Respondents-Appellants (the "State") appeal from an order of the United States District Court for the Southern District of New York (Kaplan, J.), entered on December 23, 2011, which denied the State's motion under Federal Rule of Civil Procedure 60(b)(6) to vacate the district court's grant of habeas relief to Petitioner-Appellee Edward Stevens more than a year earlier. The State argues that the district court abused its discretion in denying its Rule 60(b)(6) motion. We find that the State's motion is nothing more than an attempted end-run around the one-year time limitation on a Rule 60(b)(1) motion, which allows the district court to relieve a party from a final judgment or order for mistake, inadvertence, surprise, or excusable neglect. Therefore, we hold that the district court did not abuse its discretion in denying the State's Rule 60(b)(6) motion.
In early 2000, Edward Stevens was convicted of Robbery in the Third Degree in violation of New York Penal Law § 160.05. See People v. Stevens, 8 A.D.3d 2, 3, 778 N.Y.S.2d 16 (1st Dep't 2004). Although Robbery in the Third Degree is ordinarily punishable by a maximum of seven years in prison, the trial court determined that Stevens was a persistent felony offender under New York law and sentenced him to an indeterminate term of imprisonment of fifteen years to life. Id. Stevens's conviction and sentence were affirmed on direct appeal. See People v. Stevens, 8 A.D.3d 2, 778 N.Y.S.2d 16 (1st Dep't 2004), leave denied, 5 N.Y.3d 810, 803 N.Y.S.2d 39, 836 N.E.2d 1162 (2005).
Stevens commenced habeas proceedings in the district court in December 2005. He claimed that his designation as a persistent felony offender and his resulting sentence was contrary to, and an unreasonable application of, the United States Supreme Court's decisions in Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000), and Blakely v. Washington, 542 U.S. 296, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004). In a report and recommendation issued on December 31, 2008, Magistrate Judge Maas recommended that the district court deny the petition.
By letter dated January 9, 2009, Stevens's counsel informed the district court that the issue of whether New York's persistent felony offender sentencing scheme violated the Sixth Amendment was pending before a panel of this Court. As such, he requested that the district court extend the time to file objections to the magistrate judge's report and recommendation until ten days after this Court's decision. A few days later, the district court transferred Stevens's case to the "suspense docket" and instructed Stevens's counsel to "notify the court promptly upon resolution of the [appeals pending before the Second Circuit panel]."
On March 31, 2010, a panel of this Court, in a number of appeals consolidated under Besser v. Walsh, 601 F.3d 163 (2d Cir.2010), declared New York's persistent felony offender sentencing scheme unconstitutional. The next day, Stevens's counsel informed the district court of Besser and urged the court to grant Stevens's habeas petition. The State responded by letter dated April 16, 2010. In that letter, the State noted that a petition for rehearing en banc was pending in Besser and asked that the court refrain from relying on Besser until this Court rendered a decision on the petition for rehearing. Although the State's letter was apparently
This Court granted rehearing en banc on the issue of whether New York's persistent felony offender sentencing scheme contravened clearly established Supreme Court precedent on April 30, 2010, but the State never informed the district court of our decision to reconsider the panel's opinion in Besser. On September 27, 2010, the district court relied on the Besser panel decision and granted Stevens's habeas petition. Judgment was entered on September 29, 2010. The Clerk's Office mailed notice of the judgment to Stevens's attorney but failed to provide the State with notice. Because the State failed to check the docket sheet, as required by case law and the district judge's individual practices, it was unaware of the order granting Stevens habeas relief.
Less than three weeks after the district court granted habeas relief to Stevens, this Court, sitting en banc, overruled Besser in Portalatin v. Graham, 624 F.3d 69 (2d Cir.2010).
On September 29, 2011, exactly one year after the entry of judgment granting Stevens habeas relief, Stevens's counsel wrote a letter to an attorney in the New York State Department of Corrections, enclosed a copy of the district court's order granting Stevens's petition, and requested Stevens's release. On October 12, 2011, the New York Attorney General's Office became aware of the letter and of the district court's order. The following day, the State made a Rule 60(b)(6) motion to vacate the district court's judgment granting Stevens habeas relief.
On October 18, 2011, the district court held a hearing on the State's Rule 60(b)(6) motion. Time and again, the State admitted its negligence in failing to check the docket sheet and failing to apprise the district court of Portalatin.
Stevens's counsel countered that Rule 60(b)(6) relief was inappropriate because the State's motion was not made within a reasonable time following entry of judgment and because Rule 60(b) cannot be used as a mere substitute for a party's failure to appeal in a timely manner. He candidly admitted that he delayed seeking Stevens's release until a year had elapsed from the entry of the district court's judgment so as to prevent the State from pursuing relief under Rule 60(b)(1), which allows a district court to vacate its judgment on the basis of the moving party's mistake, inadvertence, surprise, or excusable neglect.
By memorandum and order filed on December 23, 2011, the district court denied the State's motion. The court found that even if the State's neglect was excusable— a premise that the court clearly believed to be dubious at best—the proper avenue for relief was a Rule 60(b)(1) motion, which was no longer available to the State because more than a year had passed. The court also noted that because Rules 60(b)(1) and 60(b)(6) are "mutually exclusive," Rule 60(b)(6) relief was inappropriate. In the alternative, the district court determined that the State was not entitled to Rule 60(b)(6) relief because the State's motion was not made "within a reasonable time," as required by Rule 60(c). The court concluded by noting that "[t]he State's negligent failures ... have been egregious" and that "[f]air play demands that the State be held responsible for its extraordinary neglect." It thus ordered Stevens's release on the force of its September 27, 2010 order.
The State now appeals the district court's denial of its Rule 60(b)(6) motion.
The State claims that the district court abused its discretion in denying its Rule 60(b)(6) motion. The State's primary argument on appeal is that the district court should have granted its motion because Portalatin constituted a supervening change in governing law that called into question the correctness of the district court's judgment. It also points to other circumstances it believes make this case "extraordinary." The State asserts, among other things, that it had no reason to suspect that the district court would issue a ruling when it did, that the Clerk's Office failed to provide the State notice of judgment, that Stevens's counsel "misled" the district court, and that "comity concerns" counsel in favor of granting the State's motion. We find that, even when viewed in the light most charitable to the State, the State's motion is nothing more
Federal Rule of Civil Procedure 60(b) provides:
All motions under Rule 60(b) must be made within a reasonable time, and for a motion under subsection (1), (2), or (3), no later than a year after the entry of judgment. Fed.R.Civ.P. 60(c).
The decision whether to grant a party's Rule 60(b) motion is committed to the "sound discretion" of the district court, and appellate review is confined to determining whether the district court abused that discretion. Montco, Inc. v. Barr (In re Emergency Beacon Corp.), 666 F.2d 754, 760 (2d Cir.1981). In no circumstances, though, may a party use a Rule 60(b) motion as a substitute for an appeal it failed to take in a timely fashion. See United Airlines, Inc. v. Brien, 588 F.3d 158, 176 (2d Cir.2009).
Rule 60(b)(6) authorizes a district court to grant relief to a moving party for "any other reason that justifies relief." It is a "grand reservoir of equitable power to do justice in a particular case." Matarese v. LeFevre, 801 F.2d 98, 106 (2d Cir.1986) (internal quotation marks omitted). But that reservoir is not bottomless. Recognizing Rule 60(b)(6)'s potentially sweeping reach, courts require the party seeking to avail itself of the Rule to demonstrate that "extraordinary circumstances" warrant relief. See Liljeberg v. Health Servs. Acquisition Corp., 486 U.S. 847, 864, 108 S.Ct. 2194, 100 L.Ed.2d 855 (1988); Nemaizer v. Baker, 793 F.2d 58, 63 (2d Cir.1986). Of particular concern is that parties may attempt to use Rule 60(b)(6) to circumvent the one-year time limitation in other subsections of Rule 60(b). See First Fidelity Bank, N.A. v. Gov't of Antigua & Barbuda-Permanent Mission, 877 F.2d 189, 196 (2d Cir.1989).
Recognizing this concern, we have found that Rule 60(b)(1) and Rule 60(b)(6) are "mutually exclusive," such "that any conduct which generally falls under the former cannot stand as a ground for relief under the latter." United States v. Cirami, 535 F.2d 736, 740 (2d Cir.1976) (internal quotation marks omitted); see also Liljeberg, 486 U.S. at 864 n. 11, 108 S.Ct. 2194.; United States v. Erdoss, 440 F.2d 1221, 1223 (2d Cir.1971). Where a party's Rule 60(b) motion is premised on grounds fairly classified as mistake, inadvertence, or neglect, relief under Rule 60(b)(6) is foreclosed. See Klapprott v. United States, 335 U.S. 601, 614, 69 S.Ct. 384, 93
It is undeniable that the State's Rule 60(b)(6) motion is, at bottom, premised on its own mistake, inadvertence, and neglect. Simply put, it is nothing more than a late Rule 60(b)(1) motion.
In its briefs, the State contends that the district court abused its discretion in denying its Rule 60(b)(6) motion for a number of reasons. It argues, among other things, that (1) this Court's decision in Portalatin constitutes a supervening change in law that warrants Rule 60(b)(6) relief; (2) the State had no reason to suspect that the district court would rule on Stevens's habeas petition when it did; (3) the Clerk's Office never informed the State of the district court's judgment; (4) Stevens's counsel "misled" the district court; and (5) comity concerns counsel in favor of allowing the State recourse under Rule 60(b)(6). We disagree.
The State's contention that Portalatin constitutes a change in decisional law warranting
The State's understanding of Sargent suffers from a fatal defect—it ignores the underlying facts. Sargent is not a Rule 60(b) case.
The Sargent Court determined that modification of its mandate was appropriate. It identified four factors that should be considered when determining whether to recall a mandate: (1) whether the governing law is unquestionably inconsistent with the earlier decision; (2) whether the movant brought to the Court's attention that a dispositive decision was pending in another court; (3) whether there was a substantial lapse in time between the issuing of the mandate and the motion to recall the mandate; and (4) whether the equities "strongly favor" relief. Id. at 90. The Court found that modification of the mandate was warranted because all four factors weighed in the plaintiff-appellant's favor.
Even a cursory reading of the case demonstrates that it is of no help to the State's position here. In Sargent, recall of the mandate was the only recourse available to the diligent appellant. She timely appealed, petitioned for a rehearing, and filed a petition for a writ of certiorari—in short, she exhausted every avenue of potential relief from the erroneous judgment. Here, the State was not diligent. It failed to notify the district court that this Court granted en banc consideration of Besser, failed to check the docket sheet to determine if the district court had rendered a decision, and neglected to inform the district court of this Court's decision in Portalatin, which was handed down within the State's time to appeal the district court's order. As such, had the State endeavored to apprise the district court of Portalatin, it would have become aware of the district court's order and either timely appealed or filed a motion for reconsideration. For these reasons, the State's reliance on Sargent is unavailing.
Nor does the Clerk's failure to provide the State notice of the judgment rescue the State's Rule 60(b)(6) motion. It is true, as the State points out, that Federal Rule of Civil Procedure 77(d)(1) requires the Clerk to serve notice of the entry of an order or judgment on the parties. But the very next subsection of the Rule provides that "[l]ack of notice of the entry does not affect the time for appeal or relieve—or authorize the court to relieve—a party for failing to appeal within the time allowed." Fed.R.Civ.P. 77(d)(2). It follows that lack of notice of the entry of judgment does not constitute extraordinary circumstances warranting Rule 60(b)(6) relief. This Court has made clear that the "parties have an obligation to monitor the docket sheet to inform themselves of the entry of orders they wish to appeal." United States ex rel. McAllan v. City of New York, 248 F.3d 48, 53 (2d Cir.2001).
We also reject the State's contention that the length of time it took it to file a Rule 60(b) motion should be excused because Stevens's counsel "misled" the district court on two occasions. The State faults Stevens's counsel for informing the district court that it was bound by the panel decision in Besser and for failing to notify the district court that the en banc petition in Besser had been granted even though the district court directed Stevens's counsel to "notify the Court promptly upon the resolution of the noted appeals" when it transferred Stevens's case to the suspense
Finally, we reject the State's claim that "comity concerns" counsel in favor of allowing the State recourse to Rule 60(b)(6) relief. To be sure, "[t]he state has a strong interest in assuring that constitutionally valid state court judgments are not set aside and can be carried out without undue delay." Ritter v. Smith, 811 F.2d 1398, 1403 (11th Cir.1987). Where the State does not diligently protect its interests, however, comity concerns have considerably less force. Had the State behaved in a reasonable manner, Stevens's sentence would not have been set aside by the federal courts. But it did not behave in a reasonable manner. The State should not now be heard to complain of comity concerns that find their genesis in its own neglect and failure to litigate Stevens's habeas petition with due diligence.
We find that the district court did not abuse its discretion in denying the State's Rule 60(b)(6) motion. Accordingly, the district court's order of December 23, 2011 is hereby
For convenience, we sometimes refer to en banc review being granted in "Besser." By that we mean that the en banc Court undertook to review the holding of the Besser panel decision—namely, that New York's persistent felony offender sentencing scheme contravened clearly established Supreme Court precedent interpreting the Sixth Amendment. As noted above, we recognize that James Besser's petition for rehearing en banc was denied.