HOHN v. UNITED STATES
No. 96-8986
Supreme Court of the United States
Argued March 3, 1998—Decided June 15, 1998
524 U.S. 236
Eileen Penner argued the cause for petitioner. With her on the briefs was Alan Untereiner.
Matthew D. Roberts argued the cause for the United States. With him on the briefs were Solicitor General Waxman, Acting Assistant Attorney General Keeney, and Deputy Solicitor General Dreeben.
Jeffrey S. Sutton, by invitation of the Court, 522 U. S. 944, argued the cause and filed a brief as amicus curiae.*
JUSTICE KENNEDY delivered the opinion of the Court.
We granted certiorari to determine whether the Court has jurisdiction to review decisions of the courts of appeals deny-
I
In 1992, petitioner Arnold Hohn was charged with a number of drug-related offenses, including the use or carrying of a firearm during and in relation to a drug trafficking offense,
Two years after Hohn‘s conviction became final, we held the term “use” in
While Hohn‘s motion was pending before the District Court, Congress enacted the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), 110 Stat. 1214. Section 102 of AEDPA amends the statutory provision which had required state prisoners to obtain a certificate of probable cause before appealing the denial of a habeas petition. The amended provision provides:
“Unless a circuit justice or judge issues a certificate of appealability, an appeal may not be taken to the court of appeals from—
(A) the final order in a habeas corpus proceeding in which the detention complained of arises out of process issued by a State court; or “(B) the final order in a proceeding under section 2255.”
28 U. S. C. § 2253(c)(1) (1994 ed., Supp. II).
Certificates of appealability may issue “only if the applicant has made a substantial showing of the denial of a constitutional right.”
Hohn filed a notice of appeal on July 29, 1996, three months after AEDPA‘s enactment. The Court of Appeals treated the notice of appeal as an application for a certificate of appealability and referred it to a three-judge panel. The panel decided Hohn‘s application did not meet the standard for a
Judge McMillian dissented. In his view, Bailey cast doubt on whether Hohn‘s conduct in fact violated
Hohn petitioned this Court for a writ of certiorari to review the denial of the certificate, seeking to invoke our jurisdiction under
II
“Cases in the courts of appeals may be reviewed by the Supreme Court by the following methods:
“(1) By writ of certiorari granted upon the petition of any party to any civil or criminal case, before or after rendition of judgment or decree.”
The first phrase of the quoted statute confines our jurisdiction to “[c]ases in” the courts of appeals. Nixon v. Fitzgerald, 457 U. S. 731, 741-742 (1982). The question is whether an application for a certificate meets the description.
There can be little doubt that Hohn‘s application for a certificate of appealability constitutes a case under
The course of events here illustrates the point. The application moved through the Eighth Circuit in the same manner as cases in general do. The matter was entered on the docket of the Court of Appeals, submitted to a panel, and decided in a published opinion, including a dissent. App. 4-5. The court entered judgment on it, issued a mandate, and entertained a petition for rehearing and suggestion for rehearing en banc. Id., at 5-6. The Eighth Circuit has since acknowledged its rejection of Hohn‘s application made Circuit law. United States v. Apker, 101 F. 3d 75 (CA8 1996), cert. pending, No. 97-5460. One judge specifically indicated he was bound by the decision even though he believed it was wrongly decided. 101 F. 3d, at 75-76 (Henley, J., concurring in result). These factors suggest Hohn‘s certificate application was as much a case in the Court of Appeals as are the other matters decided by it.
We also draw guidance from the fact that every Court of Appeals except the Court of Appeals for the District of Columbia Circuit has adopted Rules to govern the disposition of certificate applications. E. g., Rules 22, 22.1 (CA1 1998); Rules 22, 27(b) and (f) (CA2 1998); Rules 3.4, 22.1, 111.3(b) and (c), 111.4(a) and (b)(vii) (CA3 1998); Rules 22(a) and (b)(3)(g), 34(b) (CA4 1998); Rules 8.1(g), 8.6, 8.10, 22, 27.2.3 (CA5 1998); Rules 28(f), (g), and (j) (CA6 1998); Rules 22(a)(2), (h)(2), and (h)(3)(i), 22.1 (CA7 1998); Rules 22A(d), 27B(b)(2) and (c)(2) (CA8 1998); Rules 3-1(b), 22-2, 22-3(a)(3) and (b)(4), 22-4(c), 22-5(c), (d)(1), (d)(3), and (e) (CA9 1998); Rules 11.2(b), 22.1, 22.2.3 (CA10 1998); Rules 22-1, 22-3(a)(3), (a)(4), (a)(6), and (a)(7), and (b), 27-1(d)(3) (CA11 1998). We also note the Internal Operating Procedures for the Court of Appeals for the Eighth Circuit require certificate applications to be heard as a general matter by three-judge administrative panels. Internal Operating Procedures, pt. I.D.3 (1998); see also Interim Processing Guidelines for Certifi-
It is true the President appoints “circuit judges for the several circuits,”
The Federal Rules of Appellate Procedure make specific provision for consideration of applications for certificates of appealability by the entire court.
“In a habeas corpus proceeding in which the detention complained of arises out of process issued by a State court, an appeal by the applicant for the writ may not proceed unless a district or a circuit judge issues a certificate of appealability pursuant to section 2253(c) of title 28, United States Code. . . . If the district judge has denied the certificate, the applicant for the writ may then request issuance of the certificate by a circuit
judge. If such a request is addressed to the court of appeals, it shall be deemed addressed to the judges thereof and shall be considered by a circuit judge or judges as the court deems appropriate. If no express request for a certificate is filed, the notice of appeal shall be deemed to constitute a request addressed to the judges of the court of appeals.”
On its face, the Rule applies only to state, and not federal, prisoners. It is nonetheless instructive on the proper construction of
Our conclusion is further confirmed by
“In addition to the authority expressly conferred by these rules or by law, a single judge of a court of appeals may entertain and may grant or deny any request for relief which under these rules may properly be sought by motion, except that a single judge may not dismiss or otherwise determine an appeal or other proceeding, and except that a court of appeals may provide by order or rule that any motion or class of motions must be acted upon by the court. The action of a single judge may be reviewed by the court.”
As the Rule makes clear, even when individual judges are authorized under the Rules to entertain certain requests for relief, the court may review their decisions. The Eighth Circuit‘s Rules are even more explicit, specifically listing grants of certificates of probable cause by an individual judge as one of the decisions subject to revision by the court under
Some early cases from this Court acknowledged a distinction between acting in an administrative and a judicial capacity. When judges perform administrative functions, their decisions are not subject to our review. United States v. Ferreira, 13 How. 40, 51-52 (1852); see also Gordon v. United States, 117 U. S. Appx. 697, 702, 704 (1864). Those opinions were careful to say it was the nonjudicial character of the judges’ actions which deprived this Court of jurisdiction. Ferreira, supra, at 46-47 (tribunal not judicial when the proceedings were ex parte and did not involve the issuance of process, summoning of witnesses, or entry of a judgment); Gordon, supra, at 699, 702 (tribunal not judicial when it lacks power to enter and enforce judgments). Decisions regarding applications for certificates of appealability, in contrast, are judicial in nature. It is typical for both parties to enter appearances and to submit briefs at appropriate times and for the court of appeals to enter a judgment and to issue a mandate at the end of the proceedings, as happened here. App. 4-6. Construing the issuance of a certificate of appealability as an administrative function, moreover, would suggest an entity not wielding judicial power might review the
We further disagree with the contention, advanced by the dissent and by Court-appointed amicus, that a request to proceed before a court of appeals should be regarded as a threshold inquiry separate from the merits which, if denied, prevents the case from ever being in the court of appeals. Precedent forecloses this argument. In Ex parte Quirin, 317 U. S. 1 (1942), we confronted the analogous question whether a request for leave to file a petition for a writ of habeas corpus was a case in a district court for the purposes of the then-extant statute governing court of appeals review of district court decisions. See
We reached a similar conclusion in Nixon v. Fitzgerald. There President Nixon sought to appeal an interlocutory District Court order rejecting his claim of absolute immunity. The Court of Appeals summarily dismissed the appeal because, in its view, the order failed to present a “serious and unsettled question” of law sufficient to bring the case within the collateral order doctrine announced in Cohen v. Beneficial Industrial Loan Corp., 337 U. S. 541, 547 (1949). Because the Court of Appeals had dismissed for failure to
We have shown no doubts about our jurisdiction to review dismissals by the Courts of Appeals for failure to file a timely notice of appeal under
We have also held that
It would have made no difference had the Government declined to oppose Hohn‘s application for a certificate of appealability. In Scofield, we held that
The argument that this Court lacks jurisdiction under
Inclusion of a specific provision barring certiorari review of denials of motions to file second or successive applications is instructive for another reason. The requirements for cer-
Today‘s holding conforms our commonsense practice to the statutory scheme, making it unnecessary to invoke our extraordinary jurisdiction in routine cases, which present important and meritorious claims. The United States does not dispute that Hohn‘s claim has considerable merit and acknowledges that the trial court committed an error of constitutional magnitude. The only contested issue is whether the constitutional violation was a substantial one. Brief in Opposition 7-8. Were we to adopt the position advanced by the dissent, the only way we could consider his meritorious claim would be through the All Writs Act,
Our decision, we must acknowledge, is in direct conflict with the portion of our decision in House v. Mayo, 324 U. S. 42, 44 (1945) (per curiam), holding that we lack statutory certiorari jurisdiction to review refusals to issue certificates of probable cause. Given the number and frequency of the cases, and the difficulty of reconciling our practice with a requirement that only an extraordinary writ can be used to address them, we do not think stare decisis concerns require us to adhere to that decision. Its conclusion was erroneous, and it should not be followed.
Stare decisis is “the preferred course because it promotes the evenhanded, predictable, and consistent development of legal principles, fosters reliance on judicial decisions, and contributes to the actual and perceived integrity of the judicial process.” Payne v. Tennessee, 501 U. S. 808, 827 (1991). “Considerations of stare decisis have special force in the area of statutory interpretation, for here, unlike in the context of constitutional interpretation, the legislative power is implicated, and Congress remains free to alter what we have done.” Patterson v. McLean Credit Union, 491 U. S. 164, 172-173 (1989).
We have recognized, however, that stare decisis is a “principle of policy” rather than “an inexorable command.” Payne, supra, at 828. For example, we have felt less constrained to follow precedent where, as here, the opinion was rendered without full briefing or argument. Gray v. Mississippi, 481 U. S. 648, 651, n. 1 (1987) (questioning the precedential value of Davis v. Georgia, 429 U. S. 122 (1976) (per curiam)). The role of stare decisis, furthermore, is “somewhat reduced . . . in the case of a procedural rule . . . which does not serve as a guide to lawful behavior.” United States v. Gaudin, 515 U. S. 506, 521 (1995) (citing Payne, supra, at
This is not to say opinions passing on jurisdictional issues sub silentio may be said to have overruled an opinion addressing the issue directly. See, e. g., United States v. More, 3 Cranch 159, 172 (1805) (Marshall, C. J.). Our decisions re-
We hold this Court has jurisdiction under
It is so ordered.
JUSTICE SOUTER, concurring.
I would be content to decide this case on the authority of House v. Mayo, 324 U. S. 42 (1945) (per curiam), that common-law certiorari is available to review the denial of the certificate, leaving House‘s precarious future for another day when its precedential value might have to be faced squarely. But that course would command no more than a minority of one, and there is good reason to deny it even that support. House‘s holding on what may be “‘in’ the court of appeals,” id., at 44, was virtually unreasoned, and the Court correctly notes our subsequent practice of honoring this rule in the breach. Given the weakness of the precedent, the
JUSTICE SCALIA, with whom THE CHIEF JUSTICE, JUSTICE O‘CONNOR, and JUSTICE THOMAS join, dissenting.
Today’s opinion permits review where Congress, with unmistakable clarity, has denied it. To reach this result, the Court ignores the obvious intent of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA), Pub. L. 104-132, 110 Stat. 1214, distorts the meaning of our own jurisdictional statute,
I
This Court’s jurisdiction under
We have already squarely and explicitly endorsed this straightforward interpretation. In House v. Mayo, 324 U. S., at 44, involving the predecessors to
The Court concedes that House is squarely on point but opts to overrule it because its “conclusion was erroneous,” ante, at 251. The Court does not dispute that petitioner‘s
An application for a COA, standing alone, does not have the requisite qualities of a legal “case” under any known definition. It does not assert a grievance against anyone, does not seek remedy or redress for any legal injury, and does not even require a “party” on the other side. It is nothing more than a request for permission to seek review. Petitioner‘s grievance is with respondent for unlawful custody, and the remedy he seeks is release from that custody pursuant to
As is true with most erroneous theories, a logical and consistent application of the Court‘s reasoning yields strange results. If dispute over the propriety of granting a COA creates a “case,” the denial of a COA request that has been unopposed (or, better yet, has been supported by the Government) will be unreviewable, whereas denial of a request that is vigorously opposed will be reviewed—surely an upside-down result. And the “case” concerning the COA will subsist even when the
The Court‘s only response to these arguments is that they are foreclosed by our precedent, since we decided an analogous issue in Ex parte Quirin, 317 U. S. 1 (1942). Ante, at 246. (The Court displays no appreciation of the delicious irony involved in its insistence upon hewing to an allegedly analogous decision while overruling the case directly in point, House.) Quirin held that a petition for habeas corpus constituted the institution of a suit, and that it was not necessary for the writ to issue for the matter to be considered a case or controversy. 317 U. S., at 24. Quirin relied upon our decision in Ex parte Milligan, 4 Wall. 2, 110-113 (1866), which reasoned that a petition for habeas corpus is a suit because the petitioner seeks “‘that remedy which the law affords him‘” to recover his liberty. Id., at 113 (quoting Weston v. City Council of Charleston, 2 Pet. 449, 464 (1829)). Petitioner‘s request for
I have described above why House was entirely correct, but a few words are in order concerning the inappropriate-
The Court‘s next excuse is that House was decided without full briefing or argument. The sole precedent it cites for the proposition that this makes a difference is Gray v. Mississippi, 481 U. S. 648, 651, n. 1 (1987). Gray, however, did not deny stare decisis effect to an opinion rendered without full briefing and argument—it accorded stare decisis effect. Id., at 666-667. What the Court relies upon is the mere dictum, rendered in the course of this opinion (and dictum in a footnote, at that), that “summary action here does not have the
While there is scant reason for denying stare decisis effect to House, there is special reason for according it: the reliance of Congress upon an unrepudiated decision central to the procedural scheme it was creating. Section 102 of AEDPA continues a long tradition of provisions enacted by Congress that limit appellate review of petitions. In 1908, Congress required a certificate of probable cause in habeas corpus cases involving state prisoners before an appeal would lie to
At bottom, the only justification for the Court‘s holding—and the only one that prompts the concurrence to overrule House—is convenience: it “permits us to carry out our normal function” of appellate review. Ante, at 251. Our “normal” function of appellate review, however, is no more and no less than what Congress says it is.
II
Since I find no jurisdiction under
Petitioner (who filed a petition for a writ of certiorari under
Relief under the Act is also not “appropriate.” The only circumstance alleged by petitioner to justify relief is that the Eighth Circuit erroneously concluded that he failed to present a substantial constitutional question. There is nothing “exceptional” about this claim; it is in fact the same claim available to every petitioner when a COA is denied, and entertaining it would render application for this “extraordinary” writ utterly routine. Issuance of the writ is not “appropriate” for another reason as well: It would frustrate the purpose of AEDPA, which is to prevent review unless a COA is granted. “Where a statute specifically addresses the particular issue at hand, it is that authority, and not the All Writs Act, that is controlling. Although that Act empowers federal courts to fashion extraordinary remedies when the need arises, it does not authorize them to issue ad hoc writs whenever compliance with statutory procedures appears inconvenient or less appropriate.” Pennsylvania Bureau of Correction v. United States Marshals Service, 474 U. S. 34, 43 (1985).4
The purpose of AEDPA is not obscure. It was to eliminate the interminable delays in the execution of state and federal criminal sentences, and the shameful overloading of
