Murderpedia has thousands of hours of work behind it. To keep creating
new content, we kindly appreciate any donation you can give to help
the Murderpedia project stay alive. We have many
plans and enthusiasm
to keep expanding and making Murderpedia a better site, but we really
need your help for this. Thank you very much in advance.
Antonio G. JAMES
Robberies
Antonio G. James (c. 1954
– March 1, 1996) was an American murderer. He was
tried and executed in Louisiana for the murder of
Henry Silver. This case is notable not for any
unusual or intrinsic aspect, but for being one of
the few such cases that ever comes to the attention
of the general public.
Like the case of Edward Earl
Johnson whose last days on death row in Mississippi
were filmed for the BBC in 1987 as Fourteen Days in
May, this case came to light precisely because it
was so ordinary, and was seen to be so. To some it
demonstrated the need for capital punishment to
protect the public from such dangerous people. To
others it demonstrated the inhumanity of death row.
Whatever conclusions were reached, this case remains
one of the few such cases in the public domain that
does not involve a celebrity perpetrator or victim,
and so reminds all concerned of nature of most
capital cases in the USA.
Prior criminal history
James had amassed a very
extensive juvenile and criminal record by the time
he was tried for the murder of Silver. The post-sentence
investigation report prepared for the sentencing
court listed 37 juvenile incidents. James was
ordered confined to the Louisiana Training Institute
at age 14.
In 1973, he was convicted of
attempted armed robbery and sentenced to serve three
years at the state penitentiary. During this period
of confinement, he was convicted of attempted simple
escape. He was released in 1975. In 1978, he was
charged with aggravated rape, but the charge was
later refused by the prosecution.
James was convicted of the first
degree murder of Alvin Adams on January 23, 1979 and
was sentenced to life imprisonment. He was convicted
of the January 26, 1979 armed robbery of Robert
Hooten and was sentenced to 99 years for this
offense, the maximum under Louisiana law.
Murder of Henry Silver
On January 1, 1979, James
approached 70 year old Henry Silver as the latter
was getting out of his car in his neighborhood in
New Orleans. James placed a gun to Silver's head and
demanded his money. When Silver shouted for help,
James placed the gun under Silver's right ear,
cocked the hammer, and fired a shot into Silver's
head.
James then rifled through
Silver's pockets and removed his wallet containing
$35. He drove away in a nearby waiting car. Silver
died a few hours later at Charity Hospital. James
was arrested on January 26, 1979 when he bungled
another armed robbery attempt and was shot with his
own gun. He was indicted for first degree murder.
Trial
He was indicted for first degree
murder by an Orleans Parish Grand Jury. In December
1981, a jury found him guilty as charged at a trial
where the principal witness against James was his
accomplice, Levon Price. After deliberation, the
same jury unanimously recommended that the defendant
be sentenced to death.
Execution
On March 1, 1996, James was
executed by lethal injection at the Louisiana State
Penitentiary at the age of 42. The execution team
had difficulty locating a vein to insert the
catheter into his arm in order to commence the
execution. Warden Burl Cain requested that James
make a fist in order to assist the process. James
complied in this request.
James declined to give a final
statement. However, Warden Cain later said that
James stated "Bless you", as he was strapped to the
execution gurney. His last meal was fried oysters
and crab gumbo.
James' execution was the subject
of an ABC News documentary on Prime Time Live.
In the UK the BBC broadcast a 40 minute piece on 18
April 1996 on Radio 4 about this case, with
particular reference to the role of the British
lawyer Clive Stafford Smith in providing adequate
defence for such cases.
Wikipedia.org
Antonio G. James was executed on March 1, 1996. James was
convicted of the robbery and murder of Henry Silver on January 1,
1979, in New Orleans. James had also been sentenced to life for the
January 23, 1979, murder of Alvan Adams, during another robbery, and
99 years for another armed robbery. His case was documented in
the ABC News program "Judgment at Midnight."
When James was brought into the execution chamber, he declined a
final statement, saying:
"I don't want to say anything."
Warden Burl Cain, who was holding James's left hand when James was
put to death, said James's final words to him were:
"Bless you."
Inmate Is Executed After 13 Reprieves
The New York Times
March 2, 1996
A man who had avoided execution 13 times in his 14 years on death
row was executed by injection early today for killing an elderly man
in a 1979 robbery.
The prisoner, Antonio James, 42, had waited
longer for his execution than any other prisoner still on the
state's death row. Mr. James was sentenced to die in 1982 for the
murder of Henry Silver, 70, on New Year's Day 1979 in New Orleans.
He had also been sentenced to life in prison for
the robbery and murder of Alvin Adams on Jan. 23, 1979. Mr. James
was captured in May 1979 after another robbery victim grabbed his
gun and wounded him in the leg.
In appeals over the years, defense lawyers
complained of ineffective counsel, no money to investigate the
crimes and prosecutorial misconduct. They said Mr. James was
retarded, had used drugs and had a deprived childhood in the housing
projects of New Orleans.
Lawyers also had five prison witnesses who said
Mr. James's accomplice had admitted firing the gun and killing Mr.
Silver. The accomplice, Levon Price, received a suspended sentence
after testifying that he had watched from a getaway car while Mr.
James shot Mr. Silver.
The execution was the first here since the movie
"Dead Man Walking" was released this winter. The movie was partly
filmed at the Angola penitentiary and focused attention on
executions in Louisiana.
827 F.2d 1006
Antonio JAMES, Petitioner-Appellant, v.
Robert H. BUTLER, Sr., Warden, Louisiana State Penitentiary,
et al., Respondents-Appellees.
No. 86-3753.
United States Court of Appeals, Fifth Circuit.
Sept. 4, 1987.
Rehearing and Rehearing En Banc Denied Oct. 5, 1987.
Appeal from the United States
District Court for the Eastern District of Louisiana.
Before CLARK, Chief Judge,
GARWOOD and HILL, Circuit Judges:
ON APPLICATION FOR STAY OF EXECUTION PENDING
APPEAL AND FOR
CERTIFICATE OF PROBABLE CAUSE
GARWOOD, Circuit Judge:
The district court denied
Antonio James' petition for writ of habeas corpus pursuant to 28
U.S.C. Sec. 2254 in which James sought to set aside his
Louisiana first degree murder conviction and death sentence.
That court likewise denied James' application for certificate of
probable cause under 28 U.S.C. Sec. 2253. James has filed a
notice of appeal to this Court from the denial of his habeas
petition. The case is now before us on James' application to
this Court for certificate of probable cause.1
We deny the application for
certificate of probable cause and accordingly dismiss James'
attempted appeal.2
In passing on James' application for certificate of probable
cause, we are guided by the standard "that a certificate of
probable cause requires petitioner to make a 'substantial
showing of the denial of [a] federal right.' " Barefoot v.
Estelle, 463 U.S. 880, 103 S.Ct. 3383, 3394, 77 L.Ed.2d 1090
(1983). See also Fabian v. Reed, 714 F.2d 39 (5th Cir.1983). In
passing on the request for stay of execution, we apply the
standard stated in O'Bryan v. McKaskle, 729 F.2d 991, 993 (5th
Cir.1984). We hold that James has failed to make the required
showing for a certificate of probable cause or to keep in force
the stay of execution heretofore entered.
Procedural and Factual Background
James was charged in a July
12, 1979 indictment with the first degree murder, on January 1,
1979 in Orleans Parish, Louisiana, of Henry Silver, contrary to
LSA-R.S. 14:30. Following a jury trial in the Orleans Parish
district court on December 14, 15, and 16, 1981, he was found
guilty as charged.
The jury, on December 17,
1981, at the conclusion of the bifurcated trial's sentencing
proceeding, recommended that James be sentenced to death and
found the following statutory aggravating circumstances, namely:
"the offender was engaged in the perpetration of an armed
robbery" and "the offender was previously convicted of an
unrelated murder and has a significant prior history of criminal
activity." See LSA-C.Cr.P. art. 905.4(a), (c). On direct appeal,
the Louisiana Supreme Court affirmed James' conviction and
sentence, and the United States Supreme Court denied his
petition for writ of certiorari. State v. James, 431 So.2d 399
(La.), cert. denied, 464 U.S. 908, 104 S.Ct. 263, 78 L.Ed.2d 247
(1983).
Thereafter, in November 1983,
James filed a petition for habeas relief in the court below
under section 2254 and, in June 1984, the court below dismissed
that petition without prejudice for failure to exhaust state
remedies. James then sought post-conviction relief in the
Louisiana state courts and, such relief being denied, in late
July 1984, filed the present section 2254 petition in the court
below.
The district court granted a
stay of execution and set an evidentiary hearing, which was held
on October 4 and 5, 1984, after James had filed an amended
petition. On October 17, 1985, the district court issued a
lengthy opinion rejecting each of James' claims, dismissing his
petition with prejudice, and vacating the previously entered
stay. James timely filed a motion for new trial and requested a
stay of execution.
Following a November 26, 1985
nonevidentiary hearing on these matters, the district court
granted a stay of execution and took the motion for new trial
under advisement. On September 17, 1986, the district court
issued a memorandum opinion and order denying the motion for new
trial and vacating the stay of execution.3
James filed notice of appeal to this Court, and applied to this
Court for a certificate of probable cause and a stay of
execution pending appeal.
James has been represented by
counsel at all stages of the state proceedings against him, as
well as throughout all the proceedings in the court below and in
this Court. Subsequent to our granting of an interim stay,
James' counsel, and counsel for the state, have each filed
briefs with this Court.4
In addition to reviewing these,
we have reviewed the record of the proceedings, trial and pre-trial,
of James' state conviction and sentence, the opinion of the
Louisiana Supreme Court affirming his conviction and sentence,
and the proceedings below, including the transcript of the
October 4 and 5, 1984 evidentiary hearing.
The state's evidence produced
at trial tended to show that on January 1, 1975, James
approached seventy-year-old Henry Silver, placed a gun to
Silver's head and demanded his money. When Silver shouted for
help, James shot him in the head near the right ear. He then
rifled through Silver's pockets and removed a wallet containing
thirty-five dollars. Silver died a few hours later after being
taken to a local hospital. James was arrested on January 26,
1979, after having attempted an armed robbery earlier that day
during which he was shot with the gun with which he had
threatened the victim.
In May 1979, he was convicted
of the January 26, 1979 attempted armed robbery. He was
subsequently sentenced to ninety-nine years' imprisonment for
that offense, and the conviction and sentence were affirmed by
the Louisiana Supreme Court. 395 So.2d 1368 (La.1981) (per
curiam without formal opinion).
In June 1979, apparently prior
to being sentenced on the attempted armed robbery, James gave
statements to probation and police officers which implicated him
in the January 1, 1979 murder of Silver and also in the January
23, 1979 murder of Alvin Adams, likewise committed in the course
of a robbery.
The same day that James was
indicted for the first degree murder of Silver, he was also
charged, in a separate indictment, with the January 23, 1979
first degree murder of Adams. The Silver indictment was number
271-107, and the Adams indictment was number 271-108.
After a retrial following a
mistrial (which occurred before the conclusion of the testimony),
James was convicted of first degree murder in the Adams case on
October 30, 1981 and was sentenced to life imprisonment. His
conviction and sentence were affirmed by the Louisiana Supreme
Court. 422 So.2d 1164 (La.1982) (per curiam without formal
opinion). James was then, in December 1981, tried and convicted,
and sentenced to death for the January 1, 1979 first degree
murder of Silver.5
Until James' June 1979 self-initiated
statements to the probation department and the police, the
authorities apparently had no information as to the identity of
the perpetrator of either the Silver murder or the Adams murder.
While James indicated he was
involved in the robberies during the course of which these
murders were committed, he maintained that the shooting was done
by someone else--one Levon Price in the Silver incident and one
Edgar Taylor in the Adams incident--and was not contemplated by
him. James also indicated that the murder weapon in each
instance was the gun which was taken from him in the January 26
attempted armed robbery. As reflected in his testimony at the
sentencing phase of the Silver murder trial, James claimed that
he, Taylor, and Price were riding in Price's car on January 26,
and that Price gave James the gun and told him to hold it on the
intended victim of that robbery while Taylor took his
possessions.
The Adams and Silver murders
were investigated by different police officers, and in June
1979, separate statements were taken from James respecting each
particular crime, each statement being taken by a different
officer, although they were taken one after the other on the
same day. Ballistics tests were then run on the gun recovered
from the January 26 robbery, and comparisons made to the bullets
retrieved from the bodies of Silver and Adams, which reflected
that they were fired from the weapon James used in the January
26 attempted robbery.
James' brief in this Court
raises five issues. The first is "[t]hat the trial court erred
in not issuing a Certificate of Probable Cause in that
substantial issues of law and constitutional rights were raised
and cites the balance of his claims herein as grounds therefor."
As we conclude, for the reasons hereinafter stated, that the
other claims asserted by James do not warrant the issuance of a
certificate for probable cause, we overule this contention. The
only four substantive complaints presented by James are in
essence the following:
1. James claims that he has
made a statistical showing that the capital sentencing system in
Louisiana is administered in a racially discriminatory manner
because death sentences are more often imposed where the victims
are white than where the victims are black. This is what has
become known as the McCleskey issue. See McCleskey v. Kemp, ---
U.S. ----, 107 S.Ct. 1756, 95 L.Ed.2d 262 (1987).
2. Complaint is made that
during the sentencing hearing the prosecutor exhibited to the
jury the tattoo on James' hand of the word "killer."
3. James asserts that the
sentencing and appellate sentence review were improper because
the aggravating circumstance found by the jury that "the ofender
was previously convicted of an unrelated murder and has a
significant prior history of criminal activity," was invalid in
his case since the statutory provision making "a significant
prior history of criminal activity" an aggravating circumstance
was enacted after the offense in question was committed (though
before trial) and since the Adams murder, the unrelated murder
referred to, was committed after the Silver murder and the
prosecution wrongfully caused the Adams case to be tried first.
4. James claims his counsel
was ineffective both at the guilt or innocence stage and at the
sentencing stage, as well as on appeal. His primary complaint
relates to the claimed failure of counsel to adequately
investigate James' alleged narcotic addiction, and to use it as
a defense, to defeat the specific intent required for first
degree murder, and as a mitigating factor at sentencing. The
other claimed instances of inadequate representation are
asserting insufficient objection to the prosecution's display of
the tattoo; insufficient objection to the prosecution's trying
the Adams case before the Silver case; and the failure to object
to an ad hoc judge's hearing a portion of the testimony on the
pre-trial motion to suppress James' June 1979 statements.
We now consider each of these
four claims in turn.
McCleskey Claim
The underlying theory advanced
in this claim has since been rejected by the United States
Supreme Court in McCleskey v. Kemp, supra. As specifically
applied to Louisiana, we have on many occasions rejected similar
or identical attempted statistical proof of racial
discrimination in the administration of that state's capital
punishment laws. See, e.g., Wilson v. Butler, 813 F.2d 664, 674
(5th Cir.1987); Moore v. Blackburn, 806 F.2d 560, 564-65 (5th
Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct. 1988, 95 L.Ed.2d
827 (1987); Watson v. Blackburn, 798 F.2d 872 (5th Cir.1986),
cert. denied, --- U.S. ----, 107 S.Ct. 1984, 95 L.Ed.2d 824
(1987); Berry v. Phelps, 795 F.2d 504 (5th Cir.1986), cert.
denied, --- U.S. ----, 107 S.Ct. 1986, 95 L.Ed.2d 825 (1987).
Further, as the district court correctly observed, the
statistics tendered by James in his motion for new trial are of
less evidentiary value than those found inadequate by the
Supreme Court in McCleskey, principally because the analysis
here attempts to account for fewer variables.
James also points to the fact
that he is, and Adams was, black, while Silver was white. This
is insufficient, either alone or together with the statistics,
to even arguably make a prima facie showing of discrimination.
Of course, the two crimes though generally similar were not
identical, and they were committed at different times and places
and not in a single course of criminal conduct. More
significantly, the cases were tried to wholly different juries
on different occasions and the single, crucial prosecution eye
witness was different in each case.
Further, there is no claim,
nor any evidence or suggestion in the record, that the
prosecution did not make a bona fide effort to procure the death
penalty in the Adams case. Nor is anything added by the fact
that the Adams case was tried first. The offenses were committed
within approximately three weeks of each other, James'
participation in each was first discovered at the same time, and
the indictments in each were returned at the same time. Under
Louisiana law, the district attorney has full authority to
determine the order in which cases are tried. LSA-C.Cr.P. art.
61; State ex rel. Eames v. Amiss, 288 So.2d 316, 318 (La.1974).
There is absolutely no evidence that the district attorney was
influenced by racial considerations in the ordering of the
trials, or in any other aspect of the case.6
James' McCleskey contentions are without merit and present no
grounds for certificate of probable cause or stay of execution.
Tattoo
James' mother was a witness in
his behalf at the guilt or innocence stage of the trial as well
as at the sentencing. At the guilt or innocence stage, she
replied affirmatively when the prosecution asked her on cross-examination
whether James had a tattoo on his hand. The prosecution then
asked, "What's that say?" to which she replied, "His name's too
on there." Defense counsel then objected on grounds of
irrelevancy, the court sustained the objection, and the matter
was not further pursued.
At the sentencing stage, the
prosecution brought out, by cross-examination of James' sister,
called as a defense witness, that James had a tattoo of "killer"
on his hand, which the sister then stated he had had "since he's
a little boy." Thereafter, on examination by defense counsel,
James' mother, who had been called by the defense, testified
that he had a number of tattoos, including "my name, his name
and other things," and had had those put on when he was about
thirteen or fourteen.
Subsequently, James himself
testified, and on cross-examination the prosecution had him
exhibit to the jury the tattoo on his left hand, over objection
by defense counsel. Although exhibition of an accused's tattoo
has been upheld by Louisiana courts, see State v. Crochet, 354
So.2d 1288, 1295 (La.1978), James contends, without citation of
supporting authority, that this is inappropriate for any purpose
other than identification. We do not perceive any violation of
James' federal constitutional rights. There was no exhibition of
the tattoo or reference to its content during the guilt or
innocence stage, and the defense counsel's objection at that
stage was sustained.
Louisiana law provides that "[t]he
sentencing hearing shall focus on the circumstances of the
offense and the character and propensities of the offender." LSA-C.Cr.P.
art. 905.2. We do not consider that cross-examination of James'
sister, who had testified essentially as a character witness in
his behalf, respecting the tattoo deprived James of any federal
constitutional right; nor did his subsequently being caused to
display it after he had testified.
In any event, the presence of
this tattoo, which James had had since he was a young boy and
over a decade prior to the offense in question, was clearly and
beyond all question without influence on the ultimate outcome of
the sentencing hearing. The evidence showed that James had
deliberately shot his elderly robbery victim in the head near
the right ear, and killed him, had also committed another murder
in the course of a robbery of an elderly man, and had held the
gun to the head of an attempted robbery victim and threatened to
blow his brains out, all within the space of three and a half
weeks, and all without provocation. Also, James otherwise had a
significant criminal record. The tattoo claim clearly presents
no ground for issuance of a certificate of probable cause or
stay of execution.
Invalid Aggravating Circumstances and
Related Claims
As noted, James asserts that
the sentencing and appellate sentence review were improper
because the aggravating circumstance found by the jury that "the
offender was previously convicted of an unrelated murder and has
a significant prior history of criminal activity" was invalid in
his case since the statutory provision making "a significant
prior history of criminal activity" an aggravating circumstance
was enacted after the offense in question was committed (though
before trial) and since the Adams murder, the unrelated murder
referred to, was committed after the Silver murder and the
prosecution wrongfully caused the Adams case to be tried first.
At the sentencing stage of the
trial, defense counsel objected to the submission of the
statutory aggravating circumstance of "a significant prior
history of criminal activity," LSA-C.Cr.P. art. 905.4(c),
because this statutory aggravating circumstance had been added
by amendment enacted in 1979 after the commission of the offense.
In State v. Jordan, 440 So.2d 716 (La.1983), the Louisiana
Supreme Court held that this aggravating circumstance could not
be applied to offenses committed prior to the 1979 amendment.
Further, in State v. David, 468 So.2d 1126 (La.1984), the
Louisiana Supreme Court held that the "significant prior history
of criminal activity" statutory aggravating circumstance was
unconstitutionally vague.
However, in the present case
the Louisiana Supreme Court, in its review of James' sentence,
expressly did not rely on the statutory aggravating circumstance
found by the jury that "the offender was previously convicted of
an unrelated murder and has a significant prior history of
criminal activity." James, 431 So.2d at 405-06. In this
connection, it is to be noted that the jury here found another
statutory aggravating circumstance, namely, that "the offender
[James] was engaged in the perpetration of an armed robbery."
LSA-C.Cr.P. art. 905.4(a). Clearly this aggravating circumstance
was amply supported by the evidence in James' trial, and there
has been no challenge to its legal validity as applied in this
case.7
Under Louisiana law, only one
aggravating circumstance need be found in order for the jury to
be authorized to impose the death penalty. LSA-C.Cr.P. art.
905.3. However, even if one or more aggravating circumstance is
found, the jury is not required to impose the death penalty,
whether or not it finds any mitigating circumstance. Id. arts.
905.3, 905.6; Wingo v. Blackburn, 783 F.2d 1046, 1051 (5th
Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct. 1984, 95 L.Ed.2d
823 (1987); Glass v. Butler, 820 F.2d 112, 114-15 (5th Cir.),
stay of execution denied, --- U.S. ----, 107 S.Ct. 3202, 96 L.Ed.2d
689 (1987).
The fact that an invalid
statutory aggravating circumstance has been found does not
constitutionally impair a death sentence under the Louisiana
procedure where the jury has also found another aggravating
circumstance which is supported by the evidence and is valid
under the law and of itself suffices to authorize the imposition
of the death penalty. Zant v. Stephens, 462 U.S. 862, 103 S.Ct.
2733, 77 L.Ed.2d 235 (1983); Welcome v. Blackburn, 793 F.2d 672,
678 (5th Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct. 1985,
95 L.Ed.2d 825 (1987); Glass v. Blackburn, 791 F.2d 1165, 1173
(5th Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct. 1985, 95
L.Ed.2d 824 (1987); Celestine v. Butler, 823 F.2d 74, 78 (5th
Cir.1987), stay of execution denied, --- U.S. ----, 108 S.Ct. 6,
97 L.Ed.2d 796 (1987).8
The foregoing authorities likewise establish that in such
circumstance appellate proportionality review is not invalidated,
at least where the appellate court does not rely on the jury's
finding of an improper statutory aggravating circumstance as
such.
It is also to be noted in this
connection that the mere fact that the statutory aggravating
circumstance concerning a prior history of criminal activity or
conviction of an unrelated murder, article 905.4(c), was
partially or wholly invalid as a statutory aggravating
circumstance, did not render inadmissible as a sentencing
consideration James' murder of Adams and his January 26
attempted armed robbery.
The Louisiana Supreme Court
has made this clear as a matter of state law in numerous
decisions, pointing to the provision of LSA-C.Cr.P. art. 905.2
that "[t]he sentencing hearing shall focus on the circumstances
of the offense and the character and propensities of the
offender." See State v. Mattheson, 407 So.2d 1150, 1163-64
(La.1982); State v. Sawyer, 422 So.2d 95, 103-04 (La.1982);
Jordan, 440 So.2d at 718-20; State v. Rault, 445 So.2d 1203,
1215-16 (La.), cert. denied, 469 U.S. 873, 105 S.Ct. 225, 83
L.Ed.2d 154 (1984). Nor does the admission for consideration in
sentencing of such evidence of the accused's other offenses,
even though not relevant to a proper statutory aggravating
circumstance, violate any federal constitutional right of the
accused. Barclay v. Florida, 463 U.S. 939, 103 S.Ct. 3418, 3428,
77 L.Ed.2d 1134 (1983); Stephens, 103 S.Ct. at 2748; Thompson v.
Lynaugh, 821 F.2d 1054, 1062 (5th Cir.1987); Rault v. State of
Louisiana, 772 F.2d 117, 134-36 (5th Cir.1985), cert. denied,
--- U.S. ----, 106 S.Ct. 2905, 90 L.Ed.2d 991 (1986); Milton v.
Procunier, 744 F.2d 1091, 1097 (5th Cir.1984). See also United
States v. Ochoa, 659 F.2d 547, 549 (5th Cir.1981), cert. denied,
455 U.S. 959, 102 S.Ct. 1472, 71 L.Ed.2d 678 (1982); United
States v. Martinez, 584 F.2d 749 (5th Cir.1978).
The fact that the Adams case
was tried before the Silver case does not add anything to James'
contentions in this regard. As we have already explained,
neither Louisiana law nor the United States Constitution was
violated by the prosecution's election to try the Adams case
before the Silver case and, of course, the January 26 attempted
armed robbery had already been tried before the authorities
discovered that James was the perpetrator of the Adams and
Silver murders.9
James' complaints respecting
the effect on sentencing and appellate sentence review of the
article 905.4(c) aggravating circumstance found by the jury, the
evidence of the Adams murder and of the January 26 attempted
armed robbery, and the order in which the offenses were
prosecuted, are all without merit and do not present grounds
sufficient for a certificate of probable cause or stay of
execution.
Ineffective Assistance of Counsel
James claims his counsel was
ineffective both at the guilt or innocence stage and at the
sentencing stage of his trial, as well as on appeal.10
Before turning to consideration of James' particular claims in
this regard, we observe that we have reviewed the full state
record, and conclude that James was afforded effective
representation. James' lead counsel at the Silver trial (Philip
Johnson) had also represented him in the final Adams trial (which
followed the mistrial), where the sentence was life imprisonment.
This counsel had, prior to the Adams trial, tried at least five
other capital cases, and many times that number of other major
felonies.
There was also another defense
counsel in the Silver trial, who previously had been defense co-counsel
in one capital case and had defended many major felonies. Most
of the pre-trial representation in the Silver case was handled
by another attorney, who likewise represented James at the
initial Adams trial which resulted in the mistrial; however, at
James' request, this attorney (who had tried over fifty capital
cases) was removed from the case. On appeal of the Silver case,
another attorney, whose primary experience was appellate,
represented James.
Numerous pre-trial motions,
including motions in limine, for individualized voir dire, for a
bill of particulars, for discovery and inspection, and for
suppression, were filed in the Silver case, and subsequent
hearings were held on each of these motions, including
evidentiary hearings on the suppression motions. There was also
a pre-trial determination of James' competency to stand trial.
Prior to trial, the defense had discovered virtually the entire
prosecution case.
Requested jury charges were
submitted, and objections made to the charge as given.
Objections were likewise made to questions asked by the
prosecution, and to portions of its argument. Evidence was
submitted at the guilt or innocence stage, and at sentencing,
and vigorous argument was presented by the defense on both
occasions. A coherent theory of defense was developed, namely,
that James was not the triggerman.
The lesser included offenses
of second degree murder and manslaughter were submitted to the
jury. Doubt as to whether James was the triggerman was also
sought to be exploited at the sentencing. The sole eyewitness to
the offense was Levon Price, who had accompanied James at the
time. He testified that it was James who did the shooting, but
there was no other direct evidence of this. James' June 1979
statement to the police, which was introduced in evidence,
stated that Price did the shooting and this led to Price's
arrest for the murder, although subsequently Price was charged
as an accessory after the fact. However, the defense was able to
somewhat impeach him by reason of the fact that a condition of
his probation was that he "testify as a State's witness in the
trial of Antonio James." Nine assignments of error were
submitted on appeal to the Louisiana Supreme Court.
At the evidentiary hearing
before the district court on October 4 and 5, 1984, extensive
evidence was taken on James' claims of ineffective assistance of
counsel.
James' first and primary claim
of ineffective assistance of counsel is that his counsel failed
to investigate and present evidence of James' allegedly drugged
condition at the time of the commission of the offense, both as
a defense to negate the required specific intent for first
degree murder and as a mitigating factor, under LSA-C.Cr.P. art.
905.5(b) or (e).
With respect to this claim,
the district court, expressly applying the standards set out in
Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d
674 (1984), found in pertinent part as follows:
"James avers that his attorney,
Philip Johnson, was ineffective in that he failed to investigate
and pursue the only real and plausible defense in the case, i.e.,
James' mental condition at the time of the crime, more
specifically, James' drugged condition at the commission of both
murders.
"However, it is abundantly
clear that the so-called drug defense was not the only 'real and
plausible' defense available to James. James himself maintained
in his pre-trial statements, in his trial testimony and at the
evidentiary hearing before the Court on October 4, 1984 that
while he was admittedly present at both murders, he did not in
fact kill either victim.11
James has steadfastly contended that Edgar Taylor shot Mr. Adams
and that Levon Price shot Mr. Silver. This defense was
vigorously urged by counsel at both trials during the guilt and
the penalty phases.
"....
"The only information
available then and now regarding the nature and extent of James'
drug use are James' own statements. As brought out in the
evidentiary hearing, neither James nor his family conveyed any
information relative to his drug habit to any of the five
attorneys involved in James' defense from his initial arrest in
1979 through the state appeal level. Although three of the
attorneys who testified at the evidentiary hearing stated that
they had found references to James' drug use in the Orleans
Indigent Defender Program investigator's notes or in the Charity
Hospital records, nothing in James' behavior or in the
information he conveyed to them gave them any indication that he
was in fact a drug addict or that his possible addiction would
have been a viable defense which merited investigation and
presentation.
All five attorneys agreed that
such a defense would have been inconsistent with James' primary
defense at the guilty phase. Only one of James' attorneys,
Robert Ziblich, admitted that had he believed that such an
addiction was present, it might have been used as a mitigating
factor at the sentencing phase. However, even Mr. Zibilich [sic
] stated that such a presentation to the jury would be risky at
best.
"... James had no criminal
record for any drug related crime. His drug use had not been
mentioned at the sanity hearing of June 11, 1981. James had
never been treated for drug addiction. His mother and sister
were unaware of his drug use. He denied having a drug or alcohol
addiction when being booked into Parish Prison from Charity
Hospital on February 9, 1979. (See Defense Exhibit No. 3).
Despite James' claim that extraordinary medical measures had to
be taken at Charity Hospital because of his drug use on the
night of the [January 26] Hooten armed robbery, the Charity
Hospital records fail to support this assertion. The Charity
Hospital records have only a brief reference to his street drug
use and record James' own statement that he had not used street
drugs for three weeks prior to his admission to Charity
Hospital. (See Defense Exhibit No. 6). Dr. Kenneth Ritter
testified that intermittent drug use, such as reported by James,
would not be consistent with a serious addiction.
Doctor Ritter also testified
that the ability to recall and relate some two years later the
minute details of the crime, including a detailed description of
the victim and the crime scene, as well as the conversations
between the participants involved in the crime, would not be
consistent with the behavior of a person whose capacity to
formulate specific intent had been so affected by heavy drug
use. (Evidentiary Hearing, Oct. 4, 1984). James himself could
not give the Court any examples of how his behavior had been
affected by his drug use other than that he participated in the
armed robberies in order to obtain money to buy drugs. (Evidentiary
Hearing, Oct. 4, 1984.)
"....
"In light of the strength with
which James maintained his defense and in view of the sparcity
of the information available to his attorneys relative to his
drug use, James' attorneys cannot be held ineffective for
failing to pursue through further extensive investigation his
drug use nor in their failure to present a so-called drug
defense at the guilt phase, such defense being clearly
antagonistic to the primary defense elected.
"Nor could it be said that
failure to present the drug defense at the sentencing phase
would have constituted a strategy error sufficient to undermine
the fundamental fairness of the proceeding. Both Philip Johnson
and Frank Larre', James' attorneys in the Silver case, testified
that even if they had considered James' drug use history as
having had merit, they would not have presented it as a
mitigating factor at sentencing for fear of its negative effect
on the jury.
Even had it been offered in
mitigation, there is no reasonable probability that the
presentation of a drug defense or of drug use as a mitigating
factor would have changed the jury's conclusion in view of the
overwhelming evidence of James' guilt and of the aggravating
circumstances. Willie v. Maggio, 737 F.2d 1372 (5th Cir.1984).
Clearly, any alleged failure to investigate and to present a
different line of defense at James' sentencing hearing was the
result of reasonable professional judgment. Martin v. Maggio,
739 F.2d 184 (5th Cir.1984); Moore v. Magio, 740 F.2d 308 (5th
Cir.1984)." (Material in brackets and footnote added.)
The findings of primary,
historic facts embraced in the foregoing portions of the
district court's opinion are fully supported by the record.
Further, we agree with the district court's legal conclusions
and analysis. We also point out that James' June 1979 statement
to the police, describing precisely and in great detail the
Silver murder-robbery (except having Price as the perpetrator
rather than James) strongly suggests that James was in adequate
possession of his mental faculties. Nor does this statement in
any way assert that James was in a drugged condition at the time
of the Silver murder. Neither Dr. Ritter, who found James
competent to stand trial, nor any other expert stated that
James' mental condition at the time of the Silver murder was
probably adversely affected by drug use.
All James said at the October
1984 hearing with regard to his mental condition at the time of
the crimes was that he had been taking drugs, and that he was
"more, you know, active" than "normal," which he explained as
meaning "I wanted to be with the two fellows that I was with and
the things that they was doing. I was with them at the time the
crime happened and I wasn't working or anything like that." He
explained the latter statement by saying, "I know I had to find
some kind of way to support it [his "Ts and blues" drug habit]
with money." James continued at the October 1984 hearing to
maintain that he did not shoot either Silver or Adams.
The facts found by the
district court demonstrate that counsel's failure to pursue
investigation of possible drug addiction on James' part was not
constitutionally deficient representation under Strickland.
Strickland requires us to evaluate counsel's conduct from "counsel's
perspective at the time" and to "indulge a strong presumption
that counsel's conduct falls within the wide range of reasonable
professional assistance." Id. 104 S.Ct. at 2065. Strickland also
teaches that we must apply "a heavy measure of deference to
counsel's judgments" and recognize that "[c]ounsel's actions are
usually based, quite properly, ... on information supplied by
the defendant." Id. at 2066.
Here the defense that James
personally and consistently advanced was that he was not the
triggerman. If a reasonable doubt could be raised on this score,
he doubtless would have been convicted of no more than second
degree murder and escaped the death sentence. Similarly, a
lingering doubt on this score might well have influenced the
jury not to impose the death penalty. On the other hand, James
did not advise counsel that he did not know what he was doing
because he was drugged.
In these circumstances, it was
reasonable for counsel to try the case on the theory of
attempting to raise a doubt as to whether James, as opposed to
Price, was the triggerman, instead of attempting to investigate
and present evidence of drug addiction. In this respect, the
present case is closely analogous to Burger v. Kemp, --- U.S.
----, 107 S.Ct. 3114, 3122-26, 97 L.Ed.2d 638 (1987). We have
likewise rejected similar attacks on counsel's performance in
other cases. See e.g., Johnson v. Cabana, 818 F.2d 333, 340-43
(5th Cir.1987); Moore v. Maggio, 740 F.2d 308, 315-18 (5th
Cir.1984), cert. denied, 472 U.S. 1032, 105 S.Ct. 3514, 87 L.Ed.2d
643 (1985).
Further, Strickland teaches
that even if counsel makes a professionally unreasonable error
in representation, habeas relief is not required unless the
petitioner carries his burden of showing that the error was
prejudicial. "The defendant must show that there is a reasonable
probability that, but for counsel's unprofessional errors, the
result of the proceeding would have been different." 104 S.Ct.
at 2068. The ultimate question is whether "the result of the
particular proceeding is unreliable because of a breakdown in
the adversarial process." Id. at 2069.
Here there has been no showing
of prejudice under the Strickland standard. There is no
reasonable probability that if the drug addiction evidence had
been further investigated and presented that the result would
have been different. Indeed, the evidence showed that if counsel
had known about James' claimed drug addiction, they still would
not have presented that evidence. Further, we hold that such
would have been a reasonable professional decision. Moreover,
even if such evidence had been presented, there is no reasonable
probability that it would have changed the result as to guilt or
innocence, for the evidence clearly showed that the triggerman
knew what he was doing.
The same considerations
reflect that there is no reasonable probability that the result
would have changed as to the sentence, particularly in light of
the Adams murder and the January 26 attempted armed robbery, and
James' otherwise lengthy criminal record. See, e.g., Willie v.
Maggio, 737 F.2d 1372, 1394-95 (5th Cir.1984); Moore v. Maggio,
740 F.2d at 315-19. See also Glass v. Blackburn, 791 F.2d 1165,
1170-71 (5th Cir.1986), cert. denied, --- U.S. ----, 107 S.Ct.
1985, 95 L.Ed.2d 824 (1987).
We find no merit to James'
claims of ineffective assistance of counsel in this respect, and
hold that it does not present grounds for a certificate of
probable cause or stay of execution.
We likewise reject James'
other asserted instances of inadequate representation.12
James claims that his counsel did not adequately object
respecting his tattoo. This matter was not explored at the
October 1984 evidentiary hearing. We find no ineffective
assistance of counsel in this regard. Counsel kept this out of
evidence in the guilt or innocence phase, and mitigated it in
the sentencing phase by evidence that James had had the tattoo
since he was a young boy, and that it was one of many tattoos,
including his mother's name and others.
Moreover, there is no showing
of prejudice in this regard both because there is no showing
that further objection would have kept the evidence out and
because there is no reasonable probability that had the evidence
been kept out the result would have been different. This was
simply not a significant matter.
Next, James complains that
counsel did not sufficiently object to the Adams case being
tried before the Silver case. Again, this was not explored at
the October 1984 evidentiary hearing. Counsel did object to use
of the Adams conviction on the ground that it was not yet final
and that the retrial therein had not been timely, and also
complained in a general way about the ordering of the trials.
We cannot hold that counsel's
performance in this regard was professionally inadequate, for
there was and is no authority under state or federal
constitutional law supporting the proposition that under the
present circumstances the state was obligated to try the Silver
case first. By the same token, even if counsel had further
objected to the ordering of the trials, there is no basis for
concluding that such an objection would have been successful;
indeed, it plainly would not have been successful for Louisiana
law leaves that matter to the election of the prosecutor, and
the United States Constitution does not require otherwise.
Finally, we note in this connection that the Louisiana Supreme
Court reviewed James' conviction on the basis that the only
statutory aggravating circumstance validly found was that the
murder was committed while James was engaged in the perpetration
of armed robbery, as provided in article 905.4(a).
The last specific instance of
claimed ineffective representation relates to the fact that a
small portion of the evidentiary pre-trial hearing on the
defense's motion to suppress James' June 1979 statements to the
police was heard by an ad hoc judge, and it was not
affirmatively shown that the judge who ultimately denied the
suppression motion had been apprised of the testimony heard by
the ad hoc judge.13
This claim is wholly without
merit. To begin with, there is absolutely nothing in the record
to indicate that the judge making the ruling was not apprised of
this testimony. The testimony in question itself occupies less
than twenty-five double-spaced typewritten lines in the
transcript, and could easily have been typed up for the judge
making the ruling on the motion to suppress, or read to him by
the court reporter.
We note that just before this
testimony was taken before the ad hoc judge, defense counsel
stated, "I would suggest to the Court and the State that after
this testimony is taken that it be typed up so that Judge Bagert
[the judge who had been handling the case and who ruled on the
suppression motion] may rule on it, so that he may have the
benefit of all the testimony." Immediately after this the court
stated, "So ordered." There is absolutely no reason to believe
that this order was not followed.
Moreover, the testimony was in
all things favorable to the state, and hence defense counsel can
hardly be faulted for not checking to be sure that the judge
read it. If the judge did not read it, it would only have
prejudiced the state, not the defense. There is no claim, and no
evidence, that the ad hoc judge who heard this brief testimony
was in any way disqualified or not authorized to do so. Nor was
this testimony necessary to sustain the admissibility of the
statements. This claimed instance of inadequate representation
is wholly without merit.
We reject James' claims of
inadequate representation of counsel. Taken singly and together,
they are without merit and do not justify the issuance of a
certificate of probable cause or stay of execution.
Conclusion
We have examined each of
James' claims and find each to be without merit. James has not
made a substantial showing of a denial of a federal right.
Accordingly, we deny James' application for a certificate of
probable cause, and therefore we dismiss his attempted appeal,
and we vacate the stay of execution heretofore entered.
Application for Certificate of
Probable Cause DENIED and Appeal DISMISSED. Stay of Execution
VACATED.
We heretofore stayed James' execution "until
further order of this Court, in order to permit this Court
to make an informed decision on James' application to this
Court for a certificate of probable cause." That stay was
granted in this initial federal habeas because the period of
time between James' application to this Court and his
scheduled execution was too brief to allow this Court to
make any meaningful review of the record below and in the
state trial. James does not now have a pending execution
date. Under Louisiana law, a new execution date must be not
sooner than thirty days after the dissolution or vacation of
a previous stay. LSA-R.S. 15:567(C)
James moved for reconsideration and a
further stay of execution, which motions were both denied
October 27, 1986. On the same day, the district court
granted James an extension of time in which to file notice
of appeal under Fed.R.App.P. 4(a)(5). An order was also
entered apparently granting a certificate for probable
cause, but the following day the district court vacated that
order and denied certificate of probable cause
In fixing the briefing schedule, we
directed counsel in pertinent part as follows:
"Although the briefs are to be directed
to the certificate of probable cause issue, the parties are
not restricted from arguing the merits of the issues;
indeed, any issue that appellant feels has merit should be
raised and adequately briefed and argued in the brief; and
by the same token, the appellees' brief should argue and
brief the reasons it believes the issues raised by appellant
do not have merit and do not warrant the issuance of a
certificate of probable cause."
Although the briefing schedule authorized
a reply brief by appellant, none has been filed.
The instant section 2254 petition
challenging the conviction and sentence for the Silver
murder was filed July 27, 1984, and was given docket number
84-3694 in the district court. On the same day, James also
filed in the same court a separate section 2254 petition
challenging his conviction and sentence for the Adams
murder, and this petition was assigned docket number 84-3695
in the district court. These cases were consolidated,
whether for purposes of trial or for all purposes is not
entirely clear, by the district court's October 4, 1984
minute entry. In any event, the only arguments which James
presents to this Court in support of his application to it
for certificate of probable cause relate to his conviction
and sentence to death for the Silver murder, cause number
84-3694 below. Consequently, we are concerned only with
James' conviction and sentence for that offense
The assistant district attorney in charge
of the cases testified for the state at the October 1984
evidentiary hearing and unequivocally denied that race
played any part whatever in his decision as to the ordering
of the trials; James' counsel did not cross-examine the
assistant district attorney, or present any evidence
suggesting that race played any part in the handling of the
cases
We observe that in the present case this
aggravating circumstance does not present the "double
counting" issue, where an aggravating circumstance merely
repeats an element of the underlying crime, which is
presented in such cases as Lowenfield v. Phelps, 817 F.2d
285, 288-89 (5th Cir.), cert. granted, --- U.S. ----, 107
S.Ct. 3227, 97 L.Ed.2d 734 (1987). At the time of the Silver
murder, first degree murder was defined in Louisiana as
"[f]irst degree murder is the killing of a human being when
the offender has a specific intent to kill or to inflict
great bodily harm." LSA-R.S. 14:30, as amended and reenacted
by Acts 1976, No. 657, Sec. 1. Under the same enactment,
first degree murder is punishable by death or life
imprisonment. Id. It was not until the 1979 amendment,
effective June 29, 1979, that first degree murder was
redefined to require something more than a specific intent
to kill or inflict great bodily harm. Acts 1979, No. 74,
Sec. 1. Further, the district court's instructions to the
jury at the guilt or innocence stage did not require the
jury to find that James was engaged in the perpetration of
an armed robbery in order to find him guilty of first degree
murder, and the instructions in this respect were consistent
with the above-noted Louisiana definition of first degree
murder as it existed when the offense was committed.
Consequently, the jury's finding of the statutory
aggravating circumstance that the offender was engaged in
the perpetration of armed robbery, article 905.4(a), did not
in any way duplicate what the jury had to find (and did
find) in order to convict James of first degree murder. We
further observe that, in response to the defense's motion
for bill of particulars, James was notified prior to trial
of the statutory aggravating circumstances on which the
state intended to rely
At the guilt or innocence stage there was
no evidence presented concerning the Adams murder, and the
evidence in respect to the January 26 incident did not
reflect that any offense was committed at that time, but
merely showed that the weapon, later proved to be that which
fired the bullet that killed Silver (and in the sentencing
stage proved to be the weapon that fired the bullet that
killed Adams), was acquired from James on January 26 (that
James was then using it in an attempted armed robbery was
only shown on sentencing)
Although reference is made by James to
appellate representation, no specific claims that are
distinguishable from those related to trial are urged, and
our discussion is hence entirely in terms of trial
representation
We also observe that this is what James
told Dr. Ritter, the psychiatrist who conducted the pre-trial
competency examination. Further, although Dr. Ritter
testified at the October 1984 hearing that James told him
that "he had begun using drugs in 1978," Dr. Ritter further
testified that James never told him that he had used drugs
on the night of either murder or the attempted armed robbery.
Dr. Ritter did not notice any marks on James' arms. James
testified at the October 1984 hearing that he did not tell
Dr. Ritter or any other psychiatrist about his drug use
The district court found in this respect
as follows:
"Other alleged instances of incompetence
on the part of James' trial and appellate attorneys as cited
in petitioner's brief have not been shown to be lapses in
rendering effective counsel nor indeed anything other than
choices made as a result of the exercise of reasonable
professional judgment. Petitioner has likewise failed to
demonstrate how any particular action of his counsel caused
sufficient prejudice to James to constitute ineffective
assistance under the Constitution."
Except for a brief (and unrebutted)
reference by the lawyer who represented James on direct
appeal that he had not noticed this but would not have
raised it if he had, because it was not prejudicial, this
matter was not explored at the October 1984 evidentiary
hearing
50 F.3d 1327
Antonio JAMES, Petitioner, v.
Burl CAIN, Warden, Louisiana State Penitentiary, Angola,
Louisiana, Respondent.
No. 95-30354.
United States Court of Appeals, Fifth Circuit.
April 17, 1995.
Appeal from the United States District Court
for the Eastern District of Louisiana.
On Application for Certificate of Probable
Cause and Motion for Stay of Execution.
Before KING, JONES and DUHE, Circuit Judges.
KING, Circuit Judge:
Antonio James is scheduled to
be executed on April 18, 1995 between the hours of 12:00 A.M.
and 3:00 A.M. On April 13, 1995, the district court denied
Antonio James's fourth petition for writ of habeas corpus in
which James sought to set aside his December 1981 Louisiana
first-degree murder conviction and death sentence. James's
applications for a certificate of probable cause and for a stay
of execution were similarly denied. James has filed a notice of
appeal from the denial of his habeas petition, and the case is
now before us on James's application for a certificate of
probable cause and his motion for a stay of execution. We find
that James has failed to make the required showing for a
certificate of probable cause, and therefore, we deny his
application. We also find that he has failed to make the
requisite showing for a stay of execution, and as a consequence,
we deny his motion for a stay.
I. PROCEDURAL BACKGROUND
James was charged in a July
12, 1979 indictment with the first-degree murder of Henry Silver.
Following a jury trial in the Orleans Parish District Court on
December 14-16, 1981, James was found guilty as charged and
sentenced to death. The circumstances of the murder and the
evidence adduced at trial are described in some detail in the
first of our two prior opinions addressing James's earlier
habeas petitions. See James v. Butler, 827 F.2d 1006 (5th
Cir.1987), cert. denied, 486 U.S. 1046, 108 S.Ct. 2044, 100 L.Ed.2d
628 (1988).
On direct appeal, the
Louisiana Supreme Court affirmed James's conviction and sentence,
and the United States Supreme Court denied his petition for writ
of certiorari. See State v. James, 431 So.2d 399 (La.), cert.
denied, 464 U.S. 908, 104 S.Ct. 263, 78 L.Ed.2d 247 (1983).
James unsuccessfully sought
state post-conviction relief, and in November 1983, he filed his
first petition for habeas relief in federal district court. In
June of 1984, the district court dismissed the petition without
prejudice for failure to exhaust state remedies. Subsequently,
James again attempted to seek post-conviction relief in the
Louisiana state courts, and once again, he was unsuccessful.
In late July of 1984, James
filed his second habeas petition in federal district court. The
district court granted a stay of execution and set an
evidentiary hearing for October 4-5, 1984. On October 17, 1985,
the district court issued a lengthy opinion rejecting each of
James's claims, dismissing his petition with prejudice, and
vacating the previously entered stay. James timely filed a
motion for new trial and requested a stay of execution.
Following a November 26, 1985
nonevidentiary hearing on these matters, the district court
granted a stay of execution and took the motion for new trial
under advisement. On September 17, 1986, the district court
issued a memorandum opinion and order denying the motion for new
trial and vacating the stay of execution. James filed a notice
of appeal to this court, and he applied for a certificate of
probable cause and a stay of execution pending appeal. In a
lengthy opinion, we denied the application for CPC, and we
vacated the interim stay of execution that we had previously
entered. See James v. Butler, 827 F.2d 1006 (5th Cir.1987), cert.
denied, 486 U.S. 1046, 108 S.Ct. 2044, 100 L.Ed.2d 628 (1988).
James then brought a series of
state court attacks on his December 1981 conviction and sentence,
all of which were ultimately denied by the Louisiana Supreme
Court, without opinion, in orders dated December 9, 1988,
January 30, 1989, and February 9, 1989. On February 10, 1989,
James brought his third federal habeas attack on his December
1981 conviction and sentence.
The district court granted a
stay of execution, and on May 11, 1989, the court held an
evidentiary hearing on James's claim that the state withheld
exculpatory evidence. On September 19, 1989, the court issued an
opinion denying all of James's claims and dismissing his
petition. The district court granted a CPC, however, and stayed
the execution pending appeal. In yet another lengthy opinion, we
affirmed the district court's judgment. See James v. Whitley,
926 F.2d 1433 (5th Cir.1991).
On September 9, 1991, James
again sought post-conviction relief in the state courts, and the
Louisiana Supreme Court granted a stay of execution on September
12, 1991. On September 23, 1994, the Louisiana Supreme Court
recalled the stay order and denied the writ. The United States
Supreme Court denied certiorari on March 20, 1995. On April 7,
1995, James again sought state court relief, as he moved for a
hearing and a stay of execution. The trial court dismissed the
petition on procedural objections advanced by the State, and the
Louisiana Supreme Court denied review on April 12, 1995.
Thus, on April 13, 1995, James
filed his fourth habeas petition in federal district court,
seeking habeas relief as well as a stay of execution. On the
same day, the district court granted James's motion to
consolidate his habeas petition (the "Silver" petition) with his
habeas petition in a separate case where James had been
convicted of first-degree murder and had received a life
sentence (the "Adams" petition).1
In the district court, James
raised the following claims in his Silver petition: 1) a
defective reasonable doubt jury instruction that impermissibly
lowered the burden of proof was used in violation of the Sixth,
Eighth, and Fourteenth Amendments; 2) the effective assistance
of counsel was denied in violation of the Sixth, Eighth, and
Fourteenth Amendments; 3) evidence of a prior murder conviction
(the Adams murder) was admitted in violation of due process and
the Eighth Amendment; and 4) a death sentence for James was
requested by the victim's widow in violation of the Eighth and
Fourteenth Amendments.2
On the same day, April 13, 1995, the district court entered
judgment dismissing both of James's habeas petitions and denying
James's application for a CPC and his motion for stay of
execution.
Before us, on his application
for a CPC and his motion for stay of execution, James asserts
only one claim--a claim raised in his Silver petition--regarding
the trial court's alleged use of a defective reasonable doubt
jury instruction that impermissibly lowered the burden of proof
in violation of the Sixth and Fourteenth Amendments. According
to James, the application presents to us only "those issues
which he feels deserves the encouragement to proceed further."
No other claims from the Silver or Adams petitions filed in the
district court are alleged.
II. STANDARD OF REVIEW
We have no jurisdiction to
address the merits of James's appeal from the district court's
denial of habeas relief unless we grant a CPC. See Drew v.
Scott, 28 F.3d 460, 462 (5th Cir.), cert. denied, --- U.S. ----,
115 S.Ct. 5, 129 L.Ed.2d 906 (1994). To obtain a CPC, James must
make a substantial showing that he has been denied a federal
right. See Barefoot v. Estelle, 463 U.S. 880, 893, 103 S.Ct.
3383, 3395, 77 L.Ed.2d 1090 (1983); Jacobs v. Scott, 31 F.3d
1319, 1323 (5th Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct.
711, 130 L.Ed.2d 618 (1995).
James must "demonstrate that
the issues are debatable among jurists of reason; that a court
could resolve the issues [in a different manner]; or that the
questions are adequate to deserve encouragement to proceed
further." Barefoot, 463 U.S. at 893 n. 4, 103 S.Ct. at 3395 n. 4
(citations omitted) (internal quotations omitted). In a capital
case, although the court may properly consider the nature of the
penalty in deciding whether to grant a CPC, this alone does not
suffice to justify issuing a certificate. See id. at 893, 103
S.Ct. at 3395; Jacobs, 31 F.3d at 1323.
Furthermore, the Supreme Court
has indicated that "the issuance of a certificate of probable
cause generally should indicate that an appeal is not legally
frivolous." Barefoot, 463 U.S. at 894, 103 S.Ct. at 3395.
Similarly, we will grant a stay of execution only if James shows
that there are "substantial grounds upon which relief might be
granted." Drew, 28 F.3d at 462 (internal quotation omitted).
III. ANALYSIS AND DISCUSSION
After discussing the abuse of
the writ doctrine, we turn to an examination of James's
argument.
A. Abuse of the Writ
In McCleskey v. Zant, 499 U.S.
467, 490, 111 S.Ct. 1454, 1468, 113 L.Ed.2d 517 (1991), the
Supreme Court held that "the same standard used to determine
whether to excuse state procedural defaults should govern the
determination of inexcusable neglect in the abuse-of-the-writ
context." In other words, a claim in a serial habeas petition
must be dismissed as an abuse of the writ unless the petitioner
demonstrates that there was "cause" not to have raised the claim
in a previous federal habeas petition, and "prejudice" if the
court fails to consider the new claim. See Wainwright v. Sykes,
433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977); Woods v.
Whitley, 933 F.2d 321, 323 (5th Cir.1991). The McCleskey Court
explained the cause standard as follows:
In procedural default cases, the cause
standard requires the petitioner to show that "some objective
factor external to the defense impeded counsel's efforts" to
raise the claim in state court. Objective factors that
constitute cause include " 'interference by officials' " that
makes compliance with the state's procedural rule impracticable,
and "a showing that the factual or legal basis for a claim was
not reasonably available to counsel."
499 U.S. at 493-94, 111 S.Ct.
at 1469-71 (quoting Murray v. Carrier, 477 U.S. 478, 488, 106
S.Ct. 2639, 2645, 91 L.Ed.2d 397 (1986)) (emphasis added) (citations
omitted). In Selvage v. Collins, 975 F.2d 131, 133 (5th
Cir.1992), cert. denied, --- U.S. ----, 113 S.Ct. 2445, 124 L.Ed.2d
663 (1993), we reiterated the notion that a failure to raise a
claim in an earlier habeas petition may not be excused for cause
"if the claim was reasonably available" at the time of the
earlier petition, and we explicitly referred to the Supreme
Court's admonition in Engle v. Isaac, 456 U.S. 107, 129-30, 102
S.Ct. 1558, 1572-73, 71 L.Ed.2d 783 (1982), that claims are "reasonably
available" even where their assertion would in all likelihood be
"futile."
We also noted that " '[A]
comparison of Reed and Engle makes plain [that] the question is
not whether subsequent legal developments have made counsel's
task easier, but whether at the time of default the claim was "available"
at all.' " Selvage, 975 F.2d at 134 (quoting Smith v. Murray,
477 U.S. 527, 537, 106 S.Ct. 2661, 2668, 91 L.Ed.2d 434 (1986)).
Thus, "an omission of a claim
[in an earlier habeas petition] may be excused for cause only if
the question was so novel that it lacked a reasonable basis in
existing law." Id. at 135 (emphasis added). As we observed, "[a]
claim is 'novel' under Engle and Reed if 'counsel has no
reasonable basis upon which to formulate a constitutional
question.' " Id. at 136 (quoting Reed v. Ross, 468 U.S. 1, 14,
104 S.Ct. 2901, 2909, 82 L.Ed.2d 1 (1984)); see also Engle, 456
U.S. at 134, 102 S.Ct. at 1575 ("Where the basis of a
constitutional claim is available, and other defense counsel
have perceived and litigated that claim, the demands of comity
and finality counsel against labeling alleged unawareness of the
objection as cause....").
Even if the petitioner is able
to establish cause, he must still demonstrate " 'actual
prejudice' resulting from the errors of which he complains."
United States v. Frady, 456 U.S. 152, 168, 102 S.Ct. 1584, 1594,
71 L.Ed.2d 816 (1982). The improprieties upon which the
petitioner bases his claims must have "infect[ed] his entire
trial with error of constitutional dimensions." Id. at 170, 102
S.Ct. at 1595. Without this showing of "actual prejudice," a
serial habeas petition is still subject to dismissal as an abuse
of the writ.3
B. Defective Jury Instruction
James's claim is that the "reasonable
doubt" definition given to the jury at his trial was defective
to the extent that "reasonable doubt" was defined as "an actual
or substantial doubt," as well as a "grave" doubt.4
According to James, "the adjectives defining reasonable doubt--actual,
substantial and grave--... served to relax impermissibly the
beyond-a-reasonable-doubt standard," allegedly because the
common understanding of these adjectives suggests a higher
degree of doubt than the degree required for acquittal under the
reasonable doubt standard. James contends that this "defect" in
the jury instruction on reasonable doubt violates the Fourteenth
Amendment, see Cage v. Louisiana, 498 U.S. 39, 111 S.Ct. 328,
112 L.Ed.2d 339 (1990) (per curiam), and the Sixth Amendment,
see Sullivan v. Louisiana, --- U.S. ----, 113 S.Ct. 2078, 124
L.Ed.2d 182 (1993).5
The district court dismissed
this claim of "defect" on abuse of the writ grounds, noting that
"this is also an issue that is tainted with successiveness and
abuse because, again, there was simply no impediment to raising
this issue before now." In his application for a CPC, James
disagrees with this finding, arguing that the novelty of this
claim establishes cause for his failure to raise the claim on an
earlier habeas petition:
Contrary to the district court's ruling,
Petitioner asserts that the Sullivan Sixth Amendment claim could
not have been raised prior to 1993 when Sullivan was decided,
nor has Petitioner found that this Sixth Amendment issue was
being raised and discussed prior to 1993. While it may be true
that reasonable doubt instruction claims under the Due Process
Clause were being litigated, prior to 1990, the Cage opinion
dealt specifically with the infirm definitions not found in
prior cases.
We simply cannot accept
James's overly-parsed novelty characterization, as we conclude
that the defective instruction claim had a reasonable basis in
existing law and was reasonably available at the time of James's
earlier habeas petitions. Indeed, in 1982, the Supreme Court of
Louisiana decided State v. McDaniel, 410 So.2d 754 (La.1982), in
which it reversed a criminal conviction in part because "by
redefining 'reasonable doubt' as 'a doubt that would give rise
to a great uncertainty' and 'one that would make you feel
morally uncertain as to the defendant's guilt,' the trial
court's instruction created a reasonable possibility [that] the
jury was misled into applying an insufficient standard." Id. at
756.
The court noted that "[e]ven
when the phrase 'great uncertainty' is viewed in the context of
the whole charge it overstates the degree of uncertainty
required for a reasonable doubt." Id. Similarly, the court
observed that " '[m]orally uncertain' could be interpreted to
mean that the uncertainty must be based on feeling, i.e., lack
of moral indignation rather than a reasonable doubt about an
essential fact." Id. This was problematic, as the McDaniel court
explained:
An instruction which misleads or confuses the
jury as to the meaning of reasonable doubt may create an error
of constitutional dimensions. As stated by the United States
Supreme Court in recognizing the inevitability of error even in
criminal cases, "[w]here one party has at stake an interest of
transcending value--as a criminal defendant his liberty--this
margin of error is reduced as to him by the process of placing
on the other party the burden ... of persuading the factfinder
at the conclusion of the trial of his guilt beyond a reasonable
doubt." Speiser v. Randall, 357 U.S. 513, 525-526, 78 S.Ct.
1332, 1341-43, 2 L.Ed.2d 1460 (1958).
In 1970, the high court explicitly held that
the [D]ue [P]rocess [C]lause "protects the accused against
conviction except upon proof beyond a reasonable doubt of every
fact necessary to constitute the crime with which he is charged."
In re Winship, 397 U.S. 358, 364, 90 S.Ct. 1068, 1072, 25 L.Ed.2d
368 (1970).
410 So.2d at 756 (emphasis
added) (citations omitted).
After McDaniel, challenges to
the "reasonable doubt" definition in jury instructions and
questions as to whether the definitions impermissibly lowered
the burden of proof were raised and litigated in numerous
Louisiana cases, and a host of published opinions were rendered.
See, e.g., State v. Clark, 446 So.2d 293, 300 (La.1984) (challenging
the use of "serious doubt"); State v. Holmes, 516 So.2d 184, 188
(La.Ct.App.1987) (analyzing a challenged instruction that
included "actual or substantial doubt" and "serious doubt," and
noting that the defendant "alleges that the use of the words 'serious',
'actual', and 'substantial' render this jury instruction
defective"); State v. Augustine, 482 So.2d 150, 152-53 & n. 6 (La.Ct.App.1986)
(analyzing a challenged instruction that included "actual or
substantial doubt" and "grave uncertainty"); State v. Rodney,
459 So.2d 669, 670-71 (La.Ct.App.1984) (analyzing a challenged
instruction that included "actual doubt" and "serious doubt");
State v. Moore, 439 So.2d 1178, 1178-80 (La.Ct.App.1983) (challenging
the use of "grave uncertainty"). It is important to note that
these challenges are strikingly similar to James's current
attack on the adjectives "actual," "substantial," and "grave"
that were used in his jury instruction.
Because it is clear that
claims of defective "reasonable doubt" instructions have been
percolating in the Louisiana courts at least since 1982, there
is no excuse for James's failure to allege the definitional
defect in his prior 1983, 1984, or 1989 habeas petitions. Even
if the identical language of James's reasonable doubt definition
was not litigated in prior cases, there clearly was a reasonable
basis for James's defective instruction claim in the existing
law, especially considering that, at least since 1982, the
Louisiana courts had been looking for constitutional error in
various permutations of the reasonable doubt definition.
James argues, however, that
even if the Louisiana courts were entertaining claims of
defective reasonable doubt instructions, the claims were all
couched in a due process context, rather than in a Sixth
Amendment context. According to James, Sullivan v. Louisiana 's
1993 holding that the Sixth Amendment was violated by an infirm
reasonable doubt instruction "was new in every sense of the word."
See Sullivan, --- U.S. ----, ----, 113 S.Ct. 2078, 2081, 124
L.Ed.2d 182 (concluding that a jury instruction which lowers the
burden of proof for conviction violates a defendant's Sixth
Amendment right to jury trial).
We disagree with James's
attempt to characterize the Sixth Amendment impact that arises
from a claim of defective reasonable doubt instruction as a "new"
claim that constitutes cause. Indeed, the basis for the claim--whether
it affects the defendant's rights under the Fifth Amendment, the
Fourteenth Amendment, or the Sixth Amendment--is the same; it
stems from the same allegedly defective nature of the jury
instruction and the same alleged lowering of the burden of proof
for conviction. As the Sullivan Court recognized:
It is self-evident, we think, that the Fifth
Amendment requirement of proof beyond a reasonable doubt and the
Sixth Amendment requirement of a jury verdict are interrelated.
It would not satisfy the Sixth Amendment to have a jury
determine that the defendant is probably guilty, and then leave
it up to the judge to determine (as Winship requires) whether he
is guilty beyond a reasonable doubt.
In other words, the jury verdict required by
the Sixth Amendment is a jury verdict of guilty beyond a
reasonable doubt. Our per curiam opinion in Cage, which we
accept as controlling, held that an instruction of the sort
given here does not produce such a verdict. Petitioner's Sixth
Amendment right to jury trial was therefore denied.
--- U.S. at ----, 113 S.Ct. at
2081 (emphasis added) (footnote omitted).
Simply put, the claim's due
process and Sixth Amendment ramifications do not alter the fact
that it is a claim based upon the same underlying flaw. It is
true that the consequences that flow from an alleged defect
could vary once a reasonable doubt defect has been established--i.e.,
a Sixth Amendment violation is a "structural defect" which is
not amenable to "harmless-error" analysis, see Sullivan, ---
U.S. at ----, 113 S.Ct. at 2082-83, while a due process
violation may be harmless error, see id., --- U.S. at ----, 113
S.Ct. at 2081--but the threshold determination as to whether the
burden of proof has been impermissibly lowered is the same. Thus,
despite differing consequences and impacts, the underlying claim
of a defective "reasonable doubt" instruction that lowers the
burden of proof was reasonably available to James at the time of
his earlier habeas petitions.6
James, however, has never
previously raised the claim at all--either with due process
consequences or Sixth Amendment consequences--and he offers no
explanation for why a reasonable lawyer would have been required
to wait for a fleshing out of the claim's impact on the
defendant's Sixth Amendment right to jury trial before raising
the "defective instruction" claim at all.
Put another way, we could say
that the Sixth Amendment challenge to the jury instruction is a
different "claim" from a Due Process Clause challenge to the
same instruction, both in terms of the constitutional provision
upon which it is based, and in terms of the consequences which
would flow from a finding of a violation. But where, as here,
the Sixth Amendment violation would be predicated on a finding
that the jury instruction is flawed under the Due Process Clause,
see Sullivan, --- U.S. at ----, 113 S.Ct. at 2081, and where
similar due process challenges were being made in the Louisiana
courts in the early 1980s, we think that James had a reasonable
basis upon which to formulate the predicate due process
challenge to the jury instruction given in his case.
Fidelity to the principles
which animate Rule 9(b)'s proscription of abusive petitions
cautions against allowing James to use the advent of Sullivan to
escape his earlier obligation to raise the due process claim on
which a successful Sixth Amendment claim under Sullivan would be
predicated. This is particularly so where counsel is unable to
articulate why the advent of Sullivan was a necessary precursor
to James's challenge to his allegedly defective jury instruction.
In summary, we do not think
that the question of whether cause exists for James's failure to
raise his defective jury instruction in his first habeas
petition is debatable among jurists of reason or deserves
encouragement to proceed further.7
IV. CONCLUSION
For the foregoing reasons,
James's application for a CPC and his motion for stay of
execution are DENIED.
On October 30, 1981, James was convicted
of the first-degree murder of Alvin Adams in the Orleans
Parish District Court. The jury failed to reach a unanimous
decision on sentencing, and James was sentenced to life
without the benefit of probation, parole, or suspension of
sentence
James raised the following claims in his
Adams petition: 1) false evidence was presented and a false
impression from the evidence was created in violation of the
rights to due process and freedom from cruel and unusual
punishment; and 2) the effective assistance of counsel was
denied in violation of the Sixth, Eighth, and Fourteenth
Amendments
We note that James raised a claim of
"actual innocence" in the district court, but he has not
renewed this claim in his application for a CPC. Thus, James
does not here allege that a failure to grant his fourth
federal habeas petition would result in a fundamental
miscarriage of justice
In charging you on reasonable doubt and
the presumption of innocence, the law sets forth three basic
principles. One, a person accused of a crime is presumed by
law to be innocent until each element of the crime necessary
to constitute his guilt is proven beyond a reasonable doubt.
Secondly, it is the duty of the jury in considering the
evidence and in applying to that evidence the law as given
by the court to give the defendant the benefit of every
reasonable doubt arising out of the evidence or the lack of
evidence in the case. And, thirdly, it is the duty of the
jury if not convinced of the guilt of the defendant beyond a
reasonable doubt to find him not guilty. The consequence of
this rule is that the defendant is not required to prove his
innocence, but may rest upon the presumption in his favor
until it is overcome by positive, affirmative proof.
Therefore, it is upon the State to establish to your
satisfaction and beyond a reasonable doubt the guilt of the
accused as to the crime charged in the bill of indictment or
any lesser one included in it. The lesser verdicts, of
course, you've heard a lot about and I will give you a copy
of them when you retire to the jury room. It is incumbent on
the state to prove the offense charged to your satisfaction
beyond a reasonable doubt and before you can convict the
accused you must be satisfied from the evidence that the
defendant is guilty beyond a reasonable doubt. A reasonable
doubt, ladies and gentlemen, is not a mere possible doubt.
It is an actual or substantial doubt. It is a doubt based
upon reason and common sense. It is such a doubt as a
reasonable person would seriously entertain. It is a grave,
serious, sensible doubt, such as you could give a good
reason for. A reasonable doubt is present when after--pardon
me--a reasonable doubt is present when after you carefully
consider all of the evidence, you cannot say you are fully
convinced of the truth of the charge. You must not resort to
extraneous facts and circumstances in reaching your verdict.
That is, you must not go beyond the evidence to find facts
or circumstances to create guilt, but you must restrict
yourselves to the evidence that you heard on the trial.
However, the jury is not restricted to the evidence adduced
from the witness stand for the creation of a reasonable
doubt.
In Cage, the Supreme Court held that a
reasonable juror could have interpreted the reasonable doubt
instruction in that case to allow a finding of guilt based
upon a degree of proof below that required by the Due
Process Clause of the Fourteenth Amendment. See 498 U.S. at
39-41, 111 S.Ct. at 328-30. In Sullivan, the Supreme Court
held that a Cage-like defective reasonable doubt instruction
also violated the Sixth Amendment right to jury trial. See
--- U.S. at ----, 113 S.Ct. at 2081
We recognize that we have found Cage 's "rule"
regarding a defective reasonable doubt instruction to be a "new
rule" for purposes of Teague v. Lane, 489 U.S. 288, 109 S.Ct.
1060, 103 L.Ed.2d 334 (1989). See Skelton v. Whitley, 950
F.2d 1037, 1043 (5th Cir.), cert. denied, --- U.S. ----, 113
S.Ct. 102, 121 L.Ed.2d 61 (1992). Nevertheless, this is not
inconsistent with our finding today that James's claim of a
defective reasonable doubt instruction is not a new claim
for "novelty" and "cause" purposes in an abuse of the writ
context. As we later concluded in Selvage, "not all rules
found to be 'new' under Teague are novel for cause purposes.
Such symmetry would obtain if 'novelty' had the same breadth
under Engle and Reed as it does under Teague. The two
standards, however, are guided by sharply different
definitions of 'new.' " 975 F.2d at 136. Because of our
disposition of James's application for a CPC on novelty and
cause grounds in an abuse of the writ context, it is
unnecessary for us to address the Teague issue
While we need not and do not address the
merits of James's challenge to the reasonable doubt
instruction given to the jury at his trial for the Silver
murder, we note that his argument proceeds by isolating
three words--actual, substantial and grave--and by arguing
that those words were not accompanied by the same types of
explanations that salvaged the instructions in Victor v.
Nebraska, --- U.S. ----, 114 S.Ct. 1239, 127 L.Ed.2d 583
(1994). What James fails to do, however, is to examine the
allegedly defective language in the light of the jury charge
as a whole. The district court did so and found that "the
instruction given is not constitutionally tainted within the
meaning of Sullivan and Cage, especially after the decision
in Victor v. Nebraska."