Federal Circuits, 3rd Cir. (August 17, 1990)
Docket number: 88-3828
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U.S. Supreme Court - Arizona v. Mauro, 481 U.S. 520 (1987)
U.S. Supreme Court - Kuhlmann v. Wilson, 477 U.S. 436 (1986)
U.S. Supreme Court - Moore v. Illinois, 434 U.S. 220 (1977)
U.S. Supreme Court - Michigan v. Mosley, 423 U.S. 96 (1975)
U.S. Supreme Court - Kirby v. Illinois, 406 U.S. 682 (1972)
U.S. Court of Appeals for the 3rd Cir. - USA v. Lafferty (3rd Cir. 2007)
George E. Schumacher, Federal Public Defender, Thomas S. White (argued), Asst. Federal Public Defender, Pittsburgh, Pa., for appellant.
Robert E. Colville, Dist. Atty., Matthew L. Witherel (argued), Asst. Dist. Atty., Pittsburgh, Pa., for appellee.Before STAPLETON, and MANSMANN, Circuit Judges and KOSIK, District Judge*.OPINION OF THE COURTSTAPLETON, Circuit Judge:Petitioner Bruce Nelson was convicted in Pennsylvania state court of rape and murder. In his habeas corpus petition, Nelson contends that the trial court impermissibly admitted into evidence his inculpatory response to a police-engineered confrontation with his alleged partner in crime, Terrence Moore. The district court dismissed Nelson's petition, holding that the behavior of the police did not violate the prophylactic rules set out in the Supreme Court's Fifth and Sixth Amendment jurisprudence and that Nelson's remark was voluntary and thus admissible. We cannot discern from the state and district court record certain facts we deem critical to resolving Nelson's constitutional claims. Accordingly, we will reverse the district court's decision and remand for additional fact-finding consistent with this opinion.I.In response to questioning by Pennsylvania homicide detectives, Terrence Moore confessed to participating in the rape and murder of Corrine Donovan. In his confession, Moore alleged that Bruce Nelson, the petitioner, initiated both crimes. The detectives then decided to confront Nelson with Moore's confession. That confrontation is the focus of this case. The most comprehensive findings of fact with respect to that confrontation are found in the state trial court's post-trial opinion:On November 27, 1981, Moore was interviewed by various police officers concerning the rape, robbery, and murder of the victim. After a period of time, Moore admitted his involvement in the crimes and implicated the defendant [Nelson]. The defendant, who was in the Allegheny County jail on other charges, was transported to the Public Safety Building for questioning on these charges. Prior to questioning, the defendant was given his Miranda warning and executed a written waiver of his right to counsel. Both the defendant and the codefendant were questioned by the police officers separately. However, the defendant expressed a desire to remain silent. After Moore confessed and implicated the defendant in the crimes, the police officers asked Moore to go into the room alone where the defendant was located and to tell him (the defendant) what he had done. During the confrontation between the defendant and Moore the following exchange occurred:Def: "How much did you tell them?"Moore: "I told it all."The defendant then asked that Moore be removed from the room. Thereafter, Moore informed the police about what the defendant had said.Appendix for Appellant ("App.") at 619. Shortly after this confrontation, Nelson was arrested for the rape and murder of Corrine Donovan.At trial, virtually all of the evidence offered against Nelson was supplied by Moore, who gave the following testimony. Nelson and Moore stole a van and drove to a parking garage in the hopes of committing a theft. When Corrine Donovan walked into the garage, Nelson accosted her and forced her back to the van. Nelson then raped Donovan and encouraged Moore to do the same. Moore refused at first but then followed suit. After Moore finished, Nelson climbed on top of Donovan again. When Moore next looked over, Nelson had a knife in his hand and was strangling Donovan with a piece of cloth. After Nelson stopped choking Donovan, the two left her body on the floor of the garage and fled. Moore abandoned the stolen van the following morning.According to expert testimony at trial, Moore's fingerprints were found on Donovan's purse and on her parking garage ticket. Forensic examination of the victim revealed saliva on her breast and bra that was consistent with Moore's blood type. Saliva on a cigarette butt found at the crime scene was also consistent with Moore's blood type, and hairs found in several different places on the victim and her garments matched Moore's type of hair. Nelson's fingerprints were not found at the scene and all of the saliva and hair samples found on the victim were inconsistent with Nelson's characteristics.At the conclusion of the bench trial, the judge found Nelson guilty of the charges against him. Nelson received a life sentence for the murder. For the rape, Nelson was sentenced to ten to twenty years in prison, to run concurrently with the life sentence.In its post-trial motions opinion, the trial court expressly rejected Nelson's claim that the Constitution compelled the suppression of his response to the confrontation with Moore. Though the court did not articulate the precise nature of Nelson's challenge, it highlighted that Nelson had not been charged or arrested at the time of the questioning and that his inculpatory statement "was not in response to any question posed by the police or Moore." App. at 620. In light of those facts, the state court held that the admission of Nelson's statement violated neither the United States nor the Pennsylvania Constitution.The opinion of Pennsylvania's Superior Court sounded a similar theme:No constitutional rights of the appellant were violated when the appellant volunteered the question to Moore: "How much did you tell them." A statement which is spontaneously volunteered is admissible notwithstanding a prior assertion of constitutional rights. The Commonwealth has conceded that the police sought to confront the appellant with Moore's confession. However, there is no prohibition against the police confronting a suspect with incriminating evidence and doing so does not necessarily render his statement involuntary.App. at 679-680 (citations omitted). The Pennsylvania Supreme Court declined to review the case.In his habeas corpus petition, Nelson reiterates his arguments that the confrontation with Moore violated the prophylactic rules set out in the Supreme Court's Fifth and Sixth Amendment jurisprudence. The magistrate recommended that Nelson's claims be rejected on two grounds. First, he reasoned that Nelson could not rely on the Sixth Amendment "jail plant" line of cases because Moore was not a paid, undisclosed informant. Second, the magistrate observed that Nelson had asked the inculpatory question "without being prompted" and held, under Kuhlman v. Wilson, 477 U.S. 436, 106 S.Ct. 2616, 91 L.Ed.2d 364 (1986), that this spontaneously-made statement was properly admissible notwithstanding a prior assertion of the right to remain silent. App. at 793-94.The district court declined to adopt the magistrate's report and recommendations, but nevertheless denied Nelson's habeas corpus petition and his certificate of probable cause for appeal. It wrote no opinion explaining this result. We granted Nelson's probable cause petition and now review Nelson's claims de novo. We have jurisdiction under 28 U.S.C. Sec . 1291.The parties tender four issues on appeal: (1) whether the state court's finding of fact that Nelson invoked his right to cut off questioning is "fairly supported by the record," 28 U.S.C. Sec . 2254(d)(8); (2) if so, whether the confrontation between Nelson and Moore violated the Fifth Amendment's restrictions on custodial interrogation of suspects who have invoked their right to silence; (3) whether the police nevertheless "scrupulously honored" Nelson's right to silence under Michigan v. Mosley, 423 U.S. 96, 96 S.Ct. 321, 46 L.Ed.2d 313 (1975); and (4) whether the confrontation violated Nelson's Sixth Amendment right to counsel.II.In this appeal, the Commonwealth argues for the first time that the state court's factual finding that Nelson invoked his right to remain silent is not fairly supported by the state court record.The state court record before us, which has not been established as complete, contains only one reference to Nelson's invocation of his right to remain silent other than the trial court's finding to that effect. During the trial court's hearing on Nelson's post-trial motions, the Commonwealth's counsel made the following statements:MR. BENSON: Your Honor, on December 10 of 1982, an order and brief memorandum filed by this Court bearing upon this issue found, as a matter of fact, three things; that the defendant was not under arrest at the time of this statement, that he was not charged with these offenses at the time of this statement, and that he had previously made a valid waiver of his right to counsel.The pre-interrogation warning form, and I'm not certain if that was admitted into evidence or not, Your Honor, but it indicates that the defendant had been informed of his Miranda warnings, signed the card indicating he understood them, and signed the waiver card indicating he did not want to talk to the police.App. at 560. Immediately thereafter counsel acknowledged the correctness of the court's finding that Nelson "did not want counsel, but did not want to talk to the police." App. at 561. The Commonwealth concedes that the record contains nothing that directly contradicts the finding that Nelson sought to cut off questioning.1 Thus, the Commonwealth essentially argues that we should reject an uncontradicted factual finding of the state court which the Commonwealth's own attorney unambiguously corroborated during the state trial proceedings. We decline to do so.Subsections (d) and (e) of Section 2254 of Title 28 create a presumption in favor of state court findings of fact under designated circumstances. While those subsections do not literally apply here because it is the respondent who is challenging a state court finding and because the record does not affirmatively establish that a suppression hearing was held, those statutory provisions reflect a clear congressional policy favoring deference to state findings of fact absent good cause for rejecting such findings. Given the Commonwealth's express acknowledgement before the trial court that Nelson attempted to cut off questioning and its failure to point to any record evidence contradicting this concession, we conclude that no good cause exists for rejecting the trial court's finding and, accordingly, accept that finding.Moreover, even if the record did not fairly support the state court's finding, it is clear that the Commonwealth failed to make this argument before the magistrate or the district court and therefore waived its ability to raise it on appeal. See Newark Morning Ledger Co. v. United States, 539 F.2d 929, 932 (3d Cir.1976) ("We generally refuse to consider issues that are raised for the first time on appeal.... [Only] in horrendous cases where a gross miscarriage of justice would occur [should] the practice ... be relaxed."). Nelson unambiguously claimed in his habeas corpus petition that the police had violated his Fifth Amendment rights by interrogating him after he had invoked his right to remain silent. It was therefore incumbent upon the Commonwealth to argue before the magistrate or district court that reliance on the state court's finding that Nelson had invoked his right was not justified. While we would hesitate to find a waiver in a habeas corpus case where such a finding would work a substantial injustice, this is not such a case.Having accepted the fact that Nelson sought to cut off questioning, we now proceed to consider whether the ploy of confronting him with Moore violated Miranda's prohibition against further interrogation and, if so, whether it was consistent with Michigan v. Mosley's requirement that the police "scrupulously honor" Nelson's request.III.Under Miranda v. Arizona, 384 U.S. 436, 473-74, 86 S.Ct. 1602, 1627, 16 L.Ed.2d 694 (1966), "[i]f [a suspect] indicates in any manner, at any time prior to or during questioning, that he wishes to remain silent, the interrogation must cease." If the state violates this rule, the prosecution may not use a suspect's responses to the custodial interrogation in its case-in-chief. See, id. at 444, 86 S.Ct. at 1612; Harris v. New York, 401 U.S. 222, 91 S.Ct. 643, 28 L.Ed.2d 1 (1971) (permitting admission of statements taken in violation of Fifth Amendment prophylactic rules to impeach defendant's conflicting testimony). Custodial interrogation encompasses not only direct questioning by the police, but also its "functional equivalent." Rhode Island v. Innis, 446 U.S. 291, 300-01, 100 S.Ct. 1682, 1689, 64 L.Ed.2d 297 (1980).The Supreme Court's decision in Rhode Island v. Innis, elaborates on Miranda's proscription of the "questioning initiated by law enforcement officers." Miranda, 384 U.S. at 444, 86 S.Ct. at 1612. The suspect in Innis had been arrested for robbing a cab driver with a sawed-off shotgun. When apprehended, however, the suspect was unarmed. At the time of the arrest, the police immediately read the suspect his Miranda rights and the suspect responded that he understood his rights and wished to speak with an attorney. A police captain instructed three patrolmen to transport the suspect to the police station and admonished them not to question or coerce the suspect in any way. During the trip, however, the officers conversed with each other about the possibility of a handicapped child finding the shotgun and killing herself. The suspect then interrupted and led the patrolmen to the gun.In deciding whether the patrolmen's conversation violated Miranda's prohibition against interrogation, the Court first noted that many of the police practices criticized in Miranda did not include express questioning:For example, one of the practices discussed in Miranda was the use of line-ups in which a coached witness would pick the defendant as the perpetrator. This was designed to establish that the defendant was in fact guilty as a predicate for further interrogation. A variation on this theme discussed in Miranda was the so-called "reverse line-up" in which a defendant would be identified by coached witnesses as the perpetrator of a fictitious crime, with the object of inducing him to confess to the actual crime of which he was suspected in order to escape the false prosecution. The Court in Miranda also included the use of psychological ploys, such as to "posi[t]" "the guilt of the subject," to "minimize the moral seriousness of the offense," and "to cast blame on the victim or on society."Id. at 299, 100 S.Ct. at 1689 (citations omitted). In order to protect suspects from these ploys, the Court in Innis interpreted Miranda's prohibition against interrogation to bar not only express questioning, but also "any words or actions on the part of the police (other than those normally attendant to arrest and custody) that the police should know are reasonably likely to elicit an incriminating response from the suspect." Id. at 301, 100 S.Ct. at 1689-90. Applying that standard to the facts before it, the Court concluded that the patrolmen's conversation was not interrogation because the police had little or no reason to believe that the off-hand, indirect appeal to the suspect's conscience would inspire an inculpatory response.The Supreme Court recently reaffirmed Innis' definition of interrogation in Arizona v. Mauro, 481 U.S. 520, 107 S.Ct. 1931, 95 L.Ed.2d 458 (1987). In that case, the respondent, Mauro, was taken into police custody after he freely admitted to killing his son. Once at the police station, however, Mauro indicated that he did not want to answer any questions without his lawyer. Shortly thereafter, Mauro's wife, who was also a suspect, insisted that she speak with her husband. The police assented to the request after both Mauro and his wife agreed that the conversation take place in the presence of an officer. During their brief conversation, Mauro told his wife not to answer any questions without his lawyer. At trial, the prosecution offered Mauro's remark to rebut his defense of insanity. The trial court denied Mauro's motion to have the remark suppressed.The Supreme Court affirmed on the ground that Mauro's confrontation with his wife was not the "kind of psychological ploy that properly could be treated as the functional equivalent of interrogation," id. at 527, 107 S.Ct. at 1936:[T]he weakness of Mauro's claim that he was interrogated is underscored by examining the situation from his perspective. We doubt that a suspect, told by officers that his wife will be allowed to speak with him, would feel he was being coerced to incriminate himself in any way.... Mauro was not subjected to compelling influences, psychological ploys, or direct questioning. Thus, his volunteered statements cannot properly be considered the result of police interrogation.Id. at 528-29, 107 S.Ct. at 1936 (citations omitted). Though the Court concluded that the facts before it did not satisfy the Innis test, Justice Stevens warned that "[i]t is undisputed that a police decision to place two suspects in the same room and then listen to or record their conversation may constitute a form of interrogation even if no questions are asked by any police officers." Id. at 535, 107 S.Ct. at 1939 (Stevens, J., dissenting).We now turn to whether the confrontation between Nelson and Moore violated Innis' prohibition against the use of "any words or actions on the part of the police (other than those normally attendant to arrest and custody) that the police should know are reasonably likely to elicit an incriminating response from the suspect." 446 U.S. at 301, 100 S.Ct. at 1689-90. Because that inquiry is contextual, we review the known facts. See United States v. Mesa, 638 F.2d 582, 584 (3d Cir.1980) ("[T]he determination whether statements are the product of such 'custodial interrogation' must be made on a case-by-case basis."). Nelson invoked his right to cut off questioning, thereby triggering Innis 's prohibition against further interrogation. In response, the police contrived to confront Nelson with Moore and the confession in order to elicit an incriminating response. Toward that end, the police asked Moore to tell Nelson he had confessed and had implicated Nelson in the rape and murder. Moore agreed and was taken to Nelson's interrogation room. Some time thereafter, Nelson uttered the remark in question: "How much did you tell them?"2 The crucial inquiry is whether the confrontation occurred in the manner intended by the police and, if so, whether they should have expected their ploy to work.What we do not know, and what we deem critical to resolving this case, is what Nelson was told before he posed the inculpating question. The trial court described the question as having been asked "during the confrontation." Its post-trial opinion adds that "[t]he statement made by the defendant was not in response to any question posed by the police or Moore." App. at 620 (emphasis added). The magistrate, relying solely on the comments of the trial judge, stated that Nelson made his incriminating remark "without being prompted." App. at 791. None of these comments illuminates what, if anything, Nelson had been told before he asked his incriminating question. While one can draw an inference from Nelson's question itself that he spoke after being advised that Moore had confessed, that inference is not a necessary one. Nelson may simply have assumed from the surrounding circumstances that Moore had been interrogated and had confessed.The peculiar importance of whether Nelson had been advised of the existence of a confession, by the police or by Moore at their bidding, follows from Innis's definition of interrogation. Confronting a suspect with his alleged partner and informing him that his alleged partner has confessed is very likely to spark an incriminating response from a suspect if that suspect is in fact guilty. Accordingly, we conclude that if the police, or Moore at the police's instruction, had already confronted Nelson with the confession, then this case falls squarely under Innis's prohibition of ploys reasonably likely to elicit an incriminating response. On the other hand, if Nelson had not been informed of the confession by the words or conduct of Moore or the police, then suppression of the remark was not required; we cannot say that merely placing a suspect in the same room with his partner in crime, without any additional stimulus, is reasonably likely to evoke an incriminating response. We explain both of these conclusions below.Assume first that either the police, or Moore at the behest of the police, had already informed Nelson about the confession when he made the incriminating remark. Innis tells us that the fact that the police intended to elicit incriminating information, though not dispositive, suggests that they should have known a particular ploy was reasonably likely to succeed. The Court reasoned that "where a police practice is designed to elicit an incriminating response from the accused, it is unlikely that the practice will not also be one which the police should have known was reasonably likely to have that effect." 446 U.S. at 301-02 n. 7, 100 S.Ct. at 1690 n. 7.The ploy of confronting a suspect with his or her alleged partner in crime and claiming that the partner has confessed is indistinguishable from the types of police practices explicitly criticized in Miranda and Innis. First, both of those decisions decry the use of coached witnesses to identify a suspect from a line-up. Miranda, 384 U.S. at 453, 86 S.Ct. at 1616; Innis, 446 U.S. at 299, 100 S.Ct. at 1688. Though this case does not involve a line-up, the confrontation with the partner in crime and his confession accomplishes the same task; in both cases, a witness identifies the suspect as the perpetrator of the crime at issue. We fail to see why the fact that the coached witness also happens to be the suspect's partner in crime makes the ploy any less violative of the suspect's rights.3 Second, Miranda and Innis also admonish against "positing the guilt" of the suspect. Miranda, 384 U.S. 453, 86 S.Ct. at 1616; Innis, 446 U.S. at 299, 100 S.Ct. at 1688. While we do not know whether any information conveyed to Nelson included the fact that Moore's confession identified Nelson as an accomplice, from Nelson's perspective under the circumstances of this case, being advised of the existence of a confession was the functional equivalent of the police positing his guilt.We therefore conclude that confronting a suspect with his alleged partner in crime and the fact that the partner has confessed is precisely the kind of psychological ploy that Innis's definition of interrogation was designed to prohibit.4 In so holding, we are mindful that courts have not spoken uniformly in this area of the law. Several courts, including two courts of appeals, have suggested that such a confrontation violates a defendant's Fifth Amendment rights. See United States ex rel. Doss v. Bensinger, 463 F.2d 576 (7th Cir.), cert. denied,Try vLex for FREE for 3 days
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