Mark A. Hopkinson v. Duane Shillinger, and the Attorney General of the State of Wyoming

888 F.2d 1286
Court of Appeals for the Tenth Circuit·Decided December 1, 1989·No. 86-2571·Published·Cited by 63 cases

Opinions

ON REHEARING EN BANC

STEPHEN H. ANDERSON, Circuit Judge.

Mark A. Hopkinson was convicted in Wyoming State Court on four counts of first degree murder and two counts of conspiracy to commit first degree murder. The first three counts of murder arose out of his hiring Michael Hickey to bomb Vincent Vehar’s home. That bombing killed Vehar, Vehar’s wife, and one of his sons; another son was injured in the blast but survived. The fourth murder count was for procuring the killing of Jeff Green. Hopkinson was sentenced to life imprisonment for each of the Vehar murders, and to death for the murder of Green. See Hopkinson v. State, 632 P.2d 79 (Wyo.1981), cert. denied, 455 U.S. 922, 102 S.Ct. 1280, 71 L.Ed.2d 463 (1982) (Hopkinson I). Hopkinson was also convicted in the same trial of conspiracy with Harold James Taylor to commit the first degree murder of Vehar and conspiracy with Hickey to commit the first degree murder of William Roitz.

On appeal Hopkinson’s death sentence for the murder of Green was vacated by the Wyoming Supreme Court. Id. A second sentencing proceeding was conducted and Hopkinson was again sentenced to death. The Wyoming Supreme Court affirmed that sentence. Hopkinson v. State, 664 P.2d 43 (Wyo.), cert. denied, 464 U.S. 908, 104 S.Ct. 262, 78 L.Ed.2d 246 (1983) (Hopkinson II). After subsequent unsuccessful challenges in state court1 Hopkin-son sought federal habeas relief with respect to his convictions for first degree murder and his sentence of death. His petition was summarily dismissed by the district court. Hopkinson v. Shillinger, 645 F.Supp. 374 (D.Wyo.1986).

A panel of this court unanimously affirmed the district court on virtually all issues, and affirmed with one dissent on the subject matter of this en banc review. Hopkinson v. Shillinger, 866 F.2d 1185 (10th Cir.1989), reh’g granted, March 23, 1989. The court thereafter agreed to consider en banc whether certain remarks by the prosecutor in the second sentencing proceeding violated the rule set out in Caldwell v. Mississippi, 472 U.S. 320, 105 S.Ct. 2633, 86 L.Ed.2d 231 (1985), and, if so, the standard of review to be applied to such a violation, and whether applying that standard Hopkinson’s death sentence must be vacated. The court also directed the parties to address whether Caldwell can be applied retroactively to this case. See Teague v. Lane, — U.S. -, 109 S.Ct. 1060, 103 L.Ed.2d 334 (1989). On the latter question we conclude that Caldwell does apply. On the former, we hold that Hop-kinson’s death sentence was not imposed unconstitutionally.

[1288] I.

Because Caldwell was decided in 1985, two years after Hopkinson’s second capital sentence became final, principles of nonre-troactivity may apply to this collateral review. See Teague v. Lane, — U.S. -, 109 S.Ct. 1060, 103 L.Ed.2d 334 (1989); Penry v. Lynaugh, — U.S. -, 109 S.Ct. 2934,106 L.Ed.2d 256 (1989). However, we must decide first whether the issue is properly before us.

A.

The state has interposed no defense to the Caldwell issue on nonretroactivity grounds, thus raising a preliminary question of waiver. See opinions of Justices Brennan and Blackmun respectively accompanying and dissenting to remand in Zant v. Moore, — U.S. -, 109 S.Ct. 1518, 103 L.Ed.2d 922 (1989); Penry v. Lynaugh, 109 S.Ct. at 2963 (Stevens, J., concurring and dissenting in part). We hold that the non-retroactivity defense is not waived, and should be considered.

Our analysis of retroactivity in this case is based upon and dictated by the “novel threshold test for federal review of state criminal convictions,” announced in Teague. Teague v. Lane, 109 S.Ct. at 1084 (Brennan, J., dissenting). It was not previously available to the state. Arguably, the state could have raised the defense of non-retroactivity on other grounds, but they would have been largely irrelevant to the analysis required by Teague. Furthermore, the retroactivity approach adopted in Teague was not applied in the capital sentencing context until June of this year. Penry v. Lynaugh, 109 S.Ct. at 2944. Finally, and more fundamentally, we sua sponte raised the issue in this case because the very scope of the writ of habeas corpus, and therefore our power to grant relief, is implicated. Cf. Teague v. Lane, 109 S.Ct. at 1069. Pursuant to our order, the parties have fully briefed the question.

B.

Under Teague, new rules cannot be applied in cases on collateral review, including capital cases, unless they fall into one of two exceptions. Teague v. Lane, 109 S.Ct. at 1073, 1075; Penry v. Lynaugh, 109 S.Ct. at 2944.

The initial question, therefore, is whether Caldwell erected a “new rule” when it declared that “[I]t is constitutionally impermissible to rest a death sentence on a determination made by a sentencer who has been led to believe that the responsibility for determining the appropriateness of the defendant’s death rests elsewhere.” Caldwell v. Mississippi, 472 U.S. at 328-29, 105 S.Ct. at 2639.

In Penry the Supreme Court described “new rules” as follows:

“As we indicated in Teague, ‘[i]n general ... a case announces a new rule when it breaks new ground or imposes a new obligation on the States or the Federal Government.’ [Teague v. Lane, 109 S.Ct. at 1070.] Or, ‘[t]o put it differently, a case announces a new rule if the result was not dictated by precedent existing at the time the defendant’s conviction became final.’ Ibid, (emphasis in original). Teague noted that ‘[i]t is admittedly often difficult to determine when a case announces a new rule.’ Ibid. Justice Harlan recognized ‘the inevitable difficulties that will arise in attempting “to determine whether a particular decision has really announced a ‘new’ rule at all or whether it has simply applied a well-established constitutional principle to govern a case which is closely analogous to those which have been previously considered in the prior case law.” ’ [Mackey v. United States, 401 U.S. 667, 695, 91 S.Ct. 1160, 1181, 28 L.Ed.2d 404 (1971)] (separate opinion of Harlan, J.) (quoting Desist v. United States, 394 U.S. 244, 263 [89 S.Ct. 1030, 1041, 22 L.Ed.2d 248] (1969) (Harlan, J., dissenting).”

Penry v. Lynaugh 109 S.Ct. at 2944.

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Mark A. Hopkinson v. Duane Shillinger, and the Attorney General of the State of Wyoming, 888 F.2d 1286 (10th Cir. 1989).

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