Smith v. LucasSmith v. Lucas
The Commissioner of the Mississippi Department of Corrections (Respondent) appeals an order of the district court granting a writ of habeas corpus in favor of the petitioner, Willie Albert Smith, based upon the failure of the State of Mississippi to comply with the district court‘s order of November 23, 1992. In that order, the district court had declared that it would grant a writ of habeas corpus “as to Smith‘s death sentence” unless the State initiated certain proceedings within six months to correct the constitutional infirmity in that sentence. When the deadline expired, the State had failed to
I. FACTUAL AND PROCEDURAL BACKGROUND
Petitioner Willie Albert Smith was tried for the murder of Shirley Roberts, a convenience store manager, in the Circuit Court of the First Judicial Circuit of Hinds County, Mississippi.1 The prosecution introduced “awesome” circumstantial evidence of Smith‘s guilt, as conceded by Smith‘s own attorney, as well as the testimony of two “eyewitnesses,” who claimed to have seen Smith forcing a woman into a red Pinto in the convenience store parking lot around the time of the victim‘s abduction. Smith v. Black, 904 F.2d 950, 957-58 (5th Cir. 1990) (“Smith I“). The jury convicted Smith of the murder of Shirley
During the sentencing phase2, the prosecution introduced evidence of rape and of manual strangulation, and the jury found three aggravating circumstances: (i) that the murder was committed while Smith was engaged in the commission of robbery, (ii) that the murder was committed for pecuniary gain, and (iii) that the murder was “especially heinous, atrocious, or cruel.” Id. The jury also found beyond reasonable doubt that the aggravating circumstances outweighed the mitigating circumstances. Id. Consequently, Smith was sentenced to death.
A. This Court‘s Mandate
Smith pursued several post-conviction remedies in the state court3 before commencing a habeas proceeding in the District
Subsequently, the Supreme Court vacated the judgment rendered by this court in Smith I and remanded for further consideration in light of its contemporaneous decision in Stringer v. Black, ___ U.S. ___, 112 S. Ct. 1130 (1992). See Smith v. Black, ___ U.S. ___, 112 S. Ct. 1463 (1992) (“Smith II“). Stringer involved an almost identical fact-setting in that the death sentence of the petitioner in that case had also become final prior to Maynard and Clemons. 112 S. Ct. at 1134-35. The Court concluded that “the precedents even before Maynard and Clemons yield[ed] a well-settled principle,” and thus, the decisions in tandem did not constitute a “new rule” for purposes of Teague. Id. at 1140.
On remand of Smith II, and in accordance with the Supreme Court‘s directive, this court applied the rules of Maynard and Clemons and determined that the use of the “especially heinous”
be salvaged if the state appellate court eliminated the invalid aggravating factor and reweighed the remaining valid factors against the mitigating factors, or if it determined that the use of the invalid factor was harmless beyond a reasonable doubt. . . . Should the State elect to initiate further proceedings in the Mississippi Supreme Court, that court still has the option of reweighing or performing a harmless error analysis as those procedures have been defined in Clemons and Wiley [v. Puckett, 969 F.2d 86 (5th Cir. 1992)].
Id. Accordingly, we directed the district court “to issue the writ of habeas corpus unless the State of Mississippi initiates appropriate proceedings in state court within a reasonable time after the issuance of our mandate.” Id. at 1389.
B. District Court Action on Remand
On remand from this court, the district court issued an order in pertinent part as follows:
IT IS HEREBY ORDERED that the Court shall issue a writ of habeas corpus as to the Petitioner Willie Albert Smith‘s death sentence unless the State of Mississippi initiates proceedings to have the state court reweigh any aggravating and mitigating circumstances or conduct a harmless error analysis . . . by no later than May 23, 1993.
Ordered entered November 23, 1992 (the “November 23 Order“). This order gave the State six months to take appropriate action as defined therein.
The district court held that the State had received adequate notice and that the pendency of Smith‘s two-year-old application before the Mississippi Supreme Court was not sufficient to constitute an initiation by the State of proceedings “to reweigh any aggravating and mitigation circumstances or conduct a harmless error analysis” as required by the November 23 Order. Consequently, the lower court entered an order directing the clerk of court to issue a writ of habeas corpus “directing [Smith‘s] sentence of death to be vacated, and that the State of Mississippi impose upon [Smith] a sentence of life imprisonment.” Order, entered July 9, 1993 (the “July 9 Order“). A writ of habeas corpus was issued in accordance with the July 9 Order.
The State then moved, pursuant to
The State additionally sought a stay of the order granting the writ pending its appeal, which motion was denied by the district court. This court granted a stay and ordered an expedited briefing schedule and oral argument.
II. ANALYSIS OF ARGUMENTS AND AUTHORITIES
The State requests a reversal of the district court‘s order granting the habeas writ, upon the following bases: (i) the proceedings currently pending before the Mississippi Supreme Court were sufficient to comply with the mandate, and thus, the lower court had no basis to issue the writ; and (ii) the district court exceeded its authority in directing the Mississippi state courts to commute Smith‘s sentence to life imprisonment.6
Smith responds that the state court proceeding which he initiated did not suffice to show compliance by the State with the November 23 Order, especially where the State had filed a response arguing for the application of various procedural bars, which, if decided against Smith, would preclude the Mississippi court from even reaching the constitutional reweighing or harmless error analysis ordered to be performed by this court. Moreover, Smith contends, the State‘s failure either to withdraw or amend its response to reflect the ruling of this court negates any claim of compliance. With respect to the extent of the district court‘s authority, Smith advocates an estoppel-type analysis, claiming that the writ may be used to preclude the State from resentencing Smith to death.
A. Sufficiency of the State Court Proceedings
The State‘s first argument for reversing the district court involves its claimed prior compliance with the November 23 Order. The district court, however, held that the fortuitous circumstance that Smith had previously filed a petition with the Mississippi Supreme Court addressed to the issues raised in the November 23 Order did not amount to compliance by the State with the order. Consequently, the district court dismissed this argument as being “without merit,” but did not make specific findings in this regard. The district court‘s finding that the
Even if we were to concede arguendo that the State could avail itself of Smith‘s fourth post-conviction filing in the Mississippi Supreme Court -- a difficult concession in view of the requirement of exact compliance with our mandate7 -- the State‘s failure to amend its response already on file with the Mississippi Supreme Court to reflect this court‘s mandate and the district court‘s order falls short of compliance. As Smith points out, the State‘s response to his fourth Mississippi petition includes a “myriad of threshold issues,” which were raised by the State in opposition to the petition and, significantly, were never withdrawn by the State in response to the District Court‘s November 23 Order.8 If these “threshold”
Moreover, the Maynard-Clemons-Stringer trilogy produced several cases in a procedural posture identical to this case. E.g., Wilcher v. State, No. 03-DP-0032 & 03-DP-0037, 1993 WL 398680 (Miss. October 7, 1993); Wiley, 1993 WL 39685 at * 2-3. In those cases, the State affirmatively filed pleadings in the
B. The Legal Effect of the Fifth Circuit Mandate Upon the District Court
Although the State and Smith focus their arguments upon the extent of the district court‘s authority under federal law to issue the disputed writ (as discussed infra), neither party addresses the fact that the district court‘s July 9 Order exceeded this court‘s mandate.9 The attempt of the district
C. Extent of a Federal Court‘s Authority to Enter a Writ of Habeas Corpus
The State also claims that the district court was without the power to use the writ to compel a state court to modify its sentence, citing to Duhamel v. Collins, 955 F.2d 962 (5th Cir. 1992), in support of this contention.11 In Duhamel, this court vacated a similar order from the District Court for the Southern District of Texas which attempted to commute a death sentence into life imprisonment, holding that this action was beyond the
Smith responds that our opinion in Welch v. Beto, 355 F.2d 1016, 1020 (5th Cir.), cert. denied, 385 U.S. 839 (1966), and the district court‘s opinion in Jones v. Smith, 685 F. Supp. 604 (S.D. Miss. 1988), control this outcome and that a federal court may use the habeas writ to prohibit the State permanently from executing a prisoner. In Welch, this court, upon finding a violation of the petitioner‘s federal rights, remanded the case and ordered the district court to take such action as necessary to allow the state an “opportunity” to accord the petitioner a post-conviction hearing in accordance with the opinion within “a reasonable time.” 355 F.2d at 1020. This court further mandated that “[i]n default thereof, the petitioner shall not be executed.” Id. In Jones, another judge in the Southern District of Mississippi issued an order virtually identical to the one issued in the instant case. See 685 F. Supp. at 606-07. The Jones court relied upon a line of authority allowing a federal court to employ its “broad discretionary powers to grant various forms of equitable relief (without which it is obvious that similar orders would be issued in vain).” Id. at 606. On the basis of the foregoing authorities, Smith concludes that it is appropriate for a federal court to use its habeas powers to
We agree with the State that the district court did not have the authority under federal law to compel Mississippi to “impose upon [Smith] a sentence of life imprisonment.” In Fay v. Noia, the Supreme Court recounted the historical use of the writ of habeas corpus and the federal reluctance to extend the writ to interfere with state court proceedings. 372 U.S. 403.12 The Court recognized that the “root principle” of the habeas writ is “that in a civilized society, government must always be accountable to the judiciary for a man‘s imprisonment: if the imprisonment cannot be shown to conform with the fundamental requirements of law, the individual is entitled to his immediate release.” 372 U.S. at 402 (emphasis added). Thus, the focus of the writ is an inquiry “into the legality of the prisoner‘s detention.” Id. at 418.13
The Supreme Court has recognized the conditional use of the writ to require constitutional compliance. See, e.g., Richmond v. Lewis, ___ U.S. ___, 113 S. Ct. 528, 537 (1992). In Richmond, the Court issued the following mandate:
We reverse the judgment of the Court of Appeals and remand with instructions to return the case to the District Court to enter an order granting the petition for a writ of habeas corpus unless the State of Arizona within a reasonable period of time either corrects the constitutional error in petitioner‘s death sentence or vacates the sentence and imposes a lesser sentence consistent with law.
Id. As with our mandate in the instant case, the Court‘s direction to the district court is to grant the writ unless the
Smith‘s interpretation of Welch, however, does not comport with Fay v. Noia or with this court‘s opinion in Duhamel. Smith understands Welch to allow a federal court indirectly to commute a death sentence into life imprisonment by prohibiting execution of the death sentence. Thus, he concludes, it is proper for a federal court to grant habeas relief to a state defendant sentenced to death in the form of a life sentence. As noted previously, in Welch, this court ordered relief in a habeas proceeding conditioned upon the state‘s affording the petitioner an appropriate post-conviction proceeding. This court further mandated that “[i]n default thereof, the petitioner shall not be executed.” 355 F.2d at 1020.
Smith misreads our opinion in Welch. In that case, we held only that the state‘s default in compliance with our mandate would result in its inability to execute upon the defective
In summary, we find that the portion of the July 9 Order directing Smith to be resentenced to life imprisonment amounts to an impermissible alteration of Smith‘s sentence.
V. CONCLUSION
The district court‘s July 9 direction to the Mississippi courts to “impose upon [Smith] a sentence of life imprisonment” did not comply either with our mandate in Smith III or with federal law. There is no authority for a holding that the writ of habeas corpus may be employed to revise Smith‘s constitutionally infirm sentence in this manner. Our mandate in Smith III stated that the writ would be issued upon the State‘s failure to take the requisite action during the defined period. The directive from this court allowed but one consequence if the State failed to comply with the November 23 Order -- to issue the writ for Smith‘s immediate and unconditional release from his unconstitutional sentence.16 Consequently, this court must modify the order of the district court to conform to our mandate
The July 9 Order of the district court is modified to delete the words “and that the State of Mississippi impose upon the Petitioner a sentence of life imprisonment” from its decree. The writ of habeas corpus issued as a result of the July 9 Order is similarly amended. As modified, the judgment of the district court is affirmed.
AFFIRMED as MODIFIED.
Notes
While the second state post-conviction action was pending, Smith filed a third post-conviction motion in state court seeking collateral relief on the basis that the prosecutor had unconstitutionally excluded blacks from the jury and had failed to disclose certain evidence. This motion was also denied by the Mississippi Supreme Court, as well as Smith‘s motion for rehearing. Smith v. State, 500 So. 2d 973 (Miss. 1986).
- Smith‘s challenge to the “especially heinous” sentencing factor was previously adjudicated by the Mississippi Supreme Court in his initial application for collateral relief; accordingly, Smith was barred under the Mississippi doctrine of successive petitions from raising the claim,
Miss. Code Ann. § 99-39-27(9) ; and - Smith‘s failure to raise the constitutional error at trial or on direct appeal operates as a waiver of the claim which is res judicata in subsequent proceedings under
Miss. Code Ann. § 99-39-21 .
Smith III, 970 F.2d at 1389. The July 9 Order deviated from our mandate as follows:to issue the writ of habeas corpus unless the State of Mississippi initiates appropriate proceedings in state court within a reasonable time after the issuance of our mandate.
July 9 Order (emphasis added).IT IS THEREFORE ORDERED AND ADJUDGED that . . . the said writ [of habeas corpus] shall issue forthwith from the Clerk of this Court directing the Petitioner‘s sentence of death to be vacated, and that the State of Mississippi impose upon Petitioner a sentence of life.
Fay v. Noia, 372 U.S. at 423 n.34 (quoting 1 BAILEY, HABEAS CORPUS AND SPECIAL REMEDIES § 4 (1913)) (emphasis added).[T]he writ of habeas corpus is a new suit brought by a petitioner to enforce a civil right, which he claims as against those who are holding him in custody. The proceeding is one instituted by himself for his liberty, and not by the government to punish for his crime. The judicial proceeding under it is not to inquire into the criminal act which is complained of, but into the right to liberty notwithstanding the act.