Lead Opinion
Miсhael Groose, Superintendent of the State of Missouri’s Jefferson City Correctional Center, appeals from the district court’s
Abdullah was indicted and tried under the name Tommie L. West in the Circuit Court for the City of St. Louis for unlawful use of a weapon. He now goes by the name of Hil-lum Safat Qital Abdullah.
Prosecutor: I think we need some ground rules for his conduct and movement during the course of the trial. As the Court’s well aware, we attended a sentencing hearing with Mr. West last year, and he did in fact try to escape from the courtroom, and that’s why he’s wearing leg irons.
And I consider him to be a very dangerous security risk. He’s already got a ten-year sentence, and I’m a little concerned about him wandering around the courtroom giving a closing argument, making a voir dire, approaching a witness to cross-examine the witness considering his propensity for escape. Are you going to keep his legs bound during the course of the trial, or are you going to let him move freely?
The Court: Well, based upon the information that this Court has received, he will have to proceed with this trial with the leg irons as they now are.
In his direct appeal in thе state court Abdullah asserted that he had been denied a fair trial because he was shackled during the trial. Since Abdullah had not objected to the shackles at trial, the Missouri Court of Appeals reviewed the claim under Mo.R.Crim.P. 29.12(b) for plain error resulting in manifest injustice. Finding no such error, the court affirmed. State v. West,
Abdullah then petitioned for a writ of ha-beas corpus, pursuant to 28 U.S.C. § 2254 (1988). The district court referred the case to a United States Magistrate Judge,
I.
On appeal Groose argues that the district court’s holding requires a second warning, and thus amounts to a new rule that cannot be applied retroactively under Teague v. Lane. Under Teague, a federal habeas court may not apply a new rule to invalidate a state conviction unless the rule falls within one of two narrow exceptions to the non-retroactivity principle.
The finding of a Sixth Amendment violation in this case rests on the authority of Faretta v. California,
Considering first the court’s duty to ascertain whether the defendant appreciates the significance of waiving counsel, and second, the long-recognized gravity of forcing a defendant to trial in chains, we conclude that the trial court did not live up to its obligation in this ease. Abdullah did not know he wоuld be tried in chains at the time he moved to waive counsel. Once the court decided to shackle him, the court made no effort to ascertain whether Abdullah understood the effect shackling would have on his ability to represent himself.
Superintendent Groose argues that there are no pre-1988 cases saying that the court must discuss shackling in its waiver colloquy. However, it has long been established that “[t]he determination of whethеr there has been an intelligent waiver of the right to counsel must depend, in each case, upon the particular facts and circumstances surrounding that ease.” Johnson,
Superintendent Groose argues that the district court’s holding will require trial courts to give supplementary Faretta warnings every time there is an adverse development that will make self-representation more perilous. That is a false issue in this ease because both the motion for self-representation and shackling occurred before trial and in the same hearing.
Superintendent Groose also argues that we affirmed a conviction in United States v. Stewart,
Groose next argues that the district court erred in holding that Abdullah’s claims were not barred by the procedural default rule. The Missouri Court of Appeals reviewed Abdullah’s claim pursuant to Mo. R.Crim.P. 29.12(b). Under that rule the Missouri court’s review was only for “plain error” affecting “substantial rights” and resulting in “manifest injustice,” a much less rigorous standard than would have pertained if Abdullah had preserved his objection. However, in the past we have held that Missouri plain error review constitutes review on the merits and therefore no procedural defect bars habeas review. Williams v. Armontrout,
Groose contends that Pollard v. Delo,
III.
Finally, Groose argues that we should apply harmless error analysis to the violation of Abdullah’s right to trial counsel, citing Brecht v. Abrahamson, — U.S. -,
To the extent Abdullah’s case involves denial of his right to self-representation, it is governed by the Supreme Court’s reasoning that harmless error cannot apply where a court denies the defendant his right to self-representation. McKaskle v. Wiggins,
Therefore, we decline to apply harmless error analysis in this case.
IV.
We affirm the grant of the conditional writ of habeas corpus.
Notes
. The Honorable Donald J. Stohr, United States District Judge for the Eastern District of Missouri.
. At various points in the proceedings he also called himself Abdullah Sharrieff Muhammed.
. The Honorable Catherine D. Perry, then United States Magistrate Judge for the Eastern District of Missouri and now United States District Judge for the same district.
. Bannister leaves open the possibility that there could be cases in which plain error review was not a waiver of the procedural default,
. Groose also cites dictum from Stidum v. Trickey,
Dissenting Opinion
dissenting.
I respectfully dissent from part I of the majority’s opinion. I would reverse the district court because I believe its decision announced a new rule in violation of Teague v. Lane,
I.
Teague prevents a federal court from granting habeas relief to a prisoner based on a rule announced after his conviction has become final. Id. at 310,
We apply a three-step analysis to determine whether Teague precludes the district court’s decision. First we must determine when Abdullah’s conviction became final. Then we “must ‘[s]urve[y] the legal landscape’ ” at that time to “determine whether a state court considering [Abdullah’s] claim at the time his conviction became final would have felt compelled by existing precedent to conclude that the rule [he] seeks was required by the Constitution.” Id. (internal quotations omitted) (citation omitted). Finally, if we conclude the district court announced a new rule, we must determine whether one of two narrow exceptions to Teague applies. Id.
The core issue is whether the district court’s decision announced a new rule. If so, Teague bars it from applying here, as neither of the two narrow exceptions to Teague are applicable. For Teague purposes, “a decision announces a new rule ‘if the result was not dictated by precedent existing at the time the defendant’s conviction became final.’” Gilmore v. Taylor, — U.S. -, -,
The majority determines that the district court’s rule is not new based upon two longstanding lines of precedent: one deriving from Faretta and its progeny that a defendant’s waiver of his right to an attorney must be knowing and intelligent, maj. op. at 694-95; and one from Holbrook recognizing the inherently prejudicial nature of requiring a defendant to be shackled during trial, maj. op. at 695. The majority then combines these two long-standing lines of precedent to determine that the district court should have inquired as to “whether Abdullah understood the effect shackling would have on his ability to represent himself.” Maj. op. at 695. This combination of two separate well-established and long-standing precedents to form a new third requirement that is logically related to both lines of precedents is a nеw rule that is barred by Teague. Wickham,
A. Faretta and its Progeny
The majority asserts that Faretta and its progeny compel the district court’s decision. To determine whether this is so requires a
It is well-settled that a criminal defendant has the constitutional right to represent himself and that in order to waive his right to counsel he must make a knowing and intelligent waiver. Berry v. Lockhart,
the defendant’s age and education, ... other background, experience, and conduct. The court must ensure that the waiver is not the result of coercion or mistreatment of the defendant, ... and must be satisfied that the accused understands the nature of the charges, the consequences of the proceedings, and the practical meaning of the right he is waiving.
McQueen v. Blackburn,
Prior to the district court’s decision, I am aware of no case that requires a trial court to include in its Faretta colloquy a warning of the dangers or disadvantages of proceeding pro se that are specific to his case.
Furthermore, in this case the motion for the defendant to remain in shackles did not occur until immediately after defendant’s motion to proceed pro se was granted. Consequently, at the time of the initial Faretta colloquy, it is unlikely that the trial court was aware that it would shortly be ordering the defendant to remain in shackles during the trial. In essence, the district court is requiring the trial court to supplement its initial Faretta colloquy once it became aware that the defendant would be shackled. So stated, this is clearly a new rule in violation of Teague.
B. Shackles
I agree with the majority’s analysis of our long-standing recognition that “forcing a defendant to undergo trial in chains is ‘inherently prejudicial,’ ... and should only be tolerated in cases of dire necessity.” Maj. op. at 695 (citations omitted). However, these precedents do not require any warning of the disadvantages of such shackling be given to the defendant. Accordingly, the long-standing precedent concerning shackling does not dictate the district court’s rule.
II.
I believe that the district court announced a new rule, which violates Teague. I disagree with the majority’s conclusion that Teague is not applicable because there was cоmpelling long-standing precedent existing at the time of Abdullah’s conviction. I believe that the district court ruling takes two long-standing lines of precedents and combines them into a third, albeit related, rule. This is a new rule in violation of Teague. Consequently, Abdullah may not rely on this rule as a basis for habeas relief. For the foregoing reasons, I would reverse the district court’s grant of the writ of habeas corpus.
. With respect to the dangers and disadvantagеs of proceeding pro se, the Bench Book advises trial judges to inquire whether the defendant is familiar with the rules of evidence and criminal procedure and to warn the defendant that he will be required to abide by these rules; to inquire whether the defendant is aware of the potential sentence in the case; to warn the defendant that the court "cannot tell you how you should try your case or even advise you as tо how to try your case.” 1 Bench Book for United States District Judges § 1.02(2)(g) (1991). The Bench Book also recommends that the trial court warn the defendant to the effect that in its opinion, the defendant “would be far better defended by a trained lawyer than you can be by yourself. I think it is unwise of you to try to represent yourself. You are not familiar with the law. You are not familiar with the rules of evidence. I would strongly urge you not to try to represent yourself.” Id. § 1.02(2)(1). Nowhere in its suggested Faretta warnings does it state that the district court should also warn the defendant of any dangers or disadvantages specific to his particular case that the court is aware of.
. In Culverhouse v. Texas, the Texas appellate court noted that the trial court warned the defendant of the disadvantages of proceeding pro se while shackled.
Additionally, it appears that the Florida Supreme Court does not require a trial court to include in its Faretta colloquy a specific warning about the disadvantages of proceeding pro se in shackles. See Diaz v. State,
