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David DeWayne Johnson entered a
warehouse and convinced the night watchman, 67 year
old Leon Brown, that he needed to use the telephone
to get his car, a white Oldsmobile, out of a ditch
nearby. Dudley Swann, the principal stockholder in
Little Rock Crate and Basket identified Johnson as
the driver of the white Oldsmobile. Swann had
earlier asked Johnson to leave and come back the
next day to get his car because he did not want the
driver on the premises after dark. Brown was found
later beaten to death with a 2x4 in a pool of blood.
Johnson's fingerprints were found at the scene and
Johnson was in possession of property stolen from
the warehouse.
Appeals
Johnson appealed by claimed his
lawyer was manic-depressive and incapable of
defending an accused murderer.
The Eighth Circuit Court of
Appeals upheld the denial of Johnson's appeal. The
court's March ruling acknowledged that Johnson's
first lawyer might have been mentally ill during his
trial, that he did not press hard to admit certain
testimony and that he behaved unprofessionally
during jury selection. "We nevertheless are
convinced that the governing law requires that this
conviction and sentence be upheld", the judges wrote.
"We deal in specific facts, not abstractions, and
petitioner has failed to show any reasonable
likelihood that the outcome of this case would have
been different even if his lawyer had conducted
himself perfectly", the opinion said.
Execution
Johnson made no final statement.
He was executed at 9:11 p.m on December 19, 2000 by
lethal injection.
Brown had two sons, both of whom
live out of state. Neither attended the execution.
Johnson was the 23rd person
executed by the state of Arkansas since Furman v.
Georgia, 408
U.S. 238 (1972), after new capital punishment
laws were passed in Arkansas and that came into
force on March 23, 1973.
On Appeal from the United States
District Court for the Eastern District of Arkansas.
Before Richard S. Arnold, Fagg,
and Hansen, Circuit Judges.
Richard S. Arnold, Circuit Judge.
The petitioner,
David Johnson, appeals the denial of his petition
for a writ of habeas corpus. Although the District
Court1
denied the petition on all grounds, it granted a
certificate of appealability on three issues: (1)
whether evidence concerning trial counsel's bipolar
disorder should have been considered only in
evaluating his credibility, or, instead, as evidence
of per se ineffective assistance of counsel, which
rendered the trial fundamentally unfair; (2) whether
the petitioner was denied his Sixth Amendment right
to counsel because of an actual conflict of interest
arising from his trial counsel's representation of
the petitioner and a defense witness; and (3)
whether trial counsel was ineffective during jury
selection. We affirm the decision of the District
Court on all three of these issues.
I.
After a jury trial
in 1990, the petitioner was convicted of capital
murder. The jury found that the petitioner murdered
Leon Brown, a sixty-seven-year-old night watchman at
the Little Rock Crate and Basket Company. The
evidence against the petitioner was strong: he was
admittedly seen at the scene of the crime, items
stolen from the crime scene were found in his
possession, and physical evidence linked him to the
place of the murder. The petitioner was sentenced to
death by lethal injection.
His conviction and
sentence were affirmed on direct appeal to the
Arkansas Supreme Court. Johnson v. State, 308 Ark.
7, 823 S.W.2d 800 (1992). His petition for writ of
certiorari to the United States Supreme Court was
denied. Johnson v. Arkansas, 505 U.S. 1225 (1992).
His motion for post-conviction relief under Arkansas
law was denied, and that decision was affirmed by
the Arkansas Supreme Court. Johnson v. State, 321
Ark. 117, 900 S.W.2d 940 (1995).
At his trial and
on direct appeal, the petitioner was represented by
Robert Smith. The petitioner's issues before this
Court all relate to Mr. Smith's representation. In
1993, Mr. Smith surrendered his law license. Between
1994 and 1996, he was convicted of various felony
counts of property theft. He is currently serving a
fifteen- year sentence in the Arkansas Department of
Correction. During his testimony before the District
Court, Mr. Smith, for the first time, revealed that
he had been diagnosed with bipolar disorder.
II.
We first consider
the question of whether evidence concerning Mr.
Smith's bipolar disorder should have been considered
only in evaluating his credibility, or whether it
should have been treated as showing per se
ineffective assistance of counsel which rendered the
trial fundamentally unfair.
In his habeas
petition, the petitioner cited numerous examples of
Mr. Smith's conduct before and during trial which
seem unprofessional, and perhaps bizarre. These
included lying to the petitioner about his
experience in capital cases, submitting a false
application for malpractice insurance, being
unprepared to present the petitioner's case, and
appearing confused during trial.
When Mr. Smith was
testifying before the District Court about his
performance, he stated that he had been diagnosed
with bipolar disorder. He stated that according to
his psychiatrist, this disorder is partly to blame
for his legal problems. He stated that he was
currently on medication for this disorder, which he
would have to take for life. The petitioner
attempted to obtain Mr. Smith's complete medical
records, but Mr. Smith would not allow access to
them.
To uphold a claim
of ineffective assistance of counsel, a court must
find that the counsel's performance was seriously
deficient, and that the ineffective performance
prejudiced the defense. Strickland v. Washington,
466 U.S. 668 (1984). However, the petitioner argues
that he should not be held to the normal Strickland
prejudice requirement. Rather, he says, Mr. Smith's
bipolar disorder should be considered a structural
error, which should require a per se presumption of
prejudice.
The petitioner
relies on our decision in McGurk v. Stenberg, 163
F.3d 470 (8th Cir. 1998) (failure to notify the
defendant of his right to a jury trial was
structural error which did not require proving
prejudice), and argues that other circuits have
found structural error when counsel is not mentally
present at trial. See Javor v. United States, 724
F.2d 831 (9th Cir. 1984) (counsel was per se
ineffective when he slept through substantial
portion of trial); Tippens v. Walker, 77 F.3d 682
(2d Cir. 1986).
We note at the
outset that there is some question as to whether Mr.
Smith had bipolar disorder at the time of the
petitioner's trial. Mr. Smith testified before the
District Court that he was diagnosed with bipolar
disorder "last year," Habeas Tr. at 72, which would
presumably refer to some time in 1996. He testified
that he did not recall having any of the symptoms of
bipolar disorder in 1990, when the trial took place,
but he attributed some of his actions in 1992 and
1993 to the disorder. Id. at 73- 74.
Petitioner offers
instances of Mr. Smith's behavior during the
petitioner's trial, which are consistent with Mr.
Smith's behavior in 1992 and 1993, to prove that Mr.
Smith was afflicted by bipolar disorder at trial.
The District Court did not resolve this issue,
noting that "Mr. Smith . . . reported . . . having
been diagnosed with bipolar disorder which may or
may not have manifested at the time of [the
petitioner's] trial.".
Even if we assume
that Mr. Smith's bipolar condition existed during
the petitioner's trial, we decline to adopt the
petitioner's proposed rule. This is not the type of
structural error envisioned in McGurk, where we
recognized the limited number of circumstances in
which structural-error analysis was appropriate. Our
Court has previously declined to adopt a rule
requiring a per se presumption of prejudice with
regard to mental illness. See Pilchak v. Camper, 935
F.2d 145,149 (8th Cir. 1991).
Bipolar disorder,
like most mental illnesses, can have varying effects
on an individual's ability to function, and the
disease can vary widely in the degree of its
severity. We are not convinced there is anything
about Mr. Smith's bipolar condition that would not
lend itself to the normal fact-specific Strickland
analysis. See Bellamy v. Cogdell, 974 F.2d 302, 308
(2d Cir. 1992). Any errors Mr. Smith made, even as a
result of his mental illness, should be apparent
from the face of the trial record, or otherwise
susceptible of proof, and thus readily reviewable.
Therefore, using
specific acts or omissions of counsel at trial, the
petitioner must prove that Mr. Smith's performance
was deficient and prejudicial. Evidence of his
bipolar disorder can be considered in attempting to
prove this. However, Mr. Smith's statements about
his bipolar condition, made in 1996, are not
particularly probative in proving deficient
performance in 1991.
The District Court
was correct in reasoning that this evidence is most
probative in evaluating Mr. Smith's credibility and
state of mind, which are relevant to the
petitioner's conflict-of-interest claim. The
unprofessional and perhaps bizarre behavior that the
petitioner now claims was a result of Mr. Smith's
bipolar disorder includes lying to the petitioner
about his experience in capital cases, submitting a
false application for malpractice insurance, and a
general lack of trial preparedness.2
Whether a result of bipolar disorder, character
flaws, or just bad lawyering, these examples do not
rise to the level of constitutionally deficient
performance, because they cannot be shown to have
affected the outcome of the case.
Without the
benefit of a per se presumption, evidence of Mr.
Smith's bipolar disorder does not help the
petitioner to establish Strickland prejudice. The
petitioner cannot point to a single example of Mr.
Smith's performance where there is a reasonable
probability that the result of the proceeding would
have been different if Mr. Smith had done something
differently. Nor can the petitioner show that there
is a reasonable probability that, absent any example
of Mr. Smith's unprofessional behavior, the jury
would have concluded that the balance of aggravating
and mitigating circumstances did not warrant death.
Strickland, 466 U.S. at 695. Even after we consider
the evidence of Mr. Smith's bipolar disorder, the
petitioner's ineffective- assistance-of-counsel
claim fails.
III.
The second
question the District Court certified for appeal is
whether the petitioner was denied his Sixth
Amendment right to counsel because of an actual
conflict of interest arising from Mr. Smith's joint
representation of the petitioner and Derrick
Gilbert.
At trial, the
defense had intended to use Derrick Gilbert as a
witness. Gilbert was going to testify that another
individual, Ford, had told Gilbert that Ford had
sold certain items of stolen property to the
petitioner.3
This would explain why the items of stolen property
were found in the petitioner's possession. However,
Gilbert never testified.
The prosecution
had interviewed Gilbert, as a potential defense
witness, prior to trial. When Mr. Smith attempted to
call Gilbert at trial, the Court inquired as to what
Gilbert's testimony would be. Mr. Smith responded
that Gilbert would testify that Ford had told him
that he had sold the stolen goods to the petitioner.
The Court noted that such testimony would be
inadmissible hearsay. Mr. Smith made no further
argument to try to get the testimony admitted.
Nevertheless, the Court was about to swear Gilbert
in when the following exchange occurred:
MRS. LaRUE (prosecuting
attorney): I think at this time Mr. Gilbert is going
to need an attorney. Mr. Fraiser and I went out and
he informed us that if he testified today to what
Mr. Smith has just said that he would testify to
that he would be committing perjury.
MR. SMITH: Your
Honor, I also have a problem with this in that I do
represent Mr. Gilbert in Fifth Division.
THE COURT: Mr.
Gilbert, why don't you go on and get out of here
before you get yourself in trouble. They're not
going to call you.
Trial Tr. at 760.
A claim for
ineffective assistance of counsel arising from a
conflict of interest does not require proof of the
prejudice component of the Strickland test. Rather,
the petitioner can establish a Sixth Amendment
violation if he can demonstrate that "an actual
conflict of interest adversely affected his lawyer's
performance." Cuyler v. Sullivan, 446 U.S. 335, 348
(1980). To be within Cuyler, the petitioner must
prove both that his attorney acted under an actual
conflict of interest, as opposed to just a potential
one, see Dawan v. Lockhart, 31 F.3d 718, 721 (8th
Cir. 1994), and that the conflict of interest
actually affected the adequacy of the representation.
See Simmons v. Lockhart, 915 F.2d 372, 378 (8th Cir.
1990).
Even if we assume
that an actual, as opposed to a potential, conflict
of interest existed, the petitioner cannot show that
this conflict of interest actually affected the
adequacy of Mr. Smith's representation. The
petitioner argues that Mr. Smith did not do all he
could to get Gilbert's testimony admitted because
Mr. Smith was protecting Gilbert's interests over
the petitioner's. However, the weight of the
evidence is against this interpretation of Mr.
Smith's motivations.
The District Court
specifically found that a fear of prejudicing
Gilbert's interests played no part in Mr. Smith's
inaction. This factual finding was supported by an
evaluation of Mr. Smith's credibility in his
testimony before the District Court, and is not
clearly erroneous.
Therefore, the
petitioner does not receive the benefit of Cuyler,
and must meet the Strickland ineffective-assistance-of-counsel
test. This he cannot do. Even if Mr. Smith had
properly argued for the admissibility of Gilbert's
testimony under the hearsay exception found in Rule
804(b)(3) of the Arkansas Rules of Evidence (declaration
against penal interest), it would not have made a
difference.
The Arkansas
Supreme Court held that this exception would not
apply, because there were no corroborating
circumstances to indicate the trustworthiness of the
statement. Johnson v. State, 321 Ark. 117, 125-26,
99 S.W.3d 940, 945 (1995). Therefore, there is no
prejudice under Strickland.
IV.
We turn to the
final question the District Court certified for
appeal: whether trial counsel was ineffective during
jury selection by focusing on jurors' religious
denominations and beliefs, and by failing to
eliminate jurors who had recently served on a panel
in another capital case which imposed the death
penalty.
The petitioner
argues that Mr. Smith's performance during voir dire
was completely ineffective. The petitioner offers
expert testimony that Mr. Smith's voir dire did not
appear to have any direction or purpose. Through the
testimony of two attorneys who worked with Mr.
Smith, the petitioner argues that Mr. Smith's only
discernible trial strategy was to seat an all-Catholic
jury.
Most seriously,
the petitioner maintains that Mr. Smith's
ineffectiveness was demonstrated by the fact that he
did not question every potential juror about prior
jury service. This resulted in the selection of four
jurors (one of whom was an alternate) who had
imposed the death sentence the previous week to sit
on the petitioner's jury. The petitioner argues that
these jurors would be predisposed to impose the
death penalty, and that the rest of the jury could
have been swayed by these three jurors.
Mr. Smith believed
that the religious beliefs of Roman Catholics would
make them less likely to impose the death sentence.
During the sentencing phase of the case, he appealed
to what he supposed to be the jurors' religious
convictions. We assume for present purposes that
this strategy, if it was worthy of the name, was
seriously unprofessional.
The assumption
that every Roman Catholic is opposed to the death
penalty, we think, is an unreasonable stereotype.
The difficulty with the argument is that no
prejudice can possibly be shown. We have no way of
knowing who would have gotten on the jury if counsel
had adopted a different strategy during voir dire,
or if these hypothetical jurors would have been more
favorable to petitioner.
The same reasoning
applies to counsel's conduct in allowing three
jurors to sit on petitioner's jury who had served on
a jury that returned a death sentence the previous
week. We have no trouble agreeing that no reasonable
lawyer would have allowed this to happen, at least
without making some kind of a record. There is
absolutely no showing, however, that the three
jurors in question were unfair to petitioner. We are
unwilling to assume that someone who votes to
sentence A to death will necessarily be inclined to
impose the same sentence on B.
The jurors'
previous service does show that they were willing to
impose a death sentence, but jurors absolutely
unwilling to impose such a penalty are not qualified
to sit. Neither the "Catholic strategy" nor the
failure to challenge the jurors who had previously
served can be shown to have had anything to do with
the actual conduct of the jury in petitioner's case.
In short, there is no reasonable likelihood that the
result of petitioner's trial would have been
different if counsel had behaved more prudently.
V.
This is in many
ways an unfortunate case. Petitioner has been
sentenced to death. The lawyer who tried his case
may have been mentally ill at the time, failed to
press vigorously for the admission of certain
defense testimony, and pursued unprofessional
strategies during jury selection.
We nevertheless
are convinced that the governing law requires that
this conviction and sentence be upheld. We deal in
specific facts, not abstractions, and petitioner has
failed to show any reasonable likelihood that the
outcome of this case would have been different even
if his lawyer had conducted himself perfectly.
Accordingly, it is our duty to reject the
petitioner's three contentions on appeal, and the
judgment of the District Court is affirmed.
The petitioner makes more
specific ineffective-assistance claims with
regard to conflict of interest and jury
selection. These will be addressed below.
There is a discrepancy in the
record as to what exactly Gilbert told Smith his
testimony would be. At the District Court
hearing, Gilbert testified that Ford claimed to
have committed the murder and the robbery, and
to have sold the stolen goods to the petitioner.
In contrast, Smith has claimed throughout that
Gilbert told him only that Ford had claimed to
have sold the stolen goods to the petitioner.
The District Court evaluated Smith's and
Gilbert's credibility and all other evidence
relevant to the claim that Ford committed the
murder and robbery. In light of this, the Court
explicitly rejected Gilbert's version of what he
told Smith. We adopt this factual finding, as it
is not clearly erroneous. See Battle v. Delo, 19
F.3d 1547, 1552 (8th Cir. 1994).