David Lewis Rice v. Tana Wood, Superintendent, David Lewis Rice v. Tana Wood, Superintendent

77 F.3d 1138, 96 Cal. Daily Op. Serv. 1080, 96 Daily Journal DAR 1842, 1996 U.S. App. LEXIS 2516, 1996 WL 69838
CourtCourt of Appeals for the Ninth Circuit
DecidedFebruary 20, 1996
Docket93-99011, 93-99012
StatusPublished
Cited by104 cases

This text of 77 F.3d 1138 (David Lewis Rice v. Tana Wood, Superintendent, David Lewis Rice v. Tana Wood, Superintendent) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
David Lewis Rice v. Tana Wood, Superintendent, David Lewis Rice v. Tana Wood, Superintendent, 77 F.3d 1138, 96 Cal. Daily Op. Serv. 1080, 96 Daily Journal DAR 1842, 1996 U.S. App. LEXIS 2516, 1996 WL 69838 (9th Cir. 1996).

Opinions

Opinion by Judge KOZINSKI; Concurrence by Judge HAWKINS; Dissent by Judge D.W. NELSON.

KOZINSKI, Circuit Judge.

David Lewis Rice was absent from the courtroom when the jury returned from its deliberations and sentenced him to death. After an unsuccessful direct appeal and personal restraint petition, see State v. Rice, 110 Wash.2d 577, 757 P.2d 889 (1988), cert. denied, 491 U.S. 910, 109 S.Ct. 3200, 105 L.Ed.2d 707 (1989) (Rice I), Rice sought a writ of habeas corpus in the federal district court for the Western District of Washington. The district court stayed the habeas proceedings so Rice could bring a second personal restraint petition. After the Washington Supreme Court dismissed that petition, see In re Rice, 118 Wash.2d 876, 828 P.2d 1086 cert. denied, 506 U.S. 958, 113 S.Ct. 421, 121 L.Ed.2d 344 (1992) (Rice II), the district judge granted Rice’s petition and set aside the sentence, holding that Rice [1140]*1140could not and did not validly waive his right to be present. A panel of this court affirmed, concluding that Rice had a constitutional right to be present when the jury rendered his sentence; that he had not waived this right; and that the error was structural and, therefore, not subject to harmless-error analysis. See Rice v. Wood, 44 F.3d 1396, 1400-02 (9th Cir.1995) (Rice III). We ordered the case reheard en banc to examine the issues concerning Rice’s absence.

I

The sad facts of this case have been set out in full elsewhere. See Rice I, 757 P.2d at 891-900; Rice II, 828 P.2d at 1089-91; Rice III, 44 F.3d at 1398-99. We summarize them briefly.

On Christmas Eve 1985, Charles and Annie Goldmark were at home preparing for a holiday dinner when petitioner came to their door posing as a taxicab driver delivering a package. Brandishing a toy gun, he forced his way into their home and used chloroform to render the couple and their two young boys unconscious. He then bludgeoned them with a steam iron and stabbed them with a knife. The Goldmarks were found by guests who arrived at their home a short time later. Annie was pronounced dead on the spot and Charles and the boys all died within five weeks.

Rice was eventually arrested and charged with four counts of aggravated first degree murder. His trial was bifurcated into separate guilt and sentencing phases, with the same jury sitting in both. At the completion of the guilt phase, the jury convicted Rice on all four counts. They then heard evidence pertaining to sentencing and retired to deliberate. Shortly before the jurors informed the bailiff that they had reached a decision, the judge learned that Rice had been taken to the hospital because he had ingested a nicotine drink brewed from cigarettes. The medical staff later informed the judge that Rice was unresponsive to communication and would have to have his stomach pumped.

The judge then asked the attorneys whether they believed Rice’s presence was necessary. Defense counsel stated that he didn’t think so and purported to waive Rice’s right to be present; the prosecutor didn’t object. The judge then proceeded to receive the sentence and poll the jury in Rice’s absence. The jury found no mitigating circumstances that would merit leniency; no juror disagreed with the announced decision when polled. Pursuant to Wash.Rev.Code § 10.95.030, the court sentenced Rice to death.1

II

Whether or not Rice’s absence from the courtroom when the jury announced his sentence amounts to constitutional error is not before us. As in Rushen v. Spain, 464 U.S. 114, 117 n. 2, 104 S.Ct. 453, 455 n. 2, 78 L.Ed.2d 267 (1983), the state has “conceded ... that [the petitioner’s absence] established federal constitutional error.... [W]e assume, without deciding, that [petitioner’s] constitutional right[ ] to presence ... [was] implicated in the circumstances of this case.”2 We also agree, for the reasons stat[1141]*1141ed by the panel, that the district court did not err in finding that Rice did not validly waive his right to be present. See Rice III, 44 F.3d at 1400-01. The only issue remaining is whether Rice’s absence when the jury declared his sentence amounted to structural or trial error.3

The Supreme Court has said very clearly that structural errors “are the exception and not the rule.” Rose v. Clark, 478 U.S. 570, 578, 106 S.Ct. 3101, 3106, 92 L.Ed.2d 460 (1986). “Accordingly, if the defendant had counsel and was tried by an impartial adjudicator, there is a strong presumption that any other errors that may have occurred are subject to harmless-error analysis.” Id. at 579, 106 S.Ct. at 3106. True to its word, the Court has been highly parsimonious in adding to the list of rights which, if violated, amount to structural error. The examples in Arizona v. Fulminante, 499 U.S. 279, 309-10, 111 S.Ct. 1246, 1264-65, 113 L.Ed.2d 302 (1991), the leading case on the subject, are few and concern some of the most important protections of our criminal justice system: Tumey v. Ohio, 273 U.S. 510, 511, 47 S.Ct. 437, 438, 71 L.Ed. 749 (1927) (denial of right to impartial judge); Gideon v. Wainwright, 372 U.S. 335, 342, 345, 83 S.Ct. 792, 797, 9 L.Ed.2d 799 (1963) (denial of right to counsel); McKaskle v. Wiggins, 465 U.S. 168, 177 n. 8, 104 S.Ct. 944, 950 n. 8, 79 L.Ed.2d 122 (1984) (denial of right to represent oneself); Waller v. Georgia, 467 U.S. 39, 49 & n. 9, 104 S.Ct. 2210, 2217 & n. 9, 81 L.Ed.2d 31 (1984) (denial of right to public trial); Vasquez v. Hillery, 474 U.S. 254, 260, 263,106 S.Ct. 617, 623, 88 L.Ed.2d 598 (1986) (unlawful exclusion of members of defendant’s race from grand jury). As telling as the short list of defects that are structural is the much longer list the Court has held to be mere trial errors. See, e.g., Fulminante, 499 U.S. at 306-07, 111 S.Ct. at 1262-64 (listing trial errors).

The Supreme Court has explained that trial errors are those “which occurred during the presentation of the case to the jury, and which may therefore be quantitatively assessed in the context of other evidence presented in order to determine whether its admission was harmless beyond a reasonable doubt.” Id. at 307-08, 111 S.Ct. at 1264. Structural errors, on the other hand, are defects that permeate “[t]he entire conduct of the trial from beginning to end,” id. at 309, 111 S.Ct. at 1265, or that “affect[ ] the framework within which the trial proceeds, rather than simply an error in the trial process itself,” id. at 310, 111 S.Ct. at 1265.

Rice’s absence when the jury announced his sentence simply does not fall within the narrow category of structural errors. Had he been present, he couldn’t have pleaded with the jury or spoken to the judge. He had no active role to play; he was there only to hear the jury announce its decision.

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77 F.3d 1138, 96 Cal. Daily Op. Serv. 1080, 96 Daily Journal DAR 1842, 1996 U.S. App. LEXIS 2516, 1996 WL 69838, Counsel Stack Legal Research, https://law.counselstack.com/opinion/david-lewis-rice-v-tana-wood-superintendent-david-lewis-rice-v-tana-ca9-1996.