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Yesterday’s Opinion in Mayle v. Felix

What happens when you mix Section 2244(d)1) of AEDPA (which establishes a one-year statute of limitations for state habeas applications), Federal Rule of Civil Procedure 15(c)(2)(which, in relevant part, provides that amendments made after the statute of limitations has expired relate back to the date of the original pleading if the original and amended pleadings arise out of the same “conduct, transaction, or occurrence”), and Federal Habeas Corpus Rule 11 (which, in relevant part, provides for the application of the Federal Rules of Civil Procedure to habeas cases when the civil rules “are not inconsistent with any statutory provisions or [the habeas] rules”)?

If you’re the Ninth Circuit, Seventh Circuit, respondent Jacoby Felix, or Justices Stevens and Souter, you get a rule allowing an amended habeas petition to relate back to the original petition as long as both the original and amended petitions arise from the same trial and conviction. Seven Justices of the Supreme Court view this equation differently, however: yesterday, the Court, in an opinion by Justice Ginsburg, held that an amended petition will relate back (and thus conform with AEDPA’s one-year statute of limitations) only insofar as any new grounds for relief in the amended petition arise from the same core set of facts on which one of the original grounds for relief rested.


In May 1998, approximately three months before AEDPA’s one-year statute of limitations expired, respondent Jacoby Felix filed a pro se federal habeas petition in which he alleged that the admission at trial of videotaped testimony from a prosecution witness violated his rights under the Sixth Amendment Confrontation Clause. Counsel was appointed for Felix, and in January 1999 — over five months after the AEDPA statute of limitations expired — Felix filed an amended petition in which he renewed his Confrontation Clause claim. He also asserted a new ground for relief, challenging the admission of alleged coerced statements made by him prior to trial on the ground that the admission of the statements violated his Fifth Amendment right against self-incrimination.

A magistrate judge recommended — and the district court agreed — that Felix’s Fifth Amendment claim be dismissed because it did not arise out of the same transaction or occurrence and thus did not “relate back” for purposes of the AEDPA statute of limitations. On appeal, the Ninth Circuit reversed, holding that the relevant “transaction” for purposes of Rule 15(c)(2) was Felix’s “trial and conviction in state court.” The state appealed, and the Supreme Court granted cert. to resolve the conflict between the Ninth and Seventh Circuits and, on the other hand, the D.C., Third, Fourth, Eighth, Tenth, and Eleventh Circuits.

Writing for the majority, Justice Ginsburg began by noting that although civil complaints are ordinarily held to a lenient pleading standard, Habeas Corpus Rule 2(c) requires a habeas petitioner to “specify all the grounds for relief available to the petitioner” and “state the facts supporting each ground.” This rule, she explained, is intended to “assist the district court in determining whether the State should be ordered to ‘show cause why the writ should not be granted.'”

Turning to the key issue of what constitutes a “conduct , transaction, or occurrence,” the majority begins with a long list of non-habeas cases that, it contends, employ narrower constructions of those terms than the one employed by the Ninth and Seventh Circuits in the habeas context. The majority relies on these cases for the proposition that Rule 15(c)(2) “relaxes, but does not obliterate, the statute of limitations” and that whether an amended pleading relates back to the original “depends on the existence of a common ‘core of operative facts’ uniting the original and newly asserted claims.”

Having laid that foundation, the majority considers Felix’s contention that in his case the relevant “transaction” for relation-back purposes is the trial, because although his coerced statements and the videotaped testimony occurred at different times, his constitutional claims arose only when the statements and testimony were used at his trial. The majority rejects this argument, explaining that although his Fifth and Sixth Amendment rights may not have “ripen[ed]” until the statements and testimony were used against him at trial, the “essential predicate” for such claims were conduct that occurred out of court.

The majority then turns to what really bothers it about Felix’s position: the prospect that virtually all habeas petitions could be amended to include a variety of otherwise disparate claims that would all “relate back” to the original petition merely because they all challenge some aspect of the trial. Such a result, the majority explains, would be inconsistent with Congress’s intent to bring some finality to the habeas process by enacting a limitations period. In particular, the majority notes, in light of Congress’s intent to advance finality and federalism through the AEDPA, it would be “anomalous” to have more permissive relation-back standards for habeas cases than non-habeas cases.

In his dissent, Justice Souter begins by noting the relatively limited set of cases in which this problem will arise, explaining that habeas petitioners can amend their petitions as a matter of right only once, and then only before the government’s responsive pleading is served. Justice Souter would also accord relatively little weight to AEDPA’s finality concerns, explaining that “the very point of every relation back rule is to qualify a statute of limitations.”

Justice Souter then faults the majority for proceeding on the assumption that the “proper transaction is what occurred outside the courtroom rather than inside, when that is the question we must answer.” For several reasons, he would agree with Felix and the Seventh and Ninth Circuits that the relevant “transaction” is in fact the trial ending in Felix’s conviction. First, although he acknowledges that Felix’s claims rest on separate acts outside the courtroom, he contends that without the introduction of the statements at issue, Felix would not have any argument for habeas relief. Second, he relies on the concept of claim preclusion, asserting that a “transaction” for purposes of AEDPA provisions limiting second or successive habeas petitions is in fact the trial leading to the conviction under attack; under the majority’s construction, the term “transaction” would thus have two different meanings in the AEDPA context. Third, he explains that Congress has limited amendments to habeas petitions elsewhere in AEDPA — specifically, in the chapter establishing special procedures for capital cases in certain qualifying states. The existence of such limitations elsewhere, he emphasizes, signifies that Congress chose not to limit amendments elsewhere. Finally, he notes that the vast majority of habeas petitioners proceed — at least initially — pro se, receiving appointed counsel (if at all) only after filing their original petitions. Because that appointed counsel may not be able to investigate potential claims and draft an amended petition before the AEDPA statute of limitations expires, he reasons, the majority rule will effectively preclude poor prisoners from bringing meritorious claims at all.