Court Opinion

ID: 9468153
Source: CourtListenerOpinion
Date Created: 2023-08-05 02:06:32.423269+00
Date Added: 2024-06-11T17:40:43.397704
License: Public Domain

LOGAN, Circuit Judge,
concurring in part and dissenting in part:
I agree with much of the majority opinion, but I cannot agree with its interpretation of the effect of Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977), as applied to the problem before us. I would affirm the trial court’s grant of the writ of habeas corpus rather than remand for a hearing on whether the decision not to object to the prosecutor’s comments was deliberate and tactical.1
Habeas corpus in the federal courts has had a checkered development, particularly with regard to the availability of relief in cases in which state courts have refused to consider federal claims because of a petitioner’s noncompliance with state procedural requirements. See Fay v. Noia, 372 U.S. 391, 449-463, 83 S.Ct. 822, 854-61, 9 L.Ed.2d 837 (1963) (Harlan, J., dissenting). Prior to Fay v. Noia habeas corpus relief would not lie for a prisoner detained pursuant to a state judgment that rested upon the reasonable application of a state’s own procedural requirements. 372 U.S. at 461-62, 83 S.Ct. at 860-61. In Fay v. Noia the Supreme Court made a broad departure from prior law, holding that a failure to comply with state procedural requirements could not bar habeas corpus relief in the federal courts, since the state interest in the orderly administration of justice is insufficient to deprive a person of an effective remedy against unconstitutional confinement. 372 U.S. at 433-34, 83 S.Ct. at 845-46. The Court, however, held that a federal judge could, in his discretion, deny habeas corpus relief, on equitable grounds, to an applicant who had “deliberately by-passed the orderly procedure of the state courts.” 372 U.S. at 438, 83 S.Ct. at 848-49.
The next significant case is Henry v. Mississippi, 379 U.S. 443, 85 S.Ct. 564, 13 L.Ed.2d 408 (1965). There the Supreme Court recognized a fundamental difference between a federal habeas corpus review of confinement based upon independent state substantive grounds and confinement based upon state procedural grounds. If confinement is based on substantive grounds, resolution of the federal question could not affect the outcome, as long as the state court decision on the state law question is allowed to stand. 379 U.S. at 446-47, 85 *1366S.Ct. at 566-67. However, a state procedural default which is held to bar a challenge to a conviction in state court prevents implementation of the federal right at the state level. Consequently, “the question of when and how defaults in compliance with state procedural rules can preclude our consideration of a federal question is itself a federal question.” 379 U.S. at 447, 85 S.Ct. at 567. Thus, “a litigant’s procedural defaults in state proceedings do not prevent vindication of his federal rights unless the State’s insistence on compliance with its procedural rule serves a legitimate state interest. In every case we must inquire whether the enforcement of a procedural forfeiture serves such a state interest.” Id. (emphasis added). See also NAACP v. Alabama, 377 U.S. 288, 84 S.Ct. 1302, 12 L.Ed.2d 325 (1964); Staub v. City of Baxley, 355 U.S. 313, 78 S.Ct. 277, 2 L.Ed.2d 302 (1958); Williams v. Georgia, 349 U.S. 375, 75 S.Ct. 814, 99 L.Ed. 1161 (1955).
The Supreme Court retreated somewhat from Fay v. Noia in Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977), holding that independent and adequate state procedural grounds could bar federal habeas corpus review “absent a showing of cause for the noncompliance and some showing of actual prejudice resulting from the alleged constitutional violation.” 433 U.S. at 84, 97 S.Ct. at 2505. The Court desired to give greater respect to state court rules and recognize that procedural rules, including the contemporaneous objection rule, serve important interests in many situations. Concerning the application of the contemporaneous objection rule to the admissibility of inculpatory statements made by an accused, the Court noted that compliance with the rule results in a better appellate record and can lead to the correction of errors at the trial level, thus promoting finality. Additionally, disregard of the rule detracts from the perception of the trial as a portentous and decisive event. Finally, it thought a broad application of Fay v. Noia encouraged “sandbagging” by defense lawyers. 433 U.S. at 88-90, 97 S.Ct. at 2507-08.
Although Wainwright signals a new approach to analyzing the effect of adequate state procedural rules upon federal habeas corpus proceedings, it leaves unchanged the underlying premise of Henry v. Mississippi that the federal judiciary is not bound by state procedural rules that are unreasonable on their face or are unreasonably or inconsistently applied. Wainwright v. Sykes, 433 U.S. at 107-08, n.9, 97 S.Ct. at 2517, n.9 (Brennan, J., dissenting). The Wainwright majority recognized the continuing validity of this principle by determining, prior to going to the issue of cause and prejudice, that the accused’s failure to challenge his confession at trial in accordance with Florida’s contemporaneous objection rule amounted to an independent and adequate state procedural ground which prevented direct review under Henry. 433 U.S. at 87, 97 S.Ct. at 2506-07.
With respect to improper prosecutorial comments made in closing argument on a defendant’s failure to testify in his own behalf, I believe that enforcement of Oklahoma’s contemporaneous objection rule fails to serve a legitimate state interest under the Henry v. Mississippi test. Thus it should not bar this Court from reviewing the federal question. Wainwright states that the contemporaneous objection rule, as applied to admissibility of confessions, serves a proper state purpose because it makes for a better appellate record, allows correction of errors at the trial level, thus promoting finality, and prevents sandbagging by attorneys. Because the prosecuting attorney’s remarks in this case are a matter of record and are irremediably prejudicial, the first two justifications for the rule are inapplicable to this particular case.
Oklahoma courts have construed Okla. Stat.Ann. tit. 22, § 701 (West 1969) to require the granting of a new trial should the prosecutor comment on defendant’s failure to testify. Clark v. State, 91 Okl.Cr. 210, 218 P.2d 410, 413 (1950); White v. State, 76 Okl.Cr. 147, 134 P.2d 1039, 1041 (1943). A mandatory mistrial logically flows from the *1367conclusion of the Oklahoma court in the instant case that “admonishment to the jury would only compound the error” created by the prosecutor’s comments on the refusal to testify. 562 P.2d at 937. See also Hanf v. State, 560 P.2d 207, 212 (Okl. Cr.App.1977). Because the prosecutorial comments in this case occurred at the end of trial and would have resulted in an automatic mistrial had an objection been raised, the state interests in finality and efficiency in the administration of justice are not served by the application of Oklahoma’s contemporaneous objection rule.
Griffin v. California, 380 U.S. 609, 85 S.Ct. 1229, 14 L.Ed.2d 106 (1965), held that comments by a state prosecutor in a state criminal proceeding on the accused’s silence violates the accused’s rights under the Fifth Amendment, as made applicable to the states by the Fourteenth Amendment. Referring to and relying upon Henry, supra, the Supreme Court held in Camp v. Arkansas, 404 U.S. 69, 92 S.Ct. 307, 30 L.Ed.2d 223 (1971) (reversing 249 Ark. 1075, 467 S.W.2d 707 (1971)), that a defendant’s procedural default in not objecting to the prosecutor’s comment does not bar consideration of his constitutional claim. This Court has repeatedly held that prosecutorial comments on the defendant’s silence constitute an error so plain, fundamental, and serious that the lack of a contemporaneous objection does not bar review. Deats v. Rodriguez, 477 F.2d 1023 (10th Cir. 1973);2 United States v. Arnold, 425 F.2d 204 (10th Cir. 1970); United States v. Nolan, 416 F.2d 588 (10th Cir.), cert. denied, 396 U.S. 912, 90 S.Ct. 227, 24 L.Ed.2d 187 (1969).
Oklahoma has an exception to the contemporaneous objection rule for remarks that are “so fundamentally prejudicial that the error cannot be corrected by instruction to the jury.” Russell v. State, 528 P.2d 336, 341 (Okl.Cr.App.1974). This exception was not mentioned in the Oklahoma Court of Criminal Appeals opinion in the instant case, unless encompassed by the following remarks:
“Defense counsel must preserve the error by timely objecting to the comment and moving for a mistrial, the only remedy available since an admonishment to the jury would only compound the error. Hanf v. State, supra. To the extent that any prior case decided by this Court is inconsistent with the above rule, it is specifically overruled.”
562 P.2d at 937. Why the court did not specifically address the fundamentally prejudicial exception rule remains a mystery. I cannot treat the remark about overruling any inconsistent decision as intending to declare that the fundamentally prejudicial exception does not apply to prosecutorial comment on failure to testify, especially in view of the fact that the exception has, since then, been repeated and applied in other prosecutorial comment cases. See Smith v. State, 599 P.2d 413 (Okl.Cr.App. 1979), cert. denied, 444 U.S. 1022, 100 S.Ct. 681, 62 L.Ed.2d 654 (1980); Brooks v. State, 566 P.2d 147, 148 (Okl.Cr.App.1977); Grayson v. State, 565 P.2d 681, 684 (Okl.Cr.App. 1977).
The only possible legitimate state interest that could be served by application of the contemporaneous objection rule in this case is an interest in preventing “sandbagging” by the defense attorney. In the abstract, this interest alone should not validate the application of state procedural bars, for by doing so the requirements of Henry would always be met and, thus, rendered without substance. Nothing suggests sandbagging took place in this case. Since the damaging comments were made in an indirect manner, their implication may not have been appreciated by Runnels’ counsel at the time they were made. The state has not suggested that a deliberate by-pass was made, and it seems highly unlikely that defendant’s counsel took such a course. Runnels’ first trial resulted in a hung jury; an auto*1368matic mistrial at the close of the second trial would most likely have greatly strengthened Runnels’ bargaining position for purposes of plea bargaining. In addition, from the record it appears that Runnels has spent years in confinement since his trial. This risk is inherent in a sandbagging approach and heavily militates against that course of action.
Even if we ignore Henry v. Mississippi entirely and apply simply the cause and prejudice approach of Wainwright, I think we should affirm the grant of the writ of habeas corpus. As the majority opinion notes, the “prejudice” prong of the Wainwright analysis has been satisfied. The state appellate court itself declared that if counsel had objected a new trial would have been granted. Shifting to the “cause” prong, there are only three possibilities for counsel’s failure to object: ignorance of the state rule; failure to realize the implication of the remarks; or deliberate by-pass in a hope that the jury would acquit and end defendant’s ordeal. The first - two possibilities involve erroneous, nontactical decisions by counsel and should not bar defendant’s constitutional rights. As recited above, deliberate by-pass is very unlikely, considering there was a hung jury in a prior trial, the state’s case was relatively weak,1 3 the error would automatically entitle defendant to a new trial if objection was made, and failure to object raised the possibility of years in prison and no relief at all. I would find an attorney who would deliberately by-pass the objection in this context has not met the standards we now require for competency of counsel.
For the reasons stated above, I would affirm the district court grant of the writ.

. I disagree, of course, with the conclusions in footnote 3 of the majority opinion, which purport to state only Judge Barrett’s view. I agree with the Oklahoma Court of Criminal Appeals that the prosecutor’s remarks, taken as a whole, are improper comment on defendant’s failure to testify. That conclusion was based mainly on the following comments by the prosecutor in closing argument, excerpted in a footnote to the Oklahoma court’s opinion:
“ ‘And I submit to you that if he — that if the defendant did not rape this prosecuting witness, there would be some evidence to rebut it. There would be some evidence to rebut it. If he didn’t hit her there would be some evidence today by the defense to rebut it. If he didn’t choke her three times there would be some evidence by the defendant to rebut it. Did you hear any? Not one bit, not one bit, didn’t hear a bit.
“ ‘. If it wasn’t true there would be testimony here to say that he did not rape her. There would be testimony here to say that he didn’t hit her. There would be testimony here to say that he didn’t hit her. There would be testimony here to say that he didn’t strike her and there would be testimony to show that he didn’t tear her blouse. ******
“ ‘So when you go to your jury room think in your mind, please, why wasn't there some testimony refuting this. Why wasn’t there?
“ ‘. And she’s laying down there in the seat by this defendant. Is there any testimony to refute that? No, not one.’ ”
Runnels v. State, 562 P.2d 932, 937 n.6 (Okl. Cr.), cert. denied, 434 U.S. 893, 98 S.Ct. 270, 54 L.Ed.2d 179 (1977) (emphasis added by Oklahoma court).

. The ruling in Deats concerned the application of a state contemporaneous objection rule to bar federal habeas corpus review. Thus, it appears to be of direct precedential value.

. See discussion of the facts and evidence in the Oklahoma appellate opinion, 562 P.2d at 933-936.