Ramos-Martinez v. United StatesRamos-Martinez v. United States
This case presents a question of first impression in this circuit: Is the limitations period for the filing of a federal prisoner’s habeas petition under
I. BACKGROUND
We start by sketching the historical antecedents of this appeal. On April 16, 2002, petitioner-appellant Wilfredo Ramos-Martinez entered a straight guilty plea (i.e., a plea unencumbered by any agreement) to a charge of conspiracy to distribute multi-kilogram quantities of heroin, cocaine, and cocaine base (crack cocaine).
See
After the petitioner had been questioned at some length about his understanding of the proffered plea and its consequences, his counsel, David Román, informed the court that the petitioner “does not speak [Ejnglish and this indictment is in [E]nglish.” Román declared that he was fluent in Spanish and, therefore, had “explained all of it” to his client in Spanish. Notwithstanding this aposematic disclosure, the court did not inquire further into the petitioner’s English language proficiency.
The record contains no indication that, prior to or during the hearing, the court asked the petitioner if he needed the services of an interpreter. 1 Neither the docket nor the transcript contains any notation showing that a court interpreter participated in the hearing. 2 Tellingly, the court’s criminal minute sheet for the hearing does not identify any interpreter in the space provided for that information.
Some months passed before sentencing. By then, Judge Carter had returned home, and Judge Laffitte presided.
The disposition hearing took place on November 4, 2002. At that time, the petitioner requested “all the documents in the case.” He claimed that he repeatedly had asked Román to procure these papers, but to no avail. He also signaled his intention to file a
The petitioner filed a pro se notice of appeal and requested the appointment of counsel. Attorney José Franco-Rivera ul
In July of 2005, the petitioner wrote to the district court requesting information about the status of his appeal. The court provided the petitioner’s attorney with a copy of this letter. The record does not indicate what action (if any) counsel may have taken.
A pro se motion to like effect was received by the district court in August of 2005. The clerk was directed to notify the petitioner of the status of his appeal. Within a matter of weeks, we affirmed the conviction and sentence. United States v. Ramos-Martínez, No. 02-2630 (Oct. 12, 2005) (unpublished order). The conviction became final on January 10, 2006 (when the 90-day period for seeking certiorari expired).
Within a month thereafter, the petitioner wrote to the clerk of the district court about the cost of acquiring a transcript of his change-of-plea hearing. The court directed the clerk to provide the petitioner with the requested information. It is unclear whether that directive was implemented.
On March 27, 2007, the petitioner, acting pro se, filed a motion to reduce his sentence.
See
Meanwhile, a series of other events were unfolding. Although the record is scum-bled, it appears that, at some point in 2005, the petitioner’s mother paid a paralegal named José Rosado (ostensibly an associate of the petitioner’s appellate counsel) several thousand dollars to assist in the preparation of a
On April 1, 2008, the petitioner, acting pro se, filed a motion to vacate, set aside, or correct his sentence, pursuant to
On April 16, 2008, the district court granted the motion to expand the record. The expanded record contains evidence regarding the events that transpired at the
After denying the petitioner’s motions for discovery and for an evidentiary hearing, the district court rejected the
[A]s seasoned a judge as he is, Judge Carter would not have proceeded to take a plea from a defendant that could not communicate in English. Similarly, David Román, Defendant’s lawyer, would not have allowed a non-English-speaking defendant to stand before Judge Carter without understanding the language of the colloquy. We, therefore, find that Petitioner was either able to speak English or was assisted by an interpreter during the plea colloquy.
Id. at *3. In the court’s view, the transcript of the hearing showed that the petitioner “answer[ed] several questions with full sentences and never indicated that he could not understand the proceedings.” Id. The court concluded that “[although the court would have done well to conduct a more thorough inquiry into Petitioner’s comprehension of English, the record does not demonstrate that Petitioner had difficulty with English so as to trigger the requirements of the Court Interpreters Act.” Id. In the process of reaching this conclusion, the court creatively interpreted Román’s statement that the petitioner did not speak English to mean that he “could not read and understand the indictment, not that he could not comprehend the court proceedings.” Id. Having denied the petition on the merits, the court effectively sidestepped the equitable tolling issue.
On May 26, 2009, the petitioner, again acting pro se, filed a notice of appeal and a motion for a certificate of appealability (COA). The district court declined to issue a COA. The petitioner appealed that denial and, on December 10, 2009, we granted a COA as to three issues: (i) whether, under principles of equitable tolling, the
II. ANALYSIS
We divide our discussion into four segments. We begin with the availability of equitable tolling.
A. Availability of Equitable Tolling.
“Congress enacted
By this algorithm, the petitioner’s conviction became final on January 10, 2006. The one-year limitations period for filing a
Equitable tolling is a doctrine that “provides that in exceptional circumstances, a statute of limitations ‘may be extended for equitable reasons not acknowledged in the statute creating the limitations period.’ ”
Neverson v. Farquharson,
Despite the lack of controlling precedent, we do not write on a pristine page. The Supreme Court recently held that the limitations period under a kindred AEDPA provision (
To begin,
When found in federal statutes, non-jurisdictional limitations periods ordinarily are subject to a rebuttable presumption that equitable tolling is available.
Holland,
The Holland Court also acknowledged that because Congress enacted the AED-PA subsequent to the Court’s announcement of the presumption in favor of equitable tolling, Congress likely was aware that courts, when interpreting the AEDPA, would do so with that presumption in mind. Id. at 2561. This reasoning counsels in favor of the availability of equitable tolling under section 2255(f).
The similarities do not end there. Like section 2244(d), the prescriptive period provided in section 2255(f) contains no “unusually emphatic” language or reiterations that might tend to rebut the presumption in favor of equitable tolling.
See id.
(contrasting section 2244(d) with statutes at issue in
United States v. Beggerly,
Last — but surely not least — Holland informs our examination of the AEDPA’s basic objectives. There, the Court concluded that allowing equitable tolling in appropriate circumstances would not undercut the AEDPA’s core principles. Id. at 2562. This conclusion is not altered when the focus shifts from section 2244 to section 2255.
To say more on this issue would be supererogatory. Given the compelling textual similarity and congruent purpose that section 2244(d) and section 2255(f) share and the common heritage of both provisions as part of the same statutory framework, we hold that section 2255(f)’s one-year limitations period is subject to equitable tolling in appropriate instances. This holding comports with the reasoning of the
Holland
Court. It also brings this court into line with ten other courts of appeals that have reached the same conclusion.
See United States v. Aguirre-Ganceda,
B. Applying Equitable Tolling.
That equitable tolling is available under section 2255(f) does not mean that it applies here. We begin this latter inquiry with general principles.
A court’s power to invoke equitable tolling must be exercised case by case.
See Holland,
“A habeas petitioner bears the burden of establishing the basis for equitable tolling.”
Riva v. Ficco,
Because equitable decisions are made on a case-by-case basis, the determination of whether to toll a limitations period for equitable reasons is fact-intensive.
See Holland,
Equitable tolling normally requires a finding of extraordinary circumstances.
See, e.g., Riva,
Here, however, the matter is not clear-cut. Cases in which professional failings have been judged sufficiently egregious to warrant a finding of extraordinary circumstances typically have involved misconduct by attorneys.
See, e.g., Martin,
To compound the problem, the record does not speak with any degree of clarity to the specifics of Rosado’s engagement by the petitioner. While the record indicates that the petitioner’s relatives paid Rosado a substantial sum of money to prepare a section 2255 petition, it lacks any detail about the parameters of the relationship. The record does confirm that Rosado failed to respond to a myriad of telephone calls that the petitioner placed to him and that no Rosado-prepared petition was ever filed on the petitioner’s behalf. The gaps, however, leave unanswered serious questions about the reasonableness vel non of the petitioner’s reliance on Rosado and the likelihood that he was misled.
Equitable tolling is not intended as a device to rescue those who inexcusably sleep upon their rights. A habeas petitioner who seeks the balm of equitable tolling must show that he has exercised “reasonable diligence” to protect his own
On this question, too, paucity of information is a matter of concern. Applying such a standard necessitates that an inquiring court have a sufficient factual basis to understand what choices the petitioner had and how he made those choices. See id.
The record here is too underdeveloped to allow this sort of reasoned analysis. We can tell that the petitioner made some efforts both to file a petition and to keep tabs as to what progress was being made. For example, he tried to obtain a transcript of his change-of-plea hearing, placed repeated telephone calls to Rosado, and submitted numerous pro se filings. But these efforts represent only part of the picture, and the record is silent as to when and by what means the petitioner became aware that Rosado was not performing his assigned task. What the petitioner knew and when he knew it are important in assessing his diligence.
See, e.g., Barreto-Barreto v. United States,
In addition, both “extraordinary circumstances” and “reasonable diligence” depend on the totality of the circumstances.
See Trapp,
C. The Substantive Claims.
The district court did not dwell on the dearth of information about equitable tolling but, rather, elected to sidestep that issue and resolve the case on the merits. This pragmatic approach can be utilitarian in some cases; a court occasionally may avoid addressing an enigmatic threshold issue by cutting directly to the merits.
See Lambrix v. Singletary,
If it were obvious that the petition lacked merit, bypassing the equitable tolling inquiry would be a practical solution. That is not the case here. The petition raises serious constitutional questions, and the scanty record does not permit an authoritative resolution of those questions.
We need not wax longiloquent. For now, it suffices to say that the same types of informational shortfalls that counsel against deciding the equitable tolling question on this chiaroscuro record likewise counsel against deciding the constitutional claims without better development of the facts. We explain briefly.
The Court Interpreters Act,
On the incomplete record that was available to the district court, it could not answer these crucial questions with any degree of assurance. The court’s attempt to answer them, quoted supra at 319, is nothing more than conjecture. By like token, the court’s facile reinterpretation of counsel’s warning that the petitioner did not understand English is unconvincing. Speculating about such basic facts as whether Judge Carter informed the petitioner of his right to an interpreter, whether the petitioner’s proficiency in the English language was so limited that an interpreter was needed, and whether the petitioner waived any entitlement is not a substitute for factfinding.
D. Next Steps.
To this point, we have explained that the record as it stands is too tenebrous to permit a reasoned answer to any of the three questions framed in the COA. A further question remains: Where do we go from here?
A habeas petitioner has the burden of adducing facts sufficient to show both that his petition should be treated as timely and that he is entitled to relief.
See, e.g., Riva,
An evidentiary hearing may be available in connection with a section 2255 petition.
See
Rule 8, Rules Governing Section 2255 Proceedings. While a petitioner “is not entitled to an evidentiary hearing as a matter of right,”
David v. United States,
Habeas courts should be guided by equitable principles.
See Holland,
III. CONCLUSION
We need go no further. We decline to answer any of the questions posed in the COA due to the pervasive uncertainty that dogs the record. Accordingly, we vacate the judgment and remand to the district court for further development of the record with a view toward determining whether the petition is timely by reason of equitable tolling and, if so, whether the petitioner is entitled to relief on the merits of his substantive claims. We take no view as to the appropriate resolution of any of these matters on remand.
Vacated and remanded.
Notes
. In contrast, in a change-of-plea hearing held on that same afternoon for one of the petitioner's codefendants, Maximo Salamo-Olmeda, Judge Carter inquired pointedly about the defendant's ability to communicate with the court without the help of an interpreter.
. In contrast, the record of the petitioner's sentencing indicates that he was “provided with the assistance of the Official Court Interpreter” for that proceeding.
. In relevant part, section 2244(d)(1) prescribes that a " 1-year period of limitation shall apply to an application for a writ of habeas corpus by a person in custody pursuant to the judgment of a State court”; section 2255(f) indicates that a “1-year period of limitation shall apply to a motion under this section.”
. Rule 4(a) of the Rules Governing Section 2255 Proceedings contemplates that the same judge who handles a petitioner’s trial ordinarily should review his section 2255 petition. Here, however, through no fault of either the petitioner or the district court, a series of different judges were involved at different stages of the change-of-plea, sentencing, and post-conviction section 2255 proceedings.