Two other notes relating to the
list. The first is that the weekly will slowly being returning to
blog format & switching back to westlaw cites over the course of
the remainder of the summer -- most likely using typepad or blogger
& will likely cover a limited number of district court decisions
(feedback is more than welcome). Second, I am being forced out on three
separate one week "felony trials" in a four week period (one last week,
and one each of the next two weeks); the weekly will run only if I have
time.
See above.
In re
Hearn, 2004 U.S. App. LEXIS 13839
(5th Cir 7/6/2004)(dissent) Motion
granted to "appoint counsel to prepare his application for authority to
file a successive federal habeas corpus petition, and to stay his
execution pending the disposition of such petition," on claims relating
to mental retardation. Intriguing language in concurrence
by Judge
Higginbotham.
On March 2, 2004, Hearn filed a
successive application for state post-conviction [*3]
relief, claiming that he is mentally retarded and that his death
sentence is cruel and unusual punishment under the Eighth Amendment.
See Atkins v. Virginia, 536 U.S. 304, 153 L. Ed. 2d 335, 122 S. Ct.
2242 (2002). On March 3, 2004, the Texas Court of Criminal Appeals
dismissed Hearn's application on the ground that it constituted an
abuse of writ, finding that he failed to make a prima facie showing of
mental retardation. Ex parte Hearn, No. 50,116-02 (Tex. Crim. App. Mar.
3, 2004). Later that day, Hearn moved the United States District Court
for the Northern District of Texas for appointment of counsel pursuant
to 21 U.S.C. § 848(q)(4)(B), and for a stay of execution under 28
U.S.C. § 2251. The district court sua sponte transferred the
motions to this Court, and Hearn filed a separate notice of
appeal--asking us to reverse the transfer order, appoint counsel, and
enter a stay of execution. n1 In order to thoroughly address Hearn's
claim, we granted a temporary stay of execution, requested supplemental
briefing, and heard oral argument.
II.
A. Appointment of Counsel
The legality of Hearn's detention was determined on a prior application
for a writ of habeas corpus. Hearn v. Dretke, 157 L. Ed. 2d 440, 124 S.
Ct. 579 (2003). "Before a second or successive application [for a writ
of habeas corpus] is filed in the district court, the applicant shall
move in the appropriate court of appeals for an order authorizing the
district court to consider the application." 28 U.S.C. §
2244(b)(3)(A). In order to facilitate the preparation of his
application for § 2244(b)(3)(A) authority, Hearn now moves this
Court to appoint counsel pursuant to 21 U.S.C. § 848(q)(4)(B). n2
(1) Scope of § 848(q)(4)(B)
The Director contends that § 848(q)(4)(B) does not authorize the
appointment of counsel to prepare an application for authority to file
a successive habeas writ petition. We disagree.
Section 848(q)(4)(B) provides that:In any post-conviction proceeding
under section 2254 or 2255 of Title 28, seeking to vacate or set aside
a death sentence, any defendant who becomes financially unable to
obtain adequate representation or investigative, expert, or other
reasonably necessary services shall be entitled to the appointment of
one or more attorneys and the furnishing of other services in
accordance with paragraphs (5), (6), (7), (8), and (9).21 U.S.C. §
848(q)(4)(B) (emphasis added). Significantly, this provision expressly
incorporates subsection (q)(8), which states thateach attorney so
appointed shall represent the defendant throughout every subsequent
stage of available judicial proceedings, including pre-trial
proceedings, trial, sentencing, motions for new trial, appeals,
applications for writ of certiorari to the Supreme Court of the United
States, and all available post-conviction process [*6] ,
together with applications for stays of execution and other appropriate
motions and procedures, and shall also represent the defendant in such
competency proceedings and proceedings for executive or other clemency
as may be available to the defendant.21 U.S.C. § 848(q)(8)
(emphases added). On their face, these statutes grant indigent capital
prisoners a mandatory right to qualified legal counsel and reasonably
necessary legal services in all federal post-conviction proceedings.
Needless to say, this is not language of limitation. n3
The expansive nature of §
848(q)(4)(B) is further evinced by the Supreme Court's decision in
McFarland v. Scott, 512 U.S. 849, 129 L. Ed. 2d 666, 114 S. Ct. 2568
(1994). The question before the Court was whether a motion to appoint
counsel under § 848(q)(4)(B) qualified as a "post-conviction
proceeding under section 2254 or 2255," invoking the district court's
jurisdiction and allowing it to appoint counsel and grant a stay of
execution. The language of § 2254 and § 2255 make no
reference to motions to appoint counsel, and a simple reading of the
habeas statutes would lead one to believe that a motion to appoint
counsel would not be a "post-conviction proceeding under section 2254
or 2255." The McFarland Court, however, heeded Congress's concern for
unrepresented capital prisoners and came to the opposite conclusion,
holding that the right to the appointment of counsel adheres before the
filing of a formal habeas corpus petition.This interpretation is the
only one that gives meaning to the statute as a practical matter.
Congress' provision of a right to counsel under § 848(q)(4)(B)
reflects a determination that quality legal representation is necessary
in capital [*8] habeas corpus proceedings in light of "the
seriousness of the possible penalty and . . . the unique and complex
nature of the litigation."
. . .
Criminal defendants are entitled by federal law to challenge their
conviction and sentence in habeas corpus proceedings. By providing
indigent capital defendants with a mandatory right to qualified legal
counsel in these proceedings, Congress has recognized that federal
habeas corpus has a particularly important role to play in promoting
fundamental fairness in the imposition of the death penalty.McFarland,
512 U.S. at 855, 859 (quoting 21 U.S.C. § 848(q)(7)). The
McFarland Court's explanation of Congress's intent to provide capital
prisoners with habeas counsel, and its illustration of how far it was
willing to go to effectuate that intent, guide our analysis in this
case.
The Director asserts that the relief recognized in McFarland is limited
to those capital prisoners who have not yet filed an initial habeas
petition. Such a contention is without merit. While the petitioner in
McFarland was indeed pursuing his first federal habeas writ, no
language in the Supreme Court's [*9] opinion limits its
holding to initial petitions. We note, however, that the Court did
place special emphasis on the necessity of counsel during the initial
investigation of potential habeas claims. McFarland explains that
Congress, through § 848(q)(4)(B), granted indigent capital
prisoners the opportunity to investigate and research the factual bases
of possible habeas claims. Id. at 855 (discussing the right to "the
services of investigators and other experts that may be critical in the
pre-application phase of a habeas corpus proceeding, when possible
claims and their factual bases are researched and identified"); id. at
858 (recognizing the importance of the petitioner's "opportunity" to
"meaningfully research and present [his] habeas claims"). The Court
found that McFarland--who was without counsel, and was pursuing
previously unavailable habeas relief--was denied this opportunity to
investigate the factual bases of his potential habeas claims. It seems
clear to us that the McFarland Court would have been just as concerned
with a capital prisoner in need of investigating a successive habeas
petition, based on a claim previously [*10] unavailable to
the prisoner, as it was with the capital prisoner seeking to file an
initial petition. Under both scenarios, the prisoner has been denied
the opportunity to conduct an initial investigation into the factual
bases of a potential habeas claim.
One of our cases, however, includes language suggesting that indigent
capital prisoners are never entitled to the appointment of counsel to
prepare a successive habeas petition. See Kutzner v. Cockrell, 303 F.3d
333, 338 (5th Cir. 2002) ("'The McFarland Court was concerned only with
that period of time between the habeas petitioner's motion for the
appointment of counsel and the filing of the initial petition.' Thus,
McFarland does not justify appointment of counsel or stay of execution
for the preparation of a second federal habeas petition.") (quoting
Turner v. Johnson, 106 F.3d 1178, 1182 (5th Cir. 1997)). n4 While such
a statement, taken by itself, strongly supports the Director's
position, its authoritative value is significantly diminished when read
in the proper context.
The issue before the Kutzner Court was
whether the petitioner was entitled to counsel pursuant to §
848(q)(4)(B) in light of McFarland. Kutzner begins its analysis by
recognizing that the "core concern of McFarland [is] that an
un-counseled prisoner would be required to 'proceed without counsel in
order to obtain counsel and thus would expose himself to the
substantial risk that his habeas claim never would be heard on the
merits' . . . ." 303 F.3d at 338 (quoting McFarland, 512 U.S. at 856).
The Court then reviewed the facts of Kutzner's case, and found that he
was equipped with competent counsel throughout the entire habeas
process. Id. ("Kutzner was well-represented by qualified counsel . . .
[and] current counsel has represented Kutzner for over a year"). The
Court also reasoned that his "original § 2254 petition was fully
litigated on the merits." Id. at 338. The opinion takes particular note
that Kutzner had been long-aware of the Brady material and false
testimony alleged in his proposed petition, and that he was not seeking
relief pursuant to a new rule of constitutional law. Id. at 336, 337.
Based [*12] on these findings, the Court ultimately
concluded that Kutzner's situation did not implicate the "core concern"
of McFarland, and that his request for counsel should be denied
accordingly.
We read Kutzner as holding that the relief enunciated in McFarland does
not apply to successive habeas petitioners who had been afforded
sufficient opportunities to investigate the factual bases of their
proposed claim. The statement of law cited by the Director, limiting
McFarland to initial petitions, is not an alternative rationale
supporting this narrow fact-based holding. n5 It would be illogical to
find otherwise, as this statement of law would wholly subsume, rather
than facilitate, the Court's analysis of whether Kutzner enjoyed an
opportunity to raise his habeas claim in an earlier petition. Moreover,
the contested statement of law does not stand by itself as an
alternative holding. The statement is found in the final sentence of a
paragraph that addresses the wholly distinct subject of Kutzner's
foregone opportunities to raise habeas claims. Further, the Court does
not expressly apply the contested statement of law to the facts of
Kutzner's case. This absence of analysis [*13] is
particularly striking in light of the Court's detailed discussion, in
the preceding sentences, whether McFarland's "core concern" is
implicated by the petitioner's situation.
We find, after reading Kutzner in its proper context, that its
limitation on McFarland does not constitute an alternative rationale or
an alternative holding, but rather a mere "judicial comment made during
the course of delivering a judicial opinion, but one that is
unnecessary to the decision in the case and therefore not
precedential." Black's Law Dictionary 1100 (7th ed. 1999) (defining
"obiter dictum"); see also Centennial Ins. Co. v. Ryder Truck Rental,
Inc., 149 F.3d 378, 385-86 (5th Cir. 1998) ("That which is 'obiter
dictum' is stated only 'by the way' to the holding of a case and does
not constitute an essential or integral part of the legal reasoning
behind a decision.") (internal quotations omitted). Further, we do not
find such dictum persuasive because it contravenes McFarland's intent
to provide indigent capital prisoners with the opportunity to
conduct--at the very least--a single, cursory investigation into the
factual bases of each potential habeas claim.
Upon review of the statutory language, McFarland, and the prior
decisions of this Circuit, we hold that courts are not barred from
appointing § 848(q)(4)(B) counsel to prepare [*15] an
application for authority to file a successive habeas petition. We now
proceed to a discussion of whether the petitioner in the case sub
judice is entitled to such relief.
(2) Hearn's opportunity to investigate the factual bases of his Atkins
claim
The Director asserts that Hearn's motion for § 848(q)(4)(B)
counsel should be denied on the ground that Hearn, like the prisoner in
Kutzner, had a sufficient opportunity to investigate the factual bases
of his proposed habeas claim. We disagree. Hearn's proposed successive
petition will seek habeas relief pursuant to the new constitutional
rule created in Atkins v. Virginia, 536 U.S. 304, 153 L. Ed. 2d 335,
122 S. Ct. 2242 (2002). Atkins, however, had not yet been decided when
Hearn filed his initial habeas petition. Although Atkins was issued
while Hearn's first petition was pending in federal court, Texas's
habeas-abstention procedure--which barred the filing of a state
petition while a habeas writ was pending in federal court--effectively
precluded him from seeking Atkins relief until his initial habeas
petition was disposed of by the federal courts. See discussion infra
Part II.A(4).
Upon the [*16] denial of his initial federal habeas
petition, Jan Hemphill withdrew from her representation of Hearn. Put
plainly, Hearn lost his court-appointed habeas counsel on the very day
he became eligible to raise his Atkins claim. Hearn made various
efforts to persuade Hemphill to file a successive writ petition, and
even dispatched family members to the federal district court and Texas
Attorney General's Office in an effort to compel her to investigate a
successive claim. When all else failed, Hearn promptly contacted his
current pro bono counsel, who conducted an expedited investigation into
Hearn's records and brought such evidence before this Court. We find
that Hearn has made a sufficient showing that Texas's habeas-abstention
procedure, and the unavailability of qualified habeas counsel after the
disposition of his initial petition, denied him the opportunity to
sufficiently investigate the factual bases underlying his Atkins claim.
(3) Hearn's showing of mental retardation
The Director maintains that, even if Hearn were, in fact, denied an
opportunity to investigate the factual bases of his Atkins claim, we
should withhold § 848(q)(4)(B) counsel on the ground
[*17] that Hearn has failed to make the requisite prima
facie showing of mental retardation. n6 Such an assertion is without
merit. Because § 848(q)(4)(B)--read in conjunction with
McFarland--affords counsel to prisoners to prepare federal habeas
petitions, "a substantive, merits assessment of the petition is
irrelevant to the appointment of counsel." Weeks v. Jones, 100 F.3d
124, 127 (11th Cir. 1996); see Barnard v. Collins, 13 F.3d 871, 879
(5th Cir. 1994) ("On its face, § 848(q)(4)(B) does not condition
the appointment of counsel on the substantiality or non-frivolousness
of petitioner's habeas claim."). As a result, a prisoner's motion for
counsel to investigate and prepare a successive Atkins claim need only
be supported by a colorable showing of mental retardation. n7
We hold that Hearn has met this modest
evidentiary threshold. For instance, Hearn has presented school records
showing that he failed first grade, and that his marks often hovered in
the 50s (or below) despite his regular attendance. He further proffered
evidence that his score on the state-administered Weschler Adult
Intelligence Scale-Revised ("WAIS-R") Short-form test--taking into
account its inherent band of error--falls within the upper range of
scores indicating mild mental [*19] retardation. n8 Hearn
also presents a note from Hemphill stating her belief that he was "not
very intelligent--maybe below normal." n9 He further cites the trial
testimony of a family member to demonstrate his compromised social
skills. n10 We find that this evidence, while certainly insufficient to
establish a prima facie case of mental retardation, nonetheless
presents a colorable claim of mental retardation sufficient to justify
the appointment of counsel to investigate and prepare a §
2244(b)(3)(A) application.
- - - - - - - - - - - - - - Footnotes - - -- - - - - - - - - - - - -
n8 Hearn scored an 82 on the WAIS-R Short-form test. "The basic
requirement for any short-form is a minimum correlation of .90 with the
full administration. . . . With a .90 correlation, two-thirds of the
IQs will fall within 9 points of a person's actual IQ and a full
one-third will be 10 or more points away from the actual IQ." GARY
GROTH-MARNAT, HANDBOOK OF PSYCHOLOGICAL ASSESSMENT 200 (3d ed. 1999).
Due to the Short-form's substantial margin of error, we find that Hearn
may have an IQ "between 70 and 75 or lower, which is typically
considered the cutoff IQ score for the intellectual function prong of
the mental retardation definition." Atkins, 536 U.S. at 309 n.5.
[*20]
- - - - - - - - - - - - End Footnotes- - - - - - - - - - - - - -
(4) Hearn's showing of rare and equitable circumstances
The Director lastly contends that Hearn's motion for counsel should be
denied because his eventual Atkins claim will be time-barred. It is
true that potential procedural bars may be so conclusive that the right
to counsel under § 848(q)(4)(B) becomes unavailable. See
Cantu-Tzin v. Johnson, 162 F.3d 295, 298-99 (5th Cir. 1998);
[*21] Barnard, 13 F.3d at 879. This Court in Cantu-Tzin
explained that the "appointment of counsel for a capital-convicted
defendant would be a futile gesture if the petitioner is time-barred
from seeking federal habeas relief." 162 F.3d at 299. Hearn cannot
bring his Atkins claim within the one-year statute of limitations
dictated by the Anti-Terrorism and Effective Death Penalty Act of 1996
("AEDPA"). n11 The AEDPA limitations period, however, is subject to
equitable tolling in "rare and exceptional circumstances." Davis v.
Johnson, 158 F.3d 806, 811 (5th Cir. 1998). Hearn contends that Texas's
habeas-abstention procedure, known as the "two-forum rule," presented a
rare and exceptional circumstance that precluded him from raising an
Atkins claim.
Texas state law has traditionally
barred prisoners from having pending habeas litigation in both state
and federal courts. Through its judicially-created two-forum rule,
Texas prevented petitioners from lodging a mixed petition in federal
court and simultaneously returning to state court, or having a federal
court hold a petition in abeyance while further state court remedies
were sought. See generally Ex parte Green, 548 S.W.2d 914, 916 (Tex.
Crim. App. 1977) ("A petitioner must decide which forum he will proceed
in, because [the Texas Court of Criminal Appeals] will not, and a trial
court in this State should not, consider a petitioner's application so
long as the federal courts retain jurisdiction over the same matter.").
n12
On February 11, 2004, the Texas Court
of Criminal Appeals expressly modified the two-forum rule, enabling
Texas courts to consider the merits of a subsequent writ application
once a federal court stays the federal habeas proceedings. Ex parte
Soffar, 2004 Tex. Crim. App. LEXIS 200, No. 29,890, 2004 WL 245190
(Tex. Crim. App. Feb. 11, 2004). The court in Soffar reasoned:Because
of the strict one-year statute of limitations in the Anti-Terrorism and
Effective Death Penalty Act of 1996 ("AEDPA"), the application of [the
two-forum rule], combined with the federal exhaustion requirement, may
lead to unintended and unfortunate consequences. The problematic
situation is when the Supreme Court announces a "watershed" procedural
or substantive change in the law which applies retroactively to all
cases, even those on collateral review. Atkins v. Virginia seems to be
one such case.2004 Tex. Crim. App. LEXIS 200, [WL] at *3.
By June 20, 2003, the date the AEDPA limitations period for Atkins
claims expired, Hearn had already filed his initial federal habeas
petition, and he was awaiting this Court's ruling on his application
for a COA. If Hearn had petitioned for Atkins relief in Texas court, he
would [*24] have been compelled to move the federal court
to dismiss without prejudice his then-pending federal petition. Such a
dismissal likely would have time-barred Hearn from later asserting the
claims in his pending federal petition. See Duncan v. Walker, 533 U.S.
167, 172, 150 L. Ed. 2d 251, 121 S. Ct. 2120 (2001) (stating that the
AEDPA limitations period is not tolled during the pendency of a federal
habeas petition). On the other hand, because Hearn waited to file his
Atkins claim until the disposition of his then-pending federal habeas
proceeding, he faced Texas's assertion of a time bar on his Atkins
claim. The two-forum rule appears to have effectively forced Hearn to
choose between federal review of his pending writ petition and his
right to pursue successive habeas relief under Atkins.
The Director contends that equitable tolling is improper because--four
months prior to Soffar--the Texas Court of Criminal Appeals implicitly
negated the two-forum rule when it remanded a petitioner's Atkins claim
for review on the merits even though that petitioner had a writ pending
in federal court. Ex parte Smith, No. 40,874-02 (Tex. Crim. App. Oct.
8, 2003). This argument [*25] is without merit. One
petitioner's willingness to jeopardize review of his pending federal
habeas petition in order to file an Atkins claim does not mean that all
others must. For instance, it is plausible that the petitioner in Smith
was prepared to sacrifice review of his federal writ petition because
it was comprised of frivolous claims. Moreover, the Texas Court of
Criminal Appeals's decision to remand one case for review on the
merits, absent any express criticism of the governing two-forum rule,
does not undermine decades of Texas precedent reinforcing the
preclusive effect of that rule. Although it is not apparent that the
AEDPA limitations period must be equitably tolled on Hearn's behalf, we
find that the facts relevant to this analysis are in dispute such that
Hearn is entitled to counsel to investigate and prepare a tolling claim.
As discussed above, Hearn has made sufficient showings that he was not
afforded an opportunity to investigate his Atkins claim, that he is in
fact mentally retarded, and that his potential Atkins claim is not
time-barred. This case therefore implicates the "core concern of
McFarland . . . 'that an un-counseled prisoner [*26] would
be required to proceed without counsel in order to obtain counsel and
thus would expose himself to the substantial risk that his claim would
never be heard on the merits' . . . ." Kutzner, 303 F.3d at 338
(quoting McFarland, 512 U.S. at 856). As a result, we hold that Hearn
is entitled to the appointment of counsel and reasonably necessary
services under § 848(q)(4)(B) to investigate and prepare his
application for authority to file an Atkins claim.
B. Stay of Execution
Hearn also moves this Court for a stay of execution to provide his
appointed counsel with sufficient time to prepare an application for
authority to file his Atkins claim. The Director contends that this
Court is not authorized to grant a stay of execution because a writ of
habeas corpus is currently not pending before this Court as required by
28 U.S.C. § 2251. The Director's claim is meritless. The Supreme
Court in McFarland held that a habeas proceeding is pending before a
court, for the purposes of staying an execution, once a capital
prisoner moves for the appointment of habeas counsel pursuant to §
848(q)(4)(B). 512 U.S. at 856. [*27] The McFarland Court
explained that the pre-application appointment of counsel alone,
without the time to adequately develop the facts and brief the claims,
renders the statutory guarantee of counsel an empty promise. Id.
In accordance with the reasoning of McFarland, we find that a stay of
execution is imperative to ensure the effective presentation of Hearn's
application for authority to file his Atkins claim. Because Hearn was
not dilatory in his search for counsel, and the stay of execution will
not substantially harm the State of Texas, the preliminary stay ordered
March 4, 2004, is hereby extended to provide Hearn's counsel with
sufficient time to prepare an application for § 2244(b)(3)(A)
authority.
****
CONCUR: PATRICK E. HIGGINBOTHAM, Circuit Judge, concurring.
I concur fully in Judge Clement's opinion. Hearn is on death row in
Texas. He does not have counsel. The Texas Defender Service, lacking
the resources to undertake the representation of Hearn and aware that
Hearn's date of execution was looming, asked the federal district court
to stay the execution and appoint counsel to develop his claim that he
is mentally retarded and ineligible for execution. This case reached
the panel only hours before the execution. We granted a stay to allow
sufficient time to properly decide the request. We found the case
sufficiently complex and uncertain that additional briefs and oral
argument were requested. The dissent now "regrets" not dissenting from
that stay.
I remain convinced that the stay was proper and that this prisoner is
entitled to a lawyer and an opportunity to investigate and present any
claim of retardation that he may have. I am not prepared to hold that
he must first make a prima facie case that he is retarded to be
entitled to a lawyer to [*29] make that case. The dissent
argues just that and is prepared to disregard a filed affidavit as
incompetent evidence. This approach has it backwards. We don't have
enough evidence to peg Hearn's ability. What little "evidence" that has
been presented is equivocal and needs explanation. If the record before
us is all that Hearn can produce before the district court with the
assistance of a lawyer, I would quickly agree that it falls far short
of a prima facie showing. There is enough, however, to warrant
development as Judge Clement explains. As best I sift from its
rhetoric, the dissent would hold that a prisoner on death row with no
lawyer must make a prima facie case that he is so retarded that he
cannot be executed in order to have the benefit of counsel.
We are instructed that we must take this approach or face the fact that
every person on death row with no lawyer but with colorable claims of
retardation would be entitled to a lawyer. I do not see that as a
frightening possibility. Rather, that it is being urged by the dissent
as such is a chilling comment on the confused state of the law of
capital punishment in this circuit.
The dissent would run the one year clock on Hearn [*30]
during the time he had no lawyer. If there is a doctrine of equitable
tolling, it must not tolerate a limitations bar to a retarded prisoner
awaiting execution and without counsel. It is no answer to assert that
Hearn is not retarded unless we are prepared to dispense with lawyers
and hearings.
But, it is argued, Hearn did have counsel for part of the time. The
dissent has no answer for the fact that during that period of
representation a claim of retardation could not have been filed, given
the two-forum rule Texas then adhered to. The dissent in a footnote
asserts, with no authority, that Texas was never serious about that
rule, passing over the fact that much later, Texas, recognizing the
plight it created for petitioners such as Hearn, abandoned it. The
dissent says the two-forum rule was never real.
The dissent accuses the majority of ignoring circuit precedent, Judge
Davis's opinion in Kutzner and Judge Politz's opinion in Turner. It
bears mention that neither petitioner in these cases had an available
writ path. The panel in Kutzner pointedly observed that the petitioner
had no right to pursue a successive writ with a claim that did not rely
upon a new rule of [*31] constitutional law. Petitioners
had counsel in both cases at all relevant times and neither petitioner
presented Akins claims.
This is not an easy case. The state has been represented at all times
by counsel and has full access to prisoner records and other resources
to reply to this claim. I cannot be so dismissive of Hearn's statutory
right as to refuse him a lawyer when at the least there is enough to
warrant examination. If there is nothing there, as the dissent seems to
know, the district court will so conclude. In the end I have more
confidence in facts decided by an Article III trial judge with
competent counsel before him than those determined on appeal by
appellate judges.
California
v. Stewart, 2004 Cal. LEXIS 6285 (Cal 7/15/2004) "[T]he trial court
erred in excusing five prospective jurors for cause based solely upon
their checked responses and written answers on a jury questionnaire."
A. Excusal
of prospective jurors for cause
Defendant contends the trial court erroneously excused five
prospective jurors for cause, based solely upon their written answers
to a jury questionnaire concerning their views relating to the death
penalty, and without any opportunity for follow-up questioning during
which the court and counsel might have been able to clarify the
responses and determine whether, in fact, the prospective jurors were
disqualified from service.
As we observed in People v. Cunningham (2001) 25 Cal.4th 926
(Cunningham), decisions of the United States Supreme Court and this
court establish that “[a] prospective juror may be challenged for cause
based upon his or her views regarding capital punishment only if those
views would ‘ “prevent or substantially impair” ’ the performance of
the juror’s duties as defined by the court’s instructions and the
juror’s oath. (Wainwright v. Witt [supra] 469 U.S. 412, 424;
People v.
Crittenden (1994) 9 Cal.4th 83, 121; People v. Mincey (1992) 2 Cal.4th
408, 456.)[] ‘ “ ‘ A prospective juror is properly excluded if he
or
she is unable to conscientiously consider all of the sentencing
alternatives, including the death penalty where appropriate.’
[Citation.]” [Citation.] In addition, “ ‘[o]n appeal, we
will uphold
the trial court’s ruling if it is fairly supported by the record,
accepting as binding the trial court’s determination as to the
prospective juror’s true state of mind when the prospective juror has
made statements that are conflicting or ambiguous.’ [Citations.]”
’
[Citation.]” (Cunningham, supra, 25 Cal.4th 926, 975; see also
People
v. Heard (2003) 31 Cal.4th 946, 958 (Heard).)
Applying these standards in this case, we conclude, for the reasons set
forth below, that the trial court erred in excusing five prospective
jurors for cause based solely upon their checked responses and written
answers on a jury questionnaire.
The trial court, with input from counsel, prepared a 13-page written
questionnaire for completion by the prospective jurors. Before
distributing the questionnaire, the court orally advised the assembled
prospective jurors concerning “essential . . . background . . . on the
case and the procedure to be followed.” The court explained that
the
prospective jurors would be asked “some questions regarding the death
penalty” because the death penalty was a possibility in the case, and
the court was obligated to determine whether each prospective juror
could be “be fair to both the prosecution and to the defendant
concerning the question of punishment, if we get to that
decision.”
The court proceeded to explain that the case would proceed with a guilt
phase — at which the jury would be asked to determine whether, beyond a
reasonable doubt, defendant is guilty of the charged offenses, and
whether any defined special circumstance is true. The court
explained
that only if the jury found guilt, and found an alleged
special-circumstance allegation true, would the jury address a second,
or penalty, phase of the trial, at which point the jury would be “asked
to select — to choose — between two possible penalties: the death
penalty or life [imprisonment] without possibility of parole.”
The
court explained that the prosecution at a penalty phase might offer
aggravating evidence and the defendant might offer mitigating evidence,
and continued: “Now, the jury, in the penalty phase, is not asked
simply to do a mechanical weighing of these aggravating and mitigating
circumstances. It’s not putting them on an imaginary scale and
seeing
which way it tips. The jury is free to assign whatever moral or
sympathetic value it deems appropriate to each and all of the various
factors that it is allowed to consider in the choice of penalty
decision.” The court then asked each prospective juror to
complete a
questionnaire and leave it with the court’s bailiff.
Question No. 35 — the only question that focused on prospective jurors’
views concerning the death penalty — read in relevant part as follows:
“As explained during the orientation, the Court is
asking questions
regarding your opinions about the death penalty because one of the
possible sentences for a person convicted of the charges the
prosecution has filed is the penalty of death. Thus, the Court
must
determine whether you could be fair to both the prosecution and the
defendant if you should ever be called upon to make a decision as to
the choice of penalty in this case.
“By asking these questions, the Court is not
suggesting in any way
that the charges are true and that the only question the jury will have
to decide is whether the penalty is to be life imprisonment without
parole or death in the gas chamber. It is only because the case
could
involve such a decision, that the Court must ask you about your
opinions on this subject even though it may never be required in this
trial. With these comments in mind, please answer the following
questions. If you don’t understand the question, please so
indicate.
“(1) Do you have a conscientious opinion or
belief about the death
penalty which would prevent or make it very difficult for you:
“(a) To find
the defendant guilty of first degree murder regardless of
what the
evidence might prove?
( ) Yes ( )
No
“(b) To find a
special circumstance to be true, regardless of what the
evidence might
prove?
( ) Yes ( )
No
“(c) To ever
vote to impose the death penalty?
( )
Yes ( ) No
“If your answer to (a), (b) or (c) is ‘Yes,’ please
explain [in the space provided].”
After the prospective jurors completed their questionnaires and the
results were shared with the court and counsel for both parties, the
court met with counsel, out of the presence of the prospective jurors,
to rule on a number of stipulated challenges for cause — that is, the
elimination of those prospective jurors who both counsel agreed should
be excused for cause. At the outset, the prosecutor asked for
clarification that “[t]he court is anticipating making at least some
rulings with respect to cause based upon exclusively the — what would
be fairly characterized as ‘unambiguous’ answers in the
questionnaire.” The court confirmed that intention but commented
that
an ambiguous response “would have to be cleared up” by questioning the
prospective juror. Defense counsel, expressing no objection to
this
general plan, concurred in the court’s assertion that “the ambiguous
ones . . . — they’re going to have to be done individually.” A
short
while later, the court reiterated its plan, stating that, with regard
to prospective jurors as to whom the questionnaires showed “ambiguous
responses, those persons can either be deferred to our afternoon or
tomorrow’s session . . . .’ ”
The court proceeded to grant 17 stipulated challenges for cause, based
solely upon each prospective juror’s written responses to the
questionnaires. The court deferred ruling on three prospective
jurors
whom defendant wished to challenge for cause, commenting that “the
answers in the questionnaire do not on their face give rise to a
challenge for cause” and that “we’re just going to have to see what
they say when we talk to them.” The court then turned its
attention to
the prospective jurors whom the prosecutor, alone, wished to challenge
for cause.
The prosecutor challenged Juror No. 8 “for cause based upon the
questionnaire.” That prospective juror had checked “No” in
response to
question No. 35(1)(a) and (b), thereby indicating that he or she did
not “have a conscientious opinion or belief about the death penalty
which would prevent or make it very difficult” to find defendant guilty
of first degree murder, or to find a special circumstance to be true,
“regardless of what the evidence might prove.” But Prospective
Juror
No. 8 also had checked “Yes” with regard to question 35(1)(c) — thereby
indicating that he or she had a “conscientious opinion or belief about
the death penalty which would prevent or make it very difficult” to
“ever vote to impose the death penalty.” In addition, in response
to
the questionnaire’s direction to “explain” any “Yes” answer,
Prospective Juror No. 8 had written, “I do not believe a person should
take a person’s life. I do believe in life without parole.”
The court asked to hear the view of defense counsel, who objected to
excusal for cause on the basis that “because of the global nature of
the [question 35](1)(c) inquiry,” coupled with the written response,
there existed ambiguity as to whether the prospective juror would be
able to serve and “follow the instructions of the court.” The
court
summarily dismissed these concerns, ruling immediately as
follows:
“All right. I’m satisfied that this is an unambiguous expression
of
opinion here especially with the added handwritten portion that says,
‘I do not believe a person should take a person’s life.’ ”
Thereafter the prosecutor also challenged juror Nos. 53, 59, 93,
and
122, each of whom, like Prospective Juror No. 8, had checked “No” in
response to question 35(1)(a) and (b), and had checked “Yes” with
regard to question 35(1)(c). In response to the direction to
“explain”
any “Yes” answer, Prospective Juror No. 53 wrote: “I am opposed to the
death penalty.” Prospective Juror No. 59 wrote: “I do not
believe in
capit[a]l punishment.” Prospective Juror No. 93 wrote: “In
the past,
I supported legislation banning the death penalty.” Prospective
Juror
No. 122 wrote: “I don’t believe in irrevers[i]ble
penalties. A
prisoner can be released if new information is found.”
Again, defense counsel objected to each of the prosecutor’s motions for
excusal for cause on the ground that the checked answers and brief
written comments left ambiguity as to whether each prospective juror
would be able to serve and follow the instructions of the court,
notwithstanding his or her personal opposition to the death
penalty.
As to each objection, the court found the juror’s checked answer and
brief written response to be clear and unambiguous, and granted the
challenge for cause.
On appeal, defendant asserts that each of the trial court’s rulings
granting the prosecution’s five for cause challenges was
erroneous. We
agree that the trial court erred in excluding these prospective jurors
on the basis of their questionnaire responses alone.
Before granting a challenge for cause concerning a prospective juror,
over the objection of another party, a trial court must have sufficient
information regarding the prospective juror’s state of mind to permit a
reliable determination as to whether the juror’s views would “prevent
or substantially impair” the performance of his or her duties (as
defined by the court’s instructions and the juror’s oath) (Witt, supra,
469 U.S. 412, 424) “ ‘ “ ‘in the case before the juror’ ” ’ ” (People
v. Ochoa (2001) 26 Cal.4th 398, 431 (italics omitted)).
The prosecution, as the moving party, bore the burden of demonstrating
to the trial court that this standard was satisfied as to each of the
challenged jurors. (Witt, supra, 469 U.S. 412, 423 [“As with any
other
trial situation where an adversary wishes to exclude a juror because of
bias, . . . it is the adversary seeking exclusion who must demonstrate,
through questioning, that the potential juror lacks impartiality . . .
. It is then the trial judge’s duty to determine whether the
challenge
is proper.”].) In resting its motion solely upon the prospective
jurors’ checked answers and brief written comments on the juror
questionnaire, the prosecution apparently acted on the premise that
those answers and comments were fully adequate, standing alone, to
support a determination by the court that each prospective juror’s
views would prevent or substantially impair the performance of his or
her duties as a juror in the case before the juror. As we shall
explain, this premise was mistaken.
As noted above, question No. 35(1)(c) asked each prospective juror
whether his or her conscientious opinions or beliefs concerning the
death penalty would either “prevent or make it very difficult” for the
prospective juror “to ever vote to impose the death penalty.”
(Italics
added.) In light of the gravity of that punishment, for many
members
of society their personal and conscientious views concerning the death
penalty would make it “very difficult” ever to vote to impose the death
penalty. As explained below, however, a prospective juror who
simply
would find it “very difficult” ever to impose the death penalty, is
entitled — indeed, duty-bound — to sit on a capital jury, unless his or
her personal views actually would prevent or substantially impair the
performance of his or her duties as a juror.
Decisions of the United States Supreme Court and of this court make it
clear that a prospective juror’s personal conscientious objection to
the death penalty is not a sufficient basis for excluding that person
from jury service in a capital case under Witt, supra, 469 U.S.
412.
In Lockhart v. McCree (1986) 476 U.S. 162, 176 (Lockhart), the high
court observed that “[n]ot all those who oppose the death penalty are
subject to removal for cause in capital cases; those who firmly believe
that the death penalty is unjust may nevertheless serve as jurors in
capital cases so long as they clearly state that they are willing to
temporarily set aside their own beliefs in deference to the rule of
law.” Similarly, in People v. Kaurish (1990) 52 Cal.3d 648, 699
(Kaurish), we observed: “Neither Witherspoon[ v. Illinois (1968)
391
U.S. 510] nor Witt, [supra, 469 U.S. 412,] nor any of our cases,
requires that jurors be automatically excused if they merely express
personal opposition to the death penalty. The real question is
whether
the juror’s attitude will ‘ “ prevent or substantially impair the
performance of his duties as a juror in accordance with his
instructions and his oath.” ’ (Wainwright v. Witt, supra, 469
U.S. at
p. 424, fn. omitted.) A prospective juror personally opposed to
the
death penalty may nonetheless be capable of following his oath and the
law. A juror whose personal opposition toward the death penalty
may
predispose him to assign greater than average weight to the mitigating
factors presented at the penalty phase may not be excluded, unless that
predilection would actually preclude him from engaging in the weighing
process and returning a capital verdict.” (Italics added.)
Kaurish, supra, 52 Cal.3d 648, recognizes that a prospective juror may
not be excluded for cause simply because his or her conscientious views
relating to the death penalty would lead the juror to impose a higher
threshold before concluding that the death penalty is appropriate or
because such views would make it very difficult for the juror ever to
impose the death penalty. Because the California death penalty
sentencing process contemplates that jurors will take into account
their own values in determining whether aggravating factors outweigh
mitigating factors such that the death penalty is warranted, the
circumstance that a juror’s conscientious opinions or beliefs
concerning the death penalty would make it very difficult for the juror
ever to impose the death penalty is not equivalent to a determination
that such beliefs will “substantially impair the performance of his [or
her] duties as a juror” under Witt, supra, 469 U.S. 412. In other
words, the question as phrased in the juror questionnaire did not
directly address the pertinent constitutional issue. A juror
might
find it very difficult to vote to impose the death penalty, and yet
such a juror’s performance still would not be substantially impaired
under Witt, unless he or she were unwilling or unable to follow the
trial court’s instructions by weighing the aggravating and mitigating
circumstances of the case and determining whether death is the
appropriate penalty under the law.
It follows that a qualified juror might well answer “Yes” to the
inquiry posed in question No. 35(1)(c), and yet, in response to brief
follow-up questioning, persuasively demonstrate an ability to put aside
personal reservations, properly weigh and consider the aggravating and
mitigating evidence, and make that very difficult determination
concerning the appropriateness of a death sentence. Such a
prospective
juror would not be substantially impaired in performing his or her
duties as a juror. The record here, however, suggests that the
trial
court erroneously equated (i) the nondisqualifying concept of a very
difficult decision by a juror to impose a death sentence, with (ii) the
disqualifying concept of substantial impairment of a juror’s
performance of his or her legal duty, and failed to recognize that
question No. 35(1)(c), standing alone, did not elicit sufficient
information from which the court properly could determine whether a
particular prospective juror suffered from a disqualifying bias under
Witt, supra, 469 U.S. 412, 424.
Nor did the brief written answers supplied by the five
prospective
jurors, considered in conjunction with their checked answers to
question No. 35, provide an adequate basis upon which to dismiss any of
those jurors for cause.
****
In concluding that all five prospective jurors (Nos. 8, 53, 59, 93, and
122) were erroneously excused for cause based solely upon the
combination of their checked answers to question No. 35(1)(c) and their
brief written comments, we need not and do not hold that a trial court
never may properly grant a motion for excusal for cause over defense
objection based solely upon a prospective juror’s checked answers and
written responses contained in a juror questionnaire. We are,
however,
unaware of any authority upholding such a practice. In United
States
v. Chanthadra (10th Cir. 2000) 230 F.3d 1237 (Chanthadra), the United
States Court of Appeals for the Tenth Circuit — while explicitly
reserving judgment on the broad question of whether a trial court
always has an obligation “to voir dire prospective jurors before
removing them for cause based on their views on the death penalty”
(id., at p. 1269) — found it necessary to reverse a death penalty
judgment after the trial court, over objection, excused nine jurors for
cause, based solely upon the jurors’ responses to a juror
questionnaire. The court in Chanthadra, reviewing the record with
respect to only one of those prospective jurors, found that the
prospective juror’s written responses, in and of themselves, did not
establish that the juror was disqualified to serve under the standard
set forth in Witt, supra, 469 U.S. at page 424 (id., at pp. 1270-1272)
and thus found that the trial court erred by granting the
challenge.
(Id., at p. 1272; cf. State v. Anderson (Ariz. 2000) 4 P.3d 369,
372-379 (Anderson) [finding error in excusing three jurors over
objection for cause based solely upon each juror’s responses to a juror
questionnaire].)
Like the court in Chanthadra, supra, 230 F.3d 1237, 1272, we do not
suggest that all or indeed any of the prospective jurors at issue in
this case eventually would have withstood a properly adjudicated
challenge for cause. We simply do not know how these potential
jurors
would have responded to appropriate clarifying questions posed to them
by the trial court. Had the trial court conducted a follow-up
examination of each prospective juror and thereafter determined (in
light of the questionnaire responses, oral responses, and its own
assessment of demeanor and credibility) that the prospective juror’s
views would substantially impair the performance of his or her duties
as a juror in this case, the court’s determination would have been
entitled to deference. (Witt, supra, 469 U.S. 412, 426-430; see,
e.g.,
People v. Ervin, supra, 22 Cal.4th 48, 70-71 [deferring to trial
court’s finding, based upon voir dire responses and prospective jurors’
demeanor, that prospective jurors had demonstrated inability to impose
death penalty]; Chanthadra, supra, 230 F.3d 1237, 1269-1270.)
***
In response to the trial court’s request for proposed juror
questionnaire language, defense counsel submitted four death
qualification questions, the last of which employed the phase, “very
hard — if not impossible.” But the context in which that phase
was
suggested by defense counsel to the trial court was significantly
different from the context in which the trial court’s revised phrasing,
“prevent or make it very difficult,” ultimately was employed. It
is
clear that the prospective jurors’ answers to written questions —
however phrased — never were intended by defense counsel to provide the
sole information upon which the trial court would base its
determination of contested challenges for cause. Indeed, as noted
above, the trial court repeatedly had confirmed during pretrial
discussions that it would undertake appropriate oral voir dire of
jurors who were challenged for cause. In suggesting questionnaire
language at the trial court’s specific behest, there is no indication
that defense counsel contemplated that the trial court subsequently
would rely solely upon the juror questionnaires and refuse to conduct
any oral voir dire before ruling on the People’s five contested
for-cause challenges.
Accordingly, we perceive no basis upon which to conclude that defendant
is procedurally barred from raising the claim that the trial court
erred by granting the People’s contested challenges for cause, based
solely upon the prospective jurors’ answers to question No. 35(1)(c) as
phrased, and their brief written responses.
***
For the reasons set forth above, we conclude that the record does
not
support the trial court’s excusals for cause under the governing legal
standard (Witt, supra, 469 U.S. 412, 424), and that under the
compulsion of United States Supreme Court cases this error requires
reversal of defendant’s death sentence, without inquiry into
prejudice. (See Davis v. Georgia, supra, 429 U.S. 122, 123; Gray
v.
Mississippi, supra, 481 U.S. 648, 659-667 (opn. of the court); id., at
pp. 667-668 (plur. opn.); id., at p. 672 (conc. opn. of Powell, J.);
People v. Ashmus (1991) 54 Cal.3d 932, 962; accord, Chanthadra, supra,
230 F.3d 1237, 1272-1273, 1275.)
As in another recent case (Heard, supra, 31 Cal.4th 946), we are
troubled by this result because the error here at issue easily could
have been avoided. In essence, the penalty judgment in this
matter was
doomed from the inception, merely because the trial court failed to
take the extra few minutes that would have been required to clarify the
ambiguity inherent in the questionnaire responses of the five excused
prospective jurors. (Id., at p. 968.) Such an outcome
should be
avoided in future trials, not only through the conduct of the trial
court, but also through the proper involvement of counsel, who have
since 2001 enjoyed expanded rights to participate in oral voir
dire.
(See Code Civ. Proc., § 223, as amended by Stats. 2000, ch. 192,
§ 1.)
Although the penalty judgment must be reversed on this basis, past
decisions make it clear, contrary to defendant’s assertions, that error
under Witt, supra, 469 U.S. 412, 424, does not require reversal of the
guilt judgment or special circumstance finding. (Heard, supra, 31
Cal.4th 946, 972-982 [reversing penalty phase judgment for erroneous
exclusion of prospective juror for cause, but affirming guilt judgment
and special circumstance findings]; see Lockhart, supra, 476 U.S. 162,
173-184 [rejecting assertion that exclusion of “guilt phase
includables” at the guilt phase of a bifurcated capital trial offends
constitutional “fair-cross-section” or “impartial jury” guarantees];
People v. Ashmus, supra, 54 Cal.3d 932, 956-957 [same, under both
federal and state law].) Defendant has not provided any
persuasive
basis upon which to reconsider that authority or view the trial court’s
error as a “structural defect” that impugned the entire proceeding
below. Accordingly, we proceed to consider defendant’s remaining
claims relating to the guilt judgment and the special circumstance
finding.
Doss
v. Mississippi, 2004 Miss. LEXIS 847 (Miss. 7/15/2004) (dissent)
Evidentiary hearing granted "on the merits of his claim of
ineffectiveness of counsel during the mitigation or penalty phase of
his trial and his claim of mental retardation, pursuant to Atkins."
Doss relies first on the affidavit of
his trial attorney who states that: Doss's was the first case he had
defended where the death penalty was sought; he did not seek any
school, medical, mental health or other records, because he did not
realize the importance of the records in presenting a defense during
the sentencing phase; he did not seek advice from a mental health
expert, funds for a mental health expert or any kind of mental health
evaluation; and he did not obtain any records resulting from the
investigation of criminal charges against Doss in Shelby County, but he
did obtain the indictment and judgment in that case. Bailey also
obtained the appointment of an investigator, Kelvin Winbush, who was
also the investigator for Doss's co-defendant, Frederick Bell. Bailey
stated that Winbush told him he had interviewed: Doss's aunt, Lillie
Moore; Doss's sisters, Lucretia Monger and Mavis McCaster; Doss's
brothers, Marvin Doss and Randy Doss; and John Westmoreland and that
all stated that Doss was a good and/or quiet person who got involved
with the wrong crowd. Bailey did not follow up with these witnesses or
ask them to testify at the sentencing phase. Bailey stated that Winbush
told him he had contacted two teachers in Bruce, a Mrs. Parker and a
Coach Smith, but it was questionable as to whether these people
actually knew Doss, or whether they had mistaken him for Frederick
Bell. Bailey did not realize that a conflict might result from using
Winbush, where one of Bailey's potential defense strategies was to
blame Bell as the instigator of the shooting. Bailey states that he
interviewed only Doss's mother and an aunt for a few minutes. Bailey
states that he felt he did a good job in defending the case at the
guilt phase, but that he did not know what he was doing as to the
sentencing phase.. . .
Carolyn Watkins, the public defender
who handled Doss's murder charge in Shelby County, states in an
affidavit that she obtained school records for Doss from Chicago;
Doss's medical records from Chicago, including records involving a 1986
head injury; and the 1988 psychological report done at the University
of Mississippi. She states that Lee Bailey never requested these
records.
Doss attaches the affidavits of his mother, Sadie Doss; Verlene Forest
Williams, a woman who became friends with Doss during his imprisonment;
Carolyn Phillips, an aunt; Ernestine Williams, an aunt; Lucretia
Monger, ; Randy Doss, ; Roselyn Monette Jackson, Doss's aunt; Mary
Jennings, Doss's aunt; John Westmoreland, who had been married to
Doss's aunt; Annette James, a girlfriend; Marvin Doss, Anthony's
half-brother; Q.T. Doss, a family member; Lillie Moore, ; Sandra Price,
a daughter of Sam "Joe" Brown, who lived with Doss's mother in Chicago;
Chantay Price, Sandra Price's sixteen-year-old daughter; Varnado
McDonald, step-sister of Lucretia Monger; Carrie Cole, Doss's aunt;
Rosie Caldwell, a friend of Doss's mother; and Sam Phillips, Doss's
biological father. The affiants say that Doss was shy and quiet, not a
violent person; that there were times when Doss seemed to go into a
seizure or trance of some kind, when he did not respond to people; that
he had mental or medical problems that began with his mother's drinking
and drug use during her pregnancy with him, followed by lead poisoning
and head injuries during Doss's childhood; that mental illness seemed
to run in the Doss family; that Doss was easily led by Frederick Bell,
who was a bad, violent person and came from a violent family; that Doss
began to run with a bad crowd when he moved from Chicago to
Mississippi; that Doss's birth and upbringing in Chicago were riddled
with crime, drug abuse and poverty. Specifically mentioned and blamed
for much of the misfortune suffered by Doss and his family in Chicago
was Sam Brown, who lived with Doss's mother. Doss apparently believed
for much of his early life that Sam Brown was his biological father.
According to various affidavits, Sam Brown was violent and abusive
toward Doss, his mother and the rest of the family; he took what little
money the family had to buy drugs and gamble; and he sold drugs and
introduced the children in the family to drugs.
In Wiggins v. Smith ,
539 U.S. 510,
123 S. Ct. 2527, 156 L. Ed. 2d 471 (2003), the United States Supreme
Court found that prejudice resulted from counsel's failure to discover
and present mitigating evidence. Doss relies on Davis v. State , 743
So.2d 326, 329 (Miss. 1999), in which this Court stated: "[W]hile
attorneys will be granted wide discretion as to trial strategy,
choosing defenses and calling witnesses, a certain amount of
investigation and preparation is required. Failure to call a witness
may be excused based on the belief that the testimony will not be
helpful; such a belief in turn must be based on a genuine effort to
locate or evaluate the witness, and not on a mistaken legal notion or
plain inaction." This Court granted Davis leave to proceed on that
issue where his attorney called three witness in sentencing, a friend
of Davis's, and Davis's sister and mother. Davis alleged that his trial
attorney did not call available character witnesses and did not prepare
the ones he did call. . .
The State cites a psychological report issued by the University of
Mississippi after Doss was tested there in 1988. In that report Sadie
Doss told the interviewers that her pregnancy and Anthony's delivery
was normal, that there was no history of mental illness in the family,
that there was no history of alcohol or drug abuse in the immediate
family; and that the first of Anthony's three most important wishes was
to return to Chicago. The State points out affidavit testimony supplied
by Doss which supports his desire to return to Chicago. The State also
points out that Doss does not supply any police or medical reports to
support the stories of assaults against the family by Sam Brown and
others, or the stories of illness and drug abuse. The State points out
these inconsistencies and some untruths in the affidavits, such as
citing Sandra Price's affidavit as evidence of the family's history of
mental problems, where Sandra Price, the daughter of Sam Brown, and
Anthony Doss are not blood relatives.
The State argues that defense counsel Bailey's opinions about his own
performance are irrelevant because (1) effective assistance of counsel
is based on an objective standard and (2) such evidence is not newly
discovered evidence. See In re Hill , 460 So.2d 792 (Miss. 1984). While
Bailey's opinions about his own performance may not be relevant, there
is no doubt that his many statements about what he did not do, because
he did not think it would be helpful, and that he did not know enough
about death penalty litigation to know better, and that his decisions
were not a part of trial strategy, are relevant. Doss does not allege
that Bailey's statements are newly discovered evidence because there is
no such need at this point. Doss is not trying to get past a procedural
bar.
The State sums up its argument by citing Dowthitt v. Johnson , 230 F.3d
733 (5th Cir. 2000), for the proposition that counsel cannot be
ineffective for failure to interview or call witnesses when those
witnesses will not cooperate; Chase v. State , 699 So.2d 521 (Miss.
1997), where this Court stated that an attorney was not ineffective
where a witness supporting a defense motion refused to appear and the
attorney did not attempt to force the witness to appear; Brown v. State
, 798 So.2d 481, 496 (Miss. 2001), where this Court stated that the
duty to investigate and prepare is not limitless; Washington v. Watkins
, 655 F.2d 1346 (5th Cir. 1981), which finds that, when considering a
claim of ineffective assistance, one must take into account all
circumstances, but only as known to counsel at the time in question;
and Ladd v. Cockrell , 311 F.3d 349 (5th Cir. 2002), which states that,
in the face of overwhelming evidence, modest mitigation evidence to the
contrary becomes irrelevant.
What the State does not attempt to do is distinguish, or even mention,
Davis , Woodward , Leatherwood or Burns , the cases from this Court
cited by Doss. The State points out that some of what is included in
Doss's affidavits is not helpful to him, but this did not prevent this
Court from granting relief in Burns . We acknowledge that many
discrepancies exist among the affidavits presented by Doss in support
of this issue. However, we conclude that Doss has made a sufficient
showing under the Strickland test that Bailey's efforts fell short of
the efforts a counsel should make in a death penalty sentencing trial,
so as to entitle Doss to an evidentiary hearing on this claim in the
circuit court. This was Bailey's first death penalty case, and he
admitted that he did not know what he was doing in the sentencing
phase. When counsel makes choices of which witnesses to use or not use,
those choices must be made based on counsel's proper investigation.
Counsel's minimum duty is to interview potential witnesses and to make
an independent investigation of the facts and circumstances of the
case. Woodward , 635 So.2d at 813 (Smith, J., concurring in part).
Under Strickland , "[t]he performance inquiry must be whether counsel's
assistance was reasonable considering all the circumstances" and once a
deficient performance is shown "a defendant must show that there is a
reasonable probability that, but for counsel's unprofessional errors,
the result of the [sentencing phase] would have been different."
Strickland , 466 U.S. at 694. In the present case, the inquiry is
whether the sentence would have been different if mitigating evidence
which was available, but not used, had been presented. Doss should have
the opportunity to present evidence to the trial court in support of
his claim that his counsel's failure to investigate and present
available evidence in mitigation amounted to ineffective counsel.
This week covers
the annual review of death penalty web site resources (presented at the
annual ABCNY capital punishment seminar)
(updated irregularly at
http://capitaldefensewekly.com/defense.htm):
Best of the Net
CapDefNet.org
(http://www.CapDefNet.org) The HAT/FDPRC site saves lives & saves
valuable hours of labor. CapDefNet.org is the top "must visit"
site on the net for every
death penalty lawyer. The site focuses primarily on the federal system
and offers a large
collection of well written direct appellate briefs in the federal
system, to case law updates,
and guides to various areas of the criminal law
Probono.net
(http://Probono.net) The
American Bar Association in conjunction with the
Association of the Bar of the City of New York offers the broadest
range of state
materials on any one site. Password access is required, but readily
given.
Ninth Circuit Capital Punishment Handbook
(http://www.ce9.uscourts.gov/dph)
Although aimed at judges & practitioners in the Ninth Circuit, this
manual contains a solid
introduction to both issues in capital litigation & federal habeas
corpus, amply
documented with case law & secondary sources, on almost every issue
likely to be
encountered by an advocate. This a great companion to "Federal
Habeas Corpus Practice
& Procedure" by Liebman & Hertz, but in no way supplants that
text.
Habeas-l discussion list By and away the best death penalty
discussion list for lawyers is
habeas-l run by Prof. Eric Freedman. To subscribe send an e-mail
to Prof. Freedman
stating your interest at lawemf - at - Mail1.Hofstra.edu.
Supreme Court Materials:
Supreme Court Blog
(http://www.goldsteinhowe.com/blog/index.cfm) The upstart law
firm Goldstein & Howe currently has the leading internet coverage
on the Supreme Court,
including substantial links to most of the SCOTUS resources on the net.
Findlaw.com
Supreme Court Center
(http://supreme.lp.findlaw.com/supreme_court ) The
Center contains certs granted, issues in pending cases, briefs and
other materials, many of
which I have not been able to locate on Westlaw & Lexis.
ABA's Supreme
Court Preview: Briefs
(http://www.abanet.org/publiced/preview/briefs/home.html)
Briefs for cases currently before the Supreme Court, often not
otherwise available.
Briefs:
Eight Circuit
Briefs
(http://www.ca8.uscourts.gov/cgi-bin/new/briefs.cgi) The United
States Court of Appeals for the Eighth Circuit has placed all of their
briefs online &
provides a great quick resource to see what others are doing.
Federal Public Defender for the District of Columbia
(http://www.dcfpd.org) The best
collection of motions and briefs for noncapital cases on the web. An
invaluable tool for
litigation and a must try site. Good navigation & excellent
quality. Training & CLE
opportunities catalogued.
Florida Supreme Court Briefs
(http://www.law.fsu.edu/library/flsupct/index.html) All
briefs since 1998 are available on the net including innumerable briefs
from capital cases.
The relative high quality of legal counsel in Florida's death cases
make these briefs
especially appealing. The downside is that there is no readily
searchable but rather filed by
docket number. When I am looking for a brief on point I generally
use a legal research
database (http://Westlaw, Lexis, or Versuslaw) to find a
Florida Supreme Court case that
has mentioned the issue I want, get the docket number, and then simply
go download the
brief. Note the briefs are in PDF format.
Louisiana Indigent Defense Board (http://www.lidab.com) The largest
single collection of
pretrial motions for capital cases on the web with the Louisiana
Capital Defense manual.
Another great site to visit.
Tennessee Capital Case Information (http://www.tsc.state.tn.us)
The Tennessee Supreme
Court has created a special section on its site for the capital cases
in which a "serious"
execution has been set at least once. The Philip Workman stay
materials are also included
on the site and are a must read for anyone preparing to fight for a
stay following
exhaustion of all normal means of appeal.
Briefreporter.com (http://briefreporter.com) A pay site that deserves
some mention.
Although the prices for briefs are excessively high, the site contains
a good search engine
for searching their database and a nice selection of death penalty
briefs (http://although
Florida, noted above, is highly over represented.
Resources from State/Regional Sites:
California
Appellate Project
(http://capsf.org) California Appellate Project is a firewall
protected site covering the breadth and width of death penalty practice
in California.
Included on the site is Re-CAP which covers virtually all capital case
and important habeas
decisions from California and the lower federal courts .
Equal Justice Initiative of Alabama (http://www.eji.org) EJI's
work on the web is no less
impressive than their work in the court room. The site offers a
good overview of their
work and the materials available off-line from them.
Florida Commission on Capital Cases
(http://www.floridacapitalcases.state.fl.us/ccc/index.cfm) FCCC covers
the appointment
process in Florida capital cases as well as contains the (in)famous
Florida registry for
capital attorneys, as well as Florida case handling guides.
Florida Public Defender
Association(http://www.flpda.org/pages/life_over_death.htm) A a
number of capital defense motions downloadable in Word.
Georgia Indigent
Defense Council
(http://GIDC.com/) Covers Georgia indigent defense.
Georgia
Multi-County Public Defender
Office (http://georgiacapitaldefenders.com/) The
Multi-County Public Defender Office serves as a trial resource center
for attorneys
handling death penalty cases. The site contains many of hte basics for
defending a Georgia
capital case at trial
Gulf Region
Advocacy
Center(http://www.GraceLaw.com) GRACE a nonprofit providing
quality representation to indigent persons charged with capital crimes
in the state courts of
Texas and Louisiana.
Illinois State
Appellate Defender
(http://state.il.us/defender/dpenalty.html) The ISAD site
is the "go to" site for the Seventh Circuits. Included on the
site are state & federal court
opinions, relief grants by the state supreme court, summary of
issues before the state
supreme court and the Seventh Circuit, as well as a catalog of their
off line information.
Kentucky
Department of Public Advocacy
(http://dpa.state.ky.us) The DPA site offers
several unique contributions. Most notably is DPA's periodical
the Advocate, the
Preservation Manual & the Kentucky Evidence Manual. Although aimed
at Kentucky
practitioners. the applicability of the materials presented, especially
the Preservation
Manual, is well worth an examination.
Louisiana
Indigent Defense Board
(http://www.lidab.com)- The largest single collection of
pretrial motions for capital cases on the web with the Louisiana
Capital Defense manual.
Another great site to visit.
Missouri Public
Interest Litigation
Clinic (http://www.pilc.net) PILC's website offers a
good collection of post-conviction motions and pleadings, including
materials, such as
clemency petitions, that simply cant; be found anywhere else.
New York State
Defender Association
(http://www.nysda.org) NYSDA offers the best
criminal defense and death penalty litigation in the northeast.
The Hot Topics list is the
best of its sort on the net and is among the leading post-9/11 sites
for defense of those
"rounded up" since the terrorist attacks.
Southern Center
for Human Rights
(http://SCHR.org) One of the best legal websites on
the net from one of the most important nonprofits in the country.
A good selection of
articles written by Stephen Bright as well as useful general
information on the death
penalty. SCHR also has a "contact" list for legal resources and
activists around the nation
that is second to none.
Texas Defender
Service
(http://www.texasdefender.org) A must for Texas lawyers (or
anyone involved in the fight in Texas), the TDS site offers one of the
few Directory of
Expert Witness Websites around, as well as their now famous
report "Texas Defender
Service Report - A State of Denial: Texas Justice and the Death Penalty"
Tennessee Capital
Case Information
(http://www.tsc.state.tn.us/OPINIONS/TSC/CapCases/CapCases.htm) The
Tennessee
Supreme Court has created a special section on its site for the capital
cases in which a
"serious" execution has been set at least once. Stay materials
are also included on the site
and are a must read for anyone preparing to fight for a stay following
exhaustion of all
normal means of appeal.
Virginia Capital Case Clearinghouse (http://www.vc3.org) VC3 is a
trial-level legal aid
clinic assisting capital defense counsel throughout Virginia. Run
by Prof. Roger D. Groot
at William & Mary Law, the site contains numerous stock motions
& explainations for
those motions.
Federal Defender sites
Federal Public
Defender for the
District of Columbia (see above)
Texas Federal
Defender
(http://fpd.home.texas.net/) This defender site has downloadable
instructions among other information.
Washington/Idaho
Federal Defender
(http://www.fdewi.org/) This excellent defender site
includes a motion bank; you'll have to call to get a password.
Colorado Public Defender
(http://www.state.co.us/defenders/Main_Topics/Topics_Links/prevlibrary.htm)
This
defender site has downloadable noncapital motions among other
information.
Death Penalty Manuals:
Ninth Circuit Capital Punishment
Handbook(see above)
Louisiana (http://www.lidab.com) Louisiana Indigent Defense Board m's
manual, slightly
dated, much of the information contained
ProBono.Net (see above)
Federal Caselaw & Habeas Guides:
Capdefnet.org (see above)
Probono.net (see above)
Ninth Circuit Capital Punishment Handbook (see above)
Findlaw.com (http://profs.findlaw.com/habeas/index.html)Todd Maybrown's
Federal
Habeas Corpus Review: A Brief Overview and The New Habeas Act Checklist
offers a
good overview for those new to the field of post-conviction litigation
of habeas corpus
jurisprudence, especially, post - AEDPA litigation. Note that this
material has quickly become dated.
Capital Defense Weekly
(http://capitaldefenseweekly.com) Covers case "highlights"
on
weekly/biweekly basis & is available also in an email subscription
format.
General Death Penalty Information:
Death Penalty Information Center
(http://www.deathpenaltyinfo.org) The first site to click
to for information about the death penalty. Dick Dieter and
his staff have made the
website the crown jewel of abolition on the web. The site also
contains the a good
selection of recent law review article titles.
Legal Press, Commentary & Blawgs:
National Law Journal
(http://www.law.com) The electronic version of the nation's largest
circulation legal newspaper. The online version offers email updates of
the daily edition &
a good searchable archive of prior stories.
Findlaw.com News and Commentary (http://news.findlaw.com &
http://writ.news.findlaw.com/) from around the globe including numerous
cutting edge
examinations of developing case law.
Jurist: Legal Education Network (http://jurist.law.pitt.edu/)
Academia from around the
country writing and debating about issues impacting the procession.
Talk Left / CrimLynx (http://talkleft.com &
http://crimlynx.com) Arguably the best
defense blawg on the net, covering criminal defense issues from a
progressive viewpoint.
How Appealing (http://legalaffairs.org/howappealing/) A solid
wrap-up of every major
law related story available on the web. How do he do it? Don't
ask.
Legal Theory Blog (http://lsolum.blogspot.com/) Prof. Lawrence Solum's
controversial
legal theory blog which amply reviews contemporary legal theory &
upcoming law
reviews from a rightward leaning/libertarian viewpoint.
For a more complete list see
karlkeys.com
Discussion Lists
Discussion lists -- By and
away the best death penalty discussion list for lawyers is
habeas-l run by Prof. Eric Freedman. To subscribe send an e-mail
to Prof. Freedman
stating your interest at lawemf@Mail1.Hofstra.edu.
An alternative discussion list for legal professionals involved with
capital litigation can be
found at capitaldedfense@yahoogroups.com. With only the most
limited of exceptions,
you must be a lawyer or other legal professional to join the discussion
list. Subscribe:
capitaldedfense-subscribe@yahoogroups.com.
Other Tools & Sites of Note:
Abolish Archives(http://maelstrom.stjohns.edu/CGI/wa.exe?S1=abolish)
Comprehensive
archives search of most death penalty related news stories going back 8
years.
Campaign for Criminal Justice Reform's (http://justice.policy.net/) The
first source to turn
to for back round information on the national political discussion on
the death penalty.
CCJR is the home for the Liebman study on error in capital cases, and
numerous other
articles.
Clark County Indiana Prosecutor (http://www.clarkprosecutor.org) No
discussion of
death penalty resources on the web would be complete without discussing
the enormous
list of materials catalogued by the site. They may be on the
wrong side of the issue but
they are an invaluable catalog of resources.
Cornell Death Penalty Page
(http://www.law.cornell.edu/topics/death_penalty.html) &
Capital Jury Project (http://www.lawschool.cornell.edu/library/death/)
Solid information
on capital sentencing process. General information about federal
habeas corpus review
and capital punishment, a synopsis of recent federal court
decisions on habeas corpus and
capital punishment, and links to other pertinent sites.
Death Penalty News & Updates from Southern Methodist University.
(http://www.smu.edu/~deathpen/) Up-to-date execution statistics and
alerts; U.S.
Executions since 1977 by name, date, state, and victim(http://s); Death
Row Inmate
Homepages and Links.
Equal Justice USA (http://www.quixote.org/ej/) A good collection
of materials relating to
moratoria, execution of innocents, and the case of Mumia Abu Jamal.
Federal Defenders (http://fd.org) Homesite of the Defender Services
Division Training
Branch of the Federal Defenders. Site contains everything from CJA
voucher information
to handouts from some recent AOC trainings.
Illinois Governor's Commission on Capital Punishment: Report to
Governor Ryan
(http://www.idoc.state.il.us/ccp/ ) The final report from the Illinois
Commission on Capital
Punishment, established by Governor George Ryan shortly after he
instituted a
moratorium on executions in the state of Illinois in 2000, following
the highly
publicized"exonerations" of 13 death row inmates since 1976. The report
concludes with
several controversial recommendations, all restricting the ability of
prosecutors to seek a
death sentence and the judge and jury's power to deliver one.
Jeff Flax's Homepage (http://www.jflax.com) Links to other sites
containing valuable
information on all aspects of criminal law and procedure.
The Justice Project (http://www.thejusticeproject.org) The Justice
Project is a campaign
to educate the public about the scope of the problem of wrongful
executions, and what
reforms can be made to prevent them. Contains general information about
the death
penalty, and numerous studies on the inadequacies of the system.
Includes testimony
presented to the House Judiciary Committee on H.R. 4167, the Innocence
Protection Act
of 2000 & the Liebman study
National Association of Criminal
Defense Lawyers (http://www.nacdl.org) The name says
it all. The onsite death penalty materials are not as numerous
and/or well put together as
they could be, however, a solid site overall.
National Association Of Federal
Defenders (http://federaldefenders.com) NAFD has
summarized the many of the various reversible error lists from around
the country at
http://www.federaldefenders.org/revr_errors_2000.pdf
The Other Side of the Wall
(http://www.prisonwall.org), A must for California
practitioners, Arnold Erickson's site is one of the oldest
criminal defense website on the
net, and the oldest active site dealing with issues of postconviction
that I am aware. In
quality and endurance, Mr. Erickson is s true pioneer.
Prof. Geimer's Death Penalty Defense
(http://deathpenaltydefense.com) Covering the basic
motions through the details of nuts and bolts at trial & provides a
good understanding for
post-conviction attorneys of what trial counsel should & must do.
(http://password
protected)
Activist Organizations
National Coalition Against the Death Penalty (http://www.ncadp.org) --
The site of the
nation's largest anti-death penalty groups offers some solid in depth
resources on
upcoming executions, as well as good information on ongoing legislative
drives around the
nation.
Canadian Coalition to Abolish the Death Penalty
(http://www.ccadp.org)-- This site is the
most information packed site on death row inmates, clemency campaigns
and claims of
innocence on the web. Although the not the easiest site on the
web to navigate, it is a
must see for activist, and lawyers should visit it to find out [1] what
information it lists on
their clients, and [2] to see how a web campaign for the client's life
can be put together.
Like the CUADP listed above, CCADP is run on a shoestring budget with
impact well
beyond its relatively meager economic resources.
Citizen United for Alternatives to the Death Penalty
(http://www.cuadp.org) -- This site,
as well as the related Abolition Action Committee , offer the best
listing of ongoing
anti-death penalty events in the nation. The CUADP and the AAC
(http://through Abe
Bonowitz and others) also provide an invaluable resource for attorneys
wishing to get in
contact with grassroots activists around the country.
Information Gathering Tools:
Google.com (http://google.com) Offers the best single source news
tracking on the net &
is one of the few major websites that permits searching of PDF
files. As a plus it permits
narrowing of queries to individual websites.
Google.com Newsgroups
(http://groups.google.com) Google tracks all posting to usenet
groups. The site provides a quick source for impeachment
evidence, basic information,
and even basic research into non-legal areas that members of a defense
team may be unfamiliar.
The
Death Penalty Information Center
(Deathpenaltyinfo.org) notes:
Editorial Questions Merits of Kansas Death Penalty
A recent Witchita Eagle editorial criticized the cost and
arbitrariness of Kansas's death
penalty, especially given the impossibility of predicting who would be
given the ultimate
punishment. Convicted murderer Arturo Garcia was given a sentence of
more than 100
years without parole for a grisly murder in the Club Mexico murder
case, while other
state cases ended with death sentences. The paper noted:
"(The Garcia case) certainly also
raises questions about what merits an execution in
Kansas -- and what doesn't.
"Clearly, the Club Mexico case involved, as spelled out among the legal
conditions for
the death penalty, 'desecration of the victim's body in a manner
indicating a particular
depravity of mind.'
"If execution is just, then surely justice would have been served by
pursuing execution
in this case. But that little word --'if' -- is of vital importance.
"Even if one grants that the state has the right to take a life to
avenge a crime, it's hard
to make a case for justice, knowing that the consideration and
application of the penalty
vary by jurisdiction and the decision makers' sensibilities. It's not
quite the luck of the
draw, but it might as well be.
"And given the expense of a typical capital punishment case, it's no
wonder that some
officials would be hesitant to take on the additional burden to their
already tight
budgets. Late last year, the Kansas Legislative Division of Post Audit
found that it costs
an average of $1.26 million to successfully prosecute death penalty
cases in Kansas,
well above the $740,000 average for cases that result in Hard 40 or
Hard 50 prison
sentences.
"Further, this brand of justice is not swift. No execution dates have
been set for any of
the seven men on Kansas' death row. The extended appeals process and
the
heightened due-process standards set by the U.S. Supreme Court ensure
that many,
many years pass at taxpayer expense before the actual punishment is
meted out in any
given case.
"Mr. Garcia was not deterred by the existence of the death penalty, nor
has he been
touched by it in the course of his trial and sentencing. If his
punishment of a lifetime
behind bars is logical and appropriate, as determined by the court,
then how can the
arbitrary nature of punishment by death be defended?"
(Witchita Eagle, July 20, 2004) (emphasis added) See Costs,
Deterrence, and Life
Without Parole. See also, Editorials.
National, International Leaders Urge Supreme Court to Ban Execution
of Juvenile
Offenders
Former U.S. President Jimmy Carter, former Soviet Union President
Mikhail
Gorbachev, medical experts, and 48 nations are among those who filed
friend-of-the-court briefs on Monday (July 19) urging the U.S. Supreme
Court to end
the juvenile death penalty. The Court is scheduled to hear arguments
this fall in Roper
v. Simmons, a case that will determine the constitutionality of
executing juvenile
offenders. The U.S. is one of only a handful of nations around the
world that continues
to permit the execution of juvenile offenders, and one of only five
nations (Congo,
China, Iran, Pakistan, and the U.S.) to carry out such executions
during the past four
years, according to the brief filed by Nobel Peace Prize winners,
including Carter and
Gorbachev. The Court also received briefs from the 25-nation European
Union, Mexico,
Canada, and other nations that argued that executions of juvenile
offenders "violates
widely accepted human rights norms and the minimum standards of human
rights set
forth by the United Nations." Similar briefs were filed by former U.S.
diplomats, the
American Medical Association, the American Psychiatric Association, and
the U.S.
Conference of Catholic Bishops. (Associated Press, July 19, 2004) View
the Amicus
Briefs. See DPIC's Roper v. Simmons page.
NEW VOICES: League Of Women Voters Cautions Against "Quick Fix" for
NY's Death
Penalty
The New York League of Women Voters has urged state lawmakers not to
attempt a
"quick fix" solution to the state's flawed death penalty law. "We now
have a unique
opportunity to re-examine the use of the death penalty in New York,"
said Marcia
Merrins, president of the League of Women Voters. In June 2004, the New
York Court
of Appeals declared the state's death penalty unconstitutional. The
League of Women's
Voter's, which plans to host a series of capital punishment forums
throughout New York
in the coming months, believes that the ruling offers lawmakers an
opportunity to look
beyond the immediate concern of the unconstitutional provision and
examine other
issues that will inevitably emerge despite the passage of patch work
legislation. (New
York Law Journal, July 15, 2004) See DPIC's Summary of the New York
ruling. See
New Voices.
NBC to Air Award-Winning Documentary "Deadline" on July 30
The award-winning documentary "Deadline," which takes viewers directly
into the
emotional and legal storm surrounding former Illinois Governor George
Ryan's
extraordinary decision to commute the death sentences of all those on
death row, will
air on NBC during a special 2-hour "Dateline" program at 8 p.m. on July
30th. The Big
Mouth Productions documentary has gained widespread critical acclaim
and it was
featured at the 2004 Sundance Film Festival. During filming, the
program's producers
had unprecented access to Governor Ryan, to death row exonerees from
Illinois, the
special clemency hearings held prior to Ryan's decision to commute the
sentences,
and to those death row inmates whose lives he spared. Renowned film
critic Roger
Ebert notes, "'Deadline' is all the more effective because it is calm,
factual and
unsensational. There are times when we are confused by its chronology
and by how its
story threads fit together, but it makes an irrefutable argument: Our
criminal justice
system is so flawed, especially when it deals with the poor and the
nonwhite, that we
cannot be sure of the guilt of many of those we put to death. George
Ryan, not running
for re-election, faced that truth and commuted those sentences, and
said he could live
with his decision." Read more about the documentary. See also,
Innocence.
NEW RESOURCE: Study Finds High Risk of Error in Eyewitness
Identification
A study conducted by the U.S. Navy and Yale University found that
eyewitness
testimony is often largely inaccurate, even when victims get a long
look at violent
criminals, and police and juries may be giving this evidence too much
credibility. After a
unique study of 509 Navy and Marine officers undergoing high-level and
low-level
stress during elite hostage survival training at Fort Bragg, N.C.,
researchers discovered
that few of the participating top officers could accurately identify
their "interrogators"
and "guards" during a line-up conducted 24 hours after the grueling
sessions. When
asked to select their captors from a line-up, only 30% of the
high-stress group made
correct identifications and only 62% of the low-stress group made
accurate
identifications. When sequential photos were used, the accuracy rate of
the high-stress
group rose to 49% and the low-stress rate improved to 76%. Researchers
found that
nearly 7 out of 10 high-stress participants made mistaken
identifications, and there was
no relationship between the participant's confidence level and the
accuracy of their
memory. In fact, officers who were absolutely positive that they had
selected the right
person were no more likely to be correct than officers who expressed
some doubt.
"Memory in healthy people is not inherently terribly accurate. There's
a substantial
amount of error. Maybe we should demand more evidence," said Charles A.
Morgan III,
a Yale psychiatrist and lead author of the study. One explanation for
these
identification errors may be the high levels of hormones such as
cortisol and adrenaline
that result from stress and may degrade spatial memory. (New Hampshire
Register,
Science Section, June 21, 2004). See Resources.
European Union Urges Iraq Not to Reinstate Death Penalty
European Union foreign ministers have urged Iraq's interim government
not to reinstate
capital punishment as it continues to develop the nation's justice
system. "The
European Union reconfirms its opposition to the death penalty in all
cases," the
ministers said in a draft statement to Iraq Foreign Minister Hoshiyar
Zebari. "The
message has been very clear . . . We have this policy, and we will
maintain this policy,"
said Dutch Foreign Minister Bernard Bot at a news conference with
Zebari. The
European Union has a long-standing policy against capital punishment,
and all 25
member nations have abandoned the practice. Although the death penalty
was
suspended in Iraq during the U.S.-led occupation, some senior-level
Iraqi politicians
have publicly stated that they intend to reinstate the death penalty
for certain crimes
now that control of the government has been given back to the Iraqi
people. The
discussion about capital punishment took place as Zebari, himself an
opponent of
capital punishment, met with European Union leaders to discuss EU
support for
rebuilding efforts in Iraq. He noted that the nation is facing an
ever-deteriorating
security situation and that funding from the EU is essential to
organizing upcoming
elections. (Reuters, July 12, 2004) See International Death Penalty.
NEW RESOURCES: DPIC Offers Useful Web Resources
The Death Penalty Information Center has new Web resources to assist
educators and
those following recent court developments related to capital punishment:
1) DPIC's revised Educational
Curriculum on the Death Penalty is an excellent tool for
TEACHERS planning to involve their students in the upcoming national
focus on
juveniles and the death penalty. See also DPIC's Web page on Roper v.
Simmons and
an overview of the Juvenile Death Penalty.
2) The Supreme Court recently added three
death penalty cases to its docket for next
term. See a summary of the issues in these cases on DPIC's Supreme
Court page.
3) DPIC has prepared a summary of the New York Court of Appeals'
decision that held
the state's death penalty law unconstitutional. See the summary of
People v. LaValle.
See Resources.
POSSIBLE INNOCENCE: New Evidence Throws Doubt on an Ohio Death
Penalty
Case
In an editorial entitled "Too Many Questions" that followed a
two-part news series
examining new information that casts doubt on the guilt of Ohio death
row inmate John
Spirko, the Mansfield News Journal of Ohio called for a re-examination
of Spirko's case
before the state allows an execution to go forward. A federal judge in
the same case
has said he has considerable doubts about the lawfulness of the case
against Spirko.
The editorial noted:
It's not often we call for careful
reconsideration of the criminal case involving an inmate
on death row at the Mansfield Correctional Institution. The judicial
system in death
penalty cases has many checks and balances along the way.
After an examination of the facts
surrounding the case, with the benefit of two decades
of hindsight, we believe many questions should be answered before this
ultimate
penalty is exacted.
In a recent two-day series, the News Journal offered information that
raises questions
about Spirko's role in the killing of Betty Jane Mottinger. These
questions are led by the
fact prosecutors decided not to bring accused accomplice Delaney Gibson
to trial, a
move that has Spirko and his attorneys renewing efforts to get a new
trial.
Gibson faced a capital murder charge for the crime while serving 15
years of a
20-to-life sentence in Kentucky for an unrelated murder, but was
paroled in July 2001.
At issue are photographs, receipts and other evidence that show a
bearded Gibson in
North Carolina the night before the crime, which happened at 8:30 a.m.
more than 500
miles away in Elgin, near Indiana. Spirko obtained the photographs from
postal records
after a 10-year fight, and argues the state inappropriately concealed
the Gibson alibi.
The state's key eyewitness testified she was 100-percent certain she
saw a
clean-shaven Gibson outside the post office the morning of the murder.
She was shown
an old mug shot of him without a beard and never saw him at trial
because he escaped
a Kentucky jail and was on the run.
In order for this murder to have occurred in the manner which the state
alleges, Gibson
must have finished visiting with relatives in North Carolina early
Sunday evening,
shaved his beard, jumped in a vehicle and drove more than 500 miles
through the night
to northwestern Ohio. Spirko, a convicted murderer and former cellmate
of Gibson's,
was paroled 13 days earlier and was living in Swanton with his sister.
He allegedly met
Gibson and the pair made the two-hour drive to the tiny village of
Elgin, where they
robbed the post office of less than $100 before kidnapping and
murdering the
postmistress.
No physical evidence links Spirko to the crime: He matches none of the
fingerprints
lifted, no blood evidence, no fibers, no murder weapon, no burglary
proceeds.
The chief link is the stories Spirko told trying to bargain himself
into the witness
protection program and get his girlfriend out of trouble for smuggling
him hacksaw
blades into the county jail, where he was being held on unrelated
assault charges. He
admitted his involvement in the killing, according to a postal
inspector. That is the
primary evidence against him. It's an admission he now denies.
In a recent opinion, U.S. Circuit Court Judge Ronald Lee Gilman said
the case record
"leaves me with considerable doubt as to whether he has been lawfully
subjected to the
death penalty."
Spirko should not be executed until those questions and doubts have
been answered.
(Mansfield News Journal, July 8, 2004) See Innocence.
NEW RESOURCE: Death Row Numbers Continue to Decline
The latest edition of the NAACP Legal Defense and Educational Fund's
quarterly
publication "Death Row USA" is now available on DPIC's Web site. The
April 2004
report reveals a continuing decline in the number of individuals on
death row in the
United States. The current population of 3,487 is 17 less than the
3,504 individuals
reported in January 2004 and 210 fewer than the 3,697 reported in
October 2002.
"Death Row USA" provides a comprehensive look at the nation's death row
population,
including a complete listing of those serving death sentences in each
state. The report
also details execution data, race statistics, and information on women
and juvenile
offenders. In addition, this resource provides a useful overview of
important court cases
from around the country that could shape the future of capital
punishment. (NAACP
Legal Defense and Educational Fund "Death Row USA," April 2004) Read
the report.
See DPIC's "Death Row USA" summary page.
NEW VOICES: Murder Victims' Family Members Join Call for North
Carolina Death
Penalty Moratorium
In a letter to the North Carolina House of Representatives, 21 family
members of
murder victims voiced their concerns about the state's error-ridden
death penalty
system and urged members to pass legislation that would impose a
two-year
moratorium on executions while a study is conducted. "We are troubled
by cases in
which inadequate representation or prosecutorial misconduct led to
innocent people
being sent to our North Carolina Death Row. We are troubled by the
ongoing evidence
that our death penalty system is plagued by class and racial bias," the
family members
wrote. "The criminal justice system cannot assuage the sorrow of a
murder victim's
family, but the system should demonstrate to us that it is just and
fair." The 21 victims'
family members join a lengthy list of moratorium proponents, including
8 former North
Carolina Supreme Court justices, religious leaders, and other community
leaders. Last
Spring, the North Carolina Senate passed companion legislation to the
House bill. A
statewide poll showed that North Carolinians support the moratorium by
more than
two-to-one. (North Carolina Moratorium Now Press Release, July 7, 2004,
with letter
from family members). See Victims.
Freed Death Row Inmate Awarded Large Settlement Based on Poor
Representation
Roberto Miranda, a Cuban native who spent 14 years on Nevada's death
row before
being cleared of all charges and freed, has settled a lawsuit against
Clark County, the
public defender's office, and two former Las Vegas police detectives
for $5 million.
Miranda's conviction and death sentence were thrown out in 1996 when a
federal judge
ruled that the defense attorney who represented him during his 1982
trial had
committed glaring errors. The judge ordered a new trial, but
prosecutors declined to
proceed with the case and Miranda was then freed from prison. He filed
a civil
complaint two years later in 1998, arguing that his civil rights were
violated when public
defenders did virtually nothing to defend their Spanish-speaking client
after he
performed poorly on a polygraph examination by an English speaking
examiner. He
also claimed that police withheld exculpatory evidence during his
trial. At first, a federal
judge threw out the suit, finding that Miranda could not sue the county
or the public
defenders office regarding his representation. The Court of Appeals for
the Ninth
Circuit later reinstated the case, and the U.S. Supreme Court declined
to review the
Ninth Circuit's ruling, thereby opening the door for similar suits
around the country.
Miranda's attorney, JoNell Thomas, stated, "There's no amount of money
that will give
him back those 14 years." (Associated Press, June 29, 2004; see also
Spence,
Maoriarity & Shockey Press Release, June 29, 2004). See Innocence.
NEW RESOURCES: American Prospect Features Special Report on Capital
Punishment
The July 2004 edition of The American Prospect features a special
section on capital
punishment with articles by some of the nation's most respected experts
on the topic.
"Reasonable Doubts: A Special Report on the Death Penalty" examines the
growing
movement to reform or abolish capital punishment in America. Among the
topics
examined are public opinion, innocence, race, and the death penalty for
juveniles. The
series also provides a closer look at the death penalty in states such
as Illinois and
Texas, and offers an overview of the Supreme Court's recent decisions
on the death
penalty. The authors included are: Anthony Amsterdam, Hugo Bedau,
Christina
Swarns, Tom Lowenstein, Sasha Abramsky, Jean Templeton, Joseph
Rosenbloom,
and Connie de la Vega. See Resources.
POSSIBLE INNOCENCE: DNA Evidence Leads to Juvenile Offender's Release
Following a fifth round of DNA tests, a Louisiana death row inmate has
been released
on bond while awaiting a new trial. Earlier this year, Ryan Matthews'
conviction and
death sentence were overturned. The recent round of DNA tests on a ski
mask, which
prosecutors claimed was worn by Matthews during the crime, excluded
Matthews but
matched the genetic markers of another inmate. To date, no physical
evidence linking
Matthews to the crime has been found. Following the latest round of DNA
testing, the
Jefferson Parish District Attorney's office did not oppose Matthews'
request for bond.
Matthews was a juvenile at the time the crime was committed. His
attorneys indicated
that he suffers from mental retardation and a seizure disorder.
(Times-Picayune, June
23, 2004) See Innocence. See also, Juvenile Death Penalty.
Commutation Granted in Indiana
Darnell Williams, who was scheduled to be exectued in Indiana on July
9, was granted
a commutation of his death sentence to life without parole by Governor
Joe Kernan. It
was the first commutation in a death penalty case in that state in 48
years. The
governor cited the fact that a co-defendant in the case, Gregory
Rouster, had received
a life sentence, and hence it would be unfair to execute Williams.
(CNN.com (AP story),
July 2, 2004). See Clemency.