Jimmy Walker v. J.T. O'brien, and Joseph W. Finfrock v. Craig A. HanksJimmy Walker v. J.T. O'brien, and Joseph W. Finfrock v. Craig A. Hanks
Lead Opinion
Thе passage of the Antiterrorism and Effective Death Penalty Act (AEDPA), Pub.L. No. 104-132, 110 Stat. 1214 (1996), and the Prison Litigation Reform Act (PLRA), Pub.L. No. 104-134, § 801 et seq., 110 Stat. 1321-66 (1996), which became effective on April 24, 1996 and April 26, 1996, respectively, ushered in a new and far more restrictive era for prisoner litigation. A critical feature of both statutes was the creation of gatekeeping mechanisms designed to keep frivolous suits out of the federal courts. Both this court and our sister circuits have had occasion during the nearly four years that have passed since the laws took effect to flesh out the rules governing those gatekeeping functions. The cases before us today, which we consolidated for purposes of oral argument and this opinion, raise once again the question of how the statutory gatekeeping mechanisms work together: in particular, whether the fee payment and other rules of the PLRA apply to requests for federal collateral relief, whether under
Experience has shown that our views are not shared by any other court, and so we asked the parties in these two cases to brief the question whether we should reconsider this particular aspect of Newlin and Thwnnan.
I
The cases that have prompted us to return to the question whether the PLRA applies to collateral relief proceedings both arise from prison disciplinary proceedings. We briefly review the background facts of each one before turning to the central question before us.
A. Walker v. O’Brien
Jimmy Walker was involved in a disturbance while he was incarcerated at the Federal Correctional Institution in Green-ville, Illinois, which resulted in his allegedly damaging the door to his cell. A security officer at Greenville issued an incident report charging him with “destroying, altering, or damaging government property.” Walker pleaded not guilty to the charge and requested staff representation. He also asked the officials to call his cellmate, inmate Holloway, as a witness at the hearing. Notwithstanding his request, he was not represented at the hearing, and thе hearing officer found him guilty based on the incident report, a written statement from Holloway, and a written statement from another correctional officer. He was sentenced to spend 30 days in disciplinary segregation, to forfeit 14 days’ good time credit, and to pay $1245 as restitution (representing the cost of repairing the door).
Because his penalty involved the duration of his confinement, Walker initially pursued the administrative remedies that were available to him in the prison system and then filed the present petition for a writ of habeas corpus under
After the appeal was underway, Walker filed a motion for reconsideration of the underlying ruling in the district court under Rule 60. The court denied the motion because the appeal was pending; Walker moved for reconsideration, and the court again ruled against him. Walker then filed a notice of appeal, although it is somewhat unclear which order he intended to challenge (No. 98-1328). The distinct court ruled that an appeal from the Rule 60 orders would not be in good faith, which again disqualified Walker for IFP treatment and made a second $105 payment due. Walker, who has filed a motion with this court to proceed IFP, has not paid the second fee, and this court has deferred any assessment pending the outcome of this appeal.
B. Finfrock v. Hanks
Joseph Finfrock, an inmate of the Wabash Valley Correctional Facility in Indiana, filed a habeas corpus petition under
By order of the U.S. District Court for the Southеrn District of Indiana, Finfrock was granted permission to proceed IFP, but he was instructed to refile the action as five separate cases, one per violation. Each case was ultimately dismissed, and Finfrock filed timely notices of appeal. In
II
Two preliminary questions require some attention before we turn to the PLRA issues. First, in each of Walker’s and Finfrock’s cases the respective district courts concluded that the appeal was not taken in good faith. See
A. Bad Faith
It is easiest to begin with the worst case scenario and work backwards. If neither appeal were taken in good faith, then this fact would independently preclude Walker and Finfrock from proceeding IFP regardless of whether the PLRA applied and they would be obligated to pay the full fifing fee immediately. See
By deciding to pay the fifing fee in No. 96-4010 and proceed with the appeal, Walker has forfeited his right to challenge the district court’s good faith determination in that case. Walker preserved his right to assert such a challenge in No. 98-1328, but the district court’s determination is unimpeachable as Walker’s appeal from the district court’s denial of his utterly meritless post-judgment motions is indisputably frivolous. Accordingly, Walker is independently barred from proceeding IFP in the present appeals.
Finfrock, on the other hand, has good grounds on which to challenge the good faith determinations in his cases. In each one, the respective district courts found that an appeal would not be in good faith because no certificate of appealability had been issued. This reason is not enough to explain why the appeal on the merits would not be in good faith, because the standard governing the issuance of a certificate of appealability is not the samе as the standard for determining whether an appeal is in good faith. It is more demanding. Moore v. Pemberton,
But what about Walker? That Walker is not eligible for IFP status regardless of whether the PLRA applies raises the question whether he may challenge the aрplicability of the PLRA to his habeas corpus action. If the only thing the PLRA did was establish a system for the payment of docketing fees, then we would be compelled to find that he could not bring such a challenge.
The PLRA, however, does more than this. It also establishes a bar for future entitlement to IFP treatment in the so called “three strikes” rule of
B.
The second preliminary question we must address is whether the system governing writs of habeas corpus pertaining to prison disciplinary decisions must be the same for state and federal prisoners, or if differences in the applicable laws lead to somewhat different procedures. Congress enacted
In our view, the difference in language between
Ill
We come then to the central question before us: whether the requirements of the PLRA apply to a habeas corpus action filed by a federal prisoner under
In coming to this conclusion, we begin with the Supreme Court’s 1973 decision in Preiser v. Rodriguez, supra, which remains the leading case establishing the proposition that prisoners may not bring civil rights actions in federal court to challenge the fact or duration of their confinement. The underlying facts of the case are especially instructive for our situation. It involved claims brought by three different state prisoners, each of whom was deprived of good-conduct-time credits by the New York State Department of Correctional Services. Respondent Rodriguez was serving a sentence for perjury and attempted larceny. While in prison, he was charged in two separate disciplinary action reports with possession of contraband material in his cell; after a hearing, he was punished with the cancellation of 120 days’ good-conduct-time credits.
Against this factual backdrop, the en banc Second Circuit held that the prisoner complaints could be heard either as habeas corpus petitions or under the Civil Rights Act. Id. at 482,
to consider the bearing of the Wilwording [v. Swenson,404 U.S. 249 ,92 S.Ct. 407 ,30 L.Ed.2d 418 (1971)] decision upon the situation before us — where state prisoners have challenged the actual duration of their confinement on the ground that they have been unconstitutionally deprived of good-conduct-time credits, and where restoration of those credits would result in their immediate release from prison or in shortening the length of their confinement.
Id. The Court conducted a thorough examination of the writ of habeas corpus, and more particularly of
Preiser, therefore, drew no distinction between habeas corpus petitions that were based on flaws in the original criminal prosecution and those that were based on claims relating to prison discipline. To the contrary, the Court went out of its way to stress that all claims relating to the fact or duration of confinement fell within -.the proper scope of the habeas corpus statutes. The Court’s more recent decision in Edwards v. Balisok, supra, reinforces this point.
In Balisok, the Court considered the question whether the rule of Heck v. Humphrey,
The Newlin opinion did not consider the effect of Preiser on the rule it adopted. Instead, it cited only the Court’s decision in United States v. Addonizio,
The claimed error here — that the judge was incorrect in his assumptions about the future course of parole proceedings — does not meet any of the established standards of collateral attack. There is no claim of a constitutional violation; the sentence imposed was within the statutory limits; and the proceeding was not infected with any error of fact or law of the “fundamental” character that renders the entire proceeding irregular and invalid.
We see no need to lengthen this opinion by reviewing in detail the reasons that our nine sister circuits have given for coming to the conclusion that the PLRA does not apply to petitions for a writ of habeas corpus and other collateral relief. Briefly, however, the analysis is as follows. Even though habeas corpus petitions are technically “civil actions,” if one is compelled to divide the universe of cases into only the two categories of civil and criminal, both we and our sister circuits have recognized the reality that habeas corpus petitions are a group unto themselves. See, e.g., Martin v. United States,
IV
We must also decide whether the requirement of a certificate of appealability applies to habeas corpus actions based on prison disciplinary proceedings filed by state prisoners (like Finfrock) under
The literal language of
In light of the statutory language, we do not see how we can construe the words “process issued by a State court” to mean “process not issued by a State court, but instead the outcome of an internal prison disciplinаry proceeding.” It is indisputable that prison disciplinary proceedings are far more informal than court proceedings; rules of evidence do not apply in the former; evidentiary standards are looser; and in general (undoubtedly for good reasons) they operate more flexibly. We note as well that states differ in the extent to which the results of prison disciplinary proceedings may be renewable in the state courts. In some states, a prisoner challenging a disciplinary sanction may seek recourse in state court after he or she has exhausted available administrative remedies. For two methods, see Peckham v. Krenke,
There is good reason to accord greater finality to state court proceedings, where the full range of procedural protections for a defendant apply, than to prison disciplinary proceedings. And even if there would be equally compelling reasons to write the statute to cover both detentions arising from process issued by a state court and process issued in connection with an internal prison disciplinary proceeding, this is not what Congress did. If it was an oversight, it is one that can easily be corrected in amendatory legislation. But until then, we see no statutory authorization for imposing the CA requirement on appeals in which the complained of detention does not arise from process issued by a state court. We note that this conclusion does no more than maintain a certain consistency between the procedures, applicable to state prisoners and those applicable tо federal prisoners, because it is now well established that the CA requirement does not apply to appeals in
In so holding, we recognize that the regime governing certificates of appeala-bility will reflect precisely the distinction between actions relating to the original criminal proceeding and those relating to disciplinary proceedings (or other sources of detention) that we have rejected in Part III of this opinion for purposes of the PLRA. We believe that any tension that may result between the two holdings is, however, more apparent than real. In Part III we addressed the question whether habeas corpus actions should or should not be considered as “civil actions” and thus come under the gate-keeping rules of the PLRA. We decided that Supreme Court precedents, the nature of the special gate-keeping rules that Congress has established for habeas corpus actions, the reasoning of our sister circuits, and the desirability of eliminating a conflict on such a technical matter all lead to the conclusion that for this purpose no distinction should be drawn between different types of habeas corpus actions.
Part IV turned to the internal management of habeas corpus actions. On the federal side, as we noted, different statutes govern challenges to a prisoner’s original conviction and other challenges to custody:
V
Before setting forth our dispositions of the two cases before us, we summarize briefly the holdings in this case, in the hopes that this will assist both the district courts and counsel in their administration of this complex area of the law. In Part II of this opinion, we conclude that state prisoners who are challenging the results of prison disciplinary proceedings must proceed under
A. Walker v. O’Brien
In Walker’s two cases, the dispute about the underlying merits of his obligation to pay for the damaged door has been resolved and he no longer challenges any other aspects of the district court’s rulings. However, the dispute over his obligation to make payments to the court remained to be determined here, and we have concluded that the PLRA does not apply to his cases. This conclusion means that neither the initial filing of this action nor the filing of the appeals may count as a “strike” for purposes of
B. Finfrock v. Hanks
In Finfrock’s five cases, the fact that the PLRA does not apply means that Finfrock is entitled to seek IFP status despite having three “strikes” under
Notes
. Both Newlin and Thurman addressed many other questions pertaining especially to the PLRA. As we explain in more detail below, this opinion is limited to the single aspect before us in these cases.
. In a stipulation filed with this court on November 19, 1998, the parties agreed that the Bureau of Prisons has adjusted the amount due from $1245 to $593. The lower number reflects the actual cost the government incurred in repairing the door. Walker has been making payments against this debt through deductions from his prison account.
. We doubl seriously that Finfrock is entitled to pursue No. 97-3800, the one appeal that does not involve a punishment affecting the length of his custody, but rather involves a punishment affecting only the place of his confinement (segregation vs. general population). First, it is questionable whether habeas corpus is the appropriate procedure for challenging this sort of punishment. See Sylvester v. Hanks,
. We emphasize that the action must be a proper habeas corpus action. Our ruling is not intended in any way to suggest that the district courts should not look beyond the label the petitioner attaches to his pleading to ensure that the proper procedural regime is followed. See generally Pischke v. Litscher,
. Likewise, the clerk of the district court, who administers the collection of filing fees, is directed to stop using the procedure outlined in
. We recognize that this conclusion might be thought to conflict with the decision of the Tenth Circuit in Montez v. McKinna,
Dissenting Opinion
EASTERBROOK, Circuit Judge,
dissenting from the denial of rehearing en banc.
The panel announces two important decisions: that collateral attacks on prison discipline are not “civil actions” for the purpose of the Prison Litigation Reform Act (Part iii); and that state prisoners who want to appeal adverse decisions in cases about good-time credits do not need certificates of appealability, despite
• The panel has established ground rules for a substantial body of prisoners’ suits, easily more than a hundred annually in this circuit.
• The issues are important qualitatively as well as quantitаtively. When must prisoners pay to litigate? May decisions rejecting frivolous collateral attacks be appealed as of right?
• Part in of the panel’s opinion overrules Part iii of Newlin v. Helman,123 F.3d 429 , 437-38 (7th Cir.1997), while Part iv creates a conflict among the circuits.
• The panel’s opinion is internally contradictory. (i) Part ii.b holds that collateral attacks about good-time credits concern “a person in custody pursuant to the judgment of a State court” (§ 2254(a) ), yet Part rv holds that these same collateral attacks do not concern a “proceeding in which the detention complained of arises out of process issued by a State court” (§ 2253(c)(1)(A) ). (ii) Part iii is justified in large measure by the desirability of eliminating a conflict among the circuits, yet Part iv creates a new conflict, (iii) The panel asserts in Part iii that it is too difficult to distinguish between collateral attacks on convictions and collateral attacks on prison discipline when assessing fees, yet Part iv draws exactly this line for purposes of certificates of appealability. (iv) Part iv invokes a plain-meaning approach to interpretation, while Part in disdains the statutory text.
• Both of the panel’s principal holdings are substantively questionable, for reasons that I now set out.
Part III holds that the plRa’s fee-collection mechanism (indeed, the whole puia) does not apply to any application for collateral relief. The critical text is
Collateral attacks are civil actions. Browder holds this (the Court wrote that “[i]t is well settled that habeas corpus is a civil proceeding”), and if that were not enough
Lawsuits arising out of prison discipline are a principal target of the PLRA. Should it make any difference for this purpose whether a warden revokes 30 days of good-time credits or puts the prisoner in segregation for six months (which also may prevent the prisoner from earning new good-time credits)? Not under the language of
Part in of the panel’s opinion does not take the language of
To understand why Part m of Newlin held that collateral attacks on prison discipline are “civil actions” under
But prison discipline is not a criminal proceeding; Wolff and Baxter hold that it is civil in nature, and that norms of the criminal process (such as the right to counsel) do not apply. If under Martin a collateral attack is treated (so far as the plRa is concerned) as a continuation of the decision being challenged, then a collateral attack on prison discipline is civil rather than criminal. Part in of Newlin so holds, which means that petitions for habeas corpus arising from prison discipline are “civil actions” for purposes of
Part m of the panel’s opinion does not come to grips with the language of the plea, the reasons Martin read that language non-literally, and the reasons New-lin gave for declining to extend the non-literal reading to other uses of habeas corpus. Nonetheless, I am content with the outcome of Part iii (rather, would be content if the panel applied the same approach to Part iv). That other circuits have followed Martin to the limit is important — we should get rid of procedural conflicts to the extent we can do so with intellectual honesty, see Lee v. Clinton,
Part IV holds that state prisoners who want to appeal adverse dеcisions in cases about good-time credits do not need certificates of appealability. Only prisoners seeking to appeal from the rejection of challenges to their convictions or sentences need certificates of appealability, the panel concludes. This distinction between challenges to convictions and challenges to prison discipline is exactly the line drawn (for purposes of
When statutes leave no leeway, we must tolerate Bad Things. This is the claim of Part iv: that the statute leaves no room for maneuver. A state prisoner needs a certificate of appealability only when appealing from “the final order in a habeas corpus proceeding in which the detention complained of arises out of process issued by a State court”.
The panel does not cite, and I could not find, any appellate decision holding that a state prisoner does not need a certificate of appealability (or did not need a certificate of probable cause) to appeal from the denial of a request for post-conviction collateral relief. The panel’s assertion,
If textualist interpretive methods are essential, as Part iv proclaims, then what happened in Part hi? Petitions for habeas corpus “are technically civil proceedings and so come within the literal scope of the Act.” Martin,
Part iv is at war with Part ii.b of the panel’s opinion as well as with Part in. In Part ii.b the panel holds that a petition for a writ of habeas corpus filed by a prisoner who wants good-time credits restored is covered by
Part ilb has it right. Finfrock’s detention “arises out of process issued by a State court”. He has been convicted; his
The difference between
Any reading of
There isn’t any uniform, or uniformly happy, solution to coverage issues under the aedpa. Federal prisoners’ collateral attacks on deprivations of good-time credits arise under