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Melvin E. Wilkerson v. Edward Klem Attorney General of Pennsylvania
412 F.3d 449
3rd Cir.
2005
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*1 in CERCLA favored remand, generally we visions are on prioritized must be tors actions, v. States see United contribution CERCLA inappropriate. this is think (1st Davis, (quot of weighing selection the both places imposed by dis contingency provision ing sound discretion the factors equitable Coaters, Inc., court); v.Co. trict Acushnet court, court. appellate not the the district (D.Mass.1997); Boeing F.Supp. for these matters we leave Accordingly, F.Supp. Corp., 920 on Co. Cascade on its own to decide District Court the the (D.Or.1996), agree with and we dis- legal errors remand, by the unfettered spe the leave those cases. We wisdom of above. cussed to the discre provision of the design cific Declaratory Judgment Should Any D. Court, help the with the District tion of Contingency Provision. Contain con Beazer’s recognize parties. the We provision might use such Mead cern that sympathetic are Finally, we already will have issues that re-litigate the District Court’s contention Mead’s allocation equitable in the been decided parties’ the fixing declaratory judgment remand, but to be conducted proceeding response costs future shares equitable adequately be this concern can think the we authorizing provision contain a should ‘law of the by application addressed the District re-litigate parties future case’ doctrine.22 if new facts or allocation equitable inequi current division render events VI. Conclusion argues example, Mead For table. above, case phase we will investigatory stated the reasons

once For ensues, phase remedial of the District judgments and the concludes reverse allocation equitable for further this the District Court’s remand action any required if fair longer opinion. be this consistent with would proceedings exclusively di is “primarily remediation of the Site those areas

rected to majority of for the responsible is

Beazer contamination.” pro- allocation equitable

Because WILKERSON, Appellant conducted must be case ceeding this E. Melvin Court, the the District on remand again already entered declaratory judgment Attorney KLEM; General Edward If and when null and void. case is Pennsylvania. declaratory a new enters District No. 03-2842. costs, however, future covering judgment judgment Mead agree with we Appeals, States au- provision kind of contain some should Third Circuit. allo- re-litigate thorizing parties 14, 2004. Argued Dec. cause shown good of those costs cation 28, 2005. Filed: June Opinion or new evidence events response equi- reasonably upon the bear pro- contingency the allocation. Such ty of new evidence based on cause motions suggestion, contrary Beazer’s Finally, "not made 60(b) brought under that rule must insuf- Procedure Rule of Civil Federal judgment year” after one more than events if new protect Mead’s ficient entered. inequitable be- allocation the initial render

Mary Gibbons, Esq. Toms (Argued), River, NJ, for Appellant. Barker, P.
James Esq. (Argued), Fran- Chardo, cis T. Esq., Deputy District Attor- ney, PA, Harrisburg, for Appellee. AMBRO, Before: VAN ANTWERPEN STAPLETON, Circuit Judges. OF THE OPINION COURT STAPLETON, Judge. Circuit In this habeas corpus proceeding brought pursuant to 28 Ap- U.S.C. pellant Wilkerson claims that the state trial court wrongfully deprived him of his Sixth Amendment right to counsel. The District Court considered whether state court’s decision rejecting that claim to, contrary or an appli- of, cation Supreme Court precedent and concluded that it was not. agree We will affirm.

I. Wilkerson charged in Pennsylva- nia court with retail theft and robbery of a motor vehicle. At a March hear- ing, he informed the court that he wanted his current down,” counsel to “step and the by your standing Mr. Dils was when App. to withdraw. allowed side, need new you April set It then 42-43. him as and advised date Wilkerson’s

follows: up to- coming case was knew this You *3 Wilkerson, your Now, that’s Mr. attorney, an you needed day. You knew days. less than That’s date. apply didn’t why you I don’t know and 12 and April lawyer on a get can’t You for one. your handle how to know him to expect system, delay the to going We’re a get to You need day. next case the wit- inconvenience and delay justice, days so the next several lawyer within deciding in you fool around while nesses opportuni- an will have lawyer that that attorney or not. an get to Dis- discovery with engage to ty your any sense It doesn’t make case, in- your attorney, to evaluate trict you for on lawyer looking for family is witnesses, you, interview terview you’re time and at the same charge, one isn’t There of time. a lot takes in anoth- defender public for a applying much time. you afford counsel You can case. er trial on your proceed we will So can’t. family has your You or 13th. April the counsel, you should afford can’t you If lawyer within hire a get busy to Of- Defender’s the Public gone to days. several next the other. charge as well as this fice for if you tell to also ought I guess I under you’re qualify since you’d I think counsel, you private afford you can’t now, but right sentence prisoner a state services the free right to have the case taking this may, it we’re as be can’t you ifSo Office. Defender’s Public to trial. say by money, I would up come with at 52-53. App. week, better you’d this end of conviction, ap Wilkerson Following his right then Defender Public to the going of the Com Court Superior to pealed away. inter arguing Pennsylvania, monwealth at 45-46. App. to his been denied that he had alia affirmed, April on appeared Superior The counsel.

Wilkerson tried to be “forfeited” charges had for Wilkerson concluding counsel without view, attorney from In the although an court’s day, repre- was Com governed who Office Defender’s case Public Wilkerson’s happened Wentz, Pa.Super. charge another him on senting monwealth as had held (1980), advised it Wilkerson A.2d 796 present. to be process family that his court follows: he had lawyer, engage trying has been who “... a criminal they been success- whether yet heard trial, and of his of the date duly notified to trial proceed The decided

ful. court counsel advised obtain has who been Pub- attorney from the appointed nevertheless, who, him and represent counsel stand-by as Office lic Defender’s date the scheduled appears self-representation. in his Wilkerson assist reasonable and with counsel without follows: its decision explained The court no con- thereof lack for the excuse counsel obtaining of plans crete when we you very clear made to counsel.” waived his in March case last term this continued Wentz, App. at (quoting 421 A.2d at indistinguishable from a decision of [the 800). Superior While the quoted Supreme] Court and nevertheless arrives passage from Wentz cast in terms of at a result different from [Supreme Court] “waiver,” it made clear that this was a case precedent.” Id. at 120 S.Ct. 1495. in which the defendant had forfeited The Court in Williams further ex right to his conduct and not one plained that an application” “unreasonable involving voluntary waiver that right. of Supreme Court precedent occurs when Pennsylvania de- a state court applies the correct rule to clined to review Wilkerson’s case. The specific facts objectively unreason District Court denied relief, him habeas way. able Id. at 1495; see granted and we a certifícate of appealabili- *4 also Mitchell Esparza, 12, 540 U.S. 17- ty only on the issue of whether Wilkerson 18, 7, 124 S.Ct. (2003). 157 L.Ed.2d 263 A had been denied his to counsel. court that unreasonably extends an estab lished rule to a new context where it II. or, should not apply alternative, provisions

Under of the Antiter- unreasonably fails to extend such a rule to rorism and Effective Death Penalty Act a new context where it should apply may (“AEDPA”), 2254(d)(1), U.S.C. habe- be deemed to have unreasonably applied corpus as relief from a state conviction the correct Williams, rule. granted only if the state court 407, 120 S.Ct. 1495. being decision challenged contrary to, “was These governing rules recently were ap- or involved an application of, plied by our a context similar to clearly law, established federal as deter this one in Johnson, Fischetti v. 384 F.3d mined the Supreme Court of the United (3d Cir.2004). There, a state court States.” In Taylor, Williams v. 529 U.S. denied Fischetti’s motion for the appoint- 362, 1495, 120 S.Ct. 146 L.Ed.2d 389 ment of counsel, new finding that pre- (2000), Court clarified these viously appointed counsel was providing two for bases invalidating a state convic representation. effective gave court tion on habeas review. It held that “con Fischetti options: three continue trary to ... clearly established federal present with him, representing law” just means that&emdash;“diametrically dif represent himself present with counsel as- ferent, opposite in nature, character or or sisting co-counsel, as or represent himself mutually opposed.” 405, Id. at 120 S.Ct. without co-counsel. When Fischetti de- 1495. Moreover, the state court judgment all clined options, three the court ordered must not merely be contrary to as law the trial go forward with rep- Fischetti by any articulated federal court. It must resenting himself. Following conviction “clearly contradict established” decisions and direct appeal, Fischetti sought habeas of the United States Supreme Court relief the federal courts. alone.1 Id. This can happen in one of two ways: either the state ignores court appeal On from the District Court’s dis- misapprehends clear or it “con missal his petition, habeas this Court fronts set of facts that are materially began its analysis by cautioning that “at 1. At the day, end of the 2004); AEDPA “confines the Colleran, see also Dunn v. 247 F.3d authorities on which federal may rely” courts (3d Cir.2001); Delaware, Hameen v. in a habeas case (3d decisions. 212 F.3d 234-43 (analyz Johnson, Lewis Cir. ing Supreme cases). primar- Based precedent. Supreme Court the issue articulate outset, must we involving Court cases ily on precisely.” the state presented self-representation,2 right to issue framed the then It

at 150. Supreme Court conduct, predicted had for- we Fischetti, by his whether not forfeited to coun- hold Fischetti would Amendment his Sixth feited that, if indicated to counsel. -right We sel: conviction, we reviewing a federal we were a choice to make Here, refused Fischetti in not trial court erred that the rule coun- proceeding current between him forward with go the trial directing Effectively, pro se. proceeding sel and present his then represented being deni- trial court’s to defeat sought he counsel., stressed; however, We yet another motion al review- approach in permissible essence, court was not a the state court conviction: ing a state if he had waived him not as treated for- having attorney but as review were to his our rule habeas [I]f Goldberg, 67 F.Sd properly right. See if the state feited that determine examine therefore must general principles We extrapolated at 1101-01. “clearly Faretta, established” Patterson there whether can be derived on forfeiture Illinois, Court law [v. *5 (1988)], right to and Martinez 261 101 L.Ed.2d setting, we factual this different at Id. 150. court rul the state disagree with might issue, quick- we the thus defined Having ing. ruling court’s that the state ly concluded reviewing the not our role. That is clearly estab- ... “contrary to was not appli- courts’ state reasonableness the law Court within Supreme lished” we precedent, Supreme Court cation of 2254(d)(1): of 28 U.S.C. meaning the departure point as our must use established Court’s [T]he holdings of Court’s decisions. specific dealt with expressly has this area court the state assessing whether When counsel, which of forfeiture the matter refusing or reasonably applying acted we have here. As exact issue is the must be we precedent, that to apply voluntary waiv discussed, whether Su- that mindful issue Moreover, separate. conceptually are er a result law “dictated” preme Court decisions prior Court’s Supreme 301, 109 at case, Teague, U.S. 489 our “materi that are involved facts have not (plurality); 334 L.Ed.2d 103 S.Ct. facts from indistinguishable” ally 104-05, wheth- Moore, at see in this actions surrounding Fischetti’s here presented the circumstances er 406, 120 Williams, at 529 U.S. case. See to those “closely analogous” were Moore, 389; 1495, 146 L.Ed.2d S.Ct. high court earlier the basis of formed state It 107. follows F.3d at 314, 109 decisions, U.S. Penry, 492 contrary to was not here ruling court (internal '2934, 106 L.Ed.2d S.Ct. by decisions as articulated federal law omitted). and citations quotations Court. Id. at 150-51. Id. con- Fischetti analysis in our Once whether issue of turned to We then holdings” “specific fined unreasonably applied

the state (2000). See, California, e.g., Martinez 152, 161, 145 L.Ed.2d Court decisions and to asking whether the Supreme any those holdings “closely analogous” cir- guidance clear precise as to the stan- compelled cumstances a result contrary to dard to be applied before forfeiture can court, reached the state we could triggered. be Put another way, the Su- find preme Court fully has defined when fairly could be rendering cited as the state a defendant’s misconduct or defiance court’s decision unreasonable. We noted warrants a forfeiture. Our canvass of that “the [had ex- not] decisions of our own and sister courts pressly ruled out forfeiture of counsel.” reinforces our view that the state court Id. at 151. contrary, On the we observed order proceed Fischetti without Supreme'Court precedents, while counsel was not an objectively unrea- not dealing with forfeiture of the sonable application of Supreme counsel, provided conclude, a “basis to case law under the Sixth Amendment. did, state that defiant behavior Id. at 152. by a defendant can properly that de- cost Applying analysis fendant rationale of some his Sixth Amendment pro- case, Fischetti to this we reach if a similar necessary tections to permit a trial go conclusion. The precise presented forward issue in an orderly fashion.” Id. at 151 the state court in (citing Taylor States, case was whether a criminal defendant who (1974) has been duly L.Ed.2d 174 noti- fied of (holding that, trial, the date of his following who failure of the de- been fendant advised to obtain recess, to return counsel in “the trial sufficient time ready trial, could continue because the court’s who appears on power try ‘may case scheduled date not be without defeated counsel and *6 conduct of the with no prevents accused that reasonable excuse the for his failure to trial from going ”); have counsel present, forward’ and Illinois v. forfeits his Sixth Allen, 397 U.S. Amendment right to (1970) L.Ed.2d 353 that, (holding following- Turning to the first prong of disruptive behavior and after being 2254(d)(1), there is Supreme no Court warned aby judge, a defendant could be precedent dealing with the forfeiture of excluded from the courtroom to allow the counsel, and no prior of decision that trial to proceed)). We then went to Court involves facts “materially indistin note that “additional support for the rea- guishable” from presented those here. of sonableness the state court’s application Accordingly, the state court decision we of Supreme Court precedent” could be review is not “contrary to ... clearly es found in our own decisions and those of tablished” Supreme Court law. other Courts of Appeals. Id. at 151. We summarized that case law as follows: respect With to whether the decision we

None of these approves cases review involves an the applica- unreasonable specific decision tion made of clearly the trial Supreme established Court law, But appellate here. the emphasize, do we cases as did the Fischetti establish that the Supreme Court, gen- that “we must use as point our of eral right to counsel departure decisions are rea- the specific holdings of the” Su- sonably qualified read as preme the trial Court. Id. at 151. It remains true court’s power to remedy abuse of that that there are Supreme Court decisions right through Further, forfeiture. none involving forfeiture of the to counsel of these cited appellate cases saw in and a no decisions providing any fortiori in to a principle situation that to be extended to the “standard guidance clear Ram not have controlled. it should which that] concluded can be [it applied before 156, 120 S.Ct. Angelone, dass v. a forfei- warrants misconduct defendant’s (2000) (plurality L.Ed.2d 125 necessarily follows It at 152. Id. ture.” signifi finds this colleague Our opinion). not here was decision court’s the state view, did because, Wilkerson in his cant of or, misconduct” any in “serious engage not precedent. Court did ‘Wilkerson because specifically, more noted, ap- court of While, have as we Supreme Court way our act in a ulti- to the irrelevant precedent peals of finding of forfeiture to a leads has held here, as us, note that before we mate issue or generally constitutional pro- those cases Fischetti, a review held leads subsequently have lower courts by taken view for the a basis vides finding of forfeiture to a explained We in this case. state atOp. Dissenting specifically.” Fischetti, example: 461. Goldberg, 67 F.3d States fact ignores analysis dissent’s The Cir.1995), explained that (3d we extension doctrine the unreasonable to counsel lose could “legal specific ato requires reference still attorney or assaulting by physically Gat Supreme Court.” from the principle able (in financially the case defen- Cir. Snyder, tis v. dant) any counsel refusing to retain ex 2002). No apply rule We place. type position support first ists to punish defendants in the dis described misconduct” “serious courts con- ability preserve aof “necessary find forfeiture sent is duct trials. Dissenting Op. right.” Indeed, colleague concedes our 462. v v 4? found can be forfeiture standard no clear interpreted also circuits have Other in the be consis- decisions Id. at courts. appellate of lower decisions right to coun- forfeiture of tent with on, however, ex goes dissent interpreted cases sel. These *7 court circuit forfeiture press the belief go trial defendants require law to from factors “contain common decisions have failed they when unrepresented that the gleaned principle can which time, a reasonable within hire counsel find a will not appellate courts federal Bauer, F.2d 693 v. States United be defiant absent a defendant’s forfeiture v. (7th Cir.1992); Mitch- States United added). (emphasis ....” Id. havior Cir.1985). (5th ell, from glean could if this Court Even added). 146,152 (emphasis Id. at serious precedents a court circuit federal correct- writing in dissent does colleague which Our standard forfeiture misconduct in this applica- behavior that the “unreasonable encompass Wilkerson’s ly observes not 2254(d)(1) conclusion compel authorizes case, that does segment tion” “if, finding was judgment forfeiture from a state state court’s relief that the habeas application [Supreme Court] unreasonable objectively clearly established under section under precedent in Supreme Court law, unreasonable state stan- forfeiture no clear Because legal princi- governing refusing to extend by the articulated been principle dard has context which ple to a state Court, said cannot be unreasonably controlled” should court in this case acted when unreasonably disruption trial presented here and in forfeiture, it found even though Wilker- Fischetti. Whether there is such a materi- son’s fell short actions of the sort of “ex- al difference might present a litigable is- tremely serious misconduct” that sue—one on which reasonable minds could present found in United v. States differ, but that would be only relevant Leggett, Cir.1998), 162 F.3d 237 panel whether our is bound Fischetti. Goldberg, 67 1102. It is not suffi- It nothing to do with whether the state say cient to that Wilkerson’s actions did court’s decision was an appli- rise the level of conduct that has cation of established Court law. constituted the past; the issue is whether the application state court’s III. forfeiture to Wilkerson’s case preclud- judgment of the District Court will ed by Supreme precedent. In this be affirmed. regard, we position re-state our in Fischet- ti that Court’s holdings in AMBRO, Circuit Judge, Dissenting. Allen, Illinois (1970), 25 L.Ed.2d 353 I agree my with Taylor colleagues in major- States, ity that the Pennsylvania decision in this (1973), L.Ed.2d provide state courts case was not contrary to clearly estab- with a “basis to conclude” that certain lished law because there Su- obstructive conduct may preme defendant Court precedent addressing forfei- constitute a forfeiture of Sixth Amendment ture the right However, counsel. I protections. Fischetti, 384 F.3d at 151. part my colleagues on the issue of whether that decision—that Melvin Wilk-

As Fischetti, we stressed in “forfeiture erson forfeited his right to counsel—was voluntary waiver are conceptually sep- an unreasonable arate,” and the dissent’s waiver on are forfeiture of point. beside the constitu- Allen Taylor rights. tional I are of believe that the interest state court to the they extent recognize unreasonably that a criminal extended Court’s forfei- forfeit other ture precedent important to Wilkerson’s case instead by engag- ing applying the appropriate analytical conduct that has the ru- potential of “prevent[ing] waiver of for- going bric— Fischetti, ward.” therefore respectfully 384 F.3d at 151. dissent. But the issue and facts involved there are no A. Unreasonable closer Extension to those here than to those in Fis- of Forfei- ture

chetti. Precedent They certainly do not compel a *8 that conclusion a trial judge must abort a If determine, we case, as we in have this scheduled trial under the presented facts that a state court decision is not contrary here. to applicable Supreme Court precedent, respect With to whether or not we the state must “advance to the second step in the court could reasonably apply the Supreme analysis [habeas ] the state court —whether Court’s forfeiture analysis from Allen and decision was based on an ‘unreasonable Taylor case, Wilkerson’s we perceive no application of Supreme prece- Court ”3 material difference between the potential dent.’ Hendricks, v. 366 F.3d Affinito 3. We previously emphasized have of” provisions 2254(d)(1) § of 28 U.S.C. must "contrary to” and application "unreasonable given independent meaning. Werts v.

457 Cir.2002) (3d that the (noting Werts, 2 Cir.2004) 228 (3d (quoting 252, 257 “ specifically not but ‘if the did Court discussed 196). is met prong This at F.3d legal principle” of governing “extension correct endorse the identifies court state Williams); Fischetti v. John Court’s Supreme] in approach from [the legal principle Cir.2004) (stat (3d applies unreasonably son, 140, 148 F.3d 384 decision but prisoner’s fully of has the facts not “Supreme Court principle ing -that the ” Williams, at U.S. 529 (quoting legal princi Id. of case.’ this- ‘extension fleshed out 1495). majority As the 413, 120 S.Ct. ple’ approach”). states, court decision a state opinion decided, how- was Williams after Soon appli- unreasonable to be an found

also be gov- ever, Kennedy articulated Justice if “the precedent of cation unrea- analyzing the erning principles a extends unreasonably court either state 2254(d)(1) §of prong application sonable from legal principle may be determination “A state and stated: it should where new to a context if, under this standard aside under set fails to extend unreasonably or apply not law, state clearly established it where context principle to extend refusing in unreasonable 278 F.3d Snyder, v. Gattis apply.” should to a context legal principle governing Cir.2002) (3d (citing 228, 222, 234 have con- should 1495). principle which 407, 120 Williams, S.Ct. 529 U.S. Angelone, v. Ramdass trolled.” or “failure extension” The “unreasonable 2113, 166, 147 L.Ed.2d unreasonable to the approach to extend” (2000) Our Court opinion). (plurality 2254(d)(1) § 28 U.S.C. of prong application since have of our sister Circuits all one by the Su- out fully fleshed not been held—that expressly indicated —or stated Court. preme approach legal principle” “extension though “per- approach, this Williams application prong the unreasonable some correctf,] ... does haps ][ analysis. mode of is a viable inquiry habeas further and noted precision,”4 problems F.3d See, Vaughn, 398 v. e.g., Brinson how “to decide required it “ Cir.2005) (3d ‘a state (stating that cases legal principle’ ‘extension such appli- ‘unreasonable fails the decision court 2254(d)(1).” under treated should be the state ... if ... prong cation’ (discuss- 408-09,120 U.S. at princi- legal unreasonably extends either to the approach Circuit’s ing the Fourth from the ple see also inquiry); application unreasonable apply it should a new context Hendricks, 51 n. Marshall a new legal principle) to (not- apply a failure to Vaughn, 228 hand, Indeed, in some one Justice on the a focus of point was context. ing opinion distinguish a deci- plurality portion hard to will be O’Connor’s cases it 362, 120 S.Ct. Taylor, involving Williams extension an unreasonable sion (2000)). L.Ed.2d 389 involving a decision legal principle facts. of law to an unreasonable in- precision” "problems of Regarding the hand, many same other On the O'Connor approach, Justice in this herent distinguish a be difficult it will also cases wrote: exten- involving decision to distin- difficult is sometimes Just *9 a decision a.legal principle from sion question law fact from guish a mixed opposite to that at a conclusion that arrives fact, difficult will often be question of a question of law. by this Court reached deci- state-court identify separately those 408, Williams, 1495 120 at 529 U.S. applica- unreasonable that involve an sions omitted). (internal (or quotation legal principle unreasonable tion of 458

unreasonably refuses to princi extend the approach extension” that has been oft-stat- ple to a (but new context where it should ap used) ed little our Court and the ” ply.’ (quoting Leftridg Rico v. e-Byrd, 340 other Appeal because, Courts of in my 178, 181 (3d Cir.2003) (internal F.3d quota view, the Commonwealth court here unrea- omitted))); Frank, tion Gibbs v. 387 F.3d sonably extended principles from the Su- 268, 272, (3d Cir.2004) (same); 275 see also preme Court’s forfeiture precedents to a Coalter, 74, (1st Jackson v. 337 F.3d 81 new context they should not ap- Cir.2003) (same); Miller, Kennaugh v. 289 ply ie., a situation where the defendant — (2d Cir.2002) 36, F.3d 45 (noting that had not engaged any serious misconduct Williams Ramdass left open ques disruption proceedings. The Su- tion whether a state court’s failure to ex preme that, Court has held twice certain clearly tend established Supreme situations, a criminal forfeit precedent could constitute an unreason rights. Allen, See Illinois v. able application of clearly established fed 337, 397 U.S. 1057, 90 S.Ct. 25 L.Ed.2d 353 eral law and holding could); that it Tucker (1970) (forfeiture of present Catoe, 600, (4th Cir.2000) 221 F.3d 605 trial); at Taylor States, v. United (stating that the unreasonable application 17, 194, (1973) 38 L.Ed.2d 174 prong is met if the state court decision curiam) (same). (per Both of those cases unreasonably extends or unreasonably who, involved defendants through their fails to extend Court precedent misconduct, disrupted the proceed- orderly context); to a Dretke, Young v. 356 ing of their trials. 616, (5th Cir.2004) F.3d 623 (same); Ar Jackson, Allen,

nett v. 681, (6th 393 F.3d 686 Court held defen Cir.2005) (same); dant who Frank, had repeatedly Owens engaged in un (7th 490, F.3d (same); ruly behavior his during trial (including Purkett, Moore v. 685, (8th 275 F.3d threatening to turn the judge into a Cir.2001) (same); Cambra, Kesser v. “corpse” and making other abusive re 327, (9th Cir.2004) (same); marks, Car throwing attorney’s files on the Ward, (10th ter v. 860, 347 F.3d floor, Cir. and arguing the judge), despite 2003) (same); but see Hawkins v. Ala warnings from the judge that such behav bama, 1307 & n. 1309 ior would result in the defendant’s removal (11th Cir.2003) (holding that question “the courtroom, had “lost his Sixth of when a state court’s refusal to extend a and Fourteenth Amendment to be legal principle constitute, would under present throughout his trial.” 397 at AEDPA, an of 339-40, 346, 90 S.Ct. 1057. In Taylor, the law unsettled,” comes to us but Court determined that a defendant who that “[t]he refusal to extend [the had mysteriously, though voluntarily, dis issue] the facts of this case was appeared from his trial had “effectively objectively noting, reasonable” and in a waived” present to be even ab lengthy discussion of the “extension of le sent a warning from the gal principle” approach, that state courts the trial proceed in his absence. required are not or enlarge widen rules U.S. at 94 S.Ct. 194. The from Supreme in order Court emphasized “[p]etitioner had no for their decisions to be found objectively right to interrupt the trial his voluntary reasonable). absence.” Id. at 94 S.Ct. 194. The believe presents case legal us with principle to be drawn from these an opportunity to apply the “unreasonable is that forfeiture of a constitu- *10 that he of trial was sel, the eve on decided defi- absent found not will be right tional that counsel proceed to unwilling a criminal of part on ant behavior himself. represent unwilling to also the trial. was disrupt may that defendant that determining 145. After F.3d at our opinion, majority by the As stated coun- his complaints about the defendant’s precedents above on the relied has “unfounded,” re- trial were sel habeas upholding, in touchstones as counsel, the de- appoint fused to that a crimi decision review, a state go to trial without to was forced fendant Sixth his forfeited had nal defendant been he not though attorney even an counsel, to right Amendment self-repre- consequences of advised Circuit. the Second Appeals of opinion 145-46. Our Id. at 150, 153 (holding sentation. Fischetti, at F.3d See “was behavior that noted this that de Fischetti conclusion court’s that state conduct uncooperative of pattern of a part to had forfeited fendant com- repeatedly nor an unreason Fischetti contrary through to which neither was delay fed to sought clearly established counsel and of about plained application able F.3d O’Keefe, 260 In law); at 145. trial.” Id. Gilchrist his second or derail eral (same). de We that the our determination of the context (in opinion an Fischetti termined the defendant decision court’s state to Taylor, taken Allen joined) that was right to counsel had forfeited to con a basis “certainly provide gether, applica- nor an unreasonable contrary to by a defen behavior ... clude law, we clearly established defiant tion of some the defendant cost properly can dant “obduracy” the defendant’s emphasized nec protections Amendment of his Sixth if circum- a “[t]his fact that and the in an go trial essary permit forward simply Fischetti in which stance Fischetti, orderly fashion.” without counsel go forced Gilchrist, added); also see (emphases waiver inadequate he received ” (concluding Allen 260 F.3d at (emphasis at 150-151 .... Id. hearing that, proposition for the Taylor “stand Gilchrist, Moreover, Sec- added). a defendant warning, absent even “the lack stated explicitly ond Circuit trial- certain to have forfeited found be specifically Supreme Court of certain rights based on type to coun- addressing forfeiture ” added)). (emphasis types misconduct any determination mean that does not sel de and Gilchrist Thus, the Fischetti both been right has a fundamental that such recognized that cisions utterly trivial on an forfeited, if based even involved review.” habeas survive ground, part on the factor —misconduct common at 97. however, Court, Neither the defendant. uphold it would must any indication gave a criminal view that forfeiture, limited on our even serious finding relatively in some have engaged was no review, there when § 2254 habeas or oth- misconduct, delay or have acted part. defendant’s on the trial, “defiant behavior” in order his or her disrupt erwise his or her forfeited found to in the Fischetti, colleagues my which holdings by supported counsel is our decision controls majority believe in direct Circuits our sister our Court defendant, repre- case, who was issue.5 In raising this review cases eoun- court-appointed his third sented an unreasonable determining a state decision whether “In *11 460

States v. Goldberg, 67 1092 F.3d Cir. fendants to proceed to unrepresented trial 1995), we surveyed Supreme Court and when they “requested [a] continuance appellate precedent federal regarding for bad faith and for the purpose delay” and feiture, particularly forfeiture of right when one defendant attempted “to manip- counsel, to and found that “because of the ulate the court’s by retaining an schedule drastic sanction, nature of the attorney conflict.”). he knew to have a appear would require to extremely dilatory I recognize that in Fischetti we charac- conduct.” at 1101. Id. applied We later terized the above (specifically this standard in United States v. Leggett, McLeod, Leggett, Bauer, Mitchell) and (3d Cir.1998), 162 F.3d 237 and held that a not providing “any guidance clear as to the unprovoked defendant’s physical attack on precise standard to be applied before for- his attorney “qualifie[d] as the sort of ‘ex feiture can triggered.” be 384 F.3d at 152. tremely serious misconduct’ that amounts Upon review, further agree continue to to the forfeiture of counsel.” Id. at 250 that these cases do not create a bright-line 1102). (quoting Goldberg, 67 F.3d at Ac rule as to when the federal courts will find Thomas, cord United States v. 357 F.3d that a criminal defendant has forfeited a 357, (3d Cir.2004) 363 (holding that defen right, particularly right dant right forfeited to counsel when he However, these cases do con- threatened orally counsel, abused tain common factors from princi- which the forced the filing claims, of meritless ple can be gleaned that the federal appel- refused to cooperate with counsel “rela late courts will find a forfeiture absent tionships with four attorneys.”). Other a defendant’s defiant behavior —whether it courts held that defendants took the form of physical abuse or of at- forfeited their to counsel when an tempts to delay manipulate judicial attorney’s allegation that the defendant See, system. e.g., Goldberg, 67 F.3d at threatened kill him undisputed, 1094-96,1102 (declining to hold that defen- United v. Thompson, States 335 F.3d dant, who had asked for a (8th continuance to Cir.2003), 785 when the defendant’s obtain new counsel appeared to be behavior was “repeatedly abusive, threat attempting to manipulate to coun- coercive,” ening, and United States v. sel to delay trial, McLeod, forfeited that (11th Cir.1995), because he had not engaged in type when -“stubborn[ly] re- “extremely serious fus[ed]” misconduct” that pay to retain counsel even when warrant so, he could forfeiture finding); afford to do United States v. Meeks, Bauer, States v. (7th (9th F.2d Cir.1992), F.2d and when (holding that defendants failed to retain district court coun erred sel within a presuming reasonable time waiver of the right their insistence on counsel of and forcing defendant, their choice who had “used as a attempted device to manipulate change times, subvert counsel several orderly procedure of represent court.” Unit himself at trial because the Mitchell, ed States v. court, 257-58 defendant, not the inwas con- (5th Cir.1985) (holding that district court trol of whether the defendant continued to did not abuse its discretion forcing de- be represented counsel). precedent, this [C]ourt has taken the ableness of states' clearly estab-

view that decisions of federal courts below the lished precedent.” Fischetti, level of the United States 384 F.3d at 149. helpful ascertaining us in the reason- *12 case to this precedent of that in a extension not act simply did Here, Wilkerson held unreasonable. has was Court Supreme that our way constitu- of finding of forfeiture ato leads Precedent Waiver Application B. that the lower or generally rights

tional of held subsequently have courts that, review, we in habeas recognize the of forfeiture finding ato leads under re- the state decision look at must facts of The specifically. to counsel compare it and specificity some view with majority in the aptly summarized case are the to related precedent to Court Supreme only that the They demonstrate opinion. of the case setting factual particular that could part on Wilkerson’s conduct majority hold in the My colleagues issue. as “defiant conceivably be characterized prec- Court that the existence of failure “misconduct” behavior” of constitutional regarding forfeiture edent he trial date as by his to secure more the rights precludes judge. by the trial to do was instructed regard- precedent Supreme Court general in rec- however, the is, no evidence There counsel and right to fundamental ing the (other speculation pure than ord However, a corol- right. of that waivers to obtain failed judge) trial Wilkerson Pennsylva- that the lary my conclusion in a deliberate attorney by that date current unreasonably extended nia court pro- manipulate trial or delay the effort to is case precedent Wilkerson’s forfeiture contrary, way. To any ceedings proper were not the that those to the trial represented Wilkerson touchstone for Commonwealth of ob- process in the family was that his Wilk- determining whether when consider had him and that this for taining counsel at trial self-representation forced erson’s was difficult delayed because been of his a violation constituted The prison. phone calls him to make Rather, that the Com- I believe rights. attempt- that Wilkerson record shows Su- applied court should monwealth order, not judge’s with the ing comply regarding waivers precedent preme defy it. seeking right to counsel. of the facts, I conclude of these light In held Supreme Court has The ex- unreasonably Pennsylvania court fundamental, Gideon to counsel clearly established tended 335, 343, 83 S.Ct. Wainwright, 372 U.S. of constitution- the forfeiture on precedent (1963), long has 792, 799 L.Ed.2d it should a context which al every rea indulge that “courts recognized there is in which a situation apply ie.,— of con against waiver presumption sonable on Wilkerson’s any misconduct evidence presume ... do rights and stitutional not spoken has Although the Court part. of fundamental in the loss acquiescence right to coun- directly 458, Zerbst, U.S. rights.” Johnson appellate sel, survey of federal the above (1938) L.Ed. 1461 the lower federal case law reveals omitted). (internal quotation interpreted courts have requires therefore general forfeiture Court’s more not himself need a defendant “[although only to situations being applicable lawyer of a experience skill have the actively engaged the defendant intelligently competently order Su- types of misconduct. in certain should he self-representation, choose cases themselves —Allen preme Court disadvan dangers and made aware who en- defendants Taylor—involved so self-representation, tages Hence misconduct. gaged serious ,will record establish that he what knows upholding decision, judge’s doing Pennsylvania court, he is and his choice will be far made from indulg- ing every eyes reasonable open.” presumption against California, Faretta v. waiver, leapt to the conclusion that Wilk- erson had forfeited (1975) (internal L.Ed.2d 562 quotation That only decision was not an unreason- omitted); Tovar, see also Iowa v. *13 able extension of precedent forfeiture 77, 81, 158 L.Ed.2d 209 to, was contrary also and an unreasonable (2004) (“Waiver counsel, right application of, Supreme precedent in the pro- criminal on waiver of right to counsel. Al- generally, cess ‘knowing, must be a intelli- though precedent may be character- gent done ac[t] with sufficient awareness ized general as more than the ” relevant (quoting circumstances.’ holdings, forfeiture it is nevertheless ap- Brady States, 742, 748, v. United plicable here as it precedent is the (1970))). 25 L.Ed.2d 747 closely most deals with the factual situa- tion with which we are presented. Wilkerson did not knowingly or volun- tarily right waive his ‡ :|; case. He vehemently protested against summarize, To I would grant Wilker- representing himself both before the trial son’s petition habeas I because believe that judge forced him to go to trial pro se with this case does not have the element of only standby counsel for assistance and defiant behavior or misconduct that is nec- during See, the trial itself. e.g., App. at essary to find forfeiture of a constitutional (“I 65-66 want to make this a matter of and thus Pennsylvania court un- record right now, reasonably that I agree this, don’t extended principles forfeiture to a okay? This context representing myself. they I don’t should not apply. agree to this. counsel is one of ignorant I’m to the fact. I’m cornerstones of our justice system criminal lawyer. not I don’t know going what’s and, review, even on habeas on, we should not this is right.”); App. at 139 lightly uphold state (“You court decisions that I know don’t know what doing. I’m find that this fundamental right has been I’m forced to do this. I’m naive of the without forfeited a searching inquiry into process.”). whole general whether Moreover, even assuming that some sort been reasonably particular extended to the waiver place, took also case Gilchrist, at issue. See 260 F.3d at did adequately warn Wilkerson 97. In Fischetti, stark contrast to this is a consequences of waiving the right coun- case where Wilkerson simply forced sel. Although told he Wilkerson go to trial without Fischetti, counsel. Cf. important him for to obtain lawyer at 150-51. The Court’s forfeiture quickly so that lawyer could prepare precedent was unreasonably applied in trial, he did not inform Wilkerson of lieu of its precedent, waiver and I believe dangers of self-representation. Thus, Wilkerson also be entitled to judge’s habeas relief decision force even if Wilkerson to represent been applied. himself at trial in Thus respectfully face dissent. repeated protests, and without ensuring

that Wilkerson understood the conse-

quences any waiver, violated his consti-

tutional to counsel.

Case Details

Case Name: Melvin E. Wilkerson v. Edward Klem Attorney General of Pennsylvania
Court Name: Court of Appeals for the Third Circuit
Date Published: Jun 28, 2005
Citation: 412 F.3d 449
Docket Number: 03-2842
Court Abbreviation: 3rd Cir.
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