Petitioner Mathilde Muniz moves pursuant to 28 U.S.C. §§ 2244(b)(3)(A) & 2255 for an order authorizing the District Court to consider a “second or successive” petition 1 for postconviction relief under 28 U.S.C. § 2255. As it happens, however, Muniz’s instant petition is not, in fact, a “second or successive” petition within the meaning of §§ 2244(b)(3)(A) & 2255 at all. Rather, since her previous petition was not adjudicated on the merits but rather was dismissed on technical procedural grounds, we hold that the instant petition properly is characterized as a first petition. We therefore deny Muniz’s motion for leave to file a second or successive petition as unnecessary and transfer her petition, pursuant to 28 U.S.C. § 1631, to the District Court to be considered as a first petition.
BACKGROUND
Following a plea of guilty, Muniz was convicted in April 1991 of conspiracy to possess with intent to distribute heroin in violation of 21 U.S.C. § 846 and sentenced to 170 months’ imprisonment. On March 25, 1997, Muniz filed a
pro se
petition to vacate, set aside, or correct the sentence under 28 U.S.C. § 2255, asserting,
inter alia,
that her plea of guilty was entered involuntarily, that she was denied effective assistance of counsel, and that her sentence was based on an amount of crack without a specific finding regarding the weight of that crack. For over one year
1
, Muniz’s petition lay dormant “[f]or various unfortunate” (but unspecified) reasons, before the District Court (Kevin T. Duffy,
Judge)
finally denied her petition on June 15, 1998, as time-barred by the' one-year limitations period that was newly enacted into law by Section 105 of the Antiterrorism and Effective Death Penalty Act (“AEDPA”), Pub.L. No. 104-132, 110 Stat. 1214 (1996).
Muniz v. United States,
97 Civ. 2105 (S.D.N.Y. June 15, 1998). The District Court relied upon
Peterson v. Demskie,
Less than ten days after the District Court’s disposition, however, we made clear that notwithstanding dicta suggest
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ing the contrary in
Peterson,
all prisoners whose convictions became final prior to the effective date of AEDPA would be entitled to a full year after that date within which to file habeas corpus or § 2255 petitions.
See Ross v. Artuz,
Muniz then proceeded to file with the District Court, pro se, a motion styled as an “Application for Certificate of Appeala-bility,” which was received in the District Court, according to the date stamp on that document itself, on July 29, 1998. Muniz’s pro se application did not explicitly discuss the implications for her petition of our decisions in Ross and Mickens. However, she did explicitly challenge the District Court’s denial of her petition on AEDPA limitations grounds, devoting approximately two of the five pages in her application to this argument and asserting that she had, “with due diligence and as mandated by AEDPA[,] filed her 2255 motion within a year of the effective date.” Application for Certificate of Appealability at 3, Muniz v. United States, 97 Civ. 2105 (S.D.N.Y. June 15, 1998) (filed July 29,1998) (emphasis added). While Muniz’s pro se application was received over one month after our decisions in Ross and Mickens — and explicitly argued that the District Court incorrectly dismissed her petition based on the AEDPA limitations period — the District Court summarily denied that application, by memo endorsement and without any explanation, approximately six weeks later on September 9,1998.
The time period within which Muniz was required to file her notice of appeal — sixty days following entry of the District Court’s order denying her § 2255 petition, since the United States is a party, see Fed. R.App.P. 4(a)(1)(B) — expired on August 15, 1998.
See Houston v. Greiner,
Muniz filed the present motion for an order authorizing her to file a “second or successive” § 2255 petition on June 30, 2000. Title 28, section 2244(b)(3)(D) of the United States Code requires a motion for leave to file a “second or successive” habe-as or § 2255 petition to be granted or denied “not later than 30 days after the filing” of the motion. For Muniz’s present motion, that date was July 30, 2000. However, because this case involves a difficult and important issue “requiring] a published opinion that cannot reasonably be prepared within 30 days,”
Thomas v. Superintendent/Woodbourne Corr. Facility,
whether petitioner’s petition should be considered a first petition under [AED-PA] (in light of the earlier petition’s dismissal for untimeliness and petitioner’s failure to file a timely notice of appeal therefrom) and, if so, whether we should transfer her petition, pursuant to 28 U.S.C. § 1631, to the District Court.
Muniz v. United States, No. 00-3571 (2d Cir. July 28, 2000).
DISCUSSION
AEDPA’s gatekeeping provisions for “second or successive” petitions under § 2255 permit us to certify a “second or successive” petition to be filed in a district court only if the petition contains: •
(1) newly discovered evidence that, if proven and viewed in light of the evidence as a whole, would be .sufficient to establish by clear and convincing evidence that no reasonable factfinder would have found the movant guilty of the offense; or
(2) a new rule of constitutional law, made retroactive to cases on collateral review by the Supreme Court, that was previously unavailable.
28 U.S.C. § 2255. This standard imposes a more rigorous limitation on the filing of second § 2255 petitions than existed prior to enactment of AEDPA.
See Galtieri,
Given the District Court’s disposition of Muniz’s first § 2255 petition, however, we must address a threshold question: whether her current request for collateral relief constitutes a “second or successive” petition at all. AEDPA does not define what constitutes a “second or successive” petition. However, not every habeas corpus or § 2255 petition “that is filed after a prior one” is properly considered a “second or successive” filing in the technical sense meant by AEDPA.
Galtieri,
That question may not be answered with reference to ordinary res judicata principles, for it is well-settled that res judicata has no application in the habeas corpus or § 2255 context.
See generally Calderon v. United States Dist. Court,
AEDPA did not abrogate the well-settled traditional rule. As the Supreme Court noted in
Felker v. Turpin,
We therefore answer the question of whether a petition is “second or successive” with reference to the equitable principles underlying the “abuse of the writ” doctrine.
See Felker,
In this case, we conclude that Muniz’s present petition is a “first” petition, not a “second or successive” petition. The District Court’s dismissal of Muniz’s previous petition was erroneous, given our decisions in
Ross
and
Mickens
almost immediately thereafter. And this error was compounded by the District Court’s summary denial of her
pro sé
application for a certificate of appealability, which should have been treated either (1) as a motion to reconsider the dismissal, and granted, or (2) as a timely notice of appeal, which would have preserved Muniz’s appellate rights. These “technical procedural” errors by the District Court led directly to the mistaken dismissal of Muniz’s appeal by this Court.
2
To consider Muniz’s present petition “second or successive,” therefore, would require us to confront directly the Suspension Clause implications of denying Muniz an opportunity to have her first petition heard on the merits — even though it was properly filed within the time period to which she was entitled under AEDPA and our precedent, and even though Muniz timely indicated her intent to appeal by filing her
pro
se application for a certificate of appealability within the time period required to file a notice of appeal. While the Suspension Clause does not always require that a “first federal petition ... be decided on the merits and not barred procedurally,”
Rodriguez v. Artuz,
We therefore avoid this difficult constitutional issue by interpreting the statutory phrase “second or successive” not to encompass Muniz’s petition, which was incorrectly dismissed as untimely.
See Edward J. DeBartolo Corp. v. Florida Gulf Coast Bldg. & Constr. Trades Council,
We emphasize that our holding in this case is limited to situations akin to that faced by Muniz, in which a petitioner’s first habeas or § 2255 petition was
incorrectly
dismissed as untimely. We do not reach those circumstances in which district courts have
correctly
dismissed first petitions as untimely, and we intimate no views as to whether such dismissals are appropriately analogized to technical procedural dismissals. Nor do we make any suggestion as to which
other
cases fall inside or outside the subset of cases identified in
Rodriguez
as potentially implicating issues under the Suspension Clause. We simply conclude that the particular procedural bar faced by Muniz does raise a sufficiently serious and difficult question under the Suspension Clause to justify interpreting §§ 2244
&
2255 in such a manner as to avoid that constitutional question.
Cf. Triestman,
CONCLUSION
We therefore deny Muniz’s motion for leave to file a second or successive petition as unnecessary, and transfer her § 2255 petition, pursuant to 28 U.S.C. § 1631, to the District Court to be considered as a first petition. 3
Notes
. Consistent with the terminology used in
Galtieri v. United States,
. It is unlikely that this Court would have been aware of this procedural background at the time of the sua sponte dismissal of Mun-iz's appeal. The appeal was from the District Court's denial of her application for a certificate of appealability, but sought review of the dismissal of the § 2255 petition, which had been rendered more than sixty days earlier.
. As a threshold matter, the District Court should obviously consider whether Muniz's
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petition is timely under AEDPA. In this connection, we note that equitable tolling might apply to her petition,
see Smith v. McGinnis,
