjoth
Our reading of§§ 2241 and 2254 as governing a single post-conviction remedy, with the§ 2254 requirements applying to petitions brought by a state prisoner in custody pursuant to the judgment of a State court, gives meaning to§ 2254 without rendering§ 2241(c)(3) superfluous. Under our reading, there remain some state prisoners to whom§ 2254 does not apply.Section 2254 is limited to state prisoners “in custody pursuant to the judgment of a State court.”28 U.S.C. § 2254(a) . State pre-trial detention, for example, might violate the Constitution or the laws or treaties of the United States. Yet a person held in such pretrial detention would not be “in custody pursuant to the judgment of a State court.” Such a prisoner would file an application for a writ of habeas corpus governed by§ 2241 only. To read§§ 2241 and 2254 other than as we do would effectively render§ 2254 meaningless because state prisoners could bypass its requirements by proceeding under§ 2241 .
If§ 2254 were not a restriction on§ 2241 ’s authority to grant the writ of habeas corpus, and were instead a freestanding, alternative post-conviction remedy, then§ 2254 would serve no function at all. It would be a complete dead letter, because no state prisoner would choose to run the gauntlet of§ 2254 restrictions when he could avoid those limitations simply by writing “§ 2241 ” on his petition for federal post-conviction relief. All of Congress’s time and effort in enacting§ 2254 , amending it in 1966, and further amending it in*787 1996 with AEDPA would have been a complete waste.Section 2254 would never be used or applied, and all of the thousands of decisions over the past half-century from the Supreme Court and other federal courts interpreting and applying the provisions of§ 2254 would have been pointless.Section 2254 would be a great irrelevancy because a state prisoner could simply opt out of its operation by choosing a different label for his petition.
Id. at 1060-61.
Our conclusion in Medberry was also supported by our extensive review of the history of the post-conviction relief statutes:
Neither does the history of§ 2254 suggest that the section is anything more than a limitation on the preexisting authority under§ 2241(c)(3) to grant the writ of habeas corpus to state prisoners. The 1948 codification which created§ 2254 merely codified judge-made restrictions on issuing the writ of habeas corpus as authorized under§ 2241 .... Because it was merely declarative of judicial limitations imposed on habeas relief under§ 2241 ,§ 2254 could not possibly have created a new post-conviction remedy.Section 2254(a) merely specifies the class of state prisoners to which the additional restrictions of§ 2254 apply.
Id. at 1060.
We summarized:
[A] state prisoner seeking post-conviction relief from a federal court has but one remedy: an application for a writ of habeas corpus. All applications for writs of habeas corpus are governed by§ 2241 , which generally authorizes federal courts to grant the writ — to both federal and state prisoners. Most state prisoners’ applications for writs of habe-as corpus are subject also to the additional restrictions of§ 2254 . That is, if a state prisoner is “in custody pursuant to the judgment of a State court,” his petition is subject to§ 2254 . If, however, a prisoner is in prison pursuant to something other than a judgment of a state court, e.g., a pre-trial bond order, then his petition is not subject to§ 2254 .
Id. at 1062. Insofar as we held a state prisoner in custody pursuant to the judgment of a state court is subject to
There is no merit to Appellant’s argument that
A state prisoner cannot evade the procedural requirements of
III. CONCLUSION
Appellant’s use of the
AFFIRMED.
. The state prisoner in Medberry challenged prison disciplinary actions against him. Id. at 1052.
Concurrence Opinion
specially concurring:
This case presents the important question of whether state prisoners may bring habeas corpus petitions under
I.
Because I do not believe the majority has set forth the facts of this case in sufficient detail to consider this appeal adequately, I will begin in Section A by offering an independent statement of facts that traces Thomas’s journey through the Florida and New York State criminal justice systems. Section B turns to the procedural history of this case, explaining the gravamen of his federal habeas corpus petition, which the district court denied, and discussing our sua sponte grant of a revised certificate of appealability (“COA”).
A.
The facts of this case are, for the most part, uncontested. On May 11, 1973, petitioner James Thomas pled nolo contendere to second-degree murder before the Bro-ward County, Florida, Circuit Court and was sentenced to eighty-five years in state prison. A few years later, in 1976, Thomas escaped from prison and fled to New York, where he hid for close to seventeen years. During this time, he was convicted in a New York state court of grand larceny, attempted unauthorized use of a motor vehicle, and resisting arrest while on escape status.
On May 11, 1994, at Thomas’s first parole hearing, the Florida Parole Commission (“FPC”) set Thomas’s presumptive parole release date (“PPRD”) as October 20, 2019.
In 1996, still dissatisfied with his PPRD, Thomas petitioned the Leon County Circuit Court for a writ of mandamus directed to the FPC. First, he contended that the FPC should have set an “effective parole release date” (“EPRD”) for him, rather than merely a PPRD.
At Thomas’s second parole hearing, on March 5, 1997, while his mandamus petition was pending, the FPC again considered his PPRD and decided to move it up two years to October 20, 2017. A few weeks later, the circuit court denied Thomas’s petition, summarily concluding without explanation that “[Thomas’s] PPRD was properly calculated” and that the FPC “properly assessed a 240 month aggravation ... based on [his] New York convictions.” Thomas v. Fla. Parole Comm’n, No. 96-02827, at *1 (Fla. Leon County Cir. Ct. May 6, 1997). The court further held that Thomas “failed to demonstrate any error or abuse of discretion on behalf of the [FPC].” Id. Thomas did not appeal this ruling.
On October 1, 1997, the FPC held a third parole hearing for Thomas at which a representative of the Broward County State Attorney’s Office testified against further reductions in Thomas’s parole. Following this hearing, the FPC declined to accelerate Thomas’s PPRD. Citing a statute that had been enacted after Thomas’s initial conviction, the FPC also decided that his next parole interview should not be held for five years.
.A month later, Thomas petitioned the Leon County Circuit Court for a writ of habeas corpus. Citing the Fourteenth Amendment’s Due Process Clause, he recast in federal constitutional terms the allegations raised in his mandamus petition concerning the calculation of his PPRD at his first parole hearing. Specifically, he argued that Florida law required the FPC to establish an EPRD instead of merely a PPRD. Moreover, he maintained that Florida law expressly prevented the FPC from considering his New York convictions, since none of them resulted in his
The habeas petition also raised several new constitutional claims concerning Thomas’s third parole hearing. He argued that the FPC violated the Ex Post Facto Clause in scheduling his next interview for 2002 under the new parole statute, instead of in 1999, as it would have been under the statute as it existed at the time of his conviction. Moreover, he claimed that the FPC denied him “full and fair consideration” by permitting the representative from the State Attorney’s Office to testify.
Because Thomas was incarcerated in Calhoun County, the Leon County Circuit Court transferred his habeas petition to the Calhoun County Circuit Court, which rejected the petition. Thomas v. Fla. Parrole Comm’n, No. 97-0385 (Fla. Calhoun County Cir. Ct. Jan. 27, 1998). The court found that Thomas was proeedurally barred from relitigating the issues that had originally been raised in his mandamus petition concerning the FPC’s calculation of his PPRD at his first parole hearing. Id. at *2. It essentially ignored his Ex Post Facto argument arising from his third parole hearing, stating only that the FPC is “authorize[d] ... to use its discretion in determining how subsequent interviews will be scheduled.” Id. The court concluded by briefly noting that it was “proper” for the representative from the State Attorney’s Office to testify at his third parole hearing. Id.
Thomas thereafter petitioned the Florida District Court of Appeal for a writ of certiorari, challenging the circuit court’s conclusion that his claims regarding the FPC’s calculation of his PPRD at his first parole hearing were proeedurally barred. On October 28, 1998, the district court of appeal denied the writ per curiam, without opinion. Thomas filed a petition for review to the Florida Supreme Court, which was likewise rejected.
B.
On February 23, 1999, Thomas filed the complaint now before us, a petition for a writ of habeas corpus under
The district court referred Thomas’s petition to a magistrate judge, who sua sponte considered the petition as seeking a writ of habeas under
On July 5, 2001, this court issued a COA under
Whether the district court erred in finding that appellant’s first two claims that he was denied due process and equal protection of the law by the Florida Parole Commission in the setting of his presumptive parole release date and in refusing to set an effective parole release date were procedurally barred in light of O’Sullivan v. Boerckel,526 U.S. 838 ,119 S.Ct. 1728 ,144 L.Ed.2d 1 (1999).
After this issue was briefed, this court sua sponte vacated this COA and issued a new one on the issue of
[wjhether the district court erred in converting petitioner’s application for a writ of habeas corpus pursuant to28 U.S.C. § 2241 into an application for a writ of habeas corpus pursuant to28 U.S.C. § 2254 in that petitioner’s application did not collaterally attack a state court conviction. Instead, the application attacked a decision of the Florida Parole Commission concerning petitioner’s parole eligibility.
Part II of this opinion addresses the FPC’s contention that we acted improperly in sua sponte issuing a COA on this issue, in light of the fact that neither side raised the issue either before the district court or on appeal. Part III turns to the substance of the §§ 2241/2254 issue, explaining the relationship between
II.
As stated earlier, the COA we originally granted Thomas was replaced by a COA presenting the issue of
[wjhether the district court erred in converting petitioner’s application for a writ of habeas corpus pursuant to28 U.S.C. § 2241 into an application for a writ of habeas corpus pursuant to28 U.S.C. § 2254 in that petitioner’s application did not collaterally attack a state court conviction. Instead, the application attacked a decision of the Florida Parole Commission concerning petitioner’s parole eligibility.
This issue was thereafter briefed by both sides and heard in oral argument. In its brief, however, FPC challenges this new COA on two grounds. First, FPC points out that “[ajppellant [Thomas] never raised th[is] issue ... in his initial round of briefs in this case ... and although the issue may be one of interest to bench and bar, as a matter of law the issue is not properly before this Court.... [Cjlaims not presented to the Court of
In Subpart B, I respond to FPC’s contention that we lacked the power to consider the §§ 2241/2254 issue because Thomas failed to raise it in the district court. Having established in these first two Subparts our power to grant a COA sua sponte in a habeas case on issues a petitioner failed to raise either in the district court or in his request for a COA, Subpart C explains why it was appropriate for us to exercise that power in this case. Subpart D briefly concludes. Before delving into this discussion, however, it is worth noting that many circuits would not even entertain FPC’s attack on the second COA. As Judge Easterbrook writes, for example, “[Ojnce the briefs have been written and the case heard, there is little point in scrutinizing the certificate of appealability. An obligation to determine whether a certificate should have been issued ... would increase the complexity of appeals in collateral attacks and the judicial effort required to resolve them.... ” Young v. United States,
Even if this court had erred in issuing the second COA, it is not clear that we should consequently ignore the substantive legal issue it raises. The consensus among the circuits seems to be that “an erroneously issued COA ... in a federal habeas proceeding is different from the absence of one and thus does not disable the court of appeals from proceeding to the merits once the briefs have been written.” Gatlin v. Madding,
A.
The FPC’s first major claim is that we lack the power to grant sua sponte a COA in a habeas case concerning an issue for which the petitioner did not request one. Put another way, the FPC argues that, in the habeas context, a petitioner’s failure to raise an issue on appeal precludes us from considering it. I discuss in Section 1 the general inherent power of federal circuit courts of appeals to consider matters sua sponte whether or not presented to them by the parties. In Section 2,1 explain how this power is not curtailed by any of AED-PA’s limitations on appeals in habeas cases. Section 3 shows that district courts have widely been acknowledged to have
1.
FPC argues, essentially, that we should not consider the §§ 2241/2254 issue because Thomas waived it by not raising it on appeal. Waiver, however, applies to the right of a litigant to have his claim heard. As the cases cited by the FPC demonstrate, a litigant in a habeas case can waive his right to have a matter considered by this court by failing to raise it before us. See, e.g., Johnson Enters, of Jacksonville v. FPL Group, Inc.,
The scope of a petitioner’s rights has no bearing on this court’s power. It is beyond dispute that, in general, we have the power to consider issues that a party fails to raise on appeal, even though the petitioner does not have the right to demand such consideration. See United States v. Boyd,
The conditions under which a court may consider a nonjurisdictional matter sua sponte have never adequately been considered and have caused a great deal of confusion among jurists. For example, Justice Scalia once pointed out that “the refusal to consider arguments not raised is a sound prudential practice, rather than a statutory or constitutional mandate, and there are times when prudence dictates the contrary.” Davis v. United States,
The Supreme Court’s clearest statement on this matter came in Singleton v. Wulff, where it held, “The matter of what questions may be taken up and resolved for the first time on appeal is one left primarily to the discretion of the courts of appeals, to be exercised on the facts of individual cases.”
Consequently, the fact that Thomas did not mention the §§ 2241/2254 issue in his COA petition does not bar us from exercising our discretion to rule sua sponte on this critical threshold issue.
2.
Having established the general power of federal circuit courts of appeal to consider matters sua sponte, it is now necessary to determine whether there is something peculiar about the specific context of habeas corpus that prevents us from exercising that power in such appeals. Neither AEDPA nor the Federal Rules of Appellate Procedure can responsibly be read as stripping us of this discretion. Subsection (a) offers a plain-meaning interpretation of the pertinent statutes and rules. Subsection (b) comes to the same conclusion based on substantive canons of statutory construction. Subsection (c) discusses how this conclusion is entirely consistent with both the precedents and practices of this circuit.
a.
One can argue that because Thomas failed to raise the §§ 2241/2254 issue for which the second COA was issued, he never made a “substantial showing of the denial of a constitutional right” as required by
The Federal Rules of Appellate Procedure are more problematic. Rule 22(b) states, “If an applicant files a notice of appeal, the district judge who rendered the judgment must either issue a certificate of appealability or state why a certificate should not issue.... If the district judge has denied the certificate, the applicant may request a circuit judge to issue the certificate.”
Only if the district judge who rendered the judgment has declined to issue the certificate does a circuit judge come into the picture. Under the plain language of the rule, an applicant for the writ gets two bites at the appeal certificate apple: one before the district judge, and if that one is unsuccessful, he gets a second one before a circuit judge.
Of course, we may suspend the rules of appellate procedure for “good cause.”
b.
Even moving beyond a plain-text meaning of
c.
Even putting aside the above analysis, our cases establish the power of our court to add issues to a COA sua sponte. At the time Congress amended
We recognized in Peoples v. Haley that an appellate panel, faced with a CPC, had the authority to specify the issues on which appeal may be taken, thereby transforming the deficient CPC into a COA that met the requirements of
Exercising this discretion, we have most frequently chosen simply to amend a CPC so that it conforms to
Moving beyond the specific issue of sua sponte amending COAs, this circuit has also shown a tremendous willingness to consider sua sponte arguments favorable to the Government in habeas appeals that were not raised in the Government’s briefs. In Horsley v. Alabama,
3.
Another reason to believe that appellate courts may sua sponte amend COAs is that district courts are widely recognized to have this power. See, e.g., United States v. Brown,
A district court’s power to grant a COA sua sponte seems to be implied by its power to sua sponte deny one. See, e.g., Alexander v. Johnson,
Admittedly, there are important differences between district and circuit courts. See id. at 898 (“Arguably, the district court ... is in the best position to determine whether the petitioner has made a substantial showing of a denial of a constitutional right on the issues before that court. Further briefing and argument on the very issues the court has just ruled on would be repetitious.”). A district court may sua sponte grant or deny a COA at the same time it rules on the merits of a habeas petition or rejects it on procedural grounds. This is arguably the best time for a district judge to decide this matter because the issues are still fresh in'his mind.
Nevertheless, the same federal statute authorizes both district and circuit courts to issue COAs. See
Berthoff sought a writ of habeas corpus claiming ineffective assistance of counsel because his attorney never informed him of the plea “overtures” made by the Government. The district court denied the petition, but then sua sponte granted Ber-thoff a COA concerning the disparity in sentencing between him and the defendants who pled guilty. Apparently, however, the parties nevertheless briefed the ineffective assistance of counsel claim for the court of appeals. The First Circuit vacated the COA and remanded the case to the district court with instructions to “clarify the issue warranting a COA.” Id. at 126.
While on remand, Berthoff sought to amend his habeas petition to add an Ap-prendi claim. The district court declined to issue a COA on either the ineffective assistance of counsel issue or the Apprendi issue. It did, however, issue another COA on the sentencing disparity issue, allowing Berthoff to argue that the 700% differential between his sentence and that of the defendants who pled guilty unconstitutionally burdened the free exercise of his right to a jury trial. Strangely enough, when it granted this COA, the district court declared:
[I]n an appropriate case, where the government has engaged in illegal fact bargaining with one defendant, I would not hesitate to hold that a defendant similarly situated in all material respects could take advantage of the fact bargain in order freely to exercise the right to trial by jury guaranteed by the Sixth Amendment. This is not such a case.
Id. at 128 (emphasis added). Thus, the district court sm sponte granted a COA on an issue that neither party had raised and that the court itself declared was irrelevant to the facts of the underlying case. As the First Circuit emphasized, “[Tjhis case simply is an inappropriate vehicle for the district court’s concerns_ Accordingly, we do not reach the merits of the constitutional issue at this time.” Id. at 129.
Thus, Berthoff does not undermine the power of district courts to issue COAs sua sponte on questions a petitioners fails to raise; it instead prevents district courts from issuing COAs on issues that are simply not present in a particular case. Having established the generally recognized authority of district courts to issue COAs sua sponte, we would be hard pressed to decline to recognize the power of circuit courts of appeals to do so as well.
4.
The majority of circuit courts to have addressed this issue agree with my conclusion that circuit courts may grant COAs sua sponte. In Mack v. Holt, the Sixth Circuit noted, for example, that it had
granted [the petitioner’s] motion for a certifícate of appealability as to whether the trial court properly determined that the waiver of his right to counsel was knowing and intelligent. This court also sua sponte granted a certifícate of ap-pealability as to whether [the petition*799 er’s]§ 2254 petition to the district court was timely filed.
Both Morgan and the result I advocate in the instant case achieve the same substantive result: review by a court of appeals of an issue in a habeas case that had not been raised by the prisoner in his application for a COA. Nevertheless, I believe my approach is preferable because it respects
The Third Circuit appears to be the only other appellate court to have addressed this issue. That court, in dicta,, offered an interpretation of
A “certificate of appealability in a case brought under§ 2253(c)(2) may issue, in the literal language of the statute, only if the applicant has made a substantial showing of the denial of a constitutional right.”... Where an applicant fails to make such a showing, “we do not have jurisdiction to review the merits of Appellant’s case.”
The Hubley court did not base its ruling on this observation. Moreover, the case from which it quoted this proposition, Cepero, put no special emphasis whatsoever on the fact that it was specifically the prisoner, rather than the court, who raised the issue of the possible constitutional violation. Thus, not only is this isolated fragment from Hubley dicta, it is built around a quoted passage that has been taken entirely out of context. Moreover, the Hub-ley dicta is arguably inconsistent with the Third Circuit’s previous recognition of the power of district courts to grant COAs sua sponte. See, e.g., Robinson v. Johnson,
Finally, Hubley is easily distinguishable from the instant case. In Hubley, the prisoner received a COA on certain issues, yet briefed additional issues, asking the Third Circuit to grant a COA concerning those additional issues and rule on their merits. The Hubley court properly rejected this invitation, stating,
Having complied with the Rules of this Court, [the State] would therefore be prejudiced by not having briefed the*800 merits of this new issue. An eleventh hour certificate of appealability is therefore not appropriate. Contrary to petitioner’s argument, it is not the stated “practice” of this Court to grant, sua sponte, certificates of appealability whenever a habeas petitioner wishes to raise a new argument on appeal.
The above holding declares only that the Third Circuit will not amend a COA “whenever a habeas petitioner wishes to raise a new argument on appeal.” Id. (emphasis added). This declaration does not address the issue of whether the panel has the power to amend a COA sua sponte prior to the parties’ briefing of the appeal because the panel felt a particular issue should be addressed. A sua sponte amendment to a COA by the court of appeals, particularly when the parties are given the opportunity to brief the new issue, would not result in the unfairness that troubled the Hubley court. Thus, persuasive precedent from other circuits indicates that we have the power to amend a COA sua sponte to consider issues that the prisoner did not raise in his COA petition.
In light of these persuasive and wide-ranging arguments, I conclude that this court has the power, even in habeas cases, to issue or amend a COA sua sponte to address constitutional issues that a petitioner fails to present in his petition for a COA.
B.
FPC’s second waiver-related argument is that we should not have sua sponte issued a COA on the §§ 2241/2254 issue because Thomas failed to present it to the district court. As with issues a petitioner fails to raise on appeal, all this means is that Thomas waived his right to have us consider it; his failure does not affect the discretionary power of this court to choose to do so.
This point is best made in First Ala. Bank of Montgomery, N.A. v. First State Insurance Co.,
As before, none of the relevant habeas statutes suggests that Congress has eliminated our traditional authority to address waived issues. Consequently, the FPC’s second argument fails.
C.
Having demonstrated that a circuit court of appeals has the power — even in the habeas corpus context — to consider sua sponte issues that a petitioner fails to preserve either in the district court or on appeal, we are still left with the issue of whether it was appropriate for this court to have exercised its discretionary authority in this particular case. We are clearly obligated to raise questions concerning our subject-matter jurisdiction sua sponte in all cases. See, e.g., Arthur v. Haley,
A court of appeals may also consider an issue sua sponte when it can fairly be characterized as a “threshold” matter to another question properly before it. In Jorss v. Gomez, the Ninth Circuit stated, “The district court granted a Certificate of Appealability (‘COA’) as to ‘whether equitable tolling applied’ to Jorss’s petition. Because we find that a determination of timeliness under the statute is a necessary predicate to the question of whether equitable tolling should be applied, we hold ... that Jorss’s petition was timely filed.”
Here, the original COA concerned whether the district court correctly applied the procedural bar provisions of
Where a circuit panel decides to raise an issue sua sponte, the preferred method of doing so is by requesting supplemental briefing from the parties and permitting oral argument, as was done here. See Adam A. Milani & Michael R. Smith, Playing God: A Critical Look at Sua Sponte Decisions by Appellate Courts, 69 Tenn. L. Rev. 245, 252-53 (2002) (“[W]hen appellate courts identify an issue not raised by the litigants, they should order supplemental briefing as a matter of course, so that the parties have an opportunity to be heard on the issue.”); Barry A. Miller, Sua Sponte Appellate Rulings: When Courts Deprive Litigants of an Opportunity to Be Heard, 39 San Diego L. Rev. 1253, 1310 (2002) (“Notice and an opportunity to be heard before deciding a case sua sponte ... makes the unequal application of waiver more fair to the litigants (and increases the accuracy of the decisionmaking process in some cases).”).
D.
There is no statutory or doctrinal prohibition against an appellate court issuing a COA sua sponte on issues not specified by a habeas petitioner. This is a well-established practice in the majority of both district and circuit courts to have addressed the issue, including this circuit. Because of the importance of the §§ 2241/2254 issue, and because it would be somewhat silly to debate how
III.
This brings us to the actual issue embraced by the second COA — whether the district court erred in assuming that Thomas’s petition should be examined under
I begin, as usual, with a plain-meaning analysis of the statutory text of
A.
To determine the proper statute under which Thomas’s claims should have been considered, we begin with the statutory text.
[A] district court shall entertain an application for a writ of habeas corpus in behalf of a person in custody pursuant to the judgment of a State court only on the ground that he is in custody in violation of the Constitution or laws or treaties of the United States.
B.
Shortly after the Civil War, there was a statutory habeas scheme much like the one that exists today, where there were two statutes through which a federal prisoner could seek relief. The Supreme Court interpreted them as providing separate routes for relief, however, and held that changes to one did not affect the other. Based on this precedent, I believe we are bound to treat
Our nation’s first federal habeas statute was enacted in the Judiciary Act of 1789:
[A]ll the before-mentioned courts of the United States, shall have power to issue writs of ... habeas corpus.... And ... either of the justices of the supreme*804 court, as well as judges of the district courts, shall have power to grant writs of habeas corpus for the purpose of an inquiry into the cause of commitment.— Provided, That writs of habeas corpus shall in no case extend to prisoners in gaol, unless where they are in custody, under or by colour of the authority of the United States....
Judiciary Act of Sept. 24, 1789, ch. 20, § 14, 1 Stat. 73, 81-82. The Supreme Court interpreted this Act as granting federal district and circuit courts original jurisdiction, and the Supreme Court appellate jurisdiction, over the habeas petitions of federal prisoners. See Ex parte Yerger,
In 1867, Congress enacted another statute, under which the writ of habeas corpus was made available to both federal arid state prisoners. The law stated,
[T]he several courts of the United States, and the several justices and judges of such courts, within their respective jurisdictions, in addition to the authority already conferred by law, shall have power to grant writs of habeas corpus in all cases where any person may be restrained of his or her liberty in violation of the constitution, or of any treaty or law of the United States.... From the final decision [of any circuit court in a habeas case,] an appeal may be taken ... to the Supreme Court of the United States....
Act of Feb. 5, 1867, ch. 28, § 1, 14 Stat. 385, 385. After the enactment of this statute, there were two different laws with language allowing a federal prisoner to seek a writ of habeas corpus or appeal a lower court’s denial of a habeas writ to the Supreme Court — the Act of 1789 and the Act of 1867. As we shall see below, the Supreme Court interpreted these statutes as being two separate and independent vehicles for seeking habeas relief, rather than holding that one narrowed or eliminated the other.
In 1868, Congress repealed part of the Act of 1867.
In Yerger, the Supreme Court concluded that the Acts of 1789 and 1867 were entirely separate and independent from each other, and that federal prisoners could seek federal habeas relief or appeal adverse rulings under either. The main issue in Yerger arose because of Congress’s 1868 repeal of the 1867 Act. The Court had to determine whether this repeal eliminated all of its appellate jurisdiction over federal habeas cases or whether the appellate jurisdiction conferred by the Act of 1789 remained. See Ex parte Yerger,
Thus, the Yerger opinion is crucial to this case in two respects. First, when two habeas statutes each extended the writ of habeas corpus to federal prisoners, the Supreme Court treated each as an independent vehicle through which relief could be sought. The Act of 1789 made the writ of habeas corpus available to federal prisoners. The Act of 1867 made the writ of habeas corpus available to both federal and state prisoners. Confronted with these two Acts, the Supreme Court declared,
The appeal given by the act of 1867 extended, indeed, to cases, within the [Act of 1789];.... But this effect does not take from the act [of 1867] its character of an additional grant of jurisdiction, and make it operate as a repeal of jurisdiction theretofore allowed [under the Act of 1789].
Id. at 106 (emphasis added). Applying Yerger to the instant сase (in which two separate statutes address federal habeas relief for state prisoners), we should treat
Second, Yerger shows us that Congress has previously enacted redundant habeas
C.
In Section A, I considered the text of
1.
The existence of
2.
My theory, however, explains why Congress varied this language. Some of the restrictions within
D.
Although both plain text and structural analyses of
The language of both
E.
Having discussed my own approach to the §§ 2241/2254 issue, I believe it would be helpful to contrast it with interpretations offered by other circuits. Section 1 discusses the circuits that, like the majority, conclude that convicted state prisoners may never bring habeas petitions under
1.
Many circuits have held that convicted state prisoners must bring all habeas claims under
As discussed earlier, see supra Section III.C.l, I believe the presence of exclusivity language in
Other circuits, turning thе Seventh Circuit’s reasoning on its head, have nevertheless reached the same conclusion. In James v. Walsh, the Second Circuit held that
[sjection 2254(b)(1) requires state prisoners to exhaust all available state court remedies before filing aSection 2254 petition, whereasSection 2241 contains no such exhaustion requirement. Had Congress intended to makeSection 2241 available to state prisoners, it would likely have required, in the interests of comity, that state prisoners challenging the execution of their state-imposed sentences first exhaust their remedies in the state courts.
Allowing [a state prisoner] to file the instant petition in federal court pursuant toSection 2241 without reliance onSection 2254 would circumvent [§ 2254 ’s] restriction^] ... and would thereby thwart Congressional intent. Thus, applying the “specific governs the general” canon of statutory construction to this action, we hold that [state prisoners] must rely onSection 2254 in challenging the execution of [their] sentence^].
Coady v. Vaughn,
These courts point to the differences between
The Eighth Circuit also believes that convicted state prisoners are limited to filing petitions under
■ The Eighth Circuit took this quote out of context. Felker involved a habeas petition to the Supreme Court under
2.
Unlike the courts discussed above, the Tenth Circuit has permitted convicted state prisoners to bring at least some types of collateral attacks under
The Rules Governing Section 2251 Cases in the United States District Courts lend support to the Tenth Circuit’s view that
The Form included in the Rules’ appendix also clearly contemplates challenges to trials or sentences, and not to administrative proceedings such as parole hearings. For example, the Form asks whether the petitioner has appealed his conviction, and not whether he has appealed any adverse administrative actions. The Form specifies the ten “most frequently raised grounds for relief in habeas corpus proceedings” — all concerning trial-related rights. Moreover, other than “[d]enial of effective assistance of counsel” and “[denial of right of appeal,” all the grounds
While intriguing, these facts are less than compelling. Moreover, the structure of
Finally, I am unwilling to pile inference on top of inference and hold that, because Congress must have intended to limit
F.
Thus, in light of the expansive language of
If§ 2254 were not a restriction on§ 2241 ’s authority to grant the writ of habeas corpus, and were instead a freestanding, alternative post-conviction remedy, then....Section 2254 would be a great irrelevancy because a state prisoner could simply opt out of its operation by choosing a different label for his petition.
This necessarily happens, however, whenever Congress creates two routes to achieving the same goal and one is easier or otherwise more attractive than the other. While this conclusion may seem undesirable, the fault lies with Congress, who decided to enact two virtually identical statutory provisions (at least with regard to convicted state prisoners), yet made certain requirements applicable only to one of them. It is not up to this court to rewrite federal habeas statutes. Moreover, as discussed in the next Part, many of the statutory restrictions that apply to
IV.
Among the most fundamental common law requirements of
I agree with the Third Circuit. In Ex parte Hawk, the Supreme Court held,
Ordinarily an application for habeas corpus by one detained under a state court judgment of conviction for crime will be entertained by a federal court only after all state remedies available, including all appellate remedies in the state courts and in this Court by appeal or writ of certiorari, have been exhausted.
The four issues Thomas raised in his federal habeas petition had been previously raised in both his state mandamus and state habeas petitions. Because Thomas failed to appeal the denial of his state mandamus petition, the state habeas court held that Thomas had not exhausted his state level remedies, and so was procedurally barred from reasserting many of his claims. Hawk emphasizes that a prisoner must pursue all “available” state level remedies, which include appellate review. Of course, Thomas is, by now, undoubtedly time-barred under Florida law from seeking appellate review of the mandamus ruling, and has already been procedurally barred from pursuing habeas relief in state court, so in one sense he has exhausted all of his “available” state remedies.
The Hawk rule, however, cannot be satisfied through such technicalities; the common law exhaustion requirement clearly contemplates active pursuit of constitutional claims on the state level before resort to federal habeas proceedings. While a prisoner is not obligated to seek every conceivable extraordinary writ available in state court, he must at the very least afford the state “a full and fair opportunity to resolve federal constitutional claims before those claims are presented to the federal courts ... [by] invoking one complete round of the State’s established appellate review process.” O’Sullivan v. Boerckel, 526 U.S.
It should be noted that Boerckel and Coleman are not dirеctly controlling on these issues because they interpret the statutory exhaustion requirement for ha-beas petitions under
Thus, while Thomas had the right to have his petition considered under the standards of
. The record is silent as to whether Thomas was incarcerated for these offenses and why he was not extradited to Florida.
. After Thomas broke out of prison in 1976, the State charged him with the offense of escape. Following his extradition from New York in 1993, Florida dropped the charge.
. Under Florida law, a prisoner’s "presumptive parole release date” is his "tentative parole release date as determined by objective parole guidelines.”
. The FPC calculated an effective incarceration date for Thomas, rather than using his actual incarceration date, to give him credit for the time he served prior to his escape
. Thomas’s administrative appeal was untimely because he had filed it more than 60 days after the FPC’s calculation of his PPRD. See
. An "effective parole release date” is "the actual parole release date as determined by the presumptive parole release date, satisfactory institutional conduct, and an acceptable parole plan.”
. Thomas also asked the court to dirеct the FPC to update its records to reflect the fact that the escape charge lodged against him in 1976 had been dropped.
. Thomas cited rule 23-21.008 of the Florida Administrative Code Annotated for this argument.
. Thomas cited rule 23-21.007(l)(h) of the Florida Administrative Code Annotated for this argument.
. Of course, there are many cases in which we took the alternate route and remanded to the district court to amend the certificate. See, e.g., Haley,
. This court has adopted "the decisions of the United States Court of Appeals for the Fifth Circuit, ... as that court existed on September 30, 1981” as binding precedent within the Eleventh Circuit. Bonner v. Prichard,
. Congress partially repealed the Act of 1867 because it was displeased with the Supreme Court’s ruling in Ex parte McCardle (McCardle I),
[I]t was clear that having assumed jurisdiction in McCardle I, the Supreme Court would be considering the substantive claims ... that the whole Military Reconstruction Act was unconstitutional in that it imposed martial law [in the South] long after the [Civil] War had ended and at a time when civil law courts were already functioning. Faced with the prospect of its entire reconstruction plan being declared unconstitutional, the Radical Republicans controlling Congress acted quickly to remove [this] threat [by repealing the Act of 1867],
Ira Mickenberg, Abusing the Exceptions and Regulations Clause: Legislative Attempts to Divest the Supreme Court of Appellate Jurisdiction, 32 Am. U.L. Rev. 497, 526 (1983).
. As a result of the Aсt of 1868, state prisoners could continue to seek habeas relief in federal court, but could no longer appeal a denial of relief to the Supreme Court. See Ex parte McCardle (McCardle II),
. The requirement that a state prisoner seek certiorari from the United States Supreme Court has since been rejected. Fay v. Noia,
.
. Under
In all cases in which a state prisoner has defaulted his federal claims in state court pursuant to an independent and adequate state procedural rule, federal habeas review of the claims is barred unless the prisoner can demonstrate cause for the default and actual prejudice as a result of the alleged violation of federal law, or demonstrate that failure to consider the claims will result in a fundamental miscarriage of justice.
Coleman,