Lead Opinion
Opinion by Judge REINHARDT; Concurrence by Judge KLEINFELD.
It has been almost fifteen years since Richard Louis Arnold Phillips was convicted of murder and first sentenced to death, and ten years since the state supreme court affirmed his conviction and vacated his sentence. The question before us is whether we should now review the constitutionality of Phillips’ conviction or require him to continue to wait until the state has rendered a final decision regarding his sentence before allowing him to petition for habeas review of the conviction.
BACKGROUND
In 1980, Phillips was convicted of first degree murder with special circumstance, attempted murder, and robbery; he was subsequently sentеnced to death. The State of California has bifurcated the process for adjudicating guilt and imposing a death sentence; thus, the death sentence is imposed through an entirely separate trial. In 1985, the Supreme Court of California affirmed Phillips’ conviction but reversed his death sentence. People v. Phillips,
Despite thе significant delay that has already taken place, there is no indication that Phillips’ appeal from his sentence will be decided anytime in the near future. To the contrary, due to significant problems involving inaccuracies in the sentencing trial transcript, it appears that the state supreme court may not decide the case for some time. Thus, there is no way to determine when Phillips’ sentence will be final, even assuming that the state supreme court will affirm it. Of course, if that court again finds errors in the sentencing decision, Phillips may well be forced to wait another substantial period of time beforе any sentence becomes final under state law.
Phillips petitioned for a writ of habeas corpus pursuant to 28 U.S.C. § 2254 in 1992; his petition contained only claims arising from his conviction. The district court dismissed the habeas petition without prejudice on two grounds. First, it declined to interfere with the ongoing state criminal proceeding under the abstention doctrine first articulated in Younger v. Harris,
We granted Phillips’ request for a certificate of probable cause and instructed the parties to submit briefs regarding the ex
In light of the extraordinary delay, we hold that Phillips may bring his habeas petition regarding the constitutionality of his conviction despite the fact that the state has not yet made a final ruling on his sentence. We conclude that Phillips’ right to reasonably prompt review of his conviction outweighs the jurisprudential concerns that might otherwise lead us to decline to review his petition. Neither Rose nor Younger prevents him from seeking and obtaining habeas review of his conviction.
ANALYSIS
A. Finality of the Judgment
The state does not contest Phillips’ argument that his state conviction is final. It argues that he is not yet subject to a final judgment, because his sentence is not yet final.
California procedure separates the determination of guilt from the determination of penalty especially sharply. California has bifurcated into “separate phases” what it calls the guilt phase and the penalty phase of death penalty cases. See Cal.Penal Code § 190.1. It is undisputed that the guilt phase of this case is final.
B. The Requirements 0/Younger and Rose
Although the state makes no argument regarding the finality of the judgment under California law, it asserts that federal law — specifically the abstention doctrine of Younger v. Harris,
First, on appeal Phillips does not seek to enjoin an ongoing state proceeding; instead, he seeks only to collaterally attack his conviction. The state has already adjudicated Phillips’ guilt, its decision in that regard is final, and Phillips seeks nothing more than federal review of that decision. The ongoing state proceeding involves sentencing only, and the state is free to continue with its sentencing determination. The rule against staying a proceeding does not prevent us from deciding a related issue, even if that decision ultimately renders the state proceeding moot. Thus, the Supreme Cоurt’s holding in Younger that federal courts must exercise significant caution in enjoining ongoing state criminal proceedings is inapplicable to the case before us. Accordingly, we hold that the abstention doctrine does not prevent us from reviewing Phillips’ petition.
The plurality thus makes clear that a defendant may choose to submit a petition containing only exhausted claims, even when his remaining claims are unexhausted, without
C. Jurisprudential Concerns
We recognize, of course, that a decision to allow Phillips to pursue his habeas petition before the state renders a final decision regarding his sentence implicates many of the prudential concerns outlined in Rose, particularly those concerning the dangers of piecemeal litigation. However, we believe that in this case Phillips’ right to reasonably prompt constitutional scrutiny of his conviction outweighs any prudential concerns that might exist.
We have consistently recognized that unusual delay in the state courts may justify a decision to protect a prisoner’s right to a fair and prompt resolution of his constitutional claims despite the jurisprudential concerns that have led us to decline to review a claim or to require full exhaustion in other eases in which a proceeding related to the federal petition is pending in state court. For example, in Coe v. Thurman,
1. The Significance of Extraordinary Delay in the State Courts
In the case before us, almost fifteen years have passed since the date of Phillips’ conviction. It has been a decade and a half since Phillips was first sentenced to death and ten years since the state supreme court vacated that sentence. More than three years have passed since the second death penalty trial took place.
In addition, as the state concedes, there is no end in sight. It has already taken a significant amount of time for some of the inaccuracies in the trial transcripts to be corrected, and counsel indicated to us at oral argument that further revisions will be necessary. Moreover, it is quite possible that the statе supreme court will again find errors in the sentencing decision, and that any state determination as to Phillips’ sentence may not become final for an additional number of years. Therefore, if we refuse to consider Phillips’ habeas petition now, he might be forced to wait a further indeterminate period of time before he could raise any federal challenge to the constitutionality of his conviction.
2. Balancing Jurisprudential Concerns and Phillips’ Constitutional Right
Balanced against the significant harms that may arise from further delay are relatively weak jurisprudential concerns. Comity concerns in this case are practically nonexistent since the state has had a full and fair opportunity to review the validity of Phillips’ conviсtion and its decision regarding that conviction is final. Cf. Hendricks v. Zenon,
3. The State’s Argument Regarding the Sherwood Decision
According to the state, Phillips must remain incarcerated for an indefinite period of years (quite possibly 20 or more) before he can seek federal review of his conviction. Indeed, the state maintains that such a rule is mandated by this court’s decision in Sherwood v. Tomkins,
When, as in the present case, an appeal of a state criminal conviction is pending, a would-be habeas corpus petitioner must await the outcome of his appeal before his state remedies are exhausted, evеn where the issue to be challenged in the writ of habeas corpus has been finally settled in the state courts.
Sherwood,
We find the state’s argument to be unconvincing. First and most important, we have explicitly rejected the precise argument made by the state regarding the scope of the Sherwood holding in Coe v. Thurman,
Second, Sherwood is easily distinguishable. Our decision in that case rested upon the fact that the pending state appeal might result in the reversal of the petitioner’s conviction and eliminate the federal question, Sherwood,
The distinction we draw above is supported by our decision in Blazak v. Ricketts,
In Clisby [where the court declined to consider a habeas petition], the district court granted relief as to the imposition of a sentence of death, but reserved judgment on claims going to the underlying conviction. As a result, the conviction issues remained alive and unresolved regardless of whether the court of appeals affirmed or reversed the district court’s decision on the penalty issues.... Unlike Clisby, however, in the present appeal we have a complete resolution of all of the alleged constitutional infirmities arising from the relevant set of operative facts relative to conviction. This decision renders the sentencing issues moot.... Thus, unlike Clisby, if we affirm, the habe-as corpus action is completed.
Blazak,
Moreover, a decision to extend Sherwood to an unusual case like this one might raise concerns somewhat analogous to those outlined by the Supreme Court in Corey v. United States,
4. The Seventh Circuit’s Decision
Finally, we note that our holding in this case is hardly a novel one. Indeed, the Seventh Circuit has recently reached precisely the same result in an almost identical case. In Burris v. Farley,
When a state handles his case in a glacial fashion, a prisoner need nоt wait for global warming to set in. The extended proceeding needed to fix the penalty for murder need not imply that a person with a color-able claim of innocence must cool his heels in prison for a decade or more before being entitled to present to a federal court his challenge to the judgment of conviction.
Burris,
CONCLUSION
Our decision in this case is a narrow one. We simply hold that Phillips should not be required to wait more than fifteen years for his sentence to be finally resolved before he may challenge the constitutionality of his conviction. We are fully aware of the jurisprudential concerns implicated by our decision, but conclude that they are outweighed by Phillips’ interest in a prompt resolution of his constitutional claims. We do not intimate any view as to what other circumstances, if any, might entitle a defendant to seek review
[UJnlike habeas grants exclusively on sentencing issues, the grant of a habeas petition because of the constitutional invalidity of a conviction raises concerns that a possible innocent person has been unjustifiably incarcerated on death row for a number of years. Delaying reinal in such cases, while attorneys fight over a sentence that may no longer exist, risks the perpetuation of a monumental injustice should retrial ultimately result in an acquittal.
Blazak,
For the above reasons, we reinstate the petition. The district court’s decision is
REVERSED AND REMANDED.
Notes
. Indeed, the state courts have consistently held that a conviction under California's bifurcated process for adjudicating death penalty cases is a final judgment. For example, in People v. Jackson,
. In his separate concurrence, Judge Kleinfeld asserts that Younger should generally apply but concludes that an exception to Younger justifies our decision in this case. However, the only cases he cites concern the application of Younger to ongoing trials or direct appeals. See, e.g., Huffman v. Pursue, Ltd.,
Our concurring colleague's argument would be more persuasive if, as he suggests, " 'final judgment' ” always " ‘means sentence.' ” Concurrence, at 1038 (quoting Berman v. United States,
. The Court added that “[b]y invoking this procedure ... the prisoner would risk forfeiting consideration of his unexhausted claims in federal court" if a district court found that a second petition containing claims that were unexhausted in the first petition represented an abuse of the writ. Rose,
However, even if Phillips were to bring a second habeas petition limited to challenging his sentence, under the extraordinary circumstances of this case, see infra pp. 1034-1037, doing so would not represent an abuse of the writ. See Burris v. Farley,
. Phillips alleges that he fully exhausted all available state collateral remedies regarding his conviction before filing his habeas petition. However, it appears that Phillips did not properly serve the state in filing this petition, рotentially depriving it of an opportunity to contest whether he fully exhausted state remedies for the claims within his petition. If on remand the district court finds that the state was not given an adequate opportunity to raise this issue, the state may contest whether Phillips exhausted these claims and, if not, whether his failure was an excusable one.
. We also note that Sherwood did not involve a death penally case or the bifurcated process that is applicable in such cases. See supra note 2.
Concurrence Opinion
concurring:
I concur. My analysis differs in two respects, on abstention and on our purporting to make a holding in a case not before us.
The majority concludes that Younger v. Harris,
The majority analyzes much of the case in terms of Rose v. Lundy,
In Younger, the Supreme Court held that federal courts generally may not enjoin ongoing state criminal proceedings, but leaves room for possible exceptions to the general rule for “bad faith, harassment, or other unusual circumstance that would call for equitable relief.” Id. at 54,
We have held that “[wjhen, as in the present case, an appeal of a state criminal conviction is pending, a would-be habeas corpus petitioner must await the outcome of his appeal before his state remedies are exhausted, even where the issue to be challenged in the writ of habeas corpus has been finally settled in the state courts.” Sherwood v. Tomkins,
Younger abstention is an equitable doctrine, and leaves room for an exception for “unusual circumstance that would call for equitable relief.” Younger,
So long a delay between the beginning of confinement and finality is, in Younger terminology, “unusual.” I agree with the majority that the unusual circumstances in this case allow for the equitable relief of permitting Phillips tо petition for a writ of habeas corpus now, instead of waiting for the state to achieve finality on his sentence. Likewise, the habeas statute includes an exception at 28 U.S.C. § 2254(b) for “absence of available State corrective process or the existence of circumstances rendering such process ineffective.” The circumstances allow application of this exception. See Coe v. Thurman,
I do not think we have the power to hold, as the majority opinion purports to do at footnote 2, that if Phillips files a subsequent petition attacking his sentence, he will have demonstrated “gоod cause” for filing more than one petition. See McCleskey v. Zant,
An abuse of the writ case does not arise until the subsequent petition is filed. See e.g., Burris v. Farley,
I am puzzled about why the sides are reversed in this case. Usually the man sentenced to death prefers delay, the state, expedition. In this case, the man sentenced to death seeks to accelerate the final disposition in federal court of his petition for a writ of habeas corpus. I am unable to see the harm to the interests of the State of California in granting him this relief.
The writ of habeas corpus is the great writ for testing the constitutionality of confinement. The writ is severely impaired, if confinement may last fourteen years, yet not be ripe for a habeas petition. I agree that this petition should now be entertained.
