Lead Opinion
The State of South Dakota appeals the district court’s grant of habeas corpus relief to Dennis Lufkins. The district court found that Lufkins’ 1980 trial counsel was ineffective in the cross-examination of three witnesses and, therefore, the admission of their statements against Lufkins in a later trial violated his Sixth Amendment right to confront witnesses. We agree that ineffective cross-examination may under certain circumstances preclude the admis
I.
Petitioner Dennis Lufkins was at the home of Ernest Hayes in Sisseton, South Dakota, on December 4, 1979, along with Hayes, Eugene Hedine, Matthew Blue Dog, and Euth Titus. Sylvester Johnson arrived at the home with some wine at about 10:30 a.m. The group drank the wine and later that afternoon consumed a bottle of rubbing alcohol. At about 9:30 to 10:00 p.m., Lufkins and Johnson began to fight. Luf-kins grabbed an axe by the blade and swung the handle, striking Johnson on the right side of the head.
Johnson fell to the floor, but regained his feet with the help of Hayes and Hedine. After Johnson fell again, Hayes helped him outside to a car and began driving him to a hospital. Johnson had been alert for a short period after the blow, but passed out in the car. When Johnson’s skin began to darken, Hayes believed he had died. Hayes stopped the car, dragged Johnson’s body to a church lawn, left it there, and returned to his home. Johnson’s lifeless body was found the next morning.
An autopsy revealed that Johnson had died as the result of a single blow to the head by a blunt instrument. After receiving the autopsy, the Eoberts County Sheriff’s Office began an investigation. An informant indirectly implicated Lufkins. Eoberts County Sheriff Neil Long and Division of Criminal Investigation Agent Delbert Peterson interviewed Lufkins about the death. After being informed of his rights, Lufkins admitted striking Johnson on the right side of the head with an axe handle. Lufkins later signed a statement making the same admission.
Lufkins’ initial trial began on June 2, 1980, but was aborted when he pleaded guilty to first-degree manslaughter. Luf-kins was allowed to withdraw his plea on June 12, 1980, and was subsequently convicted of first-degree manslaughter in a second trial later that month. At this second trial, Ernest Hayes, Matthew Blue Dog, and Eugene Hedine testified as to a similar course of events leading up to the fateful altercation between Johnson and Lufkins. The three men also testified that they witnessed Lufkins strike Johnson on the right side of the head with an axe handle. Lufkins subsequently pleaded guilty to being a habitual criminal and was sentenced to life imprisonment. The conviction and sentence were affirmed by the South Dakota Supreme Court. State v. Lufkins,
Lufkins then filed his first habeas petition in federal district court, arguing that the state trial court violated his due process rights by failing to hold a hearing on the voluntariness of his confession outside the presence of the jury. Lufkins also claimed his trial counsel was ineffective for failing to object to the lack of a hearing. The district court granted habeas relief, holding that Lufkins’ trial counsel provided ineffective representation by failing to object to the state court’s constitutionally deficient hearing on the voluntariness of Luf-kins’ confession. Lufkins v. Solem,
The state retried Lufkins. Prior to this third trial, the state court held a hearing on numerous motions. The trial court concluded, inter alia, that Lufkins’ statement to police was voluntary and, therefore, admissible. The trial court also ruled that Hayes, Blue Dog, and Hedine were not available to testify at the third trial despite the good-faith efforts of the state to secure their presence. The court thus ruled that the prior testimony of Hayes, Blue Dog, and Hedine from the 1980 trial could be read into the record in the third trial.
Lufkins filed this second habeas petition on May 14, 1987, alleging his conviction was based on a violation of his Sixth Amendment right to confront and cross-examine witnesses.
II.
It has long been clear that constitutional violations can be subject to harmless error analysis. Chapman v. California,
Violations of the right to confront witnesses under the Sixth Amendment are subject to harmless error analysis. In Bruton v. United States,
The mere finding of a violation of the Bruton rule in the course of the trial, however, does not automatically require reversal of the ensuing criminal conviction. In some cases the properly admitted evidence of guilt is so overwhelming, and the prejudicial effect of the code-fendant’s admission is so insignificant by comparison, that it is clear beyond a reasonable doubt that the improper use of the admission was harmless error.
Schneble v. Florida,
Not only may the complete denial of the right to cross-examine witnesses be harmless, a court’s restrictions on a defendant’s cross-examination of witnesses may constitute harmless error beyond a reasonable doubt. Delaware v. Van Arsdall,
The correct inquiry is whether, assuming that the damaging potential of the cross-examination were fully realized, a reviewing court might nonetheless say that the error was harmless beyond a reasonable doubt. Whether such an error is harmless in a particular case depends upon a host of factors, all readily accessible to reviewing courts. These factors include the importance of the witness’ testimony in the prosecution’s ease, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the testimony of the witness on material points, the extent of cross-examination otherwise permitted, and, of course, the overall strength of the prosecution’s case.
Delaware v. Van Arsdall,
Therefore, to determine whether the introduction of the statements of Hayes, Blue Dog, and Hedine was harmless beyond a reasonable doubt, we must examine the other evidence introduced at the trial to determine whether it appears “beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.” Yates v. Evatt, — U.S. -,
The government failed to argue harmless error in its appellate brief. While the government may waive harmless error, an appellate court has discretion to overlook the waiver under certain circumstances. United States v. Giovannetti,
Our sua sponte analysis also comports with Supreme Court precedent. In United States v. Karo,
The primary evidence, of course, is Luf-kins’ detailed confession. The “indelible impact” that a full confession may have on a trier of fact cannot be understated. Arizona v. Fulminante, — U.S. -,
Nevertheless, an uncorroborated confession, standing alone, cannot provide the grounds to convict a defendant. Smith v. United States,
The Eighth Circuit consistently has followed the Wong Sun rule that corroborative evidence of the accused’s identity need not be shown in cases where the state has established injury to person or property caused by the criminal acts of some person. United States v. Opdahl,
The evidence establishing the corpus delicti—independent of the accused’s extrajudicial admission—need not be conclusive. Id. The evidence of the corpus delicti satisfies the corroboration rule if it is sufficient to show a “reasonable probability” that the criminal act of another caused the death of the victim. State v. Best,
III.
We now turn to our review of the evidence. A detailed confession is the most probative of all evidence. In fact, the varied opinions by Supreme Court justices in Arizona v. Fulminante, — U.S. -,
A confession is like no other evidence. Indeed, ‘the defendant’s own confession is probably the most probative and damaging evidence that can be admitted*1483 against him.... [T]he admissions of a defendant come from the actor himself, the most knowledgeable and unimpeachable source of information about his past conduct. Certainly, confessions have profound impact on the jury.’
Id. at 1257 (quoting Bruton v. United States,
We agree that a detailed, uncoerced admission by a defendant will tell a jury more about a particular crime than any other evidence, and that a jury will give this evidence extraordinary weight. Accordingly, we give great weight to the fact that Lufkins made an uncoerced
In his statement, Lufkins told police: The night of December 4, 1979 Eugene Hedine, Sylvester Johnson, Ernest Hayes, Mathew Blue Dog, (sic) and myself were drinking at our house. About 9:30 o’clock that evening Sylvester Johnson and myself got into an argument over drinking. I picked an axe (sic), that was standing in the corner of the living room, by the blade and hit Sylvester Johnson over the head, on the right side, with the handle of the axe. Shortly thereafter Sylvester Johnson and Ernest Hayes left the house. About 9:30 a.m. December 5, 1979 Luverne Black Thunder came to the house and told me that Sylvester Johnson had been found dead.
J.A. at 57.
While this confession provides compelling evidence of guilt, the state must still prove that Johnson died as the result of the criminal act of another person. There is no dispute that Johnson is dead. Our task, therefore, is to determine whether the state introduced sufficient evidence to show within a reasonable probability that Johnson’s life was criminally taken by another. We have no trouble finding that the state met this burden. Dr. Thomas Henry, a forensic pathologist, performed an autopsy on Johnson. Henry testified that Johnson died of a subdural hemato-ma — a blood clot over the surface of the brain — caused by a blunt blow to the right side of the head. He testified the trauma was caused by a single blow and was consistent with being struck by a blunt instrument, such as an axe handle. He testified death could not have come from natural causes and the trauma was not consistent with an injury sustained by accident, such as by falling down.
Lufkins’ admission fully comports with the independent evidence as to the cause of death of Johnson. Viewing this conclusion in light of the factors listed in Delaware v. Van Arsdall,
Our decision comports with prior cases which have sustained convictions on similar facts. In United States v. Todd,
IV.
Since we find that the “minds of an average jury” would not have found the state’s evidence significantly less persuasive had it not heard the statements of Hayes, Blue Dog, and Hedine, the admission of these statements into evidence was at most harmless error. See Schneble v. Florida,
Notes
. "In all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him.” U.S. Const, amend. VI.
. Following the reversal of Lufkins’ first conviction on his initial habeas petition, Lufkins v. Solem,
Dissenting Opinion
dissenting.
I have no alternative but to dissent. The majority reverses on a ground (harmless error) the State has never raised in this court or in any court below. This is completely contrary to settled appellate procedure. Even if the question of harmless error were properly before us, I would still affirm the district court’s decision to grant the writ because the confrontation clause violation was not harmless error.
I.
The State has had ample opportunity to raise the claim that any confrontation clause violation was harmless error.
A. Harmless error not raised below
The general rule is that federal appellate courts do not consider issues not passed upon below. Singleton v. Wulff,
Oddly enough, the majority now decides to ignore this well established rule even though fairness would require us to apply it to both habeas petitioners and habeas respondents. Perhaps Judge Silberman of the District of Columbia Circuit has suggested the reason the majority today has eschewed an even-handed approach to the question of waiver:
Should we be willing to overlook counsel’s failure to raise a clearly winning argument — even in civil cases — if by doing so we can save the expense of a new trial (or other societal costs)? Or is this a rule for criminal cases only? And if it is the latter, is that because the courts have some unstated responsibility to help the government in its prosecution of defendants? I think not — we have only the duty to apply the law neutrally in both civil and criminal cases.
United States v. Pryce,
[Fjinality, and its companion, waiver, must run a two-way street. Finality certainly means that a petitioner cannot raise new claims on appeal not yet raised. It also must mean that the state cannot raise new defenses on appeal not raised below.
Williams v. Dixon,
Although there are circumstances in which we may resolve an issue not passed upon below, such as where “the proper resolution is beyond any doubt ... or where injustice might otherwise result,” see id.
B. Harmless error not raised on appeal
The State not only failed to claim harmless error below, but it never raised the issue on appeal. An appellate court will ordinarily give no consideration to questions not raised, briefed, or argued on appeal. Jasperson v. Purolator Courier Corp.,
Many of our cases state that we may affirm a district court on any ground supported by the record even if not relied upon below. See, e.g., Lane v. Peterson,
Instead, the majority, faced with contrary authority in our circuit, canvasses other circuits to find support for its decision to reverse the district court. These cases, however, provide no support. Most of the eight cases cited involve direct appeals, not habeas. None of them involve the situation here: reversing a district court’s grant of habeas relief on an issue not raised below or on appeal. In fact, the majority fails to mention that in several of the cases it cites that the appellate court refused to excuse the government’s failure to raise harmless error on direct appeal. United States v. Rodriguez Cortes,
The two Supreme Court cases cited by the majority also offer little support for its decision to reverse the district court’s grant of habeas. The Supreme Court has repeatedly stated that it will not grant certiorari when “the question presented was not pressed or passed upon below.” See United States v. Williams, — U.S. -, -,
Under these circumstances we must affirm the district court.
II.
Even if the harmless error issue were properly before us, I would uphold the district court’s grant of the writ. The Supreme Court established a “harmless-constitutional-error” rule in Chapman v. California,
Until today, this court has faithfully followed the Van Arsdall and Schneble rules. See, e.g., Wealot v. Armontrout,
A proper analysis under Schneble and Van Arsdall leads to the conclusion that the error in this case was not harmless beyond a reasonable doubt. If a jury were to convict Lufkins based on the properly admitted evidence alone (Lufkins’ admission, the medical evidence, and other marginally significant circumstantial evidence), the conviction might well be sustained under a “sufficiency of the evidence” analysis. The properly admitted evidence, however, does not constitute the overwhelming
A careful reading of the record convinces me that there would have been significant gaps in the prosecutor’s case if he had relied solely on the properly admitted evidence. First, that evidence showed only that Lufkins struck Sylvester Johnson with an axe handle; that Johnson died of a subdural hematoma, which could have been caused by a single blow to the head; and that persons receiving such an injury could live as long as six to eight hours. The possibility remained that one of the other eyewitnesses to the incident also struck Johnson.
Second, the properly admitted evidence left open the possibility that Johnson did not die as a direct result of Lufkins' attack. Something might have happened to cause Johnson’s death after the incident with Lufkins. Anticipating this problem, the prosecutor offered the testimony from Hayes to the effect that immediately after the incident, Johnson got into Hayes’ car and Hayes began to drive him to the hospital. En route, according to Hayes, Johnson’s skin began to turn dark, and Hayes believed that he had died. Hayes stated that he then stopped the car and dragged Johnson’s body onto the lawn of a church, where it was found the next morning. Combined with the other testimony of Hayes, Hedine, and Blue Dog, this evidence closed the gaps in the prosecution’s case against Lufkins. Their testimony, if the jury believed it, directly established what the properly admitted testimony could not: that Lufkins’ blow to Johnson, and that blow alone, was fatal. The testimony of Hayes, Hedine, and Blue Dog was not cumulative of the properly admitted evidence, nor did the other evidence corroborate or contradict it. See Van Arsdall,
In sum, the error of admitting the Hayes, Hedine, and Blue Dog testimony was not harmless beyond a reasonable doubt. Without this evidence, questions still remained about what happened after Lufkins hit Johnson. Given the importance of the three witnesses’ testimony, we cannot say with any confidence that the jury would have convicted Lufkins on the basis of the properly admitted testimony alone.
. Like the majority, I assume for purposes of this opinion that Lufkins’ right to confrontation was violated during his 1984 trial.
. Because the State did not raise the issue of harmless error, I would not remand this case to the District Court or the South Dakota Supreme Court.to determine whether the confrontation clause violation was harmless error. Compare Delaware v. Van Arsdall,
. The State claims that the three witnesses were not available at the second trial. It appears from the record, however, that they were available for an evidentiary hearing before the district court, perhaps due to changed circumstances. The probability is that they will be available for a third trial.
. Moreover, the police never took fingerprints from the axe handle, making it impossible to determine whether Hayes, Hedine, or Blue Dog had also used the axe to attack Johnson.
