Lead Opinion
Lee M. Hays appeals the district court’s dismissal of his pro se habeas petition. He raises numerous claims on appeal. We need address only one issue, however, because we find it dispositive.
Hays asserts that he was denied his right to be present at his sentencing when California sentenced him in absentia.
Hays pled guilty to various criminal charges in California on March 7,1984. He was scheduled to be sentenced for those crimes on April 4,1984. However, on April 1 — three days prior to his sentencing — California voluntarily surrendered him to Idaho authorities pursuant to an extradition request. Two months later, Hays was sentenced in Idaho to four concurrent life terms in the Idaho state prison on May 30, 1984. On July 16,1984, California requested Idaho to lodge a detainer against him as a preliminary step to obtaining his return so that he could be sentenced for his California crimes. Four days later, Idaho lodged the detainer.
For almost a year and a half after Idaho lodged the detainer, California did nothing to secure Hays’ presence. Indeed, California awoke to Hays’ continued existence only in early 1986, when Hays filed a motion in the Sacramento Superior Court to dismiss the California charges and vacate his conviction. The California court ordered the state to show cause why Hays’ motion to dismiss should not be granted. California then attempted to enforce its year-and-a-half-old detainer against Hays and return him to California, but the parties to the Idaho detainer action — Idaho and Hays — stipulated that the detainer was invalid; accordingly, the Idaho court quashed California’s detainer. On June 6, 1986, Idaho returned the detainer: California did not subsequently file a new detainer or request custody of Hays. On July 2, 1986, the California court ruled on Hays’ motion to dismiss the California charges and vacate his conviction. The court denied Hays’ motion to dismiss: it then sentenced him in absentia to an aggregate term of twelve years in state prison. Hays asserts that his in absentia sentencing violates his federal constitutional rights.
Hays’ claim raises two questions. First, can the federal constitutional right to be present at sentencing be waived? Second, if so, was it waived in this case? With respect to the first question, the answer is “sometimes”. A state criminal defendant usually may waive his federal constitutional right to be present at his sentencing in a non-capital case. See, e.g., Brewer v. Raines,
California contends that by his actions, Hays waived his right to be present at his sentencing: to support that argument, it relies upon several cases in which a defendant who had fled from the authorities after the jury’s verdict was permitted to be sentenced in absentia. See, e.g., Tinghitella v. State of California,
California nevertheless contends that when Hays, a state prisoner, filed a pro se opposition to the undisputedly erroneous detainer lodged against him by California, he thereby waived his federal constitutional right to be present at sentencing. The record does not reflect that Hays was advised that any opposition to the de-tainer would constitute a waiver of his right to be present at his sentencing. Cf. Brewer,
Rather than sentence Hays before it extradited him to Idaho, California surrendered custody of him three days prior to his scheduled sentencing. In addition, California did not attempt to regain custody of Hays for a year and a half after it lodged the detainer against him, and even that act was performed only when Hays attempted to have the California charges dismissed. The only act performed by California designed to secure Hays’ presence for sentencing was its filing of an invalid detainer. The parties to the detainer action stipulated that the detainer was in error: California does not contend and has not contended in any court that the Idaho court was incorrect in its decision to quash that detainer or that the stipulation was in any respect erroneous. Even after the detainer was quashed and returned to California, the state did not file a new detainer, nor does it contend that it attempted to obtain Hays’ return through any other means. California clearly failed to exercise reasonable diligence
The present case raises the issue— one of first impression — whether the unconstitutional sentencing of an individual in absentia is subject to harmless error analysis or requires automatic reversal. For the reasons explained below, we hold that unconstitutional in absentia sentencing is a “structural” error and that a sentence resulting from such a proceeding cannot be affirmed on the basis of harmless error.
Structural errors include the absence of counsel from the trial or the presence of a judge who is not impartial, as well as the failure to permit a defendant to represent himself. See Fulminante, — U.S. at-,
Our conclusion that unconstitutional in absentia sentencing constitutes a structural error under Fulminante follows partly from an analysis of the nature of sentencing proceedings. The outcome of that process — a crucial and wholly separate part of a criminal prosecution — quite literally can mean the difference between life and death. It is frequently the most important part of the criminal proceeding; in fact, because approximately ninety percent of all prosecutions culminate in guilty pleas,
A defendant’s absence from his sentencing affects each and every aspect of that crucial phase of his criminal adjudication. A defendant who is absent from his sentencing cannot testify in his own behalf,
The next reason why unconstitutional in absentia sentencing constitutes “structural error” is our inability to determine accurately the impact of the error on the outcome of the proceeding. As noted in Ful-minante, “[t]he common thread connecting the[ ] cases ... involving] ‘trial error’ ” is that this type of error may be “quantitatively assessed in the context of other evidence presented in order to determine whether its admission was harmless beyond a reasonable doubt.” Id. — U.S. at -,
The final reason why unconstitutional in absentia sentencing cannot be affirmed on the basis of harmless error is because the right to be present at one’s sentencing proceeding is a “fundamental” one, Fulminante, — U.S. at-,
Not only does the defendant gain by personal presence at his sentencing, but society as a whole gains both symbolic and practical benefits from the public pronouncement of a sentence which is tailored to the defendant and delivered in his presence. As one commentator noted:
“Presence is of instrumental value to the defendant for exercise of other rights, such as to present mitigating evidence and to challenge aggravating evidence, and it may also be advantageous to him that the decisionmaker be required to face him_ However, there is an additional and perhaps more fundamental justification for the right to be personally present. Respect for the dignity of the individual is at the base of the right of a man to be present when society authoritatively proceeds to decide and announce whether it will deprive him of life or how and to what extent it will deprive him of liberty. It shows a lack of fundamental respect for the dignity of a man to sentence him in absentia.”
Each of the above analyses is sufficient by itself to remove unconstitutional in ab-sentia sentencing from the type of “trial errors” identified by Fulminante — errors which are amenable to review for harmless error. In combination, they demonstrate unequivocally that a sentence that results from such a proceeding “def[ies] analysis by ‘harmless error’ standards” and cannot be permitted to stand. Fulminante, — U.S. at-,
REVERSED AND REMANDED
Notes
. There is no dispute that Hays raised that issue in the district court. However, the government contends that he did not explicitly raise a Sixth Amendment right to effective assistance of counsel claim in the district court proceedings, and that he is therefore barred from raising that issue on appeal. "The Supreme Court has instructed the federal courts to liberally construe the inartful pleading’ of pro se litigants.” El-dridge v. Block,
. The issue of waiver of the right to be present in federal court is addressed in Rule 43 of the Federal Rules of Criminal Procedure.
. California law explicitly recognizes that reasonable diligence to secure the defendant’s presence is required before in absentia sentencing is permissible. See Cal.Penal Code § 1193, supra at 2; see also California Constitution, Art. I, § 15 ("The defendant in a criminal cause has the right ... to be personally present with coun-sel_”). The Constitution requires a similar obligation in certain circumstances. See Smith v. Hooey,
. In view of our conclusion regarding the due process issue, we need not resolve Hays' Sixth Amendment claim. Cf. Geders v. United States,
. See, e.g., Yvette A. Beeman, Accomplice Testimony Under Contingent Plea Agreements, 72 Cornell L.Rev. 800, 801 & n. 5 (1987).
. He cannot, for example, dispute testimony given by witnesses, personally challenge his pre-sentence report, tell his own side of the story, demonstrate remorse for his crimes, or ask the court for leniency and explain why it should be given.
. A defendant sentenced in absentia loses the ability to inform his counsel of inaccurate statements made by witnesses or in the presentence report, to assist his lawyer in making strategic choices or assent to his lawyer’s suggestions, to view the demeanor of the participants and assist his counsel to interpret and respond to those individual’s reactions, and to answer questions which his attorney might have that arise during the course of the proceeding.
. See id. — U.S. at -,
. See, e.g., Lee Teitelbaum et ah, Evaluating the Prejudicial Effect of Evidence: Can Judges Identify the Impact of Improper Evidence on Juries?, 1983 Wis.L.Rev. 1147, 1197 (arguing that judges cannot "accurately assess the prejudice created by an item of proof'). That difficulty, among others, has been identified by several commentators as a problem with the increasing use of "harmless error” as a means of affirming criminal convictions. See, e.g., Tom Stacy & Kim Dayton, Rethinking Harmless Constitutional Error, 88 Colum.L.Rev. 79 (1988); Francis Allen, A Serendipitous Trek Through the Advance-Sheet Jungle: Criminal Justice in the Courts of Review, 70 Iowa L.Rev. 311 (1985).
. These facts distinguish the present case from Boardman v. Estelle,
When a defendant is absent from the sentencing proceeding, however, he makes no such "proffer” or affirmative request: it therefore is pure speculation to attempt to assess what impact the unknown and unknowable acts of a defendant might have had on his sentence had he been present to perform them. The inability to assess accurately the impact of the constitutional error on the proceeding thus distinguishes the present case from Boardman. The pervasive impact of the defendant's absence from his sentencing on that proceeding, see supra at 479-480, and the fundamental nature of the liberty interest infringed by in absentia sentencing, see infra at 480-481, also distinguish the “trial error” at issue in Boardman from the "structural” error here.
. With rare exceptions, our system of criminal justice operates under the assumption that the sentence should fit not only the crime, but the defendant as well. Thus, courts assume — as we must — that the sentencing proceeding is not merely a pro forma process with a predetermined result, and that a defendant’s participation in that process can be meaningful. Cf. Woodson v. North Carolina,
. That is the case not only (as here) in state court, but in federal court as well. This is especially the case given the increasing use of victim impact testimony in federal sentencing proceedings. See Payne v. Tennessee, - U.S. -,-,
Dissenting Opinion
dissenting:
Because Hays could have invoked his right to be present at sentencing using the procedures provided under the IAD, and in light of the fact that he did not exhaust the remedies available to him under the IAD and impeded California’s efforts to procure his presence for sentencing, I respectfully dissent.
The IAD provides two means by which a prisoner may be brought to another state for the disposition of pending charges. Article IV provides that a prisoner against whom a detainer has been lodged may be made available to a requesting state upon written request for temporary custody or availability to the appropriate authorities in the state where the prisoner is serving his sentence. See Interstate Agreement on Detainers, 18 U.S.C.App. § 2, art. IV(a). Article III of the IAD provides that a prisoner shall be brought to trial in a state which has lodged a detainer against him within 180 days of his giving notice of the place of his imprisonment and of his request for a final disposition to the prosecuting officer and the appropriate court of the prosecuting officer’s jurisdiction. See id., art. 111(a).
California filed a detainer against Hays on July 16, 1984. The detainer was lodged on July 20, 1984. Once California filed the detainer, Hays became subject to the procedures of the IAD.
No further action was taken by California or Hays until January 7, 1986, when Hays filed a motion to dismiss the complaint, alleging denial of his right to a speedy trial and California’s waiver of jurisdiction over him by extraditing him to Idaho. The hearing on Hays’s motion was postponed until his case was referred on May 7, 1986, to a probation officer for a supplemental presentencing report. By an order dated May 30, 1986, an Idaho district court quashed California’s detainer, stipulating with Hays that the detainer lodged against him and the subsequent request for custody were in error, presumably because of California’s failure to request custody at the time the detainer was filed. There is no requirement under either the California or Idaho version of the IAD that a state request custody at the time a detainer is
On July 2, 1986, the California court denied the motion to dismiss and sentenced Hays to 12 years imprisonment. The court found that, .by opposing his return to Idaho, Hays waived his right to be present at sentencing, and sentenced him in absentia. Hays has yet to request that he be brought to California under the provisions of the IAD. The question remains whether Hays is entitled to habeas relief; the answer is no.
Other circuits have denied habeas relief when a prisoner has failed to exhaust the state remedies available to- him under the IAD. See Norton v. Parke,
The majority notes that under California Penal Code § 1389, California could not sentence Hays in absentia without making a good-faith effort to secure his presence, and finds that California did not use reasonable diligence to procure Hay’s presence. To the contrary, California met the requirements of the IAD and could reasonably conclude that it was in the interests of justice to sentence Hays in absentia. Due process would only have been violated had Hays demanded sentencing and then been denied his right to be present. See Smith v. Hooey,
It is not Hays’s failure to assert his right by itself which constitutes waiver; his actions in quashing the detainer with the knowledge that all that remained of his trial was the pronouncement of sentence, in light of his failure to initiate proceedings under the IAD, constitute waiver. We may, under certain circumstances, infer waiver from a defendant’s acts. See United States v. Edwards,
. Even if the California court had subsequently issued a writ of habeas corpus ad prosequen-dum to the Idaho prison authorities, the writ would have been construed as a request for custody under the IAD. See United States v. Mauro,
