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George
W. DEL VECCHIO
abbing
with knife
474 U.S. 883
George W. DEL VECCHIO
v.
ILLINOIS.
No. 84-7002
October 7, 1985
Rehearing Denied Dec. 2, 1985.
On petition for writ of certiorari to the Supreme
Court of Illinois.
The petition for writ of certiorari is denied.
Justice MARSHALL, with whom Justice BRENNAN joins,
dissenting.
Despite this Court's demand "for reliability in
the determination that death is the appropriate punishment in a
specific case," Woodson v. North Carolina, 428 U.S. 280, 305 , 2991
( 1976), the Illinois Supreme Court found there to be no error in
the admission of two confessions at petitioner's capital sentencing
hearing, without any inquiry having been made as to their
reliability. Because those confessions had been obtained in
connection with charges to which petitioner had long before pleaded
guilty, the court found petitioner precluded from challenging their
voluntariness later, when he was fighting for his life. Even were I
to believe that the death penalty could constitutionally be imposed
under certain circumstances, I would grant certiorari in this case
to determine whether the Illinois Supreme Court's decision can be
reconciled with "the standard of reliability that the Eighth
Amendment requires," Caldwell v. Mississippi, 472 U.S. 320, 341 ,
2646 (1985). See Barefoot v. Estelle, 463 U.S. 880 , 924-925,
3410-3411 (1983) (BLACKMUN, J., dissenting).*
I
Petitioner George Del Vecchio was convicted in
1979 of murder, rape, deviate sexual assault, and burglary, and the
State sought the death penalty. At his capital sentencing hearing,
the prosecutor urged as a statutory aggravating factor the fact that
in 1965, when he was 16 years old, petitioner had been convicted
upon a plea of guilty to charges of murder, robbery, and attempted
robbery.
The prosecution also sought to introduce two
confessions that petitioner had made to those previous crimes; these
confessions, made to a police officer and an Assistant District
Attorney respectively, contained detailed statements as to
petitioner's role in the 1965 crimes.
Petitioner moved to suppress these statements at
the sentencing hearing on the grounds that they had been induced
through physical and psychological coercion and that their use was
therefore barred by the Fifth and Fourteenth Amendments. The trial
court denied this motion, refusing even to conduct a hearing on it.
In his closing argument, the prosecutor pointed to the 1965
confessions as evidence that petitioner was a career criminal who
did not deserve to live . The jury proceeded to find two aggravating
circumstances and no mitigating circumstances sufficient to preclude
a sentence of death. Petitioner was sentenced to die.
In his appeal to the Illinois Supreme Court,
petitioner argued that the use of his 1965 confessions without a
hearing as to their voluntariness was prejudicial error. The court
rejected this claim, concluding:
"While defendant contests the voluntariness
of his inculpatory statement, he does not contend that the
guilty plea was involuntarily entered. This court has held that
'a constitutional right, like any other right of an accused, may
be waived, and a voluntary plea of guilty waives all errors or
irregularities that are not jurisdictional.' (People v. Brown
(1969), 41 Ill. 2d 503, 505[, 244 N.E.2d 159, 160].) Thus, the
issue was waived by the voluntary plea of guilty. 105 Ill.2d
414, 432-433, 86 Ill.Dec. 461, 470, 475 N.E.2d 840, 849 (1985).
II
The Illinois Supreme Court's harsh waiver rule
stands in opposition to and must ultimately give way to the
constitutional requirement that a defendant facing a death sentence
be given an opportunity to challenge the reliability of all evidence
urged by the prosecution in support of that sentence. Although this
Court has on occasion been divided as to whether this requirement is
rooted in the Due Process Clause or the Eighth Amendment, compare
Gardner v. Florida, 430 U.S. 349 , 358-360, 1204-1206 (1977) (plurality
opinion), with id., at 362-364-1208, (WHITE, J., concurring in
judgment), a concern for reliability has been one of the central "themes
. . . reiterated in our opinions discussing the procedures required
by the Constitution in capital sentencing determinations," Zant v.
Stephens, 462 U.S. 862, 884 , 2746 (1983). See Barefoot v. Estelle,
supra, 463 U.S., at 924 -925-3411 (BLACKMUN, J., dissenting). This
concern is squarely implicated by the introduction of confessions
whose voluntariness has never been determined.
The constitutional bar to the use of involuntary
confessions in criminal proceedings is based in part upon the "strongly
felt attitude of our society that important human values are
sacrificed where an agency of government . . . wrings a confession
out of an accused against his will," Blackburn v. Alabama, 361 U.S.
199 , 206-207, 279-280d 242 (1960), and upon "the deep-rooted
feeling that the police must obey the law while enforcing the law,"
Spano v. New York, 360 U.S. 315, 320 , 1205 (1959). Equally
significant, however, is our awareness of "the probable
unreliability of confessions that are obtained in a manner deemed
coercive." Jackson v. Denno, 378 U.S. 368, 386 , 1785 (1964). And if
the "inherent untrustworthiness" of involuntary confessions, Spano
v. New York, supra, 360 U.S., at 320 , requires their exclusion from
the jury during trial, see Jackson v. Denno, supra, 378 U.S., at 383
-391, 84 S. Ct., at 1784-1789, it surely forbids their introduction
in a capital sentencing proceeding, where the nature of the
punishment faced makes the need for reliable information "of still
greater constitutional concern." Barefoot v. Estelle, 463 U.S., at
925 (BLACKMUN, J., dissenting).
That petitioner pleaded guilty to the 1965 crimes
and made no effort to contest the voluntariness of his confessions
to those crimes has no bearing on the issue of whether the
confessions were coerced . "A prospect of plea bargaining, the
expectation or hope of a lesser sentence, or the convincing nature
of the evidence against [him]," Tollett v. Henderson, 411 U.S. 258,
268 , 1608 (1973 ), are all considerations that may have led
petitioner to plead guilty even while he had a compelling claim
under the Fifth and Fourteenth Amendments. See Haring v. Prosise,
462 U.S. 306 , 318-319, 2375-2376 (1983). Nor does the fact that
petitioner pleaded guilty establish the truth of the confessions as
a whole. Even if the plea constituted an admission of the basic
facts comprising the elements of the offenses charged, that
admission did not necessarily extend to the truth of other aspects
of the confessions. And it is the reliability of those other aspects
that is at issue here because it was for them that the prosecutor is
likely to have sought admission of the confessions in the first
place. Had he wished only to establish petitioner's guilt of the
1965 crimes, he could have merely introduced the 1965 convictions
without more.
Respondent argues that regardless of the
voluntariness of petitioner's confessions, this Court should not
review his claim because the Illinois Supreme Court's decision was
based upon a reasonable state procedural rule. However, whether the
forfeiture rule applied to preclude petitioner's claim constitutes
an adequate state ground is a federal question, and if the rule does
not serve a legitimate state interest it " ought not be permitted to
bar vindication of important federal rights," Henry v. Mississippi,
379 U.S. 443, 448 , 568 ( 1965). Once a defendant has pleaded guilty,
the State has a legitimate interest in barring him from attacking
his conviction collaterally by asserting constitutional claims that
would have been adjudicated had he stood trial. Since the plea "represents
a break in the chain of events which has preceded it in the criminal
process," Tollett v. Henderson, supra, 411 U.S., at 267 , this Court
has held that such a conviction is based only on the plea itself,
and not whatever might have gone before. See Haring v. Prosise,
supra, 462 U.S., at 321 .
No such state interest supports the extension of
the waiver rule to bar an attack, in a subsequent capital sentencing
proceeding, on the voluntariness of a confession made by a defendant
concerning a crime to which he had previously pleaded guilty. Indeed,
were it not for this case, one might have reasonably assumed that a
rule so clearly developed to cut off collateral attacks upon a
conviction supported by a plea would be applied only in that context.
The Illinois Supreme Court's failure to give any justification for
such a radical extension of the rule raises serious questions as to
the legitimacy of the state interests implicated. Moreover, any
interest the State may have in resolving the voluntariness of a
confession soon after the alleged coercion has occurred must in this
case be subordinated to the special demand for reliability imposed
by the Eighth Amendment. The refusal of the trial court here to
inquire into the voluntariness of petitioner's 1965 confessions
outside the presence of the jury pursuant to Jackson v. Denno,
supra, was thus error of constitutional magnitude.
Respondent contends that petitioner was not
prejudiced by the introduction of the 1965 confessions because this
evidence was merely cumulative, the prosecution having already
offered evidence of petitioner's conviction and the confessions of
two of petitioner's codefendants from that proceeding. But a
confession is not merely another aggregate of factual assertions.
Even before this Court decided that an involuntary confession could
not be admitted at trial, it noted that "such a confession combines
the persuasiveness of apparent conclusiveness with what judicial
experience shows to be illusory and deceptive evidence." Stein v.
New York, 346 U.S. 156, 192 , 1097 ( 1953). What made the
introduction of the confessions at petitioner's sentencing hearing
so prejudicial is precisely the reason why the prosecution sought
their admission: More damning than the information contained in them
was the fact that petitioner was heard to tell of his crimes in his
own words. Certainly, it cannot be said that the admission of the
confessions had "no effect" on the sentencing decision as required
by Caldwell v. Mississippi, 472 U.S., at 341 .
Because the trial court here made no effort to
determine whether statements so apparently conclusive of
petitioner's character had been obtained in a manner that would cast
doubt on their trustworthiness, it failed to guarantee the
"reliability in the determination that death is the appropriate
punishment" that this Court has demanded in capital procedures,
Woodson v. North Carolina, 428 U.S., at 305 . I would therefore
grant certiorari and vacate petitioner's death sentence.
Footnotes
[
Footnote *
] Petitioner also raises a substantial claim that the prosecutor's
summation at trial falsely represented to the jury that petitioner
would eventually be eligible for discretionary parole if he were to
receive a life sentence. Such inaccurate representations may well
have "so affect[ ed] the fundamental fairness of the sentencing
proceeding as to violate the Eighth Amendment," Caldwell v.
Mississippi, 472 U.S., at 340 , 105 S.Ct ., at 2645, and had this
Court granted certiorari, this claim would have merited its
attention.
31 F.3d 1363
United States Court of Appeals, Seventh Circuit.
Argued May 5, 1993.
Decided Oct. 26, 1993.
Argued En Banc Feb. 8, 1994.
Decided July 19, 1994
Before POSNER, Chief Judge, and CUMMINGS, BAUER,
CUDAHY, COFFEY, EASTERBROOK, RIPPLE, MANION, KANNE, and ROVNER,
Circuit Judges.*
MANION, Circuit Judge, joined
by POSNER, BAUER, COFFEY, EASTERBROOK, and KANNE.
An Illinois state court
sentenced GeorgeDelVecchio to death after convicting him
of murdering a six-year-old boy. He filed a petition for writ of
habeas corpus in the district court, claiming that the
proceedings leading to his death sentence were constitutionally
deficient. The district court denied all of
DelVecchio's constitutional
claims except one: the district court determined that
DelVecchio
was entitled to an evidentiary hearing to test the voluntariness
of a confession he had given for an earlier murder. Both
DelVecchio
and Illinois appeal the district court's decision. We affirm the
portion of the district court's decision denying the petition,
but reverse the district court's remand for an evidentiary
hearing.
This appeal involves
GeorgeDelVecchio's 1979 murder conviction and
death sentence. But this was his second murder. The first
occurred in early February of 1965, while DelVecchio and two young companions were
on a two-day crime spree. On the second day, they happened upon
Fred Christiansen, an elderly man, whom they decided to murder
and rob. DelVecchio
shot Mr. Christiansen nine times, as his accomplices kicked the
dying man to silence his cries for help. They recovered $11 from
Mr. Christiansen's wallet. The police arrested
DelVecchio, and he admitted to
the murder.
The crime received enormous
publicity in the Chicago area. DelVecchio claimed that he was looking for
drug money when he killed Mr. Christiansen. In 1965 it was still
front-page news when young men committed random acts of violence
to gain drug money. The Cook County State's Attorney handled the
prosecution. Louis Garippo was the chief of the criminal
division in that office. He assigned the case to his former
trial partner, and generally supervised the prosecution.
DelVecchio
provided the prosecutors with a written confession. According to
DelVecchio,
he was not advised of his right to counsel in the manner
prescribed in Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602,
16 L.Ed.2d 694 (1966), which was decided the following year.
DelVecchio was sixteen years old when he
murdered Mr. Christiansen in early February of 1965. He was to
turn seventeen on March 1, 1965. His lawyer considered it
important that Del
Vecchio be convicted and sentenced before his seventeenth
birthday. That way, DelVecchio would be sent to a youth
correctional facility until his twenty-first birthday. Only then
would he be given an adult sentence and sent to an adult prison.
Ill.Rev.Stat. Ch. 1963, 23 Sec. 2523. By contrast, a person
sentenced after his seventeenth birthday would immediately
receive an adult sentence and be sent to an adult prison.
DelVecchio's
attorney met with Louis Garippo and told him that
DelVecchio
would plead guilty and agree to immediate sentencing if the case
could be wrapped up before March 1. Garippo agreed to expedite
the indictment, welcoming such a quick resolution of the high-profile
case.
DelVecchio was charged as an adult; he
pleaded guilty and was sentenced before his seventeenth birthday.
Because he was sentenced before turning seventeen, he was given
over to the Illinois Youth Commission which placed him in a
youth correctional facility. After he reached age twenty-one,
DelVecchio
was sent back to court to receive an adult sentence. The
presiding judge had broad discretion when sentencing the
admitted murderer. He could have sentenced DelVecchio to a minimum of fourteen years
or a maximum of life in prison. The parties do not dispute that
this is exactly the range of discretion a judge in 1965 would
have had if Del
Vecchio had been sentenced after his seventeenth birthday.
During his stay at the youth facility, DelVecchio had achieved a sterling record
and the judge apparently took that into consideration. He
sentenced DelVecchio
to the statutory minimum of fourteen years in an adult prison.
He was credited with time served and since he continued to be a
model inmate, he was paroled in April of 1973, only a few years
after he had been sentenced.
Unfortunately,
DelVecchio's
good behavior ended at the prison exit. In 1977, he struck again.
This time his victim was six-year-old Tony Canzonieri. Early one
morning, DelVecchio
broke into the apartment of Karen Canzonieri, Tony's mother,
apparently intending to rape her. DelVecchio knew Karen. In fact, he had
made a visit to the apartment the night before, where he and
others had smoked marijuana. When he broke into the apartment
the next morning, he came across young Tony on the first floor.
Apparently Del
Vecchio did not want Tony in the way when he was with
Karen, so he killed him. He brutally slashed the boy's throat,
severing his trachea, carotid artery, jugular vein and vegus
nerve, and fracturing his third and fourth vertebrae--a near
decapitation. Del
Vecchio then stuffed Tony's body in a crawlspace and made
his way upstairs to Karen's bedroom, where he raped her. Karen
was able to escape and call the police when
DelVecchio left her alone for a
moment. When the police arrived they found DelVecchio hiding on the roof. His first
words on being captured were, "I didn't kill nobody."
In 1979, the time of the
Canzonieri murder trial, Louis Garippo had left his job with the
State's Attorney and had become a judge with the Cook County
Criminal Division. He was randomly selected to preside over
DelVecchio's
trial for the murder of Tony Canzonieri. He neither recused
himself from the case, nor informed DelVecchio's attorneys about his
involvement in the 1965 prosecution. Before the trial,
DelVecchio's
attorneys made motions in limine to exclude evidence pertaining
to the 1965 conviction and confession. They asserted three
reasons to preclude the evidence: that the facts relating to the
1965 confession and conviction were irrelevant to the 1977
murder; that the 1965 confession had been involuntary and taken
in violation of Miranda; and that the law in 1965 which allowed
juveniles to be charged as adults was unconstitutional. Judge
Garippo withheld ruling on these matters, but let the defense
know that he would likely allow evidence about the 1965 case if
the defense introduced evidence that DelVecchio was insane at the time of the
murder. Although the defense laid the groundwork to argue
DelVecchio's
insanity, they never presented the defense. So the state never
attempted to introduce the evidence about the 1965 murder.
Therefore, Judge Garippo never officially ruled during the guilt
phase of the trial on the motions to preclude the evidence.
The evidence presented against
DelVecchio at
the trial was overwhelming. Having abandoned the insanity
defense, he really had no persuasive theory of defense. The jury
convicted DelVecchio
for Tony's murder. The case then proceeded to the sentencing
phase, which involved testimony and other evidence about whether
DelVecchio
should be put to death. The state sought to introduce evidence
concerning the 1965 murder. Again, DelVecchio's attorneys challenged the
evidence. Judge Garippo, believing that it was important for the
jurors to consider DelVecchio's violent history when they
made their sentencing decision, ruled that the evidence was
admissible. Pursuant to that ruling, the government introduced
DelVecchio's
1965 written confession, in which he discussed Mr.
Christiansen's killing and related events in great detail.
DelVecchio
had sought to preclude the 1965 confession on the basis that it
was involuntary. Judge Garippo did not grant
DelVecchio an evidentiary
hearing to address the voluntariness of the confession; he
simply allowed the confession into evidence, leaving
DelVecchio
the opportunity to claim to the jury that the confession was not
voluntary. The government also presented evidence that
DelVecchio
falsely claimed in 1965 that he killed because of drug use, and
argued that Del
Vecchio's tendency to blame his crimes on drugs was part
of a recurring pattern. After hearing this and all of the other
evidence, the jury found that there were sufficient aggravating
circumstances to warrant the death penalty, and no mitigating
circumstances to prevent it. See Ill.Rev.Stat.1975, ch. 38, par.
9-1(b). The court imposed the sentence of death.
That was fifteen years ago.
Since then, Del
Vecchio has been housed in Illinois prisons awaiting
execution. His death penalty was stayed for a time as the
Illinois Supreme Court considered his appeal; that court
affirmed both Del
Vecchio's conviction and death sentence. People v.
DelVecchio,
105 Ill.2d 414, 86 Ill.Dec. 461, 475 N.E.2d 840 (1985). The
United States Supreme Court denied certiorari. 474 U.S. 883, 106
S.Ct. 204, 88 L.Ed.2d 173 (1985). Justices Marshall and Brennan
dissented from that order. They took the position that
DelVecchio
was entitled to an evidentiary hearing in the sentencing phase
of the 1979 trial, to challenge the voluntariness of the 1965
confession. Id. In 1986, DelVecchio discovered that Judge Garippo
had been involved in his 1965 prosecution. Based on that and
other legal theories, DelVecchio petitioned for a new trial
under the Illinois Post-Conviction Hearing Act, Ill.Rev.Stat.1985,
ch. 38, paras. 122-1 et seq. The court dismissed that petition
and the Illinois Supreme Court affirmed. 129 Ill.2d 265, 135
Ill.Dec. 816, 544 N.E.2d 312 (1989). Once again, the United
States Supreme Court denied certiorari. 494 U.S. 1062, 110 S.Ct.
1540, 108 L.Ed.2d 779 (1990).
His direct appeals finally
exhausted, Del
Vecchio filed a petition for writ of habeas corpus in the
district court. He made two primary arguments, along with a
variety of others. First, he argued that he was denied a fair
trial because Judge Garippo, who had been involved in
prosecuting him for the 1965 murder, sat as presiding judge
during the Canzonieri murder trial. Second, he argued that he
was denied his constitutional right to an evidentiary hearing
during the sentencing phase of the 1979 trial to test the
voluntariness of the 1965 confession. Finally,
DelVecchio made several other
claims: that the prosecutors misled the jury to believe that if
he was not sentenced to death, he eventually would finesse state
authorities into granting him parole; that the court should have
ordered a hearing to determine whether one of the state's
witnesses committed perjury; that the court erred by allowing
alleged hearsay statements made by three experts concerning drug
use; that the 1965 confession should have been excluded from the
jury's consideration because it was taken in violation of
Miranda; and that the death penalty jury instructions were
confusing.
The district court agreed with
DelVecchio's
second argument, determining that DelVecchio was entitled to an evidentiary
hearing to challenge the voluntariness of the 1965 confession.
The court remanded the case to state court, with instructions to
conduct an evidentiary hearing, at which the state would have
the burden to prove that the confession was voluntary. But the
court otherwise denied the petition. 795 F.Supp. 1406.
DelVecchio
appealed the district court's order to the extent that it denied
the petition. Illinois cross-appealed the district court's
decision to remand to the state court to conduct an evidentiary
hearing on the voluntariness of the 1965 confession.
A divided panel of this court
agreed with the district court's conclusion that
DelVecchio
was entitled to an evidentiary hearing to test the voluntariness
of his confession, but reversed the district court's decision
that the proceedings were otherwise constitutional. 8 F.3d 509.
The court held that DelVecchio's trial and sentencing were
constitutionally flawed because Judge Garippo's previous
involvement with the 1965 prosecution necessarily rendered him
biased in the Canzonieri trial. The full court vacated that
opinion, and decided to rehear the case en banc. 8 F.3d 530. On
rehearing, we first consider the legal questions addressed in
the vacated opinion: 1) whether DelVecchio was denied a fair trial because
Judge Garippo presided as judge; and 2) whether
DelVecchio
was entitled to an evidentiary hearing to test the voluntariness
of his 1965 confession. We also address the other previously
mentioned issues Del
Vecchio raised on appeal, which were not addressed in the
vacated opinion.
A prisoner is entitled to a
writ of habeas corpus if he is being held under a state court
judgment obtained in violation of the Constitution. 28 U.S.C.
Sec. 2254; Williams v. Chrans, 945 F.2d 926, 931 (7th Cir.1991).
Our habeas corpus jurisdiction, therefore, "is limited to
questions of federal and constitutional custody. In other words,
'federal courts can grant habeas relief only when there is a
violation of federal statutory or constitutional law.' " Haas v.
Abrahamson, 910 F.2d 384, 389 (7th Cir.1990), quoting Lee v.
Flannigan, 884 F.2d 945, 952 (7th Cir.1989). In this case, the
district court considered all of the alleged constitutional
violations Del
Vecchio raised in his petition, and determined that he
was entitled to relief only on his claim that he had the right
to an evidentiary hearing to address the voluntariness of his
confession. We review de novo the district court's legal
conclusions. Drake v. Clark, 14 F.3d 351, 355 (7th Cir.1994).
DelVecchio first argues that he was denied
a fair trial because Judge Garippo's participation in the 1979
trial created an appearance of bias. Under his theory, a showing
of actual bias or prejudice would be unnecessary. He would only
have to show that Judge Garippo had some temptation to be biased
in order to demonstrate an appearance of bias. He finds this
temptation in the intersection between the 1965 trial, in which
Garippo supervised the prosecution, and the 1979 trial, where
Garippo acted as judge. DelVecchio claims that the confluence of
those events raised a number of temptations for Judge Garippo,
including the temptation to favor the state in motions to
introduce evidence concerning the 1965 proceedings, and the
temptation to sabotage the capital sentencing hearing because of
some personal responsibility Judge Garippo felt for
DelVecchio's
light sentence for the 1965 murder.
As we will discuss later, it
stretches the facts to suppose that Judge Garippo had any sort
of temptation to be biased in 1979. Really, he was only
tangentially involved in DelVecchio's 1965 prosecution. His
decisions regarding the prosecution had little if anything to do
with DelVecchio
being a free man in 1977, when he killed Tony Canzonieri. Judge
Garippo had no real personal stake in the outcome of the motions
to suppress evidence which were filed in the 1979 trial.
Certainly, he had less personal stake than a judge who presides
over a case against a person he had sentenced in an earlier
case--a common occurrence in our judicial system which does not
prompt due process concerns. See Liteky v. United States, ---
U.S. ----, ----, 114 S.Ct. 1147, 1155, 127 L.Ed.2d 474 (1994)
("[a]lso not subject to deprecatory characterization as 'bias'
or 'prejudice' are opinions held by judges as a result of what
they learned in earlier proceedings. It has long been regarded
as normal and proper for a judge to sit in the same case upon
its remand, and to sit in successive trials regarding the same
defendant."). But this is a death penalty case, and our court is
closely divided. Thus we will examine DelVecchio's seemingly remote claim that
Garippo's participation in the 1965 prosecution tempted him to
undermine the 1979 case. Therefore, we first address when the
possibility of temptation alone--without a showing of actual
influence or bias--is enough to demonstrate a due process
violation.
Certainly, the appearance of
justice is important in our system and the due process clause
sometimes requires a judge to recuse himself without a showing
of actual bias, where a sufficient motive to be biased exists. A
long line of Supreme Court cases compel these general
conclusions. In Tumey v. Ohio, 273 U.S. 510, 532, 47 S.Ct. 437,
444, 71 L.Ed. 749 (1927), the Court stated that "[e]very
procedure which would offer a possible temptation to the average
man as a judge ... not to hold the balance nice, clear, and true
between the state and the accused denies the latter due process
of law." Where such temptations exist, the due process clause
"may sometimes bar trial by judges who have no actual bias and
who would do their very best to weigh the scales of justice
equally between contending parties.... [T]o perform its high
function in the best way, 'justice must satisfy the appearance
of justice.' " In re Murchison, 349 U.S. 133, 136, 75 S.Ct. 623,
625, 99 L.Ed. 942 (1955); Aetna Life Ins. Co. v. Lavoie, 475 U.S.
813, 825, 106 S.Ct. 1580, 1587, 89 L.Ed.2d 823 (1986).
Despite the Supreme Court's
broad pronouncements about "the appearance of justice," we
cannot answer the due process question simply by concluding that
it may have looked bad for Judge Garippo to preside at trial. If
the question truly is whether a defendant received a fair trial,
bad appearances alone should not require disqualification to
prevent an unfair trial. What may appear bad to an observer,
especially in hindsight, may not have influenced--or, more
importantly, may not have had any real possibility to influence--the
judge in his decision-making process. Consider the following
hypothetical. Suppose a judge does not know a close relative has
a financial interest in a case he tries. To the outside observer
aware of the interest but unaware of the judge's lack of
knowledge, it would look bad for the judge to try that case. But
if the judge does not even know about the relative's financial
interest, how could he be tempted to undermine the case? And if
no actual incentive exists for the judge to be biased--if the
judge does not have reason to be partial--how could the judge's
presiding over the trial deprive a party of his right to a fair
trial before an impartial judge? See Bradshaw v. McCotter, 796
F.2d 100, 101-03 (5th Cir.1986) (Gee, J., concurring.).1
The dissents treat the Supreme
Court's "appearance of justice" language from Murchison and
Aetna as holding that the due process clause requires judges to
recuse themselves based solely on appearances. But those cases
present no such holding; the Supreme Court's mention of "appearance
of justice" certainly does not compel reversal on due process
grounds if a federal judge decides--based on a personal view of
judicial protocol--that it looked bad for a state judge to try a
case. Such a pure appearance approach would be hard to reconcile
with the bevy of Supreme Court precedents on the issue of
recusal which do not address the "appearance of justice." See,
e.g., Liteky, --- U.S. at ----, 114 S.Ct. at 1147. Appearances
are usually for the eyes of the beholder. Years after whatever
appearance there was has disappeared, a reviewing judge is left
not with appearance but with hindsight speculation. That will
not suffice as a basis for overturning a conviction. The Supreme
Court has never rested the vaunted principle of due process on
something as subjective and transitory as appearance.2
Instead, the Supreme Court simply uses the "appearance of
justice" language to make the point that judges sometimes must
recuse themselves when they face possible temptations to be
biased, even when they exhibit no actual bias against a party or
a cause.
In short, bad appearances
alone do not require disqualification. Reality controls over
uninformed perception. DelVecchio cites no case in which the
Supreme Court has overturned a verdict on due process grounds
based on a mere appearance of bias. Our court was correct in
holding that "a litigant is not denied due process by either the
'appearance' of partiality or by circumstances which might lead
one to speculate as to a judge's impartiality." Margoles v.
Johns, 660 F.2d 291, 296 (7th Cir.1981). When the Supreme Court
talks about the "appearance of justice," it is not saying that
bad appearances alone require disqualification; rather, it is
saying that when a judge is faced with circumstances that
present "some [actual] incentive to find one way or the other"
or "a real possibility of bias," a court need not examine
whether the judge actually was biased. Id. at 297 (quoting
Howell v. Jones, 516 F.2d 53, 57-58 (5th Cir.1975)); Bradshaw,
796 F.2d at 102 (Gee, J., concurring). Absent the incentive for
bias, however, disqualification is not required despite bad
appearance.
Moreover, even if Judge
Garippo faced some "possible temptation" to be biased against
DelVecchio,
not every "possible temptation" to be biased presents a
sufficient possibility of bias to require disqualification. This
is evident from other language in the same cases in which the
Court talks about "possible temptations." Thus, in Aetna and
Tumey, the Court noted that " '[n]ot all questions of judicial
qualification ... involve constitutional validity.... [M]atters
of kinship, personal bias, state policy, remoteness of interest,
would generally be matters of legislative discretion' "--even
though any of these matters, particularly kinship and personal
bias, could offer a "possible temptation" to be biased. Aetna,
475 U.S. at 820, 106 S.Ct. at 1584; Tumey, 273 U.S. at 523, 47
S.Ct. at 441. At some point, a " 'biasing influence ... will be
too remote and insubstantial to violate the constitutional
constraints.' " Aetna, 475 U.S. at 826, 106 S.Ct. at 1588 (quoting
Marshall v. Jerrico, 446 U.S. 238, 243, 100 S.Ct. 1610, 64 L.Ed.2d
182 (1980)).
This merely recognizes, at
least implicitly, that in the real world, "possible temptations"
to be biased abound. Judges are human; like all humans, their
outlooks are shaped by their lives' experiences. It would be
unrealistic to suppose that judges do not bring to the bench
those experiences and the attendant biases they may create. A
person could find something in the background of most judges
which in many cases would lead that person to conclude that the
judge has a "possible temptation" to be biased. But not all
temptations are created equal. We expect--even demand--that
judges rise above these potential biasing influences, and in
most cases we presume judges do. See Withrow v. Larkin, 421 U.S.
35, 47, 95 S.Ct. 1456, 1464, 43 L.Ed.2d 712 (1975) (the
contention that the combination of investigative and
adjudicatory functions necessarily disqualifies an
administrative adjudicator "must overcome a presumption of
honesty and integrity in those serving as adjudicators.").
The common law recognized this
reality. At the time the American court system was established,
the common law of disqualification "was clear and simple: a
judge was disqualified for direct pecuniary interest and for
nothing else." John P. Frank, Disqualification of Judges, 56
Yale L.J. 605, 609 (1947). No other interest would suffice to
require, or even permit, a judge to disqualify himself,
including evidence of bias against a litigant. Id. at 611-12;
see also Aetna, 475 U.S. at 820, 106 S.Ct. at 1584. As
Blackstone put it, "the law will not suppose a possibility of
bias or favour in a judge, who is already sworn to administer
impartial justice, and whose authority greatly depends upon that
presumption and idea." 3 W. Blackstone, Commentaries * 361 (quoted
in Aetna, 475 U.S. at 820, 106 S.Ct. at 1584).
As the common law recognized,
and as experience teaches, the lure of lucre is a particularly
strong motivation, and therefore judges ought to be prohibited
from presiding over cases in whose outcomes they have a direct
financial interest. Of course, the Supreme Court has held the
due process clause requires disqualification for interests
besides pecuniary interests. But the constitutional standard the
Supreme Court has applied in determining when disqualification
is necessary recognizes the same reality the common law
recognized: judges are subject to a myriad of biasing influences;
judges for the most part are presumptively capable of overcoming
those influences and rendering evenhanded justice; and only a
strong, direct interest in the outcome of a case is sufficient
to overcome that presumption of evenhandedness.
The Supreme Court's
disqualification cases illustrate this point. The cases
requiring disqualification all involved "direct, personal [and]
substantial" influences on the judges involved. Aetna, 475 U.S.
at 822, 106 S.Ct. at 1585. In each of these cases, it is fair to
say that the influences involved struck at the heart of human
motivation, that an average man would find it difficult, if not
impossible, to set the influence aside.
In both Tumey and Aetna, for
example, judges were faced with "direct, personal, substantial,
pecuniary interest[s]." See Aetna, 475 U.S. at 824, 106 S.Ct. at
1586. In Tumey, the judge in a criminal case was paid only if
the defendant was convicted. 273 U.S. at 520, 47 S.Ct. at 440.
In Aetna, Justice Embry of the Alabama Supreme Court cast the
deciding vote and wrote the majority opinion in a case
establishing a legal proposition that "had the clear and
immediate effect of enhancing both the legal status and
settlement value" of two pending cases Justice Embry had filed
as a plaintiff. 475 U.S. at 822-24, 106 S.Ct. at 1585-86.
The judge in Ward v. City of
Monroeville, Ohio, 409 U.S. 57, 93 S.Ct. 80, 34 L.Ed.2d 267
(1972), faced a temptation similar to those faced by the judges
in Tumey and Aetna. In Ward, the Court held that the mayor of
Monroeville could not sit as a judge in traffic court. The mayor
was responsible for the town's finances and revenue production;
Monroeville derived a "major part" of its income from fines and
other costs imposed in that court. The Court sensibly held that
the mayor's responsibility for town finances "may make him
partisan to maintain the high level of contribution from the
mayor's court." Id. at 60, 93 S.Ct. at 83. That interest, like
the judge's personal financial interest in Tumey, provided the
mayor sufficient incentive to find against the defendant that
the mayor could not, consistently with the due process clause,
sit as judge. See id.
The Court has also required
disqualification in the face of a litigant's direct personal
insults to a judge. In Mayberry v. Pennsylvania, 400 U.S. 455,
91 S.Ct. 499, 27 L.Ed.2d 532 (1971), the defendant during the
course of his trial called the judge, among other epithets, a "dirty
[S.O.B.]," a "dirty tyrannical old dog," a "stumbling dog," and
a "fool," had charged the judge with running a "Spanish
Inquisition," and had told the judge to "Go to hell." Id. at
466, 91 S.Ct. at 505. The Court held that the judge could not
subsequently try the litigant for contempt in the face of this
abuse. The litigant's insults were "apt to strike 'at the most
vulnerable and human qualities of a judge's temperament.' " Id.
(quoting Bloom v. Illinois, 391 U.S. 194, 204, 88 S.Ct. 1477,
1483, 20 L.Ed.2d 522 (1968)). See also Taylor v. Hayes, 418 U.S.
488, 94 S.Ct. 2697, 41 L.Ed.2d 897 (1974) (judge who had become
embroiled in a "running controversy" with an attorney that
resulted in "marked personal feelings ... on both sides," and
during which the judge had displayed an "unfavorable personal
attitude" toward the attorney, could not try the attorney for
contempt).
In Murchison, the Court held
that the judge's combination of prosecutorial and adjudicatory
functions in the same case violated due process. In that case, a
state court judge acted as a "one-man grand jury" investigating
police corruption. Two witnesses before the judge in his role as
grand juror answered questions in such a way as to convince the
judge that those witnesses had committed contempt. The judge
charged the two witnesses with contempt and subsequently tried
and convicted them. 349 U.S. at 134-35, 75 S.Ct. at 624. The
Supreme Court held that the trial before the same judge who
brought the contempt charges violated the defendants' right to
due process. "Having been part of [the accusatory process] a
judge cannot be, in the very nature of things, wholly
disinterested in the conviction or acquittal of those accused."
Id. at 137, 75 S.Ct. at 626.
A comparison of the situations
in which the Court required disqualification with situations in
which the Court did not find disqualification was required makes
it clear that not all "possible temptations" toward bias require
a judge to disqualify himself. For example, in Aetna, the Court
held that Justice Embry's general antipathy toward and
frustration with insurance companies did not require him to
disqualify himself. 475 U.S. at 820-21, 106 S.Ct. at 1585. "[O]nly
in the most extreme of cases" would the Constitution require
disqualification for this type of general bias. Id. at 821, 106
S.Ct. at 1585.
Likewise, not all contemptuous
conduct by a person prevents a judge from trying the person for
contempt. The Court refused to hold a judge disqualified from
trying a witness for contempt in Ungar v. Sarafite, 376 U.S.
575, 84 S.Ct. 841, 11 L.Ed.2d 921 (1964), despite the witness'
continued criticism of the judge, disobedience to his orders
during trial, and "disruptive, recalcitrant and disagreeable
commentary." Id. at 584, 84 S.Ct. at 847. One might suppose this
disobedience and criticism offered a "possible temptation" to be
biased against the defendant. But the judge had not become "personally
embroiled" with the litigant, and the Court refused to "assume
that judges are so irascible that they cannot fairly deal with
resistance to their authority or with highly charged arguments
about the soundness of their decisions." Id.
The line between interests
that require disqualification and those that do not is not
always clear. Consider the contrast between Murchison and
Withrow v. Larkin, 421 U.S. 35, 95 S.Ct. 1456, 43 L.Ed.2d 712
(1975), a case involving similar circumstances. In Withrow, the
Wisconsin Medical Examining Board commenced an investigation to
determine whether a doctor had committed certain illegal acts.
The Board subsequently decided to hold a hearing to determine
whether the doctor had committed the alleged illegal acts and
whether to suspend the doctor's license temporarily. 421 U.S. at
39-41, 95 S.Ct. at 1460-61. The Supreme Court held that the
Board could adjudicate the same charges it had investigated and
decided to prosecute without violating the doctor's due process
rights. See id. at 47-55, 95 S.Ct. at 1464-68.
One may wonder why the Court
found a due process violation in Murchison but not Withrow. In
both cases, the same person (or body) had served as both
prosecutor and adjudicator. In both cases, the adjudicators
seemed to have had a "possible temptation ... not to hold the
balance nice, clear, and true...." But the Court distinguished
Withrow from Murchison; the procedure in Murchison violated due
process "not only because the judge in effect became part of the
prosecution and assumed an adversary position, but also because
as a judge, passing on guilt or innocence, he very likely relied
on 'his own personal knowledge and impression of what had
occurred in the grand jury room' an impression that 'could not
be tested by adequate cross-examination.' " 421 U.S. at 53, 95
S.Ct. at 1467 (quoting Murchison, 349 U.S. at 138, 75 S.Ct. at
626).
Not even all financial
interests are disqualifying. In Aetna, for instance, six other
judges were members of the plaintiff class in the two suits
Justice Embry had filed. Although those six justices conceivably
had a "slight pecuniary interest" in the outcome--and, therefore,
a "possible temptation" to be biased--the Court held that their
disqualification was not required. 475 U.S. at 825-26, 106 S.Ct.
at 1587-88. The justices' interests, though pecuniary, were not
"direct, personal, and substantial...." Id. Any gain to these
justices from a favorable decision in Aetna was "speculative and
contingent;" the class had not yet been certified, and no class
relief had been awarded. Id.
Therefore, the Court's cases
require that we go beyond generalizations about "possible
temptations" in deciding whether Judge Garippo was required to
disqualify himself. The question is not whether some possible
temptation to be biased exists; instead, the question is, when
does a biasing influence require disqualification? Consistent
with the common law, we begin in answering this question by
presuming "the honesty and integrity of those serving as
adjudicators." Withrow, 421 U.S. at 47, 95 S.Ct. at 1464; Dyas
v. Lockhart, 705 F.2d 993, 997 (8th Cir.1983). Disqualification
is required only when the biasing influence is strong enough to
overcome that presumption, that is, when the influence is so
strong that we may presume actual bias. See Dyas, 705 F.2d at
996-97. This occurs in "situations ... in which experience
teaches that the possibility of actual bias is too high to be
constitutionally tolerable." Withrow, 421 U.S. at 47, 95 S.Ct.
at 1464. A court must be convinced that a particular influence,
"under a realistic appraisal of psychological tendencies and
human weakness," poses "such a risk of actual bias or
prejudgment that the practice must be forbidden if the guarantee
of due process is to be adequately implemented." Id.
Judged by this standard, Judge
Garippo was not required to disqualify himself. Judge Garippo
faced none of the biasing influences involved in the cases in
which the Supreme Court required disqualification. Judge Garippo
had no financial interest--direct or indirect--in the outcome of
DelVecchio's
trial. He had never been subject to any personally insulting,
abusive, or even disrespectful remarks by DelVecchio or his attorneys. He did not
serve the dual role of prosecutor and judge in the Canzonieri
trial.
Judge Garippo had been
involved in some aspects of DelVecchio's prosecution for murder in
1965--fourteen years before the Canzonieri trial. But as both
the Fifth and Sixth Circuits have held, no per se rule
disqualifies a judge because he has prosecuted a defendant in
the past. Corbett v. Bordenkircher, 615 F.2d 722, 723-24 (6th
Cir.1980); Murphy v. Beto, 416 F.2d 98, 100 (5th Cir.1969). This
rule is consistent with the Supreme Court's cases. Prosecuting a
defendant in one case is not the kind of action from which we
can presume bias or prejudgment in a future case.
So, what personal motive could
Judge Garippo possibly have had to undermine the 1979 trial?
DelVecchio
identifies two theories. First, he contends that prosecutor
Garippo was closely involved in gathering evidence concerning
the 1965 murder. He argues, therefore, that Judge Garippo had a
personal stake in affirming the validity of that evidence. It
follows, from Del
Vecchio's viewpoint, that in 1979 Judge Garippo could not
fairly comply with the applicable rules of evidence when ruling
on the admissibility of the 1965 evidence. Instead, he
disregarded the rules and simply admitted the evidence. Second,
DelVecchio
contends that prosecutor Garippo's decision in 1965 to expedite
the indictment resulted in DelVecchio being initially sentenced as a
juvenile. The theory is that prosecutor Garippo cut
DelVecchio a
break in 1965, leading to his early release from prison, which
allowed him to kill Tony in 1977. Under this theory, Judge
Garippo felt personal responsibility for Tony's murder, and
could not fairly conduct the 1979 trial. We shall consider each
theory in turn.
DelVecchio did file motions to exclude use
of his 1965 confession and conviction in the Canzonieri trial,
and Judge Garippo did have to rule on these motions, at least in
the trial's sentencing phase. But as the Court in Murchison
stated, the interest necessary to disqualify a judge "cannot be
defined with precision. Circumstances and relationships must be
considered". 349 U.S. at 136, 75 S.Ct. at 625. The circumstances
in this case--the actual contents of the motions and the issues
they raised--do not warrant a finding that Judge Garippo was so
likely to have prejudged the motions' merits that we can presume
he could not impartially decide the motions.
In the first motion,
DelVecchio
challenged the use of evidence about the 1965 conviction,
claiming that the conviction was irrelevant to the issues at the
1979 trial. In the second motion, DelVecchio alleged that his 1965
conviction was illegal because the statute that allowed
juveniles to be charged as adults violated due process in two
ways: the statute did not require a hearing to determine if a
juvenile should be charged as an adult; and the statute left the
decision to charge a juvenile as an adult to the "absolute and
totally standardless discretion" of the State's Attorney and
circuit court judge. Finally, in the third motion,
DelVecchio
challenged the use of his 1965 confession in the 1979 trial,
claiming that the confession was involuntary and obtained in
violation of Miranda. Judge Garippo never ruled on these motions
during the guilt phase of the trial. He did not have to; the
prosecution never attempted to introduce the evidence. But he
did allow evidence from the 1965 proceedings at the sentencing
phase. Is it possible to presume, or even to infer, that he did
so because he had a personal stake in the outcome? To answer
this, we must examine Judge Garippo's personal stake in each
motion.
First, DelVecchio sought to preclude evidence
about the 1965 conviction, contending that it was irrelevant to
the 1979 proceedings. Judge Garippo allowed the evidence at the
sentencing phase, determining it to be relevant for the jury to
consider when deliberating the fate of the twice-convicted
killer. DelVecchio
asks us to infer that Judge Garippo's decision on that motion
was not a careful appraisal on the issue of relevance; rather,
that it was an unscrupulous effort to impose the death sentence.
But that is not a reasonable, much less permissible inference.
There is no cause to think--let alone presume--that Judge
Garippo could not impartially consider the relevance of the 1965
conviction. The question of relevance in no way required Judge
Garippo to judge any decision he had made in 1965. It was not
Judge Garippo who killed Mr. Christiansen, confessed to the
murder and pleaded guilty. The 1965 conviction existed
independently of anything prosecutor Garippo is alleged to have
done. Judge Garippo simply had no personal stake in determining
the 1965 conviction to be relevant.
In the second motion,
DelVecchio
sought to preclude evidence of the 1965 conviction because it
was obtained under a law allowing juveniles to be charged as
adults, which he contended was unconstitutional. Judge Garippo
permitted this evidence, determining that the law was
constitutional. It is true that Judge Garippo participated in
the decision to charge DelVecchio as an adult (a decision that
Judge Garippo in his 1989 deposition described as a "no-brainer"--16-year-olds
accused of murder were almost always charged as adults). But
DelVecchio's
motion did not focus on Judge Garippo's decision; it focused on
the statute under which he made that decision. The motion did
not allege that Judge Garippo himself violated the Constitution
except to the extent that he followed the allegedly
unconstitutional statute. There is no reason to presume that a
judge in Judge Garippo's position could not impartially decide
DelVecchio's
motion, unless perhaps he had some professional or intellectual
stake in the statute's constitutionality. But the record reveals
no such stake. There is no indication, for example, that Judge
Garippo had anything to do with drafting or passing the statute,
or that he had ever defended the statute's constitutionality.
The motion in no way required Judge Garippo to judge his own
decision as a prosecutor.
In the third and final motion,
DelVecchio
attempted to preclude his 1965 confession, contending that it
was involuntary. But Judge Garippo allowed the jury to review
the confession during the sentencing phase. Again, there is no
possible inference that Judge Garippo had a personal stake in
the confession. As a prosecutor, Garippo was at best only
tangentially involved in the circumstances surrounding
DelVecchio's
confession. Del
Vecchio gave two confessions, one to police and one to
Assistant State's Attorney Patrick Tuite, prosecutor Garippo's
subordinate. Prosecutor Garippo read Tuite's report about the
confession. But Garippo himself took no confession from
DelVecchio.
In fact, Judge Garippo's deposition indicates that he first read
about the crime in the newspaper and did not even know of the
case when the police and Tuite took DelVecchio's confessions. The motion does
not allege, nor does the record indicate, that prosecutor
Garippo improperly trained his subordinates, or that he required
or allowed subordinates to extract involuntary confessions from
suspects, either systematically or in this case. Again, any
personal stake Judge Garippo would have had in upholding the
confession was minimal. There is no reason to presume that Judge
Garippo could not impartially evaluate the work of the police or
his former subordinate.
Our decision in Barry v.
United States,
528 F.2d 1094 (7th Cir.1976), is instructive on whether
DelVecchio's
pretrial motions required Judge Garippo to disqualify himself.
In Barry, the defendant was indicted under a then-novel (but
subsequently upheld) construction of the Hobbs Act. Barry's
trial judge had been a United States Attorney. As United States
Attorney, he had personally decided to use the Hobbs Act to
prosecute activity such as that in which Barry was involved. Id.
at 1097. One of the questions the judge had to decide at trial
was whether the Hobbs Act applied to Barry's activities. Id. at
1100.
The judge in Barry had at
least as much professional and intellectual stake in the outcome
of the Hobbs Act question as Judge Garippo had in the outcomes
of DelVecchio's
motions to exclude his 1965 conviction and confession. He had
made the decision to apply the Hobbs Act the way it was applied
in Barry's case. But after examining Supreme Court precedent and
the practices of Supreme Court justices in deciding whether to
disqualify themselves, this court held that the judge's interest
was insufficient to require disqualification under the due
process clause. See id. at 1099-1100 & 1100 n. 19.3
The second theory
DelVecchio
presents in arguing that Judge Garippo was personally motivated
to undermine the 1979 trial centers on prosecutor Garippo's 1965
decision to expedite the indictment. DelVecchio contends that this decision
began a chain reaction which eventually led to his early release
from prison, allowing him to kill again. Under
DelVecchio's theory, Judge
Garippo felt personal responsibility for the 1977 murder, and
could not have been unbiased during the trial because he held a
grudge against Del
Vecchio. In order to accept this theory, we must first
conclude that the record allows the inference on which it is
based: that prosecutor Garippo cut DelVecchio a break in 1965 which led to
his being free to kill again in 1977.
But the record does not permit
this inference. All prosecutor Garippo did, really, was agree to
expedite the indictment. As it turned out, this only postponed
the date of Del
Vecchio's sentencing as an adult; whereas he otherwise
would have been sentenced as an adult immediately, instead he
was sentenced as an adult a few years later when he turned
twenty-one. There is no allegation or evidence that the judge
who ultimately sentenced DelVecchio as an adult had any less
discretion than a judge in 1965 would have had. Indeed,
DelVecchio
faced a minimum of fourteen years and a maximum of life in
prison both in 1965, and in 1971, when he was finally sentenced
as an adult. It just so happened that the judge in 1971 decided
to be lenient. In retrospect, there is no telling whether a
judge asked to sentence DelVecchio as an adult in 1965 would have
been lenient.4
If we cannot know in retrospect, prosecutor Garippo could not
have predicted as much when he made the decision to expedite the
indictment. Once he did that, the punishment was out of his
hands and it was left to the wisdom of the judges to sentence
DelVecchio.
Granted, DelVecchio
ultimately received a light sentence for murdering Mr.
Christiansen in 1965, but this light treatment was not because
of prosecutor Garippo. It was because of the judge who sentenced
DelVecchio.
The only break
DelVecchio
received because of the quick indictment was that he was allowed
to spend the first four years of his sentence in a youth
correctional facility, rather than in an adult prison. This
break had no foreseeable connection to the 1977 murder.
Therefore, any possible biasing influence stemming from the
decision to expedite the indictment is far too remote to have
required Judge Garippo's disqualification. Even if one perceived
some obscure causal link between the expedited indictment and
the light sentence, it is highly unlikely that Judge Garippo
would have felt sufficiently guilty about a decision with which
he had so little to do that he could not have put this guilt
aside at DelVecchio's
trial. The due process standard for disqualification requires an
influence or interest that we can conclusively presume would
cause the average judge to be biased. All prosecutor Garippo did
was agree to expedite the indictment. By chance, this decision
eventually placed Del
Vecchio before a judge who decided to be lenient. Because
prosecutor Garippo could not have foreseen such easy treatment,
he was not likely to have felt responsible for it fourteen years
later. It would be unreasonable to presume that Judge Garippo
would have weighed the scales against DelVecchio under these circumstances.
But even if prosecutor Garippo
had undoubtedly given DelVecchio a clear break--for example, if
prosecutor Garippo had agreed to imposition of the minimum
sentence in exchange for a guilty plea--the risk of bias would
still be insufficient to hold that Judge Garippo was required to
disqualify himself. Compare a prosecutor to a sentencing judge.
In a system of indeterminate sentencing, such as the federal
system before the Sentencing Guidelines, judges make thousands
of decisions on sentence length, based in large part on the
judges' personal evaluations of the defendants before them. Any
one of those decisions could turn out to be wrong. But does a
judge's incorrect decision to give a defendant a sentencing
break in one case necessarily prevent the judge from presiding
at that defendant's trial in a case fourteen years later? Would
the Circuit Court judge who actually gave DelVecchio the minimum sentence have been
required to disqualify himself from the 1979 trial? Can we
presume that the average judge in this situation would violate
his oath to be impartial? Most trial judges would rightly reject
that suggestion; so does the Supreme Court. See Liteky, --- U.S.
at ----, 114 S.Ct. at 1155. To suggest partiality in such
situations is inconsistent with the "presumption of honesty and
integrity of those serving as adjudicators." Withrow, 421 U.S.
at 47, 95 S.Ct. at 1464.
This presumption should guide
our decision; we should be careful before we engage in "unseemly
excursions into [judges'] psyches." Cummings, J. dissent at 66.
The Constitution empowers this court to intrude in the state
process of convicting and sentencing only if we find a
constitutional violation. We should not exaggerate propriety in
order to find such a violation. Illinois' treatment of
GeorgeDelVecchio is anything but "tragic." Cf.
Cummings, J. dissent at 1398. It exhibits a civilized attempt to
deal with an unrepentant and twice-convicted murderer. Illinois
caught, tried, convicted and heard all of the appeals of a
murderer; it will now give that murderer a sentence the people
of Illinois deem appropriate. As federal judges assigned to
ensure due process under the Constitution, we must not create
obstacles when the state of Illinois has fulfilled its
constitutional obligations.
If Judge Garippo exhibited
some actual bias in conducting the trial, DelVecchio would have had a valid
Fourteenth Amendment claim. "Fairness of course requires the
absence of actual bias in the trial of a case." Murchison, 349
U.S. at 136, 75 S.Ct. at 625. But, as DelVecchio concedes in his brief, "[i]n
practice, actual bias is difficult if not impossible to prove."
Probably because of this, DelVecchio never really argues that Judge
Garippo exhibited actual bias. He argues simply that "[d]ue
process requires a judge to recuse himself in any situation in
which there is a fair potential that an average person might be
tempted to tilt one way or the other; a showing of actual
influence or bias is not required." Because of
DelVecchio's method of
presentation, there is some question whether he waives the
actual bias argument. He really confines his presentation to
arguing that Judge Garippo had an appearance of bias. But
because DelVecchio
seems to contend that Judge Garippo's supposed appearance of
bias in some way portended his hidden actual bias, we shall
consider whether the evidence in this case is sufficient to make
a showing of actual bias.
The preceding section of this
opinion--on the appearance of bias--resolves much of this
question. Because none of the evidence discussed previously
supports the inference that Judge Garippo had an actual
substantial incentive to be biased, neither does it support the
inference that he was actually biased. But DelVecchio presents other circumstantial
evidence adduced in the habeas corpus proceedings, which is
meant to prove Judge Garippo's bias. We shall consider whether
this evidence possibly supports the inference of actual bias.
Judge Garippo gave a
deposition in these proceedings, in which he admitted that he
personally feels betrayed by defendants who commit crimes after
he has been lenient when sentencing them. DelVecchio recounts this statement to
argue that Judge Garippo felt similar antipathy towards him. But
most sentencing judges probably feel this sense of betrayal; it
is a natural emotion, though hardly a disqualifying interest.
Taken to its logical conclusion, this "predisposition" theory
would prevent a trial judge from trying and sentencing someone a
second time--a common occurrence in our courts which, as the
Supreme Court recently noted, does not raise concerns about bias.
See Liteky, --- U.S. at ----, 114 S.Ct. at 1155. Judge Garippo's
general antipathy toward defendants who abuse his lenience is
akin to Justice Embry's general antipathy toward insurance
companies that the Supreme Court found to be insufficient to
disqualify the justice in Aetna.
DelVecchio next points to two other pieces
of circumstantial evidence he obtained in discovery for the
purposes of this petition. He notes that Judge Garippo's
courtroom clerk had checked out the Christiansen case files
before the Canzonieri trial started. The implication is that
Judge Garippo took an unusual interest in DelVecchio's case, and that this unusual
interest points to bias. But this is like saying that an
appellate judge who checks out a record before oral argument is
taking an unusual interest in that case. In fact, the judge has
a very good reason to examine the record--that reason is called
preparation. Trial preparation does not start at the beginning
of trial. In any event, this "evidence" shows not so much bias
as inquisitiveness; and being inquisitive about an earlier case
is not sufficient reason for us to presume--or even infer--bias
on the part of the average judge (especially when such
investigation is warranted by the demands of trial preparation).
Finally, DelVecchio notes Judge Garippo's statement
that "DelVecchio
was more deserving of the death penalty than John Wayne Gacy."
Apparently, Judge Garippo made this off-the-record comment to
DelVecchio's
attorney comparing three death penalty cases before him,
including DelVecchio's
and Gacy's. Del
Vecchio argues that this statement evidences Judge
Garippo's bias against him. But according to Judge Garippo, the
statement was directed not at which of the three defendants was
most worthy of death, but rather at which defendant was a more
likely "candidate" for the death sentence. Based on Judge
Garippo's limited knowledge of the facts of the cases, he was
speculating on which defendant was most vulnerable to a death
sentence by a jury. Judge Garippo's explanation makes sense; if
Judge Garippo was trying to railroad DelVecchio, why would he tell
DelVecchio's
lawyer? In any event, DelVecchio has not presented any evidence
inconsistent with Judge Garippo's testimony. In an affidavit,
DelVecchio's
trial attorney stated only that Judge Garippo "indicated his
ranking of the cases with respect to their relative merits as
death cases.... Garippo indicated that of the three defendants,
DelVecchio in
his view was the most appropriate candidate for imposition of
the death penalty. He referred to Gacy as a 'distant third.' "
The affidavit does not state that Judge Garippo said
DelVecchio
was more "deserving" of the death penalty than Gacy. In context,
then, Judge Garippo's statement about Gacy provides no evidence
of any predisposition on Judge Garippo's part.
In sum, the record presents no
facts indicating either actual bias, or a possible temptation so
severe that we might presume an actual, substantial incentive to
be biased. Therefore, DelVecchio cannot prevail on his claim
that he was denied due process because Judge Garippo presided at
his trial.
The next constitutional issue
DelVecchio
raises concerns the confessions he gave in 1965. He claims that
the confessions were coerced, and he demands at least the
opportunity to challenge the voluntariness of the confessions in
an evidentiary hearing. The district court granted the writ of
habeas corpus on this issue, remanding the cause to state court
to conduct such a hearing. The district court determined that
DelVecchio
was entitled to a hearing under the Supreme Court's decision in
Jackson v. Denno, 378 U.S. 368, 84 S.Ct. 1774, 12 L.Ed.2d 908
(1964). Illinois filed its cross-appeal to challenge that ruling.
The Illinois Supreme Court
addressed this issue in DelVecchio's direct appeal. It determined
that, under Illinois law, DelVecchio's guilty plea in 1965 waived
his challenge to the voluntariness of the confessions.
DelVecchio,
86 Ill.Dec. at 470, 475 N.E.2d at 849. A federal court is
required to avoid collateral review of an issue in a habeas
corpus case if the last state court which considered the issue
resolved it on independent and adequate state law grounds.
Harris v. Reed, 489 U.S. 255, 109 S.Ct. 1038, 103 L.Ed.2d 308
(1989); Coleman v. Thompson, 501 U.S. 722, 111 S.Ct. 2546, 115
L.Ed.2d 640 (1991). Here, there is no question that the Illinois
Supreme Court resolved the confession issue on independent state
law grounds. The court determined that, as a matter of Illinois
law, the guilty plea waived any subsequent challenge to the
voluntariness of the confessions; this proposition finds a
measure of support in Illinois law. See, e.g., People v. Brown,
41 Ill.2d 503, 244 N.E.2d 159, 160 (1969) ("A constitutional
right, like any other right of an accused, may be waived, and a
voluntary plea of guilty waives all errors or irregularities
that are not jurisdictional."). See also People v. Phelps, 51
Ill.2d 35, 280 N.E.2d 203, 204 (1972); People v. Stanley, 50 Ill.2d
320, 278 N.E.2d 792, 794 (1972); People v. Jackson, 47 Ill.2d
344, 265 N.E.2d 622, 624-25 (1970); People v. Stice, 160 Ill.App.3d
132, 112 Ill.Dec. 49, 53, 513 N.E.2d 463, 467 (1987); People v.
Owens, 131 Ill.App.3d 381, 86 Ill.Dec. 435, 436, 475 N.E.2d 649,
650 (1985); People v. Patterson, 3 Ill.App.3d 824, 279 N.E.2d
169, 170 (1972); People v. Goodwin, 5 Ill.App.3d 1091, 284 N.E.2d
430, 431 (1972). See also Healey v. Cannon, 553 F.2d 1052,
1057-58 (7th Cir.1977).
But there is a question
whether this independent state law ground was adequate. "[O]nly
a 'firmly established and regularly followed state practice' may
be interposed by a State to prevent subsequent review ... of a
federal constitutional claim." Ford v. Georgia, 498 U.S. 411,
423, 424, 111 S.Ct. 850, 857, 857, 112 L.Ed.2d 935 (1991),
quoting James v. Kentucky, 466 U.S. 341, 348-51, 104 S.Ct. 1830,
1835-36, 80 L.Ed.2d 346 (1984). All Illinois Supreme Court cases
before DelVecchio's
on this subject involved constitutional challenges made in the
same case where the defendant made his guilty plea. The Illinois
Supreme Court never before specifically faced the question
whether a guilty plea cuts off all challenges to matters
preceding the plea--even challenges made in a different case.
Because it never faced the question, the Illinois Supreme
Court's resolution in DelVecchio's case was novel. See NAACP v.
Alabama ex rel. Patterson, 357 U.S. 449, 457-58, 78 S.Ct. 1163,
1169, 2 L.Ed.2d 1488 (1958). ("Novelty in procedural
requirements cannot be permitted to thwart review in this court
applied for by those who, in justified reliance upon prior
decisions, seek vindication in state courts of their federal
constitutional rights.").
Not only that, the Illinois
Supreme Court's decision in DelVecchio's case departs somewhat from
the appellate court's decision in People v. McLain, 32 Ill.App.3d
998, 337 N.E.2d 82 (4th Dist.1975). McLain involved the same
sequence as Del
Vecchio's: confession, guilty plea, and a second
prosecution at which the prosecutor introduced the confession.
The appellate court held that the defendant was entitled to a
hearing on the voluntariness of the confession, despite the
earlier guilty plea. Id. 337 N.E.2d at 84. Given the apparent
flux in Illinois law, coupled with the novelty of the Illinois
Supreme Court's decision, we cannot say that the state applied a
"firmly established and regularly followed" rule in
DelVecchio's
case. Therefore, we will not apply a procedural bar to avoid
review of the Illinois Supreme Court's decision. We proceed to
the merits of the involuntary confession issue.
A criminal defendant has the "right
to be free of a conviction based upon a coerced confession"
guaranteed by the Due Process Clause of the Fourteenth Amendment.
Jackson, 378 U.S. at 377, 84 S.Ct. at 1781. It protects both the
accused and the criminal justice system to discard any
confession that has the taint of coercion. Therefore, the
Supreme Court allows the criminal defendant facing prosecution
for an offense to which he confessed, to challenge the
voluntariness of the confession at an evidentiary hearing.
Jackson, 378 U.S. at 392-93, 84 S.Ct. at 1789. This extra
procedural safeguard is meant to assure the reliability of the
confession, which is always a highly persuasive piece of
evidence in the prosecutor's arsenal.
The question here is whether
Jackson required the Illinois trial court to interrupt the 1979
sentencing proceedings, in order to provide
DelVecchio with an evidentiary
hearing to address the voluntariness of the 1965 confessions.
DelVecchio
argues that Jackson established the right to such an evidentiary
hearing wherever and whenever he chose to fight, even if it was
at the sentencing phase of another trial for a different murder
taking place fourteen years after the confessions. We do not
read Jackson as broadly. Jackson established the principle that
a person should be able to recount the circumstances of his
confession to a court, so that an improperly obtained confession
will not be used to gain a conviction for the crime described in
the confession. In such circumstances, the confession is such a
conclusive indication of guilt that the Supreme Court counsels
an extra step in the process of determining admissibility--an
evidentiary hearing--to assure that the confession is reliable.
In this case,
DelVecchio
was not facing prosecution based on an allegedly coerced
confession. By the time the 1965 confessions came into evidence
during the sentencing phase of the 1979 trial, Illinois had long
since determined that DelVecchio was guilty for Mr.
Christiansen's murder; he had pleaded guilty, served his time,
and never disputed his guilt for that murder in a collateral
proceeding or at the Canzonieri trial (he does not even dispute
his guilt for the 1965 murder in this case). The confessions
were not offered to prove DelVecchio's guilt for the 1965 murder.
Rather, the confessions were offered during a capital sentencing
hearing for a different murder to prove an aggravating
circumstance--that DelVecchio had once before in his life
killed in a random and violent fashion. There was not the danger,
which Jackson addressed, that the confession might be used to
gain a conviction for the crime described in the confession.
Therefore, Del
Vecchio did not have a constitutional right under Jackson
to an evidentiary hearing to challenge his 1965 confessions.
DelVecchio cites Haring v. Prosise, 462
U.S. 306, 103 S.Ct. 2368, 76 L.Ed.2d 595 (1983), to make the
argument that his right to an evidentiary hearing extended into
the 1979 sentencing proceedings. But Haring does not extend the
right to challenge the confessions in the way
DelVecchio contends. In Haring,
the Supreme Court held that a guilty plea does not bar a
convicted defendant from filing a Sec. 1983 action to challenge
the constitutionality of an illegal search in the case in which
he pleaded guilty. To reach this conclusion, the Court had to
grapple with two issues. The first was whether 28 U.S.C. Sec.
1738, which requires that federal courts give full faith and
credit to state court judgments, barred the plaintiff's Sec.
1983 action. This depended on whether the law of issue
preclusion in Virginia--the state in whose courts the defendant
pleaded guilty--barred the plaintiff's Sec. 1983 action. 462 U.S.
at 313-17, 103 S.Ct. at 2373-75. The Court held that Sec. 1738
did not bar the plaintiff's action because Virginia's law did
not bar the action. Id. at 317, 103 S.Ct. at 2375. The second
issue in Haring was whether the Court should "create a special
rule of preclusion which nevertheless would bar litigation of
his Sec. 1983 claim." Id. The Court decided not to create such a
special rule.
Unlike in Haring, the question
is not whether Illinois law would bar DelVecchio from challenging his
confessions in his 1979 case because of his 1965 guilty plea and
his failure to challenge those confessions in 1965. The Illinois
Supreme Court has already held that Illinois law does bar such a
challenge. Nor do we have to decide whether to create a federal
rule of claim preclusion. Instead, the question before us is
whether Illinois is constitutionally required to give
DelVecchio a
second opportunity to challenge his confessions. Haring does not
answer this question because Haring did not purport to create a
constitutional rule prohibiting the type of bar Illinois applied.
And, as we have already held, Jackson did not require an
evidentiary hearing in these circumstances.
Practical considerations also
warn against extending Jackson ad infinitum, to any subsequent
proceedings where a defendant challenges the confession. This
case perfectly exhibits those practical considerations. The
district court, applying what it believed to be the holding of
Jackson, ordered Illinois to conduct a hearing at which the
state would have the burden to prove that the confessions were
voluntary. This decision placed a tremendous onus on the state;
in order to be able to introduce the crucial evidence of
DelVecchio's
prior confessions against him at the sentencing hearing, the
state would first have been required to demonstrate the
reliability of the confessions based on what was, in fact, stale
evidence. According to the district court, the Constitution
required the state to reconstruct the circumstances of the
confessions at the 1979 sentencing hearing, fourteen years after
the confessions were taken. Because the state did not do that,
the district court ordered it to hold the evidentiary hearing in
1992, twenty-seven years after the fact. We are now past twenty-nine
years.
The Rules Governing Section
2254 Cases in the United States District Courts state a policy
against the use of stale evidence to overturn state court
judgments in habeas cases. Rule 9 addresses circumstances where
a prisoner loses his right to challenge the constitutionality of
legal proceedings because of a delayed petition. We make no
determination whether the rule applies to this case; after all,
there is some question whether DelVecchio impermissibly delayed his
challenge to the confessions, or whether the 1979 use of the
confessions somehow resurrected that challenge. We cite the rule
simply to demonstrate the policy against stale evidence in
habeas corpus cases. The Advisory Committee Note for Rule 9
states in part:
The petitioner.... may at some date, perhaps
ten or fifteen years after the conviction, decide to challenge
the state court judgment. The grounds most often troublesome to
the courts are ineffective counsel, denial of right of appeal,
plea of guilty unlawfully induced, use of a coerced confession,
and illegally constituted jury. The latter four grounds are
often interlocked with the allegation of ineffective counsel.
When they are asserted after the passage of many years, both the
attorney for the defendant and the state have difficulty in
ascertaining what the facts are. It often develops that the
defense attorney has little or no recollection as to what took
place and that many of the participants in the trial are dead or
their whereabouts unknown. The court reporter's notes may have
been lost or destroyed, thus eliminating an exact record of what
transpired. If the case was decided on a guilty plea, even if
the record is intact, it may not satisfactorily reveal the
extent of the defense attorney's efforts on behalf of the
petitioner. As a consequence, there is obvious difficulty in
investigating petitioner's allegations.
The interests of both the
petitioner and the government can best be served if claims are
raised while the evidence is still fresh. The American Bar
Association has recognized the interests of the state in
protecting itself against stale claims by limiting the right to
raise such claims after completion of service of a sentence
imposed pursuant to a challenged judgment. See ABA standards
relating to post-conviction remedies, section 2.4(c), p. 45 (approved
draft, 1968). Subdivision (a) is not limited to those who have
completed their sentence. Its reach is broader, extending to all
instances where delay by the petitioner has prejudiced the state,
subject to the qualifications and conditions contained in the
subdivision.
The Advisory Committee Note
proceeds to state that Rule 9 is based on the principle of
laches, and defines laches as a "delay in one's rights as works
a disadvantage to another." The Note goes on to declare "the
presumption that the passage of more than five years from the
time of the judgment of conviction to the time of filing a
habeas petition is prejudicial to the state." Here, we are
nearly thirty years after the fact; DelVecchio's trial was fourteen years
after the fact. The same policy considerations which underlie
Rule 9 vitiate against requiring the state to prove the
voluntariness of the 1965 confessions in this case. Illinois had
conclusively determined DelVecchio's guilt in 1965 and it had
every right to rely on that determination--and the confessions
supporting it--during the 1979 sentencing.
DelVecchio, it is true, has a significant
interest in seeing that an involuntary confession is not used
against him. But Del
Vecchio had that same interest in 1965 and had ample
opportunity to challenge his confessions. In spite of his
interest in attacking his confessions, DelVecchio made a reasoned decision--a
decision that worked to his immediate advantage--to plead guilty
and forego challenging his confessions. And that is not all
DelVecchio
did. Through his attorney, DelVecchio stated that he had no objection
to the state's introducing his confessions to establish the
factual basis for his plea. DelVecchio's attorney used portions of his
confessions (specifically, the references to
DelVecchio's drug use on the
night of the Christiansen murder) in arguing to the judge
regarding DelVecchio's
possible sentence. DelVecchio may now regret those decisions,
but he does not allege that his attorney's performance in 1965
was deficient. Yet, DelVecchio demands a hearing many years
after the fact to determine if his confessions were voluntary.
But requiring Del
Vecchio to live with the decisions he made in 1965 does
not violate the Constitution. Nothing in the Constitution, or in
any cases interpreting the Constitution cited by
DelVecchio,
requires a state to accept a confession when it benefits the
accused but (much) later defend that same confession when the
accused concludes that the benefit is gone.
1. Prosecutor's comment
regarding experts.
During the prosecutor's
closing argument at the sentencing hearing, the following
exchange took place:
Prosecutor: You have a right,
ladies and gentlemen, to protect yourself from people like
GeorgeDelVecchio. You should demand that you be
protected from people like GeorgeDelVecchio.
You must, you can't leave it up to the experts. You can't trust
the experts. People like GeorgeDelVecchio--
Defense Attorney: Objection.
The Court: He may argue.
Prosecutor: --can fool the
experts. He's a manipulator, he's a malingerer, he fools other
people, he uses other people.
Don't put the decision on somebody else,
because you can't count on them, because you can bet a few years
from now there will be another expert who will be willing to
come along and say he's fine.
DelVecchio argues that these comments led
the jury to believe that if they did not recommend the death
sentence, there was a possibility that he would be paroled in a
few years, free to kill again. He contends that because Illinois
had eliminated parole at the time he was sentenced, see
Ill.Rev.Stat. ch. 38, Sec. 1003-3-3(d), the prosecutor's
statements were inaccurate. He claims that the state's use of
inaccurate information during the sentencing hearing violated
his due process rights.
But DelVecchio mischaracterizes the
prosecutor's statements. The prosecutor never affirmatively
stated that Del
Vecchio might be paroled if he was not sentenced to death.
The sum and substance of his statements was that
DelVecchio
fooled "experts" to obtain an early release from prison after
the 1965 murder; that DelVecchio had shown an ability to fool
experts; and that if not put to death, DelVecchio would likely fool experts in
the future, in a way that might affect his punishment. In order
for these statements to be considered inaccurate,
DelVecchio
would have to show that Illinois prisoners never have occasion
to face experts, who have authority over the conditions of
punishment. Del
Vecchio argues only that Illinois removed the possibility
of parole, but this does not satisfy his burden. Even without
parole, from the time he entered prison to serve a life sentence,
DelVecchio
would face a gauntlet of experts with responsibility over the
seriousness of his punishment. From wardens to prison
psychiatrists, Del
Vecchio would have a lifetime to influence experts, and
gain whatever advantages are available to prisoners in the
Illinois penal system. Illinois argues that
DelVecchio would also
periodically face the Prisoner Review Board. Ill.Rev.Stat. ch.
38, Sec. 1003-6-3. He would also be eligible for executive
clemency. In short, there was nothing inaccurate about informing
the jury that if Del
Vecchio was not put to death, he would face experts in
the Illinois penal system who would have some say over the
circumstances of his punishment.
As the Supreme Court has
stated, there is no constitutional violation when prosecutors
tell capital sentencing juries of possible breaks the criminal
might receive in his sentence, as long as the prosecutor "accurately
characteriz[es the state's] sentencing choices." California v.
Ramos, 463 U.S. 992, 1004 n. 19, 103 S.Ct. 3446, 3455 n. 19, 77
L.Ed.2d 1171 (1983). DelVecchio has not shown that the
prosecutor's statements were inaccurate. What's more, there is
an irrefutable confirmation of accuracy in this case; the
Illinois Supreme Court, on the two occasions it visited this
question in Del
Vecchio's case, determined that the prosecutor's
statements accurately portrayed Illinois law. 86 Ill.Dec. at
471-72, 475 N.E.2d at 850-51; 135 Ill.Dec. at 825-26, 544 N.E.2d
at 321-22. Once that court has spoken in such a specific way on
a matter of Illinois law, we are hard pressed to rule
differently. See Estelle v. McGuire, 502 U.S. 62, ----, 112 S.Ct.
475, 480, 116 L.Ed.2d 385 (1991) ("it is not the province of a
federal habeas court to reexamine the state court determination
on state law questions."); Williams v. Chrans, 945 F.2d 926, 956
(7th Cir.1991) ("If the state law, as construed by the state's
tribunal, provided an unconstitutional result, then the writ
should be granted, but not on the ground that the state doesn't
know its own law."). Therefore, DelVecchio was not denied his due process
rights just because the jury heard the statements about experts;
the highest court in the state has ruled--and we do not disagree--that
the statements accurately characterized Illinois law.
Even if we were permitted to
disregard the Illinois Supreme Court, and to accept
DelVecchio's
argument that the statements were--under one possible
interpretation--inaccurate, this would not be enough to overturn
the death sentence. In order to overturn a death sentence on the
basis that the jury heard inaccurate information, the inaccuracy
must be one of "constitutional magnitude." United States v.
Tucker, 404 U.S. 443, 447, 92 S.Ct. 589, 592, 30 L.Ed.2d 592
(1972). That means the circumstances must raise the possible
inference that there was a "careless or designed pronouncement
of sentence on a foundation so extensively and materially false,
which the prisoner had no opportunity to correct by the services
which counsel would provide...." Townsend v. Burke, 334 U.S.
736, 741, 68 S.Ct. 1252, 1255, 92 L.Ed. 1690 (1948); see also
Zant v. Stephens, 462 U.S. 862, 903, 103 S.Ct. 2733, 2756, 77
L.Ed.2d 235 (1983). Here, there is at best a question whether
the prosecutor's references to "experts" were false; even if
false, though, the vague and indirect statements certainly were
not "extensively and materially false". And because the
statements were vague and indirect, it is questionable whether
the jury relied on them in its "pronouncement of sentence". Even
if the statements were all DelVecchio claims they were--false,
material, prejudicial and pivotal--it would not be enough.
DelVecchio
had the "opportunity to correct" any misperceptions the
statements might have caused. But he failed to provide the jury
with his view that, under Illinois law, there was no possibility
he might be paroled. Instead, in his testimony at the sentencing
hearing, he raised the possibility that he might be paroled: "my
own part of me that clings to life, wants to say well, hang in
there, maybe something will happen, maybe you'll get out before
you're old, and my other part says well, better than that as it
has been said, Parole Board made one mistake, they are not
likely to make another." In sum, DelVecchio does not show a due process
violation because of the prosecutor's statements.5
2. Equal protection.
The Illinois Supreme Court has
held, as a matter of Illinois statutory law, that a prosecutor's
statements about the possibility of future parole are not
relevant in a capital sentencing hearing. In at least four
cases, that court has overturned the imposition of the death
penalty because prosecutors made explicit references to the
possibility of parole when arguing to the jury. People v. Walker,
91 Ill.2d 502, 64 Ill.Dec. 531, 440 N.E.2d 83 (1982); People v.
Szabo, 94 Ill.2d 327, 68 Ill.Dec. 935, 447 N.E.2d 193 (1983);
People v. Brisbon, 106 Ill.2d 342, 88 Ill.Dec. 87, 478 N.E.2d
402 (1985); and, People v. Gacho, 122 Ill.2d 221, 119 Ill.Dec.
287, 522 N.E.2d 1146 (1988). Apparently, the Illinois Supreme
Court has determined that even though the Constitution does not
prohibit explicit references to parole during the capital
sentencing hearing, see Ramos, 463 U.S. at 992, 103 S.Ct. at
3446, such references have no place in an Illinois courtroom.
When DelVecchio appealed his death sentence to
the Illinois Supreme Court, he claimed that the prosecutor's
reference to "experts" at the sentencing hearing violated this
Illinois law. He argued that his death sentence should be
overturned like those in Walker and Szabo (Brisbon and Gacho had
not yet been decided). The Illinois Supreme Court ruled that
DelVecchio
was not entitled to the protection it carved out in Walker : "[w]e
find Walker distinguishable in that there is no evidence that
the possibility of parole was a factor considered in the jury's
deliberations." 86 Ill.Dec. at 472, 475 N.E.2d at 851.
Sometime after the Illinois
Supreme Court resolved DelVecchio's direct appeal, it decided
Brisbon, where it again applied the rule it had established in
Walker. When Del
Vecchio brought his second appeal to that court, he
argued that Brisbon extended the rule stated in Walker, so that
he was entitled to have his death sentence overturned. The court
responded that Brisbon simply restated the rule established in
Walker, and reaffirmed that DelVecchio was not entitled to the
protection afforded by that rule:
We noted above that in DelVecchio I, we subjected the complained-of
remarks to the test of our holding in Walker, as well as to the
constitutional test. Brisbon was also decided by applying the
Walker test. The fact that different results, based on different
facts and different cases, were achieved does not mean that the
later case (Brisbon ) overruled the former,
DelVecchio I. The rule of
DelVecchio I
was not changed by Brisbon so that the rule of
DelVecchio I would only apply
to DelVecchio,
as he now contends, thereby raising constitutional questions of
equal protection or due process, or an eighth amendment
violation. The rule applied in both DelVecchio I and Brisbon is the same.
Different results were achieved under different facts.
135 Ill.Dec. at 826, 544 N.E.2d
at 322.
DelVecchio argues that the Illinois
Supreme Court's refusal to extend the Walker rule to the facts
of his case violated his equal protection rights. But an equal
protection violation occurs only when different legal standards
are arbitrarily applied to similarly situated defendants.
Dobbert v. Florida, 432 U.S. 282, 301, 97 S.Ct. 2290, 2302, 53
L.Ed.2d 344 (1977). The Illinois Supreme Court, and the district
court in this case, have held that DelVecchio was not situated similarly to
the defendants in Walker, Szabo, Brisbon, and Gacho. The most
basic difference those courts found was that while the
prosecutor's comments in DelVecchio's case were vague and
nondescript, the prosecutors in Walker, Szabo, Brisbon, and
Gacho all managed to inflame the respective juries by explicitly
indicating that if the defendants were not executed, they would
be paroled.
Of course, if the Illinois
Supreme Court's distinction in DelVecchio's case appeared arbitrary, it
might raise equal protection concerns. But the Illinois Supreme
Court's handling of DelVecchio does not appear arbitrary. That
court carefully considered the protection it carved out in
Walker, and determined that DelVecchio was not entitled to it. The
court made a principled distinction: the reference to "experts"
in DelVecchio's
case was vague and nondescript while the other cases involved
specific references to parole. The Illinois Supreme Court
certainly did not offend the equal protection clause by refusing
to extend the Walker protection to the unique facts of
DelVecchio's
case. That court established this protection; that court is
entitled to define its limits. See Estelle v. McGuire, 502 U.S.
at ----, 112 S.Ct. at 480 ("it is not the province of a federal
habeas court to re-examine the state court determination on
state law questions."). The Illinois Supreme Court can best
determine the scope of one of its own evidentiary rulings.
DelVecchio introduced evidence at his
death sentencing hearing that he was high on drugs when he
killed young Tony Canzonieri. He claimed that this was a
mitigating circumstance against imposing the death penalty. The
state countered with evidence that DelVecchio always blamed his violence on
drug use. The state argued that DelVecchio was more a dangerous malingerer
to be feared, than just a drug addict to be pitied. To bolster
this point, the state called police officer John Motzny as a
witness. He had investigated the 1965 murder of Fred
Christiansen. He testified that DelVecchio had used the same excuse in
1965--that he was high on drugs at the time of the murder.
Motzny also testified that he had questioned
DelVecchio's mother, Yvonne
DelVecchio,
in 1965 about whether she knew that her son used drugs.
According to Motzny, she stated that she was unaware of any drug
use by her son.
DelVecchio claims that Motzny committed
perjury when he testified about Yvonne's statement.
DelVecchio
has submitted a number of documents in this case meant to prove
the perjury. The documents consist mostly of police records
which indicate that there was some evidence of
DelVecchio's drug use in 1965.
After reviewing this information, the district court in this
case was not convinced that perjury occurred. See summary of
documentary evidence, and district court's legal conclusions at
DelVecchio v.
Illinois Dept. of Corrections, 795 F.Supp. 1406, 1418-19 (N.D.Ill.1992).
We need not recount the documentary evidence or the legal
standards here. It suffices to say that we agree with the
district court's analysis of the evidence, and its conclusion
that the evidence does not establish the type of "palpable
testimonial contradiction or untruth" that is necessary to
indicate perjury. Anderson v. United States, 403 F.2d 451, 454
(7th Cir.1968). Just because there is evidence that
DelVecchio
used drugs in 1965, does not necessarily mean that Motzny lied
when he testified about Yvonne's statements. We add to the
district court's analysis, that in order to prove a
constitutional violation based on perjured testimony,
DelVecchio
was required to show the prosecutors knowingly and intelligently
introduced the allegedly false testimony at trial. Burnett v.
Illinois, 619 F.2d 668, 674 (7th Cir.1980). But
DelVecchio
presents no evidence of knowledge. He presents only the above
mentioned documents. If we cannot conclusively say that
DelVecchio
was a drug user in 1965 based on the documents, we also cannot
conclude that Officer Motzny knew about drug use but testified
falsely, and worse, that the prosecutors knew of his false
testimony and introduced it anyway.
To further support the
argument that Del
Vecchio was a dangerous malingerer who was in control of
his faculties when he committed murder, the state called two
experts to testify at the sentencing hearing: Dr. Richard Rogers,
a clinical psychologist, and Dr. James Cavanaugh, a psychiatrist.
They both testified that, in their opinions,
DelVecchio "was sane at the
time of the offenses, was a sociopath and a malingerer who at
the time of the offense was not suffering from extreme mental or
emotional distress." DelVecchio, 86 Ill.Dec. at 472, 475 N.E.2d
at 851. They further testified that they had perused medical
reports from other psychiatrists who had examined
DelVecchio,
and that the conclusions reached in those reports supported
their opinions. Del
Vecchio now claims that he was denied his Sixth Amendment
right to confront witnesses because Drs. Rogers and Cavanaugh
were allowed to repeat the conclusions of other psychiatrists
who were not present to testify.
But courts have long
sanctioned the use of hearsay at sentencing. Roberts v. United
States, 445 U.S. 552, 556, 100 S.Ct. 1358, 1362, 63 L.Ed.2d 622
(1980); United States v. Agyemang, 876 F.2d 1264, 1271 (7th
Cir.1989); see also United States v. Beal, 960 F.2d 629, 634
(7th Cir.1992); Fed.R.Evid. 1101(d)(3). There is no exception to
this rule in a capital case. Williams v. New York, 337 U.S. 241,
251, 69 S.Ct. 1079, 1085, 93 L.Ed. 1337 (1949); see also Green
v. Georgia, 442 U.S. 95, 99 S.Ct. 2150, 60 L.Ed.2d 738 (1979) (application
of hearsay rule to preclude the defendant from introducing
mitigating evidence at sentencing in a capital case violates due
process). The Constitution allows the hearsay rules to be
relaxed, quite simply, to expand the deposit of information
available to the sentencing tribunal. The Supreme Court has
summarized this principle: "[a] judge may appropriately conduct
an inquiry broad in scope, largely unlimited either as to the
kind of information he may consider, or the source from which it
may come." Roberts, 445 U.S. at 556, 100 S.Ct. at 1362.
The trial court in
DelVecchio's
case allowed this evidence under Ill.Rev.Stat. 1977, ch. 38,
par. 9-1(e), which permits the admission of hearsay evidence at
a capital sentencing hearing. That statute protects the
defendant by providing that he "shall be given a fair
opportunity to rebut any information received at the hearing."
The Constitution, also, requires that the defendant be given the
opportunity to rebut evidence which makes its way into the
sentencing hearing because of the lax evidentiary standards.
Agyemang, 876 F.2d at 1271-72. DelVecchio was given this opportunity. He
had access to the contested hearsay reports; he could have
cross-examined Drs. Rogers and Cavanaugh about the reports; he
could have called his own experts. Because he was given the
opportunity to be heard, he cannot now succeed on this
constitutional claim.
DelVecchio also claims that the 1965
confession was taken in violation of Miranda, 384 U.S. 436, 86
S.Ct. 1602. He argues, because of this, that the confession
should not have been used in the 1979 sentencing hearing--it
should have been precluded under the exclusionary rule. But the
Supreme Court has held that Miranda does not apply retroactively.
Johnson v. New Jersey, 384 U.S. 719, 721, 86 S.Ct. 1772, 1775,
16 L.Ed.2d 882 (1966). Therefore, the confession was not taken
in violation of Miranda. Even so, DelVecchio contends, the confession should
not have been used in the 1979 sentencing hearing, which took
place well after Miranda was decided. But even if we were to
accept DelVecchio's
contention that the confession was taken in violation of
Miranda, that violation would not require exclusion of the
confession during the sentencing proceedings. The exclusionary
rule is generally inapplicable during sentencing. See United
States v. McCrory, 930 F.2d 63, 69 (D.C.Cir.1991); United States
v. Torres, 926 F.2d 321, 325 (3d Cir.1991); United States v.
Graves, 785 F.2d 870, 873 (10th Cir.1986); United States v.
Butler, 680 F.2d 1055 (5th Cir.1982); United States v. Schipani,
435 F.2d 26, 28 (2d Cir.1970). See also Stone v. Powell, 428 U.S.
465, 486-87, 96 S.Ct. 3037, 3049, 49 L.Ed.2d 1067 (1976). The
exclusionary rule would have been especially inapplicable here,
where there was really no deterrent effect in applying the rule;
any police misconduct would have occurred fourteen years before
the confession was introduced. McCrory, 930 F.2d at 69.
As with the previously
discussed hearsay testimony, evidence which might be
inadmissible at the guilt phase of a trial can be admitted at
the sentencing phase, as long as the evidence is reliable. See,
e.g., Roberts, 445 U.S. at 556, 100 S.Ct. at 1362; Graves, 785
F.2d at 875. Del
Vecchio has done nothing to impugn the reliability of the
confession; in fact, he used the confession in his 1965
sentencing hearing when it suited his case to do so. Therefore,
the trial court did not violate the Constitution by admitting
the confession during the sentencing hearing.
Finally, DelVecchio argues that the standard
Illinois death penalty jury instructions failed to adequately
inform the jury how to weigh aggravating and mitigating factors.
He concedes that our decisions in Silagy v. Peters, 905 F.2d 986
(7th Cir.1990), and Williams v. Chrans, 945 F.2d 926 (7th
Cir.1991)--in which we passed on the adequacy of the
instructions--resolved this issue in favor of the state. He
argues, however, that the district court's decision in Free v.
Peters, 778 F.Supp. 431 (N.D.Ill.1991), 806 F.Supp. 705 (N.D.Ill.1992),
called this circuit's law into question. But we reaffirmed the
law of Silagy and Williams in Gacy v. Wellborn, 994 F.2d 305,
314 (7th Cir.1993), and we recently reversed the district
court's decision in Free. Free v. Peters, 12 F.3d 700 (7th
Cir.1993). Therefore, Silagy and Williams remain the law of this
circuit. The jury instructions at issue are not constitutionally
deficient.
The state of Illinois gave
GeorgeDelVecchio a fair trial for Tony
Canzonieri's murder. The Constitution requires no more. We
affirm the district court to the extent that it denied the
petition. We reverse the district court's decision to order an
evidentiary hearing on the voluntariness of the 1965 confession,
and remand with instructions to deny the petition.
Affirmed in part, reversed in
part, and remanded with instructions to deny the petition.
*****
EASTERBROOK, Circuit Judge,
concurring.
I join the majority's opinion
and add a few thoughts on the question whether an "appearance of
impropriety" by the presiding judge means that the conviction
violates the due process clause of the fourteenth amendment to
the Constitution.
"Appearance" problems lurk
everywhere, for they are in the eye of the beholder. A
suspicious observer might believe that Judge Garippo "went easy"
on DelVecchio
in his role as prosecutor, creating the appearance that as judge
he cracked down to make up for his mistake. This brand of
argument cannot be cabined. Suppose Prosecutor Garippo had
insisted on an adult sentence for DelVecchio; would our skeptic not then say
that Judge Garippo, knowing that a hard line had not done its
work, would be more inclined to favor death, as the only sure
means of incapacitation? The same kind of argument could be made
if Judge Garippo's encounter with DelVecchio had been as a judge in an
earlier case. Whether he gave a light, normal, or stiff sentence
the first time, it could be said to "appear" that this strategy
failed, leading to severity on the second trial. But see Liteky
v. United States, --- U.S. ----, 114 S.Ct. 1147, 127 L.Ed.2d 474
(1994). By a similar approach hearing a case involving a
litigant who used to be the judge's client, or a case presented
by a lawyer who used to be his partner, would convey a bad
appearance. A disqualification rule based on connections to
lawyers and litigants would relieve a majority of this court of
all cases involving the national government, because six of us
formerly worked in the Department of Justice.
I appreciate that many persons
would feel more comfortable if judges did not hear cases in
these categories. See United States v. Murphy, 768 F.2d 1518,
1536-41 (7th Cir.1985). American law has been marked by
progressively more restrictive rules of disqualification,
responding to changing views of the judicial role. See G. Edward
White, Patterns of American Legal Thought 99-143 (1978).
Developments in statutory and common law do not feed back,
through the due process clauses, to become part of the
Constitution. For more than two hundred years American law has
treated ethical norms as within the control of living
legislators and judges, who alter the rules to suit contemporary
understandings of wise judicial conduct. Disqualification
statutes and codes of judicial ethics are the work of the
twentieth century. The statute disqualifying federal judges who
are biased, 28 U.S.C. Sec. 144, was enacted in 1911. 36 Stat.
1090. In 1942 the Conference of Senior Circuit Judges (the
precursor to the Judicial Conference of the United States)
adopted a resolution discouraging judges from sitting in cases
in which near relatives were lawyers. See 28 A.B.A.J. 817, 820
(1942). Until then the practice had been common. A formal Code
of Conduct for United States Judges was first adopted in 1973.
Not until 1974 was there any requirement that federal judges
refrain from sitting when their impartiality might reasonably be
questioned. 28 U.S.C. Sec. 455(a). The Constitution does not
contain a ratchet, ensuring that every new rule protecting the
appearance of propriety becomes insulated from change by
political actors and that every improvement in federal statutory
law applies to state judiciaries.
The due process clauses come
from English jurisprudence, which had a simple rule: "a judge
was disqualified for direct pecuniary interest and for nothing
else." John P. Frank, Disqualification of Judges, 56 Yale L.J.
605, 609 (1947). British law rejected the proposition that
judges could be disqualified for bias of any other kind. Id. at
609-12 (recounting English cases and commentators); see also
William Blackstone, 3 Commentaries on the Laws of England * 361
(1768). The United States took over that tradition, and through
the nineteenth century judges saw no difficulty in sitting when
their relatives were parties (or lawyers), or in hearing appeals
from their own decisions. See G. Edward White, III History of
the Supreme Court of the United States: The Marshall Court and
Cultural Change, 1815-35 181-200 (1988); David P. Currie, The
Constitution in the Supreme Court: The First Hundred Years 76
(1985); Frank, 56 Yale L.J. at 615-18.
Our legal culture's most
revered judicial decision, Marbury v. Madison, 1 Cranch (5 U.S.)
137, 2 L.Ed. 60 (1803), was rendered by John Marshall--who just
happened to be the cause of the litigation. Secretary of State
Marshall left Marbury's commission behind in his desk at the end
of the Adams Administration when he departed to become Chief
Justice and write the opinion disposing of the ensuing
litigation. Did the other Justices, all active in the writing or
approval of the Constitution, overlook a glaring violation of
the due process clause of the fifth amendment? Chief Justice
Chase, present at the creation of the fourteenth amendment, sat
in judgment on the constitutionality of the greenback
legislation he had devised as Secretary of the Treasury and for
which he had risked his political neck. See Hepburn v. Griswold,
8 Wall. (75 U.S.) 603, 19 L.Ed. 513 (1870); The Legal Tender
Cases, 12 Wall. (79 U.S.) 457, 20 L.Ed. 287 (1871); Charles
Fairman, VI History of the Supreme Court of the United States:
Reconstruction and Reunion 1864-88 Part I 677-775 (1971). Did
all of the members of that Court miss the constitutional
implications of such a step? The First Congress enacted a
Judiciary Act that led Justices to hear appeals from their own
decisions on circuit. Not until 1891, with the creation of the
courts of appeals, was the procedure for an "appeal" from a
judge to himself abolished.d
Did legislators and judges for 114 years fail to appreciate the
"appearance" problem, and thus the unconstitutionality of the
entire federal judicial system? Vestiges of the old system are
evident in today's decision. Three members of the en banc court
were on the panel and so are visiting this case for a second
time. All three believe that their first decision was correct;
does this create a problem under the due process clause?
Whatever one may say about the
prudence of Chief Justice Marshall's decision to sit in Marbury,
or Chief Justice Chase's to sit in the greenback cases, I do not
think that either violated the Constitution. See Laird v. Tatum,
409 U.S. 824, 93 S.Ct. 7, 34 L.Ed.2d 50 (1972) (Rehnquist, J.,
in chambers) (collecting other examples); United States v. Bonds,
18 F.3d 1327 (6th Cir.1994) (Boggs, J., in chambers); Schurz
Communications, Inc. v. FCC, 982 F.2d 1057 (7th Cir.1992) (Posner,
J., in chambers). These incidents also show the dangers of
inferring prejudgment from prior activities: Chief Justice Chase
confounded President Lincoln's expectations by voting to hold
the legislation unconstitutional, and Chief Justice Marshall
withheld the commission from fellow-Federalist Marbury.
My conclusion that
disqualification for "appearance of impropriety" is a subject
for statutes, codes of ethics, and common law, rather than a
constitutional command, would be of but academic interest if the
Supreme Court had authoritatively decided to the contrary. None
of that Court's constitutional decisions, however, establishes
that an "appearance" problem--as opposed to actual bias--invalidates
a judgment. To the contrary, the theme of the cases is exactly
the common law rule: a judge with a financial interest in the
outcome of the case may not sit. E.g., Aetna Life Insurance Co.
v. Lavoie, 475 U.S. 813, 106 S.Ct. 1580, 89 L.Ed.2d 823 (1986);
Ward v. Monroeville, 409 U.S. 57, 93 S.Ct. 80, 34 L.Ed.2d 267
(1972); Tumey v. Ohio, 273 U.S. 510, 47 S.Ct. 437, 71 L.Ed. 749
(1927). At the same time, the Court tolerates evidence of bias
that creates undeniable "appearance" problems:
Appellant contends Justice Embry's general
hostility towards insurance companies that were dilatory in
paying claims, as expressed in his deposition, requires a
conclusion that the Due Process Clause was violated by his
participation in the disposition of this case. The Court has
recognized that not "[a]ll questions of judicial qualification
... involve constitutional validity. Thus matters of kinship,
personal bias, state policy, remoteness of interest, would seem
generally to be matters merely of legislative discretion." Tumey
v. Ohio, 273 U.S. 510, 523, 47 S.Ct. 437, 441, 71 L.Ed. 749
(1927); see also FTC v. Cement Institute, 333 U.S. 683, 702, 68
S.Ct. 793, 804, 92 L.Ed. 1010 (1948) ("[M]ost matters relating
to judicial disqualification [do] not rise to a constitutional
level"). Moreover, the traditional common-law rule was that
disqualification for bias or prejudice was not permitted. See,
e.g., Clyma v. Kennedy, 64 Conn. 310, 29 A. 539 (1894). See
generally Frank, Disqualification of Judges, 56 Yale L.J. 605
(1947). As Blackstone put it, "the law will not suppose a
possibility of bias or favour in a judge, who is already sworn
to administer impartial justice, and whose authority greatly
depends upon that presumption and idea." 3 W. Blackstone,
Commentaries * 361. The more recent trend has been towards the
adoption of statutes that permit disqualification for bias or
prejudice. See Berger v. United States, 255 U.S. 22, 31, 41 S.Ct.
230, 232, 65 L.Ed. 481 (1921) (enforcing statute disqualifying
federal judges in certain circumstances for personal bias or
prejudice). See also ABA Code of Judicial Conduct, Canon
3C(1)(a) (1980) ("A judge should disqualify himself ... where he
has a personal bias or prejudice concerning a party"). But that
alone would not be sufficient basis for imposing a
constitutional requirement under the Due Process Clause. We held
in Patterson v. New York, 432 U.S. 197, 201-202, 97 S.Ct. 2319,
2322, 53 L.Ed.2d 281 (1977) (citations omitted), that
it is normally within the power of the State
to regulate procedures under which its laws are carried out ...
and its decision in this regard is not subject to proscription
under the Due Process Clause unless it offends some principle of
justice so rooted in the traditions and conscience of our people
as to be ranked as fundamental.
We need not decide whether allegations of
bias or prejudice by a judge of the type we have here would ever
be sufficient under the Due Process Clause to force recusal.
Certainly only in the most extreme of cases would
disqualification on this basis be constitutionally required, and
appellant's arguments here fall well below that level. Appellant
suggests that Justice Embry's general frustration with insurance
companies reveals a disqualifying bias, but it is likely that
many claimants have developed hostile feelings from the
frustration in awaiting settlement of insurance claims. Insurers,
on their side, have no easy task, especially when trying to
evaluate whether certain medical diagnostic tests or prolonged
hospitalization were indicated. In turn, the physicians and
surgeons, whether impelled by valid medical judgment or by
apprehension as to future malpractice claims--or some
combination of the two--similarly face difficult problems.
Appellant's allegations of bias and prejudice on this general
basis, however, are insufficient to establish any constitutional
violation.
Cases sometimes treated as
examples of "appearance" problems actually have different
emphases. For example, Mayberry v. Pennsylvania, 400 U.S. 455,
91 S.Ct. 499, 27 L.Ed.2d 532 (1971), held that a judge should
not preside in a case in which he was the victim of a crime. The
contemptuous remarks had been directed to the judge, and
although historical practice would have allowed the judge to
mete out summary punishment, it did not allow the judge to
preside at a later trial. In re Murchison, 349 U.S. 133, 75 S.Ct.
623, 99 L.Ed. 942 (1955), dealt with a combination of
prosecutorial and judicial functions that left the judge not
only confused about his role but also in possession of evidence
he should not have known. See Withrow v. Larkin, 421 U.S. 35,
53, 95 S.Ct. 1456, 1467, 43 L.Ed.2d 712 (1975). Thus Murchison
holds that the due process clause requires a trial to be limited
to evidence heard in court, not that the Constitution precludes
adjudication whenever the judge appears to have prejudged
matters. An "appearance" of impropriety alone has never led the
Supreme Court to find that a party did not receive due process
of law.
Our notions of proper judicial
conduct are just that--ideas about propriety rather than about
constitutional minima that everyone must accept. That is why the
Court distinguished in Aetna between a financial stake in the
outcome of the case and a dislike of insurance companies. Judges
and legislators alike may be held accountable when their ideas
about proprieties lead the public to believe that the quality of
justice has deteriorated--even if the perceptions are incorrect.
Dealing with this problem is an important task for the living;
we ought not pretend that it was settled two hundred years ago,
and that everything is out of contemporary hands. Federal judges
are free to, and should, expect more than the constitutional
minimum from themselves, but we cannot insist that the states do
likewise.
*****
CUMMINGS, Circuit Judge,
joined by CUDAHY, RIPPLE, and ROVNER, Circuit Judges, dissenting.
Judge Garippo ought not to
have presided over the Canzoneri trial. His intimate involvement
in the Christiansen proceeding; the unfortunate connection
between the disposition of that case and DelVecchio's subsequent murderous behavior;
the necessity of ruling, as judge, regarding decisions that he
himself had previously made as prosecutor--all of these factors
suggest, in the words of the majority, ante at page 1371, such
an "actual incentive ... to be biased" that recusal is required.
The Due Process Clause of the Fourteenth Amendment mandates this
result even if in this case the judge was not in fact biased.
The majority concludes
otherwise. Our disagreement is due in part to our differing
interpretations of recent Supreme Court jurisprudence. Of much
greater import, however, is our disagreement over what actually
occurred in the Christiansen and Canzoneri proceedings. The
majority's version is as follows: "[Louis Garippo] was only
tangentially involved in DelVecchio's 1965 prosecution. His
decisions regarding the prosecution had little if anything to do
with DelVecchio
being a free man in 1977, when he killed Tony Canzoneri." Maj.Op.
at page 1370, ante. Moreover, because the sentence that
DelVecchio
received upon his transfer from a youth facility to an adult
penitentiary was the very same minimum sentence that would have
applied had he been initially convicted and tried after his
seventeenth birthday, the majority claims that the decision to
expedite DelVecchio's
indictment merely "allowed [him] to spend the first four years
of his sentence in a youth correctional facility, rather than in
an adult prison." Id. at page 1378, ante.
The majority then concludes
that Judge Garippo was unlikely to have had any particularly
strong feelings--the sort of feelings that would arguably make
him unfit to preside over the Canzoneri trial--about the fact
that DelVecchio
was freed from prison after the Christiansen killing just in
time to commit a second, gruesome murder. Id. Indeed, the
majority goes so far as to suggest, by lengthy analogy, that
Judge Garippo might not even have remembered his role in the
Christiansen case by the time DelVecchio appeared before him in the
Canzoneri trial. Id. at page 1371, ante. And if a judge is not
even aware of circumstances which, if known to him, might bias
him against a party, how could it violate due process principles
for him to preside at trial? So reasons the majority.1
If this version of events were
even plausible, I would not dissent today. However, the majority
has obfuscated both Garippo's role in the Christiansen
prosecution and Del
Vecchio's theory of its biasing influence on the
Canzoneri proceedings. First, Garippo was intimately involved in
the prosecution of the Christiansen case. Second, the decisions
that he made in that case directly influenced
DelVecchio's being free to kill
again in 1977. Third, Garippo was aware when he made those
decisions that they could well result in DelVecchio's imminent release. Finally,
the record clearly establishes that Garippo remembered his
extensive role in the Christiansen case when
DelVecchio first appeared
before him in the Canzoneri trial.
Thus the appearance of bias
that results from allowing Garippo to sit as judge over
DelVecchio's
subsequent trial--and to evaluate the propriety of his own
earlier prosecutorial decisions--is such that
DelVecchio was clearly denied
due process of law. Cf. Aetna Life Insurance Company v. Lavoie,
475 U.S. 813, 825, 106 S.Ct. 1580, 1587, 89 L.Ed.2d 823 ("The
Due Process Clause may sometimes bar trial by judges who have no
actual bias.... But to perform its high function in the best way,
justice must satisfy the appearance of justice." (Internal
quotation marks and citations omitted.)).
First, Garippo was not, as the
majority claims, merely "tangentially" involved in the
DelVecchio
prosecution. The record is clear that every major decision
involving DelVecchio's
prosecution in the Christiansen case was either made or approved
by Garippo. The entire Christiansen proceedings took less than a
month--DelVecchio
was initially interrogated on February 2, 1965, when he
confessed to the Christiansen killing, and he pleaded guilty and
was sentenced on February 24 of that same year. People v.
DelVecchio,
129 Ill.2d 265, 273, 135 Ill.Dec. 816, 544 N.E.2d 312 (1989),
certiorari denied, 494 U.S. 1062, 110 S.Ct. 1540, 108 L.Ed.2d
779. During that time Garippo "probably" reviewed memoranda
concerning Del
Vecchio's initial confession. Garippo Dep. at 6. He
assigned the case to his former trial partner to prosecute. Id.
He was involved in the decision to prosecute
DelVecchio as an adult. Id. at
10. He made the decision to expedite DelVecchio's indictment so as to allow him
to plead guilty prior to his seventeenth birthday. Id. at 17-18.
He even attended, as a spectator, DelVecchio's guilty plea and sentencing
hearing. Id. at 19. It is hard to imagine any prosecutorial
decisions during that month with which Garippo was not involved.
Indeed, as Garippo himself
noted, there were only two important decisions to be made in the
case: whether to prosecute DelVecchio as an adult, and whether to
expedite the indictment. Id. at 17. Garippo made both. Clearly
his involvement in the Christiansen case was much more than
tangential. Garippo was the key decision-maker throughout the
proceedings.
Second, it is clear that the
decision to expedite DelVecchio's indictment--the effect of
which was to postpone his receiving an adult sentence until
after his twenty-first birthday--directly influenced the length
of that sentence and therefore contributed to
DelVecchio's being free, in
1977, to kill Tony Canzoneri. It is mere sophistry to suggest,
as does the majority at pages 1377-78, ante, that "It just so
happened that the judge in 1971 decided to be lenient. In
retrospect, there is no telling whether a judge asked to
sentence DelVecchio
as an adult in 1965 would have been lenient.... Granted,
DelVecchio
ultimately received a light sentence [for the Christiansen
murder], but this light treatment was not because of prosecutor
Garippo."
This reasoning strains
credulity. In 1965 DelVecchio was widely perceived as a drug-crazed
killer. The suggestion that if DelVecchio had been sentenced at that time
he would have received the statutory minimum is absurd. In 1965
the newspapers abounded with stories about the "teen addicts"
who, "high on goofballs," "shot [their] victim 19 times" in
order to recover eleven dollars. Indeed, in February and March
1965 there were at least 39 stories in four major papers about
the crime itself, the gentle character of the victim, the brutal
natures of the perpetrators, and the heroism of the detectives
who solved the crime, as well as background stories about the
drug trade. R. 13-4. A judge in 1965 would be presented with
information that overwhelmingly militated in favor of a
substantial sentence; he would be presented with almost no
information in mitigation.
But the
GeorgeDel
Vecchio who was sentenced in 1971 to the statutory
minimum appeared as a very different GeorgeDelVecchio
from the one who would have been sentenced in 1965 if Garippo
had initially chosen to delay the indictment. By 1971
DelVecchio
had been afforded six years in which to refurbish his image,
four in a youth facility and two in an adult penitentiary. He
was so successful that the staff at the Illinois Youth
Commission unanimously objected to his transfer to an adult
facility, instead recommending immediate parole. PX. 4 at 12,
24-25. Even the prosecutor at DelVecchio's 1971 sentencing commented
that he had done everything possible to rehabilitate himself. PX.
4 at 32. DelVecchio's
relatively short sentence in 1971 was clearly attributable to
his apparent rehabilitation since 1965.2
That he had the opportunity to rehabilitate himself prior to
sentencing was a direct result of the decision to expedite his
indictment and thereby delay his adult sentencing.
Third, the majority
incorrectly portrays the nature of the decision that Garippo
made when he expedited the indictment so that
DelVecchio could plead guilty
prior to his seventeenth birthday. The majority suggests at page
1378, ante, that "the only break DelVecchio received because of the quick
indictment was that he was allowed to spend the first four years
of his incarceration in a youth correctional facility, rather
than in an adult prison." Of course, the other "break"
DelVecchio
received was the opportunity to rehabilitate himself prior to
sentencing. But putting this to one side, it is clear that the
decision made by Garippo was more momentous than the majority
chooses to recognize.
Garippo's decision to expedite
the indictment created the risk that DelVecchio would be released without
spending any time at all in an adult facility; indeed, it
created a risk that he would be released immediately. In 1965
Illinois law provided that a male convicted and sentenced as an
adult before his seventeenth birthday was committed to the
Illinois Youth Commission (IYC) with no mandatory minimum term--the
IYC could release him immediately or at any time prior to his
twenty-first birthday. When he turned twenty-one, the IYC could
release him or transfer him to an adult penitentiary,
Ill.Rev.Stat. ch. 23, Sec. 2523 (1963), apparently with or
without a new sentencing. Garippo Dep. at 12-13. By contrast,
had DelVecchio
been convicted and sentenced just after his seventeenth birthday
he would have been sent to an adult penitentiary with a minimum
sentence of fourteen years and a maximum sentence of life in
prison. Ill.Rev.Stat. ch. 38, Sec. 9-1 (1963).
The majority therefore
overlooks the import of allowing DelVecchio to be sentenced just prior to,
rather than just after, his seventeenth birthday. When Garippo
made the crucial decision to allow an expedited indictment he
placed society at risk that DelVecchio would be released before
serving anything like the statutory minimum term. In the face of
what the majority itself characterizes, page 1367 ante, as "enormous
publicity" for a "random act[ ] of violence to gain drug money"--at
that time an almost-unprecedented event--Garippo chose, for
whatever reason, to make DelVecchio eligible for release at any
time prior to his twenty-first birthday.3
Did he feel, contrary to overwhelming public opinion, that
DelVecchio
was rehabilitable? If so, then subsequent events proved him
tragically wrong. Whatever his reasons for granting
DelVecchio's
request for an expedited indictment, Garippo was aware of the
substantial risks attendant upon allowing DelVecchio to be sentenced before he
turned seventeen.
Garippo's curious decision to
expedite the indictment must form the backdrop for his later
discovery that Del
Vecchio had been released from prison and had murdered a
small child by partially severing his head. Against this
backdrop it is not unreasonable to conclude that Garippo could
have had an immediate, visceral reaction to learning that he was
to preside at the Canzoneri trial.
It is absurd to suggest, as
does the majority, that Garippo might not even have remembered
his role in the Christiansen case by the time
DelVecchio appeared before him
in the Canzoneri trial. The very name "DelVecchio" must have recalled to Judge
Garippo the headlines that had blared "Teen Addicts' Slay Story:
'Laughed as Victim Died'--'He Wouldn't Stop Screaming.' " R.
13-4. Indeed, Del
Vecchio's name clearly triggered some response, since
Judge Garippo went out of his way to obtain and review the
Christiansen case file prior to the Canzoneri trial. In any
case, whatever prompted the recollection, Garippo explicitly
acknowledged in his deposition testimony that he was aware,
prior to the Canzoneri trial, of his own role in the
Christiansen prosecution. Garippo Dep. at 19-20.
The majority correctly
observes that "[w]hat may appear bad to an observer, especially
in hindsight, may not have influenced--or, more importantly, may
not have had any real possibility to influence--the judge in his
decision-making process." Maj.Op. at page 1371, ante. And as the
majority discusses at some length, this would be the case if, by
chance, the judge were totally ignorant of those circumstances
that, if known to him, would cause him to be biased. These
observations, however, have absolutely no bearing on the case at
bar. Judge Garippo was completely aware of the circumstances
that DelVecchio
now argues placed him under a conflict of interest. The only
question is whether these circumstances provided--in the words
of the majority, page 1371 ante--an "actual incentive ... for [Garippo]
to be biased."
The answer to this question is
obvious. Garippo made every key decision in the Christiansen
prosecution, including a decision that placed society at risk of
DelVecchio's
imminent release. This decision directly resulted in
DelVecchio's
eventual light sentence and early release. When
DelVecchio
killed again, in a horrifying and senseless fashion, any judge
in Garippo's situation would have felt a strong personal
connection to the case. Indeed, a judge in Garippo's position
might well have felt that DelVecchio had "dirtied [that judge's]
sweatshirt"--a phrase used by Garippo himself to describe how "very
offended" he would feel if someone he had treated leniently
proved not to have deserved it. Garippo Dep. at 32.
At the time of the Canzoneri
trial a defendant such as DelVecchio "[could] with reason say that
he feared he could not get a fair trial" before Judge Garippo.
Tumey v. Ohio, 273 U.S. 510, 533, 47 S.Ct. 437, 444, 71 L.Ed.
749. This is sufficient to require Judge Garippo's recusal,
without any further inquiry into Garippo's actual state of mind.
Moreover, Garippo's behavior during and after that trial was
such as to reinforce in the mind of a reasonable defendant the
perception that a fair trial before Judge Garippo could not be
had. First, because the earlier Christiansen proceedings were
inextricably linked to many issues that arose in the Canzoneri
trial, Judge Garippo was forced to revisit many of his earlier
prosecutorial decisions. He should never have been placed in
such a position. But putting to one side any substantive issues
raised in the trial itself, Judge Garippo's actions in regard to
the very issue of his own possible disqualification serve to
underscore the impropriety of his presiding over the Canzoneri
trial.
Had the defense been aware of
Garippo's extensive involvement in the Christiansen case early
in the Canzoneri proceedings, it could have filed a motion for
substitution of judges, either for cause or as of right.
Ill.Rev.Stat. ch. 38, Sec. 114-5 (1963) (amended subsequent to
1978, see 725 ILCS 5/114-5 (1992)). But Garippo did not reveal
even the fact of his earlier involvement, let alone its extent,
to the defense. Indeed, the defense did not discover the fact of
Garippo's involvement in the Christiansen prosecution until
1986, when all direct appeals had been exhausted. Judge
Garippo's silence on this issue prevented the defense from
exercising its right to replace him.
Even when the issue of Judge
Garippo's conflict of interest was raised in state court
collateral proceedings, the extent of Garippo's involvement in
the Christiansen case was not revealed. Had the defense been
able to bring Garippo's true role in the Christiansen
prosecution before the Illinois Supreme Court, it is likely this
issue would not be before us now. Upon DelVecchio's collateral attack, that court
explicitly held that had Garippo "acted as counsel" to the state
in the Christiansen matter, then he would have been disqualified
to preside over the Canzoneri trial. People v.
DelVecchio, 129 Ill.2d at 277,
135 Ill.Dec. 816, 544 N.E.2d 312. It concluded, however, that
because Garippo's role in the Christiansen prosecution was "limited"
and thus that he had not "acted as counsel" to the state, it was
not improper for him to preside over the Canzoneri trial. Id. at
277-278, 135 Ill.Dec. 816, 544 N.E.2d 312.
The court reached the
conclusion that Garippo had not acted as counsel to the state in
the Christiansen case on the basis of an affidavit submitted by
Garippo stating that he had performed only two tasks in regard
to that case--assigning it to a prosecuting attorney and
agreeing to expedite the indictment. Id. at 277, 135 Ill.Dec.
816, 544 N.E.2d 312. He twice characterized his involvement as "limited."
R. 13-2 at 360-361. In fact, when Garippo's deposition was
obtained--after the district court in this habeas proceeding
ordered the discovery that had been denied DelVecchio by the state--it became clear
that Garippo's involvement in the Christiansen case was not
limited to two tasks and that his role in the prosecution was
not minor. Had Garippo been more forthcoming during the state
collateral proceedings, the Illinois Supreme Court might well
have reached a different conclusion regarding whether he had "acted
as counsel" to the state.
The picture that emerges from
this chronicle of events is of a judge who actively wanted to
preside over the Canzoneri trial, and who, having done so,
resisted efforts to scrutinize the propriety of that decision. I
wish to stress that the proper conclusion to draw from this is
not that Garippo intended to treat DelVecchio unfairly in his courtroom, but
merely that Garippo had an unusually strong interest in
remaining on the case. While Judge Garippo's desire to preside
over the Canzoneri trial is quite natural, given his previous
experience with the defendant, the fact that Garippo felt so
strongly about this trial demonstrates the unwisdom of his
presiding over it. "Justice must satisfy the appearance of
justice." Aetna, 475 U.S. at 825, 106 S.Ct. at 1587, quoting
with approval In re Murchison, 349 U.S. 133, 136, 75 S.Ct. 623,
625, 99 L.Ed. 942. As the Supreme Court recently explained,
determining whether a judge's participation in a case violated
the litigants' due process rights does not require determining
whether the judge was in fact influenced against a party. Aetna,
475 U.S. at 825, 106 S.Ct. at 1587. Rather, sometimes the
appearance of bias is so strong that a judge must be
disqualified without any showing that he was in fact biased.4
The majority chides me for
taking too seriously, in its view, the " 'appearance of justice'
language from Murchison and Aetna." Maj.Op. at page 1371, ante;
see also Judge Easterbrook's concurrence generally. The majority
and the concurrence prefer to overlook the Supreme Court's
continued approval of this language,5
and to re-analyze the facts of each case in order to discern
what they take to be the actual rule of decision. But we are not
authorized to limit an entire line of Supreme Court cases
strictly to their facts,6
disregarding what that Court has explicitly identified as the
organizing principle.
Moreover, any distinction to
be made between the test proposed by the majority and the "appearance
of justice" language that it abhors is primarily a semantic one.
For the phrase "justice must satisfy the appearance of justice,"
the majority prefers to substitute "judges sometimes must recuse
themselves when they face possible temptations to be biased."
Maj.Op. at page 1372, ante. The majority then cautions that "even
if Judge Garippo faced some 'possible temptation' to be biased
..., not every 'possible temptation' to be biased presents a
sufficient possibility of bias to require disqualification." Id.
It explains that a "possible temptation to be biased" requires
recusal only when experience teaches that "under a realistic
appraisal of psychological tendencies and human weaknesses" the
temptation poses too great a risk of actual bias. Id. at 1375,
quoting Withrow v. Larkin, 421 U.S. 35, 47, 95 S.Ct. 1456, 1464,
43 L.Ed.2d 712. But clearly the circumstances of the Canzoneri
trial presented such a risk of actual bias that Judge Garippo (under
a realistic appraisal of psychological tendencies and human
weaknesses) ought not to have presided over it.7
A rule that requires recusal
when the appearance of bias is as strong as it is in this case,
without requiring an independent showing of actual bias, serves
many ends. Not the least of these is to avoid the sort of after-the-fact
dissection of a judge's motivations and behavior that two state
courts, the district court, a divided appellate panel, and now
this divided en banc Court, have regrettably been forced to
practice in this case. Louis Garippo was held in high esteem as
a state prosecutor and as a trial judge. (He has been in private
practice since 1980. Garippo Dep. at 31.) His reputation is not
unknown to many of us here on the Seventh Circuit. While I
believe that Garippo's natural desire to preside over the second
DelVecchio
trial obscured his ability to perceive what a grave conflict
such a course of action entailed, I do not for a moment believe,
nor do I wish to suggest, that Judge Garippo in any way intended
to treat DelVecchio
unfairly. Indeed, I firmly believe that Judge Garippo thought he
could put his personal feelings about the defendant aside and
proceed in an impartial manner. Whether in fact he was correct
or whether he was unfortunately mistaken does not matter. We
must require strict adherence to the salutary rule that requires
recusal whenever circumstances offer "a possible temptation to
the average man as a judge ... not to hold the balance nice,
clear and true between the state and the accused." Tumey, 273
U.S. at 532, 47 S.Ct. at 444, quoted with approval by Aetna, 475
U.S. at 825, 106 S.Ct. at 1587.
Such a rule protects the
accused from the danger of unfair judging. It maintains for the
benefit of society the appearance of justice so necessary to the
continued esteem of the judicial system. Moreover, it protects
judges such as Louis Garippo--fine individuals who "have no
actual bias and who would do their very best to weigh the scales
of justice equally between contending parties," Aetna, 475 U.S.
at 825, 106 S.Ct. at 625, quoting with approval Murchison, 349
U.S. at 136, 75 S.Ct. at 625; see also Taylor v. Hayes, 418 U.S.
488, 501, 94 S.Ct. 2697, 1587, 41 L.Ed.2d 897--from unseemly
excursions into their psyches. The majority of this Court has
held that Judge Garippo did not act improperly when he neither
recused himself from the DelVecchio trial nor revealed to the
defense his role in the Christiansen case. But nothing the
majority says can remove the cloud of doubt that now and forever
hangs over the Del
Vecchio trial that the judge was irremediably biased. The
tragedy is that Del
Vecchio will go to his death as a result of this trial.
The irony is that the appearance of such grave injustice could
so easily have been avoided.
I respectfully dissent.
*****
CUDAHY, Circuit Judge,
dissenting.
I know Judge Garippo to have
been an honorable and respected jurist. He is now a skillful and
still respected practitioner. I therefore regret that I must
dissent from the majority opinion--largely for the reasons
explored at length and with great care by Judge Cummings. The
standards governing the appearance of impropriety in death
penalty proceedings cannot be too high. I am persuaded that
appearances here do not measure up to those standards. I
therefore respectfully dissent.
*****
RIPPLE, Circuit Judge, with
whom CUMMINGS, CUDAHY, and ROVNER, Circuit Judges, join,
dissenting.
Because I believe that three
of the arguments made by the petitioner to this court have merit,
I respectfully dissent from the court's decision to deny all
relief in this case. I shall not discuss here the government's
cross-appeal; I agree with the analysis of Judge Cummings in the
panel opinion. 8 F.3d 509. I shall limit this separate writing
to the two other areas that I believe are meritorious.
As Judge Cummings' thoughtful
dissenting opinion demonstrates, and, I respectfully suggest, as
the caselaw relied upon by the majority also demonstrates, the
participation of the state trial judge in the petitioner's
earlier prosecution for murder was a substantial, direct, and
undisclosed conflict of interest. The basic difference between
the majority and minority viewpoints is whether the interest of
the trial judge was sufficiently substantial to require that the
judge not participate. In my view, the fundamental flaw in the
perspective of the majority is its underestimation of the effect
that considerations other than financial advantage can play in
skewing judicial impartiality. The trial judge whose conduct was
at issue here was, as several of my colleagues who know him have
suggested, a public servant of significant reputation and
influence in the Illinois bar. He was also required to stand for
election. As Judge Cummings' opinion quite amply demonstrates,
the petitioner's second murder called into question the wisdom
of the decisions that this trial judge had made in an earlier
stage of his career. Indeed, the prosecutor indirectly reminded
him, and perhaps others, of that decision when he pleaded with
the jury not to leave the future of the petitioner to "experts."
It defies common knowledge of human nature, as well as recent
American history,1
to suggest that such a criticism is not taken personally,
oftentimes very personally, by the public figure involved. For
many, if not most, figures in public life, avoiding a cloud over
one's professional judgment is a consideration a great deal more
important than financial gain.
While this court's focus has
rested on the issue of the impartiality of the state trial judge,
we ought not pass too quickly over the impact of the
prosecutor's remark that the jury should not leave the
petitioner's future in the hands of the "experts." The
petitioner contended, both on direct appeal and on post-conviction
review, that the prosecutor erred, as a matter of federal and
state law, when he argued to the jury that the petitioner might
be released on parole if he were not sentenced to death. The
seriousness of the federal claim is clear after Simmons v. South
Carolina, --- U.S. ----, 114 S.Ct. 2187, 129 L.Ed.2d 133 (1994).
In addition, it seems obvious that the Illinois Supreme Court
has been far from even-handed in its treatment of the problem.
The caselaw in Illinois prior to the trial of the petitioner
made clear that, in a capital case, argument on the possibility
of parole is improper as a matter of state law. People v. Garcia,
97 Ill.2d 58, 73 Ill.Dec. 414, 426, 454 N.E.2d 274, 286 (1983),
cert. denied, 467 U.S. 1260, 104 S.Ct. 3555, 82 L.Ed.2d 856
(1984). Before the appeal of the petitioner, the Illinois
Supreme Court had determined in two cases that such argument was
reversible error. See People v. Walker, 91 Ill.2d 502, 64
Ill.Dec. 531, 536, 440 N.E.2d 83, 88 (1982); People v. Szabo, 94
Ill.2d 327, 68 Ill.Dec. 935, 954, 447 N.E.2d 193, 212 (1983). By
contrast, in the petitioner's direct appeal, the Illinois court
denied relief because there was "no evidence that the
possibility of parole was a factor considered in the jury's
deliberations," and because, in the court's view, the prosecutor
was simply describing accurately the sentencing choices of the
court. See People v. DelVecchio, 105 Ill.2d 414, 86 Ill.Dec.
461, 472, 475 N.E.2d 840, 851 cert. denied, 474 U.S. 883, 106
S.Ct. 204, 88 L.Ed.2d 173 (1985). In People v. Brisbon, 106 Ill.2d
342, 88 Ill.Dec. 87, 478 N.E.2d 402 cert. denied, 474 U.S. 908,
106 S.Ct. 276, 88 L.Ed.2d 241 (1985), the court returned to the
approach in Walker. Again in 1988, the court followed Walker
when it decided People v. Gacho, 122 Ill.2d 221, 119 Ill.Dec.
287, 522 N.E.2d 1146 cert. denied, 488 U.S. 910, 109 S.Ct. 264,
102 L.Ed.2d 252 (1988). Yet, when the petitioner's case came
before the court again on appeal from the denial of post-conviction
relief, the court again denied relief. The court merely noted
that "[d]ifferent results were achieved from the different facts."
People v. DelVecchio,
129 Ill.2d 265, 135 Ill.Dec. 816, 826, 544 N.E.2d 312, 322
(1989), cert. denied, 494 U.S. 1062, 110 S.Ct. 1540, 108 L.Ed.2d
779 (1990).
Among people condemned to
death in Illinois, only DelVecchio has been required to show that
the jury relied upon the prosecutor's remarks about parole. In
all other cases, the court has acknowledged that such remarks
are prejudicial. This disparate treatment seems especially stark
in light of the fact that the prosecutor's statement was made in
a case in which there was no possibility of parole. See
Ill.Rev.Stat. ch. 38, Sec. 1003-3-3(d). This factor was noted by
the court in Gacho as making the comment of the prosecutor
particularly inappropriate. Gacho, 119 Ill.Dec. at 1180, 522 N.E.2d
at 1163.
The government argues in its
brief that the remark of the prosecutor was an invited response,
apparently to the petitioner's remark that part of him believed
that he would be able to get out of prison before he was old.
This suggestion by the State is speculation. Whether the remark
is an invited reply is a matter of state law, and the Supreme
Court of the state has chosen not to justify its holding by any
reference to that possibility. Nor is it by any means "given"
that the Illinois court would have characterized the
prosecutor's comments in such terms. See Brisbon, 88 Ill.Dec. at
98-99, 478 N.E.2d at 413-14 (stating that, despite the State's
allegations that discussion of parole was invited by comments
made by defendant's witnesses and by defendant's testimony, the
court found the prosecutor's discussion to be a "highly
prejudicial over-reaction"). Moreover, Illinois' treatment of
the invited response defense is inexplicably murky. Although the
principle has been acknowledged in some cases, see People v.
Mack, 105 Ill.2d 103, 85 Ill.Dec. 281, 293-94, 473 N.E.2d 880,
892-93 (1984), cert. granted and judgment vacated, 479 U.S.
1074, 107 S.Ct. 1266, 94 L.Ed.2d 127 (1987); Garcia, 73 Ill.Dec.
at 426, 454 N.E.2d at 286, the court has not always relied upon
it, see Szabo, 68 Ill.Dec. at 953-54, 447 N.E.2d at 211-12.
Under these circumstances, we cannot attribute to the Supreme
Court of Illinois a rationale that, for reason known only to
that bench, it determined ought not be used to justify its
ruling in this case.
As the principal dissent
notes, there is a cloud of doubt surrounding this case--a cloud
that can be attributed to the lingering fear that one of the
basic hallmarks of American justice--evenhandedness--was lacking
in this case.2
The crime was a terrible one and the majority has stressed the
stark brutality of the murder in no uncertain terms. In
performing our task, however, we must not let the facts of this
case become
some accident of immediate overwhelming
interest which appeals to the feelings and distorts the judgment.
These immediate interests exercise a kind of hydraulic pressure
which makes what previously was clear seem doubtful, and before
which even well settled principles of law will bend.
Northern Sec. Co. v. United
States, 193 U.S. 197, 400-01, 24 S.Ct. 436, 467, 48 L.Ed. 679
(1904) (Holmes, J., dissenting opinion).