Opinion ID: 158651
Heading Depth: 1
Heading Rank: 2

Heading: applicability of the antiterrorism and effective death penalty act of 1996

Text: 18 On cross-appeal, respondent argues that the district court erred in finding that the date petitioner filed a request for the appointment of counsel determined the date the habeas corpus action was filed and therefore concluding the Antiterrorism and Effective Death Penalty Act of 1996 (effective April 24, 1996) (AEDPA) did not govern. We agree and hold that the date of filing the petition, not the date of appointment of counsel, was the correct date for determining whether AEDPA governs. 19 Petitioner filed his request for appointment of counsel on December 22, 1995, pursuant to 21 U.S.C. § 848(q)(4)(B), which provides for the appointment of counsel to indigent prisoners challenging a capital conviction or sentence [i]n any post-conviction proceeding under [§] 2254. The district court granted the request on December 27. Petitioner filed his habeas petition on July 1, 1996. The district court determined that although the habeas petition was filed after the effective date of AEDPA, the request for appointment of counsel, filed pre-AEDPA, actually commenced the proceedings thereby precluding AEDPA's application. 1 The district court relied on McFarland v. Scott, 512 U.S. 849 (1994). 20 In McFarland, the Supreme Court held that if a capital defendant invokes his right to appointed counsel under § 848(q)(4), he has a post-conviction proceeding pending and thus need not file a habeas corpus petition before a federal court may enter a stay of execution. See McFarland, 512 U.S. at 858-59 (citing 28 U.S.C. § 2251, which permits a federal court to issue a stay for any matter involved in the habeas corpus proceeding). McFarland, however, recognized that neither the federal habeas corpus statute nor the rules governing habeas proceedings define a proceeding under § 2254 or state how such a proceeding shall be commenced. See id. at 854. The Court also recognized that § 848(q)(4) indicates that the right to appointed counsel adheres prior to the filing of a formal, legally sufficient habeas corpus petition, because a 'post conviction proceeding' within the meaning of § 848(q)(4)(B) is commenced by the filing of a death row defendant's motion requesting the appointment of counsel for his federal habeas corpus proceeding. McFarland, 512 U.S. at 854-55, 856-57; see also id. at 857 n.3 (preapplication legal assistance included in § 848(q)(4)(B)). Indeed, the assistance of an attorney may be crucial before the actual filing of the petition. See id. at 854-56. The Court then determined that to give meaning to the right to appointed counsel, the district court must be allowed to stay an execution under § 2251, regardless of whether the petitioner had filed a habeas petition. See McFarland, 512 U.S. at 858. 21 Notably, McFarland does not hold that appointment of counsel also commences a post-conviction proceeding within the meaning of § 2254. Cf. Williams v. Cain, 125 F.3d 269, 274 (5th Cir. 1997) (stating McFarland does not determine what date habeas petition is pending for applicability of substantive statutes), cert. denied, 119 S. Ct. 144 (1998). McFarland merely ensured indigent capital defendants the right to counsel established by § 848(q)(4). See Williams, 125 F.3d at 274. 22 Respondent argues that Lindh v. Murphy, 521 U.S. 320 (1997), not McFarland, defined AEDPA's applicability. Respondent notes that Lindh, 521 U.S. at 326, 327, stated that AEDPA applied to cases filed after its enactment and that AEDPA referred to 'an application for a writ of habeas corpus.' Br. of Appellee, Cross-Appellant at 7 (quoting 28 U.S.C. §§ 2244(d)(1), 2254(a)). Thus, respondent maintains the date of the request for appointment of counsel does not determine whether AEDPA applies. Lindh held that AEDPA did not apply to habeas corpus applications pending when it was passed. See Lindh, 521 U.S. at 322-23, 327, 336. Lindh did not expressly define when a habeas case is pending for purposes of the applicability of AEDPA. 23 Although neither McFarland nor Lindh addressed what constitutes a pending habeas corpus proceeding for purposes of determining the applicability of AEDPA, the majority of circuits considering the issue have held that a case is pending for purposes of AEDPA only when the habeas petition is filed. See, e.g., Gosier v. Welborn, 175 F.3d 504, 506 (7th Cir. 1999), petition for cert. filed (U.S. July 14, 1999) (No. 99-5282); Williams v. Coyle, 167 F.3d 1036, 1037, 1040 (6th Cir. 1999); Nobles v. Johnson, 127 F.3d 409, 414 (5th Cir. 1997), cert. denied, 118 S. Ct. 1845 (1998). Those circuits recognized that Lindh and McFarland did not address and did not resolve the issue before them and that McFarland focused on the need to expand the ordinary meaning of a pending case to give effect to Congressional intent. 2 See Williams, 167 F.3d at 1038-39; Holman v. Gilmore, 126 F.3d 876, 879-80 (7th Cir. 1997); Nobles, 127 F.3d at 413-14. 24 As support for its conclusion that a federal habeas corpus case is filed upon the filing of the habeas petition, the Sixth Circuit looked at the language of 28 U.S.C. § 2254(e) which refers to a proceeding instituted by an application for a writ of habeas corpus; 28 U.S.C. § 1914(a) which requires payment of a filing fee upon the filing of an application for a writ of habeas corpus; and Rule 1 of the Rules Governing § 2254 Cases which provides that the rules govern the procedure in the United States district courts on applications under 28 U.S.C. § 2254. See Williams, 167 F.3d at 1038. The Seventh Circuit did not disagree that an application for counsel under § 848(q)(4) is a case that may be reviewed by an appellate court. See Gosier, 175 F.3d at 506. But a request for counsel under § 848(q)(4), part of Title 21, is not a case under Chapter 153 of Title 28--that is, the request is not a collateral attack on a criminal judgment. Gosier, 175 F.3d at 506. [T]he motion for counsel is not itself a petition, because it does not call for (or even permit) a decision on the merits. And it is 'the merits' that the amended § 2254(d)(1) is all about. Holman, 126 F.3d at 880. 25 Unlike the other circuits, the Ninth Circuit defines a pending federal habeas petition more broadly. See Nino v. Galaza, 183 F.3d 1003, 1005 (9th Cir. 1999). It has held that a habeas case begins with the appointment of counsel. See Calderon v. United States Dist. Court for the Cent. Dist. of Cal., 163 F.3d 530, 539-40 (9th Cir. 1998) (en banc), cert. denied, 119 S. Ct. 1377 (1999). Calderon based its decision on Hohn v. United States, 524 U.S. 236 (1998). 3 Hohn held that an application for a certificate of appealability constituted a case under 28 U.S.C. § 1254, 4 and therefore the Supreme Court had jurisdiction to review a court of appeals' denial of an application for a certificate of appealability. See Hohn, 524 U.S. at 238-39, 241, 253. In reaching this decision, Hohn looked to Ex parte Quirin, 317 U.S. 1, 24 (1942), which held that a district court's denial of a request for leave to file a petition for a writ of habeas corpus was a reviewable case on appeal. See Hohn, 524 U.S. at 246. 26 Hohn is distinguishable. We agree with the Sixth Circuit that 27 Hohn and Ex parte Quirin stand only for the proposition that the denial by the district court of a motion for the issuance of a [certificate of appealability], a motion for leave to file a petition for the writ, or, as in our case, a motion for the appointment of counsel . . . would constitute an appealable case. This does not imply, however, that the petitioner's habeas corpus case has been initiated by the filing of such a preliminary motion. Although the Court in Hohn rejected the contention that the filing of a preliminary motion should be regarded as a threshold inquiry separate from the merits, Hohn, [524 U.S. at 246], the holding and logic of the case were limited to the determination that the rejection by the district court of the preliminary motion constitutes an appealable case. 28 Williams, 167 F.3d at 1040; see also Calderon, 163 F.3d at 545 (Hall, J., dissenting) (distinguishing Hohn's use of word case to interpret whether Supreme Court had jurisdiction from use of word case to interpret whether statute of limitations had run under AEDPA). 29 Accordingly, this court joins the majority of circuits in holding that a case is pending under AEDPA only upon the filing of a petition for writ of habeas corpus. The filing of a request for counsel to prepare a habeas petition does not govern the applicability of AEDPA as it is not a petition seeking substantive relief.
30 Petitioner argues that if this court holds that the case commenced at the time he filed the habeas corpus petition, it is unconstitutional to retroactively apply the new standards of review set forth in AEDPA to state court proceedings completed before enactment or effectiveness of AEDPA. This court has held to the contrary, determining that AEDPA applies to cases filed after its effective date, regardless of when state court proceedings occurred. See Rogers v. Gibson, 173 F.3d 1278, 1282 n.1 (10th Cir. 1999); see also Berget v. Gibson, No. 98-6381, 1999 WL 586986 (10th Cir. Aug. 5, 1999) (unpublished order and judgment citing Rogers and holding that application of AEDPA to cases filed after its effective date is not impermissibly retroactive); Mueller v. Angelone, 181 F.3d 557, 565-73 (4th Cir.) (addressing argument similar to that raised here and holding AEDPA does not have impermissible retroactive effect), cert. denied, ___ U.S. ___, 120 S.Ct. 37, ___ L.Ed.2d ___ (1999).
31 The review of a denial of habeas corpus relief is subject to two different types of analysis depending on whether a claim was heard on its merits by the state courts. If the claim was not heard on the merits by the state courts, and the federal district court made its own determination in the first instance, we review the district court's conclusions of law de novo and its findings of fact, if any, for clear error. LaFevers v. Gibson, 182 F.3d 705, 711 (10th Cir. 1999). If a claim was adjudicated on its merits by the state courts, a petitioner will be entitled to federal habeas relief only if he can establish that the state court decision was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States, 28 U.S.C. § 2254(d)(1), or was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding, id. § 2254(d)(2). AEDPA thereby increases the degree of deference afforded to state court adjudications. See Boyd v. Ward, 179 F.3d 904, 912 (10th Cir. 1999) (citing Houchin v. Zavaras, 107 F.3d 1465, 1470 (10th Cir. 1997)). 32 Petitioner argues that if AEDPA applies, this court must define the standards of review set forth in § 2254(d)(1). We have applied these standards, but have not defined them, beyond the precise wording of AEDPA. See Bryson v. Ward, 187 (10th Cir. 1999) (citing Matteo v. Superintendent, 171 F.3d 877, 885-91 (3d Cir. 1999), petition for cert. filed, 67 U.S.L.W. 3008 (U.S. June 22, 1999) (No. 98-2050), and Nevers v. Killinger, 169 F.3d 352, 357-62 (6th Cir.), cert. denied, 119 S. Ct. 2340 (1999), which set forth the various interpretations of the standards of deference afforded state court adjudications under both § 2254(d)(1)'s contrary to and unreasonable application of language by other federal courts of appeals). The United States Supreme Court has granted certiorari to review the Fourth Circuit's interpretation of these standards. See Williams v. Taylor, 119 S. Ct. 1355 (1999); see also 67 U.S.L.W. 3608 (Apr. 6, 1999) (listing issues presented). Under any possible interpretation of the standards, the outcome of this appeal would be the same. Thus, we decline to interpret the standards in this case. 5