Opinion ID: 514264
Heading Depth: 4
Heading Rank: 1

Heading: As complete bar

Text: 18 The State first argues that the state court's denial of Osborn's consolidated petition was based at least in part on Osborn's failure to attach adequate documentary support for the claims of attorney ineffectiveness alleged. The State's argument on this point is unclear. We therefore address several possible alternatives. 19 The State contends that verification of the post-conviction petition on information and belief and the failure to file additional support by affidavit allowed the state court to dismiss the claim on procedural grounds without reaching the merits. We have previously stated that to determine whether federal habeas corpus relief is barred, the federal habeas court 'must inquire not only if there is a state procedural bar, but whether the state itself applied the bar.'  Brasier v. Douglas, 815 F.2d 64, 65 (10th Cir.1987) (quoting Morishita v. Morris, 702 F.2d 207, 209 (10th Cir.1983)), cert. denied, --- U.S. ----, 107 S.Ct. 3271, 97 L.Ed.2d 769 (1987). While the state court's opinion is not altogether clear, for the reasons set out below we believe a reasonable reader would conclude, as did the court below, that the state court dismissed Osborn's petition for failure to state a claim. Such a disposition is a decision on the merits. See Baker v. Carr, 369 U.S. 186, 200, 82 S.Ct. 691, 700, 7 L.Ed.2d 663 (1962); 2A J. Moore, J. Lucas & G. Grotheer, Jr., Moore's Federal Practice p 12.07 [2.-5] (2d ed. 1987). See also Kimbley v. City of Green River, 642 P.2d 443, 445 n. 3 (Wyo.1982) (federal authority highly persuasive in interpreting a dismissal under W.R.C.P. 12 because it is virtually identical to its federal counterpart). Under such circumstances, federal review is not precluded. Cf. Ulster County, 442 U.S. at 153-54, 99 S.Ct. at 2222-23 (1979). 20 Wyoming statutory law requires a petition for post-conviction relief to be verified by affidavit, and the allegations to be supported by affidavits or otherwise. 5 The state court began its opinion by quoting the Wyoming Supreme Court's statement in State ex rel. Hopkinson v. District Court, 696 P.2d 54 (Wyo.), cert. denied, 474 U.S. 865, 106 S.Ct. 187, 88 L.Ed.2d 155 (1985), that the appellant makes bald conclusions of fact in the body of the petition. Rec., vol. V., def. ex. HH-1, at 1. If the court had intended to dismiss the petition on the procedural ground that it was not verified and without supporting affidavits, the court would not have found it necessary to discuss whether the petition contained bald conclusions or detailed factual explanations. The procedural default would have barred the claim whether or not it appeared to have merit on its face. 21 The state court did quote portions of Hopkinson that stress the importance of affidavit support. Rather than conclude, however, that Osborn's ineffectiveness claim was procedurally barred because it did not have sufficient supporting affidavits, the court ended its opinion by asserting that 22  'Before a person is entitled to an evidentiary hearing he must present initially a substantial claim, and some specificity is required. An application is properly denied without a hearing where it states only bald legal conclusions with no supporting factual allegations.... Here there were no factual allegations supporting the contention which was in conclusory form. The law does not grant an absolute right to an evidentiary hearing on the application.' 23 In this case the allegations in appellant's petition consist principally of bald legal conclusions sans specificity.Id. at 5-6 (quoting Bibbins v. State, 696 P.2d 1300, 1303 (Wyo.1985) (emphasis added)). This passage would have been unnecessary if the court were dismissing the petition solely for failure to file the required affidavits. We decline to read the last paragraph of the court's reasoning as irrelevant. 24 Admittedly, the state court's opinion does not clearly state its basis for decision on each of Osborn's separate claims. The quoted sections, however, indicate that the court examined Osborn's allegations and determined them to be insufficient to justify relief. Particularly in a death penalty case, we will not ignore such passages and infer exclusive reliance on procedural grounds when the district court did not explicitly state that its decision rested on such grounds. 6 Cf. Robison v. Maynard, 829 F.2d 1501, 1513 (10th Cir.1987) ([I]t is almost inconceivable to assume an appellate court's willingness to stand upon a mechanistic application of a procedural rule to thwart consideration of a legitimate appellate issue in a death penalty case.). 25 Nor is federal review barred by the fact that the state court's opinion may reasonably be read as alternatively dismissing Osborn's petition for the independent procedural reason that he failed to file the required affidavits. We have held that when a state court alternatively review[s] petitioner's claims on the merits, procedural default d[oes] not preclude the federal habeas court from addressing the claims, because the state courts have not relied exclusively upon the procedural ground. Brasier, 815 F.2d at 65 (quoting Thompson v. Estelle, 642 F.2d 996, 998 (5th Cir.1981)). 26 Finally, even if we were to accept the State's argument that the district court dismissed Osborn's petition solely because it was not accompanied by sufficient affidavits, we would conclude that federal review is not barred. The Supreme Court has uniformly acknowledged that federal courts are empowered under 28 U.S.C. Sec. 2254 to look beyond a state procedural forfeiture and entertain a state prisoner's contention that his constitutional rights have been violated. Reed v. Ross, 468 U.S. 1, 9, 104 S.Ct. 2901, 2907, 82 L.Ed.2d 1 (1984). The Court has consistently held that the question of when and how defaults in compliance with state procedural rules can preclude [a federal court's] consideration of a federal question is itself a federal question. Johnson v. Mississippi, --- U.S. ----, 108 S.Ct. 1981, 1987, 100 L.Ed.2d 575 (1988) (quoting Henry v. Mississippi, 379 U.S. 443, 447, 85 S.Ct. 564, 567, 13 L.Ed.2d 408 (1965)). A procedural rule that is not a firmly established and regularly followed state practice cannot, as a matter of federal law, bar federal review. See James v. Kentucky, 466 U.S. 341, 348-49, 104 S.Ct. 1830, 1835-36, 80 L.Ed.2d 346 (1984); see also Johnson, 108 S.Ct. at 1987; Barr v. City of Columbia, 378 U.S. 146, 149, 84 S.Ct. 1734, 1736, 12 L.Ed.2d 766 (1964) (We have often pointed out that state procedural requirements which are not strictly or regularly followed cannot deprive us of the right to review.); Reynolds v. Ellingsworth, 843 F.2d 712, 717 (3d Cir.1988). Cf. Hathorn v. Lovorn, 457 U.S. 255, 262-63, 102 S.Ct. 2421, 2426-27, 72 L.Ed.2d 824 (1982). 27 Determining whether a state procedural bar is sufficient to preclude federal review in a particular case is admittedly difficult. The cases cited above, however, lead us to conclude that if a petitioner could not reasonably have been aware that a procedural rule would prevent the court from addressing the merits of his claim, his violation of that rule cannot bar federal review. See Reynolds, 843 F.2d at 720-22; Wheat v. Thigpen, 793 F.2d 621, 625 (5th Cir.1986) (If the state does not clearly announce the procedural rule ..., then the federal courts may reach the issue the state court refused to address.); Spencer v. Kemp, 781 F.2d 1458, 1470-71 (11th Cir.1986) (en banc); see also, Henry v. Mississippi, 379 U.S. 443, 448 n. 3, 85 S.Ct. 564, 567 n. 3, 13 L.Ed.2d 408 (1965) (state rule is adequate when reasonable and clearly announced to defendant and counsel). 28 We are convinced that Wyoming law at the time the petition was filed did not give Osborn or his attorney notice that the petition would be rejected because it failed to comport with Wyoming procedural requirements. To preclude review of a federal constitutional claim under the facts of this case would thus be unfair in exactly the same ways identified by the Supreme Court and the circuit opinions cited above. 29 Hopkinson, the principal case upon which the State relies, did suggest that under section 7-14-101 of the Wyoming statutes, a petition supported by an affidavit based solely upon personal knowledge is insufficient, explaining in detail why affidavits based upon information and belief are problematic. See 696 P.2d at 62-63. Much of the opinion, however, emphasized the lack of any factual allegations in support of the petitioner's conclusory claims. See id. at 65-72. Thus, Hopkinson cannot be read as a blanket statement that a state post-conviction court must dismiss a petition without a hearing whenever its affidavit support is found wanting in any respect no matter how compelling the claims presented. Cf. Reynolds, 843 F.2d at 720 (Where a purported new, sweeping procedural requirement is not even explicitly formulated in the opinion upon which the state courts rely to deny review, ... it lacks the requisite degree of specificity and clarity--in short, the 'unmistakable terms'--necessary to bar federal courts from habeas review.). 30 Section 7-14-101 was in existence when Osborn filed his post-conviction petition. The statute, however, does not explicitly say that an affidavit based upon information and belief is invariably insufficient. All post-conviction cases before Hopkinson that dismissed the petition focused upon the lack of factual specificity in the allegations rather than the absence of a sufficient personal knowledge verification. See, e.g., Boggs v. State, 484 P.2d 711 (Wyo.1971). Even Hopkinson emphasizes primarily the lack of factual allegations in the petition, see 696 P.2d at 61-65, and a later case cites Hopkinson for the proposition that a petitioner must plead a substantial claim and demonstrate how the allegations can be proven. 7 Pote v. State, 733 P.2d 1018, 1021 (Wyo.1987). 31 Wyoming cases in other areas that turn on the distinction between affidavits based upon personal knowledge and those based upon information and belief suggest that the latter are adequate if the factual bases for the allegations are explicitly stated. For example, the Wyoming Constitution requires an officer applying for a warrant to demonstrate probable cause supported by an affidavit. See Wyo. Const. art. I, Sec. 4. In State v. Bruner, 78 Wyo. 111, 319 P.2d 863 (1958), the defendant argued that the constitutional affidavit requirement meant an affidavit based upon personal knowledge. The Wyoming Supreme Court disagreed, holding that the prosecutor's affidavit was sufficient to fulfill the constitutional requirement even though it was based on information and belief. Id. 319 P.2d at 864-65. In discussing this holding in Hopkinson, the supreme court stated that [v]erification on information and belief, where there is contained in the affidavit statements in positive terms setting out the facts upon which the information and belief are founded, may furnish support. The underlying circumstances must be detailed. Facts which lead the affiant to believe must be presented. Hopkinson, 696 P.2d at 63 (citations omitted). 32 The allegations in Osborn's petition are stated in considerable detail. At each point, facts and reasoning flow smoothly to a conclusion that impropriety occurred. The information stated is in many instances information which Osborn's attorney would have acquired in the course of his investigation of the case. A representative example from Osborn's amended petition reads as follows: 33 On July 16, 1984, following the communication or lack thereof between McClain and Osborn, Attorney Munker mailed a letter to Tim Ford attempting to absolve the public defender's office of claims of inadequate assistance and impugning the integrity of his client. This correspondence relied in part upon confidential communications between Osborn and both attorney Munker and attorney McClain. Inexplicably and mysteriously, copies of this letter were mailed to the trial judge and the Chief Justice of the Wyoming Supreme Court. 34 Rec., vol. V, def. ex. HH-2 at 90. As this excerpt illustrates, Osborn's petition does not assert in a conclusory fashion that he received ineffective assistance of counsel. It sets out in detail the facts which led him and his counsel to reach that conclusion. Whether such a petition is sufficient after Hopkinson is a matter of state law upon which we express no view. Based on state law prior to Hopkinson, however, section 7-14-101 could fairly be read as permitting the filing of petitions supported by affidavits based on information and belief so long as the petitions were fact-specific rather than conclusory. 8 Cf. Reynolds, 843 F.2d at 721 (interpreting state statute at time of alleged bypass to permit petitioner's actions, thus making State's asserted procedural bar inadequate). 35 In addition to the less-than-definite state of Wyoming law at the time Osborn filed his amended petition, the petition apparently comported with the format used by the state public defender's office. Osborn's first petition, prepared by McClain who worked on contract for the defender's office, was supported by two affidavits. One, signed by McClain, stated that he had read the petition and the contents were true to his knowledge, except such matters as are stated to be upon information and belief. Rec., vol. V, def. ex. HH-2 at 21. The second affidavit, filed by an investigator, stated that he had read the petition and based upon information and belief, believe[d] it to be true and correct insofar as its allegations reflect my investigation. Id. at 22. In a section entitled affidavits and supporting documents, the petition listed five reasons why no additional documents were attached. 9 Included in this section was the following statement: Petitioner's counsel understands that the Court has informally indicated that a hearing will be permitted to present this evidence. Id. at 19. 36 Osborn's amended petition was filed by John Ackerman, an out-of-state attorney who accepted the case on a temporary basis until permanent counsel could be found. This petition contained affidavits from Ackerman and the investigator similar to those in the first petition. It also repeated the reasons why no other supporting documents were attached, using language identical to that in the first petition. Ackerman attached an additional affidavit that read as follows: 37 On December 19, 1984 I reviewed the contents of this petition with Kevin Osborn, by telephone. He stated that the allegations herein are true and authorized me to sign this petition with his name and in his behalf. 38 Rec., vol. II, def. ex. HH-2 at 101. 39 In submitting the petition in this fashion, Osborn's attorneys copied the format previously used by the state public defender's office. That office had used the identical form in Hopkinson, and we may reasonably infer that it did so in Bibbins as well. All indications are that the state public defender regularly used this form of support for state post-conviction petitions, and that Hopkinson signaled the Wyoming Supreme Court's view that the form was no longer sufficient. Where [as in this case] it is inescapable that the defendant sought to invoke the substance of his federal right, the asserted state-law defect in form must be more evident than it is here. James, 466 U.S. at 351, 104 S.Ct. at 1836. 40 In conclusion, we believe that a fair reading of the state court's opinion indicates that it decided on the merits the ineffectiveness claim that could not have been raised on direct appeal, or at least that it decided it on alternative grounds. Even assuming that the state court exclusively relied upon Osborn's procedural failure to support his petition with a sufficient verification or additional affidavits, we conclude that the combination of unclear Wyoming law at the time the petition was filed, and the filing of a petition virtually identical to the form used by the state public defender's office, preclude a finding that the bar at issue here was sufficiently regularized and consistently applied at the time Osborn filed his amended petition to preclude federal review. 41