Lead Opinion
Plaintiff-Appellant, Gary Zane Beavers appeals from the denial of his 28 U.S.C. § 2254 motion. On March 2, 1992, he pled guilty to first degree murder in Oklahoma district court. After numerous state proceedings, he filed the present habeas petition. Mr. Beavers’ habeas petition and request for a certificate of appealability (COA) were both denied by the district court. We granted a COA on four issues: (1) whether Mr. Beavers procedurally defaulted certain claims because of advice given by the Oklahoma Court of Criminal Appeals (OCCA); (2) the voluntariness of his plea; (3) ineffective assistance of counsel; and (4) the applicability of Miller v. Champion,
Background
The facts, according to Mr. Beavers, are as follows. On June 24, 1991, Mr. Beavers and his wife took their daughter to a local motel to swim. Later in the evening, Mr. Beavers — already drunk at the time — took his wife to the motel bar. The victim, Raymond Matthews, was also at the bar and began touching and making sexual remarks regarding Mrs. Beavers. Later that evening, in a motel room with no one else present, Mr. Beavers killed Mr. Matthews by hitting him in the head several times with a baseball bat.
Charges were filed against Mr. Beavers for murder and against his wife as an accessory to murder. According to Mr. Beavers, he pleaded guilty for two reasons. First, he indicates that the state used the
Second, Mr. Beavers’ attorney misinformed him that it would take between ten to twelve years to make parole on a life sentence for murder. In fact, the average time to make parole in the Oklahoma prison system for a murder life sentence was twenty-two and a half years. See id. at 94-95 (affidavit of Beavers’ counsel acknowledging that he gave incorrect information about parole). This was an important factor in agreeing to plead, because Mr. Beavers “wanted to get the sentence behind me before my young daughter, Nicole, was grown or an adult.” Id. at 90.
State Procedural Background
Mr. Beavers did not file a direct appeal, allegedly because the charges had not yet been dismissed against his wife and he feared that she would be prosecuted if he appealed. Aplt. Br. at 18. On February 5, 1993, almost a year after judgment, Mr. Beavers filed an “Application for An Evi-dentiary HearingApplication to Withdraw Plea/Alternative/Application to Appeal Out of Time.” Aplt-App. at 22. This same application was later refiled on March 4, 1993. Id. at 46. Both applications contained numerous claims of error, including the involuntary plea and ineffective assistance grounds.
Mr. Beavers also attempted to raise claims by filing a wilt of mandamus with the OCCA. In a February 12, 1993 order, the OCCA denied the writ as an improper procedure for challenging the conviction. Id. at 84. The OCCA informed Mr. Beavers that
[t]he proper procedure for Petitioner to follow if he desires an appeal out of time of his conviction is to file an application for post-conviction relief in the District Court of Oklahoma County requesting an appeal out of time. Petitioner’s right to appeal the merits of the allegations raised is dependent upon his ability to prove he was denied an appeal through no fault of his own.
Id. at 85.
Mr. Beavers then filed another writ of mandamus on March 12, 1993 asking the OCCA to order the district court to rule on his February 5 application. On March 23, the OCCA denied the writ since Mr. Beavers did not have a “legal right to a response by the District Court to a post-conviction application thirty-five days after said application was filed in the District Court.” Id. at 87.
The district court subsequently denied the application for an evidentiary hearing although no reasons were given and it is unclear exactly which application the court dealt with. In its April 5, 1993 letter to Mr. Beavers, the court simply stated: “Pursuant to your request for Application for An Evidentiary Hearing by letter dated March 8, 1993, as per Judge Jackson, this request has been denied.” Aplt-App. at 70. Mr. Beavers, following the advice of the OCCA, then filed a motion specifically designated as “Petition For An Appeal Out Of Time” on April 26, 1993. Id. at 74. In this petition, he raised the involuntariness of his plea but failed to allege the ineffective assistance claim. The district court denied the petition on April 29, 1993 in a short letter which stated: “Your Petition for Appeal Out of Time is hereby denied.” Id. at 81. The OCCA affirmed the denial in an August 25, 1993 order. Id. at 82.
Several years later, Mr. Beavers filed another application for post-conviction relief, raising six claims including the involuntary plea and ineffective assistance. On June 20, 1997, the Oklahoma district court denied the petition, stating that all grounds for relief “must be raised in his original supplemental or amended application.” Id. at 121. As Mr. Beavers failed
I. Advice of the OCCA
Mr. Beaver’s first claim of being misled by the OCCA is a question of state procedural law. “[I]t is not the province of a federal habeas court to reexamine state-court determinations on state-law questions. In conducting habeas review, a federal court is limited to deciding whether a conviction violated the Constitution, laws, or treaties of the United States.” Estelle v. McGuire,
II. Involuntary Plea
Mr. Beavers claims that his plea is involuntary because “the prosecution coerced him into pleading guilty by threatening to prosecute his wife.” Aplt. Br. at 18. “Normally, before habeas relief may be granted a Petitioner is required to exhaust his remedies in state courts.” Barnett v. Hargett,
Mr. Beavers argues that the pending threat of prosecution against his wife was sufficient cause for failing to bring a direct appeal because the charges against her were only dropped after his deadline for bringing the appeal had passed. Interference by officials which makes compliance with a state procedural rule impracticable can rise to the level of cause for failure to act. See Demarest v. Price,
THE COURT: Do you plead guilty of your own free will and without any coercion or compulsion of any kind?
THE DEFENDANT: My own free will.
THE COURT: And without any coercion or compulsion of any kind?
THE DEFENDANT: Yes.
THE COURT: Have you been forced, abused, mistreated, threatened or promised anything by anyone to have you enter your plea?
THE DEFENDANT: No.
Nor can Mr. Beavers demonstrate that a fundamental miscarriage of justice would occur if his claim is procedurally barred. To meet this test, a criminal defendant must make a colorable showing of factual innocence. See Herrera v. Collins,
III. Ineffective Assistance
A claim of ineffective assistance of counsel is reviewed de novo. See Parker v. Champion,
Here, the state endorses the district court’s conclusion that Mr. Beavers’ ineffectiveness claim is procedurally barred because it was not raised in his first application for post-conviction relief. See Aplee. Br. at 13-14. We held in Moore v. Reynolds,
Mr. Beavers did raise an ineffective assistance claim in his February 5 (refiled March 4) application but failed to do so in his April 26 application. Thus, the critical question is whether the February/March application was an application for post-conviction relief. If so, it was the first application and Mr. Beavers’ ineffective assistance claim is not procedurally barred.
State procedural rules that bar habeas review of ineffective assistance claims are viewed “with a healthy degree of skepticism.” Smallwood v. Gibson,
The federal district court, however, refused to address the ineffective assistance claim because Mr. Beavers had not alleged the facts underlying his claim in the first application. “Although petitioner raised a generic claim of ineffective assistance of counsel in his first application for post-conviction relief, he provided no factual basis for the trial court to review the effectiveness of counsel.... [Therefore] petitioner failed to raise his claims of ineffective assistance of counsel in his first application for post-conviction relief.” ApltApp. at 189-90.
This determination fails to take into consideration the context of the application and how it was handled by the OCCA. Mr. Beavers was seeking an appeal out of time, which would only be granted upon proof that he was denied an appeal through no fault of his own. If the motion were granted, Mr. Beavers would then be required to pursue his direct appeal in the normal course (i.e. by filing a notice of intent to appeal and then briefing his arguments). See Okla.Crim. Rules 2.1E(2). If the motion were denied, he could appeal the denial but must still show that he was without fault. Neither the district court nor the OCCA would rule on the merits of Mr. Beavers’ ineffective assistance claim based upon his appeal out of time motion. See Young v. State,
Indeed, that is what happened. In denying Mr. Beavers’ “application for post-conviction relief/request for appeal out of time,” the OCCA affirmed the district court’s denial solely on the basis that “he has not established that his failure to appeal was through no fault of his own, the critical issue to appeal out of time.” Aplt.App. at 82. In view of the OCCA’s advice to Mr. Beavers’ on how to proceed, and its subsequent denial of Mr. Beavers’ first postconviction application on the sole and express basis that an appeal out of time was not warranted, it is not outcome determinative that the factual basis for the claim was not specified in the first application. We have not hesitated to allow federal court consideration of an ineffectiveness claim on habeas where a petitioner has been afforded no opportunity to develop the claim. See Stouffer v. Reynolds,
First, attorney advice which misrepresents the date of parole eligibility by several years can be objectively unreasonable. See O’Tuel,
If the facts alleged by Mr. Beavers are true, he would be entitled to relief under 28 U.S.C. § 2254(d)(1). See Miller,
Thus, having pursued but been denied a hearing on this claim in state court, Mr. Beavers is entitled to a hearing. See Miller,
Our resolution of Mr. Beavers’ ineffective assistance claim as not procedurally barred makes it unnecessary for us to further discuss the import of Miller v. Champion,
Accordingly, we AFFIRM the denial of the habeas petition on the claims of misleading advice from the OCCA and involuntary plea based on threat of prosecution, REVERSE on the claim of involuntary plea based on ineffective assistance of counsel, and REMAND for an evidentiary hearing.
Notes
. We note that Mr. Beavers’ claim would summarily fail on the merits as well. The advice given by the OCCA was an almost verbatim rendition of Oklahoma Court of Criminal Appeals Rule 2.IE, which correctly stated the standard for seeking an appeal out of time.
. We do note that a post-conviction application confined to the issue of an appeal out of time does not appear to have any factfinding procedure "whereby a petitioner can adequately develop the factual basis of his claims of ineffectiveness.” English,
. The dissent suggests that Mr. Beavers did not "fairly present” this claim to the state court in his first application. See 28 U.S.C. § 2254(b)(1)(A) (exhaustion requirement). A federal claim that is procedurally defaulted on adequate and independent state law grounds has not been properly exhausted, i.e. fairly presented to the state court. See Edwards v. Carpenter, - U.S. -,
There is a “strong presumption” in favor of requiring exhaustion of state remedies. See Castille v. Peoples,
Dissenting Opinion
dissenting.
Principles of comity and federalism demand that a federal habeas petitioner timely raise his federal constitutional claims in state court with sufficient specificity to allow the state court a fair opportunity to consider those claims in the first instance. E.g., Picard v. Connor,
Proper application of these legal principles to the record facts of this case compels the conclusion that Petitioner has procedurally defaulted his claim he received ineffective assistance of trial counsel when, in March 1992, he pled guilty to first degree murder as a result of counsel’s advice regarding his parole eligibility. In its haste to reach the merits of Petitioner’s ineffective assistance of counsel claim, however, the court foregoes proper application of these longstanding principles because, according to the court, Petitioner raised this claim in his first application for state post-conviction relief. I disagree, and dissent.
My review of the record reveals that Petitioner’s February 5, 1993 “Application to Appeal Out of Time,” which the court properly construes as a first application for state post-conviction relief, Court’s Op. at 923, failed to “fairly present” his claim
After multiple state filings, Petitioner finally raised his present ineffective assistance of counsel claim before the state courts for the first time in March 1997, five years after his guilty plea. Both the Oklahoma State District Court and Court of Criminal Appeals denied Petitioner’s ineffective assistance of counsel claim as procedurally barred. See Aplt’s App. at 114— 124. Because the Oklahoma state courts never had a timely opportunity to consider Petitioner’s ineffective assistance of counsel claim, and now deem it procedurally barred, see Okla. Stat. Ann. tit. 22, § 1086 (West 1986), the district court properly held that Petitioner was procedurally barred from raising it in a § 2254 petition.
In his first application submitted February 1993, Petitioner set forth nine “propositions” of error which allegedly entitled him to an appeal out of time. Aplt’s App. at 27-28. Proposition eight addresses trial counsel’s performance: “The totality of the absence of attorney’s performance rendered his assistance totally deficient and the conviction was rendered in violation of the sixth amendment.” Id. at 28. Why Petitioner believed counsel’s performance was deficient is anybody’s guess. The possible reasons are endless and the Oklahoma state courts were not required to surmise what those reasons might be.
A claim is “fairly presented” to the state courts only if a petitioner describes the operative facts and legal theories on which he bases his claim. Otherwise, the state courts have no “fair opportunity” to consider the claim. As Judge Henry recently explained for our court:
“Fair presentation” of a prisoner’s claim to the state courts means that the substance of the claim must be raised there. The prisoner’s allegations and supporting evidence must offer the state courts “a ‘fair opportunity’ to apply controlling legal principles to the facts bearing upon his constitutional claim.” Therefore, although a habeas petitioner will be allowed to present “ ‘bits of evidence’ ” to a federal court that were not presented to the state court that first considered his claim, evidence that places the claims in a significantly different legal posture must first be presented to the state courts.
None of Petitioner’s arguments in his February 1993 application even remotely refer to trial counsel’s improper advice regarding Petitioner’s parole eligibility. The only factual references to his trial counsel’s performance in the eight page document pertain to counsel’s failure to appeal a “question of law” involving nonverbal communications between a husband and wife in the presence of a six-year-old child. On appeal, Petitioner doesn’t even argue he raised his claim of ineffective assistance of counsel in his February 1993 application. Nor does he set forth sufficient cause for his default. Instead, he argues a miscarriage of justice would result from our failure to address his claim.
This court dismisses the application’s lack of specificity because “[n]either the [Oklahoma] district court nor the OCCA would rule on the merits of Mr. Beavers’ ineffective assistance claim based upon his appeal out of time motion.” Court’s Op. at 924. In other words, the court concludes that Petitioner’s failure to specify the factual basis of his claim in his first application is of no consequence. Why then does the court require Petitioner to even mention his ineffective assistance of counsel claim in his application at all? Given the court’s reasoning, such a requirement appears to be an unnecessary formality.
The court’s reasoning is circular. To justify reaching the merits of Petitioner’s claim, the court first concludes that Petitioner’s application constituted a petition for state post-conviction relief. Then, to avoid application of the “fair presentation” doctrine, the court concludes that the petition’s cursory allegations are sufficient because really the petition was an application for an appeal out of time. In this context, the court suggests that “a more detailed factual account of the ineffective assistance claim in the first application would have been futile because the appeal-out-of-time issue is decided on the basis of fault, not on the merits of the claim sought to be advanced.” Court’s Op. at 924 n. 3. If this is so, why does the court require Petitioner to raise an ineffective assistance of counsel claim in his application at all since surely to do so was futile as well?
Based on the foregoing, it is painfully apparent that the question in this case is not, as this court suggests, whether the Oklahoma state courts would rule on the merits of Petitioner’s ineffective assistance of counsel claim, but rather whether Petitioner “fairly presented” his claim to the state courts in a timely manner, thus providing our state brethren a “fair opportunity” to consider it consistent with principles of comity and federalism. Plainly, Oklahoma law required Petitioner to set forth the factual basis for his claim in his February 1993 application. Under Smith v. State,
Over eight years after Petitioner pled guilty to first degree murder, this court tells the district court to conduct an evi-dentiary hearing into Petitioner’s ineffective assistance of counsel claim even though an independent and adequate state procedural ground bars Petitioner from pursuing this claim in state court. See Moore,
Because (1) Petitioner failed to fairly present his claim of ineffective assistance of counsel to the Oklahoma state courts in his first application for state post-conviction relief, and (2) the Oklahoma state courts consider Petitioner procedurally barred from raising his claim in a successive application, he likewise is procedurally barred from asserting that claim in federal court. See Moore,
. This court has viewed with skepticism Oklahoma's state procedural rule barring ineffective assistance of trial counsel claims not raised on direct appeal. See Miller v. Champion,
. Because Petitioner eventually raised his present ineffective assistance of counsel claim in the Oklahoma state courts, he has exhausted his state remedies as to this claim as required by 28 U.S.C. § 2254(b)(1)(A). See Edwards v. Carpenter, - U.S. -,
. The fundamental miscarriage of justice exception is available only where a petitioner provides the court with a colorable showing of factual innocence. Herrera v. Collins,
. The court’s suggestion that Petitioner had no opportunity to develop his present ineffective assistance of counsel claim in his first application for post conviction relief is incorrect. See Court's Op. at 924. As a basis for his failure to timely appeal his conviction, Petitioner could have easily stated he didn't appeal because his counsel advised him he
