Lead Opinion
ROGERS, J., delivered the judgment of the court and an opinion. COLE, J. (pp. 318-24), delivered a separate concurring opinion. MERRITT, J. (pp. 324-35), delivered a separate dissenting opinion.
OPINION
The Ohio courts have upheld the sentence of defendant Roderick Davie to death for the brutal and gruesome murder of two victims. He was also convicted on an attempt to kill a third. On a subsequent petition for a federal writ of habeas corpus, the district court below rejected contentions that defendant’s Miranda rights had been violated, that his penalty-phase jury instructions had been constitutionally deficient, and that prosecutorial conduct had denied him due process. These determinations were correct, notwithstanding Davie’s arguments on appeal.
With respect to the Miranda claim in particular, the substantial deference that the law requires us to give to the state court’s application of United States constitutional law in habeas cases compels us to uphold the Ohio courts’ denial of Davie’s Miranda claim. Indeed, even fresh application of Supreme Court precedent shows that Davie’s Miranda rights were not violated by the police actions in this case, which included four instances of question
I.
On June 27, 1991, Davie killed John Coleman and Tracey Jefferys, and tried to kill John Everett. In a taped confession, Davie admitted that he “flipped out” the morning of the crime and “went down to YCA and shot ‘em up.” He described how he entered the building, made his three victims lie on the floor, and shot them. He described how he beat one victim with a chair when he ran out of bullets, and attempted to run down one victim with a truck. He also described his activities after he committed the shootings.
At trial, Donna Smith, an eye witness, testified that, as she approached the Veterinary Companies of America (“VCA”) warehouse on the morning of the shootings, she noticed a bleeding man stumble across the parking lot and collapse on a sidewalk. JA 901-05. Smith then noticed another man come out of the building and run around to the driver’s side of a truck in the dock area. Thereafter, Smith testified that the truck came “flying out” of the parking lot across both lanes of the street in an attempt to hit the injured man. The injured man was able to shield himself from the truck by falling underneath a bridge, and the truck rammed into the bridge. Smith testified that the man in the truck left the truck and jumped over the side of the bridge.
John Everett, one of Davie’s victims and the man that Smith witnessed stumble across the parking lot, testified to the following events. JA 906-47. On the morning of the shootings, Everett was in the VCA lunch room. Davie, accompanied by a crying Tracey Jefferys (another VCA employee), came up from behind Everett holding a gun. Davie ordered Everett out of the lunch room and, once in the warehouse area, ordered Everett and Jefferys to “lay face down.” Davie then ordered John Coleman, who was loading his truck at the loading dock, to join Everett and Jefferys. After Everett, Jefferys, and Coleman had complied with Davie’s commands, Davie began shooting. Everett testified that after numerous shots were fired, Jefferys got up and ran away. Da-vie brought Jefferys back, and Everett heard Davie remark to Coleman “You ain’t dead yet, huh, brother?” and fire another shot. Everett testified that Davie then took Everett’s wallet and told Jefferys that she was lucky that he was out of bullets. At that point, Jefferys again attempted to flee, and Davie followed. Everett heard Jefferys scream for three or four minutes and, eventually, the screaming stopped.
Everett escaped the warehouse and made his way out of the building and to the street. Thereafter, Everett noticed Davie revving the engine of a truck in the parking lot. Davie attempted to use the truck to run Everett down, but Everett escaped by jumping under a bridge. Everett heard the truck crash into the bridge and, shortly thereafter, Davie arrived under the bridge. At that time, Davie began beating Everett with a stick on the left side of Everett’s head, and attempted to gouge Everett’s eyes out with the stick. Everett testified that Davie had the look of “a man on a mission and he was definitely going to kill me.” At some point, Davie stopped beating Everett, looked up over the bridge, and left the area. Everett was treated at the hospital for, among other things, three gunshot wounds — one to the head, one to the shoulder, and one to the arm.
There is no need to summarize the remainder of the trial testimony. It is sufficient to say that the testimony established overwhelmingly that Davie committed a bloody and gruesome series of crimes on
The circumstances of Davie’s confession, detailed more fully in the concurrence, are as follows. At approximately 8:30 a.m., Davie was arrested, read his Miranda rights, and transported to the police station. At approximately 9:05 a.m. at the police station, Detective Hill read Davie his Miranda rights with Lieutenant Carl Blevins present. Davie initialed the rights form but refused to sign the waiver. At that point, the officers made no attempt to interrogate Davie. At approximately 9:59 a.m., Captain Downs and Blevins entered the interrogation room and again advised Davie of his Miranda rights. Davie initially made some comments, he ultimately declined to speak further with the officers, and the interview ceased. At approximately 12:15 p.m., authorities again questioned Davie. Davie provided some information to police, including the fact that he had his gun with him that morning, but he did not confess to the crime. At 12:35 p.m., Davie indicated that he had nothing more to say and the interview ceased. At approximately 2:00 p.m., Davie indicated that he wanted to speak with Detective Vingle. After Vingle advised him of his Miranda rights, Davie confessed. See
II.
A.
Davie claims that the state trial court unconstitutionally admitted his confession into evidence. The deference that we owe to state court determinations regarding constitutional law on federal ha-beas requires that we uphold the Ohio Supreme Court’s rejection of Davie’s Miranda claim. The law by now is clear that under AEDPA, “an unreasonable application of federal law is different from an incorrect application of federal law.” See Williams v. Taylor,
After detailing the events leading to Da-vie’s statements, the Ohio Supreme Court reasoned:
Contrary to Davie’s arguments, he did not unequivocally assert his constitutional rights. Instead, he waived his right to remain silent during both interviews*304 with Vingle and Sines, despite his failure to initial the waiver-of-rights portion of the form. This situation is similar to that in State v. Scott (1980),61 Ohio St.2d 155 , 15 0.0.3d 182,400 N.E.2d 375 , which followed the decision in North Carolina v. Butler (1979),441 U.S. 369 ,99 S.Ct. 1755 ,60 L.Ed.2d 286 . In Butler, the Supreme Court noted that “in at least some cases waiver can be clearly inferred from the actions and words of the person interrogated.” Id. at 373,99 S.Ct. 1755 . In Scott, the accused acknowledged that he understood his Miranda rights, but refused to sign a waiver form. Nevertheless, he agreed to answer questions and never requested counsel. The Scott court upheld the admissibility of the accused’s statements and held, “[T]he question is not one of form, but rather whether the defendant in fact knowingly and voluntarily waived the rights delineated in Miranda * * Scott at paragraph one of the syllabus. The similar facts of this case demonstrate that Davie waived his Miranda rights even though he failed to initial the waiver part of the form.
When Davie indicated in his interview with Blevins and Hill that he no longer wished to talk, his requests were scrupulously honored by the officers. However, in cutting off the earlier interviews, Davie did not preclude a later interrogation by other officers. See Michigan v. Mosley (1975),423 U.S. 96 , 104,96 S.Ct. 321 ,46 L.Ed.2d 313 . Moreover, Davie never asserted his right to have counsel present.
Finally, it is clear that Davie’s 2:00 p.m. conversation with police, in which he implicated himself in the murders, was properly admitted, since he initiated that conversation himself. See Edwards v. Arizona (1981),451 U.S. 477 , 485,101 S.Ct. 1880 ,68 L.Ed.2d 378 .
Even if we might find a way to disagree with the unanimous opinion of the Ohio Supreme Court in this regard, that court’s analysis amounts to a thoughtful and certainly reasonable application of United States Supreme Court law, as explained in detail by Judge Carr in the district court below. See
B.
Indeed, the reasonableness of the state court’s analysis is supported by a fresh application of Supreme Court precedents to the record in this case. Even under a nondeferential analysis, the police did not violate Davie’s constitutional rights under Miranda v. Arizona,
1.
The Ohio Supreme Court’s determination that Davie initiated the 2 p.m. conversation is directly supported by the Supreme Court’s decision in Oregon v. Bradshaw,
Here, like the defendant in Bradshaw, Davie evinced a willingness to discuss the investigation without influence by authorities. Indeed, the question that Da-vie asked of Vingle was related to the very subject matter of the criminal investigation for which Davie had been detained. See id. at 1053-54,
Under the analytical framework of the Bradshaiu plurality, Davie’s confession was properly admitted at trial. First, Da-vie initiated contact with the police after he invoked his right to silence. The record indicates that one and a half hours after Davie was placed in a jail cell, Davie requested to see Vingle and questioned Vingle in a manner directly pertaining to the investigation. There is no evidence in the record that either Davie’s request to see Vingle or Davie’s questioning of Vin-gle was the product of improper influence on the part of the police. Davie was in his cell for an hour and a half before requesting Vingle’s presence, and the record establishes that Massucei merely took photographs of Davie and granted Davie’s request to make a phone call.
Rhode Island v. Innis,
Second, the totality of the circumstances indicates that Davie knowingly and intelligently waived his rights to counsel and silence. This determination depends upon “the particular facts and circumstances surrounding [the] case, including the background, experience, and conduct of the accused.” Johnson v. Zerbst,
[t]here is no evidence in the record that the police resorted to any physical pressure, coercion or deception to elicit [Da-vie’s] statements. In fact, [Davie] initiated the third interview which led to his confession. There is also no doubt that [Davie] was effectively and adequately apprised of his Miranda rights. Moreover, his initials and signature on the forms, his tape recorded statements, and his cooperation during the interviews are evidence that he understood his rights and the consequences of relinquishing them.
State v. Davie, No. 92-T-4693,
In United States v. Kaufman,
It is no answer to the above analysis to assert that, because Davie repeatedly refused to initial the waiver, he did not think that his statements could be used against him. Not only did the Miranda rights form that officers read to Davie include the obligatory provision that “[a]nything you say can be used against you in court,” but Davie repeatedly acknowledged that he understood this provision throughout the morning and afternoon in question, and Davie manifested no objective signs that indicated a misunderstanding.
Further, the law does not require that, where a defendant refuses to sign a waiver but nonetheless agrees to speak with officers, “[i]nvestigating officers should clearly inform the accused that his failure to sign the waiver does not prevent statements he makes from being used against him.” Dissent at 334. No Supreme Court decision so requires, and lower court cases like United States v. Van Dusen,
It would, we think, be folly to try to cast this principle in the form of a specific required practice. Indeed, were we so to rule, a suspect could, by refusing to sign and subsequently talking freely, enjoy the luxury of an immunity bath at no price at all.
Id. Thus, rather than adopting a “specific required practice,” the Van Dusen court chose instead to hold the government to a “measurably increas[ed]” burden of persuasion regarding whether the waiver was knowing and intelligent. Id. Indeed, the First Circuit upheld the Miranda waiver in that case, even though the police had not even read the Miranda warnings, but rather had let the suspect read them to himself. Id. Thus, despite the officers’ failure to seek clarification from the defendant regarding the refusal to sign the written waiver, the Van Dusen court held that the waiver was effective.
In any event, the police officers here cannot be faulted for failing to comply with such a legally unsupportable rule. The officers did twice attempt to seek clarification from Davie regarding his refusal to initial the waiver. During the 12:15 p.m. interview, the officers questioned Davie as follows:
Det. Sines: Roderick on this rights sheet that you signed, you acknowledged that you understand your rights there, but you didn’t want to uh initial the waiver of rights, okay, is that correct?
Davie: Right.
Det. Sines: Okay being as though you did that do you have any objections to talking to us anyhow?
Davie: No I don’t.
JA 2025. Later, at the 2:00 p.m. interview, officers again attempted to seek clarification from Davie:
Det. Vingle: Do you want to acknowledge this that you have been given your rights again? Do you understand this one too [the waiver provision], do you want to initial that one?
*308 Davie: It don’t matter, do it.
Det. Sines: Any particular reason why, you just don’t want to initial that part? Davie: Right.
Det. Sines: Are you still willing to talk to us?
Davie: Right.
JA 2053. Hence, the record establishes that the officers did seek clarification from Davie regarding the apparent incongruity between his refusal to sign the waiver and his willingness to speak. And each time the officers sought clarification, Davie responded unequivocally that he was willing to speak. Accordingly, because Davie reinitiated contact with authorities, and because Davie knowingly and intelligently waived his rights, the confession was admissible.
Application of the analysis of the plurality in Bradshaw to the facts of this case thus compels the conclusion that Davie’s Miranda rights were not violated. Justice Powell’s concurrence in Bradshaw, moreover, which focused on deference to the trial court and on an evaluation of the totality of the circumstances, would a forti-ori support the same conclusion. It is true that Bradshaw dealt with initiation of questioning after invocation of the right to counsel, and that there was no invocation of the right to counsel in Davie’s ease. But this distinction if anything cuts against Davie, as asking for counsel requires “additional safeguards” to those where a suspect has, for instance, simply refused to sign a waiver. See Edwards v. Arizona,
2.
Moreover, Michigan v. Mosley,
In both Mosley and this case, the defendant cut off questioning after authorities informed the defendant of his Miranda rights and, in both cases, authorities contacted the defendant after an interval of time. Id. at 104,
In Mosley, the defendant confessed during the second interaction with police while at the police station. Here, authorities interacted with Davie three times at the police station before Davie initiated contact with Vingle and confessed. The inquiry under Mosley, however, is not restricted to the number of times that the authorities interacted with the defendant. Rather, Mosley requires an examination of whether the officers’ conduct demonstrates a failure to respect fully the defendant’s right to cut off questioning, thereby indicating an “effort[ ] to wear down [the defendant’s] resistance and make him change his mind.” Id. at 105-06,
First, the interval of time between the interviews was not insubstantial or a short “time out.” Officers waited almost one hour between the first and second interaction at the police station, over two hours between the second and third, and one and a half hours had elapsed before Davie requested to speak with Vingle. In total, approximately five and a half hours elapsed between the time that Davie was arrested and the time that Davie contacted Vingle to confess, and authorities read Davie his Miranda rights four times during that period. Cf. Jackson v. Dugger,
Second, Mosley does not require that the repeated questioning involve a wholly different crime. As the Eighth Circuit held in United States v. House,
For the foregoing reasons, the admission of Davie’s confession does not warrant habeas relief.
III.
A.
Nor do the penalty-phase jury instructions in this case warrant habeas relief. Defendant argues that the “jury was instructed that it must unanimously ‘acquit’ Roderick Davie of the death penalty before it could consider any of the potential life sentences,” and that such an instruction violated Davie’s constitutional rights. The Ohio courts largely did not consider this claim, because Davie did not timely raise the claim in state court. The district court likewise held that because Davie first raised the claim in post-conviction proceedings, it was procedurally barred.
As an initial matter, we agree with the district court that we cannot reach the merits of Davie’s substantive “acquittal-first” claim because that claim has been procedurally defaulted. Davie first raised the substantive “acquittal-first” claim in his second petition for post-conviction relief on March 1, 2000. But Davie defaulted on all claims raised in that petition because he did not comply with an adequate and independent state procedural rule. Under Ohio Rev.Code § 2953.23, a second, successive, or untimely petition is permitted under limited circumstances. In Davie’s case, the Ohio courts determined that Davie’s second petition failed to meet the criteria set out in the statute. See State v. Davie,
In his brief to this court, Davie does not attempt to show cause and prejudice for the procedural default with respect to his second petition for post-conviction relief, or otherwise argue that a miscarriage of justice will result from enforcing the procedural bar. Indeed, the record is devoid of any evidence that Davie had cause for failing to raise the claim in his first post-conviction petition. Instead, Davie argues that the “acquittal-first” claim was properly raised in his Ohio Appellate Rule 26(B) application. It is true that the substantive “acquittal-first” claim was included as part of Davie’s Rule 26(B) application filed on March 31, 2000. But that application cannot be construed as raising the substantive “acquittal-first” claim.
Rule 26(B) provides that “a defendant in a criminal case may apply for reopening of the appeal from the judgment of conviction and sentence, based on a claim of ineffective assistance of appellate
By its very nature then, a Rule 26(B) application is a claim of ineffective assistance of appellate counsel. Consistent with this view of the Rule, Davie claimed in his Rule 26(B) application that his direct appeal should be reopened because his appellate counsel was ineffective for, among other things, failing to raise the “acquittal-first” jury instruction argument. JA 2768. As this court has previously noted, however, bringing an ineffective assistance claim in state court based on counsel’s failure to raise an underlying claim does not preserve the underlying claim for federal habeas review because “the two claims are analytically distinct.” White v. Mitchell,
From this, it follows that Davie’s Rule 26(B) application cannot be construed as raising the substantive “acquittal-first” claim. And because the Ohio courts determined that Davie failed to demonstrate a “genuine issue” that his appellate counsel was ineffective for failing to raise that claim, the courts refused to open Davie’s direct appeal, thereby imposing a procedural bar to consideration of the claim. As a consequence, Davie’s substantive “acquittal-first” claim is procedurally defaulted— Davie failed to bring the claim on direct and collateral review in state court, and the state courts determined that Davie did not make the requisite showing in his Rule 26(B) application to justify reopening his direct appeal. Accordingly, our review in this case is limited to Davie’s claim that his counsel was ineffective for failing to raise the “acquittal-first” argument, a claim that was adjudicated in the state courts. It is true that if this court were to find that Davie’s ineffective assistance claim has merit, that could serve as cause to excuse the procedural default of the substantive “acquittal-first” claim. See Edwards v. Carpenter,
It is true that the analysis above is somewhat complicated by the fact that any review of an ineffective assistance claim will likely include some sort of determination that the substantive claims underlying the ineffective assistance claim lack merit. Indeed, if the underlying substantive claims have no merit, the applicant cannot demonstrate that counsel was ineffective for failing to raise those claims on appeal. Here, the Ohio Court of Appeals dealt with Davie’s ineffective assistance claim in just that manner. After remarking that Da-vie’s substantive “acquittal-first” claim would ordinarily be barred by res judicata
These state court decisions justify review only of Davie’s claim that his counsel was ineffective for failing to raise the “acquittal-first” argument on direct appeal. The mere fact that Davie’s substantive “acquittal-first” claim was included as an underlying assignment of error in the Rule 26(B) application does not, given the comity and federalism concerns implicated in habeas cases, justify reaching the merits of that claim. Although the determination of whether appellate counsel was ineffective for failing to raise a substantive claim may, in some cases, involve an inquiry into the merits of the underlying substantive claim, the fact remains that the two claims are “analytically distinct” for purposes of the exhaustion and procedural default analysis in habeas review. Reaching the merits of the substantive “acquittal-first” claim in this case disregards the operation of two independent and adequate state procedural rules that barred consideration of that claim in state court. Davie procedurally defaulted the claim in the second post-conviction petition because the requirements of Ohio Rev.Code § 2953.23 were not met. Moreover, he failed to raise the claim properly on direct review, and the Ohio courts refused to excuse this failure when they determined that Davie had not established a “genuine issue” of ineffective assistance of appellate counsel. Because, for the reasons stated below, that ineffective assistance determination was correct, it is not proper for this court to reach the merits of Davie’s substantive “acquittal-first” claim.
B.
A brief examination of the state of law at the time of Davie’s direct appeal indicates that Davie’s appellate counsel was not ineffective for failing to raise the “acquittal-first” argument. Because Da-vie’s ineffective assistance claim was adjudicated on the merits in state court, AED-PA’s deferential standard of review applies to that claim. As with Davie’s Miranda claim, the proper inquiry here is whether the state court’s disposition of the ineffective assistance claim was an unreasonable application of clearly established federal law, as determined by the Supreme Court. See 28 U.S.C. § 2254(d)(1). The record indicates that it was not.
By way of background, the trial judge in this case instructed the jury as follows:
If ... you’re firmly convinced that the aggravating circumstances ... are sufficient to outweigh the factors in mitigation, then the State has met its burden of proof and the Jury shall recommend to the Court that the sentence of death shall be imposed on the Defendant.... If, on the other hand, you’re not firmly convinced that the aggravating circumstances ... are sufficient to outweigh the factors in mitigation, then the State has not met its burden.
All 12 jurors must agree on the verdict. If all 12 jurors find by proof beyond a reasonable doubt that the aggravating circumstances ... outweigh the mitigating factors, then ... you have no choice but to make a recommendation that the sentence of death be ordered. On the other hand, if ... you find that the State has failed to prove by proof beyond a reasonable doubt, that the aggravating circumstances ... outweigh the mitigating factors, then you will return a verdict reflecting that decision.
JA 1456-57 (emphasis added).
To understand why Davie’s appellate counsel was not ineffective for failing to raise the “acquittal-first” claim, one need only look to the state of the law as it existed at the time of Davie’s direct appeal. In Mills v. Maryland,
The “acquittal-first” doctrine derived from Mills has been extended to “[a]ny instruction requiring that a jury must first unanimously reject the death penalty before it can consider a life sentence,” see Davis v. Mitchell,
It is true that Mapes relied on State v. Brooks,
Thus, given the state of the law existing at the time of Davie’s direct appeal, Da-vie’s appellate counsel was not ineffective when he failed to argue that the penalty-phase jury instructions in this ease were unconstitutional under the “acquittal-first” doctrine. At the time of Davie’s appeal, it simply was not clear that such non-explicit instructions could be considered constitutionally infirm. Accordingly, the performance of Davie’s appellate counsel did not fall below an objective standard of reasonableness when counsel failed to raise the claim on direct appeal. Therefore, the state courts’ determination of this issue was not an unreasonable application of Strickland.
C.
Even if this court could properly ignore the procedural default in this case of Davie’s underlying “acquittal-first” claim, that claim still would not warrant habeas relief. The only possible justification for reaching the substantive “acquittal-first” claim would be the fact that the Ohio appellate court actually determined— in the context of adjudicating Davie’s ineffective assistance claim — that the underlying substantive claim lacked merit. This necessary reliance on the fact that the state court decided the issue requires inexorably that AEDPA’s deferential standard of review be applied to the state appellate court’s determination of that claim, which constitutes the last reasoned determination on the issue. See Payne v. Bell,
Though the Mapes and Brooks decisions had been decided by 2001, those cases, as explained, involved explicit una
Because Davis itself was an AEDPA case, however, it is arguably inconsistent with the law of the circuit to hold that a state court reasonably applied Supreme Court law by upholding an instruction identical to the one in Davis. But in fact the instruction in Davie’s case was considerably less objectionable than the instruction in Davis. The pertinent instruction in Davis told the jury that “you must find that the State” failed to prove that aggravating factors outweigh mitigating factors. Davis,
Although Davis did not include a Mapes — like command that the jury “must unanimously find” that the state failed to prove that the aggravating factors outweighed the mitigating factors, the court found it problematic that the jury was instructed that it “must” find that the government failed to prove that the aggravating factors outweighed the mitigating factors “immediately” prior to a unanimity instruction that “all 12 of you must be in agreement.” Davis,
Davis is therefore not controlling. Under the law of the circuit as it then existed, as well as under subsequent developments, the Ohio courts’ disposition of Davie’s objection to the jury instructions was not an unreasonable application of Supreme Court law. Thus, even were the substantive “acquittal-first” claim properly before this court, habeas relief would not be warranted.
IV.
Davie’s prosecutorial misconduct arguments are also without merit. The district court properly analyzed these claims, see
Davie alleges that during its closing arguments in the guilt phase of the trial, the prosecution improperly denigrated him and his counsel. Setting aside the issue of the procedural default of this claim and of Davie’s failure to object at trial to most of the allegedly improper comments, we cannot grant habeas relief on this claim. Not only is the Ohio Supreme Court’s rejection of this claim neither an unreasonable application of nor contrary to federal law, see
Likewise, Davie’s contention that the prosecution improperly commented on the failure of a defense expert to testify does not merit relief. Without even considering procedural default, Davie still makes no showing that the Ohio Supreme Court’s rejection of this claim was an unreasonable application of federal law, see
Finally, Davie argues that certain statements in the prosecution’s penalty-phase closing argument were improper. We again agree with the district court that, even if this claim is not defaulted, the Ohio Supreme Court did not unreasonably apply federal law in rejecting this claim, see
Davie’s prosecutorial misconduct claims do not warrant habeas relief.
For the foregoing reasons, we affirm the judgment of the district court.
Notes
. It overstates things to say that Davie was "confronted" "six times within a 5-1/2 hour period between his arrest at 8:30 A.M. that morning and his confession around 2:00 P.M. that afternoon.” Dissent at 24. Such a count includes the interaction between Davie and Sergeant Massucci when Massucci went to Davie's cell only to take photographs, and also the interaction (hardly a confrontation) between Davie and Detective Vingle after Da-vie himself requested Vingle's presence. All told, Davie was read his Miranda rights four times in the almost six hour period between his arrest and his request to speak with Vin-gle, and officers interacted with Davie at the police station three times in almost five hours before Davie initiated contact with Vingle and confessed.
. After officers re-advised Davie of his Miranda rights and Davie acknowledged that he understood those rights, the relevant exchange progressed as follows:
Det. Vingle: Okay, about 5 minutes to 2 [o’clock], Sgt. Massucci came up from the jail and advised me that you wanted to see me.
Davie: Right
Det. Vingle: And I came down and you said you wanted to talk to us while we brought you back upstairs, right?
Davie: Yea.
Det. Vingle: Do you want to acknowledge this that you have been given your rights again? Do you understand this one too [the waiver provision], do you want to initial that one?
Davie: It don't matter, do it.
Det. Sines: Any particular reason why, you just don't want to initial that part?
Davie: Right.
Det. Sines: Are you still willing to talk to us?
Davie: Right.
JA 2053.
. The Ninth Circuit’s holding in United States v. Heldt,
. While federal lower court cases like McGraw v. Holland,
. The officer's statement that “If you have nothing to tell us, we'll go from there okay,” does not necessarily convey the idea that if Davie did not waive his rights, he would be questioned anyway. See Dissent at 32. The statement “we’ll go from there” is susceptible of numerous interpretations, and the actual conduct of the officers in this case does not support such a connotation. At each instance that Davie refused to speak further, officers immediately ceased questioning.
. And, as discussed in Part III.C., infra, even in Davis, the jury instructions were more explicit than those at issue in this case. See
Concurrence Opinion
concurring.
I.
The Supreme Court has noted that: [ejxpanded concepts of fairness in obtaining confessions have been accompanied by a correspondingly greater complexity in determining whether an accused’s will has been overborne [ — Jfacts are frequently disputed, questions of credibility are often crucial, and inferences to be drawn from established facts are often determinative. The overall determination of the volun-tariness of a confession has thus become an exceedingly sensitive task, one that requires facing the issue squarely, in illuminating isolation and unbeclouded by other issues and the effect of extraneous but prejudicial evidence.
Jackson v. Denno,
II. BACKGROUND
Because Davie filed his habeas petition after the passage of the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”), Pub.L. No. 104-132, 110 Stat. 1214, we review his claims to determine whether the “state court’s application of clearly established federal law was objectively unreasonable.” Williams v. Taylor,
Given the long procedural history of this case and the thorough factual background set forth in the 1997 Ohio Supreme Court opinion, I will not rehash the details of Davie’s crimes, but the relevant facts surrounding Davie’s confession follow.
A. Davie’s Confession
1. 8:30 a.m. — The Arrest
At 8:30 a.m. on the day of the VCA murders, the Warren Municipal Court chief bailiff, Carl Miller, received a phone call from Dwayne “Styx” Thomas, an informant who identified Davie as the individual responsible for the crimes. Miller and the Warren Police Captain, Timothy Downs, proceeded to the address Styx had given them, where they arrested Davie and advised him of his Miranda rights. Davie acknowledged his understanding of the rights, but he refused to sign a waiver of those rights.
2. 9:05 a.m.- — The Initial Questioning
Upon arriving at the police station at approximately 9:05 a.m., Captain Downs placed Davie in an interrogation room and asked Lt. Carl Blevins to question him. Blevins and Detective Morris Hill entered the interrogation room and re-read Davie his Miranda rights. The officers showed him a written form presenting those rights. Davie initialed the form on each line, indicating he understood his rights, but, again, refused to sign the waiver. At that point, the officers performed an atom
3. 9:59 a.m. — The Second Interrogation
At 9:59 a.m., Downs and Blevins reentered the interrogation room, informed Davie that they would be recording the interview, and read Davie his Miranda rights again. For a third time, Davie indicated that he understood his rights. This time, however, he informed the officers that he did not want to make a statement:
Blevins: Do you not wish to make a statement or anything at this time.
Davie: Doesn’t matter to me.
Blevins: I heard you refuse.
Davie: I didn’t refuse[;] you said I didn’t have to if I didn’t want to.
Blevins: Do you wish to make a statement yes or no.
Davie: No statement.
Blevins: You wish not to make a statement.
Davie: Right.
Blevins. Okay that’s fine ... this interview is now completed....
(Joint Appendix (“JA”) 2018-20, partial transcript of taped interview with Davie at 9:59 on June 27, 1991.) At that point, the officers ended the interview and transported Davie to a jail cell. Davie never asked to speak to an attorney.
Shortly after the officers had finished the second interrogation, Detective Sines called the Trumbull County Prosecutor, Dennis Watkins, to ask him for his legal advice on how the officers could proceed in questioning Davie, if at all. The prosecutor advised Sines that “as long as Davie did not refuse to speak and did not demand an attorney, the officers could talk to him, provided that Davie acknowledged that he understood his rights.” Davie,
J. 12:15 p.m.- — -The Third Interrogation
Given Watkins’s advice, at approximately 12:15 p.m., Detective Sines and Detective Sergeant Gary Vingle requested that Davie be brought from his jail cell for interrogation. Davie agreed to talk to the officers and was escorted to the interrogation room. There, the officers re-advised him of his Miranda rights and told him that the interview would be recorded. Da-vie again initialed each sentence of the constitutional rights form except for the waiver of rights and indicated that he understood. As before, Davie did not request a lawyer and willingly spoke to the detectives.
The following exchange then occurred:
Sines: Do you want to sign your name here that you understand that?
Davie: Well I’m not signing the waiver of rights. I didn’t sign it earlier.
Sines: Okay, okay. You can take it, go ahead. He didn’t sign it.
Vingle: Would you be willing to answer some of our questions if we ask you some, you know you [sic]?
Davie: Yes.
(JA 2021.) As the officers proceeded with the interview, Davie told them that although he did not remember being around the VCA that morning, he remembered having his gun with him. He then described the gun and informed them that he always carried one. When, at about 12:35 p.m., Davie told the officers he could not remember anything else about the incident and no longer wished to speak with them, the officers terminated the interview and Davie was returned to his jail cell.
At 2:00 p.m. that same afternoon, Sergeant Massucci went to the cell to take photographs of Davie. Davie asked Mas-succi if he could make a phone call, and Massucci granted his request. Davie called his girlfriend, Sonya Barnes, who apparently told him that she and Davie were being discussed in the local media. When Davie went back to his cell, he told Massucci that he wanted to talk to Vingle to discuss what was being released to the media and to determine what information Styx had given the police that morning.
Davie was subsequently brought from his cell to the interrogation room where Vingle and Sines re-advised him of his Miranda rights. For a third time, Davie initialed a constitutional rights form provided by the officers, indicating that he understood his rights, and signed the form. Although Davie once again refused to sign the waiver, he explicitly stated that he agreed to talk to the officers, and he did not ask to speak to an attorney.
Vingle: Do you want to acknowledge this that you have been given your rights again? Do you understand this one too, do you want to initial that one?
Davie: It don’t matter, do it.
Sines: Any particular reason why, you just don’t want to initial that part?
Davie: Right.
Sines: Are you still willing to talk to us?
Davie: Right.
Sines: Okay.
Vingle: Okay, this has been building up?
Davie: I don’t know, I just flipped out this morning.
Vingle: Tell us what happened, tell us.
Davie: I mean, it’s evident what happened.
Sines: We have an idea what happened but we would like to hear from you what happened, just to verify what we got.
Davie: I went down to the VCA and shot ‘em up.
(JA at 866-67.) Davie then asked the officers to type up his statement because he did not want to have to confess again. Once the tape was transcribed, Davie signed or initialed each page of the transcript.
On a motion to suppress filed by Davie’s appointed counsel, the trial court found Davie’s 2:00 p.m. confession to be admissible. The court reasoned that despite Da-vie’s failure to initial the waiver-of-rights portion of the form, he had impliedly waived his right to remain silent during both the 12:15 p.m. and the 2:00 p.m. interrogations, and that Davie had initiated the 2:00 p.m. interrogation that ultimately led to his confession. Davie,
III. ANALYSIS
Despite some misgivings surrounding the somewhat questionable police conduct at issue in the case, I join in the lead opinion’s conclusion that the trial court did not err in admitting Davie’s confession. Though the officers questioned Davie four separate times over the course of approximately six hours, the trial court correctly determined that they respected Davie’s rights under Miranda, Mosley, Edwards, and their progeny. Further, I agree with the lead opinion’s conclusion that Davie himself initiated the 2:00 p.m. interrogation during which he ultimately confessed.
A. Voluntariness
The test for the voluntariness of a defendant’s confession is whether, under the totality of the circumstances, the government obtained a statement by coercion or
In Michigan v. Mosley,
Viewing the facts through the lens of the Mosley factors, I agree that the officers questioning Davie honored his right to remain silent. The police re-Mirandized Davie before each of the four interrogations, including the interrogation in which Davie ultimately confessed. Moreover, during the 9:05 a.m., 12:15 p.m. and 2:00 p.m. interrogations, Davie initialed and signed a form indicating that he understood his rights. Further, Davie never asked for an attorney, and the transcripts demonstrate that the police stopped questioning him when he refused to make a statement.
Though the dissent argues that the officers did not wait long enough between their interrogations, I find that the timing was not unreasonable under the circumstances.
The fact that the officers focused each of their interrogations on the issue of what occurred at the VCA does not change my analysis because “a second interrogation is not rendered unconstitutional simply because it involves the same subject matter discussed during the first interview.” United States v. House,
Finally, Davie’s personal characteristics' — including his age, education, intelligence, and prior experience with the police — all point to a voluntary confession. See Jackson v. McKee,
It is notable, moreover, that Sines contacted the county prosecutor to ensure that his questioning of Davie was within the bounds of the law. I do not share the dissent’s view that the phone call to the prosecutor evidences an effort by Sines to ignore Davie’s refusal to waive his rights in order to continue the interrogation. On the contrary, I view the call as an indication that Sines was conscious of not overstepping Davie’s rights by continuing to question Davie after his refusals to waive his rights during the first and second interrogations. Sines clearly knew that a thin line exists between proper questioning of defendants and coercive tactics, and I believe, absent evidence to the contrary, that he was taking steps to guarantee that he did not cross that line.
B. Initiation
Davie’s assertion that his statements were involuntary is further undermined by the fact that he — not the officers — initiated the 2:00 p.m. encounter during which he ultimately confessed. This Court has determined that “initiation occurs when, without influence by the authorities, the suspect shows a willingness and a desire to talk generally about his case.” United States v. Whaley,
The facts suggest that Vingle interrogated Davie at 2:00 p.m. because Davie wanted to talk. Around 2:00 p.m., when Mas-succi was photographing Davie in his cell, Davie asked Massucci if he could make a phone call, a request Massucci granted. In talking to Barnes, Davie apparently learned that the media was covering the morning’s events occurring at the VCA, and at that point, he requested to meet with Vingle. Vingle complied, the officers re-Mirandized Davie, and Davie confessed. Nothing about this encounter leads me to conclude that the police broke Da-vie’s will to force his ultimate confession.
C. Conclusion
The principle that a person’s rights are violated when police coerce an involuntary confession from him, truthful or otherwise, through physical or psychological methods designed to overbear his will is fundamental to our justice system. See Blackburn v. Alabama,
. I believe that the short passage of time between the 9:05 a.m. and the 9:59 a.m. interrogations is counter-balanced by the fact that the officers re-read Davie his Miranda rights and immediately ended the interrogations following Davie's requests. Moreover, other courts have found the passage of even shorter periods to have been reasonable in the face of the other Mosley factors. See United States ex rel. Patton v. Thieret,
Dissenting Opinion
dissenting.
The majority in this case is reading the AEDPA statute unlawfully to suspend the writ of habeas corpus in violation of the Suspension Clause of the United States Constitution, Article I, § 9 (“The Privilege of the Writ of Habeas Corpus shall not be suspended, unless when in Cases of Rebellion or Invasion the public Safety may require it.”). Here, as I shall explain below, the majority is using the AEDPA statute as a license to overrule Miranda v. Arizona and its lineal progeny developed by the Warren-Brennan Court four decades ago to outlaw coerced confessions that abridge the Sixth Amendment right to counsel and the Fifth Amendment right against self-incrimination. The capital defendant invoked both his right to silence and counsel to no avail before he was then enticed to confess.
I. Summary
Police officers on June 27, 1991, confronted petitioner Roderick Davie six times within a 5-1/2 hour period between his arrest at 8:30 A.M. that morning and his confession around 2:00 P.M. that afternoon. At none of these confrontations was he willing to sign a waiver of his rights to silence and a lawyer. The time between the confrontation was in sequence 30 minutes, 45 minutes, 2 hours and 2 hours. At the first confrontation, when he was arrested, Davie was given his Miranda warnings but he did not confess. At the second confrontation at 9:05 A.M., Davie was again informed of his rights and asked to sign a waiver form. He refused, saying he “didn’t want to” waive his right to remain silent and his right to the assistance of a lawyer.
The jury returned a death verdict on March 19, 1992, which was upheld on direct appeal on December 27, 1995, in an unreported opinion by the Ohio Court of Appeals and then by the Ohio Supreme Court on November 26, 1997, State of Ohio v. Davie,
II. The Facts Respecting the Interrogations and the Confession
Petitioner Roderick Davie was employed by Veterinary Companies of America, a pet food and supplies distributor in Warren, Ohio, as a warehouse worker until he was fired in April of 1991. On the morning of June 27, 1991, Davie arrived at the company warehouse and within minutes shot William Everett and John Coleman, two truck drivers with the company, and assaulted Tracey Jefferys, a secretary at the company. Coleman and Jefferys died at the scene, but Everett survived despite being shot multiple times.
Around 8:30 A.M. that morning, authorities received a phone call from Dwayne Thomas, known as “Styx,” indicating that he had information about the murders at the Veterinary Companies of America. Thomas, known as an informant to local authorities, indicated that he was with the perpetrator, Davie. The police found Da-vie at home, where he was first advised of his Miranda rights but did not waive those rights. He was arrested and brought directly to an interview at the police station for interrogation.
I have read this statement of my Constitutional Rights, and understand what my rights are. I am willing to make a statement and answer questions. I do not want a Lawyer at this time. I understand and know what I an [sic] doing. No promises of threats have been used against me. I, therefore, waive my rights and agree to make a statement.
(J.A. at 2017.) Davie initialed the lines on the standard form saying he understood his rights. He refused to initial the waiver portion of the form and told Blevins and Hill “he didn’t want to” sign the form or talk. (J.A. at 688. Testimony of Lt. Blevins.) An officer wrote on the form that Davie “Refused to sign” the form. (J.A. at 2017.) The record does not indicate who wrote it. Lieutenant Blevins performed an atomic absorption analysis on Davie’s hands looking for the presence of gunpowder. The officers did not attempt to question Davie further but told him they would return later to question him about the same crime.
At 9:59 A.M., less than an hour later, Blevins and Hill confronted Davie a third time in the interview room to question him about the murders. They informed Davie that they were going to record the interview. They again read Davie his rights and asked him if he understood them. He replied yes. Despite Davie’s refusal to waive his rights, the officers began to question him, first asking him if he knew why he was “down here.” Davie answered no. Nevertheless, as if he had never asserted his Miranda rights, the officers told him that they were investigating a shooting on Main Street that occurred earlier that morning and asked him if he had any knowledge of it. Davie responded that he remembered “some things,” including that he “had a gun earlier.”
Blevins then acknowledged on the tape that he was aware that Davie had not waived his rights. But the following exchange occurred:
Blevins: Do you not wish to make a statement or anything at this time.
Davie: Doesn’t matter to me.
Blevins: I heard you refuse.
Davie: I didn’t refuse you said I didn’t have to if I didn’t want to.
Blevins: [D]o you wish to make a statement yes or no.
Davie: No statement.
Blevins: You wish not to make a statement.
Davie: Right.
Blevins: Okay that’s fine ... this interview is now completed....
(J.A. at 2018-20, partial transcript of taped interview with Davie at 9:59 on June 27, 1991.)
At the suppression hearing Blevins testified that when he returned to the interview room at 9:59 A.M., he had “forgotten” that Davie refused to waive his rights less than an hour earlier. (J.A. at 717.) Blevins’ testimony was unequivocal: “If [Davie] wasn’t going to initial it [the waiver portion of the form], then I wasn’t going to talk to him.... I believe that he should initial that ... to give a statement.” When asked if he believed he had to have an express waiver, he answered, “That’s correct.” (J.A. at 697, 724-25.) The trial court suppressed the statements made by Davie at the 9:59 interview.
Detective Sines testified at the suppression hearing that Lieutenant Blevins and Detective Hill informed him that Davie refused to initial the waiver portion of the form. Contrary to Blevins’ clear testimony that Blevins explicitly told Sines that Davie had expressly refused to talk, Sines testified that he “did not remember” hearing that Davie had expressly stated that he did not want to make a statement. Sines also testified that he made no effort to review the tape of the 9:59 A.M. interview. (J.A. at 790.)
Detective Sines testified that he called Trumbull County Prosecutor Dennis Watkins for advice about how to get Davie to talk to the police. Sines testified that he was not “aware” that Davie had said at the 9:59 A.M. interview that he did not want to make a statement, and so Sines did not tell the prosecutor that Davie had stated a few minutes earlier that he did not want to talk. Sines testified that “[Watkins’] advice to me was as long as he [Davie] did not demand an attorney present at the time, and as long as he acknowledged that he understands his Constitutional rights, that he could talk with him, as long as he volunteered or would talk with us.” (J.A. at 740.) Despite Davie’s refusal to waive his right to a lawyer and his declaration to the police that he did not want to talk, Sines interpreted this advice as allowing the police to interrogate Davie once again. (J.A. at 793.)
Detective Sines, accompanied by Detective Vingle, then went down to the jail area about 12:15 P.M. for a fourth interrogation of Davie. Again, both Sines and Vingle denied that they knew that Davie had verbally refused to make a statement at the 9:59 A.M. interview, and they acknowledged that they had not reviewed the tape from that interview. (J.A. at 871.) They testified that they only knew Davie had refused to sign the waiver portion of the form. Consequently, two hours after Da-vie first refused to waive the assistance of counsel or talk, the police again proceeded to interrogate Davie. Davie, who agreed to the officer’s request that he speak with them, was advised that the interview was going to be taped. The 12:15 P.M. interview started with Sines saying, “I’m Detective Sines and Detective Vingle and we will advise you of your rights, we want to talk to you a little bit. If you have something to tell us, we’ll listen to you. If you have nothing to tell us then we’ll go from there okay.” Vingle says, “Okay Rod before we ask you any questions you might understand your rights. Do you understand that right?” Although it is not clear what “right” Vingle was referring to, Da-vie answered “Yes.” Vingle then proceeded to read the entire Miranda warning and the waiver portion of the form aloud. Da-vie indicated that he understood both. The officers did not inform Davie that if he did not want to talk the interview would cease; instead they said, “If you have nothing to tell us then we’ll go from there okay.” They showed Davie a new copy of the Warren Police Department form with the waiver of constitutional rights that Da-
Sines: Do you want to sign your name here that you understand that?
Davie: Well, I’m not signing the waiver of rights. I didn’t sign it earlier.
Sines: Okay, okay. You can take it, go ahead. He didn’t sign it.
Vingle: Would you be willing to agree to answer some of our questions if we ask you some, you know you?
Davie: Yes.
Detective Vingle proceeded to ask Davie general questions about his employment history, before returning to the issue of the waiver.
Sines: Roderick on this rights sheet that you signed, you acknowledged that you understood your rights there, but you didn’t want to uh initial the waiver of rights, okay, is that correct?
Davie: Right.
Sines: Okay being as though you did that do you have any objections to talking to us anyhow.
Davie: No I don’t.
Sines then asked what happened at the Veterinary Companies of America that morning. Davie responded “I don’t remember anything.” Davie, in response to further questioning, stated that he did not remember being at the Veterinary Companies of America that morning, but that he knew he had his gun with him that morning. He described the gun and said that he always carried his gun. After more conversation and offers to get him a soft drink and a cigarette, the officers asked Davie about a gun that Sines had with him. Davie stated, “Just like I told you, I don’t remember anything. I remember waking up this morning and everything is a blank.” When asked if he remembered being at the Veterinary Companies of America that morning, Davie again responded, “No I don’t. If I was it’s a total blank to me.”
The tape was turned off for three minutes at 12:27 P.M. Both Vingle and Sines testified that they left the room, but neither could remember what they talked about outside the room. The officers then returned and resumed the questioning.
Sines: Okay, one, one more time, this is for the record Roderick, um, you don’t remember anything after you got up and watched t.v. until Carl [Blevins] came [to arrest you]?
Davie: No I don’t.
Sines: You don’t have nothing else to say about what we’re talking about? I’m in the blue about the picture.
Davie: I mean I can’t really, you know tell you anything now I don’t know anything about.
Sines: Okay, okay you have nothing to tell us at this time about what we’re asking you about?
Davie: No.
Sines concluded the interview at 12:35 P.M. The above statement was admitted at Davie’s capital trial.
At 2:00 P.M., another encounter began when Detective Massucci was sent to take pictures of Davie in his cell. Davie asked if he could make a phone call. Massucci said yes, and when Davie returned he told Massucci he wanted to talk to Detective Vingle. Massucci found Vingle and told him Davie wanted to see him. Vingle went down to the jail, and took Davie into the jailer’s room to ask him what he wanted. Vingle testified that Davie wanted to know how the news media got so much information about him and his girlfriend. Vingle said he had no control over what the news media gathered. Then Davie asked him “What did Styx tell you?” Instead of an
Sines: Roderick I understand you want to talk to us some more.
Davie: There’s not much to talk about. I mean, I done it.
Vingle: Well, wait a minute, before we get into that Roderick I’m going to readvise you, okay.
Davie: I can understand all that.
[Davie is readvised of his rights and states that he understands his rights. Vingle then reads the waiver portion of the form and asks Davie if he understands that. Davie answers “Right.”]
Vingle: Do you want to acknowledge this that you have been given your rights again? Do you understand this one too, do you want to initial that one?
Davie: It don’t matter, do it.
Sines: Any particular reason why, you just don’t want to initial that part?
Davie: Right.
Sines: Are you still willing to talk to us? Davie: Right.
Sines: Okay.
Vingle: Okay, this has been building up?
Davie: I don’t know, I just flipped out this morning.
Vingle: Tell us what happened, tell us.
Davie: I mean, it’s evident what happened.
Sines: We have an idea what happened but we would like to hear it from you what happened, just to verify what we got.
Davie: I went down to the VCA and shot ‘em up.
Davie then proceeded to talk more about the murders and what he did after he left the scene. After about 15 minutes, Davie refused to talk further. He told the officers to type up his statement off the tape because he did not want to go through the confession again. (J.A. at 2074.) After the tape was transcribed, Davie signed or initialed each page of the transcribed statement at the bottom. (J.A. at 2052-2062.) Davie’s initials acknowledged that he understood his constitutional rights, but he once again refused to sign or initial the waiver portion of the form regarding his right to a lawyer and to remain silent. (J.A. at 2051.)
Davie’s counsel, appointed afterward, moved to suppress all the statements he made to police. The trial court held that there were no statements to suppress from the encounters at 8:30 A.M. or 9:05 A.M. and that the statement given at 9:59 A.M. must be suppressed because the government had not shown that Davie waived his right to remain silent. The statements from the 12:15 P.M. and 2:00 P.M. interviews were admitted because the trial court found that Davie had waived his rights by asking Vingle the question about “Styx.” The two confessions were admitted, and Davie was convicted and received the death penalty. The District Court simply concluded that the Ohio Supreme Court did not apply Supreme Court law in a way that was either “contrary to, or an unreasonable application of, clearly established Federal law.”
III. The Miranda and Mosley Rights Are Well-Established and Were Abridged in This Case
The purpose of the Miranda decision was to safeguard the long-recognized right
We have concluded that without proper safeguards, the process of in-custody interrogation of persons suspected or accused of crime contains inherently compelling pressures which work to undermine the individual’s will to resist and to compel him to speak where he would not otherwise do so freely. In order to combat these pressures and to permit a full opportunity to exercise the privilege against self-incrimination, the accused must be adequately and effectively apprised of his rights and the exercise of those rights must be fully honored.
Miranda,
Among the important protections established by Miranda is the “right to cut off questioning,” Miranda v. Arizona,
Almost a decade after Miranda, in Michigan v. Mosley,
In Mosley, the Supreme Court considered and severely limited when police could attempt further questioning of a suspect who had previously asserted his right to remain silent. Mosley was arrested on robbery charges and advised of his Miranda rights. After invoking his right to remain silent, the arresting officer placed him in a detention cell. Approximately two hours later, another officer came to interview the defendant about an unrelated homicide. He gave the suspect another set of Miranda warnings, and during the course of the subsequent interrogation, Mosley made incriminating statements. In reviewing the case in light of Miranda, the Court concluded that Mosley’s invocation of his right to remain silent had been
In Mosley the Court explained that its mandate that “interrogation must cease” after a suspect invokes his right to remain silent does not always permanently prevent the police form resuming questioning. However, neither does the phrase mean— as occurred in this case — that questioning can resume after a short “time out” or that police may try again (and again) to get the suspect to talk to them or make a statement about the same criminal event. Mosley,
IV. The “Presumption Against Waiver” of the Fifth Amendment Right to Silence and the Sixth Amendment Right to Counsel
The Supreme Court has set a high standard of proof for the waiver of constitutional rights, a standard requiring that courts should “ ‘indulge every reasonable presumption against waiver’ of fundamental constitutional rights.” Johnson v. Zerbst,
Miranda holds that the defendant may waive the rights conveyed in the warnings “provided the waiver is made voluntarily, knowingly and intelligently.”
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*332 both an uncoerced choice and the level of comprehension may a court properly conclude that the Miranda rights have been waived.
Moran v. Burbine,
If the custodial suspect’s right to remain silent has not been “scrupulously honored” throughout the custody, there generally cannot be any subsequent finding of waiver. See, e.g., United States v. Barone,
Interpreting Miranda, the Supreme Court said in Smith v. Illinois,
Such interrogation is prohibited where the suspect has clearly and unambiguously invoked his right to silence, as Davie had
In this case, the State and the majority contend that Davie’s right to remain silent was “scrupulously honored” because (1) the investigator temporarily ceased questioning him about the case each time he asserted his Fifth Amendment right, and (2) then allowed a short time to pass before any reinterrogation, and (3) then gave him fresh sets of Miranda warnings before any reinterrogation. Specifically, they argue that the requirements of Mosley were met because when defendant indicated that he did not want to make a statement at the 9:59 A.M. interview, police ceased interrogation. They claim that Davie waived his right to remain silent during the 12:15 P.M. and 2:00 P.M. encounters when he answered their questions after he refused to waive his rights by signing the form.
This claim is mistaken because it assumes that the police may continue interrogation within a couple of hours after the accused had expressly refused to waive his rights at the 9:59 A.M. interview when Davie unequivocally refused to make a statement:
Blevins: [D]o you wish to make a statement yes or no.
Davie: No statement.
Blevins: You wish not to make a statement.
Davie: Right.
The 12:15 P.M. interview then began with Detective Sines of the new interrogation team saying to Davie, “I’m Detective Sines and Detective Vingle and we will advise you of your rights, we want to talk to you a little bit. If you have something to tell us, we’ll listen to you. If you have nothing to tell us then we’ll go from there okay.” Vingle says, “Okay Rod before we ask you any questions you might understand your rights. Do you understand that right.” Although it is not clear what “right” Vingle is inquiring about, Davie answers ‘Tes.” Vingle then read the Miranda warning and the waiver portion of the form aloud to Davie. Davie indicated verbally both times that he understood his rights. The officers did not in any way inform Davie that if he did not want to talk the interview would cease. Instead they improperly said “If you have nothing to tell us then we’ll go from there okay” — meaning as it turned out that if you do not waive your rights, we will question you anyway.
At the 12:15 interview, Davie again refused to sign the proffered waiver form: “Well I’m not signing the waiver of rights. I didn’t sign it earlier.” This reply told the officers that Davie thought that the refusal to sign the waiver form was all he had to do to protect himself from self-incrimination. The new detectives again tried to get him to sign the waiver form after asking a few general questions unrelated to the crime. The persistent pressure put upon Davie to sign the waiver form reinforced his belief that his rights were protected as long as he did not sign the waiver. He knew the detectives had tried time after time to get him to sign it. His refusal to sign meant that he had not waived his rights. The rambling 12:15 P.M. interrogation ends with Davie saying
It is perfectly clear that the 2:00 P.M. encounter was not a request by Davie to reinitiate the interrogation. Therefore, the majority err when they simply concluded that any statements made by Davie after “reinitiating” contact with the police are admissible. The mere act of asking a police officer a question does not constitute a waiver of a previously invoked right to remain silent.
Contrary to the majority’s characterization of the 2:00 P.M. interrogation as “initiated” by Davie and therefore not worthy of further analysis, it seems obvious that once Davie invoked his Fifth Amendment right to remain silent, the police were obligated to scrupulously honor the right he invoked whenever they interacted with him. That means that police should not have resumed any interrogation of Davie, either directly or indirectly, by any means without obtaining an unequivocal waiver from Davie. See Rhode Island v. Innis,
Consistent with all the previous encounters, Davie again refused to sign the waiver form when the police asked him again for the waiver at 2:00 P.M. There is no basis for concluding that by asking Officer Vingle a question that Davie intended to waive his right to remain silent and his right to counsel or that he wanted to confess. The question that Davie asked did not override his earlier unequivocal statements concerning his desire not to make a statement and his deliberate refusal to sign the waiver portion of the form on all of the occasions in which he came in contact with the police.
The First Circuit has stated that the correct course of action would be for the police officer (if he plans to continue to interrogate) to inform the accused that the refusal to sign the waiver does not mean that his statements cannot be used against him. United States v. Van Dusen,
in the delicate area of advising one of his rights, where testimony is often conflicting, the act of refusing to sign a waiver is concrete and indisputable. When such an act occurs, followed by a willingness to talk, this is a signal of some quirk of reasoning which may simply be a dislike of affixing a signature to any document but which may be more. It may indicate a serious misunderstanding on the part of the accused. In such a succession of events, we wish to make it clear to the courts and prosecutors in this circuit that the burden of persuasion resting on the prosecution measurably increases.
Id. (emphasis added). Investigating officers should clearly inform the accused that his failure to sign the waiver does not prevent statements he makes from being used against him.
Likewise, in United States v. Heldt,
As in Heldt, Davie’s case requires suppression because the police persisted not only after a refusal to sign, but also because they persisted even after Davie expressly invoked his right to silence by refusing to talk.
I, therefore, dissent from the effort by my colleagues to bury Miranda under a mountain of AEDPA rhetoric. Until the Supreme Court overrules Miranda, we should follow it, no matter how much we prefer to side with the police against the liberties created by the Fifth and Sixth Amendments.
. The waiver of rights form that Davie refused to sign stated:
I have read this statement of my Constitutional Rights and understand what my rights are. I am willing to make a statement and answer questions. I do not want a Lawyer at this time. I understand and know what I an [sic] doing. No promises or threats have been used against me. I therefore waive my rights and agree to make a statement.
Davie signed each constitutional right as the police officer read it to him, thereby indicating that he understood the right; but he refused to sign the waiver while stating verbally that he would not waive those rights, thereby conveying the message to the police that he understood his rights and was exercising his rights by refusing to waive them. He thus refused by these actions to waive his right to remain silent and his right to the assistance of a lawyer.
