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Case Summary: State of Nebraska v. Dan M. Liner, No. A-17-778 (Neb. Ct. App. Sept. 11, 2018)

Factual and Procedural Background

Dan M. Liner was charged in November 2013 with various drug and weapons offenses. In September 2014, he filed motions to discharge on speedy trial grounds; the district court denied those motions and Liner appealed (cases A-14-819 and A-14-820). This court affirmed those interlocutory appeals by memorandum opinion on March 24, 2015, and issued mandates on April 28, 2015. Liner later entered a no contest plea to one count of possession of a deadly weapon by a prohibited person and stipulated to being a habitual criminal. He was sentenced to 15 to 20 years' imprisonment. Liner appealed the sentence (case A-15-771), and this court summarily affirmed on January 8, 2016, issuing its mandate on February 18, 2016.

On December 1, 2016, Liner filed a pro se verified motion for postconviction relief raising nine grounds (including alleged defects in plea advisement, subject matter jurisdiction, sentencing advisements, and ineffective assistance of both trial and appellate counsel). On March 1, 2017, Liner sought leave to file an amended postconviction motion; the district court granted leave, and Liner filed an amended motion on April 19, 2017, which asserted a single ground: that appellate counsel was ineffective for failing to raise on direct appeal that trial counsel was ineffective in failing to file a second motion to discharge on speedy trial grounds.

The State moved to dismiss the amended motion, arguing, inter alia, that it was filed outside the 1-year limitation period in the Nebraska Postconviction Act (Neb. Rev. Stat. § 29-3001 et seq.). The district court held a hearing and entered an order that both granted the State's motion to dismiss and denied the amended motion on the merits. The district court concluded that the amended claim could have been raised during the earlier interlocutory appeal or otherwise was not properly related back to the original postconviction motion and thus was untimely. Liner appealed, assigning error in denial of an evidentiary hearing.

Legal Issues Presented

  1. Whether Liner's amended motion for postconviction relief was timely under the 1-year limitation period of Neb. Rev. Stat. § 29-3001(4)(a), measured from the conclusion of direct appeal.
  2. Whether the amended motion "related back" to the original verified postconviction motion under the relation-back doctrine (as codified in Neb. Rev. Stat. § 25-201.02) such that the amended claim was timely.
  3. Whether the district court erred in denying Liner's request for an evidentiary hearing on the amended postconviction motion (as restated in Liner's assignment of error).

Arguments of the Parties

Appellant's (Liner's) Arguments

  • Liner originally asserted nine grounds in his December 1, 2016 verified postconviction motion: (1) plea entered unintelligently due to inadequate advisement of maximum penalty; (2) district court lacked jurisdiction to accept plea due to inadequate advisement of maximum penalty; (3) district court failed to advise on record of maximum term before mandatory release; (4) district court lacked subject matter jurisdiction for reasons previously set forth; (5) trial counsel ineffective for failing to alert court to State's inadequate advisement of maximum penalty; (6) trial counsel ineffective for failing to object to failure to advise regarding mandatory release term; (7) trial counsel ineffective for failing to object to impermissible sentence; (8) trial counsel ineffective for failing to object to each claim set forth; and (9) appellate counsel ineffective for failing to raise on direct appeal the claims set forth in the postconviction motion.
  • In his amended motion (filed April 19, 2017), Liner alleged a single ground: appellate counsel was ineffective for failing to raise on direct appeal that trial counsel was ineffective in failing to file a second motion to discharge on speedy trial grounds.
  • On appeal from the district court's order, Liner assigns error in the denial of an evidentiary hearing on his postconviction claim.

Appellee's (State's) Arguments

  • The State moved to dismiss Liner's amended motion on the ground that it was filed outside the 1-year limitation period set by Neb. Rev. Stat. § 29-3001(4)(a).
  • The State's motion to dismiss, as described in the opinion, challenged the timeliness of the amended pleading and thereby its procedural sufficiency for consideration on the merits.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
State v. Lee, 282 Neb. 652, 807 N.W.2d 96 (2011) Standard of review for postconviction proceedings: a defendant requesting postconviction relief must establish the basis for relief, and district court findings will not be disturbed unless clearly erroneous. Cited to state the applicable standard of review for the district court's factual findings on postconviction motions.
State v. Goynes, 293 Neb. 288, 876 N.W.2d 912 (2016) Principle that statutory interpretation presents a question of law and appellate courts must reach an independent conclusion. Invoked to explain the appellate court's obligation to independently interpret the statutory provisions governing timeliness.
State v. Huggins, 291 Neb. 443, 866 N.W.2d 80 (2015) Construction of "conclusion of a direct appeal" for purposes of § 29-3001(4)(a): occurs when the appellate court issues its mandate. Used to determine the date from which the 1-year postconviction limitations period began (the date the mandate issued: Feb. 18, 2016, in this case).
State v. Robertson, 294 Neb. 29, 881 N.W.2d 864 (2016) Postconviction proceedings are not governed by the Nebraska Court Rules of Pleading in Civil Cases. Cited in discussing whether relation-back principles (which are part of pleading rules) apply in postconviction proceedings; the court noted the distinction but did not decide whether the codified relation-back statute constitutes a rule of pleading.
Forker Solar, Inc. v. Knoblauch, 224 Neb. 143, 396 N.W.2d 273 (1986) Principle that an amended cause of action ordinarily relates back if it seeks recovery on the same general set of facts; the theory of recovery is not itself a separate cause of action. Quoted to explain Nebraska law on relation back in pleadings and the requirement that the same general facts underlie the original and amended claims.
Mayle v. Felix, 545 U.S. 644, 125 S. Ct. 2562, 162 L. Ed. 2d 582 (2005) U.S. Supreme Court rule that claims in an amended petition relate back only if they are of the same time and type as those in the original petition, arising from the same core set of operative facts. Relied on (via federal authority) to reject a broad relation-back argument and to frame the "time and type"/"core set of operative facts" test.
U.S. v. Hernandez, 436 F.3d 851 (8th Cir. 2006) Application of Mayle in the Eighth Circuit: amended ineffective-assistance claims did not relate back where original and amended claims concerned different factual bases (admission of evidence vs. cross-examination). Used as an example and persuasive authority to emphasize that amended postconviction claims must arise from the same core operative facts to relate back; the court analogized Liner's case to Hernandez.
Dodd v. U.S., 614 F.3d 512 (8th Cir. 2010) Further Eighth Circuit authority that relation back requires facts specific enough to put the opposing party on notice; mere common labels (e.g., ineffective assistance) are insufficient. Cited to support the proposition that original and amended postconviction claims must be specific and sufficiently similar in factual basis to relate back.

Court's Reasoning and Analysis

The court framed its analysis around timeliness under Neb. Rev. Stat. § 29-3001(4)(a) and whether the April 19, 2017 amended postconviction motion could relate back to the December 1, 2016 original verified motion.

Step 1 — Determine the relevant limitation period: The court applied § 29-3001(4)(a), which imposes a 1-year limitation running from "the date the judgment of conviction became final by the conclusion of a direct appeal or the expiration of the time for filing a direct appeal." The court relied on State v. Huggins for the holding that the "conclusion of a direct appeal" occurs when the appellate court issues its mandate. Here, the mandate on Liner's direct appeal issued February 18, 2016; therefore the one-year window ran until February 18, 2017.

Step 2 — Compare filing dates to the limitation period: Liner's original motion (filed December 1, 2016) was within the 1-year period. The amended motion (filed April 19, 2017) was filed after the one-year deadline and thus untimely unless it related back to the original filing.

Step 3 — Consider relation back doctrine: The court examined relation-back principles as codified in Neb. Rev. Stat. § 25-201.02 and relevant case law. It noted that Nebraska case law had not applied relation back in a postconviction context and reiterated the Nebraska Supreme Court's statement that postconviction proceedings are not governed by the civil pleading rules (State v. Robertson). The court stated it need not decide whether § 25-201.02 is a pleading rule for postconviction matters because it concluded the amended motion did not relate back on the facts presented.

Step 4 — Apply the substantive relation-back test: The court described the controlling relation-back principle from Nebraska law (Forker Solar v. Knoblauch) that an amendment relates back when it seeks recovery on the same general set of facts. The court then considered federal-law guidance (Mayle v. Felix; U.S. v. Hernandez; Dodd v. U.S.) rejecting an expansive relation-back view and requiring that the amended claims be of the "same time and type" and arise from the "same core set of operative facts" so as to give fair notice to the opposing party.

Step 5 — Compare the factual bases of the original and amended motions: The court compared Liner's original claims (which concerned entry of the plea and sentencing advisements/rights) with the amended claim (ineffective assistance allegation tied to trial counsel's failure to file a second motion to discharge on speedy trial grounds). The court observed that the speedy trial issue occurred prior to the entry of plea and implicated different operative facts than the plea/sentencing claims. Because the amended claim implicated a different factual core (speedy trial/preplea issues) than the original claims (plea and sentencing), the court concluded the amended claim did not relate back.

Step 6 — Resulting disposition: Because the amended motion did not relate back and was filed after the one-year limitations period, it was untimely. The district court therefore did not err in granting the State's motion to dismiss the amended motion as untimely. The appellate court declined to reach the merits of the amended motion or the question of whether an evidentiary hearing should have been held, because timeliness disposed of the case.

Holding and Implications

Holding: The Nebraska Court of Appeals affirmed the district court's grant of the State's motion to dismiss and affirmed the denial of Liner's amended postconviction motion as untimely. The appellate court concluded that the amended motion did not relate back to the original motion and therefore was filed outside the 1-year limitation period of Neb. Rev. Stat. § 29-3001(4)(a).

Implications:

  • Direct effect on the parties: Liner's amended postconviction claim was dismissed as untimely, and the district court's dismissal was affirmed.
  • Scope of precedent: The opinion applies established Nebraska and federal relation-back principles to deny relation back where the amended claim arises from a different core set of operative facts (speedy trial/preplea issues) than the original claims (plea and sentencing issues). The court expressly declined to decide whether the codified relation-back statute operates as a pleading rule in postconviction proceedings, and the opinion does not announce or purport to set a new general rule beyond its application to the facts here.

This summary is based exclusively on the text of the provided court opinion and does not add or infer facts or legal conclusions beyond what the opinion states.

STATE OF NEBRASKA, APPELLEE, v. DAN M. LINER, APPELLANT.

RIEDMANN, Judge.

1. Postconviction: Proof: Appeal and Error. A defendant requesting postconviction relief must establish the basis for such relief, and the findings of the district court will not be disturbed unless they are clearly erroneous. 2. Statutes: Appeal and Error. Statutory interpretation presents a question of law, for which an appellate court has an obligation to reach an independent conclusion irrespective of the determination made by the court below. 3. Postconviction: Limitations of Actions: Words and Phrases: Appeal and Error. For purposes of Neb. Rev. Stat. § 29-3001(4)(a) (Reissue 2016), the "conclusion of a direct appeal" occurs when a Nebraska appellate court issues the mandate in the direct appeal. 4. Rules of the Supreme Court: Postconviction. Postconviction proceedings are not governed by the Nebraska Court Rules of Pleading in Civil Cases. 5. Actions: Pleadings. A cause of action pleaded by amendment ordinarily relates back to the original pleading, provided that claimant seeks recovery on the same general set of facts. Appeal from the District Court for Buffalo County: WILLIAM T. WRIGHT, Judge. Affirmed. Dan M. Liner, pro se. Douglas J. Peterson, Attorney General, and Erin E. Tangeman for appellee. PIRTLE, RIEDMANN, and WELCH, Judges. RIEDMANN, Judge.

INTRODUCTION

Dan M. Liner appeals the order of the district court for Buffalo County which denied him postconviction relief. Because his amended motion for postconviction relief is time barred, we affirm.

BACKGROUND

Liner was charged in November 2013 with various drug and weapons offenses. In September 2014, he filed motions to discharge the charges on speedy trial grounds. The district court denied the motions to discharge, and Liner appealed to this court, which appeals were docketed as cases Nos. A-14-819 and A-14-820. On March 24, 2015, we affirmed in a memorandum opinion, and on April 28, a mandate was issued in each case. Thereafter, Liner entered a no contest plea to one count of possession of a deadly weapon by a prohibited person and stipulated to being a habitual criminal. He was sentenced to 15 to 20 years' imprisonment. Liner appealed, assigning only that he received an excessive sentence, which appeal was docketed as case No. A-15-771. This court summarily affirmed the sentence on January 8, 2016, and issued its mandate on February 18.

On December 1, 2016, Liner filed a pro se verified motion for postconviction relief. His motion contained nine grounds for relief. Specifically, he alleged that (1) his plea of no contest was entered unintelligently because the State failed to adequately advise him on the record of the maximum penalty, (2) the district court lacked jurisdiction to accept his plea when it also failed to properly advise him of the maximum penalty, (3) the district court failed to advise him on the record of the maximum term of incarceration he would be required to serve before obtaining mandatory release, (4) the district court lacked subject matter jurisdiction to sentence him for the reasons previously set forth, (5) trial counsel was ineffective in failing to alert the court of the State's failure to adequately advise him of the maximum penalty, (6) trial counsel was ineffective in failing to object to the court's failure to advise him of the maximum term he must serve before mandatory release, (7) trial counsel was ineffective in failing to object to the impermissible sentence imposed by the court for the reasons previously set forth, (8) trial counsel was ineffective in failing to object to each claim set forth in the postconviction motion, and (9) appellate counsel was ineffective in failing to raise on direct appeal the claims set forth in the postconviction motion.

On March 1, 2017, Liner moved for leave to file an amended motion for postconviction relief. The district court granted leave to amend, and Liner filed an amended motion on April 19. The amended motion included only one ground for relief: Appellate counsel was ineffective in failing to raise on direct appeal that trial counsel was ineffective in failing to file a second motion for discharge on speedy trial grounds. The State filed a motion to dismiss the amended motion, alleging, as relevant here, that the amended motion was filed outside the limitation period set forth in the Nebraska Postconviction Act, Neb. Rev. Stat. § 29-3001 et seq. (Reissue 2016).

The district court held a hearing on the amended motion and corresponding request for an evidentiary hearing, the State's motion to dismiss, and Liner's objections to the motion to dismiss. The court subsequently entered an order, which purported to both grant the motion to dismiss and deny the amended motion for postconviction relief. The court first determined that the sole issue raised in the amended motion was raised or could have been raised in the course of the interlocutory appeal Liner filed in September 2014 after the court denied his motion for discharge. Additionally, the court found that because Liner's conviction was plea based, he waived many of his rights, including his right to complain about errors at the plea and sentencing hearing. Finally, the court concluded that the amended motion for postconviction relief did not relate back to the original motion because it raised an entirely different issue and that therefore, because it had been filed more than 1 year after the conviction became final, it was untimely. Liner appeals.

ASSIGNMENT OF ERROR

Liner assigns, restated, that the district court erred in denying his motion for postconviction relief without holding an evidentiary hearing.

STANDARD OF REVIEW

[1] A defendant requesting postconviction relief must establish the basis for such relief, and the findings of the district court will not be disturbed unless they are clearly erroneous. State v. Lee, 282 Neb. 652, 807 N.W.2d 96 (2011).

[2] Statutory interpretation presents a question of law, for which an appellate court has an obligation to reach an independent conclusion irrespective of the determination made by the court below. State v. Goynes, 293 Neb. 288, 876 N.W.2d 912 (2016).

ANALYSIS

The district court's order addressed the timeliness of the amended motion as raised in the State's motion to dismiss and the merits of the postconviction motion and purported to both (1) grant the motion to dismiss, thereby dismissing the amended motion, and (2) deny the amended postconviction motion on its merits. Despite the irregular procedural posture of the matter, we conclude that the district court did not err in granting the motion to dismiss. We therefore do not address the merits of the amended motion for postconviction relief.

[3] Section 29-3001(4) provides that a 1-year period of limitation shall apply to the filing of a verified motion for postconviction relief. As applicable in this case, the 1-year limitation period shall run from the date the judgment of conviction became final by the conclusion of a direct appeal or the expiration of the time for filing a direct appeal. See § 29-3001(4)(a). For purposes of § 29-3001(4)(a), the "conclusion of a direct appeal" occurs when a Nebraska appellate court issues the mandate in the direct appeal. State v. Huggins, 291 Neb. 443, 866 N.W.2d 80 (2015).

This court's mandate in Liner's direct appeal was issued on February 18, 2016. Therefore, his original motion for postconviction relief filed on December 1 was filed within the 1-year limitation period, but the amended motion filed April 19, 2017, was untimely unless it related back to the filing of the original motion.

[4] The common-law doctrine of relation back was codified in Neb. Rev. Stat. § 25-201.02 (Reissue 2016). See John P. Lenich, Nebraska Civil Procedure § 15:8 (2018). Section 25-201.02 provides that an amendment of a pleading that does not change the party or the name of the party against whom the claim is asserted relates back to the date of the original pleading if the claim or defense asserted in the amended pleading arose out of the conduct, transaction, or occurrence set forth or attempted to be set forth in the original pleading. Our review of Nebraska case law does not reveal an instance where the relation-back doctrine has been applied in a postconviction proceeding. And we recognize that the Nebraska Supreme Court has clarified that postconviction proceedings are not governed by the Nebraska Court Rules of Pleading in Civil Cases. See State v. Robertson, 294 Neb. 29, 881 N.W.2d 864 (2016). Whether the relation-back doctrine, codified in § 25-201.02, constitutes a rule of pleading is an issue we need not decide because we conclude that Liner's amended motion did not relate back to the original motion and was therefore untimely.

[5] A cause of action pleaded by amendment ordinarily relates back to the original pleading, provided that claimant seeks recovery on the same general set of facts. Forker Solar, Inc. v. Knoblauch, 224 Neb. 143, 396 N.W.2d 273 (1986). The theory of recovery is not itself a cause of action; therefore, if the general facts upon which the right to recover is based are the same, the amendment relates back to the original pleading. Id.

The federal courts have rejected the broad argument that an amended postconviction claim related back to the original claim if it stemmed from the same trial, conviction, or sentence; rather, the Eighth Circuit relied upon the U.S. Supreme Court's holding in Mayle v. Felix, 545 U.S. 644, 125 S. Ct. 2562, 162 L. Ed. 2d 582 (2005), that in order for claims in an amended motion to relate back, they must be of the same time and type as those in the original motion, such that they arise from the same core set of operative facts. U.S. v. Hernandez, 436 F.3d 851 (8th Cir. 2006). See, also, Dodd v. U.S., 614 F.3d 512 (8th Cir. 2010) (facts alleged must be specific enough to put opposing party on notice of factual basis for claim, and thus, it is not enough that both original motion and amended motion allege ineffective assistance of counsel during trial).

Applying the applicable definitions and rejecting a broader interpretation of the relation-back doctrine, the Eighth Circuit in U.S. v. Hernandez, supra, determined that the amended ineffective assistance claim did not relate back to the original claim because the original claim referred to the admission of evidence, whereas the amended claim referred to trial testimony and cross-examination of witnesses. Thus, the facts alleged in the original claim were not such that would put the opposition on notice that cross-examination of witnesses was at issue, and the claims were not similar enough to satisfy the "'time and type'" test, nor did they arise out of the same set of operative facts. Id. at 858.

Likewise, in the instant case, the ineffective assistance of counsel claim raised in the amended motion is not based on the same set of facts as the claims contained in the original motion. The original claims related to entry of the plea and sentencing matters, whereas the amended claim related to Liner's right to a speedy trial, which occurred prior to the time he entered a plea. We cannot find that these claims are based on the same general facts such that the amended motion relates back to the filing of the original motion. Accordingly, the amended motion was filed outside the 1-year limitation period set forth in § 29-3001(4)(a). The district court, therefore, did not err in granting the State's motion to dismiss the amended motion as untimely.

CONCLUSION

We conclude that the district court did not err in granting the State's motion to dismiss. We therefore affirm.

AFFIRMED.

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State v. Liner
(Sep 11, 2018)