Williams v. Coyle

• Decision Date: 12 February 1999
• Docket Number: No. 98-3793,98-3793
• Citation: 167 F.3d 1036
• Parties: Lewis WILLIAMS, Jr., Petitioner-Appellant, v. Ralph COYLE, Warden, Respondent-Appellee.
• Court: U.S. Court of Appeals — Sixth Circuit

Page 1036

167 F.3d 1036

Lewis WILLIAMS, Jr., Petitioner-Appellant, v. Ralph COYLE, Warden, Respondent-Appellee.

No. 98-3793.

United States Court of Appeals, Sixth Circuit.

Argued Dec. 10, 1998.

Decided Feb. 12, 1999.

John B. Gibbons, Paul R. Donohue (argued), Cleveland, Ohio, for Petitioner-Appellant.

Michael L. Collyer (argued), Office of the Attorney General of Ohio, Cleveland, Ohio, for Respondent-Appellee.

Before: KENNEDY, SUHRHEINRICH, and MOORE, Circuit Judges.

MOORE, J., delivered the opinion of the court, in which SUHRHEINRICH, J., joined. KENNEDY, J. (pp. 1040-41), delivered a separate dissenting opinion.

ORDER

MOORE, Circuit Judge.

Petitioner-Appellant Lewis Williams, Jr. filed a motion asking this court to convert the certificate of appealability granted by the district court that denied his petition for a writ of habeas corpus into a certificate of probable cause. Williams contends that the Antiterrorism and Effective Death Penalty Act of 1996 (the "Act" or the "AEDPA") is inapplicable to his petition because he filed a notice of intent to file the petition and a motion for the appointment of counsel before the Act's effective date. We conclude, however, that a case is filed for the purposes of the AEDPA only when the petition for the writ is filed. Because his petition was filed after the Act's effective date, we deny Williams's motion.

I

In 1983 Lewis Williams, Jr. was convicted of aggravated murder by an Ohio court and was sentenced to death. On April 18, 1996, after exhausting his direct appeals and all avenues of state post-conviction relief, Williams filed with the district court a notice of intent to file a petition for a writ of habeas corpus and a motion for the appointment of counsel. On April 24, 1996 the Antiterrorism and Effective Death Penalty Act of 1996, Pub.L. No. 104-132, 110 Stat. 1214, became effective. On November 1, 1996 Williams filed his habeas corpus petition in the district court pursuant to 28 U.S.C. § 2254.

On April 2, 1998 the district court denied Williams's petition for the writ and refused to issue a certificate of appealability. On reconsideration the court held that the AEDPA applied to Williams's petition despite the fact that Williams had filed a notice of intent to file his petition and a motion for the appointment of counsel before the Act's effective date. The court amended the certificate of appealability, however, to permit an appeal to be taken regarding the applicability of the AEDPA. Williams filed a timely appeal and subsequently filed this motion to convert the certificate of appealability into a certificate of probable cause.

II

The statutory provisions that regulate federal habeas corpus proceedings were extensively amended by the AEDPA. In Lindh v. Murphy, 521 U.S. 320, 117 S.Ct. 2059, 138 L.Ed.2d 481 (1997), the Supreme Court determined that the amendments to chapter 153 of Title 28, which encompasses the provisions at issue in the present case, do not apply to "cases that were already pending when the Act was passed." Id. 117 S.Ct. at 2061. Today we decide that a habeas corpus case is not pending for the purposes of Lindh until the application for the writ is filed pursuant to 28 U.S.C. § 2242. ¹

In addition to revising chapter 153, which applies to all habeas corpus proceedings, the AEDPA added a new chapter 154, which applies to § 2254 proceedings in capital cases if the state holding the condemned prisoner has met certain conditions. ² See 28 U.S.C. § 2261. Section 107(c) of the AEDPA provides that "Chapter 154 ... shall apply to cases pending on or after the date of enactment of this Act." The Act included no corresponding provision expressly determining the temporal reach of the amendments to chapter 153. In Lindh the Court held that the implication of this disparity was "that the amendments to chapter 153 were assumed and meant to apply to the general run of habeas cases only when those cases had been filed after the date of the Act." Lindh, 117 S.Ct. at 2063. In discussing the temporal reach of these amendments, the Supreme Court interchangeably employed the terms "cases pending" and "cases filed," and the Court apparently equated these terms. See id. passim. ³ Because Lindh's application for the writ was filed before the effective date of the AEDPA, however, the Court did not consider what would constitute a pending or filed habeas corpus case, and no other Supreme Court or Sixth Circuit case has addressed this question.

In essence the Supreme Court concluded in Lindh that Congress has declared, by implication, that the amendments to the habeas corpus provisions in question shall not apply to cases that were filed or pending before the effective date of the AEDPA. Thus, the proper scope of this language presents a question of statutory interpretation, which we review de novo. See United States v. Haun, 124 F.3d 745, 747 (6th Cir.1997). In determining the meaning of a statutory provision, we look first to the language used, and we strive to give the words employed their ordinary meaning. See Moskal v. United States, 498 U.S. 103, 108, 111 S.Ct. 461, 112 L.Ed.2d 449 (1990).

In ordinary usage a case is pending when a complaint or petition is filed. See, e.g., BLACK'S LAW DICTIONARY 1134 (6th ed.1990). Under Federal Rule of Civil Procedure 3, "[a] civil action is commenced by filing a complaint with the court." The filing of an application for a writ of habeas corpus is analogous to the filing of a civil complaint, and the Federal Rules of Civil Procedure may be applied to habeas proceedings to the extent that those rules do not conflict with the specific rules governing § 2254 cases. See 28 U.S.C. § 2254, R. 11. The specific rules governing § 2254 cases require the applicant to file an application in the form of a petition for the writ in the district court, see § 2254, R. 2, 3, but they do not explicitly address the commencement of the proceedings. Accordingly, we conclude that Fed.R.Civ.P. 3 yields a presumption that a federal habeas corpus case is filed with the filing of an application for the writ.

This presumption is reinforced by the language of the habeas corpus provisions. Section 2254(e), for example, refers to "a proceeding instituted by an application for a writ of habeas corpus." Also, 28 U.S.C. § 1914(a) provides that the "district court shall require the parties instituting any civil action, suit or proceeding ... to pay a filing fee of $150, except that on application for a writ of habeas corpus the filing fee shall be $5." Both provisions equate the commencement of the habeas proceeding with filing of the application. Likewise, the rules governing § 2254 proceedings are triggered by the filing of an application. See § 2254, R. 1(a).

Several courts have relied on the Supreme Court's opinion in McFarland v. Scott, 512 U.S. 849, 114 S.Ct. 2568, 129 L.Ed.2d 666 (1994), in concluding that a habeas corpus case may be pending under Lindh before the application is filed. We believe that this reliance is misplaced. In McFarland the Court held that a motion for the appointment of counsel constitutes a post conviction proceeding for the purposes of 21 U.S.C. § 848(q)(4)(B). See McFarland, 512 U.S. at 856-57, 114 S.Ct. 2568. Section 848(q)(4)(B) provides for the appointment of counsel and the provision of necessary expert services for indigent defendants seeking to set aside a death sentence "[i]n any post conviction proceeding under section 2254 or 2255." The reading adopted was required, the Court concluded, to give effect to the clear intent of Congress to "establish[ ] a right to preapplication legal assistance for capital defendants in federal habeas corpus proceedings." McFarland, 512 U.S. at 855, 114 S.Ct. 2568.

The McFarland Court also held that a motion for the appointment of counsel was sufficient to enable a district court to stay an execution pursuant to 28 U.S.C. § 2251, which literally grants this power to a judge "before whom a habeas corpus proceeding is pending." See McFarland, 512 U.S. at 857-59, 114 S.Ct. 2568. The Court concluded that the district court must have the power "to enter a stay of execution where necessary to give effect to [the] statutory right" to appointed counsel. See id. at 859, 114 S.Ct. 2568. Thus, both holdings of McFarland appear to rest on the necessity of expanding the ordinary meaning of a "pending case" in order to give effect to clear congressional intent. By contrast, we perceive no compelling reason to depart from plain meaning in the present case. The problem the Court addressed in McFarland was of an ongoing nature and had nothing to do with the effective date of any statutory provision. In the present case, on the other hand, the defendant faces additional procedural hurdles post-AEDPA, but there is no ongoing rationale for stretching the "pending" period to reach prior to the actual filing of the application as there was in McFarland. Once all cases in which a petitioner initiated some habeas corpus-related legal action prior to the effective date of the AEDPA have been resolved, the point at which a § 2254 case is "filed" will become irrelevant.

There is, admittedly, certain language in McFarland that supports the extension of Lindh advanced by Williams. In determining the reach of § 2251, the Court reasoned:

The language of these two statutes indicates that the sections refer to the same proceeding. Section 848(q)(4)(B) expressly applies to "any post conviction proceeding under section 2254 or 2255"--the precise "habeas corpus proceeding[s]" that § 2251 involves. The terms "post conviction" and "habeas corpus" also are used interchangeably in legal parlance to refer to proceedings under §§ 2254 and 2255. We thus conclude that the two statutes must be read in pari materia to provide that once a capital defendant invokes his right to appointed counsel, a federal court also has jurisdiction under § 2251 to enter a stay of execution.

Id. at 858, 114 S.Ct. 2568....