United States Court of Appeals 

For the First Circuit 

No. 14-1894 

JAMES P. RIVA, II, 

Petitioner-Appellant, 

v. 

EDWARD FICCO, 

Respondent-Appellee. 

APPEAL FROM THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF MASSACHUSETTS 

[Hon. Mark L. Wolf, U.S. District Judge] 

Before 

Thompson, Kayatta, and Barron, 

Circuit Judges. 

 Rachel T. Rose, with whom Elizabeth Billowitz was on brief, 

for appellant. 

 Annette C. Benedetto, Assistant Attorney General, with whom 

Maura Healey, Attorney General, was on brief, for appellee. 

September 29, 2015 
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BARRON, Circuit Judge. James Riva II has filed a habeas 

petition in federal court that challenges his three-decades-old 

state murder conviction. The principal issue on appeal is whether 

the District Court erred in ruling that Riva had filed that 

petition too late, given the one-year limitations period that the 

Anti-Terrorism and Effective Death Penalty Act (AEDPA) establishes 

for filing federal habeas petitions that challenge state 

convictions. We conclude that the District Court did not err, and 

so we affirm the petition's denial. 

I. 

Riva's crime is an especially horrifying one. At about 

3:00 p.m. on April 10, 1980, Riva drove to his grandmother's house 

in Marshfield, Massachusetts and found her lying on a couch.1 She 

asked him to do some washing for her, and he did. He then retrieved 

from the cellar a gun and gold-painted bullets, which he had hidden 

in a gray-metal box. When Riva's grandmother saw the gun, she 

threw a glass at him. Riva shot her at least twice, stabbed her, 

carried her into her bedroom, poured dry gas over her, and set her 

on fire. Riva then left the house and drove to a nearby town to 

pick up his father. 

 1 We take the facts from the decision of the Massachusetts 

Appeals Court affirming Riva's conviction on direct review, see 

Commonwealth v. Riva, 469 N.E.2d 1307 (Mass. App. Ct. 1984) ("Riva 

I"), and from our prior opinion in this case, see Riva v. Ficco, 

615 F.3d 35 (1st Cir. 2010) ("Riva III"). 
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The police later recovered Riva's gray-metal box from 

Riva's grandmother's house. Riva made repeated efforts to retrieve 

the box from the police. At one point, Riva even struck a police 

officer while trying to recover the box. Police then arrested 

Riva and charged him with murder, arson, and assault and battery 

of a police officer. 

At trial, Riva argued that he was not guilty by reason 

of insanity. His mother testified at trial in support of that 

defense. She testified that when she visited Riva two months after 

the murder, he told her that "his brain was on fire, that he was 

sick, his stomach hurt," "that he had to talk to somebody," and 

"that the voices were really bad in his head." See Commonwealth 

v. Riva, 469 N.E.2d 1307, 1308 (Mass. App. Ct. 1984) ("Riva I"). 

The Massachusetts Appeals Court described other aspects of the 

mother's testimony about what Riva had said about why he had 

committed the crime as follows: 

[Riva] told her also that he had meditated suicide but 

the voice dissuaded him. Riva explained that the bullets 

"had to be painted gold because, if they weren't gold, 

they wouldn't find their mark." He went on to say, "I 

didn't stab her and didn't hit her on the head like they 

said I did, but I then drank her blood because, you know, 

I have to because that's what vampires do," and then, 

after an interval, "I didn't want it to happen, and I 

kept telling the voice all day that I couldn't do it." 

Id. at 1309 n.4. 

 In further support of Riva's insanity defense, the 

mother also testified about distressing behavior that Riva had 
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exhibited over the course of his life. The Massachusetts Appeals 

Court described this portion of the mother's testimony as follows: 

At four, he had an altercation with his father and tried 

to call the police and, when that was prevented, 

attempted to injure his father. When hospitalized with 

pneumonia and later in kindergarten, he drew pictures of 

bleeding human anatomies and of people being shot. At 

thirteen he started drawing pictures of vampires and of 

women with puncture wounds dripping blood. He 

periodically began eating food with the appearance of 

blood (mixtures of oil, ketchup, parts of animals). He 

would go long periods without sleep and would run away. 

His school attendance suffered and he became involved 

with the police. In 1974 he was committed to McLean 

Hospital (a psychiatric hospital) for six months. After 

release, he continued out-patient treatment and also his 

earlier strange conduct. He was committed to a Westwood 

hospital because of threats to kill his father. He 

engaged in strange conversations with his mother and 

referred to "voices from outer space . . . [that] would 

be directing his body." He left an apartment to which 

he had moved, and disappeared for four months. He turned 

up in Florida. After his return, he killed a cat, cut 

off its head, and took out its brain, in an effort to 

learn how to "fix his own" brain. He told his mother 

that he had drunk the cat's blood. 

Id. at 1309 n.5. 

 To rebut the insanity defense, the Commonwealth put on 

a psychiatrist who testified that, at the time of the killing, 

Riva was capable of conforming his behavior to the law. The 

Commonwealth's expert based that conclusion on his assessment of 

Riva's conduct on the day of the murder and on his review of the 

taped interview that the police conducted with Riva soon after the 

murder. 
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The trial lasted seven days. The jury rejected Riva's 

insanity defense and convicted him of second-degree murder, arson, 

and assault and battery of a police officer. Riva received a 

sentence of life in prison. 

Soon after sentencing, the Commonwealth committed Riva 

to Bridgewater State Hospital, a psychiatric institution for 

inmates. Riva remained there until January 1989, when he was 

returned to the general prison population. In September 1990, 

however, Riva assaulted a prison officer while Riva was under the 

paranoid delusion that the officer had been draining fluid from 

Riva's spine. Riva was charged with assault, found not guilty by 

reason of insanity, and sent back to Bridgewater. But in August 

1999, Riva again returned to the general prison population. 

 While institutionalized at Bridgewater, Riva made 

numerous unsuccessful attempts to obtain relief from his 

conviction. He filed four motions for a new trial in state court, 

two with the aid of counsel, and two on his own or, to use the 

legal term, pro se. Riva filed those motions in 1982, 1987, 1995, 

and 1999. Riva also filed two motions in state court to revise or 

revoke his sentence. He filed the first with the aid of counsel 

in 1982, and the second pro se in 1993. Finally, Riva filed three 

federal habeas petitions, in 1987, 1996, and 1998, only the last 

of which he filed with the assistance of counsel. 
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 Then, in 2001, Riva filed the federal habeas petition 

that is now before us. The AEDPA establishes a one-year 

limitations period for such filings. Ordinarily, the limitations 

period begins to run when a petitioner's conviction becomes final. 

But Riva's conviction became final in 1985. That was more than 

twenty years before Congress had even passed the AEDPA. Thus, in 

Riva's case, the one-year limitations period began running on April 

24, 1996, as that was the day that the AEDPA became effective. 

See Delaney v. Matesanz, 264 F.3d 7, 10-11 (1st Cir. 2001) 

(explaining that courts have interpreted the AEDPA to allow a oneyear grace period within which state prisoners may file federal 

habeas petitions to challenge convictions that became final before 

the AEDPA's effective date). 

 Even though Riva filed his habeas petition four years 

after the AEDPA limitations period expired on April 24, 1997, he 

argued to the District Court that his mental illness excused his 

seemingly late filing. He contended that his illness should have 

equitably tolled the running of the limitations period. He also 

argued, alternatively, that he had new evidence to show that his 

illness rendered him actually innocent of the crime (by validating 

his insanity defense) and thus that the limitations period did not 

even apply to him. 

 The District Court rejected Riva's request for equitable 

tolling and dismissed the petition as untimely, without addressing 
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Riva's actual innocence claim. Riva v. Ficco, No. 01-12061-MLW, 

2007 WL 954771 (D. Mass. Mar. 28, 2007) ("Riva II"). We vacated 

and remanded. Riva v. Ficco, 615 F.3d 35 (1st Cir. 2010) ("Riva 

III"). 

 We held, as a matter of first impression, that mental 

illness can constitute a ground for equitably tolling the AEDPA's 

limitations period. Id. at 40. We also held that the District 

Court made various errors in evaluating whether Riva's mental 

illness warranted equitably tolling the limitations period. Id. 

at 42-44. We therefore instructed the District Court to develop 

the record and reconsider Riva's equitable tolling argument. Id. 

at 44. We also instructed the District Court to consider, for the 

first time, Riva's separate argument that his new evidence of 

actual innocence (due to his insanity) rendered the limitations 

period inapplicable. Id. at 44 n.4. 

 On remand, the District Court developed the record, 

considered both of Riva's arguments, and again dismissed Riva's 

habeas petition as untimely. Riva v. Ficco, No. 01-12061-MLW, 

2014 WL 4165364 (D. Mass. Aug. 21, 2014) ("Riva IV"). Riva now 

appeals. 

II. 

We held in Riva III that Riva bears the burden of 

establishing that his mental illness entitles him to equitable 

tolling of the AEDPA's limitations period, and that, to satisfy 
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that burden, Riva must demonstrate that there is "some causal link" 

between his mental illness and "his ability seasonably to file for 

habeas relief." 615 F.3d at 39-40. We said that Riva could 

establish such a link if he could show that, "during the relevant 

time frame, he suffered from a mental illness or impairment that 

so severely impaired his ability either effectively to pursue legal 

relief on his own behalf or, if represented, effectively to assist 

and communicate with counsel." Id. at 40. And we identified the 

relevant time frame as spanning most of the approximately three 

years between April 24, 1996 and March 17, 1999. Id. at 41.2

 There is no doubt that Riva suffers from a serious mental 

illness, and the government does not contend otherwise. At the 

same time, Riva's mental illness has not stopped Riva from making 

numerous legal filings -- including some quite cogent and 

sophisticated ones that he made even without the aid of counsel. 

The key question is whether Riva has shown that his tardiness in 

filing his habeas petition may be attributed to his mental illness 

rather than to the lack of diligence that even late-filing 

petitioners who have no such illness have been known to exhibit. 

 2 We set that as the time frame because we concluded that 

Riva's fourth motion for a new trial in state court successfully 

tolled most of the period between March 17, 1999 and his 2001 

filing of the habeas petition that is now before us. Riva III, 

615 F.3d at 41. 
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 As we said the last time that we took up this issue, 

"[t]his is a complex case, in which various pieces of evidence 

point in different directions," and "[i]t is a close call as to 

whether or not equitable tolling is warranted." Id. at 44. But 

as we also made clear at that time, the call is the District 

Court's to make so long as the District Court does not abuse its 

discretion in making it. Id. at 40. 

 Here, the District Court determined that Riva had not 

shown that his mental illness explained the lateness of his filing. 

And the District Court supplied a careful and well-reasoned 

explanation for that conclusion, in which the District Court 

specifically and satisfactorily addressed the concerns that we 

raised in Riva III. We thus see no basis for overturning the 

District Court's decision.3 

 We start with the District Court's findings about an 

issue that caused us significant concern in Riva III. There, we 

concluded that the District Court had given too much weight the 

first time around to evidence that showed Riva was capable of 

making legally coherent legal filings and not enough weight to 

evidence that could shed light on "the petitioner's ability to 

 3 Contrary to Riva's contention, the merit of his underlying 

claims for habeas relief cannot excuse an otherwise unjustified 

failure to act within the limitations period. See Trapp v. 

Spencer, 479 F.3d 53, 61 & n.8 (1st Cir. 2007). And so we decline 

his invitation to evaluate those claims. 
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sustain the lucidity necessary to effectively pursue legal redress 

once filings were effectuated." Id. at 43. We found the latter 

consideration important in light of Riva's expert's sworn 

statement that Riva's mental illness had "'interfered with 

[Riva's] ability to sustain the attention and effort necessary for 

him to consistently'" pursue legal relief. Id. (emphasis added). 

By focusing only on individual filings, therefore, the District 

Court had potentially overlooked crucial evidence that Riva's 

mental illness affected his ability to pursue his legal claims. 

 But this time around the District Court did address this 

issue head on. And, in doing so, the District Court reasonably 

found that Riva had not shown that his mental illness prevented 

him from following through in litigation in a sustained way. 

 The District Court noted that Riva's 1996 federal habeas 

petition, which Riva filed pro se just before the one-year 

limitations period began to run, was "detailed" and "informative." 

Riva IV, 2014 WL 4165364, at *7, 13-14. But the District Court 

then went on to observe that Riva was attentive to his 1996 

petition even after he filed it. Id. 

 For example, the District Court noted that when the 

Commonwealth failed to respond to the 1996 petition, Riva moved 

for default judgment. And the District Court further noted that 

when the petition was erroneously dismissed for insufficient 

service of process, Riva successfully advocated to reinstate it. 
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Finally, the District Court observed that Riva voluntarily 

dismissed his petition when he realized that he had failed to 

exhaust his federal claims in state court. Id. at *13-14. 

 Riva contends that the District Court failed to consider 

that, after Riva voluntarily dismissed the 1996 federal petition, 

he did not then return to state court to exhaust the federal claims 

that were contained in that petition. But Riva's misstep in that 

one regard does not demonstrate that he was unable to follow up on 

his filings due to his mental illness. That misstep reveals only 

that Riva had followed up but in the wrong way -- something that 

diligent petitioners without mental illnesses do all too often, 

especially when, like Riva, they are not assisted by counsel. 

 Moreover, Riva did return to state court around the same 

time that he voluntarily dismissed his 1996 federal habeas 

petition. Riva wrote Judge Peter Brady of the Massachusetts 

Superior Court in September 1996 and requested that the judge rule 

on his second motion to revise and revoke his sentence, which Riva 

had filed in 1993. That approach, too, was not the legally correct 

one. And that should hardly be a surprise, given the complexity 

of the rules for filing habeas petitions and Riva's pro se status. 

But while Riva's follow-up was substantively mistaken, it was a 

follow-up just the same. And a timely one at that. Thus, the 

fact that Riva made this effort -- flawed though it was -- supports 

the District Court's finding about Riva's capacity to follow 
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through on his claims in a sustained manner during the relevant 

time period. 

 In response, Riva contends that the District Court 

failed to consider the various times that Riva successfully filed 

legal documents but then failed to follow up on them. But the 

District Court did not overlook the incidents that Riva identifies. 

See id. at *5-6. The District Court determined instead that the 

many times that Riva did follow up supported the conclusion that 

a failure to follow up "was not typical of his pattern of 

litigation." Id. at *15. And the record does not show that this 

finding was clearly wrong. 

 In addition to finding that Riva had not made the case 

that his illness prevented him from following up on his filings 

during the relevant time period, the District Court also found 

that Riva had not proven that his illness prevented him from 

cooperating with counsel during that time period. The District 

Court pointed in particular to what the record revealed about 

Riva's communications with counsel in 1995 (which was just before 

the start of the relevant time frame for evaluating his equitable 

tolling claim) and again in 1998 (which was during that time 

frame). 

 At least twice in 1995, the District Court noted, Riva 

wrote letters to Richard Passalacqua, who represented Riva on his 

third motion for a new trial. And the District Court supportably 
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found that the letters revealed Riva's deep engagement in the 

litigation and that his "understanding of some of the demands of 

his litigation efforts was at least as sound as that of his 

professional counsel." Id.4 

 The District Court also pointed to evidence in the record 

about Riva's relationship with Barbara Smith, the attorney who 

helped Riva file his 1998 habeas petition -- a filing that occurred 

during the relevant time frame. Id. at *14. The District Court 

found that the record supported the conclusion that Riva did 

cooperate with Smith. And while Riva sharply disputes that 

finding, it rests on a supportable inference, although not one 

that is compelled.5 

 4 Riva explained to Passalacqua in one letter that "[t]here 

are eight Com v. Moores in the Massachusetts Digest. The judge 

probably knows which one we are talking about, but I really think 

you should put in the numerical cites." In another letter, Riva 

writes: "I am in receipt today of the Commonwealth's brief that 

you sent. Now we had many discussions about the Commonwealth's 

opening argument and I wrote you many letters concerning the an 

[sic] issue not raised is deemed waived unless you use the issue 

of ineffective assistance of counsel. You assured me that it is 

only an issue of the appeals court. I want you to immediately 

file a rebuttal brief stating your authorities for this claim. 

You might not think this appeal is winnable in front of Brady, but 

I do. . . . You will have to put me on the stand to counter the 

DA's claim I was given a Lamb warning." 

5 Riva alleges that he wrote a letter to the court clerk in 

July 1998 inquiring whether Smith had filed a habeas petition on 

his behalf, and that that letter indicates that Riva was not 

communicating with Smith. But the record includes only the clerk's 

response, which states: "The Court is in receipt of your letter 

date [sic] July 30, 1998. Please be advised that to date, we have 

received no Habeas Petition on your behalf by Attorney Barbara 

A.H. Smith." The District Court did not abuse its discretion in 
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 Considering the evidence of cooperation as a whole, we 

cannot say that the District Court erred in finding that Riva 

failed to demonstrate that his mental illness prevented him from 

cooperating with counsel. Riva points to no reliable evidence to 

show that he did not cooperate with Smith, let alone that his 

illness rendered him incapable of doing so. And the evidence 

plainly shows that Riva was fully able to cooperate with his 

counsel in 1995, just before the limitations period began to run. 

 Finally, the District Court did not err in giving weight 

to Riva's "organized and comprehensible" pursuit of collateral 

proceedings in state court in the 1980s and early 1990s, as well 

as to Riva's attention to a civil rights case that he had filed on 

his own in 1987 and that he had litigated all the way to the 

Supreme Court. Id. at *14-15. The District Court reasoned that 

"effective litigation by Riva prior to 1996 tends to indicate that 

Riva had a similar capacity to pursue his legal affairs during the 

tolling period," id. at *13, and we see no error in that reasoning. 

 Riva contends that the District Court should not have 

considered evidence from before the relevant time frame. He argues 

that the District Court's logic in considering that evidence rests 

on the unsupported premise that Riva's mental state had improved 

 

refusing to infer the content of Riva's letter to the clerk from 

the clerk's vague response. 
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by the beginning of that time frame, in 1996. But the District 

Court's determination that Riva had a similar capacity to pursue 

legal relief prior to 1996 as he did after 1996 does not depend on 

such a premise. The District Court's determination depends only 

on the finding that Riva's condition had not worsened. But Riva 

does not argue that it had. And, in fact, the record contains 

evidence that his condition had improved.6 Thus, the District 

Court did not abuse its discretion in drawing upon evidence of 

Riva's past capacity to litigate effectively a claim in determining 

that Riva had a similar capacity during the time period relevant 

to equitable tolling. 

 The District Court had a difficult task, but it "plainly 

consider[ed] all the pertinent factors and no impertinent ones" 

and provided a "thorough explanation" of its reasoning. Riva III, 

615 F.3d at 44 (internal quotation marks omitted). We thus hold 

that its "refusal to apply principles of equitable tolling to 

salvage [Riva's] time-barred habeas application does not 

constitute an abuse of discretion." Id. (internal quotation marks 

omitted). 

 6 Both parties' experts acknowledge that Riva's condition had 

improved, and Riva himself, in various legal filings and letters 

in 1995 and 1996, as well as in an affidavit to the District Court 

in the instant action, indicated that his condition was 

sufficiently controlled during the relevant time frame to permit 

him to pursue his legal claims. 
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III.

 We next turn to Riva's other argument for excusing the 

lateness of his filing. Under the AEDPA, a "credible showing of 

actual innocence" provides a "gateway" through which a petitioner 

may pursue his claims on the merits notwithstanding his failure to 

file his habeas petition within the statute's otherwise applicable 

limitations period. McQuiggin v. Perkins, 133 S.Ct. 1924, 1931 

(2013). To pass through this gateway, however, a petitioner must 

satisfy the standard for actual innocence articulated by the 

Supreme Court in Schlup v. Delo, 513 U.S. 298 (1995). 

 Specifically, Schlup requires a petitioner to show that, 

in light of newly presented evidence, "it is more likely than not 

that no reasonable juror would have found [him] guilty beyond a 

reasonable doubt," id. at 327, or, to remove the double negative, 

"that more likely than not any reasonable juror would have 

reasonable doubt," House v. Bell, 547 U.S. 518, 538 (2006). And 

further, Schlup makes clear that, "[t]o be credible, such a claim 

requires petitioner to support his allegations of constitutional 

error with new reliable evidence -- whether it be exculpatory 

scientific evidence, trustworthy eyewitness accounts, or critical 

physical evidence -- that was not presented at trial." 513 U.S. 

at 324. 

 Riva premises his case for making it through the gateway 

on newly presented evidence that Riva contends shows that he was 
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legally insane at the time of the murder. Neither we nor the 

Supreme Court has decided whether an insanity defense, if proven, 

amounts to proof of actual innocence and thus a basis for passing 

through the gateway the AEDPA leaves open to late filers. See 

Rozzelle v. Secretary, Fl. Dep't of Corrections, 672 F.3d 1000, 

1013-15 (11th Cir. 2012) (citing cases in other circuits going 

both ways). But we need not decide the issue here, because the 

District Court supportably found that Riva's new evidence did not 

meet the Schlup standard even assuming proof of legal insanity 

could constitute proof of actual innocence. Riva IV, 2014 WL 

4165364, at *21-24; see Awon v. United States, 308 F.3d 133, 140 

(1st Cir. 2002) ("On an appeal from the denial of a [petition for 

habeas corpus], we review the district court's legal 

determinations de novo and the court's factual findings for clear 

error."). 

 Riva's newly presented evidence consists of opinions 

from a psychiatric expert that Riva recently retained. But that 

expert opinion evidence is only indirectly probative of Riva's 

mental state on the day of the murder.7 Given the competing trial 

evidence about Riva's state of mind at that time,8 we cannot say 

 7 The expert contends that an IQ test Riva took two years 

before he killed his grandmother supports his insanity defense and 

that, at trial, the Commonwealth's psychiatric expert 

misrepresented the nature of Riva's mental illness. 

8 That evidence included: the testimony of Riva's great-uncle 

concerning Riva's normal behavior in the week preceding the 
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Riva has met the Schlup standard. Schlup, 513 U.S. at 328 

(instructing courts to consider a claim of actual innocence "in 

light of all the evidence”). We thus affirm the District Court's 

ruling on this point, too.9 

IV. 

 For the foregoing reasons, the decision of the District 

Court is affirmed. 

 

offense; the testimony of Riva's high school teacher about an 

unremarkable conversation with Riva hours before he killed his 

grandmother; a recording of a police interview the day after the 

incident in which Riva understood and responded to questions, 

denied involvement, and suggested alternative causes for the fire; 

and the premeditated, organized fashion in which Riva carried out 

and attempted to conceal his act, including his use of dry gas to 

burn the body and his attempt to retrieve his box of bullets and 

papers from the police the day after the crime. 

9 We also affirm the District Court's denial of Riva's 

request, under the Criminal Justice Act, for funding for further 

neurological testing. Given the substantial evidence at trial of 

Riva's legal sanity when he killed his grandmother, there is not 

"clear and convincing evidence" that Riva was prejudiced by the 

court's denial of funding for neurological testing that Riva's 

medical expert says "could" detect that Riva has "an observable 

brain abnormality associated with schizophrenia." See United 

States v. Canessa, 644 F.2d 61, 64 (1st Cir. 1981) (stating that 

a district court's refusal to authorize funding under the Criminal 

Justice Act is not reversible error unless there is "clear and 

convincing evidence showing prejudice").