Reynolds v. Berry

¶5OPINION

¶6LAY, Circuit Judge.

¶7In 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 *346report 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.

¶8Subsequently, 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).

¶9More 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 1142 motion. See Reynolds v. Commonwealth, No. 92-SC-591-D (Ky. Jan. 14,1993).

¶10In 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 *347Kentucky 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).

¶11On 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).

¶12Following 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.

¶13The 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.

¶14In 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, *348379 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.

¶15There 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.

¶16Reynolds’ 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 motion4 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.

¶17Section 532.050 states:

*349No 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.

¶18Ky.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 statute. The court is also mandatorily required to advise defendant or his counsel of the factual contents and conclusions of the investigation and to afford him an opportunity to controvert them should they be adverse to the interest of the defendant.... The requirement placed upon a trial court by the statute is mandatory and does not afford a trial judge the privilege or discretion of determining whether the report will be requested, obtained, or considered. It is a “must” and is in fact a prerequisite to the entry of a valid judgment.

¶19Brewer v. Commonwealth, 550 S.W.2d 474, 476 (Ky.1977) (emphasis added).

¶20Kentucky law thus makes it clear that compliance with § 532.050 was essential before the trial court could enter a valid judgment on a conviction. As such, Reynolds’ § 532.050 motion was directly related to the validity of his original sentence. The trial court granted an evidentiary hearing to Reynolds on his motion under § 532.050, ordered the presentence report corrected, and was required to vacate the original judgment and sentence as invalid. Thus, it is apparent that Reynolds’ initial Rule 11.42 motion, filed on November 14, 1980, collaterally attacked the new judgment and sentence and not the original, invalid judgment rendered in 1979.

¶21The United States Supreme Court has made clear that a state procedural bar must have been “firmly established and regularly followed” in order to qualify as an independent ground for decision. See Ford v. Georgia, 498 U.S. 411, 423-24, 111 S.Ct. 850, 112 L.Ed.2d 935 (1991). It cannot be said that Reynolds or his counsel were ever placed on notice that if his initial motion under § 532.050 was successful, it could be a procedural bar to Rule 11.42 motions attacking the newly rendered sentence and judgment. The State did not -inform him of that; no Kentucky case had so construed § 532.050 in that manner (which makes sense because the sentencing court’s compliance with the statute was a prerequisite to the entry of a valid judgment of conviction).5

¶22Furthermore, we deem it significant that Reynolds’ counsel did not believe he could attack his conviction at that time under § 532.050. This was a reasonable assumption for him to make, especially if counsel considered the original judgment to be invalid. In addition, we think it clear that a § 532.050 motion for resentencing must be considered by its substance and not its label. Reynolds’ sole purpose in filing his original motion was to correct the presentence report. Because of the Kentucky courts’ subsequent treatment of Reynolds’ § 532.050 motion, Reynolds has never been given an opportunity to raise his constitutional claims in state court.

¶23It is readily apparent that Reynolds’ § 532.050 motion invalidated the original judgment, and no Kentucky rule was firmly established nor regularly followed6 which *350procedurally barred further collateral attack on the newly entered judgment.. Therefore, we hold the alleged state procedural bar cannot be binding on the federal courts under the circumstances existing in this case. See Ford, 498 U.S. at 421-25, 111 S.Ct. 850; Maupin, 785 F.2d at 138.

¶24The case is remanded to the district court for consideration of petitioner’s constitutional claims. In remanding to the district court, we do not in any way review or pass on the substance of Reynolds’ claims.

¶25IT IS SO ORDERED.