Louis Matire v. Louie Wainwright, 811 F.2d 1430, 11th Cir. (1987)
Louis Matire v. Louie Wainwright, 811 F.2d 1430, 11th Cir. (1987)
2d 1430
Matire appeals the district court's denial of his petition for writ of habeas
corpus with regard to his claim of ineffective assistance of appellate counsel on
his direct appeal. Matire is currently in the custody of Louie L. Wainwright,
Secretary of the Florida Department of Corrections. Matire was found guilty of
first degree murder and sentenced to life imprisonment in 1968.
I. BACKGROUND
2
In 1967, Matire was romantically involved with and sometimes lived with
Dianne Benhardt, who was separated from her husband Robert Benhardt. In
mid-May, 1967, Dianne indicated to Matire that her son was moving to Florida
from New Jersey, where he was living with her husband, to live with her and
that Matire would no longer be able to live with her. It also appears that Dianne
attempted to terminate her relationship with Matire at about that time.1 During
the course of these discussions, Matire became very upset and threatened to go
to New Jersey and "kill the whole family." He claimed to have broken Dianne's
television and record player and slashed many of her clothes with a knife.
Matire also threatened suicide if things didn't work out between him and
Dianne.
3
Matire returned to the Bahia Cabana with the gun which he testified was
concealed inside his shirt. None of the witnesses who testified at the trial could
say that Matire had a gun in sight when he re-entered the bar. Two witnesses
testified that on Matire's return to the bar Robert Benhardt said something to
Matire such as "no, you don't," "what are you doing," or "don't be silly."
Gallagher, called as a witness by the state, testified that he heard Benhardt say
something like "What the hell are you doing," that Robert Benhardt swung off
his barstool and came toward Matire, that Benhardt shoved Matire backwards,
and that a struggle ensued over the gun. No other witness contradicted this
version of the events. In the course of the struggle both Matire and Robert
Benhardt received gunshot wounds. After Benhardt slumped to the floor,
Matire, as he fled the scene, waved the gun and threatened those in the bar not
to move. Benhardt died as a result of the wounds he received.
Matire was arrested shortly after the shooting and taken to the hospital. He was
informed of his rights at the time of the arrest and declined to make a statement.
He was informed of his rights again at the hospital and again declined to make
a statement. However, while at the hospital Matire made incriminating
statements to his mother within the hearing of police officers. Specifically,
Matire's statement to his mother was reported by the officer who was guarding
him as:
6
[Matire
and his mother] had trusted [Dianne] and she had told him that she loved
him. Now that this happened he wanted to die....
7
[Matire's mother] told him that he had done wrong by shooting Benhardt ... and
he stated that he didn't care, and if he didn't die tonight he would shoot him
again and make sure that he was dead ... he would shoot him again if he had the
chance.... He then babbled on how he did not care what happened to him.
Tr. 578-79.
At the trial, the prosecutor asked the arresting officer whether he had informed
Matire of his rights and whether Matire had made a statement. The arresting
officer responded that he had informed Matire of his rights and that Matire had
not made a statement. The full text of this first comment on Matire's post-arrest
silence is set forth as follows:
20
ARRESTING OFFICER: Yes, sir.
21
PROSECUTOR: Now, after your telling him this, did he make a statement to you?
22
ARRESTING OFFICER: No, sir, he said nothing.
23
24
Tr. 537-38. Matire's counsel moved for a mistrial on the basis of this first
comment on his post-arrest silence. The trial court summarily denied the
motion.
25
26
27 very first thing that happened to that man [after his arrest], the very first thing
The
after that, they warned him of his civil rights that he may have, and asked if he
wanted to say anything, and he said no.
28
From there--they knew he was wounded--they took him over to the hospital to
be treated. As an added precaution, as soon as he came into the hospital in the
emergency ward, you heard Officer McLellan. He testified that he was brought
in and Sergeant Bruce Lieberman gave him--again told him what his civil rights
were, told him he didn't have to say anything; and he also testified that the man
was rattling. He babbled on, or he was emotionally upset.
29
30
The medical testimony that you heard was that he was just--all of it--the sheer
enormity of the whole thing was upon it. In fact, even after he said he didn't
want to make a statement, he had to talk. He had to say something. He talked to
his mother.
31
He said, "What kind of a girl is that, Mother, that would do that thing to me,"
and he went on.
32
He said, "I don't want to live myself, but if he isn't dead, I will do it--I will
shoot him again."
33
This is a man who is upset fully, but cognizant of what he did, fully cognizant
of what he did. He knew he shot somebody.
34
Tr. 809-10. The jury convicted Matire of first-degree murder and recommended
mercy. The trial court sentenced Matire to life imprisonment.
35
On direct appeal, Matire's appellate counsel raised one issue, trial court error in
failing to submit a written set of instructions to the jury. Matire's conviction
and sentence were affirmed. Matire brought three separate collateral attacks on
his conviction in state court. The first of these raised the competency to stand
trial issue. The Florida Appellate Court summarily affirmed Matire's conviction
and sentence without opinion. 375 So.2d 920 (Fla.App. 4th 1979). The second
collateral attack raised the Fifth Amendment issue. In his brief, Matire's counsel
discussed only the first comment on Matire's post-arrest silence. The Fifth
Amendment issue was dismissed because Matire had not raised it on direct
appeal. The Florida Appellate Court affirmed the dismissal with the proviso
that the dismissal was "without prejudice, however, to appellant filing a petition
for habeas corpus ... based upon an allegation of ineffective assistance of
appellate counsel." 403 So.2d 1049, 1050 (Fla.App.4th 1981). Matire
subsequently filed a third petition for post-conviction relief based on ineffective
assistance of appellate counsel as to the Fifth Amendment issue. While the first
comment was clearly relied upon, it is unclear from the record whether either
Matire or the state court relied upon the second and third comments as
instances of ineffective assistance as well. This petition was considered on its
merits and denied without opinion by the Florida courts.
36
After all these appeals were denied, Matire filed the instant petition for writ of
habeas corpus in federal court, alleging that his conviction was obtained by a
violation of his Fifth Amendment right against self-incrimination and that he
was denied his Sixth Amendment right to effective assistance of appellate
counsel because of appellate counsel's failure to raise the Fifth Amendment
issue. In both prongs of the Fifth Amendment argument, Matire's counsel
expressly addressed only the first comment on Matire's post-arrest silence. The
district court denied the petition on the basis that the Fifth Amendment error
underlying the ineffective assistance of counsel claim was harmless and
rejected the independent Fifth Amendment claim on the basis that it was
harmless and procedurally barred.
II. ISSUE
37
III. DISCUSSION
38
Matire asserts that his counsel on his direct appeal was ineffective for failing to
raise on appeal three improper comments on Matire's exercise of his Fifth
Amendment right to remain silent: the first comment by the first testifying
officer, the second comment by the second testifying officer, and the
prosecutor's comment in closing argument.
39
Before addressing the merits of this claim, we must evaluate the state's
argument that we should not consider the second and third comments because
they were not expressly raised in the district court. Although we acknowledge
the general rule against consideration of issues not raised in the district court,
we conclude that the second and third comments were fairly presented to the
district court. Although in his habeas corpus petition in district court Matire did
not specifically rely on the second comment by the officer and the prosecutor's
comment in closing argument, he challenged the effectiveness of his appellate
counsel and expressly relied on the failure of the appellate counsel to challenge
the officer's first comment in violation of Matire's Fifth Amendment rights. To
review the ineffective assistance claim, the court had to examine the total
performance of appellate counsel and the effect thereof, and thus would
necessarily have considered the related comments, including the prosecutor's
argument to the jury which itself was based on the evidence specifically
challenged. To hold otherwise would require us to assume that the district court
ignored its duty to assess counsel's total performance; it would require us to
assume that the district court ignored its duty to evaluate any deficiencies in
light of the record as a whole to determine whether it was reasonably probable
that the outcome would have been different. See Francis v. Spraggins, 720 F.2d
1190, 1192-93 (11th Cir.1983) (holding in an analogous context that when
habeas petitioner presented to the state courts an ineffective assistance of
counsel claim based on several deficiencies he was not procedurally barred in
federal court from basing that claim additionally on counsel's closing argument;
holding that the related closing argument was fairly presented to the state
courts), cert. denied, 470 U.S. 1059, 105 S.Ct. 1776, 84 L.Ed.2d 835 (1985).
Thus, we conclude that the ineffective assistance of counsel claim which
Matire presents on appeal was fairly presented to the district court.3
40
41
42
The testimony by the two officers regarding Matire's post-arrest silence which
the prosecutor elicted and the prosecutor's closing argument are impermissible
comments on Matire's post-arrest silence. In Griffin v. California, 380 U.S. 609,
85 S.Ct. 1229, 14 L.Ed.2d 106 (1965), the Supreme Court held that direct
comments by the prosecution on a defendant's silence in a state criminal
proceeding violate the Fifth Amendment. In this circuit, the definition of such
an impermissible comment turns on whether the remark is "manifestly
intended" by the prosecutor or "would naturally and necessarily be understood
by the jury" as a comment on the defendant's silence. United States v. Vera,
701 F.2d 1349 (11th Cir.1983). In addition, the reviewing court is to consider
the overall trial context of the comment. United States v. Forrest, 620 F.2d 446,
455-56 (5th Cir.1980).4 Here, all of the standards of an impermissible comment
are met. The comments were direct and would naturally be understood by a
jury as comments on silence. When viewed in the context of the overall
proceedings, the comments show a manifest intent on the part of the prosecutor
to highlight the defendant's silence and to utilize it to defeat his insanity
defense. There were repeated questions. The prosecutor was not just seeking to
verify that Matire was advised of his rights, with the officer simply
volunteering that Matire had remained silent. Rather after ascertaining that the
Miranda advice was given, the prosecutor on three separate occasions expressly
asked the first testifying officer whether Matire had responded, including an
express question: "did he make a statement to you?" Tr. 538. After the issue
had been expressly raised by defense counsel's motion for mistrial, the
prosecutor repeated the same procedure with the second testifying officer. After
ascertaining that Matire had been advised of his Miranda rights, the prosecutor
again asked if Matire had responded. The officer answered that Matire had
"replied he did not want to make a statement." Finally, in his closing argument,
the prosecutor himself commented on Matire's silence, and linked Matire's
desire to remain silent to his insanity defense, arguing that he understood what
he was doing. In this regard, the prosecutor's comment is indistinguishable
from that condemned in Wainwright v. Greenfield, 474 U.S. 284, 106 S.Ct.
634, 88 L.Ed.2d 623 (1986).
43
While this use of Matire's silence clearly violated the due process clause of the
Fourteenth Amendment, see Doyle v. Ohio, 426 U.S. 610, 96 S.Ct. 2240, 49
L.Ed.2d 91 (1976), such a constitutional violation is subject to the harmless
error rule. United States v. Meneses-Davila, 580 F.2d 888 (5th Cir.1978).
Meneses-Davila identified three categories into which prosecutorial comment
on a defendant's silence may fall:
United States v. Meneses-Davila, 580 F.2d 888, 893 (5th Cir.1978) (citing
Chapman v. United States, 547 F.2d 1240, 1249-50 (5th Cir.), cert. denied, 431
U.S. 908, 97 S.Ct. 1705, 52 L.Ed.2d 393 (1977)).
48
not always fit neatly into these three categories and that determinations of
harmlessness must be made on a "case-by-case basis," id. at 890. The procedure
for making such a determination should include:
49 examination of the facts, the trial context of the error, and the prejudice created
an
thereby as juxtaposed against the strength of the evidence of defendant's guilt.
50
Id. In Meneses-Davila, the court emphasized the fact that there was more than a
single reference to the defendant's silence. Id. at 895. Further, the court found
that "while the evidence of defendant's guilt was strong, it was not
'overwhelming,' nor was defendant's exculpatory story 'transparently frivolous.'
" Id.
51
52
The evidence established that Matire's mental problems began at an early age.
At the time Matire was three weeks old, he had brain surgery. He suffered
nightmares and nervous problems throughout his childhood. After his first
suicide attempt when he was fourteen years old, he was diagnosed by a
psychiatrist as schizophrenic. At seventeen he joined the Navy but received a
medical discharge due to psychiatric problems. Following his discharge from
the Navy, Matire attempted suicide several times prior to this incident. Two of
these past suicide attempts led to his temporary commitment to the psychiatric
units of Bellevue Hospital in New York and Darcy Hospital in Florida. While at
Darcy Hospital, Matire was under the care of Dr. Williams, who testified at
Matire's trial. Dr. Williams testified that two years prior to the shooting he had
diagnosed Matire as a paranoid schizophrenic and had advised his mother to
have him permanently institutionalized because Dr. Williams believed Matire's
psychiatric problems so severe as to make Matire dangerous. In addition to Dr.
Williams' testimony that Matire did not know right from wrong at the time of
the shooting, the defense called a psychologist and two other psychiatrists to
testify as to Matire's mental state at the time of the shooting. All of these
experts diagnosed Matire as a schizophrenic. The two psychiatrists, Doctors
McIntyre and Lever, testified that they had concluded on the basis of their
examinations of Matire that at the time of the shooting Matire had gone into a
kind of panic reaction in which he did not know what he was doing.
53
The state called two psychiatric experts who based their testimony on a single
post-arrest examination of Matire, as compared to Dr. Williams' diagnosis in
the course of his medical treatment, two years before the incident. These
witnesses concluded that although Matire suffered from some mental
disturbances, he did not meet the legal definition of insanity because he did
know right from wrong at the time of the shooting. One of these witnesses did
concede, however, that at the time of the shooting Matire could have been
suffering from a panic reaction in which he did not know right from wrong. We
think that it is manifest that the evidence of sanity was far from overwhelming.
We conclude that the improper comment on Matire's silence cannot be deemed
harmless beyond a reasonable doubt.5 See Greenfield v. Wainwright, 741 F.2d
329, 336 (11th Cir.1984) (holding that prosecutor's comment on silence as
evidence of sanity was not harmless), aff'd on other grounds, 474 U.S. 284, 106
S.Ct. 634, 88 L.Ed.2d 623 (1986).
54
Having concluded that the improper comment on Matire's right to remain silent
did violate Matire's Fifth Amendment rights and was not harmless, we return to
our Sixth Amendment inquiry, i.e., was Matire's counsel on direct appeal
constitutionally deficient in failing to raise the issue, and did that deficiency
actually prejudice Matire.
55
We conclude that counsel's failure to raise the Fifth Amendment issue causes
his performance to fall below that wide range of competence required of
attorneys in criminal cases. The improper comment was obvious on the record,
and must have leaped out upon even a casual reading of transcript. The first
improper comment was expressly objected to in trial counsel's motion for
mistrial. Moreover, the fact that such comments were in violation of the Fifth
Amendment was widely known at the time, and was embodied in two Florida
statutes, Fla.Stat. Sec. 918.09 (1967), repealed 1970 Fla.Laws c. 70-339, Sec.
180, and Fla.Stat.Ann. Rule 3.250 (West 1973) (Florida Rule of Criminal
Procedure).6 We find no merit in the state's argument that appellate counsel
might have deemed the Fifth Amendment violation harmless, thus excusing his
failure to raise the issue. First, at the time appellate counsel's brief on direct
appeal was filed, November 1968, the law of Florida clearly provided that such
an error was reversible without regard to harmless error doctrine. 7 Second, as
indicated in the discussion above, the Fifth Amendment violation was not
harmless. Our conclusion that counsel's performance was substandard is
bolstered by the fact that appellate counsel's brief on direct appeal raised only a
single, weak issue, notwithstanding the fact that a substantial, meritorious Fifth
Amendment issue was obvious upon even a casual reading of the trial
transcript. The weak issue actually raised challenged the failure of the trial
judge to send written jury instructions out with the jury. We cannot conclude
IV. CONCLUSION
57
58
Honorable Reynaldo G. Garza, Senior U.S. Circuit Judge for the Fifth Circuit,
sitting by designation
Although Dianne testified that she terminated the relationship, she also testified
that she and Matire continued to see each other afterwards and up until the
arrival of her husband
Matire also claims that appellate counsel was ineffective for failure to
challenge the sufficiency of the evidence. We conclude that appellate counsel
was not ineffective for failing to raise this ground. As we conclude below in the
course of our discussion in this opinion, there was strong, though not
overwhelming, evidence of a premeditated killing, and while the weight of the
evidence favored Matire on the insanity issue, there was clearly sufficient
evidence to support the jury verdict. Thus, we conclude that there was
sufficient evidence, and that appellate counsel's failure to raise the issue is not a
Sixth Amendment violation
In light of our disposition of the issue discussed at length in this opinion, we
need not address Matire's only other claim on appeal, i.e., that his appellate
counsel was ineffective also because of his failure to raise on direct appeal the
failure of the trial court to conduct a hearing on Matire's competence to stand
trial.
3
The state has not argued on appeal that reliance on the second and third
comments would be procedurally barred under Wainwright v. Sykes, 433 U.S.
72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977). The state does not assert a Sykes bar
probably because the state court also evaluated counsel's total performance on
the record as a whole, because Francis v. Spraggins, supra, would in any event
require a conclusion that there is no such bar in this case, and finally because
the facts of this case do not constitute a procedural default under Florida law. In
Greenfield v. State, 337 So.2d 1021, 1022-23 (Fla.App.1976), an improper
comment on Greenfield's silence was made by the testifying officer, but there
was no objection. However, there was objection when the prosecutor later
argued the evidence in closing. The Florida court considered not only the
improper argument, but also the admissibility of the evidence. Greenfield
suggests that Florida recognizes that the proper evaluation of such comments
necessarily encompasses related comments. Greenfield suggests that the facts of
this case probably do not establish a procedural default under state law. To the
same effect, see Greenfield v. Wainwright, 741 F.2d at 331 n. 1 and 332 n. 3;
see also Greenfield v. Wainwright, 474 U.S. at ----, 106 S.Ct. at 637 (describing
Clark v. State, 363 So.2d 331 (Fla.1978) as holding that an improper comment
on silence was reviewable on appeal if objection was made either at the time
the evidence was introduced or at the time of the prosecutor's comment)
This case was decided prior to the close of business on September 30, 1981,
and is binding precedent under Bonner v. City of Prichard, 661 F.2d 1206, 1209
(11th Cir.1981)
The state argues, and the court below found, that the improper comment was
harmless because there was overwhelming evidence of premeditated murder,
primarily in the form of Matire's statement to his mother that he would do it
again. We reject this argument for two reasons. First, it does not take into
account the effect of the improper comment on the insanity defense with
respect to which the evidence was far from overwhelming. See discussion in
text. Second, we disagree with the conclusion that there was overwhelming
evidence of premeditation. It is true that Matire's statement to his mother that
he would do it again is strong evidence of premeditation. However, that
statement was made immediately after the events, while Matire was in the
hospital as a result of his own gunshot wounds, and at a time when
uncontradicted evidence establishes that Matire was severely distraught. Even
if a person had accidentally or impulsively killed a rival for his lover's
affections, he might well after the fact be glad the rival was dead, especially
during a state of emotional trauma. We note that this statement to his mother
was immediately preceded by Matire's statement to his mother that now that
this had happened he wanted to die. More significantly, while Matire's
statement to his mother must be acknowledged to be strong evidence of
premeditation, there was also strong evidence that the fatal shooting was either
accidental or impulsive. A strong inference from Gallagher's testimony is that
Benhardt initiated the physical struggle, since Gallagher testified that Benhardt
swung off the barstool and shoved Matire backward. Gallagher was the only
witness who testified with respect to the details of the commencement of the
struggle, and his testimony provided some corroboration for Matire's testimony
that he came back to the bar intending to commit suicide in front of Dianne, that
he had the gun under his shirt as he walked in, that Benhardt started the fight,
coming off the barstool and punching Matire in the stomach. This version of
the facts is also consistent with the fact that none of the witnesses could testify
that they saw a gun in Matire's possession when he re-entered the bar, and with
the fact that both men were shot during the struggle. Of course, there were
inferences to the contrary. In addition to Matire's statement to his mother that he
would do it again, additional inferences of premeditation include: the fact that
he left and returned with a gun (the jury might disbelieve the testimony of
Matire and his brother that Matire had the gun to commit suicide,
notwithstanding the strong evidence of prior suicide attempts in similar
circumstances); the inference that Matire provoked the struggle might arise
from the testimony that immediately before the struggle Benhardt said
something like "what are you doing"; and the manner in which Matire fled the
scene. The medical testimony also introduced the suggestion that, even if
Matire had provoked or initiated the struggle, the actual shooting might have
been impulsive rather than premeditated. After a careful review of the record,
we are satisfied that the evidence of premeditation was not overwhelming
6
In all criminal prosecutions the accused may at his option be sworn as a witness
in his own behalf, and shall in such case be subject to examination as other
witnesses, but no accused person shall be compelled to give testimony against
himself, nor shall any prosecuting attorney be permitted before the court or jury
to comment on the failure of the accused to testify in his own behalf.
See also, e.g., 1939 Fla.Laws ch. 19554, Sec. 214.
Litigation under these statutes was common long before the landmark United
States Supreme Court case of Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602,
16 L.Ed.2d 694 (1966). See e.g., Jackson v. State, 45 Fla. 38, 34 So. 243
(1903); Dabney v. State, 119 Fla. 341, 161 So. 380 (1935); Gordon v. State,
104 So.2d 524 (Fla.1958); McLendon v. State, 105 So.2d 513 (Fla.App.1958)
(prosecutorial comment on failure of defendant to make a statement to deputy
sheriff impermissible); Milton v. State, 127 So.2d 460 (Fla.App.1961); Tolliver
v. State, 133 So.2d 565 (Fla.App.1961), cert. denied, 139 So.2d 691 (Fla.1962).
7
On the relevant date, the only decisions in Florida on the subject had clearly
held that harmless error did not apply to comments on a defendant's silence.
McLendon v. State, 105 So.2d 513 (Fla.App.1958); Trafficante v. State, 92
So.2d 811 (Fla.1957); Way v. State, 67 So.2d 321 (Fla.1953). The state asserts
that this doctrine was put in doubt by State v. Galasso, 217 So.2d 326
(Fla.1968), a doubt which was later resolved by Bennett v. State, 316 So.2d 41
(Fla.1975). Bennett held that the harmless error doctrine does not apply to
comments on silence. This ruling remained in effect until State v. Marshall, 476
So.2d 150 (Fla.1985) and State v. DiGuilio, 491 So.2d 1129 (Fla.1986)
(adopting the federal harmless error standard enunciated in Chapman )
However, even if Galasso did throw the harmless error rule in doubt for the
1968-1975 period, it is irrelevant to our concerns because the decision in
Galasso was released on Dec. 20, 1968, a month after Matire's direct appellate
counsel filed his brief in Matire's direct appeal, and thus could not have affected
counsel's judgment as to Matire's possible claims.
Cases in other circuits have held that when the effectiveness of appellate
counsel is challenged, the proper focus of the prejudice inquiry is the outcome
of the appeal. Lockhart v. McCotter, 782 F.2d 1275 (5th Cir.1986); see also,
Gray v. Greer, 778 F.2d 350 (7th Cir.1985), vacated on other grounds --- U.S. ---, 106 S.Ct. 3328, 92 L.Ed.2d 734 (1986). This court has not addressed that
issue and it is not necessary in this case to do so. If the proper focus is the
outcome of the challenged appeal, Matire has satisfied the prejudice prong as
indicated in the text. If the proper focus is the projected outcome of a retrial
assuming reversal of the conviction on appeal, our confidence in that outcome
is also undermined in this case. At the original trial the evidence of insanity
was considerably more forceful than the evidence of sanity. There is a
reasonable probability that the outcome of a new trial would be different