Lead Opinion
This habeas corpus petition requires examination of an inculpatory confession taken without the presence of counsel after counsel had been appointed, and admitted into evidence at the trial resulting in petitioner’s conviction. Approving the magistrate’s report and recommendation, the district court determined that petitioner knowingly and voluntarily waived his right to counsel prior to his confession, and that his confession was not the result of psychological coercion. Our review of the record reveals factual, procedural and constitutional problems. The state and federal courts heretofore have not explained their resolution of the factual disputes, supplemented the inadequate record or analyzed this case under the appropriate constitutional law. Accordingly, we reverse and remand, directing the district court to conduct an evidentiary hearing and to analyze thoroughly in a written order the consequent legal conclusions based on its factual findings.
FACTUAL AND PROCEDURAL BACKGROUND
On June 8, 1974, petitioner-appellant Durham Eldon Stokes attended a beer party given by his motorcycle gang, known as the Outlaws Motorcycle Gang (Outlaws), at their meeting place in Orlando, Florida. William T. Kish, Richard L. Farless and Steven Almond, members of a rival motorcycle group, the Pagans, were invited. Subsequently, the three Pagans were beaten, kicked, bound, and had their valuables taken by some of the Outlaws.
Following the severe beatings, Stokes and two other Outlaws members were ordered to place Kish, Farless and Almond in a van and to transport them from Orange County, Florida for burial. In the course of the trip, Almond kicked open the side door of the van and fell onto the Florida turnpike. A passing motorist took Almond to a highway patrol station, where he reported the incident. Stokes and the other two Outlaws continued to drive to an isolated area, where they left Kish and Farless away from the highway. Thereafter, Stokes disassociated himself from the Outlaws and lived with his wife and children in Arkansas from June, 1974, until December, 1977.
On December 7, 1977, a hunter in rural Sumter County, Florida, discovered two male skeletons. Through medical and dental records, these remains were identified
On December, 22, 1977, Stokes had his initial appearance in the state trial court. The trial judge appointed the public defender to represent Stokes, who was given a card with the information necessary for him to contact his attorney.
Portions of the interview of Stokes were taped and transcribed. After Stokes was read his Miranda rights, he described his knowledge of and participation in the incident involving the three Pagans. His involvement prior to the van transportation of Kish, Farless and Almond was to kick one of them, but he could not recall whom. Thereafter, Stokes, who admitted that he was drunk and had taken drugs, was told to station himself outside the enclosed area where the beatings occurred. He stated that he did not participate in the beatings or in taking valuables from the three men. Following the beatings, Stokes, who did not want to transport the Pagans, was ordered by the Outlaws leader to ride in the van. Stokes was not told to kill the Pagans and he did not hear anyone else ordered to do so. No additional beatings occurred in the van.
When Almond exited the van, Stokes stated that Kish and Farless were still alive. By the time the three Outlaws drove to an isolated area to deposit Kish and Farless, these men had stopped breathing. Stokes stated that he refused to check Kish and Farless to ensure that they were dead. Stokes never signed his statement, and it is not notarized.
On May 18, 1978, a Florida grand jury indicted Stokes for the first-degree murders of Kish and Farless. Stokes’s attorney moved to suppress his statement because Stokes was not afforded the opportunity to consult with his counsel prior to the taking of his statement, his attorney was not present when he made his statement, and the statement was obtained by coercion through implied threats. The state trial court conducted a hearing on the motion to suppress.
At the suppression hearing, Stokes testified that, upon being taken into the interrogation room, the “[f]irst statement I made I told them I wanted to talk to a lawyer about anything I said in their presence,” and he “started to get up” to leave the room. Rl-14-App.-8, 15. Stokes testified that the officers told him that, if he gave them a statement, then they would protect him and his family because the Outlaws had a contract on Stokes’s life. Having known Roop since high school, Stokes trusted him. Stokes testified that he requested a lawyer more than once before
Although Sergeant Hager testified at the suppression hearing that Stokes did not request his counsel’s presence before he made his statement, Hager did concede that he talked with Stokes for five to ten minutes before the tape recorder was activated and, that, during this time, Stokes expressed concern for his family. Hager testified that he had been in communication with a man who was concerned about the safety of the Stokes family and was interested in making arrangements to secure them. Hager stated that he communicated this information to Stokes during their conversation before the tape recorder was activated.
Hager testified that he knew that Stokes was brought to the interrogation room directly from his initial appearance, and yet he did not ask Stokes if he had or wanted an attorney. Additionally, Hager did not inform the Orange County State Attorney’s Office that he intended to question Stokes. Although there was no subsequent written ruling by the state trial court on Stokes’s suppression motion, his statement was entered into evidence and played for the jury at his trial, which commenced on August 8, 1978.
The excerpts from the trial transcript in the record contain the testimony of one of the officers who interrogated Stokes following his initial appearance.
The jury convicted Stokes, and subsequently recommended life imprisonment. The trial judge rejected this recommendation and imposed two death sentences on Stokes. On direct appeal, Stokes argued that his statement used at trial was an involuntary confession. In affirming the
On January 25, 1984, Stokes filed a petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254 in federal district court for the Middle District of Florida. His petition asserted that his statement was introduced against him at trial in violation of the Fifth, Sixth and Fourteenth Amendments to the United States Constitution. After requiring respondents to answer Stokes’s petition, the district court referred the case to a magistrate.
On March 31, 1986, the magistrate entered his report and recommendation that Stokes’s petition be denied. The magistrate found that the two grounds Stokes raised for relief, that his confession was obtained after he invoked his right to counsel and that his confession resulted from psychological coercion, were addressed by the trial court and the Florida Supreme Court, and decided adversely to Stokes. The magistrate then concluded that these findings were entitled to a presumption of correctness and that there was ample support for them in the record.
Stokes, who intermittently has represented himself pro se in this case, timely filed his objections to the magistrate’s report and recommendation on April 7,1986. Two days later, April 9, 1986, the district judge noted in handwriting on the first page of the report and recommendation, “Approved.” R2-18-1. Apparently not realizing that the district court intended the notation to be a final order, Stokes filed his amended objections to the report and recommendation on April 10, 1986, and continued to file documents, including address changes and supplemental authority, with the district court. On February 24, 1988, the district court denied Stokfes’s motion to set aside and vacate the judgment under Rule 60(b) of the Federal Rules of Civil Procedure, and found the motion to have been filed outside the time for filing a timely notice of appeal. The district court also subsequently denied Stokes’s motions for a certificate of probable cause and for leave to proceed in forma pauperis. Thereafter, this court granted these motions by Stokes.
Stokes then appealed to this court the district court’s denial of his motion to set aside and vacate the judgment denying his petition for habeas corpus relief. Rather than addressing Stokes’s contention that the district court erred in concluding that his confession was not taken in violation of his right to counsel, this court determined that the district court had abused its discretion in denying Stokes’s Rule 60(b) motion for relief from the judgment because no separate judgment had been filed. Stokes v. Dugger, No. 88-3197,
On February 22, 1989, a form judgment was entered with a single, additional statement ordering that “in accordance with the opinion of the Eleventh Circuit Court of Appeals, petitioner Durham Eldon Stokes take nothing and the action be dismissed.” R2-34. The form judgment is signed by a deputy clerk, not the district judge. Stokes appealed from that final judgment and filed another motion to vacate the final judgment. The district court denied Stokes’s Rule 60(b) motion, granted his motion to proceed in forma pauperis, and denied his motion for a certificate of probable cause. Stokes also appealed that order by the district court.
DISCUSSION
On habeas corpus review, this court must make its own determination of the voluntariness of a confession based upon an independent review of the record, rather than according the usual presumption of correctness to state court factual findings. Arizona v. Fulminante, — U.S. -, -,
In contrast, a presumption of correctness is accorded to factual findings of state trial and appellate courts following a hearing on the factual issues and an “adequate written indicia” of the factual determinations, “unless one of the conditions set forth in Section 2254(d)(1) — (7) is found to exist ... or unless the state-court determination is ‘not fairly supported by the record.”’
“Of course, the federal courts are not necessarily bound by the state court’s findings.” Sumner v. Mata,
Problematic to our record review in this case is the absence of the transcript of Stokes’s initial appearance and the entire trial transcript as well as the incomplete transcription of the officers’ interrogation of Stokes. The officers admitted their failure to record approximately ten minutes of conversation before questioning Stokes, during which time they discussed potential danger to Stokes’s family, and a subsequent omission of Stokes’s questioning because the tape had not been turned over for recording. These omissions make it impossible for any court to review precisely the conversation that occurred between Stokes and the interrogating officers before his questioning or the questions and answers that were deleted.
Following the suppression hearing, the state trial court in this case issued no written order or ruling. The terse per curiam opinion by the Florida Supreme Court devotes one paragraph to the voluntariness of Stokes’s confession. With no recognition of omitted conversation before Stokes’s confession and a subsequent deletion in the tape, the Florida Supreme Court inexplicably concludes that Stokes’s confession resulted from a knowing and voluntary waiver, based upon his receiving Miranda warnings, and that his confession was not coerced. Stokes,
This case is analogous to a habeas corpus case that this court remanded “for an evi-
In Lamar, this court determined that the lack of factual findings by the state trial court could not be overcome to satisfy the presumption of correctness standard by the state habeas court’s legal conclusions, and that the missing transcript defied the conclusion that the record could fairly support the factual findings.
We are mindful of our duty to accord to the state courts’ written findings of fact a presumption of correctness, unless one of the eight paragraphs of 28 U.S.C. § 2254(d) applies. See Sumner v. Mata,449 U.S. 539 ,101 S.Ct. 764 ,66 L.Ed.2d 722 (1981). We believe our direction that an evidentiary hearing be held on remand in this case comports with that duty for at least two reasons. First, there is no state-court finding of fact here that is “evidenced by a written finding, written opinion, or other reliable and adequate written indicia,” as § 2254(d) requires in order for the presumption of correctness to arise in the first place.... Nor do we have ... a transcription of oral findings delivered from the bench. The state ha-beas court did file a written opinion, with most of which we are in agreement, but it is directed almost entirely to conclusions of law. A section of the opinion discusses and rejects petitioner’s contention that the statute is unconstitutional as applied, but no finding is made that petitioner’s words tended in fact under all the circumstances to provoke violence from the hearer. The state habeas court did say, citing Jackson v. Virginia,443 U.S. 307 ,99 S.Ct. 2781 ,61 L.Ed.2d 560 (1979), that “this court finds that there was sufficient evidence to justify the fact finder in this case finding the Defendant ... guilty beyond a reasonable doubt,” R. 13, but we are at a loss to see what basis such a finding could have. Because of the absence of a transcript neither the state habeas court nor anyone else can ever know precisely what evidence the fact finder heard.....
Second, even if there were a written finding of fact that petitioner’s words tended to provoke a resort to violence, we should have to hold that “such factual determination is not fairly supported by the record,” 28 U.S.C. § 2254(d), simply because there is no record in the sense of testimony about the crucial facts. “Ordinarily such a record — including the transcript of testimony (or if unavailable some adequate substitute, such as a narrative record), the pleadings, court opinions, and other pertinent documents — is indispensable to determining whether the habeas applicant received a full and fair state-court evidentiary hearing resulting in reliable findings [citations omitted]. Of course, if because no record can be obtained the district judge has no way of determining whether a full and fair hearing which resulted in findings of relevant fact was vouchsafed, he must hold one.” Townsend v. Sain,372 U.S. 293 , 319,83 S.Ct. 745 , 760,9 L.Ed.2d 770 (1963). Townsend was decided before the latest revision of § 2254(d), but the statute as presently written does not differ from the rule of Townsend in any respect directly relevant to this case. It necessarily remains true that a finding of fact (assuming there is one) cannot be said to be fairly supported by the record when there is no record....
Id. (emphasis added). Similarly, we have determined that the legal conclusions of the Florida Supreme Court and the critical transcript omissions of the confession and the entire trial in this case preclude our according a presumption of correctness to any explicit or implicit underlying factual findings by the state courts. We conclude
Moreover, this court has held that “[wjhenever any party files a timely and specific objection to a finding of fact by a magistrate, the district court has an obligation to conduct a de novo review of the record with respect to that factual issue.” LoConte v. Dugger,
The district court failed to accord a de novo review of the magistrate’s factual findings to which Stokes objected. “[A]n appellate court must be satisfied that a district judge has exercised his non-delega-ble authority by considering the actual testimony, and not merely by reviewing the magistrate’s report and recommendations.” United States v. Elsoffer,
Additionally, the district court did not further review Stokes’s factual contentions following this court’s remand, stressing the importance of the circumstances of Stokes’s confession to the merits of his petition for habeas corpus relief. Instead, the district court apparently directed the entry of a form judgment, unsigned by the district judge. This is insufficient compliance with a district court’s mandatory de novo review of timely objections to a magistrate’s report and recommendation and this court’s subsequent description • of the constitutional problems to be analyzed, given the circumstances of Stokes’s confession.
Although the record omissions are remediable by supplementing the record on remand, our overriding concern is with the constitutionality of Stokes’s confession. Reversing the district’s court’s denial of Stokes’s first Rule 60(b) motion, another panel of this court recognized the significance of the circumstances surrounding his confession:
Sometime after his initial appearance in court, but prior to consulting with counsel, two law enforcement officers of the Sumter County Sheriff’s Department, interrogated Stokes. During the course of the interrogation, Stokes admitted his involvement in the murders. Although the officers recorded and transcribed this interrogation, Stokes contends that the recorder was not on at all times during questioning, and asserts that prior to the recorder being turned on, he requested an opportunity to speak to his attorney. According to Stokes, the officers refused his request. Stokes claims that his confession was coerced through fear of reprisals against his family by members of the Outlaws Motorcycle Gang. These circumstances surrounding Stokes’s pretrial confession are relevant to the merits of his petition for habeas corpus relief.
Stokes v. Dugger, No. 88-3197 at 2,
The determinative issue in this case is whether Stokes’s confession was obtained constitutionally. Neither the state courts nor the federal district court analyzed the constitutionality of Stokes’s confession under the relevant law, notwithstanding Stokes’s repeated citation of pertinent cases. “[Ajbsent a valid waiver, the defen
“By its very terms,” the Sixth Amendment “becomes applicable only when the government’s role shifts from investigation to accusation.” Moran,
While an individual may waive the Sixth Amendment right to counsel, “federal courts should refrain from casually finding waiver of vital federal constitutional guarantees, such as the right to counsel....” United States v. Garcia,
In Brewer, the Court analyzed the Sixth Amendment waiver of counsel in a confession case, which is analogous to this case. Following his arraignment for the murder of a young girl, the habeas corpus petitioner Williams was transported by police detectives approximately 160 miles to the city, where he was to consult with his attorney. During the trip, one of the policemen gave Williams Miranda warnings and, subsequently, appealed to his religious inclination by asking Williams to show the policemen where he had disposed of the little girl’s body so that her parents could give her a Christian burial. Consequently, Williams directed the policemen to the child’s body.
Determining that Williams was entitled to a new trial for the violation of his Sixth Amendment right to counsel, the Court reasoned that judicial proceedings had been instituted against him, that the detective “deliberately and designedly” elicited incriminating information from Williams while he was isolated from his counsel, and that the detective was “fully aware” that Williams was represented by counsel. Brewer,
It is uncontroverted that Stokes was appointed counsel at his initial appearance, that he was interrogated immediately after his initial appearance before he had the opportunity to meet or consult with his attorney, that the interrogation was initiated by the investigating officers, that the safety of his family was discussed, that he subsequently was given Miranda warnings, and that he made incriminating statements during the questioning. The parties do dispute whether Stokes requested counsel at his initial appearance.
the transcript of the initial appearance would resolve this disagreement. Tending to substantiate Stokes’s representation that he requested counsel at his initial appearance is the record inclusion of his motion to have the initial appearance transcribed and the trial court’s order granting his motion; the transcript, however, is not part of the record.
We consider the parties’ dispute concerning Stokes’s request for counsel at his initial appearance to be a distinction without a difference. The officers concede that they were aware that Stokes was brought to them for interrogation directly from his initial appearance, where, at this critical stage of the prosecution, he would have been appointed counsel. Irrespective of Stokes’s request for an attorney, he had appointed counsel, which knowledge was imputed to the investigating officers.
As the detective in Brewer appealed to Williams’s religious beliefs to obtain his confession, the investigating officers in this case could have elicited Stokes’s confession by preliminarily discussing his acknowledged preeminent concern: the safety of his family, confronted with potential gang
Although the record of Stokes’s interrogation is incomplete, the known circumstances involved in his confession indicate that his testimony regarding the officers’ psychologically coercive comments facially is not unreasonable. “Our cases have made clear that a finding of coercion need not depend upon actual violence by a government agent; a credible threat is sufficient. As we have said, ‘coercion can be mental as well as physical.’ ” Fulminante, — U.S. at-,
While it is impossible for any court to review exactly what was said during the portions of the taped confession when the tape was not recording, the district court at an evidentiary hearing can listen to Stokes and the investigating officers’ testimony regarding the controversial preliminary conversation and make a credibility assessment. The district court should explain its reasons for accepting or rejecting the testimony of Stokes and the two officers. The state and federal courts have not analyzed adequately the factual findings in this case for appropriate review. Specifically, there is a critical factual dispute with significant legal implications regarding what was said during the ten-minute discussion between Stokes and the investigating officers before Miranda warnings were administered.
After hearing all of the testimony, it is essential that the district court make specific, documented factual findings concerning any coercive techniques allegedly employed to induce Stokes to confess under a totality of circumstances and Brewer analysis. Using the appropriate constitutional law, we expect the district court to make a legal conclusion, based on its factual findings, as to whether Stokes gave his statement in derogation of his Sixth Amendment right to counsel because he felt coerced to confess. If the circumstances under which Stokes confessed appear similar to the situation in Brewer, then despite Miranda warnings, the volun-tariness of Stokes’s confession could be tainted by the purported psychologically coercive atmosphere in which he responded to the officers’ questioning. Consequently, the alleged waiver of his Sixth Amendment right to counsel would be invalidated. See McNeil, — U.S. at -,
If Stokes did not constitutionally waive his Sixth Amendment right to counsel before he confessed to the officers, then his
“[disinterested zeal for the public good does not assure either wisdom or right in the methods it pursues.” Haley v. Ohio,332 U.S. 596 , 605[,68 S.Ct. 302 , 306,92 L.Ed. 224 (1948)] (Frankfurter, J., concurring in judgment). Although we do not lightly affirm the issuance of a writ of habeas corpus in this case, so clear a violation of the Sixth and Fourteenth Amendments as here occurred cannot be condoned. The pressures on state executive and judicial officers charged with the administration of the criminal law are great, especially when the crime is murder. ... But it is precisely the predictability of those pressures that makes imperative a resolute loyalty to the guarantees that the Constitution extends to us all.
Brewer,
“We may not affirm a district court’s denial of a writ of habeas corpus unless the court either held a hearing, or the record shows that the district court independently reviewed the relevant portions of the state court record.” Lincoln v. Sunn,
Notes
. The information is not part of the appellate record in this case. In his initial pro se brief, Stokes states that the information charges were false imprisonment and robbery of Kish and Farless. The petitioner’s supplemental brief, filed by his court-appointed attorney, as well as the state’s briefs indicate that the information charges for which Stokes was arrested were for the murders of the two men. As we discuss in note 14, even assuming that the information charges were false imprisonment and robbery, Stokes’s statement may be precluded on Sixth Amendment grounds. Although we cannot verify the charges in the information, there is no question in this case that Stokes was sought in connection with his participation in the murders of the two men.
. Although Stokes's motion to transcribe the initial appearance proceedings and the trial judge’s order granting his motion are included in the record, the transcript of Stokes's initial appearance is noticeably absent. While the parties disagree as to whether Stokes requested counsel at the initial appearance, they do not dispute the trial court's appointing the public defender to represent him. We find the fact that Stokes was appointed counsel at his initial appearance to be sufficient for deciding the issue before us in this habeas corpus petition. Nevertheless, on remand, the record shall be expanded to include the transcript of Stokes’s initial appearance for subsequent proceedings in this case.
. On cross examination at the suppression hearing, Stokes testified regarding the officers’ alleged coercion that ”[t]hey were making it sound if I didn’t go along with the statement they didn’t give a damn about what happened to my family.” Rl-14-App.-15.
. The trial judge stated at the conclusion of the suppression hearing that he wanted to read the cases given to him by counsel because he did not want "to summarily rule" on the suppression motion, and acknowledged that his delay in ruling might be inconvenient for counsel faced with the impending trial date. Rl-14-46. Nevertheless, the trial judge did not enter a written order or ruling on the motion, and the confession was admitted at trial. The portion of the trial transcript included in the record shows that the court had directed that some of Stokes's statement not be played for the jury. There is no indication of where in the statement the deletion was made. Regarding the playing of the taped confession at trial, Stokes’s counsel stated that he readopted previous motions concerning the confession and the trial judge responded that his ruling would be same.
. The record in this case contains only excerpts from the trial transcript, generally with no indication of the identity of the witness testifying, and no trial exhibits. On remand, the record shall be supplemented to include the entire trial transcript.
. Almond testified against Stokes, but the Outlaws leader, who ordered the killings, received immunity for his cooperation concerning a number of homicides. The Outlaws member, who drove the van in which the three Pagan members were transported for disposal, became a witness for the state and was allowed to plead to lesser offenses in return for extensive testimony regarding the activities of the Outlaws in Florida.
. The Florida Supreme Court overturned Stokes’s death sentences because it found mitigation under Florida law in Stokes’s "lack of any significant history of prior criminal activity,” and the apparently reasonable consideration by the jury that the Outlaws leader had received immunity from prosecution for his role in the subject deaths. Stokes,
. The following exceptions to the presumption of correctness accorded to state court factual findings appear to be present in this case: the presumption of correctness is inapplicable if "the merits of the factual dispute were not resolved in the State court hearing,” “the factfind-ing procedure employed by the State court was not adequate to afford a full and fair hearing,” "the material facts were not adequately developed at the State court hearing," the petitioner "did not receive a full, fair, and adequate hearing in the State court proceeding,” the petitioner otherwise was "denied due process of law in the State court proceeding," or the federal court concludes that the state court’s "factual determination is not fairly supported by the record.” 28 U.S.C. § 2254(d)(1), (2), (3), (6), (7), (8); see Fike v. James,
. In Sumner v. Mata,
Section 2254(d) permits a federal court to conclude, for example, that a state finding was "not fairly supported by the record.” But the statute does require the federal courts to face up to any disagreement as to the facts and to defer to the state court unless one of the factors in § 2254(d) is found.
Sumner v. Mata,
. The magistrate’s report and recommendation states:
Though the trial court neglected to make any specific findings of fact or enter any written order on the Motion to Suppress, the Petitioner’s confession was admitted into evidence over objection at his trial. On appeal to the Florida Supreme Court the Court found on review of the record that Mr. Stokes’ confession was the product of a knowing and voluntary waiver and not the product of coercion by agents of the State.
On appeal the record was reviewed by the Florida Supreme Court and factual findings, adverse to the Petitioner, resulted. Specifically, the Florida Supreme Court found that the Petitioner voluntarily waived his right *o counsel during questioning and that his confession was not the product of coercion by the State.
It is well settled that findings of historical fact by State Appellate Courts are entitled to a presumption of correctness in habeas proceedings.
R2-18-5-6 (citations omitted).
. We are cognizant that "the district court can find material facts implied in a state court opinion where the following two conditions are met: (1) the state court has decided petitioner’s constitutional claim on the merits; (2) the state court's view of the facts is plain from the opinion or other indicia.’’ Demps v. Wainwright,
."In Michigan v. Jackson,
. Stokes claims that he requested counsel at his initial appearance. Appellant’s Initial Brief at 23, 25. Respondents contend that the trial judge’s giving Stokes a card with information enabling him to contact the public defender’s office is “not quite the equivalent of asking for counsel.” Appellee’s Initial Brief at 8.
. The Supreme Court has held that "Sixth Amendment principles require that we impute the State’s knowledge from one state actor to another. For the Sixth Amendment concerns the confrontation between the State and the individual. One set of state actors (the police) may not claim ignorance of defendants’ unequivocal request for counsel to another state actor (the court).” Jackson,
. Before a federal court can determine that the admission of a coerced confession is harmless error, it must review the record de novo to determine “whether the State has met its burden of demonstrating that the admission of the confession ... did not contribute to ... [the] conviction.” Fulminante, — U.S. at -,
Concurrence Opinion
specially concurring:
I concur in the result.
