Reynolds v. Berry

• Citation: 146 F.3d 345
• Decision Date: 04 June 1998
• Docket Number: No. 96-6496,96-6496
• Parties: Michael REYNOLDS, Petitioner-Appellant, v. Steve BERRY, Warden, Respondent-Appellee.
• Court: United States Courts of Appeals. United States Court of Appeals (6th Circuit)

Page 345

146 F.3d 345

Michael REYNOLDS, Petitioner-Appellant, v. Steve BERRY, Warden, Respondent-Appellee.

No. 96-6496.

United States Court of Appeals,

Sixth Circuit.

Argued April 21, 1998.

Decided June 4, 1998.

Joseph Ray Myers (argued and briefed), Kentucky Resource Center, Department of Public Advocacy, Frankfort, KY, for Petitioner-Appellant.

David A. Sexton, Assistant Attorney General (argued), Todd D. Ferguson (briefed), Office of the Attorney General, Civil Division, Frankfort, KY, for Respondent-Appellee.

Before: RYAN, DAUGHTREY, and LAY, ^* Circuit Judges.

OPINION

LAY, Circuit Judge.

In 1979, the State of Kentucky convicted Michael Reynolds of first-degree manslaughter and sentenced him to twenty years in prison. The Kentucky Supreme Court affirmed Reynolds' conviction. See Reynolds v. Commonwealth, 596 S.W.2d 372 (Ky. 1979). On August 18, 1980, Reynolds moved to compel the trial court to provide the factual contents of his presentence investigation report as required by Kentucky Revised Statutes § 532.050. Thereafter, the State and Reynolds' legal advisor met and corrected several errors of the pretrial sentence report. The trial court's failure to comply with § 532.050 made it mandatory for the court to resentence Reynolds and enter a new judgment. The court resentenced Reynolds to twenty years imprisonment.

Subsequently, on November 14, 1980, Reynolds filed a motion to vacate his sentence and judgment pursuant to Kentucky Rule of Criminal Procedure 11.42 ("Rule 11.42"), ¹ alleging the State violated his constitutional rights during his original trial. ² In December 1980, the state trial court denied Reynolds' motion without holding an evidentiary hearing, concluding he had already filed and been granted an earlier motion to vacate his sentence, and he had already filed a direct appeal on his conviction, which the Kentucky Supreme Court fully reviewed and upheld. See J.A. at 69 (reprinting state trial court's order denying Reynolds' November 14, 1980 motion to vacate his sentence). Reynolds appealed. The Kentucky Court of Appeals affirmed, see Reynolds v. Commonwealth, No. 81-CA-553-MR (Ky.Ct.App. Sept. 25, 1981), and the Kentucky Supreme Court denied review. See Reynolds v. Commonwealth, No. 81-SC-745-D (Ky. Dec. 8, 1981).

More than ten years later, Reynolds filed another motion to vacate his sentence and judgment pursuant to Rule 11.42. On November 8, 1991, the trial court denied the motion, stating Reynolds' trial attorney was unavailable to answer or respond to the numerous trial related issues Reynolds framed, and the passage of time from the date of trial to the date of the motion was such as to bar meaningful review of the issues. See J.A. at 107-108 (reprinting state trial court's order denying Reynolds' 1991 Rule 11.42 motion to vacate judgment). Reynolds appealed, and the court of appeals affirmed the trial court's decision. See Reynolds v. Commonwealth, No. 91-CA-2722-MR (Ky.Ct.App. July 3, 1992). This time, however, the Kentucky Supreme Court reversed the court of appeals. On January 14, 1993, the supreme court reversed and remanded the case for an evidentiary hearing on Reynolds' Rule 11.42 motion. See Reynolds v. Commonwealth, No. 92-SC-591-D (Ky. Jan. 14, 1993).

In the meantime, on April 8, 1993, Reynolds filed a supplemental Rule 11.42 motion, which the State considered to be a third Rule 11.42 motion. The trial court denied this third motion as successive. Reynolds appealed the denial of his motion and the denial of an evidentiary hearing on his motion to the Kentucky Court of Appeals. The court of appeals affirmed. See Reynolds v. Commonwealth, No. 93-CA-1464-MR (Ky.Ct.App. Dec. 23, 1994). ³ Reynolds appealed to the Kentucky Supreme Court, seeking discretionary review as well as an order directing the trial court to comply with the Kentucky Supreme Court's January 14, 1993 order, which had directed the trial court to conduct an evidentiary hearing on Reynolds' second Rule 11.42 motion. On May 10, 1995, the Kentucky Supreme Court denied Reynolds' requests. See Reynolds v. Commonwealth, No. 95-SC-45-D (Ky. May 10, 1995).

On October 24, 1994, Reynolds filed a pro se petition for a writ of habeas corpus in federal district court pursuant to 28 U.S.C. § 2254. The district court referred the matter to a federal magistrate judge who recommended dismissal of Reynolds' petition on the ground that Reynolds had not yet exhausted his state remedies. The district court dismissed Reynolds' petition, concluding the Kentucky Supreme Court should have an opportunity to respond to Reynolds' request for enforcement of the Kentucky Supreme Court's January 14, 1993 ruling before a federal court reviewed Reynolds' claim in a habeas corpus proceeding. See Reynolds v. Berry, No. 94-404 (E.D.Ky. Apr. 7, 1995). Reynolds appealed to this court. In August 1995, the Sixth Circuit concluded Reynolds had effectively exhausted his state remedies, dismissed his appeal, and remanded his case to the district court for further proceedings. See Reynolds v. Berry, No. 95-5625 (6th Cir. Aug. 15, 1995).

Following remand, the district court recommitted the matter to the federal magistrate judge. The magistrate judge concluded Reynolds was entitled to habeas relief to the extent that the state trial court should be directed to consider the merits of the claims Reynolds raised in his initial Rule 11.42 motion filed on November 14, 1980. The district court disagreed with the magistrate judge. The district court concluded that the question of whether Reynolds' motions should be considered successive motions under Rule 11.42 was a question of state law that had been addressed by the Kentucky courts on more than one occasion. See Reynolds v. Commonwealth, No. 94-404 (E.D.Ky. Sept. 30, 1996). The district court denied Reynolds' habeas petition. Id. Reynolds now appeals.

The State claims Reynolds' 1980 motion for resentencing pursuant to Kentucky Revised Statutes § 532.050 was the equivalent of a post-conviction collateral attack under Rule 11.42. The State claims Reynolds did not raise any constitutional claims until his second and third Rule 11.42 motions, and Kentucky law does not allow successive post-conviction motions. See Ky. R.Crim. P. 11.42; Hampton v. Commonwealth, 454 S.W.2d 672, 673 (Ky.1970). Thus, the State argues, Reynolds procedurally defaulted his constitutional claims by failing to raise those claims in his first Rule 11.42 motion.

In Maupin v. Smith, 785 F.2d 135 (6th Cir.1986), this court set forth the analysis for determining whether a procedural default has occurred and, if so, what effect the default has on a federal court's review of a prisoner's habeas petition. First, the court must find there is a state procedural rule that applies to the petitioner's claim, and the petitioner failed to comply with the rule. Maupin, 785 F.2d at 138. Second, the court must determine whether the state courts actually enforced the state procedural sanction. Id. (citing County Court of Ulster County v. Allen, 442 U.S. 140, 149, 99 S.Ct. 2213, 60 L.Ed.2d 777 (1979)). Third, the court must decide whether the state procedural forfeiture is an adequate and independent state ground upon which the state can rely to foreclose review of the petitioner's federal constitutional claim. Id. (citing Allen, 442 U.S. at 148, 99 S.Ct. 2213; Wainwright v. Sykes, 433 U.S. 72, 78, 81, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977)). This third question typically focuses on the adequacy of the state ground. The adequacy of the state ground is determined by examining the state's legitimate interests in the procedural rule in light of the federal interest in considering federal claims. See id. (citing Henry v. Mississippi 379 U.S. 443, 446-48, 85 S.Ct. 564, 13 L.Ed.2d 408 (1965)). Finally, once a court determines the petitioner did not comply with a state procedural rule, and the rule is an adequate and independent state ground, then the petitioner must demonstrate cause for not following the procedural rule and prejudice resulting from the alleged constitutional error. Id.

There is no question that Kentucky law prohibits prisoners from bringing successive motions under Rule 11.42. See, e.g., Commonwealth v. Ivey, 599 S.W.2d 456, 457-58 (Ky.1980). Moreover, as this court stated in Wesselman, "Kentucky's interests in finality of judgments, judicial economy, and permitting defendants just 'one bite of the apple' are both obvious and substantial." 834 F.2d at 101. As such, we have no quarrel with Kentucky's prohibition against successive post-conviction petitions under Rule 11.42. However, that is not the issue here.

Reynolds' initial post-conviction motion was a motion to correct his presentence report pursuant to § 532.050. The state courts have treated his motion as the equivalent of a Rule 11.42 motion ⁴ in which collateral attack of his conviction could have been made. In all due deference to the state courts' application and interpretation of Rule 11.42, we cannot agree that the fact that Reynolds did not raise his constitutional claims in his § 532.050 motion constituted sufficient procedural default so as to bar his federal petition for a writ of habeas corpus.

Section 532.050 states No court shall impose sentence for conviction of a felony, other than a capital offense, without first ordering a presentence investigation and giving due consideration to a written report of the investigation.... Before imposing sentence, the court shall advise the defendant or his counsel of the factual contents and conclusions of any presentence investigation ... and afford a fair opportunity and a reasonable period of time, if the defendant so requests, to controvert them.

Ky.Rev.Stat. Ann. § 532.050 (emphasis added). In discussing the requirements of § 532.050, the Kentucky Supreme Court has observed:

The ordering of a presentencing investigation and consideration of the written report of such investigation is made mandatory by the...