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United States Court of Appeals, Eleventh Circuit
United States Court of Appeals, Eleventh Circuit
2d 881
The principal question presented on this appeal is whether the district court
properly applied the doctrine of Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct.
2497, 53 L.Ed.2d 594 (1977), and Murray v. Carrier, --- U.S. ----, 106 S.Ct.
2639, 91 L.Ed.2d 397 (1986), in holding that petitioner is barred from obtaining
federal habeas corpus relief on his claim that the trial court unconstitutionally
excluded non-statutory mitigating evidence from his capital sentencing
proceeding. We conclude that the doctrine of Sykes and Carrier does not bar a
review of the merits of petitioner's claim, and we remand the claim for an
evidentiary hearing.
I.
2
The jury recommended that petitioner receive the death sentence, and the trial
court, following its recommendation, imposed that sentence. Petitioner
appealed, claiming various errors in the guilt and penalty phases of his trial,
among them the trial court's refusal to allow petitioner to introduce the three
items of mitigating evidence listed above. Petitioner contended that the third
item of mitigating evidence, concerning Ellis' influence over him, was
admissible to establish the mitigating circumstance enumerated in Fla.Stat. Sec.
921.141(6)(d) (1973), which states that a defendant's "relatively minor"
participation in a "capital felony committed by another person" shall be a
mitigating circumstance. The State, in response, argued that the proffered item
of evidence was insufficient to establish this statutory mitigating circumstance.
With respect to the first two items of mitigating evidence, which petitioner
conceded did not relate to any mitigating circumstance enumerated in section
921.141(6), petitioner contended in his brief that they were nevertheless
admissible because "[t]he underlying rationale of the death penalty is that an
individual has shown by their [sic] actions that they [sic] are beyond
rehabilitation. It was error not to allow the Appellant to present evidence that he
was not beyond rehabilitation."5 The State responded that the trial court
correctly excluded these items of evidence because they did not tend to
establish any of the mitigating circumstances contained in section 921.141(6).6
The Supreme Court of Florida, in Cooper v. State, 336 So.2d 1133 (Fla.1976)
(per curiam), cert. denied, 431 U.S. 925, 97 S.Ct. 2200, 53 L.Ed.2d 239 (1977)
[hereinafter Cooper I ], affirmed petitioner's convictions and death sentence.
The court held that the trial court properly excluded the proffered evidence
Cooper I, 336 So.2d at 1139 (citation and footnote omitted). The court further
stated that "the Legislature chose to list the mitigating circumstances which it
judged to be reliable for determining the appropriateness of a death penalty ...
and we are not free to expand the list." Id. (footnote omitted).7
Two years after petitioner lost his direct appeal in the state supreme court, the
United States Supreme Court announced its holding in Lockett v. Ohio, 438
U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978) (plurality). Recognizing that
the constitutional application of the death penalty was an amorphous area of the
law, the Court provided at least one bright line rule:
9 sentencer, in all but the rarest kind of capital case [can]not be precluded from
the
considering, as a mitigating factor, any aspect of a defendant's character or record
and any of the circumstances of the offense that the defendant proffers as a basis for
a sentence less than death.
10
11
In 1979, following the Lockett decision, petitioner sought collateral relief in the
state trial court pursuant to Fla.R.Crim.P. 3.850.8 Petitioner reiterated his claim,
made on direct appeal, that the court had erred in excluding his proffered
mitigating evidence, and contended that "the trial court violated the dictates of
Lockett by unduly restricting the introduction of evidence relevant to
nonstatutory mitigating circumstances." Cooper v. State, 437 So.2d 1070, 1071
(Fla.1983) (per curiam), cert. denied, 464 U.S. 1073, 104 S.Ct. 986, 79 L.Ed.2d
221 (1984) [hereinafter Cooper II ]. The State's brief responded to the merits9
of petitioner's Lockett claim and argued that the evidence petitioner proffered
at trial did not constitute mitigating evidence. The trial court denied petitioner's
claim on the merits.
12
12
consider the merits of his Lockett claim because it viewed the claim as
procedurally barred. According to the supreme court,
13 his initial appeal from his conviction and sentence, [petitioner] raised the
[i]n
question of whether certain evidence he had proffered was probative and relevant to
the statutory mitigating factors, and we answered this question in the negative. He
now attempts again to raise the issue of relevancy of this evidence but on a different
basis than originally argued in his direct appeal.
14
Id. at 1071. Having declared that petitioner's direct appeal presented only a
statutory and not a constitutional claim, the court held that petitioner could not
now attack his sentence on Lockett grounds.10 See id. at 1071-72.
15
Petitioner next brought this habeas corpus action in the district court. He
presented four claims in his petition, each of which has been exhausted11: (1) he
could not receive the death penalty, because the jury did not find that he
intended to kill the victim, as required by Enmund v. Florida, 458 U.S. 782, 102
S.Ct. 3368, 73 L.Ed.2d 1140 (1982); (2) he received ineffective assistance of
counsel from his court-appointed attorney during the penalty phase of his trial,
in violation of the sixth and fourteenth amendments; (3) the Supreme Court of
Florida, in reviewing petitioner's death sentence, failed to consider the
mitigating evidence petitioner proffered to the trial court; and (4) the trial court
erred, under Lockett, in rejecting such mitigating evidence. The district court
declined to hold an evidentiary hearing on any of petitioner's claims and
rejected them on the merits. The court rejected petitioner's Lockett claim on
procedural grounds as well, citing Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct.
2497, 53 L.Ed.2d 594 (1977). This appeal followed.
16
We agree with the district court, for the reasons stated in the margin, that
petitioner's first three claims are meritless.12 We find, however, that his fourth
claim is not barred by Sykes and its progeny, and deserves an evidentiary
hearing. If the mitigating evidence that petitioner proffered at trial, and cites in
his petition, is probative, he may be entitled to a new sentencing hearing in state
court.
II.
A.
17
L.Ed.2d 594 (1977), and Murray v. Carrier, --- U.S. ----, 106 S.Ct. 2639, 91
L.Ed.2d 397 (1986), bars our review of the merits of petitioner's claim. That
doctrine requires a federal habeas court to respect legitimate state procedural
rules that require a criminal defendant seasonably to present his allegations of
error--both at trial and on appeal--so that the state court can consider and rule
on them. The State urges us to apply the doctrine here because petitioner (1)
allegedly failed to present his Lockett claim to the Supreme Court of Florida
when challenging his death sentence on direct appeal, as required by the rules
governing Florida appellate practice, and (2) the supreme court accordingly
refused to consider his claim on the merits. The State cites the supreme court's
observation in Cooper II--that petitioner did not present his Lockett claim in
Cooper I--as evidence of both of these facts. We need not consider whether
petitioner presented his Lockett claim in Cooper I with adequate precision,
because we are satisfied that the supreme court recognized and passed on the
claim in that appeal.
18
In Sykes, the Supreme Court held that federal habeas courts must honor state
contemporaneous objection rules, when enforced by the state courts, and must
decline to review on the merits claims that the state treats as barred, absent a
showing of cause for noncompliance with such rules and resulting prejudice.
See Sykes, 433 U.S. at 90-92, 97 S.Ct. at 2508-09. In Carrier, the court
extended the Sykes rationale to a defendant's noncompliance with state
appellate rules. Both Sykes and Carrier reflect the same considerations of
comity and judicial efficiency. By respecting state procedural rules, federal
courts prevent "sandbagging," promote finality, and allow state courts the
opportunity to add their wisdom to the interpretation of the Constitution. See
Carrier, --- U.S. at ----, 106 S.Ct. at 2647-48; Sykes, 433 U.S. at 88-90, 97 S.Ct.
at 2507-08; Spencer v. Kemp, 781 F.2d 1458, 1472-73 (11th Cir.1986) (en
banc) (Tjoflat, J., specially concurring). Because both Sykes and Carrier require
respect for state procedural rules as a means of furthering these policies, and not
as a goal in itself, a federal court may sometimes reach the merits of a claim
even when the petitioner has not fully complied with state rules. Thus, if the
state interests behind a procedural rule are vindicated regardless of whether a
federal court decides an issue on its merits, the federal court can decide the
question yet remain faithful to Sykes and its progeny. See Spencer, 781 F.2d at
1473-74 (Tjoflat, J., specially concurring).
19
One instance in which a federal court may reach the merits of a habeas claim,
notwithstanding procedural default, is when the state court ignores the default
and decides the merits of the claim. We have held, for example, that if a state
court chooses to ignore a defendant's failure to abide by a contemporaneous
objection rule, the federal courts may reach the merits of the substantive claim.
See Henry v. Wainwright, 686 F.2d 311, 313 (5th Cir. Unit B 1982), vacated on
other grounds, 463 U.S. 1223, 103 S.Ct. 3566, 77 L.Ed.2d 1407 (1983).13
Given the policies underlying Sykes and Carrier, this result is ineluctable.
When a state court decides a constitutional question, even though it does not
have to, it necessarily holds that the policies underpinning its procedural rule
are unworthy of vindication under the particular circumstances of the case
before it. Furthermore, once the state court reaches the merits on a
constitutional claim, the comity that Sykes and Carrier encourage is served,
regardless of whether a federal court also reaches the merits of the claim.
20
Just as a federal court can decide an otherwise waived issue if the state court
excuses the procedural default, a state court's decision to raise and answer a
constitutional question sua sponte will also permit subsequent federal habeas
review. There, as in the above example, the state court again is determining that
the policies its procedural rules enforce do not require vindication in a
particular case. Comity, too, is served in this situation; when a state court
recognizes the presence of a constitutional question, and chooses to analyze and
answer the problem, it serves the Sykes and Carrier policy that state courts
should be encouraged to participate in the process of constitutional
adjudication.
21
In the case before us, the State claims that petitioner is procedurally barred
from obtaining habeas relief on his Lockett claim because he failed to raise it
on direct appeal from his convictions and sentence. To determine the strength
of the State's position, we may look not only at petitioner's brief on appeal, to
see whether he adequately presented his Lockett claim, but also at the Supreme
Court of Florida's opinion in Cooper I. Because a state court is always free to
notice constitutional error sua sponte, as it often does, petitioner's alleged
failure to present his Lockett claim to the Supreme Court of Florida does not
necessarily mean that the court did not reach it. If that court did reach the
merits of petitioner's claim, then a federal habeas court must review the alleged
constitutional violation. See Henry, 686 F.2d at 313. In this case, we find that
the Supreme Court of Florida had the opportunity to rule on petitioner's claim,
and that it did so in Cooper I.14
22
In Cooper I, petitioner argued that the trial court had wrongly excluded certain
non-statutory mitigating evidence. In response, the supreme court stated that "
[s]uch [non-statutory mitigating] evidence threatens the proceeding with the
undisciplined discretion condemned in Furman v. Georgia." Cooper I, 336
So.2d at 1139 (citation and footnote omitted). This statement indicates to us that
the supreme court was aware of, and addressed, the constitutional implications
of petitioner's claim. The court's statement makes it clear that it read Supreme
We thus conclude that the Supreme Court of Florida decided the specific
question later raised in Lockett, and consequently reached the merits of the
claim petitioner now presents. Our conclusion is bolstered by documents
contained in the record. They demonstrate that even if petitioner failed properly
to present his Lockett claim to the Supreme Court of Florida,15 he at least
provided that court with some of the elements of a constitutional argument. To
us, petitioner's presentation of elements of a constitutional argument indicates
that the court's reliance on Furman v. Georgia, 408 U.S. 238, 92 S.Ct. 2726, 33
L.Ed.2d 346 (1972), was not just an errant citation, but rather the result of a
thoughtful decision-making process.
24
The record before us includes several items showing that petitioner at least
alluded to his Lockett claim when he challenged his death sentence in Cooper I.
First, as we stated in Part I, petitioner's brief presented two theories for the
admissibility of his nonstatutory mitigating evidence. One theory was that
Florida's death penalty statute authorized the introduction of the evidence
concerning Ellis' relationship with petitioner.16 The other was that "[t]he
underlying rationale of the death penalty" required the admission of
nonstatutory mitigating evidence. Although the Supreme Court of Florida, in
Cooper II, retrospectively read petitioner's latter claim of error to be statutorily
based, see Cooper II, 437 So.2d at 1071, we find its reading unconvincing.
25
Second, although arguments made to one court are not necessarily reliable
indicators of what arguments parties may have made to another court, we find
petitioner's application to the Supreme Court for a writ of certiorari, and the
State's response, to be of value in determining whether the Supreme Court of
Florida decided petitioner's Lockett claim in Cooper I. In his application,
petitioner explicitly based his challenge to the trial court's exclusion of
mitigating evidence on the eighth and fourteenth amendments. The State's brief
responded that petitioner's claim of an unconstitutionally conducted sentencing
trial was "patently without merit, and the Florida Supreme Court properly so
concluded." For similar reasons, we find the State's brief to the Supreme Court
of Florida in petitioner's Rule 3.850 proceeding to be relevant. In its brief, the
State argued that petitioner had raised and lost his constitutional claim on direct
appeal.17 The State's contention, albeit further removed in time from petitioner's
criminal prosecution and direct appeal, demonstrates again to us that the
parties, at least, shared an understanding that on direct appeal they had litigated
the constitutionality of the trial court's exclusion of petitioner's mitigating
evidence.
26
III.
27
Petitioner contends that the trial court unconstitutionally refused to allow him
to introduce mitigating evidence at the penalty stage regarding his prior
employment, his marital plans, and Ellis' influence over him. He now seeks a
new sentencing hearing, claiming that Lockett v. Ohio, 438 U.S. 586, 98 S.Ct.
2954, 57 L.Ed.2d 973 (1978) (plurality), Eddings v. Oklahoma, 455 U.S. 104,
102 S.Ct. 869, 102 S.Ct. 869, 71 L.Ed.2d 1 (1982), and Skipper v. South
Carolina, --- U.S. ----, 106 S.Ct. 1669, 90 L.Ed.2d 1 (1986), stand for the
proposition that a defendant in a capital case has a constitutional right to present
any relevant and competent mitigating evidence to the sentencer. Skipper and
Eddings merely refined the Lockett rule, which petitioner's argument accurately
reflects. Because this court has held that Lockett is to be applied retroactively,
see Songer v. Wainwright, 769 F.2d 1488, 1489 (11th Cir.1985) (en banc) (per
curiam), petitioner may be entitled to a writ of habeas corpus if he can prove
that the trial court's exclusion of mitigating evidence prejudiced him.
28
The mitigating evidence petitioner proffered at trial, and cites in his habeas
petition, may entitle him to a new sentencing trial. Whether such evidence is
probative and, if so, whether its omission may have affected the outcome of
petitioner's sentencing proceeding, is an issue that we cannot resolve; it is a
matter for the district court. See Hitchcock v. Wainwright, 770 F.2d 1514, 1517
(11th Cir.1985) (en banc) (evidentiary hearings generally preferable in habeas
cases raising Lockett claims), cert. granted, --- U.S. ----, 106 S.Ct. 2888, 90
L.Ed.2d 976 (1986). We therefore vacate the district court's judgment and
remand this case for an evidentiary hearing on petitioner's Lockett claim. In all
other respects, the judgment is affirmed.
29
The facts of this case are set forth in Cooper v. State, 336 So.2d 1133, 1136
(Fla.1976) (per curiam), cert. denied, 431 U.S. 925, 97 S.Ct. 2200, 53 L.Ed.2d
239 (1977)
In capital cases, Florida statutory law provides for separate guilt and penalty
stages. After convicting a defendant of a crime, the jury hears evidence and
recommends to the trial court a sentence of life imprisonment or of death. The
jury may recommend a sentence of death if it finds that "sufficient aggravating
circumstances exist as enumerated" in the death penalty statute, but neither a
jury decision of life imprisonment nor of death is binding upon the trial court.
See Fla.Stat. Sec. 921.141 (1973)
Ellis was killed during an exchange of gunfire with the police, who attempted to
capture him and petitioner following their robbery of a grocery store
presenting mitigating evidence to the court and in fact the court must allow
them [sic] to do so while a man fighting for his life cannot present such
evidence.... Since the theory of the death penalty is that this is the only recourse
for killers who cannot be rehabilitated, evidence as to the Appellant's potential
for rehabilitation was certainly relevant.
6
In Songer v. State, 365 So.2d 696 (Fla.1978) (per curiam), cert. denied, 441
U.S. 956, 99 S.Ct. 2185 (1979), the Supreme Court of Florida stated that
Florida's death penalty law did not, and had never, required that the trial courts
exclude nonstatutory mitigating evidence. Both the Supreme Court of Florida
and this court, however, have recognized that some Florida courts could have "
'misconstrued' " the statute and unconstitutionally restricted the jury's access to
mitigating evidence the defendant proffered. See Songer v. Wainwright, 769
F.2d 1488, 1489 (11th Cir.1985) (en banc) (per curiam); Perry v. State, 395
So.2d 170, 174 (Fla.1981)
Petitioner raised several claims in addition to his Lockett argument in his Rule
3.850 motion. Only his Lockett and three of the other claims are before this
court. See infra text accompanying note 11
On appeal, too, the State urged the supreme court to reject petitioner's claim on
the merits, observing that the same claim had been "raised and rejected" by the
supreme court in petitioner's direct appeal from his convictions and death
sentence
10
11
12
Petitioner's claim that the jury did not find that he was sufficiently culpable to
allow the imposition of the death penalty is foreclosed by Cabana v. Bullock, -- U.S. ----, 106 S.Ct. 689, 88 L.Ed.2d 704 (1986). In petitioner's case, the trial
judge's conclusion that petitioner had a "premeditated design to kill" is
consistent with the jury's verdict and the evidence, and thus meets the
requirement of Enmund v. Florida, 458 U.S. 782, 102 S.Ct. 3368, 73 L.Ed.2d
1140 (1982), that the death penalty not be imposed on one who participates in a
felony without intending to join, or joining, a murder that occurs in the course
of the felony. See Cabana, --- U.S. at ----, 106 S.Ct. at 696-98. Petitioner's claim
that he received ineffective assistance of counsel during the penalty phase of his
trial is also without merit. A criminal defendant is entitled to an attorney whose
assistance is "reasonable considering all the circumstances," and we must
accord great deference to counsel's performance. See Strickland v. Washington,
466 U.S. 668, 688-89, 104 S.Ct. 2052, 2065, 80 L.Ed.2d 674 (1984). Having
examined the record, we conclude that petitioner did not receive
unconstitutionally ineffective assistance of counsel. Finally, petitioner's claim
that the Supreme Court of Florida failed adequately to review his death
sentence on direct appeal because it did not consider the non-statutory
mitigating evidence he proffered at trial merely restates his Lockett claim. If
petitioner is able to show that the evidence he sought to introduce at trial is
credible, then he may be entitled to a new sentencing trial. If petitioner is
unable to make this showing, then the supreme court's refusal to consider noncredible evidence cannot have prejudiced petitioner
13
In Stein v. Reynolds Securities, Inc., 667 F.2d 33 (11th Cir.1982), this court
adopted as binding precedent all decisions of Unit B of the former Fifth Circuit
handed down after September 30, 1981
14
Because we conclude that the Supreme Court of Florida reached the merits of
petitioner's claim, we need not decide whether the record before us
demonstrates that petitioner also "presented" his Lockett claim on direct appeal.
As we discuss infra text accompanying note 16, petitioner placed at least some
elements of his claim before the court and clearly did not attempt to engage in
"sandbagging." Whether petitioner's claim was specific enough to have been
fairly presented to the Supreme Court of Florida is an issue we need not decide,
because even a sua sponte state court decision is sufficient to allow a federal
habeas court to reach the merits of the claim
15
16
17
The State correctly points out that following Cooper II, in his petition for
certiorari to the United States Supreme Court, petitioner argued that he should
be excused from failing to raise his Lockett claim on direct appeal because that
case was unforeseeable. In light of the Supreme Court of Florida's decision in
Cooper II, however, and in context with the rest of his petition for certiorari, we
find this statement a less significant concession than does the State