Jimmy Walker, Petitioner-Appellant, v. J.T. O‘Brien, Respondent-Appellee. And Joseph W. Finfrock, Petitioner-Appellant, v. Craig A. Hanks, Respondent-Appellee.
Nos. 96-4010, 98-1328, 97-3792, 97-3797, 97-3798, 97-3799, 97-3800
United States Court of Appeals For the Seventh Circuit
Argued January 19, 1999--Decided June 22, 2000
Before Flaum, Ripple, and Diane P. Wood, Circuit Judges.
Appeals from the United States District Court for the Western District of Wisconsin. No. 96-C-661-C--Barbara B. Crabb, Judge. And Appeals from the United States District Court for the Southern District of Indiana, Indianapolis Division. Nos. IP97-0861-C-H/G--David F. Hamilton, Judge, IP97-0996-C-M/S--Larry J. McKinney, Judge, IP97-0997-C-T/G--John Daniel Tinder, Judge, IP97-0998-C-T/G--John Daniel Tinder, Judge, IP 97-0999-C-H/G--David F. Hamilton, Judge.
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 Thurman.1 With the benefit of the views from the other circuits, we have concluded that the line Newlin draws between collateral attacks that are in some way related to the original criminal proceeding and those that are not should be abandoned. Indeed, we find such a dichotomy inconsistent in principle with the Supreme Court‘s decisions in Edwards v. Balisok, 520 U.S. 641 (1997), and Preiser v. Rodriguez, 411 U.S. 475 (1973). We therefore hold today, in keeping with the decisions in Davis v. Fechtel, 150 F.3d 486, 488-90 (5th Cir. 1998); McIntosh v. United States Parole Commission, 115 F.3d 809, 811-12 (10th Cir. 1997); and Blair-Bey v. Quick, 151 F.3d 1036, 1039-41 (D.C. Cir. 1998), that the PLRA does not apply to any requests for collateral relief under
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 Greenville, 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
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
At that point, matters became a bit complicated. First, invoking the screening mechanism that applies to complaints in “civil actions” filed by prisoners, the district court sua sponte dismissed Walker‘s action prior to service on the ground that it was frivolous because there was some evidence to support the imposition of disciplinary measures. See Superintendent v. Hill, 472 U.S. 445 (1985);
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 district 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
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
By deciding to pay the filing 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 same as the standard for determining whether an appeal is in good faith. It is more demanding. Moore v. Pemberton, 110 F.3d 22, 24 (7th Cir. 1997). See also Barefoot v. Estelle, 463 U.S. 880, 893 (1983) (noting that the standard for obtaining a certificate of probable cause, the predecessor to the certificate of appealability, is higher than the one used to evaluate good faith under 28
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 applicability 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. Section 2241 or Section 2254?
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 sec. 2255 and sec. 2254, coupled with the Supreme Court‘s guidance in Felker v. Turpin, 518 U.S. 651 (1996), leads to a different path for federal and state prisoners. A state prisoner, like Finfrock, has available a statute that in effect implements the general grant of habeas corpus authority found in sec. 2241, as long as the person is in custody pursuant to the judgment of a state court, and not in state custody for some other reason, such as pre-conviction custody, custody awaiting extradition, or other forms of custody that are possible without a conviction. In the latter cases, the Great Writ protected by the Constitution, Article I, Section 9, Clause 2, and sec. 2241 (to the extent these may be different) remain available. Even though sec. 2254 does not contain exclusivity language along the lines of sec. 2244(a) and sec. 2255 para. 5 (which together make it clear that a federal prisoner who wishes to challenge the legality of his or her conviction or sentence can proceed only under sec. 2255), as a practical matter the requirements of sec. 2254 must be met by all state prisoners filing petitions for writs of habeas corpus after conviction. As the Supreme Court put it in Felker, a court‘s “authority to grant habeas relief to state prisoners is limited by sec. 2254, which specifies the conditions under which such relief may be granted to ‘a person in custody pursuant to the judgment of a State court.‘” 518 U.S. at 662. The Felker decision observed that certain requirements of sec. 2254 and related laws, such as the need to obtain the approval of the court of appeals before filing a successive application in the district court, see
III
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 sec. 2241 or by a state prisoner under sec. 2254 that is not related to the underlying criminal judgment or sentence--that is not, as Newlin put it, a functional continuation of the criminal prosecution. For the reasons that follow, we conclude that cases properly brought under sec.sec. 2241 or 2254 as habeas corpus petitions are not subject to the PLRA. In so doing, we bring this circuit into line with all of our sister circuits who have ruled on the matter. See, in particular, Davis v. Fechtel, supra, 150 F.3d at 488-90; McIntosh v. United States Parole Commission, supra, 115 F.3d at 811-12; and Blair-Bey v. Quick, supra, 151 F.3d at 1039-41. We take this action not simply for the sake of ending our status as an outlier; conformity for its own sake is neither necessary nor desirable for the courts of appeals, because differences in opinion have the effect of ventilating important legal questions and creating a background against which the Supreme Court can ultimately resolve an issue for the country as a whole. Still, we respect the views of our sister circuits, and we always proceed carefully when we find
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. 411 U.S. at 477-78. Respondent Katzoff was imprisoned after being convicted of possession of a dangerous weapon. He was disciplined for making derogatory comments about prison officials in his diary, and was punished with the deprivation of 30 days’ good-conduct time (in addition to being required to serve 57 days in segregation, which indirectly led to the loss of another 20 days’ good-conduct time). Id.
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. The Supreme Court granted certiorari in order, as it said,
to consider the bearing of the Wilwording [v. Swenson, 404 U.S. 249 (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 sec.sec. 2241 and 2254. In so doing, it noted that “the use of habeas corpus to secure release from unlawful physical confinement, whether judicially imposed or not, was thus [by the time of the independence of the American colonies] an integral part of our common-law heritage.” Id. at 485 (emphasis added). In its discussion, the Court equated challenges on the ground that the statute under which the prisoner was convicted was unconstitutional, that trial was held on a defective indictment, that the person was confined in the wrong institution, that he was denied constitutional rights at trial, that his guilty plea was invalid, that he is being unlawfully detained by the Executive or the military, and that parole was unlawfully revoked. Id. at 486. It concluded by holding that “the respondents’ suits in the District Court fell squarely within this traditional
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, 512 U.S. 477 (1994), under which a state prisoner‘s claim for damages is not cognizable under
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, 442 U.S. 178 (1979), for the proposition that “[c]omplaints about denial of parole, revocation of parole, and the like, do not affect the validity of the criminal sentence, and this litigation therefore cannot be called a functional continuation of the criminal prosecution.” 123 F.3d at 438. Addonizio, however, held only that allegations by three federal prisoners that a postsentencing change in the policies of the United States Parole Commission, which had prolonged their actual imprisonment beyond the period intended by the sentencing judge, would not support a collateral attack on the original sentence under
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.
442 U.S. at 186. Bearing in mind that sec. 2255 is available to federal prisoners only for attacks on the underlying conviction and sentence, see United States v. Hayman, supra, and that the Addonizio Court said nothing about the prospects for an action under sec. 2241, at the most Addonizio reaffirms certain limits on the use of sec. 2255. Finally, to the extent the Newlin decision legitimately inferred from Addonizio a recognition by the Supreme Court that attacks on the original conviction and sentence are different from those on parole proceedings, we think that the Supreme Court‘s later decision in Balisok made it clear that
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, 96 F.3d 853, 855 (7th Cir. 1996) (“habeas corpus is more accurately regarded as being sui generis“); Blair-Bey, 151 F.3d at 1040; Smith v. Angelone, supra, 111 F.3d at 1129-30. The precise question of statutory construction is therefore whether habeas corpus petitions were considered by Congress to be the kind of “civil action” to which the provisions of the PLRA should apply. Even under the rule of Newlin, the answer was not a clear-cut “yes.” Instead, according to Newlin, habeas corpus petitions that related to the original criminal proceeding were not “civil actions,” and petitions that were independent of that proceeding were. But the petition itself, under Preiser and Balisok, is the same animal, regardless of the grounds the detained person is advancing in it. In addition, other courts have reviewed carefully the legislative history of both the PLRA and AEDPA and have concluded that it supports a clear line between civil actions attacking conditions of confinement (subject to the PLRA) and habeas corpus petitions attacking the fact or duration of confinement (subject to the rules governing habeas corpus). See, e.g., Blair-Bey, 151 F.3d at 1040-41; Reyes v. Keane, supra, 90 F.3d at 678; Smith, 111 F.3d at 1130-31; Martin v. Bissonette, supra, 118 F.3d at 874. Finally, as the District of Columbia Circuit commented in Blair-Bey, “Treating one subset of habeas petitions as ‘civil actions’ for PLRA purposes would also have the effect of subjecting those
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
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
In so holding, we recognize that the regime governing certificates of appealability 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 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
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
B. Finfrock v. Hanks
In Finfrock‘s five cases, the fact that the
Easterbrook, Circuit Judge, with whom Posner, Chief Judge, and Manion, Circuit Judge, join, 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
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 quantitatively. When must prisoners pay to litigate? May
Part iii 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” (
Both of the panel‘s principal holdings are substantively questionable, for reasons that I now set out.
Part III holds that the
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
Part iii of the panel‘s opinion does not take the language of
To understand why Part iii 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
Part iii of the panel‘s opinion does not come to grips with the language of the
Part IV holds that state prisoners who want to appeal adverse decisions 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, slip op. 21, that “it is now well established that the ca requirement does not apply to appeals in
If textualist interpretive methods are essential, as Part iv proclaims, then what happened in Part iii? Petitions for habeas corpus “are technically civil proceedings and so come within the literal scope of the Act.” Martin, 96 F.3d at 855, echoed at slip op. 18. A textual approach, consistently applied, would require us to overrule Martin, not Newlin, and to include all collateral attacks within the plra‘s scope. Why give a pragmatic reading to the plra in Part iii, then switch to textualism in Part iv? Not for pragmatic reasons; the approaches yield diametrically opposed answers to a functionally identical question.
Part iv is at war with Part ii.b of the panel‘s opinion as well as with Part iii. 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 ii.b has it right. Finfrock‘s detention “arises out of process issued by a State court“. He has been convicted; his conviction and sentence are essential to his custody. Revocation of good-time credits does not extend a prisoner‘s sentence; instead this decision (like the denial or revocation of parole, or demotion to a lower credit-earning class) requires the prisoner to serve more of the original sentence. But the detention has been authorized by (that is, arises out of) the conviction and sentence (that is, process issued by a state court). Section
Any reading of
There isn‘t any uniform, or uniformly happy, solution to coverage issues under the
