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Three capital cases are reported
this week. A split Fourth Circuit panel in Mickens
v. Taylor, grants relief as trial counsel labored under an actual
conflict of interest that adversely affected his representation. A split
panel of the Sixth Circuit in Rahman
v. Bell, divides bitterly on how much penalty phase investigation is
enough to meet the requirements of Strickland. Finally, in Clark
v. Johnson, a Fifth Circuit panel approves of a classic prosecutorial
flip-flop of changing the theory of the evidenceto argue greater culpability
of different defendants in different trials.
Supreme
Court
A gentle reminder that next
Monday is the first Monday in October, so-called "bloody Monday"
as the Court routinely denies over 100 capital cases in one day.
Updates will go out as warranted.
Capital
Cases
Rahman
v. Bell, No. 98-6568 (6th Cir. 09/13/2000) "The district court granted
the writ on Petitioner's claim of ineffective assistance of counsel at
the sentencing stage due to counsel's failure to present mitigating evidence
despite its availability. However, the district court denied Petitioner's
claim of ineffective assistance of counsel at the guilt stage, holding
that although the performance of Barrett and Camp was deficient, Petitioner
suffered no prejudice thereby. Abdur'Rahman v. Bell, 999 F.Supp. 1073 (M.D.
Tenn. 1998)."
Recognizing that in a habeas case a district court has the inherent authority
to order an evidentiary hearing to settle disputed issues of material fact
obviously raises the issue of how any evidence received by the district
court is to be considered if the court holds that the presumption of correctness
under § 2254(d) applies. The post-conviction trial court concluded
that Petitioner's trial counsel's performance was deficient during the
sentencing phase due to the failure to investigate and obtain information
about Petitioner's background and mental health. However, it went on to
hold that Petitioner suffered no prejudice at the sentencing stage because
the evidence that he would have offered to support a finding of mitigating
circumstances was both helpful and harmful and that it would not have been
a prudent strategy to present the evidence. The Tennessee Court of Criminal
Appeals affirmed that decision. See Jones, 1995 WL 75427, at *2.
The State argues that in the absence of the evidence presented at the evidentiary
hearing below, the state court findings of fact show deficient performance
on the part of Petitioner's trial counsel, but do not show any prejudice
from that deficient performance. Petitioner responds by arguing that the
state court findings of fact do show that he was prejudiced by trial counsel's
deficient performance.
Strickland
set forth the test for determining when the ineffective assistance of counsel
so prejudices a defendant that his sentence must be set aside. First, "any
deficiencies in counsel's performance must be prejudicial to the defense
in order to constitute ineffective assistance of counsel under the Constitution."
Strickland,
466 U.S. at 692. "The defendant must show that there is a reasonable probability
that, but for counsel's unprofessional errors, the result of the proceeding
would have been different. A reasonable probability is a probability sufficient
to undermine confidence in the outcome." Id. at 694. Additionally,
[w]hen a defendant challenges
a death sentence . . . the question is whether there is a reasonable probability
that, absent the errors, the sentencer-including an appellate court, to
the extent it independently reweighs the evidence--would have concluded
that the balance of aggravating and mitigating circumstances did not warrant
death.
Id. at 695. Finally, "[w]hen
a federal judge in a habeas proceeding is in grave doubt about whether
a trial error of federal law had 'substantial and injurious effect or influence
in determining the jury's verdict,' that error is not harmless. And, the
petitioner must win." O'Neal v. McAninch, 513 U.S. 432, 436 (1995).
Of course,
as stated above, the prejudice prong of the Strickland test is a
mixed question of law and fact that is reviewed de novo.(4)
Nevertheless, the state court findings of fact should be accorded the presumption
of correctness under § 2254(d). The post-conviction trial court held
that Petitioner's trial counsel had failed to adequately investigate Petitioner's
background and mental history, making the factual findings set forth above
in the process. Based upon these findings of fact, the post-conviction
trial court found that Petitioner did not suffer any prejudice from the
deficient performance, a holding that the Tennessee Court of Criminal Appeals
affirmed:
If the trial attorneys had investigated further, they would have found
that the appellant had a long history of violent behavior and anti-social
personality disorders. We agree with the trial judge's finding that trial
counsel were ineffective in failing to further investigate the background
of the accused under the circumstances, but we also agree with Mr. Barrett's
testimony and the trial judge's conclusion that it probably would not have
been the most prudent trial strategy to use proof of appellant's history
of violent behavior and anti-social personality disorders at either the
guilt or innocence phase or at the sentencing phase of the trial. As the
Supreme Court of the United States noted in
Strickland v. Washington,
466 U.S. 668, 700 (1984), "Given the overwhelming aggravating factors,
there is no reasonable probability that the omitted evidence would have
changed the conclusion that the aggravating circumstances outweighed the
mitigating circumstances and, hence, the sentence imposed." Indeed proof
of the appellant's psychological history in all probability would not have
changed the result, especially in light of appellant's conviction of prior
malicious killing while in a federal penitentiary and the other aggravating
factors. A decision of counsel relating to a choice of trial or appellate
strategy, even if it were proven improvident, could not form the basis
for an ineffective assistance of counsel claim.
Jones, 1995 WL 75427, at *2.
Petitioner
argues that this conclusion was in error, citing Lockett v. Ohio,
438 U.S. 586, 604 (1978), for the proposition that the capital sentencer
may "not be precluded from considering, as a mitigating factor, any aspect
of a defendant's character or record and any of the circumstances of the
offense that the defendant proffers as a basis for a sentence of less than
death." Id. Petitioner's reliance upon Lockett is misplaced
as it involved the presentation of evidence of mitigating circumstances
that was deemed not to fit within Ohio's narrow death penalty statute.
See
id. at 594-95. In the instance case, Petitioner did not "proffer" any
evidence that the jury was precluded from considering. Petitioner also
relies upon Glenn v. Tate, 71 F.3d 1204, 1211 (6th Cir. 1995), for
the proposition that "[o]ur sister circuits have had no difficulty in finding
prejudice in sentencing proceedings where counsel failed to present pertinent
evidence of mental history and mental capacity." Id.
Petitioner
did not suffer prejudice sufficient to create a reasonable probability
that the sentencing jury would have concluded that the balance of aggravating
and mitigating factors did not warrant death. We reach this conclusion
even considering the evidence presented at the evidentiary hearing below.
When a district court in a habeas case orders an evidentiary hearing to
settle disputed issues of material fact pursuant to its inherent authority
to do so, that evidence could be offered for a variety of purposes, though
the most common presumably would be to rebut the presumption of correctness
accorded to state court findings of fact. See Groseclose v. Bell,
130 F.3d 1161, 1163-64 (6th Cir. 1997) (stating that "federal courts must
defer to state court factual findings, according a presumption of correctness
that the petitioner may rebut only with clear and convincing evidence.").
However, in the instant case, the additional evidence and factual findings
made by the district court do not contradict the factual findings made
by the post-conviction trial court. CompareAbdur'Rahman, 999 F.Supp.
at 1093, with id. at 1094-1102. Instead, the additional evidence
seems to merely supplement the factual findings made by the post-conviction
trial court. See Pollinzi v. Estelle, 628 F.2d 417, 418 (5th Cir.
1980) (allowing evidence obtained at an evidentiary hearing to supplement
the trial transcript and record).
Even considering
the supplemental evidence heard by the district court and outlined in its
opinion, Petitioner did not suffer prejudice at the sentencing phase due
to his trial counsel's deficient performance. While it is true that much
of the supplemental evidence contains mitigating evidence that a sentencer
might find to be compelling, the same evidence likewise has aspects that
would be compelling evidence of aggravating circumstances. In particular,
the supplemental evidence contained a description of Petitioner's motive
for killing a fellow prison inmate and a history of violent character traits.
Therefore, we agree with the post-conviction trial court and the Tennessee
Court of Criminal Appeals that because the mitigating evidence that could
have been introduced also contained harmful information, Petitioner did
not suffer prejudice sufficient to create a reasonable probability that
the sentencing jury would have concluded that the balance of aggravating
and mitigating factors did not warrant death. Thus, the decision of the
district court that Petitioner was prejudiced at the sentencing stage due
to his counsel's deficient performance is reversed.
Clark
v. Johnson, No. 00-40061 (5th Cir. 09/12/2000) "Clark seeks a
COA from this court on five constitutional issues: (1) the prosecution's
violation of Clark's right to due process of law by its failure to disclose
to Clark's trial counsel favorable, material evidence as required by Brady
v. Maryland, 373 U.S. 83 (1963); (2) the violation of Clark's Eighth and
Fourteenth Amendment rights to be free from cruel and unusual punishment
resulting from the prosecution's inconsistent argument in a subsequent
related trial as to the identity of the shooter and the state trial court's
jury instructions, which permitted a capital murder conviction and a sentence
of death without a finding that Clark was the actual killer, had attempted
to kill, or had intended that a human life be taken; (3) the violation
of Clark's due process rights resulting from the trial court's failure
to instruct the jury that Clark would be ineligible for parole for thirty-five
years if sentenced to life imprisonment; (4) the denial of effective assistance
as guaranteed by the Sixth and Fourteenth Amendments at a critical stage
during Clark's direct appeal that precluded him from seeking a rehearing
in the Court of Criminal Appeals and a petition for writ of certiorari
to the United States Supreme Court; and (5) the denial of effective assistance
of counsel at the punishment stage of the capital murder trial during which
Clark's counsel presented no favorable evidence despite its availability,
in violation of the Sixth and Fourteenth Amendments. Clark additionally
challenges the federal district court's refusal to permit discovery or
to hold an evidentiary hearing to determine the validity of Clark's claim
of a Brady violation and of ineffective assistance of counsel at the punishment
stage."
In Brady v. Maryland, the
Supreme Court held that a prosecutor must disclose evidence to a criminal
defendant if that evidence is favorable to the defendant and material to
the defendant's guilt or punishment. 373 U.S. at 87. The Supreme Court
has found evidence material "if there is a reasonable probability that,
had the evidence been disclosed to the defense, the result of the proceeding
would have been different." United States v. Bagley, 473 U.S. 667,
682 (1985). "The question is not whether the defendant would more likely
than not have received a different verdict with the evidence, but whether
in its absence he received a fair trial, understood as a trial resulting
in a verdict of confidence. A 'reasonable probability' of a different result
is accordingly shown when the government's evidentiary suppression 'undermines
confidence in the outcome of trial.'" Kyle v. Whitley, 514 U.S.
419, 434 (1995)(citing Bagley, 473 U.S. at 678).
Clark maintains that during his capital
murder trial the state prosecutor argued that Clark had shot Cari Crews
and Jesus Garza, whereas at the subsequent trial of Clark's co-defendant,
James Brown, the prosecutor argued that Brown was the lone triggerman in
the murders. Allegedly, the prosecutor's arguments at the Clark trial were
based upon the testimony of Dr. John Kristofferson, Brown's orthopedic
surgeon, who opined that Brown, due to the seriousness of a gunshot wound
accidentally inflicted prior to the murders, was not likely able to walk
or stand at the time Crews and Garza were killed. This testimony, in conjunction
with the expert testimony from the autopsy physician, Dr. Marc Krouse,
as to the muzzle-to-wound distance and entry wound location regarding Garza
indicating that the shotgun was fired while being held parallel to the
front of Garza's torso, allowed the prosecutor to argue that Clark was
the triggerman since Brown was injured too severely to load the shotgun
and because "it wasn't just somebody laying on the ground, aiming a shotgun
at somebody and shooting them."(1)
Later, at Brown's trial, the prosecution
argued that Brown was the triggerman in both murders. This argument was
again based in part upon expert testimony given by the autopsy physician,
Dr. Marc Krouse, concerning the muzzle-to-wound distance with respect to
Jesus Garza. Clark argues that in Brown's trial Dr. Krouse's opinion of
the muzzle-to-wound distance was "manicured" or revised to "just a few
inches" instead of "a couple of feet" as he had testified in Clark's trial.
Clark argues that the difference between the versions of Dr. Krouse's expert
opinions was material and favorable to his defense, but was not available
to his trial counsel for use at his trial. According to Clark, had this
evidence been available to him, he too could have advanced the same argument
in his trial that the prosecution advanced subsequently in Brown's trial:
Whoever shot Garza right here in
the left side of the jaw, whoever shot him had that gun three or four inches
below his chin. This gun is some 24 inches long. You heard testimony to
that. Where does that put the trigger? That's the kind of awkward position
for someone facing Jesus [Garza] to pull the trigger and shoot him here.
What is that consistent with? What this wound and this shotgun are consistent
with is that the shooter is sitting. And either Jesus was standing over
him posing a threat, or Jesus was as Brown said, lying unconscious on the
ground, and the shooter sitting on the ground shot him there. That's what
the physical evidence tells you.
The district court rejected Clark's
argument, concluding that (1) Dr. Krouse's testimony in both trials was
essentially consistent, i.e., in both cases he in effect testified that
Garza was killed by a shot fired a short distance from his head ("a couple
of feet" in Clark's trial and "just a few inches" in Brown's trial) and
therefore did not suggest a suppression of evidence; and (2) that, assuming
Dr. Krouse's testimony was significantly inconsistent with respect to Garza's
fatal wound, that inconsistency would not have tended to exculpate Clark
from the crime of which he was convicted - the capital murder of Cari Crews.
We cannot say that the district court
erred in either finding. We find that Clark has failed to state a Brady
claim as he has failed to show suppression and materiality. Clark has presented
no proof of suppression. "[C]losing arguments are not evidence. Moreover,
a prosecutor can make inconsistent arguments at the separate trials of
codefendants without violating the due process clause." Beathard v.
Johnson, 177 F.3d 340, 348 (5th Cir. 1999). There is also
no proof that the prosecution suppressed any evidence regarding Dr. Krouse's
testimony because the testimony was not markedly different in the two trials.
Moreover, Clark fails to demonstrate materiality because as the prosecutor's
argument in Brown's case indicates, a muzzle-to-wound distance regarding
Garza of "just a few inches" does not make it any more likely that Garza
was killed by a shot from a sitting rather than a standing position. Accordingly,
Clark has failed to make a substantial showing of the denial of a constitutional
right with respect to his claim of a Brady violation.
Mickens
v. Taylor, No. 00-4 (4th Cir. 09/14/2000) "Mickens argues that either
of the following two circumstances mandates an award of the writ on conflict
grounds: (1) the state court failed to inquire into Saunders' conflict
of interest when it knew or should have known that a conflict existed,
and (2) Saunders labored under an actual conflict of interest that adversely
affected his representation. He has shown that (1) the state judge failed
to inquire into an apparent conflict that she knew or reasonably should
have known existed, (2) he did not waive any conflict, and (3) his lawyer,
Saunders, had an actual conflict of interest"
Mickens' first conflict
argument is that he must be retried for the following reason: the state
judge who appointed Saunders to represent him on the capital murder charge
conducted no inquiry even though the judge knew or should have known that
Saunders' back-to-back representation of the murder victim and the accused
would present a conflict. As a general rule, to establish ineffective assistance
of coun- sel, a petitioner must show (1) objectively unreasonable performance
and (2) prejudice. See Strickland v. Washington , 466
U.S. 668, 687 (1984). A different test applies when there is a conflict
of interest claim: "In order to establish a violation of the Sixth Amendment,
a defendant who raised no objection at trial must demonstrate that an actual
conflict of interest adversely affected his lawyer's perfor- mance." Sullivan,
446
U.S. at 348. As we have said, "[w]hen counsel for a defendant in a
criminal case has an actual conflict of interest . . . and the conflict
adversely affects counsel's performance in the defense of the defendant,
prejudice to the defense is presumed and a new trial must be ordered."
United
States v. Tatum, 943 F.2d 370, 375 (4th Cir. 1991) (citing
Sullivan,
446
U.S. at 348-50).
There is a circumstance where a
showing of adverse effect is not required, according to Wood v. Georgia,
450
U.S. 260 (1981). We have described that circumstance as follows: "In
Wood
v. Georgia, the Court flatly stated that a conflict situation
which is not addressed by the trial court requires reversal . . . `when
the trial court has failed to make an inquiry even though it knows or reasonably
should know that a particular conflict exists.'" Tatum , 943 F.2d
at 379 (emphasis added, internal citation omitted) (quoting Wood ,
450
U.S. at 272 n.18 (internal quotation marks omitted)). The Supreme Court
decided Wood on conflict of interest grounds even though neither
party had raised the conflict issue. See Wood, 450
U.S. at 265 n.4. The Court concluded that "the record . . . demonstrate[d]
that the possibility of a conflict of interest was sufficiently
apparent at the time of the [pro- bation] revocation hearing to impose
upon the[state] court a duty to inquire further." Id. at 272. However,
the Supreme Court could not "determine whether an actual conflict of interest
was present, espe- cially without the benefit of briefing and argument."
Id.
Accordingly, the Court ordered that the case be returned to the state trial
court for "a hearing to determine whether the conflict of interest that
th[e] record strongly suggest[ed] actually existed at the time of the proba-
tion revocation or earlier." Id. at 273. Significantly, the Wood
Court only asked the state court to determine whether there was an actual
conflict; it did not require an additional finding of adverse effect. The
Supreme Court specifically instructed the state court that if it found
"an actual conflict of interest" and "no valid waiver of the right to independent
counsel," "it must hold a new . . . hearing that is untainted by a legal
representative serving conflicting interests." Id. at 273-74. Accordingly,
to prevail under Wood
a petitioner must establish that (1) the trial
court failed to inquire even though it knew or reasonably should have known
about an apparent conflict,
see id. at 272; Tatum, 943 F.2d
at 379, (2) there"was no valid waiver of the right to independent counsel,"
Wood,
450
U.S. at 274, and (3) counsel had "an actual conflict of interest,"
id.
at
273. Under Wood once a petitioner makes this showing, prejudice
is presumed, and the peti- tioner is entitled to a new trial with conflict-free
counsel. See id. at 273-74.
Wood places a special responsibility
on trial courts to police situa- tions that present apparent conflicts.
As we have said, "[w]hen the risk of a conflict of interest is brought
to the attention of the trial court . . . the court has the responsibility
to investigate further, to advise the defendant personally, and to receive
a knowing waiver if that is the expressed wish of the defendant." Tatum,
942 F.3d at 379. If a court fails to initiate an inquiry when it knew or
reasonably should have known of an apparent conflict, it has not carried
out its responsibility. Careful attention to conflicts is essential to
protecting a defendant's Sixth Amendment right to counsel: "`Upon the trial
judge rests the duty of seeing that the trial is conducted with solicitude
for the essen- tial rights of the accused. . . . The trial court should
protect the right of an accused to have the assistance of counsel.'" Holloway
v. Arkan- sas, 435
U.S. 475, 484 (1978) (quoting Glasser v. United States, 315
U.S. 60, 71 (1942)), quoted in Tatum, 942 F.3d at 379. This
includes protecting the defendant's right to a lawyer who is free of conflicts.
A trial judge's immediate attention to obvious conflicts is also impor-
tant to maintain the integrity of, and public respect for, the justice
sys- tem. See Wheat v. United States, 486
U.S. 153, 160 (1988) (noting that "courts have an independent interest
in ensuring that criminal tri- als are conducted within the ethical standards
of the profession and that legal proceedings appear fair to all who observe
them"). Wood supports these principles by encouraging (in a practical
way) trial judges to deal promptly with apparent conflicts: the case dispenses
with the requirement to show adverse effect when a judge should have inquired,
yet failed to do so, thus making it somewhat easier to obtain a new trial.1
Mickens meets the Wood test. First, the district court concluded
that Judge Foster "knew, or should have know[n]" of the "apparent possible
conflict." Mickens, 74 F. Supp. 2d at 613-15. On April 3, 1992,
Judge Foster dismissed the charges against Timothy Hall due to his death
by making a handwritten order on his individual docket sheet. That single-paged
docket sheet identified Saunders as Hall's lawyer. "[T]he next business
day, Judge Foster appointed Saunders to represent Mickens in the capital
murder of Hall." Id. at 614. In addi- tion to these circumstances,
"[t]he heinous nature of the crime and the publicity it received make it
difficult to accept that the connection would have escaped Judge Foster's
notice." Id. And, "the judge was no doubt aware that Mickens faced
charges as to which it might be necessary to counter `evidence about the
victim and about the impact of the murder on the victim's family,' at least
at the penalty phase of the case." Id. (quoting Payne v. Tennessee,
501
U.S. 808, 827 (1991)). These facts and circumstances are sufficient
to show that Judge Foster knew or should have known of the apparent conflict. 2
Mickens also did not waive his right to conflict-free counsel. Since he
was never informed of the conflict of interest, he had no opportunity to
either consider the conflict or to knowingly and intelligently waive his
rights. As we discuss next, Mickens establishes an actual conflict of interest.3
We begin our analysis of the actual conflict issue by considering Mickens'
challenge to the test used by the district court. The district court used
a modified version of a test for actual conflict developed by the Eleventh
Circuit in Freund v. Butterworth , 165 F.3d 839 (11th Cir.) (en
banc), cert. denied, 120 S. Ct. 57 (1999). Freund distin-
guishes between cases of successive representation (such as Mick- ens')
and cases of simultaneous or multiple representation. The Freund
decision requires the petitioner to satisfy a tougher test in a successive
representation case: such a petitioner"must show that either (1) counsel's
earlier representation . . . was substantially and particularly related
to counsel's later representation of petitioner, or (2) counsel actually
learned particular confidential information during the prior representation
. . . that was relevant to petitioner's later case." Freund, 165
F.3d at 859 (internal quotation marks, emphasis, and alterations omitted).
Moreover, proof of either of these elements may not be enough, and the
petitioner may be called upon to intro- duce "other proof of inconsistent
interests." Id. (internal quotation marks omitted). Recognizing
that neither the Supreme Court nor we have ever restricted proof of a conflict
to the"two [Freund] scenar- ios," the district court did modify
the test to allow Mickens to meet his burden "through other proof of inconsistent
interests . . . if the interests actually diverged." Mickens, 74
F. Supp. 2d at 603 (internal quotation marks omitted).
Even though the district court's
modification arguably broadens the Freund test, we decline to adopt
that test, even as modified. Neither the Supreme Court nor this court has
ever held that a stricter test should apply to a case of successive representation.
In our most recent opinion involving successive representation, Burket
v. Angelone, 208 F.3d 172 (4th Cir.), cert. denied, 120 S. Ct.
2761 (2000), we neither mentioned Freund nor indicated that successive
representation cases should be treated any differently than cases of multiple
representation. Instead, Burket reaffirmed that a variety of conflicting
interests may infect a lawyer's representation:
Counsel's "representation of conflicting
interests, however, is not always as apparent as when he formally represents
two parties who have hostile interests. He may harbor sub- stantial personal
interests which conflict with the clear objective of his representation
of the client, or his continu- ing duty to former clients may interfere
with his consider- ation of all facts and options for his current client."
Burket, 208 F.3d at 185 (quoting
Tatum
,
943 F.2d at 376). To deter- mine whether Sullivan's "actual conflict"
requirement is met, we have formulated the following test: "To establish
an actual conflict of inter- est, the petitioner must show that his interests`diverge[d]
with respect to a material factual or legal issue or to a course of action.'"
Williams,
146 F.3d at 212 (quoting Sullivan,
446
U.S. at 356 n.3 (Marshall, J., concurring in part and dissenting in
part)). See also Gilbert v. Moore, 134 F.3d 642, 652 (4th Cir.)
(stating same test), cert. denied, 525
U.S. 840 (1998). We adhere to our existing test.
Mickens contends that Saunders labored
under one or more actual conflicts of interest. Mickens begins by arguing
that his interests diverged from Saunders' because Saunders had a significant
personal stake in not revealing his prior representation of Hall. The district
court rejected this claim on the basis of Saunders' statements that he
saw no conflict of interest and that as far as he was concerned his rep-
resentation of Hall "[e]nded when I walked into the courtroom and they
told me he was dead and the case was gone." We conclude that the district
court erred. To begin with, the district court decided to put great weight
on Saunders' testimony based on our observation in United States v.
Young, 644 F.2d 1008 (4th Cir. 1981), that a court "accords great weight
to a lawyer's perception of a conflict" when evaluating a conflicts claim.
644 F.2d at 1014. However, the district court did not consider our next
crucial statement that "courts neces- sarily rely in large measure upon
the good faith and good judgment of defense counsel in determining whether
an actual conflict of inter- est exists." Id. (internal quotation
marks omitted). The difficulty with placing "great weight" on Saunders'
testimony that he did not see a conflict is that the district court repeatedly
found that Saunders did not exercise good judgment. See, e.g., Mickens,
74 F. Supp. 2d at 605 (noting that Saunders' view that he had no continuing
allegiance to Hall was "remarkably wrong"); id. at 606 (noting that
Saunders' fail- ure to disclose his prior representation of Hall was"inexcusable");
id.
at 612 n.20 (finding that Saunders' testimony that"he assumed that [his
co-counsel] (and everyone else) knew that he had represented Hall . . .
lacks evidentiary support and . . . borders on the absurd");
id.
at 612 (finding that Saunders had a "myopic view of the potential conflicts
and [an] utter insensitivity to the ethical issues raised by the facts");
id.
at 605 (stating that "the evidence shows that, regrettably, Saunders never
struggled with the ethical issues"); id. at 611 (con- cluding that
Saunders' reasons for failing to pursue investigative leads "are not defensible").
In situations such as this where a lawyer fails to exercise good judgment,
courts do not hesitate to disregard a law- yer's testimony that he did
not perceive a conflict of interest. SeeUnited States v. Swartz,
975 F.2d 1042, 1046-48 (4th Cir. 1992) (rejecting lawyer's statement that
he had "[n]o conflict whatsoever" in representing two defendants in same
case); Hoffman v. Leeke, 903 F.2d 280, 286 (4th Cir. 1990) (rejecting
lawyer's testimony that "he saw no conflict of interest because he thought
[his two clients in the same criminal case] would testify to substantially
the same facts"); cf.Wheat, 486
U.S. at 163 (holding that a court may disqualify a lawyer who is willing
to accept a client's waiver of a conflict of interest and observing "that
the willingness of an attorney to obtain such waivers from his clients
may bear an inverse relation to the care with which he conveys all the
necessary information [about potential problems] to them"). Thus, Young
does not establish a rule that courts must always accord great weight to
a lawyer's perception about whether an actual conflict exists. Rather,
when it is clear that the lawyer lacks good faith or good judgment, his
testimony may be disregarded, or at least not be given "great weight."
Here, we are not suggesting that Saunders' testimony should have been rejected,
but it was certainly not entitled to great weight in light of the district
court's several find- ings that confirmed Saunders' poor judgment.
In any event, because the district
court took Saunders' testimony as truthful, so do we. Still, his testimony
-- taken at whatever weight -- does not undermine Mickens' argument that
there was an actual conflict. As we have repeatedly recognized, a lawyer's
personal inter- ests may "conflict with the clear objective of his representation
of the client." Burket, 208 F.3d at 185 (quoting Tatum, 943
F.2d at 376). See also Fields, 956 F.2d at 1298-99 (noting
that petitioner arguably dem- onstrated a conflict when his interests diverged
from his lawyer's "in- terest in protecting his own professional reputation
and good- standing"); United States v. Magini, 973 F.2d 261, 264
(4th Cir. 1992). When Saunders undertook the representation of Mickens,
it was clearly established that "[d]efense counsel have an ethical obliga-
tion to avoid conflicting representations and to advise the court promptly
when a conflict of interest arises." Sullivan, 446
U.S. at 346. See also Va. Code Prof'l Responsibility DR5-105(A)
(Michie 1992). And, the Virginia Code of Professional Responsibility (as
it was called at the time of Mickens' trial) provided that a lawyer had
the duty to "explain any circumstances that might cause a client to ques-
tion his undivided loyalty." Va. Code Prof'l Responsibility EC 5-19 (Michie
1992). As the district court found, "Saunders' representation of the murder
victim, at the time of the murder, is undoubtedly a cir- cumstance `that
might cause a client to question his undivided loy- alty.'" Mickens,
F. Supp. 2d at 601. Regardless of whether Saunders believed he could ethically
represent Mickens, he was also required to "defer to a client who [held]
the contrary belief [by] withdraw[ing] from representation of that client."
Va. Code Prof'l Responsibility EC 5-19 (Michie 1992). Saunders thus had
the duty to inform both Mick- ens and the court of the prior representation
of Hall. If Mickens had objected, Saunders had a related duty to withdraw.
Once Saunders proceeded with the
representation of Mickens in these circumstances, he was potentially subject
to disciplinary pro- ceedings, which gave rise to an interest in protecting
his professional reputation. In other words, Saunders had an interest in
preventing his representation of Hall from coming to light. This interest
diverged from Mickens' interest in learning about the earlier representation
and in making sure he (Mickens) received conflict-free representation.
Saunders was thus caught in an actual conflict. See Fields, 956
F.2d at 1298-99 (recognizing potential conflict when client's interest
required lawyer "to confess his own negligence or incompetence," but ultimately
rejecting claim because once lawyer "frankly admitted [his errors] in open
court," "any conflict that might have stemmed from [the lawyer's] interest
in protecting his professional standing evapo- rated"); cf. United States
v. Iorizzo, 786 F.2d 52, 58 (2d Cir. 1986) (holding that defendant
established conflict of interest claim when lawyer, "solely to protect"
his own interest in his professional reputa- tion, decided to forego cross-examination
of witness that lawyer had previously represented); Government of the
Virgin Islands v. Zepp, 748 F.2d 125, 136 (3d Cir. 1984) (holding that
an actual conflict existed when defendant's interests diverged from trial
counsel's per- sonal interest in avoiding potential criminal and disciplinary
charges for destroying evidence in defendant's case). Saunders' testimony
that he did not perceive a conflict may speak to whether the conflict caused
an adverse effect, but it does not negate the reality of an actual conflict.
Mickens next contends that an actual
conflict existed because Saunders could not investigate Hall, using the
confidential informa- tion he learned from the young man, without violating
the ethical duties that he (Saunders) owed to Hall, his former client.
Saunders had a duty to preserve Hall's secrets and confidences even though
his employment as Hall's lawyer had ended. See Va. Code Prof'l Respon-
sibility DR 4-101, EC 4-6 (Michie 1992). The Supreme Court has recently
reaffirmed the common law rule that a lawyer's duty to pro- tect his client's
confidences continues after the client's death. See Swidler &
Berlin v. United States, 524
U.S. 399, 410-11 (1998). Saunders also had a duty to zealously represent
Mickens. See Va. Code Prof'l Responsibility DR 7-101 (Michie 1992).
In representing Mickens, Saunders could not pull his punches in order to
protect what he knew about Hall.
The district court applied the Freund
test to reject Mickens' con- flicts claim on the ground that "Saunders
did not learn any confiden- tial information from Hall that was relevant
to Mickens' defense either on the merits or at sentencing." Mickens,
74 F. Supp. 2d at 606 (emphasis omitted). The district court erred as a
matter of law because it focused too narrowly in describing the circumstance
(defense on the merits or at sentencing) where confidential information
might be rele- vant or useful. We have held that an actual conflict can
also arise at the investigation and plea negotiation stages of a representation.
SeeBurket,
208 F.3d at 185 ("`[A] failure to act on behalf of a client before trial
has representational significance.'" (quoting
Tatum, 943 F.2d at
376)); Magini, 973 F.2d at 263 ("A conflict which causes counsel
to fail to explore possible plea negotiations may implicate the Sixth Amendment
right to counsel."). The proper inquiry, therefore, is whether Saunders'
interest (or duty) in maintaining Hall's secrets and confidences diverged
from Mickens' interest in pursuing a course of action, specifically, a
reasonable pretrial investigation. See Wil-liams, 146 F.3d at 212.
Here, the divergence of interests was suffi- cient to create a second actual
conflict.
The district court found that Saunders
learned the following infor- mation through his representation of Hall:
"(a) Hall had been charged with carrying a concealed weapon at the intersection
of 27th Street and Marshall in Newport News; (b) Hall's mother had pressed
charges against him for assault . . .; and (c) Hall was not living with
his mother at the time of his death." Mickens , 74 F. Supp. 2d at
606. The district court also found that Saunders met with Hall for fifteen
to thirty minutes and that they discussed "the circumstances surround-
ing each of the charged crimes." Id. at 599. Finally, the district
court acknowledged that Saunders obtained confidential information from
Hall. Id. at 606. Saunders thus learned"confidences" and "secrets"
in his representation of Hall that he (Saunders) was bound not to reveal.
See
Va. Code Prof'l Responsibility DR 4-101 (Michie 1992); Com-monwealth
v. Edwards, 370 S.E.2d 296, 301 (Va. 1988). Moreover, under Virginia
law even the charges against Hall were confidential because they were in
Hall's juvenile court records which cannot be opened to those outside the
juvenile court system without a court order. See Va. Stat. Ann.
§ 16.1-305.
Juxtaposed to Saunders' duty to
remain loyal to Hall by maintain- ing his confidences and secrets was a
duty he owed to his new client, Mickens. As illustrated by the American
Bar Association's standards, Saunders had the duty to conduct a thorough
pretrial investigation for Mickens: "Defense counsel should conduct a prompt
investigation of the circumstances of the case and explore all avenues
leading to facts relevant to the merits of the case and the penalty in
the event of con- viction." ABA Standards for Criminal Justice Standard
4-4.1(a) (3d ed. 1993). The Supreme Court and our circuit have recognized
the ABA standards as "guides to determining what is reasonable." Strick-land,
466
U.S. at 688, quoted in Jones v. Murray, 947 F.2d 1106, 1110
(4th Cir. 1991). Saunders did not investigate (or attempt to develop) any
negative information about Hall, the victim of the crime Mickens allegedly
committed. Yet the circumstances of this crime (murder and sodomy) suggested
that some consideration had to be given to investigating the character
and background of the victim. There were no witnesses to Hall's murder,
which occurred in a secluded area that was a "known gathering place for
homosexuals," Mickens, 74 F. Supp. 2d at 607. Saunders knew from
his representa- tion of Hall that Hall had some tendency to violence or
aggressive- ness and that for some reason he was no longer living at home,
despite his young age. This information, together with the notable location
of Hall's murder, at least suggested an investigation into whether consent
to the sodomy and self-defense to the murder might be defenses or statutory
mitigators. In other words, the negative infor- mation Saunders had about
Hall had the potential to lead to informa- tion about the circumstances
of the crime. Indeed, the district court recognized that "a reasonable
investigation would have included an examination of Hall's past." Id.
at 610. Nevertheless, the district court did not see a problem. The court
concluded that the confidential infor- mation Saunders had about Hall did
not create an actual conflict because it "was irrelevant to Mickens' defense"
since he denied com- mitting the crime. Id. at 606. This analysis
misses the mark because a lawyer has an initial duty to investigate and
to make his own, inde- pendent appraisal of the case. See ABA Standards
for Criminal Justice Standard 4-4.1(a). Of course, obvious avenues
of investigation do not always lead to relevant evidence or viable defenses.
The point is that reasonable areas of investigation must be considered
and pursued. Because of Saunders' duty to protect Hall's secrets and confidences,
he could not even consider an investigation that was suggested by
the circumstances. See Tatum, 943 F.2d at 376 (noting that actual
conflict exists when lawyer's "continuing duty to former client[ ] . .
. inter- fere[s] with his consideration of all facts and options
for his current client") (emphasis added). We recognize that in its adverse
effect inquiry the district court "credit[ed] Saunders' testimony that
he did not refrain from taking any actions for Mickens because of his earlier
representation of Hall." Mickens, 74 F. Supp. 2d at 612. But that
begs the question whether Saunders had an actual conflict in the first
place. Saunders' testimony that there was no adverse effect does not address
whether Mickens' interests diverged from Saunders' interests in pro- tecting
Hall's confidences. Saunders had an actual conflict because he could not
even consider an investigation into Hall's character or back- ground, using
as a starting point the information he had about the cir- cumstances of
the crimes charged against Hall.
Saunders' duty to conduct a reasonable
investigation created still another conflicting interest. Because this
was a capital case, there was a good chance that someone from the victim's
family (perhaps Hall's mother) would testify during the penalty phase.
See
Va. Stat. Ann. § 19.2-264.4 (Michie 1992); Payne v. Tennessee,
501
U.S. 808, 827 (1991); Mickens, 74 F. Supp. 2d at 614. Again,
there is a duty to "ex- plore all avenues leading to facts relevant to
. . . the penalty." ABA Standards for Criminal Justice Standard
4-4.1(a). Surely this would require defense counsel to consider investigating
the victim's relation- ship with key family members, especially (in this
case) the victim's mother since the victim was a juvenile. Here, Saunders,
while he rep- resented Hall, learned something about his relationship with
his mother and about the fact that he no longer lived at home. In particu-
lar, Saunders learned about the circumstances leading to the charge that
Hall had "grabbed [his mother] by the arms and shoved her to the ground"
shortly before his death. Mickens, 74 F. Supp. 2d at 599. This confidential
or secret information that Saunders had about some aspects of Hall's relationship
with his mother also created a conflict: Saunders' interest in preserving
Hall's confidences diverged from Mickens' interest in having Saunders consider
an investigation into Hall's relationship with his mother. In sum, Mickens
must be afforded a new trial because of the con- flict of interest problem.
He has shown that (1) the state judge failed to inquire into an apparent
conflict that she knew or reasonably should have known existed, (2) he
did not waive any conflict, and (3) his lawyer, Saunders, had an actual
conflict of interest. This is suffi- cient under Wood v. Georgia
to establish the merits of his claim that he was deprived of his Sixth
Amendment right to representation that is free of conflicts of interest.
Prejudice is therefore presumed, and Mickens is entitled to a new trial.4
Habeas
Cases
Scott
v. Johnson, No. 99-10414 (5th Cir. 09/11/2000) "Scott argues that he
is entitled to equitable tolling. Equitable tolling is appropriate in "rare
and exceptional circumstances." Fisher v. Johnson, 174 F.3d 710, 712 (5th
Cir. 1999). He claims that the state created an impediment to his filing
a state habeas application because the state (1) confiscated his legal
materials on August 5, 1996, and (2) the legal library was inadequate.
Scott admits, however, that such impediments were removed as of February
25, 1997, which is approximately six months prior to the expiration of
the limitation period. Accordingly, these arguments do not establish that
Scott is entitled to equitable tolling."
Anderson
v. Cowan, No. 99-3485 (7th Cir. 09/15/2000) "The district court denied
his habeas petition but granted a certificate of appealability on the issue
of whether Mr. Anderson's Confrontation Clause rights had been violated
under Bruton v. United States, 391 U.S. 123 (1968). The district court
refused to issue a certificate with respect to Mr. Anderson's remaining
two issues: whether he received ineffective assistance of counsel and whether
he is entitled to a Batson hearing. For the reasons set forth in the following
opinion, we affirm the judgment of the district court."
Wyzykowski
v. Department of Corrections, No. 98-4971 (11th Cir. 09/11/2000) "Wyzykowski
"claim[s] that he was denied his Sixth Amendment right to effective assistance
of counsel. In particular, he claimed that his counsel failed to investigate
the case properly before advising him to plead guilty to second degree
murder. In addition, Wyzykowski claimed that he was actually innocent of
second degree murder because the victim actually started the fight with
him; of first degree premeditated murder because he was too intoxicated
to form the requisite intent and again because the victim started the fight;
of first degree felony-murder because he was not guilty of attempted burglary;
and of attempted burglary because the shoes he allegedly attempted to burgle
were actually his own shoes, he lacked the capacity due to intoxication
to form the requisite specific intent for burglary, and there is no evidence
that he entered the dwelling to commit a crime. The new evidence for these
claims is Wyzykowski's detailed statements regarding the events that led
to Butterworth's death." Remand for for further factual development."
Wims v. United States, No. 99-2210
(2d Cir. 09/14/2000) "This appeal presents a question concerning the proper
application of the one-year statute of limitations governing federal habeas
corpus relief pursuant to 28 U.S.C. § 2255. We hold that § 2255(4)
establishes the date on which the limitations period begins to run; that
date is determined by when "the facts supporting the claim or claims presented
could have been discovered through the exercise of due diligence." Id.
(emphasis added). This is so, moreover, regardless of whether petitioner
actually discovers the relevant facts at a later date. Because, instead,
the United States District Court for the Western District of New York (Larimer,
Chief Judge) erroneously decided this case on the basis of whether appellant
failed, through lack of due diligence, to discover the relevant facts until
more than a year after his conviction became final, we vacate its decision
dismissing the instant petition as time barred." (no link)
Robinson
v. LaFleur, No. 99-3143 (8th Cir. 09/13/2000) "Robinson filed his §
2254 petition in September 1998, claiming (1) counsel was ineffective for
failing to communicate plea offers, properly investigate powder burns on
Robinson's hands, properly cross-examine the medical examiner, present
evidence regarding the victim, or adequately object to the admission of
Robinson's post-arrest statements; (2) the evidence at trial was insufficient
to convict him; and (3) his due process rights were violated by the trial
court's exclusion of certain evidence and erroneous instructions to the
jury. The magistrate recommended that the petition be denied. The district
court, after de novo review, adopted the magistrate's report and recommendation."
Robertson
v. Morgan, No. 98-4150 (6th Cir. 09/14/2000) "Double jeopardy can be
a concern if a defendant is adjudicated once for an offense at the juvenile
level and again as an adult for the same offense. That did not happen here.
The elements comprising the offenses of felonious assault and aggravated
robbery in Ohio are distinct. The amenability issue was only litigated
once, and there was sufficient evidence in the record to support binding
over Robertson for adjudication as an adult. For these reasons, the judgment
of the district court denying defendant's petition for habeas relief is
AFFIRMED."
Wheeler
v. Jones, No. 99-1008 (6th Cir. 09/11/2000). "The district court denied
Wheeler's petition, finding that his conviction had become final in 1971,
thus preventing him from taking advantage of the new rule announced eight
years later in Sandstrom. See Teague v. Lane, 489 U.S. 288, 310 (1989)
(holding that new rules of criminal procedure cannot be applied retroactively
except in very limited circumstances). For the reasons set forth below,
we AFFIRM the judgment of the district court."
Cunningham
v. Gates, No. 98-55108 (9th Cir. 09/15/2000) "Excessive force shooting
case. The shooting officers, the police commissioners, and the supervising
officers, in the majority, not entitled to summary judgment , nonshooting
parties, the council members, the City attorneys, and Captain Daniel
Koenig however, are entitledto summary judgment."
Vasquez
v. Strack, No. 98-2590 (2d Cir. 09/14/2000) "On appeal, Vasquez argues,
inter alia, that (1) the court below incorrectly interpreted the standard
by which federal courts must review state court judgments under the Antiterrorism
and Effective Death Penalty Act ("AEDPA"), 28 U.S.C. § 2254(d)(1),
as requiring deference to state court interpretations of Supreme Court
precedent; *fn1 and (2) that under any interpretation of § 2254(d)(1),
the Supreme Court's decision in Wardius v. Oregon, 412 U.S. 470 (1973),
compels a finding that he was deprived of due process and a fair trial
because the prosecution withheld reciprocal notice of its alibi rebuttal
witness to his substantial prejudice. Respondents argue, inter alia, that
the district court properly interpreted § 2254(d)(1) to bar relief
and that regardless of how § 2254 is interpreted, Vasquez is barred
from relief under Teague v. Lane, 489 U.S. 288, 315-16 (1989), because
he seeks to establish a new rule of constitutional criminal procedure.
We held the disposition
of this case pending the Supreme Court's decision in Williams v. Taylor,
120 S. Ct. 1495 (2000), which resolved much of the debate over the interpretation
of § 2254(d)(1). In light of Williams, we hold that § 2254(d)(1)
bars relief in this case because the federal law that Vasquez argues should
apply to his case was not "clearly established . . . as determined by the
Supreme Court of the United States." 28 U.S.C. § 2254(d)(1). Accordingly,
we affirm."
Dubria
v. Smith, No. 98-55914 (9th Cir. 09/11/2000)(en banc) "Dubria claims
constitutional error from the admission of the unredacted tape and transcript
of his New Jersey interview by police detectives. During this interview,
the detectives, in particular Detective Detar, challenged Dubria about
his explanation of the events and repeatedly told him that no judge or
jury would believe him if he stuck to his story. The state claims that
Dubria procedurally defaulted on this issue by failing to make a contemporaneous
objection at trial. The state also argues in the alternative that, even
if there is no procedural bar, the district court did not commit error
in admitting the unredacted tapes."
Valverde
v. Stinson, No. 98-2404 (2d Cir. 09/11/2000) "Appeal from a judgment
of the United States District Court for the Eastern District of New York
dismissing as untimely a habeas corpus petition filed pursuant to 28 U.S.C.
§ 2254 on May 6, 1997. We vacate and remand for the district court
to develop further the facts relevant to the petitioner's claim that a
corrections officer prevented him from filing the petition on time by confiscating
his legal papers shortly before the limitations period expired."
Herrera
v. Lemaster, No. 98-2060 (10th Cir. 09/14/2000) "Petitioner appeals
the district court's denial of habeas relief, see 28 U.S.C. § 2254,
from his New Mexico convictions for first degree murder and aggravated
assault with a firearm. We granted petitioner's request for the issuance
of a certificate of appealability, see id. § 2253(c), on his claim
that the New Mexico Supreme Court erred in determining that the trial court's
admission of evidence seized in violation of the Fourth Amendment was harmless
error, see State v. Herrera, 694 P.2d 510, 514 (N.M. 1985).*fn1 On appeal,
petitioner contends the district court erred by affording a presumption
of correctness to the state court's harmless error analysis and in denying
federal habeas relief on this claim without first reviewing the state court
record. We agree, and remand to the district court so it can review the
state court record in the first instance under the proper standard."
United
States v. Sumner, No. 99-10523 (9th Cir. 09/12/2000) "Thomas Alan Sumner
appeals from the order of the district court denying his motion to expunge
his twenty-six-year-old conviction for the unlawful possession of narcotics
and to order the Government to remove all records of his arrest and conviction
from its central files. The district court denied the motion after concluding
that Sumner did not satisfy the criteria for having his criminal record
expunged under the Federal Youth Corrections Act (the "FYCA"), 18 U.S.C.
S 5010(a),*fn2 and that it lacked jurisdiction to expunge his record. We
have appellate jurisdiction pursuant to 28 U.S.C. S 1291. We affirm, because
we conclude that the district court correctly determined that it lacked
jurisdiction to consider the merits of Sumner's motion."
Vincent
v. Seabold, No. 98-6457 (6th Cir. 09/13/2000) "Vincent first asserts
that the trial court violated his Sixth Amendment right to confrontation
when it allowed Detective Gaddie of the Kentucky State Police to testify
as to post-arrest, custodial hearsay statements made by former co-defendant
Kinser. . .Vincent asserts that the trial court also violated his Sixth
Amendment right to confrontation when it allowed Tammy Seabolt Shephard
to testify that a year or two following the crime, Defendant Johnson told
her that he had not murdered Hayes, but that it was Vincent and Kinser."
Montoya
v. Johnson, No. 99-50190 (5th Cir. 09/14/2000) "At most, this was a
close case for the Texas Court of Criminal Appeals, sitting on habeas review,
to determine whether the state sentencing court adequately had explained
the terms of the agreement to defeat Montoya's dual claims of unknowing
plea and prejudice by ineffective assistance of counsel. The closeness
of that case, however, makes plain the path we must take on federal habeas
review pursuant to AEDPA--that is, deference to the state court's reasonable
application of clearly established federal law as determined by the Supreme
Court. The federal district court may have regretted its decision to sentence
Montoya consecutively with the state sentence, but federal habeas review
is not an appropriate remedy, for this petition requests a degree of interference
with the state criminal justice system that AEDPA expressly forbids."
Rowe
v. Lemaster, No. 99-2273 (10th Cir. 09/13/2000) "We must decide whether
the interval between successive state habeas proceedings is excluded from
the limitations period when the second state petition is designated, but
never formally approved, as an amendment to the first. We review the legal
questions raised here de novo. See Adams v. LeMaster, ___ F.3d ___, 2000
WL 1174646, at *2 (10th Cir. Aug. 18, 2000) (No. 99-2348). For reasons
stated below, we hold that the hiatus between petitioner's state habeas
efforts is not excluded from the limitations period and, accordingly, affirm
the district court's dismissal of this proceeding under § 2241(d)(1)."
Isham
v. Randle, No. 99-3412 (6th Cir. 09/13/2000) "Defendant appeals the
judgment of the district court dismissing his habeas corpus petition as
untimely under 28 U.S.C. § 2244(d)(1). Defendant argues that, pursuant
to § 2244(d)(2), the time during which his Ohio R. App. P. 26(B) application
was pending, as well as the time during which he could have potentially
petitioned the United States Supreme Court for a writ of certiorari, should
have stayed § 2244(d)(1)'s one year limitations period. In order for
defendant's habeas corpus petition to be timely, defendant would have to
prevail on both of these arguments. Because we conclude that the one year
limitations period is not tolled during the ninety days in which defendant
could have petitioned the United States Supreme Court for a writ of certiorari,
we decline to consider defendant's argument concerning his Ohio R. App.
P. 26(B) application and AFFIRM the district court's dismissal of defendant's
petition as untimely."
Section
1983 & Related Filings
Jacobs
v. West Feliciana Sheriff's Department, No. 99-30185 (5th Cir. 09/13/2000)
"[T]his section 1983 claim brought by the sons of a woman who committed
suicide as a pretrial detainee in a Louisiana jail, Defendants-Appellants,
West Feliciana Sheriff Bill Daniel, Deputy Earl Reech, and Deputy Wayne
Rabalais have filed this interlocutory appeal from the denial of their
motion for summary judgment based on qualified immunity. For the reasons
discussed below, we dismiss this appeal as it relates to claims against
Sheriff Daniel in his official capacity, we affirm the denial of qualified
immunity for Sheriff Daniel and Deputy Reech, and we reverse the denial
of qualified immunity for Deputy Rabalais."
In
Depth Features
To return next week.
Errata
From the Death
Penalty Information Center reports:
States Without the Death
Penalty Have Better Record on Homicide Rates
A new survey by the New York Times
found that states without the death penalty have lower homicide rates than
states with the death penalty. The Times reports that ten of the
twelve states without the death penalty have homicide rates below the national
average, whereas half of the states with the death penalty have homicide
rates above. During the last 20 years, the homicide rate in states
with the death penalty has been 48% - 101% higher than in states without
the death penalty. "I think Michigan made a wise decision 150 years
ago," said the state's governor, John Engler, a Republican, referring to
the state's abolition of the death penalty in 1846. "We're pretty
proud of the fact that we don't have the death penalty." (New York
Times, 9/22/00) See also, states with and without the death penalty
, murder rates by state 1995-1998, and deterrence.
A Story of Mental Retardation and
the Death Penalty; Accomplice Served Less than 6 Years
Lorenza Norwood,
whose IQ measures in the 60s, was sentenced to death for the murder of
a convenience store clerk in 1993 in North Carolina. Norwood's accomplice,
Herbert Joyner, refused to talk to the police, hired his own lawyer, accepted
a plea, and was sentenced to 15 years imprisonment, of which he served
less than six. Norwood, on the other hand, was defended by court-appointed
attorneys after having already talked to the police.
Norwood was born
two months pre-mature. He failed the first grade. When he was
30, he was out of work. When he came up 20 cents short in buying
a bottle of wine, he got into an argument with a store clerk. The
clerk hit him with a baseball bat and chased him from the store.
Later, Norwood returned to the store with Joyner, a man with a long criminal
record who urged Norwood to take revenge. The clerk died from a fire
started by Norwood and Joyner.
The U.S.
Supreme Court has ruled that the death penalty should be reserved for the
most heinous crimes and the most culpable criminals. "To permit the
execution of a person with mental retardation," says Jim Ellis, a national
expert on mental retardation and a professor at the University of New Mexico,
"requires concluding that such an individual is both in the bottom 2 percent
of the population in intelligence and also in the top 1 or 2 percent of
the population in his appreciation and understanding of the wrongfulness
of his actions." (Charlotte Observer, 9/14/00) See also, Mental
Retardation
Inadequate Representation Cited in
Carolinas Cases
The Charlotte Observer cited the
following cases to illustrate the problem with the Carolinas' low
standards for capital defense lawyers:
-
Lawyer Newton Pough mistakenly called
his client, Sterling Spann, by the wrong name some 20 times during his
1982 trial. On appeal, Spann's new attorney pointed out evidence
that suggested a serial killer actually may have killed Spann's alleged
victim. Upon reviewing this evidence, the South Carolina Supreme
Court ordered a new trial, and Spann was released.
-
Michael McDougall was represented by
an attorney who "acted unethically or even criminally," according
to a Charlotte judge. On appeal, McDougall maintained that his attorney,
Jerry Paul, furnished him with drugs, lied about his qualifications, and
solicited false testimony. Because McDougall could not prove that
Paul's behavior affected the jury verdict, his appeal was denied, and he
was executed in 1991. Paul was later disbarred.
-
Thomas Jack Brown's capital defense
attorney, Ertle Chavis, spent less than 40 hours preparing for trial and
did not talk to key witnesses. A judge cited 36 ways Chavis failed
his client. Brown's death sentence was later overturned.
(Charlotte Observer, 9/10/00)
Poll Reveals Support for Death Penalty
Reform
A bi-partisan group of Senators
and Representatives released the results of a poll by Peter Hart Research
and American Viewpoint showing:
-
64% of Americans support a moratorium
on executions until issues of fairness in capital punishment can be resolved
-
89% support providing access to DNA
evidence in capital cases
-
83% support providing qualified, experienced
attorneys in capital cases
-
55% said it is not enough to require
DNA testing without ensuring access to competent counsel
(The Justice Project, Press Release,
9/14/00) See also, Public Opinion
North Carolinians Support Moratorium
The North Carolina Academy of Trial
Lawyers called for a halt to executions until questions about the fairness
of capital punishment could be resolved. The academy recently
released a poll that found only 2 in 5 North Carolina voters are confident
that the death penalty is applied fairly. The poll found that 59%
favored a moratorium on executions until issues concerning fairness could
be studied. (Charlotte Observer, 9/13/00)
Defense Challenges Drug and Alcohol
Addicted Attorney
Texas death row
inmate Joe Lee Guy is appealing his conviction because his trial attorney,
Richard Wardroup, was "in the throes of drug and alcohol addiction," and
had been "suspended from the practice of law no fewer than 5 times."
Guy's petition also included statements from every member of Guy's trial
team swearing that Wardroup was using drugs and alcohol during the trial
and some stated that he had trouble staying awake in court following drinking
binges.
A former employee
of the attorney, Regina Young, said that she "personally participated in
cocaine use with Mr. Wardroup while in transit to Plainview" during Guy's
trial. "During the guilt/innocence portion of trial, I attended court
on approximately 3 days," Young said, "Mr. Wardroup and I did approximately
3 to 4 lines of cocaine each while driving from Lubbock to Plainview on
one of those mornings." At one point, Wardroup was unable to file
an appeal for Guy because his law license was under suspension.
Guy and two others
were convicted of the 1993 robbery and shooting of a Plainview, Texas grocer.
However, despite reports that Guy served as the lookout and was not the
triggerman, only Guy was sentenced to death. (Lubbock Avalanche-Journal,
9/10/00)
A discussion list for legal professionals
doing capital litigation is in the beginning stages. The hope of
the new list is to get some cross-pollination of ideas, as well as to give
those practitioner's, who may not be at a public defender's office or similar
non-profit, a forum to seek advice and bounce ideas around. The list is
private, and moderated only to try to weed out prosecutors and law enforcement.
Post message: capitaldefense@onelist.com
Subscribe: capitaldefense-subscribe@onelist.com
Unsubscribe: capitaldefense-unsubscribe@onelist.com
List owner: capitaldefense-owner@onelist.comAs
always, this newsletter was put together, flying by the seat of my pants,
and only reviewed while under the influence of a caffeine induced stupor,
or put another way, please excuse any creative use of the mother tongue,
typos and/or errors.
DISCLAIMER
& CREDITS --
Anti-copyrite 1997-2000. ISSN: 1523-6684. Written
with the legal professional in mind. Use does not constitute
creation of an attorney-client relationship. If you have a legal
question contact a lawyer authorized to practice in your state. This weekly
has been prepared for educational and information purposes only. Since
the content contains general information only, it may not reflect current
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