[PUBLISH]
IN THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
No. 01-15571
D.C. Docket No. 00-04200 CV-ASG
ROBERT ARTHUR HART,
Petitioner-Appellant,
versus
ATTORNEY GENERAL FOR THE STATE OF
SECRETARY FOR THE DEPARTMENT OF CORRECTIONS,
Respondents-Appellees.
Appeal from the United States District Court
for the Southern District of Florida
(
Before TJOFLAT and KRAVITCH, Circuit Judges, and VINSON*,
District Judge.
TJOFLAT, Circuit Judge:
I.
A.
On July 20, 1994, Robert Hart, the appellant; James
Leonard, III; Jyri Quinland; Nelson Vargas; and Jason Monte-Perini were
indicted by a Dade County, Florida, grand jury following the July 3, 1994 armed
robbery of Elite Photography Studio ("Elite") - a private club in
North Miami Beach where customers paid to watch and photograph models in
various states of undress - which led to the deaths of Todd Klein and Yohanna
Fleites, Elite's manager and one of its models, respectively. Each defendant was
charged with two counts of first degree murder, armed robbery, burglary with
assault or battery therein while armed, and unlawful possession of a firearm
while engaged in a criminal offense. The defendants were also charged with the
armed kidnaping of Aneschka Culmer,
___________________
*Honorable C. Roger Vinson, United States District Judge
for the Northern District of Florida, sitting by designation.
another model at Elite, who was the only witness and
survivor of the armed
robbery.
(1)
The defendants were tried separately in the Dade County
Circuit Court.
(2) Following a jury trial in November 1997,
(3) Hart was convicted on all counts.
(4) Hart's conviction was based primarily on a taped statement given
to police in which he confessed to participating in the robbery, and physical
evidence which discredited the portion of Hart's statement in which he denied
killing Klein and Fleites. The only other evidence presented by the prosecution
which linked Hart to these crimes was Hart's fingerprint which had been found
on the outside of the door to Elite. Culmer, the only eyewitness, was not
available to testify at Hart's trial, and Hart's co-conspirators were not
called as witnesses. Prior to trial, Hart moved to suppress his statements
because they were not given voluntarily as required by Miranda v. Arizona,
384 U.S. 436, 86 S. Ct. 1602, 16 L. Ed. 2d 694 (1966). The circuit court
conducted an evidentiary hearing on Hart's motion to suppress.
(5)
The suppression hearing revealed that the Metro-Dade police
learned of Hart's involvement in the robbery at Elite after talking to Culmer.
Culmer provided them with a description of each of the five participants, names
she overheard, and a description of the truck they were driving. She also told
the officers that one of the participants, whom the others referred to as
"Rolex," said that his wife used to work as a model at Elite. Acting
on this information, the police found an employment application in Elite's
files which was filled out by a woman who listed "Rolex" as her last
name. Detectives matched the address on this employment application to the
residence of Leonard. The police connected Hart to Leonard because they had
recently been arrested together for stealing Hart's grandparents' credit cards.
Culmer identified Leonard and Hart as participants in the robbery and homicides
from photographic lineups.
B.
Hart was the first suspect to be brought in for
questioning. Detective Hill testified that he was chosen to bring Hart in for
questioning on July 4 because he already knew Hart from his investigation of the
credit card case. Hill called Hart's grandparents' house, where Hart lived,
(6) to confirm that he was home, and explained to Hart's grandmother
that he wanted to bring Hart to the police station to talk about the credit
card case, which was still pending. He then drove to the grandparents' house
and asked Hart to accompany him to the police station to talk about the credit
card case, which Hart agreed to do. Hill did not tell Hart or his grandparents
about the homicide investigation.
Hill testified that, after arriving at the police station,
he and Hart discussed the credit card case for five to ten minutes. Hill told
Hart that he had to stay out of trouble because Hill was going to talk to the
state attorney about getting Hart into a diversion program or probation in lieu
of jail time for the credit card theft. As he was leaving the room, Hill told
Hart that Detective Mauer wanted to speak to him about another case, but he did
not tell Hart what the nature of the other case was. Hill did not tell Hart
that he was free to leave.
Detective Mauer also knew Hart from a previous
investigation (a sexual abuse case in which Hart was the victim). Mauer
testified that before asking Hart any questions, he had Hart sign a Miranda
rights waiver form. Mauer testified that he explained to Hart one by one each
right listed on the form: (1) that he had the right to remain silent; (2) that
anything he said could be introduced into evidence against him in court; (3)
that he had the right to have an attorney to represent him at any time during
questioning; and (4) that if he wanted an attorney but could not afford one,
one would be provided without charge. After Mauer explained each right, Hart
put his initials next to "yes" to indicate that he understood the
right. Mauer then directed Hart's attention to a question on the form asking
whether he was willing to answer questions at this time without the presence of
an attorney; he explained that Hart could put his initials next to
"yes" if he was willing to answer questions, and Hart did so. Mauer
then asked Hart to sign at the bottom of the form beside a statement indicating
that he signed the form of his own free will without any threats or promises
having been made to him. Mauer brought Sergeant Perez into the interview room
to witness Hart's signature on the waiver form.
Mauer testified that after Hart signed the Miranda rights
waiver form, he told Hart that he was investigating a homicide that occurred at
a photo place, and he wanted to find out what Hart knew about it. Hart said
that he knew nothing about it. Mauer then told Hart that a witness had
identified him from a photographic lineup. Hart then asked to speak to Jodi
Schuster, a detective whom Hart knew because she worked with juveniles and
gangs in his neighborhood. Mauer testified that Hart did not ask to speak to a
lawyer
(7) or to his grandparents.
(8) After Hart requested to speak to Schuster, Mauer stopped
questioning him and left the interview room to arrange for Schuster to come to
the police station to talk to Hart.
Schuster testified that when she arrived, Hart told her
that he asked to speak to her because he thought of her as a friend. He told
her that he thought she would tell him the truth, and she told him that she had
never lied to him in the past, and she would not lie to him now. In fact, she
did lie to him about there being a video camera at Elite that had recorded the
robbery and the killings. She testified that her purpose in lying about the
video camera was to ensure that Hart told her the truth.
Hart asked her if he was in big trouble, and she answered
that he was in "the biggest trouble [he] could ever be in."
(9) Hart asked what could happen to him, and she told him that he
could be given the death penalty if he were tried as an adult, which she
believed was very likely. Hart asked Schuster whether she would get an attorney
if she were in his shoes, and she told him that she could not answer that
question, that he had to make his own decision. She told him to think about
what he wanted to do and left the room for approximately five minutes to give
him time to think about it.
Schuster testified that when she came back to the room,
Hart said, "Let's get started." Hart then asked her what the pros and
cons of having an attorney were in her opinion. She said that in her opinion
the pros of having an attorney were "He'll protect your rights. He'll tell
you what to answer, what not to answer, and he'll be here for you." She
told him the con in her opinion was "I'm going to want to ask you
questions and he's going to tell you you can't answer me."
Schuster did not re-Mirandize Hart. She testified that she
did not indicate to Hart that she would keep what he said to her confidential.
She told him that whatever he told her she was obligated to repeat to the
prosecutor, the judge, his attorney, and anyone else involved in the
investigation who asked. She testified that she did not use the word
"cooperate" and never told Hart that giving a statement would help
his present situation, but she also testified that she told him "honesty
wouldn't hurt him." She did not tell Hart that he was free to leave
because she did not believe he was.
Schuster testified that after she told Hart her opinion of
the pros and cons of having a lawyer, Hart again said, "Let's get
started." Hart then gave an incriminating statement to Schuster. He
repeated this statement a few minutes later with both Schuster and Mauer in the
room. This second statement was recorded. At Hart's trial, Schuster testified
to the contents of Hart's initial statement (which she called a
"pre-interview"), and the taped statement was played for the jury.
C.
In his taped statement, Hart said that it was Leonard's
idea to go to Elite on
The group had two firearms. Leonard was carrying one which
Hart said did not work, and Monte-Perini was carrying the other - a .22 caliber
rifle. Once they were inside, Monte-Perini gave the rifle to Hart. Leonard
pointed his firearm at Klein's head and told him this was a robbery. Leonard
told Hart to watch Klein, Fleites, and Culmer with the rifle in one room while
the others looked around the rest of the club for things to steal. Quinland
took Culmer out of the room to talk to her when she implored them not to hurt
her because she had a young child. After searching for things to steal, Leonard
came back in the room and took Fleites down the hall, leaving Hart alone with
Klein. Hart believed that Leonard took Fleites down the hall to rape her.
When Leonard brought Fleites back into the room a few
minutes later, he threatened to kill Hart if he did not kill Klein. At this
point, Leonard and Hart were the only participants still in the club. Leonard
put a pillow over Klein's head. Hart said that he fired into the pillow, but
deliberately missed Klein. Hart said that after Leonard discovered that Klein
was still alive, Leonard shot and killed both Klein and Fleites.
Leonard and Hart then exited the club and joined the others
outside. Leonard wanted to kill Culmer too, but Quinland would not let him.
They drove to Leonard's house, taking Culmer and the items they stole with
them. Once they were at Leonard's house, they brought the items they stole
inside, and Leonard left to drive Culmer home.
After completing his account of the robbery and homicides,
Hart gave names and descriptions of Leonard, Quinland, Vargas, and
Monte-Perini. Schuster asked Hart if he had given the taped statement
voluntarily, and he answered "yes." She asked if anyone had
threatened or coerced him to make the statement, and he answered
"no." She asked if anyone had made any promises or offered a reward
to make the statement, and he said "no." This concluded the taped
statement.
On
On November 3, 2000, Hart, who is now in the custody of the
State of Florida under a sentence of life imprisonment, filed a petition for
writ of habeas corpus under 28 U.S.C. § 2254 in the United States District
Court for the Southern District of Florida claiming that he is being held in
custody in violation of the Fifth and Fourteenth Amendments to the United States
Constitution.
(13) The district court denied Hart's petition, but granted a
certificate of appealability on the issue of whether Hart's privilege against
self incrimination
(14) under the Fifth and Fourteenth Amendments was violated when the
police misled him as to the nature of that right. We now grant Hart's petition for
writ of habeas corpus.
II.
A.
28 U.S.C. § 2254(d)(1) authorizes a federal court to grant
a petition for writ of habeas corpus with respect to a claim that was
adjudicated on the merits in state court where the adjudication in state court
"resulted in a decision that was contrary to, or involved an unreasonable
application of, clearly established Federal law, as determined by the Supreme
Court of the United States."
(15) "Section 2254(d)(1) defines two categories of cases in
which a state prisoner may obtain federal habeas relief with respect to a claim
adjudicated on the merits in state court." Williams v. Taylor, 529
Writing for the Court with respect to Part II in Williams,
Justice O'Connor explained that a state-court decision will be contrary to
clearly established federal law "if the state court applies a rule that
contradicts the governing law set forth in [Supreme Court] cases" or
"if the state court confronts a set of facts that are materially
indistinguishable from a decision of [the Supreme] Court and nevertheless
arrives at a result different from [Supreme Court] precedent." Williams,
529
Justice O'Connor determined that the statutory phrase
"clearly established federal law, as determined by the Supreme Court"
refers to "the holdings, as opposed to the dicta, of [the Supreme] Court's
decisions as of the time of the relevant state-court decision." Williams,
529
The Supreme Court has held - and it is therefore clearly
established - that the government cannot introduce a suspect's statement taken
without the presence of an attorney without first showing that the suspect made
a voluntary, knowing, and intelligent waiver of his right to counsel. Miranda,
384
Likewise, it is clearly established from holdings of the
Supreme Court that the inquiry into whether a waiver was voluntary, knowing,
and intelligent is twofold:
First, the relinquishment of the right must have been
voluntary in the sense that it was the product of a free and deliberate choice
rather than intimidation, coercion, or deception. Second, the waiver must have
been made with a full awareness of both the nature of the right being abandoned
and the consequences of the decision to abandon it. Only if the "totality
of the circumstances surrounding the interrogation" reveal both an
uncoerced choice and the requisite level of comprehension may a court properly
conclude that the Miranda rights have been waived.
Moran v. Burbine, 475
Hart argued in both the state trial court and the state
appellate court that his waiver was not voluntary, knowing, and intelligent
because Schuster misled him as to the nature of the rights he was waiving.
Clearly established federal law,
(16) as determined by the Supreme Court, required the state courts to
determine whether, under the totality of the circumstances, Hart's waiver was
voluntary, knowing, and intelligent. The state courts did not do so. Instead,
they only applied
We now examine the totality of the circumstances, as the
state courts should have done, and conclude that Hart's waiver was, in fact,
the product of deception and was not "made with a full awareness of both
the nature of the right being abandoned and the consequences of the decision to
abandon it." Moran, 475
Mauer testified that, after Hart signed the waiver form,
Mauer asked him if he knew anything about the homicides at Elite the previous
night. When Hart answered that he did not know anything, Mauer informed him
that the police had a witness who had identified Hart as being present during
the homicides. Hart then asked to speak to Schuster because he trusted her.
Schuster testified that when she arrived Hart asked her whether he should get a
lawyer, and she told him that she could not answer that. She left the room for
a few minutes to give him time to think about it. When she returned, Hart asked
her in her opinion what were the pros and cons of hiring a lawyer. Although
asking for the pros and cons of hiring a lawyer is not an unequivocal request
for counsel, it does indicate that Hart did not fully understand his right to
counsel and was asking for clarification of that right.
Schuster responded to Hart's request for clarification by
telling him that in her opinion the pros of having an attorney were "He'll
protect your rights. He'll tell you what to answer, what not to answer, and
he'll be here for you." This was an acceptable response, but then she also
told him that the con in her opinion was "I'm going to want to ask you
questions and he's going to tell you you can't answer me." Hart asked
Schuster for a clarification of his right to counsel, and Schuster responded by
telling him that the disadvantage of having a lawyer present was that the
lawyer would tell Hart not to answer incriminating questions. The reason for
requiring a lawyer during custodial interrogation is to protect a suspect's privilege
against self incrimination, yet, Schuster in effect told Hart that this was the
disadvantage of having a lawyer.
During this colloquy on the pros and cons of hiring a
lawyer, Schuster also told Hart that "honesty wouldn't hurt him."
Telling him that "honesty wouldn't hurt him" contradicted the Miranda
warning that anything he said could be used against him in court.
(19) The phrase "honesty will not hurt you" is simply not
compatible with the phrase "anything you say can be used against you in
court." The former suggested to Hart that an incriminating statement would
not have detrimental consequences while the latter suggested (correctly) that
an incriminating statement would be presented at his trial as evidence of his
guilt.
Schuster's conduct was not unlike the conduct of the FBI
agents in United States v. Beale.
(20) In Beale, we held that a defendant's Miranda
waiver was invalid because, "by telling [the defendant] that signing the
waiver form would not hurt him the [FBI] agents contradicted the Miranda
warning that a defendant's statements can be used against the defendant in
court, thereby misleading [him] concerning the consequences of relinquishing
his right to remain silent." Beale, 921 F.2d at 1435. We see no
significant difference between the facts presented in Beale and the
facts presented in the instant case.
(21) Schuster's statement that honesty would not hurt Hart had the
same misleading effect as the FBI agents' statement that signing the waiver
form would not hurt the suspect in Beale.
Given the totality of the circumstances surrounding the
interrogation, which include Hart's trust of Schuster and Schuster's statements
contradicting the Miranda warnings, we cannot say that Hart's decision
to waive his rights and confess was voluntary, knowing, and intelligent. His
decision to waive his rights and confess was the product of Schuster's
deception and, as a result of her contradictory statements, he did not truly
understand the nature of his right against self-incrimination or the
consequences that would result from waiving it. Therefore, his waiver was not
voluntary, knowing, and intelligent as required by Miranda, and the
state court's failure to apply the correct legal standard to this issue
resulted in a decision that was contrary to clearly established federal law, as
determined by the Supreme Court.
B.
The admission of statements obtained in violation of Miranda
is subject to harmless error scrutiny. "The question is whether there is a
reasonable possibility that the evidence complained of might have contributed
to the conviction." Fahy v.
In this case, there is definitely a "reasonable
possibility" that Hart's statement contributed to his conviction. At
Hart's trial, the prosecution introduced Hart's statement into evidence both
through Schuster's testimony and by playing a tape recording of the statement
for the jury. The prosecution also presented the testimony of a police expert
to contradict the portion of Hart's statement in which he denied shooting the
victims. The police expert testified that the physical evidence on the pillow
retrieved from the crime scene indicated that all of the shots fired at Todd
Klein were fired in rapid succession without removing the muzzle of the rifle
from the pillow. This contradicted Hart's statement that he deliberately
missed, and Leonard later fired the shots that killed Klein. The only evidence
the prosecution presented to link Hart to the murders which was not related to
Hart's statement was a fingerprint which was found on the outside of the door
to Elite. The fingerprint only established that at some time Hart had touched
the outside of the door to Elite; without Hart's statement, it was insufficient
to establish his guilt. Aneschka Culmer, the only eyewitness, did not testify.
Hart's four co-defendants also did not testify. In short, there is a high
probability, much less a "reasonable possibility," that the evidence
complained of contributed to Hart's conviction, and the introduction of Hart's
statement therefore was not harmless error.
The introduction of Hart's statement likewise had a significant
effect on the conduct of the defense. The admission of Hart's statement led his
attorney to present a defense based on coercion and duress. He called a
neuropsychologist to explain how Hart's background and psychological problems
made it easy for Hart to be intimidated and controlled by Leonard. Hart also
testified about his relationship with Leonard and explained his version of the
events surrounding the murders. The fact that this testimony would have been
unnecessary if the prosecution had not been allowed to present the unlawfully
obtained statement is further evidence that the admission of the statement was
not harmless error.
III.
For the foregoing reasons, we REVERSE the district court
and GRANT Hart's petition for writ of habeas corpus.
SO ORDERED.
VINSON, District Judge, dissenting:
I respectfully dissent. My disagreement with the majority
exists on three levels. First, factually, I do not agree with the majority that
Schuster's statement to Hart that "honesty wouldn't hurt" constitutes
a nullification of Hart's Miranda warning and waiver, considering, as we
must, the totality of the circumstances. Second, as a matter of law, there is
not clearly established law of the Supreme Court of the United States as to
whether a post-waiver statement, such as the one at issue in this case,
nullifies an earlier, correctly given Miranda warning and waiver. Third,
the state court's application of the law, regardless of whether it may be
considered as "clearly established," was not contrary to, or an unreasonable
application of, Supreme Court precedent.
I. Schuster's Statement Taken Properly in Context
In considering whether Hart's confession was coerced, we
must evaluate the totality of the circumstances. Moran v. Burbine, 475
When considered in context and in light of the total
circumstances, I believe it is reasonable to interpret Schuster's statement of
"honesty wouldn't hurt" to mean that, knowing Hart had already waived
his Miranda rights, and already willingly agreed to talk to the police,
but had already lied to the police, then whatever he said should be truthful.
The majority contorts its meaning from a recommendation not to lie into a trick
to get Hart to talk about the homicide. Hart knew that he had been identified
by an eye-witness to the crime. He had told Detective Mauer that he knew all of
his Miranda rights from his prior arrests, but Mauer reviewed his rights
again, in detail. Hart had willingly agreed to talk to the police without an
attorney present before Schuster even arrived. Hart had already been told that
he might face the death penalty if convicted as an adult. The signed Miranda
waiver form was on the table in front of Hart throughout his entire
conversation with Schuster. Hart had already been told that he was in "the
biggest trouble possible"; it was evident that any further lies would only
compound his "trouble." Hart knew that he could request a lawyer at
any time and that anything he told Schuster would be used against him.
(24) Hart understood an attorney's role in our criminal justice
system because he had been represented by an attorney in his recent credit card
theft case.
(25) Schuster's statement to the effect that "honesty wouldn't
hurt him" did not compel Hart's incriminating statement because Hart had
already agreed to talk to the police.
(26) Honesty is the cornerstone of our system of justice. Witnesses
testify under oath because they are required to tell the truth, and dishonesty
is not tolerated. In criminal trials, cooperating witnesses testifying for the
government are routinely admonished to "tell the truth." It is ironic
that the majority finds a statement recommending honesty to be a Miranda
nullification. Hart was fully advised of his Miranda rights; his
decision to answer the officers' questions was uncoerced; he knew he could
request a lawyer at any time and that any statement he made to Schuster would
be used against him.
Once it is determined that a suspect's decision not to rely
on his rights was uncoerced, that he at all times knew he could stand mute and
request a lawyer, and that he was aware of the State's intention to use his
statements to secure a conviction, the analysis is complete and the waiver is
valid as a matter of law.
Moran v. Burbine, 475
The majority apparently believes that Hart took Schuster's
statement literally and confessed because he truly believed he would not be
prosecuted if he confessed, despite all of the information Hart had previously
been given about the implications of confessing. There is no evidentiary
support for that conclusion. All of the facts of this case point to a knowing,
voluntary, and intelligent waiver of Hart's rights, supporting the rulings of
the three prior courts which have reviewed the Miranda challenge in this
case. Those courts did not feel that it was necessary to even address
Schuster's statement to Hart that "honesty wouldn't hurt him" for the
simple reason that it was apparently not raised as a distinct issue in the
state courts.
(27) Because I conclude from the totality of the undisputed evidence
in the record that Hart's statement was "uncoerced," that he knew at
all times that he could "stand mute and request a lawyer," and that
he understood the consequences of his confession, Hart's waiver of his Miranda
rights was "valid as a matter of law."
Factually, the state trial judge considered all of the
evidence presented at the suppression hearing and concluded, after a lengthy
analysis, "that Hart's statements were freely, voluntarily, and
intelligently made." The majority's conclusion that the state courts had
not "analyzed whether Hart's colloquy with Schuster resulted in a waiver
that was not voluntary, knowing, and intelligent" is obviously at odds
with the record.
II. Clearly Established Federal Law
I also disagree with the majority that Supreme Court
precedent is "clearly established" on this issue. Title 28, United
States Code, Section 2254(d)(1) requires that, in order for a federal court to
grant a writ of habeas corpus, the state court's decision must be
contrary to or be an unreasonable application of "clearly established
Federal law, as determined by the Supreme Court of the United States."
(emphasis added). Clearly established federal law for the purposes of Section
2254 is not the law of lower federal courts, including this court.
(28) Hall v. Head, 310 F.3d 683, 691 (11th Cir. 2002).
Only the holdings of the Supreme Court constitute clearly
established federal law for the purposes of Section 2254. Williams v. Taylor,
529
What post-waiver statements amount to retroactive
nullification of a prior valid Miranda waiver, if that is even possible,
has not been clearly established by the Supreme Court. In fact, a
suspect's uncoerced, fully informed decision not to assert his Miranda
rights is a valid waiver as a matter of law, even when followed by some
coercion in the interrogation process. Moran v. Burbine, supra,
475
Even if one assumes, as the majority seems to do,
(30) that Schuster's statement was made while still in the Miranda
waiver process, there is no "clearly established" Supreme Court
decision that indicates such a statement constitutes nullification.
(31) See, e.g., Duckworth v. Eagan, 492 U.S.
195, 205, 109 S. Ct. 2875, 2881, 106 L. Ed. 2d 166, 178 (1989)(holding that
telling suspect he would be provided a lawyer if and when he went to
court did not contravene Miranda); Moran v. Burbine, supra,
475 U.S. at 424, 106 S. Ct. at 1142, 89 L. Ed. 2d at 422 (deliberate or
reckless withholding of information from suspect in custodial interrogation is
only relevant to constitutional validity of Miranda waiver if it
deprives the suspect of knowledge "essential to his ability to understand
the nature of his rights and the consequences of abandoning them.").
Failure to administer the Miranda warnings at all only
raises a presumption of involuntariness. Elstad, supra, 470
III. The State Court's Decision was not Contrary to
Supreme Court Precedent
I further disagree with the majority's conclusion that the
trial court's decision was "contrary to" clearly established Supreme
Court precedent. The Supreme Court of the United States has explained the
framework of Section 2254 review in Williams v. Taylor, 529 U.S. 362,
120 S. Ct. 1495, 146 L. Ed. 2d 389 (2000). The appropriate test was described
by Justice O'Connor as follows:
In sum, § 2254(d)(1) places a new constraint on the power
of a federal habeas court to grant a state prisoner's application for a writ of
habeas corpus with respect to claims adjudicated on the merits in state court.
Under § 2254(d)(1), the writ may issue only if one of the following two
conditions is satisfied - - the state-court adjudication resulted in a decision
that (1) "was contrary to . . . clearly established Federal law, as
determined by the Supreme Court of the United States," or (2)
"involved an unreasonable application of . . . clearly established Federal
law, as determined by the Supreme Court of the United States." Under the
"contrary to" clause, a federal habeas court may grant the writ if
the state court arrives at a conclusion opposite to that reached by this court
on a question of law or if the state court decides a case differently than this
Court has on a set of materially indistinguishable facts. Under the
"unreasonable application" clause, a federal habeas court may grant
the writ if the state court identifies the correct governing legal principle
from this Court's decisions but unreasonably applies that principle to the
facts of the prisoner's case.
529
Under the "contrary to" clause of Section
2254(d)(1), therefore, a writ of habeas corpus may only be
granted where the state court decision either "applies a rule that
contradicts the governing law set forth in [Supreme Court] cases" or the
state court "confronts a set of facts that are materially
indistinguishable from a decision of [the Supreme Court] and nevertheless
arrives at a result different from [Supreme Court] precedent."
(33) Williams, supra, 529
As long as the state court applies the "correct legal
rule," the federal courts cannot substitute their own judgment to reach a
different result under the "contrary to" clause, as we have held:
Although a state court's decision that "applies a rule
that contradicts" the governing Supreme Court precedent is
"contrary," a state court decision that applies "the correct
legal rule" based on Supreme Court law to the facts of the petitioner's
case would not fit within the "contrary to" clause even if the
federal court might have reached a different result relying on the same law.
Fugate v. Head, 261
F.3d 1206, 1216 (11th Cir. 2001)(internal citations omitted); see also
The record reflects that the state court did identify and
apply the correct governing legal rules.
(34) Where the Supreme Court has articulated a multi-factor balancing
test or all-encompassing "totality of the circumstances" test and the
state court applies that test, it is especially difficult for a federal court
to conclude that a state court's decision was contrary to Supreme Court
precedent. When applying such a test, I agree with our colleagues in the First
Circuit that reversing the state court under the "contrary to" clause
must be only in a case where the legal application requires a particular
result. See Kibbe v. Dubois, 269 F.3d 26, 35 (1st Cir.
2001)(quoting O'Brien v. Dubois, 145 F.3d 16, 24 (1st Cir. 1998)). Where
the Supreme Court has distilled constitutional principles into a
"channeled mode of analysis specifically intended for application to
variant factual situations," a state court's decision that is not based on
facts materially indistinguishable can only be "contrary to" clearly
established federal law where the application of the articulated framework
"can fairly be said to require a particular result in a particular
case."
The majority concludes that the decisions of the state
courts were contrary to Supreme Court precedent because "Neither
court...analyzed whether Hart's colloquy with Schuster resulted in a waiver
that was not voluntary, knowing, and intelligent."
(35) But the trial judge, who heard all of the evidence, including
Schuster's testimony, specifically concluded, "This Court finds that
Hart's statements were freely, voluntarily and intelligently made and his
motion to suppress these statements is denied." I fail to understand how
the majority apparently believes that the trial court did not analyze and
consider the totality of the circumstances in making this determination.
(36) The record plainly reflects that the trial court did, in fact,
consider the "totality of the circumstances." Addressing Hart's claim
that his grandmother should have been present during the interrogation, the
trial court stated, "This court finds that the totality of the
circumstances indicate that Hart had no desire to see his grandmother and his
decision to waive his rights was not contingent upon his meeting with
her." As support for this statement, the trial court cited Doerr v.
State, 383 So. 2d 905, 907 (
The United States Supreme Court has held that the
admissibility of a juvenile confession depends on the "totality of the
circumstances" under which it was made. Gallegos v.
Doerr v. State, supra,
383 So. 2d at 905-907 (quoting with approval Doerr v. State, 348 So. 2d
938 (Fla. 2d DCA 1977)).
The trial court also cited State v. Paille, 601 So.
2d 1321, 1324 (Fla. 2d DCA 1992), which noted: "The test of admissibility
of a juvenile confession is the totality of the circumstances under
which it was taken." (emphasis added). It is clear that the trial court
identified the correct governing legal rule - - - that the admissibility of a
confession ("voluntary, knowing, and intelligent") is to be evaluated
based on the totality of the circumstances.
Further, the trial court made a number of findings in
evaluating the circumstances surrounding Hart's confession.
(37) The trial court found that Hart was calm, alert, intelligent,
knowledgeable about the criminal justice system, capable of understanding his
rights, and that he had six to seven hours of sleep the night before the
interrogation. Contrary to the majority's assumption, Hart understood (and told
Mauer that he understood) his right to an attorney because he was represented
by counsel in his recent credit card theft case. There is no evidence that the
interrogation was excessively long. The police even ordered pizza for him to eat.
"Any statement [by the suspect] given freely and voluntarily without any
compelling influences is, of course, admissible in evidence." Illinois
v. Perkins, 496
According to the majority's version of the totality of the
circumstances, Schuster's statement to Hart that "honesty wouldn't hurt
him" and her opinion as to the pros and cons of getting a lawyer compelled
Hart to involuntarily confess and made his waiver a product of her deception.
(38) Miranda's prophylactic purpose is to guard against
coerced confessions obtained in violation of the Fifth Amendment. Subtle
coercion inherent in the interrogation process is remedied by prior advisement
and understanding of Miranda rights, which give the suspect the power to
halt the interrogation. As noted earlier, the Supreme Court has held that a
knowledgeable Miranda waiver is not nullified by such coercive
interrogation: "[F]ull comprehension of the rights to remain silent and
request an attorney [is] sufficient to dispel whatever coercion is inherent in
the interrogation process." Moran v. Burbine, supra, 475
Schuster's conversation with Hart was not the type of
coercive police activity that "threatened, tricked or cajoled" him
into confessing. Miranda, supra, 384
IV. The State Court's Decision was not Unreasonably
Erroneous
Finally, I also want to address why the state court's
decision was not unreasonable. See 28 U.S.C. § 2254(d)(1); Williams,
supra, 529 U.S. at 411, 120 S. Ct. at 1522, 146 L. Ed. 2d at 429
("[A] federal habeas court may not issue the writ simply because that
court concludes in its independent judgment that the relevant state-court
decision applied clearly established federal law erroneously or incorrectly.
Rather, that application must also be unreasonable.")(emphasis
added). This court may not grant a writ of habeas corpus simply
because it would have decided the case differently. Woodford v. Visciotti,
___ U.S. ___, 123 S. Ct. 357, 360, 154 L. Ed. 2d 279, 71 U.S.L.W. 3307 (2002)(per
curiam)(reversing Ninth Circuit for substituting its own judgment for that
of state court). The 1996 amendments to Section 2254 create a heightened
standard on collateral review, increasing the deference to state court
resolutions of arguable constitutional questions. The appropriate analysis is
to first determine whether the state court's decision was incorrect and, if so,
then to determine whether the state court's error was objectively unreasonable.
(39) Id.; Penry v. Johnson,532 U.S. 782, 793, 121 S.
Ct. 1910, 150 L. Ed. 2d 9 (2001); Brown v. Head, 272 F.3d 1308, 1313
(11th Cir. 2002)("It is objective reasonableness, not correctness per se,
of the state court decision that we are to decide."); Boss v. Pierce,
263 F.3d 734, 739 (7th Cir. 2001)(state court decision's application of Supreme
Court precedent must be "so erroneous as to be unreasonable.")(emphasis
added). Justice O'Connor's portion of the plurality opinion in Williams v.
Taylor explained that a state court's decision would be unreasonably
erroneous where the decision correctly identified the governing clearly
established legal rule, but unreasonably applied that rule to the facts of the
case.
(40) See Williams, supra, 529 U.S. at 407-08,
120 S. Ct. at 1520-21, 146 L. Ed. 2d at 427.
In seeking to suppress his confession, Hart testified in
the suppression hearing and argued to the state court that his confession was
not freely and voluntarily given because it was obtained through police threats
and direct or implied promises of leniency or benefits. The trial court
concluded Hart's statements were freely, voluntarily, and intelligently given.
As discussed earlier, this was predominantly a factual conclusion, within the Miranda
legal framework as properly identified by the trial judge. For the same reasons
that I conclude the state court's decision was not "contrary to"
clearly established Supreme Court precedent, I also conclude the state court's
denial of suppression was neither an "unreasonable application" of
the law nor an "unreasonable determination" of the facts. The state
court identified the governing legal rule, considered the totality of the
factual circumstances, and correctly applied that rule to the facts of this
case. We are prohibited by Section 2254(d)(1) from second-guessing the state
court as to the factual application of a legal issue which is far from clearly
established. "[I]f it is a close question whether the state decision is in
error, then the state decision cannot be an unreasonable application." McCambridge
v. Hall, 303 F.3d 24, 36 (1st Cir. 2002). I believe that consistent
application of the unreasonable application standard leads to the inescapable
conclusion that there can be no "unreasonable application" of the law
in this case. The trial court's decision was also not an "unreasonable
determination" of the facts in light of the evidence presented.
Because neither the majority nor I can identify clearly
established Supreme Court precedent which would mandate nullification of Hart's
Miranda warning and waiver, we are left without an external basis, other
than our own subjective opinion, for evaluating the state court's decision.
Taking Schuster's statement properly in factual context, I conclude that the
trial court correctly evaluated the facts before it, but even if it did not,
the trial court's decision definitely was not an objectively
"unreasonable" determination of the facts. Nor was the trial court's
ruling "contrary to, or an unreasonable application of, clearly
established Federal law, as determined by the Supreme Court of the United
States." I believe that we are required by Section 2254(d)(1) to affirm
the district court's decision.
FOOTNOTES
1. Leonard,
Quinland, and Monte-Perini were charged with an additional count of armed
robbery against Culmer. Leonard and Quinland were also charged with tampering
with a witness for threatening Culmer to prevent her from communicating to law
enforcement what she had witnessed at Elite.
2. The
district court order denying Hart's habeas petition indicates that the other
defendants were convicted, but the record before us does not indicate when they
were convicted or on what charges.
3. Hart
was first tried in September 1997, but the court declared a mistrial.
4. On
January 14, 1998, the circuit court found Hart not guilty of armed kidnaping
notwithstanding the jury verdict, and entered an order vacating his conviction
with respect to that charge.
5. Hart's
co-defendants also filed motions to suppress statements and other evidence. The
circuit court conducted a single hearing on all of the motions.
6. Hart
was only seventeen at the time, and his grandmother was his legal guardian.
7. Hart
testified that he did ask Mauer for a lawyer, but Mauer ignored his request, so
he asked for Schuster because he trusted her. He testified that he also told
Schuster several times that he wanted a lawyer, but Schuster also ignored his
requests, and he confessed because he felt he had no alternative after his
requests for a lawyer were denied. The circuit court found that Hart's
testimony that he made several requests for a lawyer was not credible.
8. Hart's
grandmother arrived at the police station while Hart was talking to Schuster.
Mauer explained to her that Hart was being interviewed about a murder case. No
one informed Hart that his grandmother was at the police station until after he
gave a statement.
9. Schuster's
quotations are taken from her testimony at the suppression hearing.
10. For
some reason, however, the circuit court's order was not recorded until August
4, 1999. Although the order did not appear in the index of proceedings which
was furnished as part of the appellate record, the Florida Third District Court
of Appeal did have before it transcripts of the suppression hearing when it
reviewed Hart's conviction.
11. The
circuit court also concluded that the deceptive means used by police to bring
Hart to the police station for questioning did not nullify compliance with the Miranda
standards, that the police did not violate Hart's rights by questioning him
without his grandmother, and that the police were not obligated to contact
Hart's attorney from the credit card case before questioning him. These
findings are not pertinent to the determination of whether the conduct of the
police during the interrogation - particularly Schuster's colloquy with Hart on
the pros and cons of hiring a lawyer - resulted in an involuntary waiver.
12. The
Third District Court of Appeal also cited Adams v. State, 412 So. 2d 850
(Fla. 1982), and Dell v. State, 661 So. 2d 1305 (Fla. 3d Dist. Ct. App.
1995), to support its affirmance, but these cases involved the denial of jury
instruction requests, and are thus irrelevant to the issue of the voluntariness
of Hart's Miranda waiver.
13. 28
U.S.C. § 2254(a) provides:
The Supreme Court, a Justice thereof, a circuit judge, or a
district court shall entertain an application for a writ of habeas corpus in
behalf of a person in custody pursuant to the judgment of a State court only on
the ground that he is in custody in violation of the Constitution or laws or
treaties of the United States.
14. The
privilege against self incrimination is spelled out in the Fifth Amendment,
which provides, in pertinent part: "No person . . . shall be compelled in
any criminal case to be a witness against himself . . . ." U.S. Const.
amend. V.
15. A
federal court is also authorized to grant a petition for writ of habeas corpus
where the adjudication on the merits in state court "resulted in a
decision that was based on an unreasonable determination of the facts in light
of the evidence presented in the State court proceeding." 28 U.S.C. §
2254(d)(2). Because we conclude that the state court's decision on the
suppression issue was contrary to clearly established federal law, we need not
address whether the decision was based on an unreasonable determination of
facts.
16. Judge
Vinson argues in his dissent that granting the writ of habeas corpus is
improper in this case because he believes that Supreme Court precedent is not
clearly established on this issue. He contends that "[w]hat post-waiver
statements amount to retroactive nullification of a prior valid waiver, if that
is even possible, has not been clearly established by the Supreme
Court." This difference in opinion results from our different
understandings of both the phrase "clearly established" and the
phrase "totality of the circumstances surrounding the interrogation."
Judge Vinson appears to believe that federal law would only be clearly
established on this issue if the Supreme Court had decided a case that is
"on all fours" with the instant case - a case in which a suspect is
advised of his rights, signs a waiver, later asks questions about hiring a
lawyer, is deceived by the police, then confesses. We believe that in areas of
the law, such as voluntariness of confessions, in which general principles
announced by the Supreme Court will out of necessity be applied to varying factual
situations on a case by case basis, it is acceptable to derive clearly
established federal law from these general principles rather than waiting for
bright line rules. See Williams, 529 U.S. at 382, 120 S. Ct. at
1507 (Stevens, J., joined by Souter, Ginsburg, and Breyer, JJ.) ("[R]ules
of law may be sufficiently clear for habeas purposes even when they are
expressed in terms of a generalized standard rather than as a bright line
rule.") and Wright v. West, 505 U.S. 277, 308-309, 112 S.
Ct. 2482, 2499, 120 L. Ed. 2d 225 (1992) (Kennedy, J., concurring) ("If
the rule in question is one which of necessity requires a case-by-case
examination of the evidence, then we can tolerate a number of specific
applications without saying that those applications themselves create a new
rule. . . . Where the beginning point is a rule of this general application, a
rule designed for the specific purpose of evaluating a myriad of factual
contexts, it will be the infrequent case that yields a result so novel that it
forges a new rule, one not dictated by precedent."). Applying the general
principle that waivers must not be the product of deception and must be fully
informed to the facts of this case does not create a new rule; therefore, the
law on this issue is clearly established.
Also, as noted infra, the dissent asserts that the
waiver inquiry ends with the signing of the waiver form. Influenced by this
belief, the dissent characterizes the clearly established federal law we rely
on as "retroactive nullification of a prior valid Miranda
waiver." This is not the case. Because Moran requires us to examine
the totality of the circumstances surrounding the interrogation, we examine the
entire interrogation for evidence of involuntariness, and the signed waiver is
only one piece of that evidence.
17. In
Bonner v. City of Prichard, 661 F.2d 1206, 1209 (11th Cir. 1981) (en
banc), this court adopted as binding precedent all decisions of the former
Fifth Circuit handed down prior to October 1, 1981.
18. The
dissent believes that we assume "that Schuster's statement was made while
still in the Miranda waiver process." We find no support for a
distinction between the Miranda waiver process and the interrogation
process. Such a distinction fails to consider the totality of the circumstances
surrounding the interrogation, and instead only considers the circumstances
leading up to and including the signing of the waiver form. Furthermore, under
such a distinction, a defendant who has been apprized of his rights and signed
a waiver form would not be able to later ask for clarification of his rights
and expect an honest response from police; instead, police would be permitted
to respond to clarifying questions regarding Miranda rights with deception
as long as they did so after the waiver form was signed. The signed waiver form
does not have talismanic powers; it is merely one piece of evidence to be
considered in the totality of the circumstances analysis.
19. The
dissent contends that we have contorted the meaning of the phrase "honesty
wouldn't hurt him" by considering the phrase in isolation and out of
context. We have not considered this phrase in isolation or out of context. We
have considered the phrase along with all of the surrounding circumstances in
the context of a suspect asking for a clarification of his rights and a police
officer responding with statements that were contrary to the Miranda
warnings.
20. The
dissent criticizes our reliance on Beale because Eleventh Circuit
precedent cannot announce clearly established federal law, as determined by the
Supreme Court. We do not rely on Beale for clearly established federal
law as determined by the Supreme Court. Instead, we rely on Beale as an
illustration of clearly established federal law applied to similar facts.
21. The
dissent also criticizes our reliance on Beale because Beale is
easily distinguishable. Beale is easily distinguishable for the dissent
because of the dissent's distinction between the Miranda advice of
rights phase and the interrogation phase. Because we disagree with this
distinction, we do not believe that Beale is distinguishable. The
conduct of the FBI agents in Beale would have been just as
constitutionally reprehensible if they had lied to the suspect regarding the
nature of his rights after he signed the waiver form. A suspect's signature on
a waiver form does not give police carte blanche to lie to the suspect about
his Miranda rights if he indicates that he does not understand them and asks
for clarification.
22. Which
makes sense because Hart had already signed and waived his Miranda
rights and agreed to talk to the police.
23. We
do not know Schuster's exact words to Hart. The suppression hearing was
conducted more than a year after the interrogation, and the portion of the
interrogation where Schuster made her statement was not recorded. Hart also
testified at length during the suppression hearing. Importantly, it does not
appear that he mentioned anything about any "honesty" statement from
Schuster. Plainly, he did not indicate that he had been misled or deceived by
such a statement from Schuster.
24. Schuster
apparently reiterated this right to Hart when she reminded him that anything he
said to her would not be kept in confidence.
25. The
credit card theft case was still pending when Hart was questioned in relation
to this case because the police told Hart the credit card theft case was the
subject of the initial interrogation. In his motion to suppress, Hart argued to
the trial court that the police should have contacted the attorney that
represented him in the credit card theft case before questioning him in the
murder case and that the failure to do so violated his Sixth Amendment right to
counsel. The trial court rejected this claim, and correctly so.
26. Both
the trial court and the district court found that Hart had clearly waived his Miranda
rights before he spoke to Schuster. Of course, Hart could have ceased the
interrogation at any time, even after his waiver, by asserting his right to
remain silent or to seek counsel. Edwards v. Arizona, 451 U.S. 477,
484-85, 101 S. Ct. 1880, 68 L. Ed. 2d 378 (1981). Unless that assertion is
unequivocal, the police could continue questioning Hart. Davis v. United
States, 512 U.S. 452, 459, 114 S. Ct. 2350, 129 L. Ed. 2d 362 (1994). The
state court found Hart's inquiries were not unequivocal, and Hart does not
challenge that finding on appeal.
27. In
a very thorough order (totaling nineteen pages for all defendants), the trial
judge ruled on the three Miranda issues raised by the defendant in the
suppression hearing: (1) "whether the deceptive means of bringing the
defendant in for questioning should nullify compliance with the standards for
free and voluntary confessions mandated by Miranda . . . ."; (2)
"what duty do the police owe a juvenile to have a parent present for
questioning?"; and (3) "was there a clear and unequivocal request for
counsel?" After deciding against Hart on all three of these issues, the
trial judge concluded: "This Court finds that Hart's statements were
freely, voluntarily, and intelligently made and his motion to suppress these
statements is denied."
28. I
also disagree with the majority when it fails to see any "significant
difference between the facts presented in Beale and the facts presented
in the instant case." Majority Opinion, supra, at
___. Beale involved the authorities inducing a barely literate
Spanish-speaking suspect to sign a Miranda waiver by telling him that
signing the waiver would not hurt him. Beale is thus a case of fraud in
the inducement to sign a waiver, where the suspect was misled as to the
waiver's effect. Further, the only relevant Supreme Court case cited by Beale,
other than Miranda itself, is California v. Prysock, 453 U.S.
355, 101 S. Ct. 2806, 69 L. Ed. 2d 696 (1981), for the general proposition that
Miranda warnings should not be misleading. See United States
v. Beale, 921 F.2d 1412, 1435 (11th Cir. 1991). Thus, Beale does not
illustrate how clearly Supreme Court precedent is established. In this case,
unlike Beale, there is no dispute that Hart was alert, intelligent, and
fully informed of his rights prior to both the execution
of the Miranda waiver and the making of his incriminating
statement. The police painstakingly informed Hart of his rights prior to
questioning him, and he clearly acknowledged that he understood his rights.
There can be no doubt from the record that Hart understood his Miranda
rights and that he freely, knowingly, and intelligently waived his Miranda
rights.
29. The
majority's contention that it can "derive clearly established law from
these general principles rather than waiting for bright line rules," Majority
Opinion, supra, at n.16, undermines the clearly established law
requirement and masks the de novo review the majority really is
applying to this case. It also further undermines the "materially
indistinguishable facts" aspect of the "contrary to" clause
analysis, which also contemplates application to multi-variant factor analyses.
30. Contrary
to the findings of both the state court and the district court.
31. Assuming
Hart had not yet waived his rights, I interpret Schuster's statement as
reasonably meaning that, if Hart was going to talk to the police, he
should tell the truth.
32. Hart
raised this exact issue to the trial court by arguing that the police tricked
him into coming to the police station for questioning about his credit card
theft case. The trial court properly relied upon Florida case law to resolve
this issue against Hart.
33. Justice
O'Connor provided an example of a decision that would be "contrary
to" Supreme Court precedent. Where a state court required a different
evidentiary burden to establish an ineffective assistance of counsel claim than
that expressly identified in governing Supreme Court case law, the state court
would apply a rule contradictory to governing law. Williams, 529 U.S. at
405-06, 120 S. Ct. 1495, 146 L. Ed. 2d 389.
34. The
issues presented to us were also thoroughly briefed to the Florida Third District
Court of Appeal, which affirmed the judgment of the district court without
opinion. The trial court's reliance upon the Supreme Court's decision in Davis
v. United States, 512 U.S. 452, 459, 114 S. Ct. 2350, 129 L. Ed. 2d 362
(1994), was most appropriate. Davis is the governing Supreme Court
precedent on ambiguous invocations of the right to counsel. Having determined
that Hart made his statement to the police freely, voluntarily, and
intelligently, the only alternative basis for suppression presented to the
trial court was that Hart had, in his discussion with the police, invoked his
right to counsel. On its facts, Davis, is actually similar to this case,
except that, as the trial court correctly concluded, Hart did not unequivocally
invoke his right to counsel. See id. at 455, 114 S. Ct. 2350, 129
L. Ed. 2d 362 (suspect advised of rights, waived rights orally and in writing,
later made equivocal statements about getting a lawyer, and eventually clearly
invoked right to counsel).
35. The
exact issue presented to the trial court was not focused on just three words
("honesty wouldn't hurt") in the lengthy interview described in the
record, but rather on the totality of the circumstances. Hart argued generally
that his confession was involuntarily obtained because it was obtained through
police threats and direct or implied promises of leniency or benefits. Hart did
not testify or argue that Schuster's statement to Hart that "honesty
wouldn't hurt him" coerced his confession.
36. The
majority seems to mean that the trial court did not consider what the majority,
on de novo review, now concludes is the most important
of the totality of the circumstances, Schuster's isolated statement. The
majority's de novo approach to the review of the voluntariness of
Hart's confession typifies the pre-1996 approach to habeas corpus review of
such confessions. Compare Miller v. Felton, 474 U.S. 104, 110-11,
106 S. Ct. 445, 88 L.Ed. 2d 405 (1985). After the Anti-Terrorism and Effective
Death Penalty Act of 1996 (AEDPA), Pub.L. 104-132, § 104, federal courts are
required to apply a more deferential standard for habeas review of state court
decisions.
37. See Fare v. Michael
C, 442 U.S. 707, 725, 99 S. Ct. 2560, 61 L. Ed. 2d 197 (1979)(factors for
evaluating juvenile confession include the suspect's age, experience,
education, background, intelligence, capacity to understand the Miranda
warnings, the nature of his Fifth Amendment rights, and the consequences of
waiving those rights).
38. Of
course, Schuster could not have coerced Hart to sign the Miranda waiver
form because she was not yet present when Hart signed the form.
39. The
former is an analysis of the law: whether the decision was erroneous as a
matter of law. The latter externally considers the concreteness with
which the law has developed as a guide to state court decision-making: whether
the decision was so erroneous as to be objectively unreasonable under the facts
of the case. Bifurcating the analysis allows principles of constitutional law
to continue to be clarified through the habeas system by purely evaluating the
correctness of the state court's decision, akin to harmless error review.
40. In
Williams, Justice O'Connor also noted that extending a legal principle
to a new context, or a failure to do so, may present "problems of
precision" under the "unreasonable application" clause. The
Supreme Court declined to decide how that type of case should be treated under
Section 2254(d)(1). Williams, supra, 529