Stevie Lamar Fields (“Fields”) appeals the district court’s order granting Warden Calderon’s (“the State’s”) motion to dismiss eleven claims contained in Fields’ second amended federal petition for writ of habeas corpus because they were declared procedurally defaulted by the California Supreme Court. We have jurisdiction under 28 U.S.C. § 1292(b). We vacate and remand.
PROCEDURAL HISTORY
In 1979, Fields was convicted of murder and sentenced to death.
1
In 1983, his conviction and sentence were affirmed by the California Supreme Court on direct appeal.
People v. Fields,
In 1984, Fields filed a petition for writ of habeas corpus in the California Supreme Court. After a hearing on the issue of whether Fields’ attorney provided ineffective assistance, the California Supreme Court denied the petition in 1990, holding that Fields suffered no prejudice from his attorney’s alleged incompetence.
In re Fields,
On May 25, 1993, Fields filed a federal petition for writ of habeas corpus in district court. On July 29, 1993, the California Supreme Court decided two cases that are critical to the resolution of this appeal:
In re Clark,
On August 2, 1993, Fields filed an amended federal habeas petition. The State moved to dismiss the petition on the grounds of procedural default. Finding unexhausted claims, the district court stayed federal proceedings on October 20, 1993, in order to allow Fields an opportunity to exhaust his state claims.
On January 14, 1994, Fields filed a second petition for writ of habeas corpus in the California Supreme Court. The State moved for denial of the state petition on procedural grounds. On October 14,1994, the California Supreme Court denied Fields’ second state habeas petition. In the portion relevant to this appeal, the California Supreme Court ruled:
The following claims are denied on the procedural ground of untimeliness, in that they could have been, but were not, raised on appeal or in the first habeas corpus petition: the claims set forth in parts IX (A, B, E, F, G), X (B, C, F,‘ G, H, I), XV, XVIII, XXI (as to the claim relating to the instruction on suppression of evidence), XXIII, XXIV, XXV, XXVI, XXX, XXXI. (In re Harris (1993)5 Cal.4th 813 , 829,21 Cal.Rptr.2d 373 ,855 P.2d 391 ; In re Dixon (1953)41 Cal.2d 756 , 759,264 P.2d 513 .) 2
On March 20, 1995, the United States Supreme Court denied certiorari.
Fields v. California,
On March 21, 1995, Fields filed a second amended habeas petition in the district court. On July 31, 1995, the State filed a motion to dismiss the claims denied by the California Supreme Court’s order due to procedural default. After a hearing, the district court granted the motion on June 10, 1996, and dismissed all of the claims to which the State had asserted a procedural bar. On July 30, 1996, the district court denied Fields’ motion for reconsideration and granted his motion for interlocutory appeal. On August 27, 1996, we granted Fields permission to take an interlocutory appeal of this dismissal order.
DISCUSSION
“The district court’s dismissal of the petition for writ of habeas corpus on the
*760
ground of state procedural default involves an issue of law that we review
de novo.” Morales v. Calderon,
The issue for decision is whether the California Supreme Court’s Dixon rule serves as an adequate and independent state ground for its denial of eleven claims in Fields’ habeas petition. In Dixon, the California Supreme Court held:
The general rule is that habeas corpus cannot serve as a substitute for an appeal, and, in the absence of special circumstances constituting an excuse for failure to employ that remedy, the writ will not he where the claimed errors could have been, but were not, raised upon a timely appeal from a judgment of conviction.
Ex parte Dixon,
A. The Trigger Date
Before addressing the adequacy of the Dixon rule, we must first determine the proper date on which the rule’s adequacy is to be measured. The district court ruled that “[t]he Dixon rule was firmly established both at the time petitioner filed his second habeas petition [January 14,1994] and at the time of his direct appeal [1981].” The State argues that the correct trigger date is October 14,1994, the date on which the California Supreme Court denied Fields’ second state habeas petition where the procedural bar at issue was actually applied. Fields argues that the correct trigger date is 1981, the timo of his direct appeal, when the defaulted claims should have been raised. Our discussion of the 1981 date will demonstrate the flaw in the State’s reasoning.
The Supreme Court of the United States has made it clear that a state’s procedural rule used to bar consideration of a claim “must have been ‘firmly established and regularly followed’ by the time as of which it is to be applied.”
Ford v. Georgia,
We have held that the proper time for determining whether a procedural rule was firmly established and regularly followed is “the time of [the] purported procedural default.”
Calderon v. Bean, 96
F.3d 1126, 1130 (9th Cir.1996),
cert. denied,
— U.S. —,
With respect to the
Dixon
rule, we have held that a relevant point of reference for assessing its application is the time at which the petitioner “had an opportunity to raise
*761
the claims on direct appeal.”
Id. See also Bean,
In addition to avoiding the unfairness of applying a new rule retroactively, the requirement that the rule be in existence at the time of the claimed default, the 1981 appeal in this case, also gives the defendant and his counsel notice that the claims must be raised at that time. A trigger date of 1994, when the default rule was actually applied by the California Supreme Court, would not insure that Fields and his counsel knew in 1981 that all claims had to be raised then or be held to be proeedurally barred. The requirement of notice thus dooms the State’s attempt to use 1994 as the trigger date. A consistently applied rule in 1994 could not cure a lack of notice in 1981.
Fields does not attempt to demonstrate the inconsistent application of the
Dixon
rule in 1981 by employing the traditional method of providing “a representative sample of cases in which the default was either invoked or, at least, where it arguably might have been applicable but was disregarded.”
Fierro v. Calderon,
No. CV-94-3198-LGB, at 15 (C.D. Cal. June 12, 1996) (citing
Dugger v. Adams,
B. The Adequacy of the Dixon Rule
Under the adequate and independent state grounds doctrine, federal courts “will not review a question of federal law decided by a state court if the decision of that court rests on a state law ground that is independent of the federal question and adequate to support the judgment.”
Coleman v. Thompson,
Not all state procedural bars are adequate to foreclose federal review. For the procedural default doctrine to apply, “a state rule must be clear, consistently applied, and well-established at the time of the petitioner’s purported default.”
Wells,
The mere fact that a state’s procedural rule includes an element of discretion does not render it inadequate.
Morales,
It is true ... that procedural rules need not be utterly mechanical. That the application of a rule requires the exercise of judicial discretion does not render the rule inadequate to support a state decision____ [Jjudicial discretion is the exercise of judgment according to standards that, at least over time, can become known and understood within reasonable operating limits.
Id. So long as standards governing the exercise of discretion are firmly established and are consistently applied, a state’s procedural rule will be adequate to bar federal claims.
In re Harris,
The
In re Harris
court began its discussion by noting that it has long been the rule in California that “habeas corpus will not lie ordinarily as a substitute for an appeal nor as a second appeal.”
Id.
at 378,
multiple repetitions [of the rule] over time may tend to obscure the original purpose of the rule[,] ... [and] large number[s] of petitions for writs of habeas corpus [are] filed in the courts of this state[,] the concomitant burden on the judiciary to evaluate the hundreds of petitions ultimately barred on procedural grounds [makes] it ... important to reexamine and reiterate the purpose of the Waltreus rule.
Id. (citations and footnote omitted).
After a discussion of the history and policies underlying the Waltreus rule, the court discussed the “corollary” Dixon rule:
Proper appellate procedure thus demands that, absent strong justification, issues that could be raised on appeal must initially be so presented, and not on habeas corpus in the first instance. Accordingly, an unjustified failure to present an issue on appeal will generally preclude its consideration in a postconviction petition for a writ of habeas corpus.
Id.,
The only reasonable interpretation of this last statement is that the exceptions to the
Dixon
and
Waltreus
rules that had “developed over the years” had been obscured by their “multiple repetitions” in so-called “postcard denials” by the California Supreme Court.
6
The court in
In re Harris
engaged in a lengthy discussion of four exceptions to the rules: (1) “fundamental constitutional error” (noting that “[h]ow to achieve the proper balance [between the state’s interest in finality and the individual’s right to a. fair trial] has not ... always been clear” and discussing a range of eases dating back to 1953), (2) “lack of fundamental jurisdiction” (distinguishing a 1957 case that appeared to prevent the application of this exception), (3) “acting in excess of jurisdiction” (discussing various claims where this exception has been raised and applied), and (4) “change in the law” (concerning an intervening judicial decision).
See id.,
Our conclusion is strengthened by the California Supreme Court’s opinion in
In re Clark,
At the outset of its general analysis, the court explained:
Before considering the possible merit of any claim, it is therefore appropriate to review the decisional and statutory law governing collateral attacks on judgments of conviction by petition for writ of habeas corpus. In addition, because no clear guidelines have emerged in our past cases, we consider when departure from those rules is warranted.
Id.
at 517,
Our past decisions have thereby suggested that the rules against piecemeal presentation of claims and repetitious petitions are subject to undefined exceptions and that the court may be willing to entertain multiple collateral attacks on a judgment notwithstanding the potential for abusive writ practice.
Id.
at 520,
These decisions from the California Supreme Court in 1993, though certainly instructive on the question of the adequacy of the Dixon rule, do not answer the question of exactly when the Dixon rule and other rules had become irregular and inconsistently applied. As we noted earlier, Fields did not provide us with a survey of cases to demonstrate the inconsistent application of the Dixon rule in 1981, the time of his direct appeal.
However, we have conducted our own survey of California cases decided in the nine years preceding and including Fields’ appeal (1973-1981).
See Johnson v. Mississippi
The
Dixon
case itself involved a claimed denial of constitutional rights (an unlawful search and seizure and a coerced confession), and the rule that emerged from
Dixon
originally applied to such claims. “The same principles should apply even though the alleged errors involving factual issues relate to an asserted denial of constitutional rights.”
Dixon,
As the nine eases from 1973 to 1981 demonstrate, however, consideration of constitutional claims not raised on direct appeal had become the norm, even in cases where the
Dixon
rule was clearly applicable. In only two cases
(Jones
and
In re Ronald E.),
was the
Dixon
rule specifically applied to bar review of an issue. In one other case
(In re
Brown), the court stated the
Dixon
rule, and then construed the habeas petition as one for mandamus. In the other eases, the rule was not applied to block consideration of the defaulted issue.
See, e.g., In re Walker,
The Fuller case perhaps best represents the lack of guidance the Dixon rule was providing by 1981. The Court of Appeal said:
We shall determine the case on the merits. It is true that as a general rule habeas corpus cannot serve as a substitute for appeal. (In re Dixon (1953)41 Cal.2d 756 , 759,264 P.2d 513 .) The rule yields however, in special circumstances; courts do not always require the exhaustion of appellate remedies. (Ibid.; In re Black (1967)66 Cal.2d 881 , 887,59 Cal.Rptr. 429 ,428 P.2d 293 ; see Witkin, Cal.Criminal Procedure (1963) Habeas Corpus and Other Extraordinary Writs, § 797, p. 769.) Here, as in In re Black, supra, petitioner’s continued confinement followed “somewhat unique” developments and the issue he presents is jurisdictional. It is also apparently novel. We are thus disposed to consider it. '
In re Fuller,
The flexible application of the Dixon rule was also clearly illustrated in Duran:
The Attorney General points out Duran has a remedy through his appeal from the order revoking probation, and moves to dismiss the petition on that basis. While ordinarily habeas corpus is not a substitute for appeal (In re Dixon,41 Cal.2d 756 ,264 P.2d 513 ), this Court has discretion to issue the writ if it believes an appeal is not adequate, or if a prompt disposition is required in the interests of justice. (In re Baird,150 Cal.App.2d 561 , 563, 310 P.2d *765 454; Witkin, Calif.Crim.Proc., p. 770). This is such a case.
In re Duran,
The California Supreme Court’s 1993 decisions in In re Harris and In re Clark, combined with our independent survey of California case law for most of the decade preceding Fields’ direct appeal in 1981, convince us that the Dixon rule is not an adequate state ground to bar federal review of Fields’ defaulted claims.
CONCLUSION
For the foregoing reasons, the district court’s order dismissing claims VII (A, B, E, F, G), VIII (B, C, F, G, H, I), XIII, XVI, XIX, XXI, XXII, XXIII, XXIV, XXVIII, and XXIX contained in Fields’ petition for writ of habeas corpus is VACATED and the case is REMANDED to the district court for further proceedings consistent with this opinion.
VACATED AND REMANDED.
Notes
. The facts of the underlying crime can be found in
People v. Fields,
. In Fields’ federal petition, these claims are numbered VII (A, B, E, F, G), VIII (B, C, F, G, H, I), XIII, XVI, XIX, XXI, XXII, XXIII, XXIV, XXVIII, and XXIX respectively.
. We further decline to address Fields' argument that the California Supreme Court’s order on October 14, 1994, denying his second state habeas petition, is ambiguous. We assume, for purposes of this opinion, that the order is not ambiguous.
. In previous cases, we have avoided the resolution of this issue.
See Hayes,
There is a conflict in the federal district courts in California as to whether the
Dixon
rule is adequate to bar federal habeas review of defaulted claims.
See, e.g., Fierro v. Calderon,
No. CV-94-3198-LGB, at 16 (C.D. Cal. June 12, 1996) (ruling that "the California Supreme Court’s recent reevaluation of its procedural rules [in
Harris
and
Clark
] all but establishes that the
Dixon
rule is not adequate”);
Deere v. Calderon,
. We note that a claim barred from further state court review by the Waltreus rule would not be barred from review in federal habeas, as it would be an exhausted claim.
. In a postcard denial, the court denies a habeas petition by stating, without discussion, that certain claims are procedurally barred, citing the relevant case {Dixon, Waltreus, or some other).
.
In re Walker,
