Christy v. Horn , 115 F.3d 201 ( 1997 )


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  •                                                                                                                            Opinions of the United
    1997 Decisions                                                                                                             States Court of Appeals
    for the Third Circuit
    6-5-1997
    Christy v. Horn
    Precedential or Non-Precedential:
    Docket 96-9004
    Follow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_1997
    Recommended Citation
    "Christy v. Horn" (1997). 1997 Decisions. Paper 120.
    http://digitalcommons.law.villanova.edu/thirdcircuit_1997/120
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    Filed June 5, 1997
    UNITED STATES COURT OF APPEALS
    FOR THE THIRD CIRCUIT
    No. 96-9004
    LAWRENCE DUANE CHRISTY,
    Appellee
    v.
    MARTIN F. HORN, COMMISSIONER, PENNSYLVANIA
    DEPARTMENT OF CORRECTIONS; JAMES S. PRICE,
    SUPERINTENDENT, STATE CORRECTIONAL INSTITUTION
    AT GREEN; JOSEPH MAZURKIEWICZ,
    SUPERINTENDENT, STATE CORRECTIONAL INSTITUTION
    AT ROCKVIEW,
    Appellants
    ON APPEAL FROM THE
    UNITED STATES DISTRICT COURT
    FOR THE WESTERN DISTRICT OF PENNSYLVANIA
    (D.C. Civil No. 96-37J)
    Argued March 21, 1997
    Before: BECKER, NYGAARD and ROTH, Circuit Judges.
    (Opinion Filed June 5, 1997)
    Christian A. Fisanik, (Argued)
    Chief Deputy, Appellate Div.
    Office of the Cambria County
    District Attorney
    Ebensburg, Pa. 15931
    Counsel for the Appellants
    John Unkovic, Esq. (Argued)
    Reed Smith Shaw & McClay
    435 Sixth Avenue
    Pittsburgh, Pa. 15219
    W. Thomas McGough Jr., Esq.
    Reed Smith Shaw & McClay
    435 Sixth Avenue
    Pittsburgh, Pa. 15219
    Counsel for the Appellee
    David Wycoff, Esq.
    Defender Association of
    Philadelphia - Federal Court
    Division
    437 Chestnut Street, Suite 510
    Philadelphia, Pa. 19106
    Counsel for Amicus Curiae,
    Defender Association of
    Philadelphia - Federal Court Div.
    Robert Brett Dunham, Esq.
    Center for Legal Education,
    Advocacy & Defense Assistance
    437 Chestnut Street, Suite 501
    Philadelphia, Pa. 19106
    Billy H. Nolas, Esq.
    Center for Legal Education
    Advocacy & Defense Assistance
    437 Chestnut Street, Suite 501
    Philadelphia, Pa. 19106
    Counsel for Amicus Curiae,
    Center for Legal Education,
    Advocacy & Defense Assistance
    2
    OPINION OF THE COURT
    NYGAARD, Circuit Judge.
    The district court granted the Appellee, Lawrence Duane
    Christy, a stay of execution and held his federal habeas
    petition in abeyance pending exhaustion of a particular
    issue in state court. Arguing that the district court did not
    have the authority to hold the Appellee's habeas petition in
    abeyance, the Commonwealth of Pennsylvania has
    appealed.
    I.
    On February 15, 1996, the Governor of Pennsylvania
    signed a warrant scheduling the Appellee's execution for
    March 12, 1996. Christy asked the district court for
    permission to proceed in forma pauperis, for counsel to be
    appointed to assist him in preparing a habeas petition and
    for a stay of his scheduled execution. On February 21,
    1996, the district court appointed new counsel and gave
    them ninety days to file a habeas petition on Christy's
    behalf. The district court also stayed Christy's execution
    date. See 
    21 U.S.C. § 848
    (q)(4)(B); 
    28 U.S.C. § 2251
    ;
    McFarland v. Scott, 
    114 S. Ct. 2568
     (1994). Counsel filed
    Christy's habeas petition on April 17, 1996.
    The day before Christy's petition was filed, the United
    States Supreme Court announced its decision in Cooper v.
    Oklahoma, 
    116 S. Ct. 1373
     (1996). In Cooper, the Supreme
    Court held that a state violates a defendant's right to due
    process if it requires the defendant to bear the burden of
    establishing by clear and convincing evidence his
    incompetency to stand trial. 
    Id.
     Due no doubt to the
    diligence of counsel, Christy's habeas petition included a
    claim alleging that the Commonwealth of Pennsylvania
    violated his constitutional rights under Cooper.
    The Commonwealth of Pennsylvania answered Christy's
    petition on July 16, 1996, and asserted that Christy had
    failed to exhaust his state court remedies for the purported
    Cooper error. On August 9, 1996, Christy asked the district
    3
    court to hold his habeas petition in abeyance while he
    returned to state court to exhaust his Cooper claim. Over
    the opposition of the Commonwealth, the district court
    granted the abeyance motion and also kept the stay of
    execution in effect while Christy proceeded in state court.
    The Commonwealth now appeals. This case presents a
    number of important questions, not the least of which is
    whether we have jurisdiction to review this order in the first
    place.
    II.
    
    28 U.S.C. § 1291
     usually limits our appellate jurisdiction
    to reviewing final decisions of the district courts. Martin v.
    Brown, 
    63 F.3d 1252
    , 1256 (3d Cir. 1996). A judgment is
    final only when there is a "decision by the district court
    that ends the litigation on the merits and leaves nothing for
    the court to do but execute the judgment." Bryant v.
    Stevens, 
    57 F.3d 308
    , 311 (3d Cir. 1995); see also Isador
    Paiewonsky and Assoc. v. Sharp Properties Inc., 
    998 F.2d 145
    , 150 (3d Cir. 1993). In other words, a final order is one
    which leaves the district court with "nothing to do." See
    Farmer v. McDaniel, 
    98 F.3d 1548
    , 1552 (9th Cir. 1996).
    The dispositive inquiry is whether the order appealed from
    finally resolved the case below. See Presbytery of N.J.
    Orthodox Presbyterian Church v. Florio, 
    40 F.3d 1454
    , 1461
    (3d Cir. 1994).
    The order appealed from here is not a final order. The
    district court ordered that "adjudication of the petition for
    writ of habeas corpus shall be held in abeyance pending his
    exhaustion of state court remedies" and that "the stay of
    execution entered by this court on February 21, 1996 be
    and hereby is continued in effect until further order of this
    court." Clearly, this order does not resolve the habeas case.
    It is not dispositive of any issue raised in Christy's habeas
    petition. The district court expressly indicates the transient
    nature of the order by indicating it will only remain in effect
    until "further order of this court."
    The Commonwealth tacitly agrees that this is not a final
    order by arguing that we have jurisdiction pursuant to the
    "collateral order" doctrine first announced in Cohen v.
    4
    Beneficial Indus. Loan Co., 
    337 U.S. 541
    , 
    69 S. Ct. 1221
    (1949). In Cohen, the Supreme Court held that a "small
    class" of collateral orders are final and appealable under 
    28 U.S.C. § 1291
     even though they do not terminate the
    underlying litigation. 
    337 U.S. at 546
    , 
    69 S. Ct. at 1225-26
    .
    The case law on the collateral order doctrine is extensive
    and its requirements are clear. We can review a collateral
    order that (1) finally resolves a disputed question; (2) raises
    an important issue distinct from the merits of the case; and
    (3) is effectively unreviewable on appeal from afinal
    judgment. Praxis Properties v. Colonial Sav. Bank SLA, 
    947 F.2d 49
    , 54 (3d Cir. 1991); see also In re Ford Motor
    Company, 
    1997 WL 164190
     (3d Cir. April 9, 1997). Failure
    to meet any of these requirements precludes a finding of
    appellate jurisdiction. United States v. Bertoli, 
    994 F.2d 1002
    , 1012 (3d Cir. 1993).
    The Supreme Court has repeatedly referred to the
    collateral order doctrine as a "narrow exception" to the final
    judgment rule. See, e.g., Richardson-Merrell Inc. v. Koller,
    
    472 U.S. 424
    , 430, 
    105 S. Ct. 2757
    , 2760-61 (1985). We
    have followed this admonition and construed the doctrine
    narrowly "lest the exception swallow up the salutary
    general rule that only final orders be appealed." Yakowicz
    v. Pennsylvania, 
    683 F.2d 778
     n.10 (3d Cir. 1982); see also
    Transtech Indus., Inc. v. A&Z Septic Clean, 
    5 F.3d 57
     (3d
    Cir. 1993) ("We have followed the Supreme Court's
    admonition and have consistently construed the Cohen
    exception narrowly rather than expansively.").
    Moreover, strict construction of the collateral order
    doctrine is designed to further the longstanding
    congressional policy against piecemeal appeals which
    underlies the final judgment rule. See Lusardi v. Xerox
    Corp., 
    747 F.2d 174
    , 177 (3d Cir. 1984).1 To guard against
    the temptation to expand the doctrine's reach, the Supreme
    _________________________________________________________________
    1. In Lusardi, we stated that the final judgment rule serves a number of
    purposes including the efficient administration of scarce judicial
    resources, maintenance of the appropriate relationship between the trial
    and appellate courts, and the protection of the judicial process and its
    participants from the delay which can prove advantageous to a well-
    financed litigant. 
    747 F.2d at 177
     (citations omitted).
    5
    Court has instructed that the question of whether or not an
    order is immediately appealable should be decided for the
    entire category to which the order in question belongs.
    Digital Equip. Corp. v. Desktop Direct Inc., 
    511 U.S. 853
    ,
    855, 
    114 S. Ct. 1992
    , 1994 (1994). Therefore, we now
    decide the question of whether an order which holds a
    habeas appeal in abeyance and stays an execution is
    immediately appealable.
    A. Conclusiveness
    To pass the first prong of the collateral order doctrine
    test, the order appealed from must "finally resolve a
    disputed question." Praxis Properties, 
    947 F.2d at 54
    . This
    inquiry has been labeled the "conclusiveness prong." 
    Id.
     In
    determining whether an order "conclusively determines the
    disputed questions," the Supreme Court has contrasted two
    types of orders: those which are "inherently tentative" and
    those which are "technically amendable, but made with the
    expectation that they will be the final word on the subject
    addressed." See Gulfstream Aerospace v. Mayacamas Corp.,
    
    485 U.S. 271
    , 277, 
    108 S. Ct. 1133
    , 1137 (1987).
    Although we are aware of no case that bears directly on
    the issue whether an order holding a habeas petition in
    abeyance is conclusive for purposes of the collateral order
    doctrine, we draw instruction from two Supreme Court
    cases addressing the question of whether an order granting
    a Colorado River stay2 is conclusive. In Moses H. Cone
    Mem'l. Hosp. v. Mercury Construction Corp., 
    460 U.S. 1
    , 
    103 S. Ct. 927
     (1983), the Supreme Court held that a district
    court order granting a Colorado River stay was expected to
    be the final word on the subject and thus satisfied the
    "conclusiveness" prong of Cohen. The Court reasoned that
    an order granting such a stay necessarily contemplated
    that the federal court will have nothing further to do in
    resolution of any substantive part of the case because a
    _________________________________________________________________
    2. In Colorado River Water Conservation Dist. v. United States, 
    424 U.S. 800
    , 
    96 S. Ct. 1236
     (1976), the Supreme Court held that in "exceptional
    circumstances," a federal district court may stay or dismiss an action
    solely because of the pendency of similar litigation in state court. 
    424 U.S. at 818
    , 
    96 S. Ct. at 1246
    .
    6
    district court can invoke Colorado River only if it first
    determines that the parallel state proceeding will be an
    adequate vehicle for the complete and prompt resolution of
    the issues between the parties. 
    460 U.S. at 28
    , 
    103 S. Ct. at 943
    . Thus, the Supreme Court concluded that such an
    order meant that the district court had no reason to
    reconsider its decision.
    In contrast to the Cone decision, the Supreme Court has
    held that an order denying a Colorado River stay is
    "inherently tentative." In Gulfstream Aerospace, the Court
    explained that a district court usually will revisit and
    reassess an order denying a Colorado River stay in light of
    subsequent events that occur during the course of the
    litigation. 485 U.S. at 278, 108 S. Ct. at 1137-38 (citations
    omitted). If an order is not entered "with the expectation
    that it will be the final word on the subject addressed," it
    is not immediately appealable. Id. We believe that the order
    appealed from here is more akin to type of order appealed
    from in the Cone case. The reasoning of Cone and
    Gulfstream Aerospace is helpful here, at least by analogy.
    The determination in those cases of conclusiveness of the
    stay order effectively turned on whether a "revision [of the
    order] might reasonably be expected in the ordinary course
    of the litigation." Cone, 
    460 U.S. at
    12 n.14, 
    103 S. Ct. at
    935 n. 14.
    At all events, the issue before us on appeal is a discrete
    legal question -- whether the district court may properly
    hold a habeas appeal in abeyance while a petitioner
    exhausts certain claims in state court. The order appealed
    from herein resolves that question in the affirmative.
    Christy argues that the district court's order holding his
    habeas petition in abeyance and staying his execution was
    "inherently tentative." Christy reasons that the district
    court's order was not made with the expectation that it will
    be the final word on the subject addressed. Christy
    misconstrues the first prong of Cohen. Although the district
    court's order may not have been the final word on the
    merits of the habeas petition, it did conclusively determine
    the discreet legal question that is the subject of this appeal.
    See Praxis Properties, 
    947 F.2d at 56
    . Having determined
    that it may exercise such authority over an unexhausted
    7
    habeas petition, we cannot perceive of any circumstances
    in which the district court would revisit the question.
    Because the district court undoubtedly expected that its
    order would resolve the question of whether it may hold an
    unexhausted habeas petition in abeyance, we conclude that
    the "conclusiveness prong" of the collateral order is
    satisfied.
    B. Importance/Separateness
    The Commonwealth maintains that the district court's
    order holding Christy's habeas petition in abeyance
    "resolves an important issue completely separate from the
    merits of the action." Christy submits that the order
    appealed from merely deferred resolution of the petition and
    did not resolve any important issue. The Supreme Court
    has instructed that the "importance of the right asserted
    has always been a significant part of [the] collateral order
    doctrine." Lauro Lines S.R.L. v. Chasser, 
    490 U.S. 495
    , 504,
    
    109 S. Ct. 1976
    , 1980 (1989). Therefore, we must assure
    ourselves that the issue presented herein is important
    enough to merit immediate appeal. See Praxis Properties,
    
    947 F.2d at 56
    .
    We have held that the "importance/separateness prong"
    of Cohen contemplates orders that are important in a
    jurisprudential sense. See Praxis Properties, 
    947 F.2d at
    56
    (citing Nemours Found. v. Manganaro Corp., 
    878 F.2d 98
    ,
    100 (3d Cir. 1989)). The question whether a district court
    may hold an unexhausted habeas petition in abeyance
    pending resolution in state court of certain claims remains
    unsettled. While some of our district courts have found
    such authority, See Beasley v. Fulcomer, No. 90-4711, 
    1991 U.S. Dist. LEXIS 5408
     (E.D. Pa. Apr. 22, 1991); Edwards v.
    Horn, No. 1:CV-95-1876 (M.D. Pa. Feb. 21, 1996), Szuchon
    v. Lehman, No. 94-195E (W.D. Pa. Feb. 6, 1995), another
    circuit has determined that district courts lack the
    authority to hold such petitions in abeyance, Victor v.
    Hopkins, 
    90 F.3d 276
     (8th Cir. 1996). Given the important
    nature of capital habeas cases in general, we conclude that
    this appeal presents an issue that is "important enough in
    a jurisprudential sense to require an immediate
    8
    interlocutory appeal." Nemours Foundation, 
    878 F.2d at 101
    .
    In addition to determining whether this appeal presents
    an "important" issue, we also must decide whether the
    order appealed from is separate from the merits of the
    underlying action. This "separateness" requirement derives
    from the policy against piecemeal appeals. Cone, 
    460 U.S. at
    12 n.13, 
    103 S. Ct. at
    945 n.13 (citations omitted). We
    do not believe that the order appealed from here involves
    "considerations that are enmeshed in the factual and legal
    issues comprising the [petitioner's] cause of action."
    Coopers and Lybrand v. Livesay, 
    437 U.S. 463
    , 469, 
    98 S. Ct. 2454
    , 2458 (1978). The order appealed from and the
    precise legal issue it presents will not thrust us into the
    merits of the underlying habeas petition. Here, we are
    asked only to determine the propriety of a district court
    order which keeps an unexhausted habeas petition in
    abeyance while the petitioner returns to state court to
    exhaust certain claims. Such a determination is sufficiently
    ancillary to the underlying action that we need not become
    "enmeshed" in the merits of the dispute. We therefore
    conclude that the order appealed from satisfies the
    "separateness prong" of the collateral order doctrine.
    C. Unreviewability
    Last, to be appealable under the collateral order doctrine,
    an order must be such that review postponed will
    ultimately be review denied. See Praxis Properties, 
    947 F. 2d at 58
    ; Zosky v. Boyer, 
    856 F.2d 554
    , 561 (3d Cir. 1988).
    An order is effectively unreviewable if the order involves "an
    asserted right the legal and practical value of which would
    be destroyed if it were not vindicated before trial." Lauro
    Lines, 
    490 U.S. at 499
    , 
    109 S. Ct. at 1978
     (citations
    omitted). The Commonwealth argues that by permitting the
    petitioner to return to state court and exhaust particular
    issues, the order effectively destroys any appellate review of
    its appropriateness. We agree. If we do not review the
    matter at this juncture, the Petitioner will have returned to
    state court and exhausted his claims, thereby presenting
    the district court with an exhausted habeas petition and
    rendering the appropriateness of the district court's stay
    9
    and abeyance ruling unreviewable. We therefore find that
    the district court's order holding the habeas petition in
    abeyance is "effectively unreviewable" on appeal from a final
    judgment in this case.
    In summary, we find that the district court's order
    holding Christy's habeas petition in abeyance pending
    exhaustion of state court remedies satisfies all the
    requirements of the collateral order doctrine and, as such,
    is an appealable order within the meaning of 
    28 U.S.C. § 1291
    . Having determined that we have the requisite
    jurisdiction, we now turn to the merits of this appeal. Our
    review is plenary. Toulson v. Beyer, 
    987 F.2d 984
    , 986 (3d
    Cir. 1993).
    III.
    
    28 U.S.C. § 2254
     instructs a federal court to refuse a
    state prisoner's habeas petition unless "it appears that the
    applicant has exhausted the remedies available in the
    courts of the State." 
    28 U.S.C. § 2254
    (b) (1988). This
    "exhaustion requirement" is primarily grounded in the
    "respect which federal courts have for the state judicial
    processes and upon the administrative necessities of the
    federal judiciary." Wade v. Mayo, 
    334 U.S. 672
    , 679, 
    68 S. Ct. 1270
    , 1274 (1948). In Rose v. Lundy, 
    455 U.S. 509
    , 
    102 S. Ct. 1198
     (1982), the Supreme Court applied these
    principles to a case which involved a "mixed" habeas
    petition -- a petition which contained both exhausted and
    unexhausted claims. The Court held that "because the rule
    requiring exhaustion of all claims furthers the purposes
    underlying the habeas statute . . . a district court must
    dismiss such ``mixed petitions.' " 
    Id. at 510
    , 
    102 S. Ct. at 1199
    . The Court clearly warned habeas litigants: "[B]efore
    bringing any claims to federal court, be sure to first take
    each issue to the state court." 
    Id. at 520
    , 
    102 S. Ct. at 1204
    . However, this "total exhaustion" rule is not an
    inflexible barrier to federal court jurisdiction, but a rule of
    comity. Strickland v. Washington, 
    466 U.S. 468
    , 684, 
    104 S. Ct. 2052
    , 2063 (1984). The Supreme Court has indicated
    that, although there is a strong presumption in favor of
    exhaustion, there are also "limited circumstances under
    which the failure [to exhaust] will not act as a complete bar
    10
    to federal habeas review." Pillette v. Foltz, 
    824 F.2d 494
    ,
    496 (6th Cir. 1987) (citing Granberry v. Greer, 
    481 U.S. 129
    , 
    107 S. Ct. 1671
     (1987)). We recognize that in rare
    cases exceptional circumstances of peculiar urgency may
    exist which permit a federal court to entertain an
    unexhausted claim. See Victor v. Hopkins, 
    90 F.3d 276
    , 279
    (8th Cir. 1996) (quoting Ex parte Royall, 
    115 U.S. 241
    , 252,
    
    6 S. Ct. 734
    , 740-41 (1886)); Ex parte Hawk, 
    321 U.S. 114
    ,
    117, 
    64 S. Ct. 448
    , 451 (1944). The Supreme Court has
    instructed that federal courts are to "exercise discretion in
    each [habeas] case to decide whether the administration of
    justice would be better served by insisting on exhaustion or
    by reaching the merits of the petition forthwith." Granberry,
    
    481 U.S. at 131
    , 
    107 S. Ct. at 1673
    . Such circumstances
    exist when, for example, state remedies are inadequate or
    fail to afford a full and fair adjudication of the federal
    contentions raised, or where exhaustion in state court
    would be "futile." Id.; see also Slayton v. Smith, 
    404 U.S. 53
    , 
    92 S. Ct. 174
     (1971) (absent special circumstances,
    federal courts should dismiss habeas petitions which
    contain unexhausted claims).
    Christy and Amici argue that such "unusual
    circumstances" exist where the dismissal of a mixed
    petition creates a risk that the petitioner will be executed
    before his or her federal claims can be litigated in federal
    court. They submit that should his petition be dismissed,
    Christy will be without the protection of a federal stay and
    available to the Commonwealth for execution. We partly
    agree and would never knowingly permit Christy's
    execution while his federal constitutional claims are still
    being litigated. We caution, however, that the mere risk
    that Pennsylvania courts will not stay the execution cannot
    amount to an "unusual circumstance." The appropriate
    inquiry must be whether an execution is "imminent." In
    this case, Christy's original execution was scheduled for
    March 12, 1996. On February 21, 1996, the district court
    granted Christy a stay and gave newly appointed counsel
    ninety days to prepare and file a habeas petition. When
    Christy filed his habeas petition on April 18, 1996, his
    execution date had lapsed. His execution was no longer
    imminent because the original execution warrant had
    expired and no new warrant was ever issued. Pennsylvania
    11
    law requires the reissuance of the warrant upon vacation of
    the federal stay and also permits the Pennsylvania courts to
    grant another stay for post-conviction purposes upon a
    finding that "the petitioner makes a strong showing of
    likelihood of success on the merits." 42 Pa.C.S.A.
    § 9545(c)(2). Moreover, in this case, the Office of the
    General Counsel to the Governor of Pennsylvania has
    assured us via letter submitted March 19, 1997, that
    Christy will not be executed during the pendency of this
    new round of post-conviction proceedings. Syndi L. Guido,
    Deputy General Counsel to the Governor, indicated that
    "warrants are not signed while litigation is pending or
    during any unexpired appeal period."
    To excuse exhaustion and grant a stay and abeyance
    motion, the proper inquiry must be whether an execution is
    "imminent." In deciding whether to grant a "stay and
    abeyance" motion or whether to review a mixed petition,
    district courts must focus not on the risk but on the
    actuality that state courts will refuse to stay an execution
    while federal claims are pending. If a state court has
    refused to grant a stay pending its adjudication of a
    prisoner's federal constitutional claims, such action by the
    district court would be appropriate.
    We do not think Christy has demonstrated the
    "imminent" nature of his execution. Neither side has
    presented us with any evidence that the Commonwealth
    would countenance the execution of a prisoner in Christy's
    circumstances. Therefore, Christy has not demonstrated
    "one of those rare cases where exceptional circumstances of
    peculiar urgency are shown to exist," permitting us to
    disregard the exhaustion requirement. See United States ex
    rel. Kennedy v. Tyler, 
    269 U.S. 13
    , 17 (1925).3
    _________________________________________________________________
    3. We point out that the Commonwealth may waive exhaustion of the
    Cooper claim, thereby permitting the district court to review the petition
    as filed. The district court is not required, however, to accept a waiver
    and may require state court exhaustion. See Thompson v. Wainwright,
    
    714 F.2d 1495
    , 1500-01 (11th Cir. 1983); Graham v. Johnson, 
    94 F.3d 958
    , 970 (5th Cir. 1990).
    12
    IV.
    Because execution is no longer imminent in this case, we
    will remand to the district court with instructions to
    dismiss. The district court's dismissal raises a question of
    whether any subsequent habeas filings on Christy's behalf
    will be considered "successive" and whether, pursuant to
    the dictates of the Antiterrorism and Effective Death
    Penalty Act of 1996, Pub.L. No. 104-132, Title I, § 106, 
    110 Stat. 1214
    , 1220-21 (1996) [hereinafter "AEDPA"], Christy
    would be required to seek authorization from the court to
    file a petition for habeas corpus. We hold that when a prior
    petition has been dismissed without prejudice for failure to
    exhaust state remedies, no such authorization is necessary
    and the petitioner may file his petition in the district court
    as if it were the first such filing.
    Section 6 of the AEDPA amends 
    28 U.S.C. § 2244
     to
    forbid any "second or successive" petition for collateral
    relief without the consent of the court of appeals. 
    28 U.S.C. § 2244
    (b)(3)(E). The AEDPA instructs courts of appeals to
    grant this authorization only if the applicant makes a prima
    facie showing that the application satisfies the
    requirements for second or successive applications. 
    28 U.S.C. § 2244
    (b)(3)(C). While the AEDPA requires this
    procedure for second or successive application, it does not
    define what is meant by "second" or "successive."
    Before the AEDPA amendments took effect, a petition
    filed after a previously submitted petition was dismissed
    without prejudice was not considered an abuse of the writ.
    See e.g. Woods v. Whitley, 
    933 F.2d 321
    , 322 n.1 (5th Cir.
    1991); Hamilton v. Vasquez, 
    882 F.2d 1469
    , 1473 (9th Cir.
    1989); Jones v. Estelle, 
    722 F.2d 159
    , 168 (5th Cir. 1983);
    Camarano v. Irvin, 
    98 F.3d 44
    , 46 (2d Cir. 1996). The abuse
    of the writ doctrine is deeply rooted in the need for finality
    and the concerns of comity. See McCleskey v. Zant, 
    499 U.S. 467
    , 491-92, 
    111 S. Ct. 1454
    , 1469 (1991). The
    problems that the abuse of the writ doctrine seeks to avoid
    are not implicated when a petition is filed after a prior
    petition is dismissed for lack of exhaustion. See Sanders v.
    United States, 
    373 U.S. 1
    , 17, 
    83 S. Ct. 1068
    , 1078 (1963)
    (holding that the doctrine of writ abuse is not implicated if
    "the same ground was earlier presented but not adjudicated
    13
    on the merits"). Moreover, as one court has observed,
    "dismissal without prejudice of an entire petition --
    including exhausted claims -- for failure to exhaust certain
    claims promotes the policies underlying the doctrine."
    Camarano, 
    98 F.3d at 46
    . Such a dismissal serves the
    interests of finality by discouraging piecemeal litigation. 
    Id.
    Additionally, encouraging exhaustion promotes harmony
    between the federal and state judicial systems by giving the
    state courts the first opportunity to review state convictions
    and to correct constitutional errors.
    V.
    We will vacate and remanded to the district court with
    instructions for it to dismiss the petition.
    A True Copy:
    Teste:
    Clerk of the United States Court of Appeals
    for the Third Circuit
    14
    

Document Info

Docket Number: 96-9004

Citation Numbers: 115 F.3d 201, 1997 WL 296402

Judges: Becker, Nygaard, Roth

Filed Date: 6/5/1997

Precedential Status: Precedential

Modified Date: 11/4/2024

Authorities (30)

Ex Parte Hawk , 64 S. Ct. 448 ( 1944 )

Ex Parte Royall , 6 S. Ct. 734 ( 1886 )

Slayton v. Smith , 92 S. Ct. 174 ( 1971 )

Granberry v. Greer , 107 S. Ct. 1671 ( 1987 )

McCleskey v. Zant , 111 S. Ct. 1454 ( 1991 )

Digital Equipment Corp. v. Desktop Direct, Inc. , 114 S. Ct. 1992 ( 1994 )

troy-toulson-v-howard-l-beyer-robert-j-del-tufo-the-attorney-general-of , 987 F.2d 984 ( 1993 )

Dorothy Zosky v. Daniel Boyer and Boenning and Scattergood , 856 F.2d 554 ( 1988 )

The Nemours Foundation v. Manganaro Corporation, New England , 878 F.2d 98 ( 1989 )

Bernard Lee Hamilton v. Dan Vasquez, Warden of San Quentin ... , 882 F.2d 1469 ( 1989 )

United States v. Richard O. Bertoli Podvey, Sachs, Meanor, ... , 994 F.2d 1002 ( 1993 )

Robert Camarano v. Frank Irvin, Superintendent, Wende ... , 98 F.3d 44 ( 1996 )

29-fair-emplpraccas-1663-29-empl-prac-dec-p-32924-yakowicz-marion , 683 F.2d 778 ( 1982 )

andre-m-bryant-fathers-and-childrens-equality-inc-v-esther-r , 57 F.3d 308 ( 1995 )

Cooper v. Oklahoma , 116 S. Ct. 1373 ( 1996 )

William Lee Thompson v. Louie L. Wainwright , 714 F.2d 1495 ( 1983 )

Charles E. Pillette v. Dale Foltz & Frank Kelley , 824 F.2d 494 ( 1987 )

Joseph Woods v. John P. Whitley, Warden , 933 F.2d 321 ( 1991 )

Clarence Victor v. Frank X. Hopkins , 90 F.3d 276 ( 1996 )

lusardi-jules-walter-n-hill-james-marr-jr-and-john-f-weiss , 747 F.2d 174 ( 1984 )

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