Swanger v. Zimmerman

Decision Date21 December 1984
Docket NumberNo. 84-5090,84-5090
Citation750 F.2d 291
PartiesSWANGER, Glenn R., Appellant v. ZIMMERMAN, Charles H.; Attorney General of the State of Pennsylvania, District Attorney of Lebanon County.
CourtU.S. Court of Appeals — Third Circuit

Ellen M. Burgraff (Argued), Carlisle, Pa., for appellant.

Rosamond A. Presby (Argued), Asst. Dist. Atty. of Lebanon County, Pa., Lebanon, Pa., for appellees.

Before GIBBONS, BECKER and VAN DUSEN, Circuit Judges.

OPINION OF THE COURT

VAN DUSEN, Senior Circuit Judge.

Petitioner appeals from the district court's order denying his application for a writ of habeas corpus on the grounds that state remedies had not been fully exhausted. This court has jurisdiction pursuant to 28 U.S.C. Sec. 1291 (1982). We will reverse the judgment of the district court and remand for further proceedings consistent with this opinion.

I. Facts and Procedural History

On July 17, 1978, the Court of Common Pleas of Lebanon County, Pennsylvania, issued a bench warrant for the arrest of petitioner, Glenn R. Swanger, on counts of burglary, conspiracy, and possessing instruments of a crime. The warrant was subsequently executed by the lodging of a detainer against Swanger with law enforcement officials in Philadelphia, Pennsylvania. Upon his arrest in Philadelphia, Swanger was returned to Lebanon County for trial.

Among his pretrial challenges filed with the court was a "Petition for Writ of Habeas Corpus," in which he claimed due process was denied him by the procedure employed to arrest him and return him to Lebanon County. The court denied this petition. Swanger raised the same claim, along with four others, in an "Omnibus Pre-Trial Motion." In that motion, Swanger also sought suppression of certain incriminating evidence, as well as a change in venue. The application for change of venue was granted, and the case was transferred to the Court of Common Pleas of Dauphin County, Pennsylvania.

Hearings on the remaining claims in Swanger's pretrial motion were scheduled for February 21, 1979. The Commonwealth produced no testimony on that date, and the trial court denied Swanger's claims without a hearing. The trial proceeded, whereupon Swanger was convicted of both burglary and possessing instruments of a crime.

Swanger filed two post-trial motions, a motion in arrest of judgment and a motion for a new trial. The motion in arrest of judgment alleged, inter alia, that "the Court erred in failing to dismiss the case against the Defendant for reason that he was denied his constitutional right to due process of law." Among Swanger's contentions in his motion for a new trial was that the court erred in refusing to suppress certain evidence at trial. The brief filed on Swanger's behalf in support of these post-trial motions contained thirteen specific issues. Included were both his challenge to the procedure employed to arrest him and his claim that the trial court erred in refusing to take testimony on his motion to suppress. The Commonwealth refuted both of these claims in its opposing brief. By opinion and order dated September 15, 1980, the trial court denied Swanger's post-trial motions. In its opinion, the court acknowledged that thirteen assignments of error had been raised and considered.

Swanger filed a timely appeal to the Pennsylvania Superior Court, raising sixteen separate claims. By memorandum opinion dated November 19, 1982, the Superior Court affirmed Swanger's conviction. The court stated, however, that Swanger had waived two claims on appeal "for failure to raise them in post-trial motions." These claims were due process challenges to the procedure employed in arresting him and to the trial court's refusal to take testimony on his suppression motion. The Superior Court expressly refused to discuss these two claims because they had been waived. The court apparently based its conclusion of waiver on Swanger's failure to specifically list the two claims in the post-trial motions themselves, because both claims were listed and argued in the accompanying briefs and were acknowledged expressly by the trial court in ruling on the motions.

Following his unsuccessful appeal to the Superior Court, Swanger filed a "Petition for Allowance of Appeal" to the Pennsylvania Supreme Court. The petition, which reiterated the claims raised in post-trial motions and on appeal to the Superior Court, was denied.

On June 3, 1983, while incarcerated at the State Correctional Institution at Huntingdon, Pennsylvania, 1 Swanger filed an application for a writ of habeas corpus with the United States District Court for the Middle District of Pennsylvania. On June 24, 1983, the court approved his request to proceed in forma pauperis and issued a rule directed to the respondents to show cause why a writ of habeas corpus should not issue. Respondents filed an answer on July 13, 1983, asserting that Swanger had not exhausted state remedies for two of the nine claims raised in the habeas corpus application. These two claims were the same as those earlier adjudged to have been waived by the Pennsylvania Superior Court.

The case was submitted on the pleadings to a United States Magistrate for his report and recommendation. In his report, the magistrate concluded that all available state remedies for the two claims at issue had not been exhausted. The magistrate determined that Swanger should pursue a remedy for those two claims by filing a petition in state court pursuant to the Pennsylvania Post Conviction Hearing Act (PCHA). See 42 Pa.Cons.Stat.Ann. Secs. 9541-9551 (Purdon 1982). Thus, the magistrate recommended that the entire application be denied, relying on the rule of total exhaustion set forth by the Supreme Court of the United States in Rose v. Lundy, 455 U.S. 509, 102 S.Ct. 1198, 71 L.Ed.2d 379 (1982). 2

Upon Swanger's filing of objections to the magistrate's report, the case was submitted to the district court. By order dated November 21, 1983, the court adopted the magistrate's report and directed that the application for a writ of habeas corpus be denied. On December 2, 1983, Swanger filed a notice of appeal to this court, whereupon the district court entered an order stating that the appeal was frivolous and without probable cause. A certificate of probable cause was granted by this court on February 10, 1984, and counsel 3 was appointed for Swanger. 4

II. Exhaustion of State Remedies

The district court held that petitioner, Swanger, did not exhaust available state remedies for two claims raised in his application for writ of habeas corpus. This holding was based on the magistrate's conclusion that the Pennsylvania state courts had not had a full opportunity to address the two claims (see Supp.App.p.18). The magistrate recognized that state remedies for claims made in a federal habeas corpus proceeding are exhausted if the claims have been raised at a state court trial and on direct appeal (Supp.App. p. 13). Yet he contended that the Superior Court's refusal to discuss two claims because of its finding of waiver rendered those claims unreviewable in federal habeas corpus proceedings because the exhaustion requirement had not been satisfied. The magistrate therefore directed that petitioner pursue both claims in state court under Pennsylvania's Post Conviction Hearing Act (PCHA) so as to give the state courts "... a full opportunity to address claims not discussed on direct appeal, because such claims were thought to have been waived" (Supp.App. p. 18).

It is well-settled that a claim raised in state court at trial and on direct appeal satisfies the exhaustion requirement and that a habeas corpus petitioner need not also raise the claim in a collateral attack before proceeding in federal court. See Brown v. Allen, 344 U.S. 443, 447, 73 S.Ct. 397, 402, 97 L.Ed. 469 (1953); United States ex rel. Hickey v. Jeffes, 571 F.2d 762, 764 (3d Cir.1978); United States ex rel. Schultz v. Brierley, 449 F.2d 1286, 1287 (3d Cir.1971). Thus, the magistrate was correct in concluding that seven of petitioner's nine claims, which had been considered and rejected by the Superior Court, need not be presented again to the state courts (this time under the PCHA) as a prerequisite to federal habeas corpus review (see Supp.App. p. 14).

The magistrate erred, however, in concluding that state remedies for petitioner's remaining two claims had not been exhausted because the merits of the claims were neither considered nor discussed by the Superior Court. The exhaustion requirement of 28 U.S.C. Sec. 2254(b)-(c) has been judicially interpreted to mean that claims must have been presented to the state courts; they need not have been considered or discussed by those courts. Picard v. Connor, 404 U.S. 270, 275, 92 S.Ct. 509, 512, 30 L.Ed.2d 438 (1971); United States ex rel. Geisler v. Walters, 510 F.2d 887, 892 (3d Cir.1975). As the Supreme Court stated in Picard v. Connor, "... once the federal claim has been fairly presented to the state courts, the exhaustion requirement is satisfied." 404 U.S. at 275, 92 S.Ct. at 512.

In the case at hand, petitioner's two claims were presented to the trial court in the brief in support of his post-trial motions (see App. p. K-3). 5 The trial court, in denying the post-trial motions, acknowledged that these two claims were raised. 6 Moreover, the two claims were raised on appeal to the Superior Court. That the Superior Court stated in its opinion the reason it believed these claims had been waived demonstrates that the claims were presented to the Superior Court. 7 Finally, petitioner presented these same two issues to the Pennsylvania Supreme Court in his petition for allowance of appeal (see App. p. L-10), which was ultimately denied.

The magistrate apparently found significance in the fact that, although the two claims were briefed on appeal, the Superior Court did not discuss them in its opinion (see Supp.App. pp. 16, 18). Yet, discussion of a claim in ...

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