U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics
Special Report

Prisoner Petitions Filed in U.S. District
Courts, 2000, with Trends 1980-2000


January 2002, NCJ 189430

revised 2/05/02 th


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This file is text only without graphics and many of the 
tables.  A Zip archive of the tables in this report in
spreadsheet format (.wk1) and the full report including
tables and graphics in .pdf format are available from:
http://www.ojp.usdoj.gov/bjs/abstract/ppfu00.htm
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By John Scalia 
BJS Statistician

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Highlights

*  During 2000, 58,257 prisoner petitions
were filed in U.S. district courts -- 80%
by State prison inmates and 20% by Federal 
inmates.

*  The majority of petitions filed during
2000 were habeas corpus petitions (43%) or 
petitions by Federal inmates challenging 
the constitutionality of an imposed sentence 
(11%); 44% alleged civil rights violations; 
and 2% were mandamus actions.

*  The 1996 Prison Litigation Reform Act
appears to have resulted in a decrease
in the number of civil rights petitions 
filed by State and Federal prison inmates. 
They filed 41,679 petitions during 1995
compared to 25,504 during 2000.  

*  Between 1995 and 2000 the rate at which 
Federal and State prison inmates filed civil 
rights petitions decreased from 37 to 19 per 
1,000 inmates.

*  The 1996 Antiterrorism and Effective Death 
Penalty Act appears to have resulted in an 
increase in the number of habeas corpus 
petitions filed by State prison inmates.  
State prison inmates filed 50% more habeas 
corpus petitions during 2000 (21,345) than 
during 1995 (13,627).

*  Between 1995 and 2000 the rate at which 
State prison inmates filed habeas corpus 
petitions increased from 13 to 17 per 1,000 
inmates.
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The growth in the Nation's prison population 
from 1980 to 1996 was accompanied by an 
increase in prisoner litigation in the Federal 
courts. The number of prisoner petitions filed 
by Federal and State inmates in U.S. district 
courts increased from 23,230 in 1980 to a high 
of 68,235 in 1996.  

Since enactment of the Prison Litigation
Reform Act (PLRA) in 1996 the number of civil 
rights petitions filed in the U.S. district 
courts has decreased.  Between 1995 (the 
year before implementation) and 2000,the 
number of civil rights petitions decreased 
from 41,679 to 25,504.  The filing rate -- 
number of civil rights petitions filed per 
1,000 inmates   fell from 37 to 19.

By contrast, since the enactment of the
Antiterrorism and Effective Death
Penalty Act (AEDPA), which was enacted at 
the same time as the PLRA, the number of 
habeas corpus petitions filed, including 
28 USC sec. 2255 motions to vacate a 
sentence, has increased.  Between 1995 and 
2000, the total number of habeas corpus 
petitions filed increased from 20,958 to 
31,556. The filing rate increased from 19 
to 23 per 1,000 inmates.

Petitions filed during 2000

During 2000 the approximate 1.4 million
Federal and State prison inmates filed
58,257 petitions in U.S. district courts --
or 42 petitions for each 1,000 prisoners
incarcerated.  Prior to 1997 the number
of civil rights petitions filed annually 
was greater than the number of habeas
corpus petitions.  Beginning in 1997 and
continuing through 2000, the number of
habeas corpus petitions exceeded the
number of civil rights petitions. 

Petitions by State inmates

Eighty percent of prisoner petitions were
filed by State prison inmates.  More than
half (53%) of the petitions filed by State
inmates during 2000 alleged civil rights
violations; 46% were habeas corpus
petitions; and 1% mandamus actions. 
Overall, 38 prisoner petitions were filed
in U.S. district courts per 1,000 State
prison inmates.  

By contrast to prior years, during 2000
the rate at which State inmates filed
habeas corpus petitions (17 per 1,000
inmates) was closer to the rate at which
they filed civil rights petitions (20 per
1,000).  Before 1996 State inmates filed
civil rights petitions at more than twice
the rate at which they filed habeas corpus 
petitions.

During 2000 inmates incarcerated in the
South filed almost half of all State
prisoner petitions.  Inmates incarcerated
in southern prisons filed 53% of all
petitions alleging civil rights violations
and 42% of all habeas corpus petitions. 
Inmates incarcerated in the West filed
23% of all petitions; those incarcerated
in the Midwest, 15%; and in the Northeast, 
14%.

Southern States account for about 45%
of the Nation's State prison population. 
Inmates incarcerated in southern prisons
did not file petitions at a substantially
greater rate (number per 1,000 inmates)
than those incarcerated in the Northeast
or West. In these three regions about
40 petitions were filed per 1,000 prisoners. 
Inmates incarcerated in the Midwest filed 
petitions at a lower rate (29 petitions per 
1,000 prisoners) than those in the other 
regions.

Inmates incarcerated in New Mexico (77 per 
1,000 inmates), Arkansas (65), Virginia 
(68), Pennsylvania (55), Indiana (55), West 
Virginia (51), and Alabama (51) filed petitions 
at the greatest rates. By contrast, inmates 
incarcerated in Alaska (6 per 1,000), Utah 
(6), North Dakota (8), Rhode Island (10), 
Hawaii (12), Connecticut (19), and Ohio (19) 
filed petitions at the lowest rates.

Petitions by Federal inmates

Twenty percent of prisoner petitions were 
filed by Federal prison inmates. The majority 
of petitions filed by Federal inmates were 
either habeas corpus petitions (33%) or motions 
filed pursuant to 28 U.S.C. sec. 2255 seeking 
to vacate the sentence imposed (53%); about 9% 
alleged civil rights violations; and 5% were 
mandamus actions.

Overall, 82 prisoner petitions were filed
in U.S. district courts for every 1,000
Federal prison inmates; 44 petitions seeking 
to vacate the sentence; 27 habeas corpus; 7 
civil rights; and 4 mandamus.  The higher 
filing rate for Federal prison inmates compared 
to State inmates generally reflects the original 
jurisdiction that Federal courts have over 
matters dealing with Federal offenders.

Legislative initiatives to reduce
prisoner litigation

In 1980 the Civil Rights of Institu-
tionalized Persons Act of 1980 (CRIPA) 
was enacted to reduce the number of civil 
rights petitions filed in the Federal 
courts.  As part of this act, State
prison inmates were required to exhaust
State-level administrative remedies
before filing their petitions in the 
Federal courts (42 U.S.C. sec. 1997(e)).  
Thus Congress sought to reserve the Federal
courts for more serious civil rights
violations or other significant constitutional 
issues.

However, after enactment of CRIPA the
number of civil rights petitions filed in 
the Federal courts by State inmates
continued to increase through the 1980's
and the 1990's -- increasing more than
threefold from 12,395 during 1980 to a
high of 40,569 during 1995. The increase 
was primarily attributable to the increase 
in the State prison population. Between 1980 
and 1995, the rate at which State inmates 
filed civil rights petitions was stable, 
averaging 40 petitions per 1,000 inmates.  
The State prison population, by contrast, 
increased more than threefold from 305,458 
during 1980 to 1,025,624 during 1995.

During 1996, two legislative initiatives
were enacted that sought to further limit
prisoners' ability to file petitions in the
Federal courts:

*  The Prison Litigation Reform Act (PLRA) 
sought to reduce the number of petitions 
filed by inmates claiming civil rights 
violations.  As part of the PLRA, inmates 
(1) are required to exhaust all administrative 
remedies before filing a case in Federal court; 
(2) filing petitions in forma pauper is are 
required to pay applicable filing fees and 
court costs from their existing assets or any 
funds available through correctional trust fund
accounts; and (3) are prohibited from
filing in forma pauperis if they have had
prior petitions dismissed as being
frivolous or malicious.

*  The Antiterrorism and Effective Death
Penalty Act (AEDPA) addresses habeas
corpus petitions in several ways: (1) It
requires inmates to exhaust direct
appeals at the State level prior to filing 
a petition in Federal court. (2) It
establishes a 1-year statute of limitations
whereby inmates have 1 year from the
time their conviction becomes final --
after all direct appeals of the conviction
and/or sentence have been exhausted --
to file a habeas corpus petition in
Federal court. (3) It requires that a 
panel of the applicable Federal court of
appeals approve successive petitions
being filed in district court.

However, the PLRA and the AEDPA
appear to have had differential impacts
on filing rates and, accordingly, the
number of petitions filed.  After
enactment of the PLRA both the rate at
which State and Federal prison inmates
filed civil rights petitions and the number
of civil rights petitions filed decreased
dramatically.  

After enactment of the AEDPA, by
contrast, both the filing rate and the
number of habeas corpus petitions filed
by State inmates increased.  For Federal
inmates, there was no measurable
impact on the filing rate of habeas
corpus petitions attributable to the
enactment of AEDPA.  The increase in
the number of habeas corpus petitions
filed by Federal inmates (sec. 2241 and
sec. 2255 motions combined) appears to
be solely a consequence of the increasing 
prison population.

Civil rights petitions.  Almost immediately 
following enactment of the PLRA, the number 
of civil rights petitions filed by State 
inmates substantially declined -- decreasing 
from an average of 3,020 petitions filed 
per month during the 55 months prior to 
enactment to an average of 2,227 petitions 
following enactment (through September 2000).
The filing rate decreased from an average of 
3.2 petitions filed per 1,000 inmates per 
month prior to enactment to 1.9.

Despite the decrease in the filing rate,
the decrease in civil rights petitions 
filed was offset by an increased State 
prison population.  Since enactment of 
the PLRA, the State prison population
increased by approximately 160,000
inmates.

The PLRA similarly impacted filings by
Federal inmates.  Following enactment
of the PLRA the number of civil rights
petitions decreased from an average of
88 per month prior to enactment to 
an average of 84 per month following
enactment (not shown in a table). The
filing rate decreased from an average of
0.9 per 1,000 inmates per month to 0.7.

The decrease in civil rights petitions by
Federal inmates was also offset by an
increased prison population.  Since
enactment, the Federal prison population 
increased by approximately 40,000. 

---------------------------------------------
Types of prisoner petitions

This report addresses three types of
suits prison inmates are able to file in 
the Federal courts to challenge the
constitutionality of their imprisonment
(habeas corpus), seek redress of civil
rights violations by government officials
(civil rights), or to compel a government
official to perform a duty owed (mandamus).

Habeas corpus (28 U.S.C. secs. 2241
and 2254-2255).  The basic principle of
the writ of habeas corpus is that the
government is accountable to the courts
for a person's imprisonment.  If the 
government cannot show that the person's 
imprisonment conforms with the fundamental 
requirements of law, the person is entitled 
to immediate release. A previous BJS report 
indicated that "ineffective assistance of 
counsel" was the most frequently cited 
(25%) reason for habeas corpus petitions by 
State inmates.  Other commonly cited reasons
include errors by the trial courts (15%),
due process (14%), and self-incrimination 
(12%) (Federal Habeas Corpus Review, BJS 
Discussion Paper, NCJ 155504, September 
1995).

For Federal inmates habeas corpus
petitions take two statutorily
distinguished forms: (1) traditional
habeas corpus petitions that generally
challenge the constitutionality of
imprisonment (28 U.S.C. sec. 2241) and
(2) motions to vacate a sentence
imposed (28 U.S.C. secs. 2255).  While
secs. 2255 motions are similar in
principle to traditional habeas corpus
petitions, in 1948 Congress distinguished 
the two to address practical difficulties 
that had arisen in administering the habeas 
corpus jurisdiction of the Federal courts. 
Pursuant to sec. 2255, the district court
where the inmate was originally sentenced 
retains jurisdiction over challenges of the 
sentence.  In this report, unless specifically 
noted, habeas corpus includes both sec. 
2241 habeas corpus motions and sec. 2255 
motions to vacate a sentence.

Civil rights (42 U.S.C. sec. 1983).  The
foundation for these petitions originates
in the 14th amendment of the U.S. Constitution.  
The 14th amendment prohibits the States 
from "depriv[ing] any person of life, liberty, 
or property without due process of law" The 
Civil Rights Act of 1871, as codified at 42 
U.S.C. sec. 1983, provides the mechanism for
persons to seek relief from constitutional
deprivations.  While the Civil Rights Act
originally addressed only violations by
State officials, in 1971 the Supreme
Court extended its jurisdiction to include
violations by Federal officials (Bivens v.
Six Unknown Agents of the Federal
Bureau of Narcotics, 403 U.S. 388
(1971)).  A previous BJS report indicated
that physical security (21%), inadequate
medical treatment (17%), and due
process (13%) were the most frequently
cited issues in civil rights petitions 
filed by State inmates (Challenging the
Conditions of Prisons and Jails, BJS
Discussion Paper, NCJ 151652, February 
1995).

Mandamus (28 U.S.C. sec. 1361).  The
writ of mandamus -- like habeas corpus
-- is an extraordinary remedy based in
common law that is used when the plaintiff 
had no other adequate means to attain the 
desired relief.  Mandamus petitions are 
filed when the inmate seeks to compel a 
government official to perform a duty owed 
to the inmate.  The Federal courts have 
held, however, that the mandamus writ can 
only be used to compel a ministerial or 
non-discretionary duty of the government
(Marquez-Ramos v. Reno, 69 F.3d 477
(1995)).  Compared to other types of
petitions, mandamus petitions are
infrequent, varied in nature, and 
typically specific to individual 
circumstances.

For more detailed descriptions, see
Prisoner Petitions in the Federal Courts,
1980-96, BJS, NCJ 164615, October
1997.
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Habeas corpus petitions.  By contrast
to the PLRA, the AEDPA appears to
have resulted in an increase in the
number of habeas corpus petitions filed
in U.S. district courts.  During the 55
months prior to enactment an average of
1,042 petitions were filed compared to
an average of 1,637 petitions filed
following enactment (through September
2000).  

The AEDPA appears, however, to have
had a delayed impact on the rate in
which State inmates file habeas corpus
petitions in U.S. district courts.  During
the first 11 months following enactment
the filing rate did not change substantially.  
However, during April 1997, which marked 
the 1-year anniversary of enactment, the 
filing rate more than doubled -- increasing 
from 1.1 per 1,000 inmates per month to 
3.4   resulting in an additional 2,600 habeas
corpus petitions being filed.  Following
this spike, the filing rate decreased
substantially -- to 1.4 per 1,000 inmates
per month -- but remained higher than
that before April 1997.

In contrast to petitions by State inmates,
the AEDPA does not appear to have had
any statistically significant impact on the
filing rate of habeas corpus petitions
(including sec. 2255 petitions to vacate a
sentence) by Federal inmates.**On pages 6
and 7 see the discussion of methods for
estimating the impact of this legislative
change.**  The increase in the number of 
these petitions appears to be solely related 
to the increase in the size of the Federal 
prison population.

Measuring the impact of legislation

Assessing the impact of the PLRA and
AEDPA on the number of prisoner
petitions filed requires more extensive
analysis than calculating the difference
between the number of petitions filed
prior to enactment and at some time
following enactment.  Other changes --
such as increases in the prison
population and changes in prison
administration and conditions -- may
also impact the rate at which inmates 
file petitions and the number of petitions
filed.

While changes in prison administration
and conditions are difficult to ascertain,
incorporating changes in the prison
population is a straightforward process. 
During the period following enactment of
the PLRA and AEDPA, the State prison
population increased from approximately
1.1 million to 1.2 million; the Federal
prison population increased from
approximately 105,000 to 145,000.

Estimates of the impact of the Prison
Litigation Reform Act (PLRA) and the
Antiterrorism and Effective Death
Penalty Act (AEDPA) on the number of
prisoner petitions filed can be derived
using ARIMA models.  ARIMA models
are derived empirically from available
data.  These time-series models test for
changes in the underlying process due
to some intervention such as a policy
change, new legislation, or a court
decision by extrapolating from the past
to the future.  (See Richard  McCleary
and Richard A. Hay, Jr., Applied Time
Series Analysis for the Social Sciences,
1980.)

As part of the time series analysis, data
describing the number of prisoner petitions 
filed in U.S. district courts were aggregated 
into monthly counts and plotted over time -- 
both before and after enactment of the PLRA 
and AEDPA.  In the context of ARIMA, these 
two acts are considered interventions, or
"shocks," that cause a change in the number 
of prisoner petitions filed.  In addition 
to the legislative change, the size of the 
prison population was also incorporated into 
the model derived. Monthly estimates of the 
prison population were derived by 
apportioning the change in the year-end prison
population in equal increments over the
12 calendar months.  (For 2000, estimates 
were derived using the June 30 population.)

The ARIMA models derived suggest that
the PLRA and AEDPA had a statistically
significant impact (p < 0.05) on the
number of prisoner petitions, civil rights
and habeas corpus petitions respectively, 
filed in U.S. district courts by State prison 
inmates and on the number of civil rights 
petitions filed by Federal prison inmates.  
The parameter estimate describing the 
effect of the AEDPA on habeas corpus 
petitions filed by Federal inmates was 
not statistically significant.  Estimates 
of the number of prisoner petitions that 
would have been filed absent the change in 
law were derived by applying the parameters
estimated from the ARIMA model but
excluding the TPLRAt or TAEDPAt parameter, 
depending upon the model, from the equation.  
For example, the change in the number of 
prisoner petitions attributable to the change 
in law was estimated as:

See formula

Estimates of the number of prisoner petitions 
that would have been filed absent an increase 
in the prison population were calculated as the
product of the actual filing rate and the estimate 
of the May 1996 prisoner population.  For example, 
the change in the number of prisoner petitions
attributable to the increase in the State
prison population was estimated as:

See formula

Civil rights petitions.  Estimates
derived from time-series models suggest
that the PLRA resulted in approximately
3.4 fewer civil rights petitions filed per
month for every 3,000 State prison inmates.  
Between April 1996 and September 2000 an 
estimated 73,000 fewer petitions were filed 
in U.S. district courts by State prison inmates 
than would have been filed if the filing rate 
not changed following implementation of the
PLRA.  During the Federal fiscal year 2000 an 
estimated 19,000 fewer civil rights petitions 
were filed by State inmates.

However, because of the increase in the
State prison populations more inmates
were present to potentially file civil rights
complaints.  Accordingly, the approximate 
160,000 inmate increase in the State prison 
population following enactment of the PLRA 
resulted in an estimated 7,500 additional 
civil rights petitions filed following enactment 
(not shown in a table).

Similarly, estimates suggest that the
PLRA resulted in approximately 1 fewer
civil rights petitions filed per month for
every 4,000 Federal prison inmates. Between 
April 1996 and September 2000 an estimated 
1,700 fewer civil rights petitions were filed 
in U.S. district courts by Federal prison 
inmates. During the Federal fiscal year 2000 an
estimated 400 fewer civil rights petitions
were filed.

However the increase in the Federal prison 
population contributed to an increase in civil 
right petitions by Federal inmates.  The 
approximate 70,000 inmate increase in the Federal 
prison population resulted in an estimated 600
additional civil rights petitions filed following 
enactment (not shown in a table).

Habeas corpus petitions. Estimates derived 
from time-series models suggest that the 
AEDPA resulted in approximately 1 additional 
habeas corpus filing per month for every 3,400
State prison inmates.  Additionally, the
increase in the number of habeas
corpus petitions resulting from the
increased filing rate was supplemented
by an increase attributable to the
increase in the State prison population.

Between April 1996 and September
2000 an estimated 18,000 additional
habeas corpus petitions were filed in
U.S. district courts by State prison
inmates as a result of the enactment of
the AEDPA.  During the Federal fiscal
year 2000 an estimated 5,800 additional
habeas corpus petitions had been filed. 
The approximate 160,000 inmate increase 
in the State prison population resulted 
in an estimated 5,900 additional petitions 
filed following enactment (not shown in 
a table).

While the AEDPA does not appear to
have had an impact on habeas corpus
petitions filed by Federal inmates, the
approximate 40,000 inmate increase in
the Federal prison population resulted in
an estimated 6,000 additional habeas
corpus petitions filed in U.S. district
courts (not shown in a table).

Methodology

Data sources

The primary source of data for tables
presented in this report is the Federal
Judicial Center Integrated Database. 
The Integrated Database is composed 
of the criminal, civil, and appellate data
files maintained by the Administrative
Office of the U.S. Courts.  These data
are archived at the National Archive of
Criminal Justice Data by the Federal
Judicial Center as Study Number ICPSR
8429.  Statistics describing the number
of Federal and State prison inmates
were obtained from the Bureau of
Justice Statistics National Prison
Statistics data series.

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The Bureau of Justice Statistics is the
statistical agency of the U.S. Department 
of Justice.  Lawrence A. Greenfeld is 
acting director.

BJS Special Reports address a specific topic 
in depth from one or more datasets that cover 
many topics. 

John Scalia wrote this report.  Keonna Feaster
provided statistical review and verification. 
John Golmalt of the Admininstrative Office of
the U.S. Courts provided technical commentary.  
George Cort of the Federal Judicial Center 
provided access to the data. Ellen Goldberg 
and Tom Hester edited and produced the report.  
Jayne E. Robinson administered final production.
  
January 2002, NCJ 189430
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End of file
12/21/01 ih

Revised
2/05/02 th