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John Sterling GARDNER
Jr.
Gardner was condemned to
die for the December 23, 1982 murders of Richard Adams, 21, and Kim
Miller, 24. Gardner killed them with a shotgun while robbing a Steak
& Ale restaurant where they worked in Winston-Salem.
Adams, who had been at the Steak and Ale as a management trainee for
four months, had just earned a business degree from Virginia's Emory
and Henry College. The day of what became known as the steak and ale
murders, he couldn't get the receipts to balance with the cash and
charges, so he stayed late. If his figures had added up the first
time, he and Miller would have probably left the restaurant about
midnight.
Miller was working as a bartender
four nights a week to finance her unpaid day job as a door-to-door
Jehovah's Witness. She had stayed to keep Adams company and was
passing the time polishing the brass bar.
Gardner -- according to a written
confession recorded in September 1983, immediately after he was
sentenced to death -- had spent the earlier part of that night
drinking and shooting up "crystal meth." By 11 p.m., he was riding
around Winston-Salem with his girlfriend, a topless dancer and a
male friend.
Gardner asked his girlfriend if
he knew of a place that would be good to rob. They couldn't settle
on a target, but a little after midnight, they drove by the Steak
and Ale at 799 S. Stratford Road.
Gardner said he told Giordano to
park behind the restaurant and to cut the lights but keep the engine
running.
Carrying a 20-gauge shotgun, he
knocked on the back door sometime between 12:15 and 12:30 a.m. When
Miller cracked the door and said, "Can I help you?" Gardner forced
it open, pointed the gun at her and demanded to be taken to the safe.
They walked a few feet and entered the small office, where Adams was
at his desk working a calculator. Miller walked over to the desk,
picked up a bag of money and gave it to Gardner. Startled, Adams
jumped. Gardner fired a single shot at Adams' face. He died
instantly.
Miller fell to her knees and
begged for her life, Gardner later told police. But, putting the
barrel of the gun at her neck, he pulled the trigger. One of her
earrings, found several feet away from her body, was marked with
powder burns.
Gardner fled with
$2,696.55. He spent $825 to buy a used Chevelle and the rest on a
rabbit coat and a St. Bernard puppy for his girlfriend.
Five days before the Steak
and Ale murders, on Dec. 17, 1982, at 10:30 a.m., Gardner shot and
killed a Rowan County retiree, Ray T. Shaver, during an armed
robbery at his home. Shaver, 72, was giving his dog a bubble bath.
Gardner confessed to all of the murders after his arrest.
John Gardner,
Executed, North Carolina 1992
His lawyer was abusing drugs and alcohol at the time of the trail
and was later suspended on the grounds of professional negligence.
A man convicted of killing two restaurant employees 10 years ago was
executed by injection at the state prison here early today.
The 34-year-old prisoner, John Sterling Gardner,
went to his death continuing to maintain his innocence.
"I feel deep regret and sorrow for the victims'
families," he said in a final statement. "Though they believe that I
did what I was convicted of, I did not. But I feel sorry for them,
that's all."
Mr. Gardner was put to death for the killing of
Richard Adams, 21, and Kim Miller, 24, at a restaurant in
Winston-Salem. Their deaths came during a six-week crime spree in
which Mr. Gardner committed a third slaying, to which he pleaded
guilty after his conviction in the two others.
As his execution approached, his lawyers noted in
appeals that the jurors who had recommended the death sentence to
the trial judge had not been allowed to hear testimony about the
abuse he had suffered as a child. But the appeals were exhausted
Thursday, when the United States Supreme Court voted unanimously to
deny a stay.
The execution, which was witnessed by the
families of Mr. Gardner's victims, was the 27th in the nation this
year, the highest number since 47 convicts were put to death in
1962.
966 F.2d 1442
John Sterling GARDNER, JR., Petitioner-Appellant, v.
Gary DIXON, Warden, Central Prison, Raleigh, North Carolina,
Respondent-Appellee.
No. 91-4010.
United States Court of Appeals, Fourth Circuit.
Argued: February 4, 1992
Decided: June 4, 1992
As Amended on Denial of Rehearing
July 17, 1992.
Appeal from the United States
District Court for the Middle District of North Carolina, at
Winston-Salem. Frank W. Bullock, Jr., District Judge. (CA-88-179-WS)
Before RUSSELL, PHILLIPS, and
HAMILTON, Circuit Judges.
OPINION
HAMILTON, Circuit Judge:
In this habeas corpus
proceeding, 28 U.S.C. § 2254, the petitioner John Gardner
challenges the sentences of death imposed by the state of North
Carolina following Gardner's murder convictions. The district
court denied Gardner's petition for a writ of habeas corpus. On
appeal, Gardner raises the following issues in support of his
petition: (1) he was denied effective assistance of counsel at
the sentencing phase of the trial because of counsel's failure
to adequately investigate and present a case of mitigation; (2)
he was denied due process of law by the State's failure to
produce discovery and by prosecutorial misconduct; (3) the
sentencing instructions were unconstitutional because they
required unanimity in considering mitigating evidence; and, (4)
he was denied due process of law when he was denied
courtappointed psychiatric assistance. Gardner's challenges are
directed at the imposition of the death penalty, as opposed to
some lesser penalty. Gardner does not challenge the underlying
convictions for murder before this court. We hold that the death
sentences were not unconstitutionally imposed, and therefore
affirm.
I
* A detailed recitation of the
facts surrounding the murders which Gardner committed and the
procedural history of his trial may be found in the opinion of
the North Carolina Supreme Court on direct appeal from
conviction. State v. Gardner, 319 S.E.2d 591, 594-96 (N.C.
1984), cert. denied, 469 U.S. 1230 (1985). We briefly summarize
the factual background and subsequent proceedings.
On December 23, 1982, at
approximately 12:30 a.m., two employees of a Steak and Ale
restaurant in Winston-Salem, North Carolina, were closing the
restaurant for the evening. Gardner entered the Steak & Ale at
that time, demanded money, which was readily given to him by the
employees, and killed the two employees with shotgun blasts to
the face and neck.
Linda Cain, a cashier at the
restaurant next door to the Steak and Ale was walking to her car
at the time of the robbery and murders. She heard the shotgun
blasts and saw a man run from the Steak and Ale to the passenger
side of a waiting automobile. She had direct eye contact with
the individual for several seconds and later identified Gardner
from police photographic line-ups as the fleeing individual.
On March 17, 1983, Jeff Royal,
an inmate at the Forsyth County jail, implicated Gardner in the
murders. When confronted that day concerning his involvement,
Gardner denied participating in the murders, but stated that a
prisoner he identified as "Johnny" had confessed to the killings.
After repeating the "Johnny"
story and failing a polygraph test approximately one week later,
Gardner chose to make a statement, executed a waiver of rights,
and stated that he was at the Steak and Ale, but had remained in
the car while Jeff Royal and "Johnny" had gone inside to rob the
restaurant.
After he was taken to the
crime scene and asked to recount events, one officer expressed
disbelief of Gardner's story and Gardner confessed to committing
the murders. He gave a second tape-recorded statement admitting
that he was the triggerman in the killings and setting forth
details of the incident.
The next day, March 24, the
police asked Gardner to clarify certain statements in the tape-recorded
confession. He further described the victims, where he had shot
them, and their positions after they were shot.
Gardner was tried on two
counts of first degree murder beginning September 19, 1983. He
was convicted by the jury on both counts based on the felony
murder rule (the murder was committed during a robbery with a
dangerous weapon). At the guilt phase of the trial, Gardner
presented an alibi defense and testified in his own behalf.
Gardner recanted his confession and denied any connection to the
robbery or the murders. He claimed he confessed merely to
protect his girlfriend and that he knew the details of the crime
from suggestions made by the police and secretly viewing photos
of the crime scene while in custody.
At the sentencing phase of the
trial, conducted before the same jury which rendered the guilty
verdict, the jury recommended death sentences on each murder
count. The State proffered no testimony at this phase of the
trial, but relied on the testimony presented at the guilt phase.
Gardner offered the testimony of a state psychiatrist who had
evaluated Gardner for competency.
Judgments on Gardner's
convictions and sentences were entered September 23, 1983. The
judgments were affirmed on appeal to the North Carolina Supreme
Court on August 28, 1984. The United States Supreme Court denied
certiorari on February 19, 1985.
Gardner filed a motion
commencing state habeas proceedings on December 2, 1985,
alleging numerous grounds for overturning the convictions or
sentences. An evidentiary hearing was held. Gardner presented
evidence attempting to show that his trial counsel, Bruce Fraser,
spent inadequate time preparing for the trial and that there was
significant information about Gardner's childhood in state
social services files and from testimony of his parents,
relatives, friends and a psychological expert, that Fraser
failed to discover and utilize as mitigating evidence at
sentencing, thereby prejudicing Gardner's defense. Gardner also
presented a defense attorney with experience in trying capital
murder cases who opined that Fraser's performance was
ineffective and prejudiced the trial.
The state habeas court
rejected each of Gardner's claims by written opinion. This order
was upheld on appeal to the state and federal supreme courts.
Gardner v. State, Nos. 83 CRS 14519, 83 CRS 14520 (Forsyth Cty.
Super. Ct. filed August 29, 1986), cert. denied, 361 S.E.2d 598
(N.C.), cert. denied, 486 U.S. 1061 (1987), reh'g denied, 487
U.S. 1246 (1988).
The present petition was filed
in federal court on March 7, 1988, and referred to a magistrate
judge for resolution of non-dispositive motions and a report and
recommendation. 28 U.S.C.s 636. In an eighty-nine page order and
report filed June 25, 1991, the magistrate judge denied
Gardner's motions for discovery, a scheduling order, and an
evidentiary hearing. The magistrate judge found that Gardner had
presented a mixed petition, but that the State had
unconditionally waived all further exhaustion of state remedies.
Turning to the substance of the petition, the report recommended
that each of Gardner's claims be denied. After the filing of
objections by Gardner, the report and recommendation was adopted
by the district court without elaboration on September 11, 1991.
After denial of reconsideration, this appeal followed. The
appeal was expedited and Gardner's execution, originally
scheduled for January 10, 1992, was stayed pending appeal by
order filed December 5, 1991.
II
On appeal, Gardner's chief
contention concerns the performance of his trial counsel, Bruce
Fraser. Gardner claims he was denied effective assistance of
counsel because Fraser failed to adequately investigate
potential sources of mitigation in anticipation of the
sentencing phase of the trial and subsequently failed to present
"dramatic" mitigating evidence that was readily available and
might have persuaded the jury to grant life sentences as opposed
to sentences of death. Gardner does not challenge the underlying
murder convictions.
The test for reviewing claims
of ineffective assistance of counsel is well established. First,
petitioner must demonstrate counsel's performance fell below an
objective standard of reasonableness. Strickland v. Washington,
466 U.S. 668, 687-91 (1984). Second, "[t]he defendant must show
that there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding would have
been different. A reasonable probability is a probability
sufficient to undermine confidence in the outcome." Id. at 694.
* Gardner's argument that
Fraser's performance was deficient centers on Fraser's alleged
failure to adequately investigate possible sources of mitigating
evidence for the sentencing phase of the trial. At the
evidentiary hearing conducted on state collateral review,
Gardner presented the testimony of his father, his mother, an
aunt who had cared for him as a child, his father's girlfriend
who Gardner had referred to as "Mom," and a former girlfriend
who had lived with Gardner for approximately five months.
Gardner also presented records from county social services
departments that had involvement with him and his family during
his childhood. The records revealed an extremely difficult home
life resulting from an abusive father and a drunken mother.
Gardner's witnesses confirmed some of the tragic aspects of his
childhood, but also stated that he could, nonetheless, be a
loving and friendly individual.
Gardner also presented the
testimony of a clinical psychologist who, in preparing for his
testimony, reviewed the social service records and interviewed
the petitioner, his family, and others. The psychologist opined
that assuming petitioner's guilt, he was "under stress" at the
time of the murders, was suffering from an emotional or mental
disturbance, and his capacity to conform his conduct to the
requirements of the law was impaired. The psychologist concluded
that Gardner could be a decent human being, but when stressed,
his abusive childhood would influence his behavior and impair
his judgment.
Gardner argues that if Fraser
had conducted a competent investigation, he would have
discovered that these individuals were willing to testify as to
his abusive childhood and his redeeming qualities. Gardner also
contends that a reasonable investigation would have uncovered
the social service records detailing Gardner's abused childhood.
Gardner further concludes that discovery of this evidence would
have better supported his motion for appointment of a
psychologist for sentencing purposes, which was denied by the
district court.
Gardner also complains that
Fraser rarely visited him in the jail prior to trial. Fraser's
time records presented at the hearing indicated only three
specific conferences with plaintiff, but Fraser testified that
there were other instances, not recorded in his time sheets,
when he met with Gardner.
Finally, after filing his
federal petition, Gardner submitted additional evidence, not
addressed at the state level, that Fraser had been privately
reprimanded by the state bar, and medical records from a
detoxification center, dated September 18, 1989, which indicated
that Fraser may have begun to develop drug and alcohol problems
five to six years earlier, approximately the time of Gardner's
trial. The magistrate judge made no findings and conducted no
hearings with respect to this evidence.
The claim that Fraser spent
too little time interviewing Gardner and preparing for the case
is without merit. The state review court specifically found that
Fraser spent 105 hours preparing for the trial of Gardner's
case. This finding is presumptively correct. 28 U.S.C. §
2254(d); Sumner v. Mata, 449 U.S. 539, 550 (1981). While lack of
effective communication between a prisoner and his counsel could
support a claim for ineffective assistance, see Hutchins v.
Garrison, 724 F.2d 1425, 1430 (4th Cir. 1983), cert. denied, 464
U.S. 1065 (1984), the brevity of contacts between counsel and
defendant, standing alone, is not sufficient to support a claim
of ineffective assistance. Murray v. Maggio, 736 F.2d 279, 282
(5th Cir. 1984). Fraser's representation was not objectively
unreasonable for failure to meet more often with Gardner.
The second and chief ground
for claiming that trial counsel's conduct fell below an
objective standard of reasonableness concerns Fraser's alleged
failure to conduct a proper investigation of petitioner's
background in order to discover possible sources of mitigating
evidence for the sentencing phase of the trial. As mentioned
above, Gardner presented the testimony of several witnesses at
his state postconviction hearing who related various aspects of
Gardner's childhood, spoke of his good qualities, and
represented that they would have been willing to testify on
Gardner's behalf at trial if they had been asked. See Bassette
v. Thompson, 915 F.2d 932 (4th Cir. 1990), cert. denied, 111
S.Ct. 1639 (1991) (proffer of potential witnesses preserves
challenge to counsel's failure to call such witnesses). Gardner
also presented county social service department records and the
testimony of a psychologist which was based on an examination of
the social service records and interviews with family members,
friends, and petitioner.
An attorney has a duty to "conduct
appropriate investigations, both factual and legal, to determine
if matters of defense can be developed.... " Coles v. Peyton,
389 F.2d 224, 226 (4th Cir.), cert. denied, 393 U.S. 849 (1968).
The reasonableness of a particular investigation is evaluated by
the totality of the circumstances facing the attorney for the
accused. Bunch v. Thompson, 949 F.2d 1354, 1363 (4th Cir. 1991)
(citing Strickland, 466 U.S. at 691).
Fraser was appointed to
represent Gardner on July 7, 1983, and served as counsel through
trial, which commenced on September 19, 1983.1
Fraser had just over two months in which to prepare Gardner's
case for trial. Despite an earlier confession, Gardner insisted
on presenting an alibi defense at trial and gave Fraser the
names of persons to contact to substantiate the alibi defense.
The testimony presented in the
state post-conviction proceedings showed that Fraser
investigated the alibi defense and, at the same time, attempted
to explore possible mitigating evidence in his interviews with
Gardner in preparation for the possibility that a guilty verdict
would result. Fraser specifically sought to elicit from Gardner
mitigating circumstances grounded in Gardner's past. The record
conclusively establishes that Gardner never identified to Fraser
any of the individuals who testified on his behalf at post-conviction
proceedings as potentially helpful witnesses for trial. The only
two individuals he did identify to Fraser were his mother and
father, but Gardner emphatically stated to Fraser that he did
not want his family involved in the defense of his case.
Gardner specifically related
to Fraser the tragic circumstances of his childhood,
particularly his father's abusive behavior, his mother's
drunkenness, and his estrangement from both parents. Fraser
specifically advised Gardner of the possible mitigating value of
the father's abusive behavior during Gardner's childhood, but
Gardner persisted in rejecting any attempt to involve his father
or mother in the court proceedings and rejected Fraser's
suggestion that a reconciliation with his father might prove
helpful. Fraser attempted to inquire of Gardner about his being
sexually abused while previously imprisoned, but Gardner
categorically denied any such event ever occurred.
This court recently noted that
where a prisoner forbids counsel to approach certain witnesses,
is not forthcoming with names of helpful witnesses, or indicates
that potential witnesses cannot contribute anything of value to
the defense, "[i]t is difficult for us to fault counsel for
failing to obtain additional testimony.... " Bunch, 949 F.2d at
1365. While a client's demand to not pursue certain avenues of
investigation does not relieve counsel of all duty to
investigate, it does limit the scope of that investigation."
Gray v. Lucas, 677 F.2d 1086, 1093-94 (5th Cir. 1982), cert.
denied, 461 U.S. 910 (1983). Cf. Whitley v. Bair, 802 F.2d 1487,
1494 n.15 (4th Cir. 1986), cert. denied, 480 U.S. 951 (1987) (failure
to contact potential witness not unreasonable where defendant
indicates contact would be fruitless because sister "hated his
guts").
Gardner fully apprised Fraser
of his father's abusive actions during his childhood and his
continuing estrangement from his father and mother. Gardner
insisted that these family members not be contacted and utilized
in the defense of his case. Gardner further indicated that no
useful information could be acquired through such contacts. In
his one contact with a family member, an uncle, Fraser found the
uncle "incoherent," which reinforced the statement of Gardner
that questioning family members would prove unproductive. Each
of these events, given Gardner's insistence that there was no
useful information to be gained from his family and Gardner's
failure to be forthcoming with potential witnesses, would lead a
reasonable lawyer to conclude that investigative time would be
better spent on other avenues. Where, as here, "defendant has
given counsel reason to believe that pursuing certain
investigations would be fruitless or even harmful, counsel's
failure to pursue those investigations may not later be
challenged as unreasonable." Strickland, 466 U.S. at 691. As to
the presentation of additional character witnesses from among
family and friends, we conclude, therefore, that under the
circumstances, Fraser acted competently.
Gardner argues that Fraser, if
he had acted competently, should have ignored Gardner's
directives. Gardner contends that Fraser had a duty to seek out
witnesses like those produced at the post-conviction hearing
because Gardner was acting irrationally when he forbad Fraser
from involving his family in his defense and was not forthcoming
with helpful witnesses. This position is without merit. While
Gardner, as Fraser characterized it, might have been acting like
a "big man" and not "exercising the best of judgment" when he
rejected Fraser's request for more names from family and friends
and rejected Fraser's suggestion that he reconcile with his
father, there is no evidence to support a finding that Gardner
was "irrational" and incapable of making a reasoned judgment
concerning the defense of his case. Cf. Blanco v. Singletary,
943 F.2d 1477, 1502 (11th Cir. 1991) (defendant "noticeably
morose and irrational" when approached about mitigation
witnesses and stated a preference that no mitigation be
presented), petition for cert. filed, 60 U.S.L.W. 3655 (U.S.
February 28 and April 1, 1992) (Nos. 91-1417 and 91-7841);
Thompson v. Wainwright, 787 F.2d 1447 (11th Cir. 1986), cert.
denied, 481 U.S. 1042 (1987) (defendant "experiencing mental
difficulties").
In addition to the failure to
call the witnesses proffered at the state habeas proceeding,
Gardner also faults Fraser for failing to discover the social
services department records pertaining to Gardner's tumultuous
childhood. Such records are the proper subject of investigation
in preparing a case in mitigation. See Thompson, 787 F.2d at
1451 ("childhood and early family life, school records" should
be investigated).
As we previously noted,
Gardner was not particularly forthcoming with respect to sources
of mitigating evidence from his childhood. Gardner's admonition
not to involve family members would not preclude investigation
of the social service records. Nothing in the record, however,
suggests that Fraser knew or should have known of the existence
of these records. Although Gardner did reveal to Fraser his
abused childhood, there is nothing in the record to indicate
that Gardner provided information that would have led Fraser to
conclude that such records existed, and, if so, in what county
they could be located. Much child abuse goes wholly unreported
and unrecorded. While Fraser was told that Gardner had been
shuffled from home to home in his youth, Fraser had no specific
recollection of Gardner stating that he had been placed in a
foster home, a circumstance which might indicate that official
records existed. By contrast, where Gardner was forthcoming
regarding his past, Fraser obtained substantiating documentation
such as Gardner's military records.
We do not hold today that
counsel's duty to investigate is only as broad as the
information provided by the defendant. We note, however, that a
defendant's cooperativeness in the investigative process, which
is part of the totality of the circumstances facing his attorney
as he prepares defendant's case, helps determine the
reasonableness of a particular course of conduct. It is
difficult to fault the attorney for pursuing what his client
refuses to reveal or indicates is not worthy of consideration.
Under the circumstances facing Fraser in this case, we conclude
that his investigation and utilization of mitigating evidence
satisfies constitutional norms.2
B
As noted above, though it
presents a close question, we conclude that Fraser acted
reasonably, under the circumstances, in his representation of
Gardner. Even if we were inclined to find a deficiency in
counsel's efforts, however, we would conclude that Gardner has
failed to demonstrate prejudice under the second prong of
Strickland.
In this case, the question
presented under the second prong of Strickland is whether or not
there is a reasonable probability that the jury would have
recommended some punishment other than death but for the alleged
errors of trial counsel. At the sentencing phase of the trial,
the state put on no additional evidence, but relied solely on
the evidence presented at the guilt phase of the trial. Fraser
put on Dr. Rood, the state psychiatrist who had evaluated
Gardner for competency approximately four months prior to his
trial. Without going into great detail, Dr. Rood related the
substance of her conversations with Gardner and her evaluation
of his mental condition. She stated that Gardner had told her
the following: (1) he had moved frequently as a child; (2) his
mother was "a wine-o"; (3) he had failed several grades in
school and had never completed high school; (4) he "hope[d] he [the
father] died"; (5) he had abused drugs since he was a teenager;
and (6) he had married at 18, but the marriage had failed
despite counselling. Once again, without elaboration, Dr. Rood
opined that Gardner was not suffering from any mental defect,
but that his past history of substance abuse could have impaired
his judgment at the time of the murders.
Using the testimony of Dr.
Rood at the sentencing phase and the testimony of Gardner and
one of his ex-girlfriends given during the guilt phase of trial,
Fraser's closing argument at sentencing sought mercy for Gardner
on the premise that Gardner had grown up without a support group,
had no chance to receive proper training or develop normally and
morally, and, therefore, had diminished responsibility for his
actions that did not warrant imposition of the death penalty.
Fraser made specific reference to Gardner's disadvantaged
background, the alcoholism of his mother, and the lack of family
support as mitigating factors on Gardner's behalf. Fraser
specifically compared the culpability of Gardner, who had an
impoverished background, with others who had opportunities to
succeed, but threw them away and were, therefore, more culpable.
Consonant with Fraser's
argument, the verdict form, completed by the jury after three
hours of deliberation, specifically found as mitigating
circumstances Gardner's family history, his history of alcohol
abuse, and drug addiction as brought out by the testimony of Dr.
Rood at sentencing. The jury did not find that Gardner was
impaired in his ability to appreciate the criminality of his
conduct and to conform his conduct to the law despite Dr. Rood's
stated opinion that Gardner's past substance abuse could have
caused such impairment.
The thrust of Gardner's
argument on prejudice is that had Fraser not neglected his duty
to investigate, he could have discovered and presented at
sentencing the testimony offered by Gardner at the state post-conviction
proceedings. This "dramatic" presentation of Gardner's childhood
woes, Gardner contends, would have persuaded the jury to give
life sentences, rather than death sentences, because of the
difference in quality, depth, and mitigating value between
Gardner's post-conviction evidence and the evidence Fraser
actually presented and argued at trial.
Fraser clearly presented
mitigating evidence to the jury and the jury specifically found
Gardner's family life and drug and alcohol abuse to be
mitigating factors. This case is thus distinguishable from the
cases heavily relied on by Gardner finding ineffective
assistance of counsel where counsel presented absolutely no
mitigating evidence to the jury. See Kenley v. Armontrout, 937
F.2d 1298, 1300 (8th Cir.), cert. denied sub. nom., Delo v.
Kenley, 112 S.Ct. 431 (1991) ("counsel submitted no mitigating
evidence ... [and] made no closing argument"); Horton v. Zant,
941 F.2d 1449, 1461 (11th Cir. 1991), cert. denied, 112 S.Ct.
1516 (1992) (counsel conducted no investigation of mitigation
and introduced no mitigating evidence); Blanco v. Singletary,
943 F.2d at 1500-02 (no mitigating evidence presented).
The evidence presented by
Gardner at the state post-conviction proceeding was different in
its depth and detail, but not in kind. It presented in greater
"color" the disadvantages suffered by Gardner as a child. We are
convinced however, that presentation of this additional evidence
would not have swayed the outcome in this case. The murders in
this case were senseless and brutal. The victims had fully
complied with Gardner's robbery demands and were in the process
of turning over the money demanded by Gardner when he shotgunned
both victims in the head.
The jury in this case was
informed of Gardner's childhood and substance abuse problems,
concluded they were mitigating circumstances, but found this
mitigation was outweighed beyond a reasonable doubt by the
aggravated nature of the brutal murders. We cannot say this
decision would have changed had more "dramatic" evidence of
childhood trauma been presented. Consequently, there was no
prejudice and the claim of ineffective assistance of counsel is
without merit.3
III
Gardner also alleges he was
denied due process of law because of the state's failure to
produce certain discovery prior to trial and because of alleged
prosecutorial misconduct. Each allegation is addressed in turn.
* Gardner contends that the
prosecutor, prior to trial, failed to provide defense counsel
with a copy of the statement of Jeff Royal implicating defendant
in the murders. Gardner also contends that the state failed to
produce information on benefits, promises and payments made to
Royal in exchange for his testimony.
First, the statement by Royal
with respect to Gardner was inculpatory with respect to Gardner,
not exculpatory, therefore it was not subject to constitutional
requirements of disclosure under Brady v. Maryland, 373 U.S. 83
(1963). Gardner alleges that the failure to produce the
statement violated state discovery rules. Federal habeas relief
is not concerned with violation of state discovery rules,
however. Estelle v. McGuire, 112 S.Ct. 475, 480 (1991). There
was also, as the magistrate judge concluded, no prejudice
resulting from the alleged non-disclosure. Defense counsel was
advised of the substance of Royal's statement prior to trial and
Fraser effectively cross-examined Royal with respect to the
statement and the basis for his knowledge.
Second, Gardner complains that
the state failed to disclose inducements made to Royal to obtain
his cooperation. Disclosure of such information, which could be
used to impeach, is covered by the Brady rule. United States v.
Bagley, 473 U.S. 667, 678 (1985). There is, however, on the
record before the court, no evidence that the prosecutor made
undisclosed promises or gave inducements to Royal and hence he
had no such information to disclose.
Crime-stoppers, an
organization independent of the city of Winston-Salem, had in
fact offered Royal $600.00 for the information. This fact, and
the fact that Royal anticipated the possibility of receiving
additional reward money from another non-governmental reward
source, were fully revealed during Royal's testimony. The jury,
therefore, had a full opportunity to weigh such information in
evaluating Royal's testimony and his credibility. Thus, even if
the prosecutor had a duty to disclose information about these
awards, no prejudice is apparent in the record.
At the time he filed
objections to the magistrate judge's report, Gardner also
submitted various documents purporting to be new evidence
implicating Royal in the murder. These documents included
yearbook pictures which defendant claims show that Royal knew
one of the victims and an affidavit from a friend of the victim
stating that the victim was very trusting and might have let
someone she knew into the restaurant. Also included were
affidavits from an investigator and one of Gardner's present
attorneys in which they allege they were told by a Randy Church
that Jeff Royal had told Church, while they were in jail
together in 1984, that he [Royal] was present on the night of
the Steak & Ale murders.
None of the evidence offered
concerning Royal is exculpatory with respect to Gardner. There
is no evidence that the state was aware of the proffered
statements implicating Royal in the murders prior to trial so
that disclosure of such statements under Brady was required. On
their face, the affidavits do not clearly set forth the time
period when Church allegedly spoke with Royal, whether before or
after Gardner's trial. In either case, Church allegedly stated
that he never told law enforcement authorities about Royal's
alleged confession becuase he had nothing to gain by making a
statement. Petitioner's assertion that the state "must have
known" of Royal's alleged statements is unsupported by the
record.
B
Gardner also contends that the
prosecutor improperly questioned him about prior Miranda
warnings and whether he had committed another murder in a
neighboring county. Prosecutorial misconduct claims are reviewed
to establish if an improper action by the prosecutor "so
infected the trial with unfairness as to make the resulting
conviction a denial of due process." Darden v. Wainwright, 477
U.S. 168, 180 (1986).
Gardner took the stand in his
own defense and was subject to impeachment like any other
witness. At trial, Gardner sought to disavow his confession to
the crimes. As the magistrate judge correctly noted, the
prosecutor's question about Miranda warnings went directly to
the issue of the voluntariness of Gardner's confession by
demonstrating that Gardner was familiar with his rights at the
time of his confession. See Crane v. Kentucky, 476 U.S. 683, 688
(1986). Gardner's prior criminal record was the subject of cross
examination, so any reference to prior Miranda warnings did not
prejudice the defense.
The question concerning the
murder in another county was also proper under the rules of
evidence governing the trial. The prosecutor had a good faith
basis for asking the question since Gardner was connected with
that murder. When met with Gardner's denial of involvement, the
prosecutor did not attempt to introduce extrinsic evidence on
the issue, but accepted Gardner's answer. Gardner denied
participation at trial, but in fact later pleaded guilty to that
same murder. No due process problem arises from the
circumstances surrounding this line of questioning.
C
Gardner contends that the
prosecutor's reference to"your kids ... my kids" in the closing
argument at the sentencing phase of the trial constituted
misconduct which improperly inflamed the jury and denied him due
process. This claim is reviewed to see if "the disputed
statement so infected the ... sentencing with unfairness that
the ultimate conviction and sentence constituted a denial of due
process." Gaskins v. McKellar, 916 F.2d 941, 951 (4th Cir.
1990), cert. denied, 111 S.Ct. 2277 (1991).
Gardner cites several cases
specifically condemning this type of argument because it invites
the jury to "depart from neutrality and to decide the case on
the basis of personal interest and bias rather than on the
evidence." See e.g. United States v. Teslim, 869 F.2d 316, 328
(7th Cir. 1989). The government asserts that read in context,
the remarks were not inflammatory and do not rise to the level
of a constitutional violation.
The prosecutor's remarks were
improper. The prosecutor, by his comments, specifically asked
the jury to think of the victims as their own children after
emphasizing the intrinsic worth of children. While the remarks
do not call on the jury to ignore the law, they did invite the
jury to inject personal considerations and emotion into the
sentencing decision. Given the overall trial and the context in
which they were made, however, the remarks do not rise to the
level of a constitutional violation that would warrant a new
sentencing hearing. See Teslim, 869 F.2d at 328.
IV
Gardner attacks the jury
instructions and verdict form used in this case on the ground
that both prevented the jury from considering mitigating
evidence unless all twelve jurors agreed on the existence of a
particular mitigating circumstance. He claims that this violated
the rules established in Mills v. Maryland, 486 U.S. 367, 384
(1988), and McKoy v. North Carolina, 494 U.S. 433 (1990).
Passing the questions of the retroactivity of these rules and
the possible waiver of the retroactivity question by the State,
the rules do not in any event apply to the facts of this case.
Applying Mills, the Supreme
Court in McKoy struck down North Carolina jury instructions that
specifically required the jury unanimously to find mitigating
circumstances before those circumstances could be weighed
against aggravating circumstances in deciding whether to impose
a sentence of death. In this case, neither the jury instructions
nor the verdict form contains any such unanimity restriction on
the jury's use of mitigating evidence.
Where, as here, no unanimity
requirement is contained in the instructions or verdict form,
petitioner's claim must fail. See Maynard v. Dixon, 943 F.2d
407, 419 (4th Cir. 1991), cert. denied, 112 S.Ct. 1211 (1992)
(comparable instructions upheld against McKoy attack;
retroactivity assumed with decision).
V
Gardner finally claims that
the trial court violated due process by denying him the
assistance of a court-appointed psychiatric expert. In Ake v.
Oklahoma, 470 U.S. 68 (1985), the Supreme Court held, "[w]hen a
defendant has made a preliminary showing that his sanity at the
time of the offense is likely to be a significant factor at
trial, the Constitution requires that a State provide access to
a psychiatrist's assistance on this issue." Id. at 74. Such
assistance is required at both the guilt and sentencing phases
of capital trials.
This court has held that the
holding in Ake is a new rule under Teague v. Lane, 489 U.S. 288
(1989), that is not applied retroactively on collateral review.
Bassette v. Thompson, 915 F.2d at 938-39. Ake was decided after
Gardner's conviction was final, therefore, it does not apply in
this case.
Assuming the merits of the Ake
claim are reached, however, there was no showing by defendant to
the trial court that his sanity was at issue or that the state
intended to put on psychiatric evidence at trial regarding
Gardner's danger to society, the circumstances under which
psychiatric assistance was deemed necessary in Ake.
VI
In conclusion, the court holds
that the sentences of death were not unconstitutionally imposed
in Gardner's case. While, with the gift of hindsight, we may
second-guess the decisions of petitioner's counsel, we cannot
say that he acted unreasonably under the circumstances presented
to him before and at the time of petitioner's trial. If counsel
erred with respect to the preparation and presentation of
Gardner's case at sentencing, we conclude that there is not a
reasonable probability that the errors alleged by Gardner would
have persuaded the jury to reach a different verdict.
We further conclude that none
of the other challenges raised by Gardner merit a new sentencing
hearing. The order of the district court, denying the petition
for a writ of habeas, is affirmed, and the stay of execution
entered December 5, 1991, is vacated.
The petition for a writ of habeas
indicates that Gardner was initially represented by Mr.
Michael Grace, appointed counsel of the North Carolina bar,
from the time he was arrested in connection with these
murders until arraignment
At the time of Gardner's trial, North
Carolina law did not require appointment of more than one
attorney in capital cases. Subsequent to petitioner's trial
and convictions, the law was amended to require appointment
of assistant counsel in capital cases. N.C. Gen. Stat. §
7A-450 (1989).
Gardner presented evidence, for the first
time in district court, as an attachment to the objections
to the report of the magistrate judge, that Fraser was
privately reprimanded by the North Carolina State Bar for
neglect of duty to a client in 1983 at approximately the
same time as Gardner's trial. There was also evidence of
Fraser's admittance to a treatment center for alcohol and
cocaine dependency in September 1989 and a temporary
suspension from practice in June 1990 connected to neglect
of client matters rising from the dependency problem treated
in 1989. Gardner's habeas petition does not, however, allege
that Fraser's performance at trial was impaired by drugs or
alcohol and has never been amended to assert such a claim.
By motion filed February 3, 1992, the eve of the hearing on
this matter, petitioner sought to expand the record on
appeal to include additional documents concerning Fraser's
legal woes
Petitioner has given no reason for
waiting until the last minute to file the documents
contained in the motion of February 3; therefore, the court
denies the motion to expand the record as untimely. The most
recent document attached to the motion is dated January 4,
1992, almost one month prior to its submission to this court.
Even if the motion was granted, the court
concludes that the information provides Gardner no grounds
for relief. The documents attached to the objections to the
report of the magistrate judge and to the motion to expand
the record bear little relevance to Fraser's conduct at the
time he represented Gardner. Gardner did not allege in his
petition and there is no evidence in the record showing that
Fraser was under the influence of alcohol or drugs at the
time he was preparing or trying Gardner's case. A claim of
ineffective assistance of counsel is judged by the "reasonableness
of counsel's challenged conduct on the facts of the
particular case, viewed at the time of counsel's conduct."
Strickland, 466 U.S. at 690. The subsequent legal and
personal woes of Fraser set forth by plaintiff bear little,
if any, relationship chronologically to petitioner's case.
In deciding the prejudice issue, the
court also notes that since the original imposition of the
death sentences in this case, Gardner pleaded guilty to
another murder in Rowan County, which occurred only days
before the murders in this case. See State v. Gardner, 320
S.E.2d 688 (N.C. 1984). Commission of this offense could be
another aggravating factor before the jury in any
resentencing of Gardner for the subject murders