Timothy Lanier Allen v. R.C. Lee, Warden, Central Prison, Raleigh, North Carolina

366 F.3d 319, 2004 U.S. App. LEXIS 8349, 2004 WL 905822
CourtCourt of Appeals for the Fourth Circuit
DecidedApril 28, 2004
Docket02-5
StatusPublished
Cited by56 cases

This text of 366 F.3d 319 (Timothy Lanier Allen v. R.C. Lee, Warden, Central Prison, Raleigh, North Carolina) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Timothy Lanier Allen v. R.C. Lee, Warden, Central Prison, Raleigh, North Carolina, 366 F.3d 319, 2004 U.S. App. LEXIS 8349, 2004 WL 905822 (4th Cir. 2004).

Opinions

GREGORY, Circuit Judge,

concurring in the judgment on the McKoy issue:

During the sentencing phase of Allen’s trial, the judge instructed the jury that it must unanimously find the existence of any mitigating circumstance before considering that circumstance in determining whether Allen should be sentenced to life imprisonment or death. This was the same instruction that the Supreme Court found unconstitutional in McKoy v. North Carolina, 494 U.S. 433, 110 S.Ct. 1227, 108 L.Ed.2d 369 (1990). In McKoy, the Court held this jury instruction unconstitutional because the “unanimity requirement ... prevents] the sentencer from considering all mitigating evidence.” 494 U.S. at 435, 110 S.Ct. 1227. Thus, on direct review in this case, the Supreme Court vacated Allen’s sentence and remanded the case to the North Carolina Supreme Court in light of McKoy. Allen v. North Carolina, 494 U.S. 1021, 1021, 110 S.Ct. 1463, 108 L.Ed.2d 601 (1990).

On remand, the North Carolina Supreme Court held that the unanimity instruction was indeed unconstitutional under McKoy. State v. Allen, 331 N.C. 746, 417 S.E.2d 227, 228 (1992). The court nonetheless affirmed Allen’s death sentence finding the error “harmless beyond a reasonable doubt” based solely on the jurors’ responses to a post-verdict poll. Id. at 228.

Allen then filed this motion for habeas relief, challenging the North Carolina Supreme Court’s finding that the concededly unconstitutional instruction constituted harmless error. The district court, although eventually rejecting Allen’s claim, granted a certificate of appealability with respect to this issue. Thus, the district court recognized that Allen had made a substantial showing of the denial of a constitutional right. See Slack, 529 U.S. at 483, 120 S.Ct. 1595. Because Allen has made this showing, we, the plurality, proceed directly to the merits of his claim.

As noted above, we may grant Allen habeas relief only if his claim meets the criteria for relief as detailed in § 2254(d)(1) of the AEDPA. Pursuant to that statute, the state court decision must either be contrary to, or involve an unreasonable application of, clearly established federal law as determined by the Supreme Court. See Williams, 529 U.S. at 411, 120 S.Ct. 1495. As the Court has recently reiterated, “ § 2254(d)(l)’s ‘contrary to’ and ‘unreasonable application’ clauses have independent meaning,” and provide independent bases for habeas relief. See Bell v. Cone, 535 U.S. 685, 694, 122 S.Ct. 1843, 152 L.Ed.2d 914 (2002). A federal habeas court may grant relief under the “contrary to” clause if “the state court applies a rule different from the governing law set forth in [Supreme Court precedent], or if it decides a case differently than [the Supreme Court has] done on a set of materially indistinguishable facts.” Id. Alternatively, a writ can issue under the “unreasonable application” clause “if the state court correctly identifies the governing legal principle from [Supreme Court precedent] but unreasonably applies it to the facts of the particular case.” Id. A writ cannot issue merely because a “state-court decision applied clearly established federal law erroneously or incorrectly. Rather that appli[341]*341cation must also be unreasonable.” Williams, 529 U.S. at 411, 120 S.Ct. 1495.

In this case, Allen is not entitled to relief on his jury instruction claim under the “contrary to” clause. The state court properly identified the governing law— both the holding in McKoy that North Carolina law imposing a unanimity requirement on mitigating circumstances is unconstitutional, and the proper harmless error standard.1 Moreover, Allen does not contend the state court unreasonably applied the governing law with respect to McKoy itself. After all, the state court held that the unanimity instruction employed in Allen’s sentencing proceeding was unconstitutional. Allen does contend, however, that he is entitled to relief under the “unreasonable application” clause because the state court unreasonably applied the harmless error standard, as articulated in Chapman v. California, 386 U.S. 18, 24, 87 S.Ct. 824, 17 L.Ed.2d 705 (1967), to the facts of his case.

The North Carolina Supreme Court found the McKoy error to be “harmless beyond a reasonable doubt” based solely on the results of a post-verdict poll of the jury. Allen, 417 S.E.2d at 228. The court recounted:

The clerk then polled the jurors by stating to each of them each mitigating circumstance and whether it was found or not. The clerk asked each juror whether these were the answers to “your issues,” whether these were still the answers to the issues and whether he or she still assented thereto. Each juror answered in the affirmative.
It appears from this poll that the jury was unanimous as to each of the mitigating circumstances which the jury failed to find.

Id. (emphasis added). Thus, on the basis of each juror’s responses to a routine post-verdict jury poll, N.C. Gen.Stat. § ISA-1238 (providing that after return of a criminal verdict, upon motion of either party or judge’s own motion, each juror be polled as to whether the verdict announced is his or her verdict), the court reasoned that giving the unconstitutional jury instruction constituted harmless error beyond a reasonable doubt. Allen, 417 S.E.2d at 228. The North Carolina Supreme Court concluded that resentencing was not necessary because this poll established that no individual juror voted for any of the seven mitigating circumstances that the collective jury had not unanimously found.

In doing so, the North Carolina Supreme Court placed inordinate reliance on a poll that was never designed to, nor did it, cure the McKoy error. Rather, as is evident from even a cursory review of its substance, the poll merely confirmed that each juror followed the trial court’s unconstitutional instruction in sentencing Allen to death.

When the clerk polled each juror, she read the entire verdict form, which not only specifically asked, “Do you unanimously find from the evidence the existence of one or more of the following mitigating circumstances?”; but also stated, [342]*342“In the space after each mitigating circumstance, write ‘yes/ if you unanimously find that mitigating circumstance by a preponderance of the evidence. Write, ‘No,’ if you do not unanimously find that mitigating evidence.” (J.A. 137) (emphasis added). After reading through all of the proffered mitigating circumstances, the clerk queried the jurors if there were “[a]ny other circumstance or circumstances arising from the evidence which you, the jury, deem to have mitigating value.” (J.A. 106) (emphasis added). That is, in the verdict form, the term “you” was defined in the collective, referring to “you, the jury.” Importantly, no juror was ever asked how he or she individually voted on any of the mitigating circumstances. Instead, after reading the verdict form along with the jury’s collective responses, the clerk asked each juror, “Are these the answers to your issues?,” “Are these still the answers to the issues?,” and “[D]o you still assent thereto?” (J.A. 107).

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Cite This Page — Counsel Stack

Bluebook (online)
366 F.3d 319, 2004 U.S. App. LEXIS 8349, 2004 WL 905822, Counsel Stack Legal Research, https://law.counselstack.com/opinion/timothy-lanier-allen-v-rc-lee-warden-central-prison-raleigh-north-ca4-2004.