Dennis Lufkins, a life-term prisoner convicted of voluntary manslaughter in a South Dakota state trial court, sought a writ of habeas corpus in the federal district court,
I.
During a wine drinking party on December 4, 1979, at the residence of Ernest Hayes in Sisseton, South Dakota, Sylvester Johnson was clubbed in the head with an axe handle. Johnson apparently died while Ernest Hayes was driving him to the hospital. Hayes aborted his drive to the hospital, leaving the then deceased Johnson on a church lawn. The decedent’s body was discovered on December 5, 1979. An autopsy determined that death was caused by a subdural hematoma, consistent with trauma inflicted by a blunt instrument.
On January 31, 1980, Lufkins signed an inculpatory statement provided by Sisseton County Sheriff Long and Division of Criminal Investigation Agent Peterson. The signed statement indicated that Lufkins had hit Johnson during the wine drinking party of December 4, 1979. At the time he signed the statement, Lufkins was serving a sixty-day DWI sentence.
On April 21, 1980, Lufkins was arraigned on both first-degree manslaughter and habitual criminal informations. Lufkins pled not guilty to both charges. Prior to his trial, and in open court Lufkins personally filed with the trial court a handwritten list of objections to the proceedings against him. In this list, Lufkins stated that he had not hit the decedent, that the officers told him that “things would go easy for him” if he signed the incriminating statement, that the officers were “hollering at him,” and that his state of mind was not clear when he signed the statement. Despite learning about this list of objections, Lufkins’ counsel made no pretrial motion to suppress the incriminating statement as allegedly involuntarily given.
During Lufkins’ two-day trial, which began on June 30, 1980, Ernest Hayes, Eugene Hedine and Matthew Blue Dog testified that they spent most of the day on *535 December 4, 1979, drinking wine and rubbing alcohol with Lufkins, Ruth Titus, and the victim Johnson. All three testified that Lufkins struck the victim with an axe handle. However, Lufkins’ sister testified that Lufkins had been at her home from December 4 to December 5, 1979.
The trial court also admitted Lufkins’ incriminating statement into evidence. The State’s evidence on the voluntariness of this statement, which included the testimony of Sheriff Long and Agent Peterson, was taken during the course of the trial, in open court, and in the jury’s presence. Lufkins’ trial counsel failed to request an independent voluntariness hearing outside of the jury’s presence. Sheriff Long’s testimony that the statement was voluntarily given was elicited during the State’s case in chief. While Sheriff Long was testifying, Lufkins rose to his feet and challenged the Sheriff’s veracity. The trial court also had before it Lufkins’ pretrial handwritten objections to the voluntariness of the statement. After Sheriff Long finished testifying on direct examination, Lufkins’ counsel objected to the admission of the statement into evidence on the ground that it was involuntarily given. The trial judge overruled the objection and admitted the statement into evidence. This ruling came before any cross-examination of the sheriff, before any corroborating testimony by Agent Peterson, and before Lufkins was given an opportunity to present any rebuttal evidence. Lufkins was convicted of first degree manslaughter; he also pled guilty to the habitual offender charge and was sentenced to life imprisonment.
On direct appeal, a divided South Dakota Supreme Court rejected all of Lufkins’ claims and affirmed his conviction.
State v. Lufkins,
In rejecting Lufkins’ voluntariness claim, the South Dakota Supreme Court was apparently under the mistaken impression that the trial court admitted the statement after Sheriff Long had been cross-examined. The supreme court stated:
After Sheriff Long was extensively questioned in the presence of the jury by both the State and appellant regarding the voluntary nature of the statement, the trial court admitted the statement into evidence over appellant’s objection.
Lufkins thereafter filed his writ of habeas corpus in the federal district court, raising the same voluntariness and ineffective assistance of counsel claims that had been rejected by the South Dakota Supreme Court. The district court received briefs from both sides and granted Lufkins’ motion for expansion of the record pursuant to 28 U.S.C. § 2254, Rule 7, to include transcripts of all state court proceedings. The district court then determined that Lufkins’ ineffective assistance claim could not be resolved on the basis of the expanded record alone and therefore granted an evidentiary hearing pursuant to 28 U.S.C. § 2254(d). At the evidentiary hearing, Lufkins’ trial counsel was called as a witness by the State and cross-examined at length by Lufkins’ habeas counsel.
The district court issued a memorandum opinion granting Lufkins’ writ of habeas corpus. First, the district court, relying on
Jackson v. Denno,
Second, the district court concluded that Lufkins was denied effective assistance of counsel, entitling him to a new trial. The district court found that a reasonably competent attorney exercising minimal skill in the representation of his client would have sought to test the voluntariness of Lufkins’ statement by requesting an independent voluntariness hearing outside of the jury’s presence, a procedure made available to criminal defendants in
State
v.
Thunder-shield,
The district court concluded that counsel’s ineffectiveness significantly prejudiced Lufkins’ right to a fair trial. In doing so, the court emphasized the weakness of the government’s case apart from Lufkins’ incriminating statement. Specifically, the three purported eyewitnesses who testified that Lufkins hit the victim were viewed as unreliable because they all had been drinking heavily prior to the lethal events of December 4.
II.
The State first argues that the issue of whether Lufkins was denied due process because of the lack of a full and fair voluntariness hearing was not exhausted in the South Dakota Supreme Court. It contends that the only issue before the South Dakota Supreme Court was whether the trial court erred in holding the voluntariness hearing in the jury’s presence.
The issue of whether Lufkins was denied due process because of the lack of a full and fair voluntariness hearing was squarely before the South Dakota Supreme Court. Lufkins’ claim before both the state supreme court and the federal district court was that he was deprived due process by the defective procedures the trial court used to determine the voluntariness of his statement. In order to comply with the due process clause, the trial court was required to provide Lufkins with a fair voluntariness hearing, one that was “fully adequate to insure a reliable and clear-cut determination of the confession including the resolution of disputed facts upon which the voluntariness issue may depend.”
Jackson
v.
Denno,
Moreover, the specific findings made by the South Dakota Supreme Court indicate that it considered the fullness and fairness of the voluntariness hearing. First, the supreme court specifically found that the trial court’s admission of Lufkins’ statement into evidence constituted an independent determination of voluntariness. Under
Jackson v. Denno,
a necessary component of a fair and fully adequate voluntariness hearing is a distinct determination of
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voluntariness.
The State however urges that the South Dakota Supreme Court’s opinion only addressed Lufkins’ claim that the trial court erred in holding the hearing in the jury’s presence. While it is true that the supreme court’s opinion primarily focused upon the propriety of the trial court’s holding the hearing in the jury’s presence, we cannot infer from this that the supreme court failed to consider other aspects of the fairness and adequacy of the trial court’s procedures. Indeed, in order to conclude that the trial court procedures complied with due process, the court must have reviewed the overall fairness and adequacy of the hearing, in addition to the propriety of the jury’s presence. Therefore, we conclude that Lufkins’ claim as to the unfairness and inadequacy of the voluntariness hearing, having been fairly presented to and passed upon by the South Dakota Supreme Court, is exhausted.
Picard v. Connor,
III.
We now consider the fairness and adequacy of the procedures used by the trial court to determine the voluntariness of Lufkins’ incriminating statement. The State argues that the trial court’s procedures were fair and fully adequate to insure a reliable and clear-cut determination of voluntariness. It alternatively suggests that any procedural errors were harmless because the testimony of Officers Long and Peterson clearly established that the statement was voluntarily given.
In
Jackson v. Denno,
the Supreme Court struck down a state procedure allowing the same jury to determine both the defendant’s guilt and the voluntariness of the defendant’s confession for admissibility purposes. The Court reasoned that placing the determination of voluntariness for admissibility purposes and guilt in the same hands posed a significant risk that matters pertaining to the defendant’s guilt and the truthfulness or reliability of his confession would infect the findings bearing upon voluntariness.
We agree with the district court that the procedures employed by the trial judge fell short of satisfying the due process standard enunciated in
Jackson v. Denno.
First, we express grave doubts as to whether the trial court’s admission of the statement into evidence met the
Jackson v. Denno
requirement of a “clear-cut determination” of the voluntariness of the statement.
See Sims v. Georgia,
However, even assuming the admission of the statement did constitute a “clear-cut determination” of voluntariness, the timing of the trial court’s admission of the statement rendered a fair and reliable determination of voluntariness highly improbable if not impossible. The trial court admitted the statement after Sheriff Long testified that the statement was voluntarily given, but before Lufkins had an opportunity to test the accuracy and reliability of Sheriff Long’s testimony by cross-examination or by rebuttal evidence. That Lufkins vehemently disputed Sheriff Long’s account was evidenced by Lufkins’ pretrial list of objections and his challenges to the veracity of Sheriff Long’s testimony while the Sheriff was testifying. Yet despite this factual dispute surrounding the circumstances under which Lufkins’ incriminating statement was given, the trial judge admitted the statement before giving Lufkins an opportunity to challenge Sheriff Long’s version. A voluntariness hearing that prevents a defendant from challenging the State’s evidence as to voluntariness of his statement can be neither fair nor reliable.
See United States ex rel. Hickman v. Sielaff,
In
United States v. Carignan,
We also question the propriety of the trial court’s holding the voluntariness hearing in the jury’s presence. In
Pinto
v.
Pierce,
The reasoning underlying the
Pinto
holding seems clear enough: if defense counsel waives objection to the jury’s presence, then no claim can be made that the voluntariness hearing was unfair or inadequate because the jury was present.
Id.
at 32,
*539
In the instant case, the trial court never considered the propriety of holding the hearing in the jury’s presence, despite knowing of Lufkins’ vehement objections to the voluntariness of the statement. Unlike
Pinto,
the trial court here never asked defense counsel if he had any objection to the jury’s presence and there was no express waiver. Whether
Pinto
permits a trial court to hold a voluntariness hearing in the jury’s presence when the judge knows of the defendant’s vehement objections to the voluntariness of the statement is a very difficult question. Under the circumstances presented here, it certainly would have been prudent for the trial court to have asked whether Lufkins’ counsel consented to the jury’s presence.
Pinto,
We cannot agree with the State that Lufkins’ opportunity to cross-examine Sheriff Long and to present rebuttal evidence after the trial court had admitted the incriminating statement satisfies the requirement of a fair and reliable determination of voluntariness. Once the trial court admitted the statement and thereby impliedly determined that it was voluntarily given, any subsequent effort to challenge the admissibility of the statement and to have it excluded from the jury’s consideration would have been virtually futile.
See Hickman,
Alternatively, the State contends that any procedural error here was harmless because the purported “airtight” testimony of Sheriff Long and Investigator Peterson clearly established the Lufkins’ statement was voluntarily given. We disagree. The officers’ testimony, no matter how seemingly airtight, could not have supported a reliable determination of voluntariness until that testimony was first tested by Lufkins’ cross-examination and rebuttal evidence. Providing a defendant with a meaningful opportunity to challenge the state’s testimony on voluntariness is not an extravagant, procedural formality to be cast aside when convenient; it is fundamental to a fair and reliable determination of voluntariness and hence firmly rooted in the due process clause of the fourteenth amendment.
IV.
The State contends the district court erred in finding that Lufkins’ trial counsel was incompetent. First, the State urges that under 28 U.S.C. § 2254(d) the district court was bound by the South Dakota Supreme Court’s finding of counsel’s competence. Furthermore, the State suggests, counsel’s failure to request an independent voluntariness hearing outside of the jury’s presence was a reasonable tactical choice because Lufkins’ voluntariness claim was destined to fail. Finally, the State contends that Lufkins could not have been materially prejudiced by counsel’s purported incompetence because of other evidence existing in the record to sustain guilt.
To prevail on his claim of ineffective assistance of counsel, a habeas petitioner must demonstrate: (1) that his attorney
*540
failed to exercise the customary skills and diligence that a reasonably competent attorney would perform under similar circumstances; and (2) that he suffered material prejudice as a result.
Morrow v. Parratt,
Considering the foregoing, we initially note that the district court acted properly in holding an evidentiary hearing on Lufkins’ ineffective assistance claim because the record before the South Dakota Supreme Court was not adequately developed to support a determination of counsel’s effectiveness.
Townsend v. Sain,
Lufkins’ trial counsel, despite having experience in representing criminal defendants, failed to exercise the customary skill and diligence that a reasonably competent attorney would have exercised under the circumstances. Specifically, Lufkins’ trial counsel failed to fulfill his duty to exercise his professional judgment on behalf of his client and his duty of adequate legal preparation.
Thomas v. Wyrick,
Under these circumstances, trial counsel had a duty to test the voluntariness of Lufkins’ statement. Under the provisions set forth in
State v. Thundershield,
When a confession or an incriminating statement allegedly made by the accused is offered by the prosecution and objected to, the State has the burden of proving beyond a reasonable doubt the same was freely and voluntarily made. This proof must be made in an independent hearing of all relevant facts outside the presence of the jury. At this hearing the defendant may testify and be cross-examined as to the issue of voluntariness without jeopardy to or waiver of his right to remain silent at the trial.
The procedures made available to a criminal defendant in
Thundershield
implicate fundamental constitutional rights. In
Pinto v. Pierce,
We therefore conclude that reasonably competent counsel would have attempted to test the voluntariness of Lufkins’ statement under the provisions of Thundershield. At the very least, competent counsel would have made an objection on due process grounds to having the hearing in the jury’s presence. Furthermore, competent counsel would have raised an objection to the trial court’s admission of the statement without first giving counsel an opportunity to cross-examine and to rebut the State’s witnesses. Here, Lufkins’ counsel failed: to request an independent voluntariness hearing; to inform Lufkins that he had an opportunity to challenge the voluntariness of his statement in a separate hearing during which he could testify without jeopardizing his right to remain silent; to make any objection to holding the hearing in the jury’s presence; and to object to the trial court’s admission of the statement without the benefit of cross-examination of the State’s witnesses. Counsel also bolstered Agent Peterson’s testimony as to the voluntariness of Lufkins’ statement. Counsel’s failures here seriously undercut Lufkins’ effort to defend himself. Although counsel did make a cursory, catchall objection to the admission of the incriminating statement, this did not satisfy his duty of competent representation.
The State however urges that Lufkins’ trial counsel reasonably believed that Lufkins’ statement was voluntarily given and that a voluntariness challenge would have been futile. While a reasonably competent attorney is not required to pursue a procedural alternative having little or no likelihood of success,
Zaehringer v. Brewer,
Lufkins has also met his burden of proving that counsel’s ineffectiveness prejudiced his defense. The trial record does not show that “[the] other evidence of guilt presented at trial .. . was substantial to a degree that would negate any possibility of actual prejudice resulting from the admission of [the] inculpatory statement.”
Wainwright v. Sykes,
V.
The last and certainly most difficult issue we address is whether the district court erred in ruling that trial counsel’s ineffectiveness entitled Lufkins to a new
*542
trial. The State argues that if a new voluntariness hearing determines that Lufkins’ statement was voluntary and therefore properly before the jury, counsel’s ineffectiveness in failing to mount a voluntariness challenge would be nonprejudicial, and would not warrant a new trial. In support of this argument, the State relies upon
Jackson v. Denno,
If at the conclusion of such an evidentiary hearing in the State Court on the coercion issue, it is determined that [the defendant’s] confession was voluntarily given, admissible in evidence, properly to be considered by the jury, we see no constitutional necessity at that point for proceeding with a new trial, for [the defendant] has already been tried by a jury with a confession placed before it and has been found guilty.
Although superficially appealing, the State’s argument is defective in two significant respects. First, while the district court primarily focused upon counsel’s ineffectiveness in failing to mount a voluntariness challenge, it also found that counsel’s ineffectiveness was reflected by his failure to sequester the three purported eyewitnesses who were to testify, and by his apparent bolstering of a State’s witness. Certainly the prejudice resulting from counsel’s failure to sequester the three unreliable eyewitnesses and his bolstering of a State witness would not be cured by a subsequent determination of voluntariness in a full and fair voluntariness hearing.
Second, the remedy in
Jackson v. Denno
was not intended to cover situations where counsel prejudices his client’s right to a fair trial by failing to request an independent voluntariness hearing outside of the jury’s presence. In his concurrence in
Pinto,
Jackson v. Denno means that the judge and the jury must each make an independent judgment of voluntariness of an admission, the judge for purposes of admissibility and the jury for evidentiary acceptability, credibility, and weight. A telescoped hearing before judge and jury, in which the judge finds voluntariness for purposes of admissibility, in reality reduces the jury function to an echo. Hearing the evidence simultaneously with the judge, the jury is not apt to approach disagreement with him.... [This procedure], by reducing the effectiveness of the jury, gravely impairs the constitutional principle of excluding involuntary confessions which Jackson v. Denno sought to serve.
The jury is the traditional and preferred arbiter of facts. The procedure countenanced here, by dicta, sanctions, in effect, a direction to the jury to accept and give full credence to the admission— because the judge, hearing the same testimony, has ruled that the admission is voluntary.
Id.
at 34,
Applying Justice Fortas’ insights to this case, even if a full and fair voluntariness hearing determines that Lufkins’ statement was properly admitted during Lufkins’ trial, this would not cure the prejudice caused by the jury’s presence when the trial court took testimony on the voluntariness of Lufkins’ statement and ruled that the statement was voluntary for purposes of admissibility. By failing to have the jury excluded, Lufkins’ counsel significantly vitiated the jury’s ability to make its own independent judgment as to the voluntariness of the statement for purposes of “evidentiary acceptability, credibility, and weight.”
We therefore affirm the district court’s ruling the trial counsel’s ineffectiveness so prejudiced Lufkins’ right to a fair trial as to entitle Lufkins to a new trial.
Notes
. The Honorable Donald J. Porter, United States District Judge, District of South Dakota.
. Circuit courts have interpreted
Pinto
differently. Some courts read
Pinto
to require a waiver of objection to the jury’s presence.
See United States ex rel. Hickman v. Sielaff,
. In
Watkins v. Sowders,
. Although at the evidentiary hearing before the district court, defense counsel denied having ever actually seen the contents of Lufkins’ handwritten list of objections filed in open court on June 12, 1980, he was certainly aware of the document’s existence. Moreover, Lufkins testified that he had counsel’s help in drawing up the list and that counsel delivered the list to the judge.
.
See Thundershield,
