At her state court trial for murder, Phyllis Falconer attempted to prove that she killed her husband only in self-defense. The jury was instructed to consider the lesser offense of voluntary manslaughter. The jury nonetheless convicted Mrs. Falconer of murder and she was sentenced to 24 years in prison. Following a series of appeals described below, her second collateral attack on her conviction prevailed in district court.
United States
ex rel.
Falconer v. Lane,
I.
The facts of the petitioner’s criminal case presented in the Circuit Court of Kane County, Illinois, are set out in the state appellate court opinion and two district court opinions discussed below and do not bear extensive repetition. The petitioner stabbed her husband with a knife two times, once fatally, in their home on the morning of May 26, 1986. The State sought to prove at trial that during an altercation between the two the petitioner delivered the fatal blow to the victim’s back while the victim fled from her. The petitioner sought to prove that the decedent had physically abused the petitioner for many years (they were married two times for a total of 26 years of marriage), that at the time of the stabbing she was seriously ill, and that she stabbed him only in self-defense and in a confused state of mind immediately after he angrily confronted her and slapped her hard in the face.
On November 20, 1986, the petitioner
*1131
was convicted of murder
1
and shortly thereafter received her sentence. She appealed her conviction to the Appellate Court of Illinois, Second District, on various grounds, none of which directly raised the constitutional validity of the jury instructions.
2
That direct appeal was denied in a published opinion in April 1988.
People v. Falconer,
About two months thereafter, before it had acted on Mrs. Falconer’s petition, the Illinois Supreme Court held in a separate, consolidated case that it was “grave error” to give instructions identical to those given at petitioner’s trial.
People v. Reddick,
A second holding of the Court is even more important to this appeal. The Court held that if a defendant in a murder trial presents sufficient evidence to raise these mitigating “manslaughter defenses” of serious provocation or unreasonable belief of justification, the jury must be instructed that in order to return a verdict of murder the State must have proved beyond a reasonable doubt that those defenses are without merit.
Reddick,
Two months thereafter, the Illinois Supreme Court granted petitioner’s motion for leave to supplement her petition for leave to appeal. Her supplement raised
Reddick
as the basis for relief on due process grounds. Nevertheless, the petition was denied without any comment by the Illinois Supreme Court in September 1988.
People v. Falconer,
In December 1988, Mrs. Falconer filed a petition for habeas corpus redress in the United States District Court for the Northern District of Illinois. The petition was denied as premature under 28 U.S.C. § 2254(c) after the State asserted that the petitioner had yet to attempt to exhaust potential remedies under the Illinois post-conviction statute, Ill.Rev.Stat. ch. 38, ¶ 122-1.
United States
ex rel.
Falconer v. Lane,
Consequently, as the State virtually invited her to do, the petitioner promptly filed a petition for post-conviction relief in Kane County Circuit Court, continuing to raise the Reddick ground that the combination of murder and manslaughter jury instructions given at her trial violated her constitutional rights to due process and a fair trial. In response, the State moved to dismiss the post-conviction petition. This time the State asserted that the Illinois Supreme Court’s denial of her petition for leave to appeal barred relief on res judicata grounds! The state trial court agreed that the state Supreme Court's denial of leave to appeal constituted a decision on the merits barring further judicial review by the state courts and dismissed her post-conviction petition.
Because the State was successful in its
res judicata
argument before the state trial court, Mrs. Falconer, instead of continuing to press her action for post-conviction relief in the Illinois courts, filed a second petition for writ of habeas corpus in federal district court. That is the action under consideration in this appeal. Again she maintained that the jury instructions given at her trial violated her right to due process. This time the district court reached the merits of her claim and found in her favor. The district court ordered the State to alter her conviction from murder to voluntary manslaughter and resentence her on that conviction, or to retry her for murder within 120 days.
Falconer,
The district court found that the first concern of the
Reddick
Court was avoided in the petitioner’s trial. That was the concern that in a murder case in which voluntary manslaughter is offered to the jury as a lesser-included offense the jury would be effectively prevented from returning a voluntary manslaughter verdict if it followed the instruction that the State has the surprising and discordant duty of also proving the mitigating “manslaughter defenses” at the same time it also attempts to win a murder conviction. The district court found that this problem was eliminated from the petitioner’s trial because the trial record as a whole reflects that the state trial court adequately informed the jury that it should convict the petitioner of voluntary manslaughter if it determined, from evidence produced by either side, that she was entitled to those mitigating defenses.
Falconer,
On the other hand, the district court found that the
Reddick
Court’s second concern had not been dispelled at the petitioner’s trial. This second concern was that if a defendant in a murder trial presents sufficient evidence to raise the mitigating “manslaughter defenses,” the jury must be instructed that in order to return a verdict of murder the State must have proven beyond a reasonable doubt that those defenses are without merit.
Reddick,
123 I11.2d at 197,
We have jurisdiction under 28 U.S.C. § 1291 to hear the State’s appeal. We affirm. 3
*1133 II.
Relevant jury instructions used at the petitioner’s trial came from various homicide instructions found in the Illinois Pattern Jury Instructions, Criminal Nos. 7.02 (murder), 7.04 (voluntary manslaughter— provocation), 7.06 (voluntary manslaughter — belief of justification), and 24-26.06 (use of force in defense of a person).
4
They are reproduced at length in the district court’s second opinion in this case.
Falconer,
In order to return the murder verdict, then, the jury was required to find that the petitioner was not completely justified in using the deadly force that she used. Yet the jury was not told that if it found that she had acted with some lesser level of justification it could not convict her of murder. Addressing identical jury instructions in
Reddick,
the Illinois Supreme Court ruled that the instructions constituted “grave error,” requiring each defendant in that case to be given a new trial regarding his murder conviction.
Reddick,
A. Procedural Default
Before addressing the substance of the State’s appeal, we must consider the State’s various arguments that the petitioner is not entitled to seek a writ from the district court. The State contends that the petitioner may not seek relief in the federal courts because she did not object to the challenged instructions at trial. If the Illinois courts would not preclude the petitioner’s claim under a contemporaneous-objection rule, it may be reviewed in a federal habeas corpus proceeding. See
Wainwright v. Sykes,
The State also contends that the petitioner failed to present her federal constitutional claim to the Illinois Supreme Court, which is a prerequisite to making such a claim on collateral appeal under 28 U.S.C. § 2254 and such precedent as
Rose v. Lundy,
Finally, we note that if a defendant presents the state courts with a state claim that is functionally identical to a federal claim, then we must regard the federal claim as fairly presented.
Picard v. Connor,
In
Castille v. Peoples,
That fact plays an even larger role in yet another exhaustion argument offered by the State, which is that the petitioner’s failure to appeal dismissal of her post-conviction petition by the state trial court on
res judicata
grounds is a procedural default precluding habeas corpus review. The State’s position ignores the history of this case and the fact that waiver is not an obstacle reserved for habeas petitioners alone. The State persuaded the district court to dismiss the petitioner’s first petition for habeas corpus on the ground that she had failed to exhaust an available state court remedy even though the Illinois Supreme Court had denied her petition for leave to appeal. This prompted the petitioner to seek post-conviction relief in the Circuit Court of Kane County, “pursuant to the [Illinois] Supreme Court’s decision in
Reddick,
based upon
the deprivation of her constitutional rights to due process and a fair trial
as a result of the manslaughter and murder instructions which the jury received at her trial.” Post-Conviction Pet. at ¶ 13 (emphasis added). The position of the State in the Circuit Court of Kane County that the Illinois Supreme Court’s denial of the petitioner’s petition for leave to appeal resolved this claim on the merits admitted that, so far as the State was concerned, the Illinois Supreme Court had reached and rejected her constitutional claim. Therefore, she was excused from pursuing a state appeal. As the district court observed with regard to the petitioner’s predicament in the state post-conviction proceedings: “Once the State took the position that Ms. Falconer had adopted in this court, no rule of law or equity compelled Ms. Falconer to take issue with it.”
Falconer,
B. Merits
The federal courts may not overturn convictions resulting from state prosecutions merely because instructions given to juries are “undesirable, erroneous, or even ‘universally condemned.’ ”
Cupp v. Naughten,
As noted above, it appears that the voluntary manslaughter instructions by themselves, together with other instructions, were not so misleading that the jury was logically precluded from returning a voluntary manslaughter verdict. The fact that the murder and voluntary manslaughter instructions were not defective when read in isolation does not, however, end the inquiry. See
Clark v. Jago,
The State misinterprets the petitioner’s argument when it cites United States Supreme Court precedent for the proposition that, as a matter of constitutional law, the burden of proof as to an affirmative defense may be placed on either the defendant or the state. This case does not turn upon the presumption and burden of proof questions as were presented in such cases as
Mullaney v. Wilbur,
Considering the instructions as a whole, we note that the murder instruction precedes the two voluntary manslaughter instructions. This has significance because just as a supplemental instruction may take on special prominence in the jury's mind,
Bollenbach v. United States,
The State suggests that the error was harmless. As proof, the State points to the finding of the Illinois appellate court on direct appeal that there was sufficient evidence to support the jury’s murder verdict instead of a voluntary manslaughter verdict and that “the jury was justified in rejecting defendant’s theory of self-defense as it could rationally have concluded that defendant was not justified in using deadly force * *
People v. Falconer,
If read to a jury composed of lawyers, this set of instructions probably could not produce the faulty hypothetical murder
*1137
verdict complained of since the elements of voluntary manslaughter were stated. But the reasoning that could produce such a faulty verdict by a lay jury was unmistakably left open in instructions given by the presiding judge at trial. We must presume that the jury was not already schooled in distinctions between murder, voluntary manslaughter, and justifiable self-defense — or even the general concept of lesser-included offenses. As the Eighth Circuit stated in finding constitutionally faulty jury instructions: “Such error is not corrected merely because an appellate court, upon review, is satisfied that the jury would have found the essential facts had it been properly instructed. The error cannot be treated as harmless.”
United States v. Voss,
This is not a ease in which the instructions may be described as falling just short of some ideal formulation, or as flawed only if viewed in “artificial isolation.” They specifically directed the jury that it could return a verdict of murder if the State negated the self-defense theory without making any reference to evidence regarding provocation or unreasonable belief of justification. Explicit misdirection on this scale violates the constitutional guarantee of due process and demands a new trial or resentencing.
The State has not made an objection under
Teague v. Lane,
III.
The judgment granting the writ of habe-as corpus unless the State has petitioner resentenced for voluntary manslaughter or retries her within 120 days herefrom is affirmed. 6
Notes
. A person who kills an individual without lawful justification commits murder if in performing the acts which cause the death she either intends to kill or do great bodily harm to that individual or knows that such acts will cause the individual’s death. Ill.Rev.Stat. ch. 38, ¶ 9 — 1(a)(1) (1985).
A person commits voluntary manslaughter if she kills an individual without lawful justification while acting under either sudden, intense passion due to serious provocation or an unreasonable belief that force justifiably prevented imminent death or great bodily harm to herself. Serious provocation is conduct sufficient to excite an intense passion in a reasonable person. Ill.Rev.Stat. ch. 38, ¶¶ 9-2, 7-1 (1985).
. The first two grounds were in the alternative: (1) she was not proved guilty of murder beyond a reasonable doubt because the evidence established self-defense; (2) she was proved guilty of, at most, voluntary manslaughter because the evidence established that she was engaged in physical combat with the victim when she delivered the fatal blow. The other two grounds were that the prosecutor made improper closing arguments and that she was denied effective assistance of counsel because her attorney was improperly prepared for trial and failed to object to the prosecution’s allegedly improper closing argument.
People v. Falconer,
. That portion of the district court's judgment which orders the State, as an alternative to retrial, to reduce Mrs. Falconer's conviction to one for voluntary manslaughter and to sentence her accordingly is apparently based upon lili- *1133 nois Supreme Court Rule 615(b)(3), which provides
(b) Powers of the Reviewing Court. On appeal the reviewing court may:
******
(3) reduce the degree of the offense of which the appellant was convicted. 107 I11.2d 563 (1985).
See,
e.g., People v. Davis,
. These instructions have been rewritten to conform to Reddick. Illinois Pattern Jury Instructions (Criminal IPI) (2d ed.) (1989 Supp.) at 85-99. Moreover, effective July 1, 1987, the offense of voluntary manslaughter was reclassified as second degree murder and the burden of proof as to the existence of the mitigating factors was expressly placed upon the defendant. P.A. 84-1450, § 2, Ill.Rev.Stat. ch. 38, ¶ 9-2 (1987). Therefore the district court’s holding in this case has limited applicability, particularly in light of the State's presumably unusual reversal of positions discussed below.
.
People v. Brooks,
. See note 3,
supra.
On June 8, 1990, the district court issued an order for release of the petitioner on her own recognizance pursuant to Rule 23(c) of the Federal Rules of Appellate Procedure and
Hilton v. Braunskill,
