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Tony Albert MACKALL
Classification: Murderer
Characteristics:
Robbery
Number of victims: 1
Date of murder:
December 9,
1986
Date of arrest:
3 days after
Date of birth: 1964
Victim profile: Mary
Elizabeth Dahn, 31(gas station cashier)
Method of murder:
Shooting
Location: Prince William County, Virginia, USA
Status:
Executed by lethal injection in February 10, 1998
Asking forgiveness from the family of his victim, Tony
A. Mackall was executed Tuesday night for killing a gas station cashier
during a 1986 holdup.
Mackall, 33, was put to death by injection at the
Greensville Correctional Center. He was pronounced dead at 9:10 p.m. (easstern
time) warden David Garraghty said.
"I know it is a hard thing to wind up without a
mother, and I ask you to forgive me," Mackall said in a clear, calm
voice moments before lethal chemicals began flowing into his body.
"I'm sorry for what I have caused."
Mackall's statement was directed at the 2 daughters of
the victim, who were believed to be attending the execution. Department
of Corrections officials would not confirm that, however.
Gov. Jim Gilmore denied clemency for Mackall about 3
hours before the death sentence was carried out. Mackall's court appeals
were exhausted last Friday when the U.S. Supreme Court denied a request
to delay the execution.
"Upon a thorough review of Mr. Mackall's petition
for clemency, the numerous court decisions regarding this matter, and
the circumstances of this case, I decline to intervene," Gilmore
said in a written statement.
Mackall was convicted of
capital murder in the Dec. 9, 1986, robbery
and shooting death of Woodbridge service station cashier Mary
Elizabeth
Dahn, 31.
Her husband and two young
daughters were decorating the gas station for
the holidays and Mrs. Dahn was working the cash register when
Mackall
entered the store, demanded money and shot her in the head.
After killing Mrs. Dahn and
robbing the station of $515, Mackall drove
to a nearby town house development and shot a man twice in the head
while
trying to steal his car. The man, Michael Keating, survived and
testified against Mackall.
Mackall was sentenced to death
in December 1987. His lawyers have been
appealing since 1988, arguing that he suffered severe head trauma
during
a troubled childhood, had a low I.Q., and received poor legal help.
Mrs. Dahn's widower, Stephen
Dahn, and one of her daughters, April, now
16, have said they plan to witness the execution. April was 5 years
old
when her mother was shot. She testified for the prosecution at
Mackall's
trial.
In a recent interview with the
Potomac News, April said she wanted to
watch the execution because "I was there when my Mom died, so, I
don't
know, I just want to be there. What he did was just not
human."
Tony Albert
Mackall
On December 18, 1987, Tony Mackall was
sentenced to death for the 1986 murder of Mary Dahn.
Mackall was a poor man with low
intelligence (the exact level of his intelligence is disputed
with one psychiatrist stating that it is 64, and thus labeling
him mentally retarded, and another placing him somewhat higher
on the intelligence scale, putting him in the dull-normal
range).
For the first few months after his arrest
Mackall maintained that he had no memory of the day the murder
took place. He could not afford a psychiatrist so the
state-appointed doctor examined him. Due to his memory loss, the
doctor could only fill out a partial report.
In October 1987, Mackall regained his memory
and the doctor examined him again. He did not find any grounds
for a defense of insanity and despite Mackall's request to be
examined by another psychiatrist, the court ordered the trial to
begin. During voir dire, the judge did not permit the defense
counsel to question prospective jurors about whether any of
their family members were cashiers (Mrs. Dahn was killed while at
her job as a cashier).
The Appellate Court conceded that that
question was relevant, however, denied Mackall's appeal on that
issue because they felt that other questions had alluded to that
fact. Also during voir dire, any potential juror who expressed
an opposition to the death penalty was dismissed automatically.
However, Temple Barron, a prospective juror
who gave "an affirmative answer to a confusing question as to
the appropriateness of the death penalty" was permitted to
remain on the jury. Another questionable juror, Sally Seesc, was
permitted to serve despite the rape of her mother only nine
months earlier.
Mackall also appealed because he felt that
the testimony of Mrs. Dahn's six-year-old daughter, April, a key
witness for the prosecution, was planted. He argued "that
six-year-old April's testimony was a recollection not of the
events surrounding her mother's murder but rather of a recent
conversation she had with the Commonwealth's Attorney, Mackall
maintain[ed] that the Commonwealth failed to establish her
ability to remember the events in question."
Mackall also asserted "that April gave no
'clear indication that she understood the difference between
telling the truth and telling a lie.'" Despite his objections
both the trial court and the appellate court permitted the
testimony to stand.
During the sentencing portion of the trial,
the psychologist was not permitted to describe the
hallucinations that Mackall had before she interviewed him. The
admittance of the testimony of the psychologist regarding the
hallucinations could have had a mitigating effect on the
sentence yet the trial court did not allow it. The Appellate
Court did not support the defense's argument and affirmed the
sentence.
Tony Mackall was executed on February 10,
1998.
Tony Mackall, 33, was
executed by injection as members of Mary Elizabeth Dahn's
family watched. "I know it is a hard thing to grow up without a
mother, and I ask you to forgive me,'' Mackall said in a strong
voice moments before lethal chemicals flowed into his body. "I know
it is a hard thing to do, but I can only ask.''
The family watched in a room
separate from the booth where press and official witnesses sit. Mrs.
Dahn, 31, was the cashier at the Woodbridge gas station in December
1986 when Mackall showed up, demanded money and shot her in the head.
Her husband Stephen, the
station manager, and their two young daughters, April and Julie,
were decorating the station for the holidays. After killing Mrs.
Dahn and taking $515, Mackall drove to a nearby neighborhood and an
hour later shot Michael Keating twice in the head after taking his
car keys and wallet at gun point.
Michael survived and
testified against Mackall, who also apologized to Keating in his
final statement. Mackall had been released from prison 2 months
earlier and was AWOL from a prison halfway house run by the
Washington metropolitan government. After his arrest, Mackall
admitted to a fellow inmate that he committed the shootings.
ProDeathPenalty.com
Tony Albert Mackall is scheduled to die by
injection Tuesday at the Greensville Correctional Center for the Dec.
9, 1986, slaying of a service station cashier in Prince William
County.
The execution would be the 1st of the year for
Virginia and 47th in the state since the death penalty was allowed
to resume in 1976.
Mackall, who may be retarded, has an appeal
pending in the U.S. Supreme Court and a clemency petition filed with
Gov. Jim Gilmore the 1st to be considered by his administration.
In a related development, Virginians for
Alternatives to the death penalty will sponsor a Death Penalty
Awareness Day Tuesday with an 11:30 a.m. rally in front of the
General Assembly Building in Richmond.
The date, said Henry Heller, director of the
organization, was in part set to draw attention to Mackall's
execution.
Mackall, 33, was sentenced to die for the murder
of Mary E. Dahn, who was shot to death during a robbery at a
gasoline station in the east end of the county.
Her husband, Stephen Dahn, the station manager,
and her 5- and 6-year-old daughters were at the station when the
shooting occurred.
According to court documents, Mackall fled the
station and an hour later shot and wounded Michael P. Keating after
taking his car keys and wallet at gun point.
Mackall had been released from prison 2 months
earlier and was AWOL from a prison halfway house run by the
Washington metropolitan government. After his arrest, Mackall
admitted to a fellow inmate that he committed the shootings.
According to a federal appeal filed on his behalf,
Mackall's IQ was tested at 64, in the retarded range, though a later
test showed him be in "the dull-normal range." A person with
an IQ of 69 or below is considered to be retarded.
11 of the 38 states that have capital punishment
have barred the execution of retarded killers, according to the
Death Penalty Information Center in Washington, which is opposed to
capital punishment.
Since the death penalty resumed in Virginia, the
state has executed 2 retarded men: Morris Odell Mason, whose
IQ tested in the 62 to 66 range; and Walter Milton Correll, who had
an IQ of 68. Mason was executed June 25, 1985, and Correll on Aug.
30, 1989.
The clemency petition, written by Mackall's
lawyer, Joseph N. Bowman, of Alexandria, notes that Mackall's IQ has
been rated at 64 and 71 and that Mackall had suffered head injuries
as a child, had poor impulse control and suffered from a learning
disability.
"It seems that he has been institutionalized and
neglected throughout his life," wrote Bowman. "Tony was a
problem child from a very early age. His 1st encounter with
official authority was at about age 8, and intermittently thereafter
until the murder for which he has been sentenced to die," he said.
Bowman said that "at the sentencing phase of Tony
Mackall's trial, the jury never heard any statement or evidence
regarding Tony's remarkably low level of intelligence, his
hallucinations and delusions, or his numerous documented cases of
head trauma."
"He is exactly the sort of person that should
receive some mercy from our society. He should be given at
least one break," Bowman urged Gilmore.
(source: Richmond Times-Dispatch)
109 F.3d 957
Tony Albert
MACKALL, Petitioner-Appellant, v.
Edward W. MURRAY, Director, Virginia Department of Corrections;
Charles E. Thompson, Warden, Mecklenburg State Correctional Facility;
Commonwealth of Virginia, Respondents-Appellees.
No. 95-4018.
United States Court of Appeals, Fourth Circuit.
Argued July 16, 1996.
Decided March 25, 1997.
Opinion Vacated On May 21,
1997.
Before MURNAGHAN and ERVIN,
Circuit Judges, and BUTZNER, Senior Circuit Judge.
Affirmed in part and reversed and
remanded in part by published opinion. Judge ERVIN wrote the opinion,
in which Judge MURNAGHAN and Senior Judge BUTZNER joined.
OPINION
ERVIN, Circuit Judge:
Virginia death-row inmate Tony
Albert Mackall petitioned the district court for a writ of
habeas corpus, claiming among other things that his trial
counsel had been ineffective. The district court held that
Mackall had defaulted that issue by failing to raise it in his
first state habeas petition.
Mackall appeals, arguing that
his representation in the first state habeas proceeding also was
ineffective. Because state habeas corpus offered the first forum
in which Mackall could challenge the effectiveness of his trial
counsel, we hold that he was entitled to effective assistance of
counsel in the first state habeas proceeding. Accordingly, if
the district court finds on remand that Mackall's first state
habeas counsel was ineffective, that finding will excuse his
default.
I
* The facts underlying
Mackall's conviction were summarized by the Virginia Supreme
Court in its disposition of his original appeal. See Mackall v.
Commonwealth, 236 Va. 240, 372 S.E.2d 759, 762-63 (1988), cert.
denied, 492 U.S. 925, 109 S.Ct. 3261, 106 L.Ed.2d 607 (1989).
Mackall's arguments on this appeal are not fact-based, so we do
not recount the facts in this opinion.
On December 18, 1987, Mackall
was convicted in the Circuit Court of Prince William County,
Virginia, of robbery, displaying a firearm in a threatening
manner, and capital murder. He was sentenced to two years
imprisonment for the firearm count, life for the robbery, and
death for the murder. The Virginia Supreme Court affirmed, id.,
372 S.E.2d at 771, and the United States Supreme Court denied
certiorari. Mackall v. Virginia, 492 U.S. 925, 109 S.Ct. 3261,
106 L.Ed.2d 607 (1989).
On March 13, 1989, Mackall
filed in the Circuit Court a petition for a writ of habeas
corpus. The court dismissed the petition on October 18, 1989,
and Mackall did not appeal. Mackall filed the instant federal
petition on October 10, 1991. In a supplement to the federal
petition, filed on May 18, 1992, he raised for the first time
several claims of ineffective assistance of counsel. Mackall
filed a second state habeas petition on August 18, 1993, and the
district court stayed the federal proceedings pending the state
court's disposition.
The Circuit Court of Prince
William County dismissed the second state petition on September
23, 1993, declaring:
[T]he claims raised in the
instant petition which were not raised in Mackall's prior habeas
corpus petition are barred by Virginia Code § 8.01-654(B)(2)....
[T]he claims in the instant petition that were raised in the
prior petition are barred under Slayton v. Parrigan, 215 Va. 27,
205 S.E.2d 680 (1974)[, cert. denied sub nom., Parrigan v.
Paderick, 419 U.S. 1108, 95 S.Ct. 780, 42 L.Ed.2d 804 (1975),]
by Mackall's failure to appeal.
The Virginia Supreme Court
denied Mackall's petition for appeal, and the United States
Supreme Court again denied certiorari. 513 U.S. 904, 115 S.Ct.
268, 130 L.Ed.2d 186 (1994). The federal district court lifted
its stay on November 17, 1994. It then denied Mackall's writ of
habeas corpus and dismissed the action.
Mackall's appeal to this court
consists of four primary points: (1) that a certificate of
probable cause should be granted; (2) that his claim of
ineffective assistance at trial was not defaulted due to his
counsel's failure to raise it in his state habeas appeal,
because his assistance in the state habeas proceedings also was
ineffective; (3) that voir dire was constitutionally defective
because Mackall was not allowed to ascertain the jurors' views
on the death penalty; and (4) that the trial court improperly
limited his introduction of mitigating evidence in the
sentencing phase.
II
The Commonwealth contends that
Mackall's appeal fails under the recently enacted Anti-terrorism
and Effective Death Penalty Act of 1996 ("AEDPA" or "the Act").
The relevant portions of the Act modify the Judicial Code's
habeas corpus provisions. They include revisions to parts of
Chapter 153, codified at 28 U.S.C. §§ 2244, 2253-55; and a new
Chapter 154, codified at 28 U.S.C. §§ 2261-66.
The Act provides specifically
that "[t]he ineffectiveness or incompetence of counsel during
State or Federal post-conviction proceedings in a capital case
shall not be a ground for relief." 28 U.S.C. § 2261(e); accord §
2254(i).
Perhaps more importantly, it
abrogates the independence with which federal courts have
reviewed habeas corpus claims since Brown v. Allen, 344 U.S.
443, 458, 73 S.Ct. 397, 407-08, 97 L.Ed. 469 (1953). See Bennett
v. Angelone, 92 F.3d 1336, 1341-42 (4th Cir.1996). The Act
allows a federal court to address an issue not decided on its
merits in state court only if the petitioner's failure to raise
the issue in state court was:
(1) the result of State action
in violation of the Constitution or laws of the United States;
(2) the result of the Supreme
Court's recognition of a new Federal right that is made
retroactively applicable; or
(3) based on a factual
predicate that could not have been discovered through the
exercise of due diligence in time to present the claim for State
or Federal post-conviction review.
28 U.S.C. § 2264. And if a
state court did address an issue's merits, the Act permits
federal habeas corpus review only if the state court's decision
"was contrary to, or involved an unreasonable application of,
clearly established Federal law," or "was based on an
unreasonable determination of the facts." Id. § 2254(d).
Consequently, as a threshold matter, we must determine the Act's
bearing on this appeal.
To ensure that the Act's
tighter restrictions deny federal hearings only to defendants
who had adequate habeas corpus proceedings at the state level,
see H.R.Rep. No. 23, 104th Cong., 1st Sess.1995, 1995 WL 56412,
139 Cong. Rec. S15020-01, *15047, 1993 WL 451824 (Nov. 4, 1993)
(statement of Sen. Specter); 139 Cong. Rec. S14940-02, * S14943,
1993 WL 448500 (Nov. 3, 1993) (statement of Sen. Hatch),
Congress conditioned Chapter 154's application on appropriate
state provisions for appointment of competent counsel:
(a) This chapter shall apply
to cases arising under section 2254 brought by prisoners in
State custody who are subject to a capital sentence. It shall
apply only if the provisions of subsections (b) and (c) are
satisfied.
(b) This chapter is applicable
if a State establishes by statute, rule of its court of last
resort, or by another agency authorized by State law, a
mechanism for the appointment, compensation, and payment of
reasonable litigation expenses of competent counsel in State
post-conviction proceedings brought by indigent prisoners whose
capital convictions and sentences have been upheld on direct
appeal to the court of last resort in the State or have
otherwise become final for State law purposes. The rule of court
or statute must provide standards of competency for the
appointment of such counsel.
(c) Any mechanism for the
appointment, compensation, and reimbursement of counsel as
provided in subsection (b) must offer counsel to all State
prisoners under capital sentence and must provide for the entry
of an order by a court of record--
(1) appointing one or more
counsels to represent the prisoner upon a finding that the
prisoner is indigent and accepted the offer or is unable
competently to decide whether to accept or reject the offer;
19
(2) finding, after a hearing
if necessary, that the prisoner rejected the offer of counsel
and made the decision with an understanding of its legal
consequences; or
(3) denying the appointment of
counsel upon a finding that the prisoner is not indigent.
28 U.S.C. § 2261(a)-(c).
Virginia contends that its
existing standards satisfy the Act's "opt-in" provisions. But
the statute containing the Virginia standards, Va.Code §
19.2-163.8, did not become effective until July 1, 1992--nearly
three years after Mackall's first state habeas petition was
dismissed. See Bennett, supra, at 1342 ("Although the parties
dispute whether Virginia's system satisfies [the Act]'s
requirements, this dispute is irrelevant because, whatever the
merits of the Virginia system, it was not set up until after
Bennett's Virginia habeas petition had been finally denied by
the Virginia Supreme Court.").
Mackall filed his second
petition after the statute was enacted, but the Virginia courts
deemed all of its grounds defaulted by Mackall's failure to
raise or appeal them in his first habeas proceeding. The merits
of Mackall's state petitions, then, were never advocated by
counsel appointed pursuant to Section 19.2-163.8.
To rule in Mackall's case that
Section 19.2-163.8 satisfies the "opt-in" conditions would deny
Mackall the very protection that Congress intended the "opt-in"
provisions to ensure--representation by properly appointed
counsel in at least one habeas corpus proceeding on the merits.
Thus, without deciding whether the Virginia appointment
procedures would satisfy the "opt-in" provisions in a case
involving state proceedings initiated after 1992, we hold that
Section 19.2-163.8 was enacted too late to impact Mackall.
Mackall's federal petition, therefore, is not subject to Chapter
154's restrictions.
That conclusion does not end
the inquiry. The failure of a state to "opt-in" preempts the
application of Chapter 154 only; it does not affect the Act's
amendments to Chapter 153. See Bennett, supra, at 1342-43.
However, the AEDPA was not enacted until April 24, 1996, nearly
six months after the district court disposed of Mackall's case
and two days after he filed his opening brief in the Fourth
Circuit. And, unlike Chapter 154, the amendments to Chapter 153
are not subject to a retroactivity clause. Cf. Pub.L. No.
104-132, § 107(c), 110 Stat. 1214, 1226 ("Chapter 154 ... shall
apply to cases pending on or after the date of enactment of this
Act.").
Absent some indication that
Congress intended the revisions to apply retroactively, see
Landgraf v. USI Film Prods., 511 U.S. 244, 255-57, 114 S.Ct.
1483, 1492, 128 L.Ed.2d 229 (1994), we will not review the
district court's disposition under standards that did not exist
until after this appeal had divested the court of jurisdiction.
Cf. Warner v. United States, 926 F.Supp. 1387, 1390 n. 4 (E.D.Ark.1996)
(holding that, under Landgraf, presumption against retroactivity
applies absent manifestation of congressional intent,
particularly in light of express intent that Chapter 154 be
retroactive). But see Leavitt v. Arave, 927 F.Supp. 394, 396 (D.Idaho
1996) (also citing Landgraf, but reaching opposite conclusion).
Accordingly, we do not apply the portions of the Act amending
Chapter 153.
III
The Supreme Court has held
that a certificate of probable cause may be granted a habeas
corpus petitioner only upon a "substantial showing of the denial
of a federal right." Barefoot v. Estelle, 463 U.S. 880, 893, 103
S.Ct. 3383, 3394, 77 L.Ed.2d 1090 (1983) (citations omitted). A
habeas corpus petitioner makes a "substantial showing of the
denial of a federal right" when he shows that (1) the questions
he raises are "debatable among jurists of reason"; (2) a court
could decide the issues differently; or (3) the "questions are
adequate to deserve encouragement to proceed further." Id. n. 4
(citations omitted). Finding that Mackall has met this standard
as to each of his three claims, we grant him a certificate of
probable cause on each of them.
* Mackall contends that he
received ineffective assistance at trial and in his first habeas
corpus proceeding. He acknowledges that the constitution
generally does not guarantee effective assistance in habeas
appeals. See Pennsylvania v. Finley, 481 U.S. 551, 555, 107 S.Ct.
1990, 1993, 95 L.Ed.2d 539 (1987) (holding that habeas
petitioner is not entitled to representation); Murray v.
Giarratano, 492 U.S. 1, 2, 109 S.Ct. 2765, 2766, 106 L.Ed.2d 1
(1989) (applying Finley rule in capital case); Wainwright v.
Torna, 455 U.S. 586, 587-88, 102 S.Ct. 1300, 1301-02, 71 L.Ed.2d
475 (1982) (ruling that there can be no ineffective assistance
claim where no right to counsel). He contends, however, that an
exception to the general rule should be recognized when, as in
this case, the constitutional violation of which a defendant
complains was not directly appealable.
Virginia courts do not permit
claims of ineffective trial counsel to be raised on direct
appeal. Goins v. Commonwealth, 251 Va. 442, 470 S.E.2d 114, 124
n. 2 (1996); Roach v. Commonwealth, 251 Va. 324, 468 S.E.2d 98,
105 n. 4 (1996); Walker v. Mitchell, 224 Va. 568, 299 S.E.2d
698, 699-700 (1983). But both Mackall and the Commonwealth
overlook a statutory exception that was operable at the time of
Mackall's direct appeal. Virginia Code section 19.2-317.1, which
was enacted in 1985, see Dowell v. Commonwealth, 3 Va.App. 555,
351 S.E.2d 915, 919 (1987), permitted defendants to raise
ineffective assistance claims on direct appeal under certain
circumstances:
A claim of ineffective
assistance of counsel may be raised on direct appeal if assigned
as error and if all matters relating to such issue are fully
contained within the record of the trial.
§ 19.2-317.1 (repealed 1990).
When presented with claims of ineffective assistance, the
Virginia Supreme Court routinely ruled that the claims were not
directly appealable under the statute, because they could be
resolved only by examining matters not "fully contained within
the record of the trial." E.g., Smith v. Commonwealth, 239 Va.
243, 389 S.E.2d 871, 886 n. 5 (Va.), cert. denied, 498 U.S. 881,
111 S.Ct. 221, 112 L.Ed.2d 177 (1990); Mu'Min v. Commonwealth,
239 Va. 433, 389 S.E.2d 886, 898 (1990), aff'd 500 U.S. 415, 111
S.Ct. 1899, 114 L.Ed.2d 493 (1991); Paris v. Commonwealth, 9
Va.App. 454, 389 S.E.2d 718, 720 n. 2 (1990); Brown v.
Commonwealth, 8 Va.App. 126, 380 S.E.2d 8, 8 n. 1 (1989); Hill
v. Commonwealth, 8 Va.App. 60, 379 S.E.2d 134, 139 (1989); Hoke
v. Commonwealth, 237 Va. 303, 377 S.E.2d 595, 605 n. 4 (Va.),
cert. denied, 491 U.S. 910, 109 S.Ct. 3201, 105 L.Ed.2d 709
(1989), cert. denied, 502 U.S. 880 (1991); Grogg v. Commonwealth,
6 Va.App. 598, 371 S.E.2d 549, 550 n. 1 (1988); Payne v.
Commonwealth, 5 Va.App. 498, 364 S.E.2d 765, 768-69 (1988);
Payne v. Commonwealth, 233 Va. 460, 357 S.E.2d 500, 509 (Va.),
cert. denied, 484 U.S. 933, 108 S.Ct. 308, 98 L.Ed.2d 267
(1987); Beaver v. Commonwealth, 232 Va. 521, 352 S.E.2d 342,
351-52 (Va.), cert. denied, 483 U.S. 1033, 107 S.Ct. 3277, 97
L.Ed.2d 781 (1987); Correll v. Commonwealth, 232 Va. 454, 352
S.E.2d 352, 361 & n. 6 (Va.), cert. denied, 482 U.S. 931, 107
S.Ct. 3219, 96 L.Ed.2d 705 (1987); Frye v. Commonwealth, 231 Va.
370, 345 S.E.2d 267, 287 (1986).
The court allowed a direct
appeal only once, when the basis of the claim was not the trial
attorney's performance, but a conflict of interest arising from
his representation of two codefendants who testified against the
appellant. Dowell, 351 S.E.2d at 919. Apparently because of its
general inapplicability, the statute was repealed in 1990. See
Browning v. Commonwealth, 19 Va.App. 295, 452 S.E.2d 360, 362 n.
2 (1994).
Mackall's ineffective-assistance
argument is based entirely on his trial counsel's tactics. He
challenges his attorney's failure to challenge a witness's
identification of Mackall, failure to cross-examine the
identifying witness, failure to point out another witness's
statement that the perpetrator wore a mask, failure to object to
allegedly irrelevant testimony, failure to cross-examine a
jailhouse informant, failure to object to the prosecutor's
summation, and failure to object to testimony beyond the scope
of an expert witness's expertise. All of these grounds are
performance-based--the type that, the Virginia Supreme Court
uniformly ruled, is outside the scope of section 19.2-317.1.
Consequently, Mackall's claim of ineffective assistance was not
directly appealable.
In Coleman v. Thompson,
another capital case that arose in Virginia, the petitioner
asserted that the ineffectiveness of his state habeas appellate
counsel constituted cause to excuse the procedural default of
his ineffective trial-counsel claim. 501 U.S. 722, 755, 111 S.Ct.
2546, 2567-68, 115 L.Ed.2d 640 (1991). The Supreme Court
disagreed. Citing the federalist principle of deference to state
judgments, id. at 726, 111 S.Ct. at 2552, it reiterated its
earlier holding in Murray v. Carrier that,
[s]o long as a defendant is
represented by counsel whose performance is not constitutionally
ineffective ..., we discern no inequity in requiring him to bear
the risk of attorney error that results in a procedural default.
Id. at 752, 111 S.Ct. at 2566
(quoting Carrier, 477 U.S. 478, 488, 106 S.Ct. 2639, 2645-46, 91
L.Ed.2d 397 (1986)). Coleman had no constitutional right to any
representation in his state habeas appeal, the Court held, so
his counsel on that appeal could not have been constitutionally
ineffective. Id. at 755-57, 111 S.Ct. at 2567-69.
Coleman does not resolve the
question in this case. The Court expressly relied on the fact
that Coleman's claim had been advocated effectively in one
forum--the state habeas trial--so it left open the question
posed by Mackall:
Finley and Giarratano
established that there is no right to counsel in state
collateral proceedings. For Coleman to prevail, therefore, there
must be an exception to the rule of Finley and Giarratano in
those cases where state collateral review is the first place a
prisoner can present a challenge to his conviction. We need not
answer this question broadly, however, for one state court has
addressed Coleman's claims: the state habeas trial court.
The effectiveness of Coleman's counsel before
that court is not at issue here. Coleman contends that it was
the ineffectiveness of his counsel during the appeal from that
determination that constitutes cause to excuse his default. We
thus need to decide only whether Coleman had a constitutional
right to counsel on appeal from the state habeas trial court
judgment . We conclude that he did not.
Id. at 755, 111 S.Ct. at
2567-68 (emphasis added).
The Supreme Court long has
recognized a constitutional right to counsel in a defendant's
first appeal as of right. Douglas v. California, 372 U.S. 353,
356-57, 83 S.Ct. 814, 816-17, 9 L.Ed.2d 811 (1963). There is a
strong argument to be made that, with respect to any issues not
directly appealable, that right extends to representation in the
state habeas trial court. Cf. Coleman, 501 U.S. at 756, 111 S.Ct.
at 2568 ("Coleman has had his 'one and only appeal,' if that is
what a state collateral proceeding may be considered.").
But the question in this case
is even narrower. The effectiveness of trial counsel, by its
very nature, generally cannot be challenged in the original
trial court. Thus, unlike other constitutional issues such as
Miranda violations, unreasonable searches, double jeopardy, et
cetera, ineffective assistance of counsel can be raised only on
direct or collateral appeal.
To decide that a defendant
claiming ineffective trial counsel is not entitled to
representation in his first habeas corpus proceeding, in a state
that does not allow trial counsel's effectiveness to be
challenged on direct appeal, would be to conclude that the
defendant is not entitled in any forum to an attorney's
assistance in presenting a fundamental constitutional claim. We
will not so hold. Accordingly, Mackall is entitled to a hearing
to determine whether the evidence of his first habeas counsel's
ineffectiveness constitutes a "substantial showing of the denial
of a federal right."
B
Next, Mackall argues that the
trial court erred by refusing to ask the jurors whether or not
they held opinions on the death penalty and, if so, what their
opinions were.1
He bases his argument in part on Wainwright v. Witt, in which
the Supreme Court stated the standard for excluding jurors for
cause based on their views about capital punishment: "That
standard is whether the juror's views would prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath." 469 U.S. 412,
424, 105 S.Ct. 844, 852, 83 L.Ed.2d 841 (1985) (internal
quotation omitted).
Mackall also relies heavily on
Morgan v. Illinois, in which the Court ruled that a capital
defendant is entitled to ask jurors whether, if they were to
find a defendant guilty, they would "automatically vote to
impose the death penalty no matter what the facts [we]re." 504
U.S. 719, 723, 735-36, 112 S.Ct. 2222, 2226, 2233-34, 119 L.Ed.2d
492 (1992).
We do not infer from
Wainwright and Morgan a requirement that trial courts allow
inquiries into jurors' views on the death penalty. Those
decisions focus not on whether the jurors have opinions, or what
those opinions are, but on whether the opinions the jurors hold,
whatever they are, will inhibit their ability to follow the law.
The trial judge in this case asked the jurors the following
questions about the application of the death penalty:
(1) Do you have any opinion
such as to prevent any of you from convicting anyone of an
offense punishable with death?
(2) If you were to find the
defendant guilty of capital murder, is there any juror who could
never vote to impose the death penalty or would refuse to even
consider its imposition in this case?
(3) If you were to sit as a
juror in this case and the jury were to convict the defendant of
capital murder, would you also be able to consider voting for a
sentence less than death?
Those questions properly
addressed the central question of Wainwright and Morgan--whether
jurors can follow the law. Thus the trial judge did not abuse
his discretion by refusing to ask the jurors what their opinions
were.
C
Finally, Mackall contends that
the trial court erred by excluding certain mitigating evidence--of
prior drug use, hallucinations, and efforts to reform--and by
limiting evidence of intelligence deficiency.2
He relies on Lockett v. Ohio,
in which the Supreme Court held that the Eighth and Fourteenth
Amendments require that the sentencer ... not be precluded from
considering, as a mitigating factor, any aspect of a defendant's
character or record and any of the circumstances of the offense
that the defendant proffers as a basis for a sentence less than
death.
438 U.S. 586, 604, 98 S.Ct.
2954, 2964-65, 57 L.Ed.2d 973 (1978). The Commonwealth contends
that Mackall defaulted these arguments because, although he
challenged the trial court's refusal to admit the evidence in
Virginia courts and in the district court, he did not cite
Lockett or the U.S. Constitution until this appeal.
Mackall responds, however,
that he relied below on Virginia Code § 19.2-264.4(B), which
requires admission, "subject to the rules of evidence," of "any
... facts in mitigation of the offense." That statute, he
argues, was enacted to implement the dictates of Lockett and
other constitutional principles, see Smith v. Commonwealth, 219
Va. 455, 248 S.E.2d 135, 149 & n. 6 (1978), cert. denied, 441
U.S. 967, 99 S.Ct. 2419, 60 L.Ed.2d 1074 (1979).
Therefore, he concludes, his
argument of the factual basis for his claim, and his citation of
authority derived from Lockett and other constitutional
precedents, were sufficient to preserve the constitutional
issues.
Both parties treated this
issue as minor. They devoted to it only a small portion of their
briefs, and neither even mentioned it at oral argument. More
important than the volume of their discussions, both Mackall and
the Commonwealth neglected the Supreme Court's development of
the Lockett doctrine in the eighteen years since the original
decision, and the uncertainty that remains regarding the
interplay of constitutional principles and state rules of
evidence. Compare, e.g., Green v. Georgia, 442 U.S. 95, 97, 99
S.Ct. 2150, 2151, 60 L.Ed.2d 738 ("Regardless of whether the
proffered testimony comes within Georgia's hearsay rule, under
the facts of this case its exclusion constituted a violation of
the Due Process Clause of the Fourteenth Amendment."), with
Romano v. Oklahoma, 512 U.S. 1, 12, 114 S.Ct. 2004, 2011, 129
L.Ed.2d 1 (1994) ("The Eighth Amendment does not establish a
federal code of evidence to supersede state evidentiary rules in
capital sentencing proceedings.").
Finally, the insufficiency of
the parties' attention is compounded by the absence of any
consideration by the district court of the constitutional
question. Consequently, we remand the issue to the district
court for more thorough development in light of its ruling on
the effectiveness of Mackall's representation.
IV
We reject Mackall's
contentions that the state trial court erred in asking the
questions about the application of the death penalty discussed
in Part III B above. However, we remand for an evidentiary
hearing on the effectiveness of Mackall's original state habeas
counsel, and for more thorough development of the mitigative
evidence question.
AFFIRMED IN PART AND REVERSED
AND REMANDED IN PART.
We need not resolve the voir dire
question to reverse on the ineffective assistance ground. If
we were not to resolve it, however, it probably would arise
again regardless of the district court's verdict in the
evidentiary hearing. Were the district court to find that
Mackall's state trial representation was constitutionally
defective, and order a new trial, Mackall might propose
again the questions that are contested here. And, were the
district court to rule against Mackall on the ineffective
assistance issue, Mackall likely would file another appeal
on the voir dire question. For judicial economy, therefore,
we address it now
The mitigation question also is likely to
arise again. Were Mackall granted a new trial based on his
ineffective assistance claim, and convicted again, he might
seek to introduce in the sentencing phase the same
mitigative testimony that the original trial judge excluded.
And, if the district court were to find that Mackall's
representation was effective, Mackall might appeal once
again to this court on the mitigation question. Nevertheless,
for the reasons that follow, we elect not to address it
131 F.3d 442
Tony Albert MACKALL, Petitioner-Appellant, v.
Ronald J. ANGELONE, Director, Virginia Department of
Corrections;
Samuel V. Pruett, Warden, Mecklenburg State Correctional
Facility;
Commonwealth of Virginia, Respondents-Appellees.
Before WILKINSON,
Chief Judge, RUSSELL, WIDENER, MURNAGHAN, WILKINS,
NIEMEYER, HAMILTON, LUTTIG, WILLIAMS, MICHAEL and MOTZ,
Circuit Judges, and BUTZNER, Senior Circuit Judge.
Affirmed by published
opinion. Judge WILKINS wrote the majority opinion, in
which Chief Judge WILKINSON and Judges RUSSELL, WIDENER,
NIEMEYER, HAMILTON, LUTTIG, WILLIAMS, MICHAEL, and MOTZ
joined. Senior Judge BUTZNER wrote a dissenting opinion,
in which Judge MURNAGHAN joined.
OPINION
WILKINS, Circuit Judge:
Tony Albert Mackall
appeals a decision of the district court denying his
petition for a writ of habeas corpus,1
which challenged his Virginia conviction for capital
murder and resulting death sentence. See 28 U.S.C.A. §
2254 (West 1994).2
Mackall's request for a certificate of probable cause to
appeal is granted because at least one judge on the
panel concludes that Mackall "has made a substantial
showing of the denial of a constitutional right." 4th
Cir. R. 22(a).3
We conclude that the district court correctly held that
Mackall was not entitled to habeas relief.4
I.
On the night of
December 9, 1986, Mackall robbed a service station in
Prince William County, Virginia and murdered the cashier
on duty, Mary E. Dahn, by shooting her in the head.
Mackall subsequently was convicted of capital murder in
the commission of a robbery while armed with a dangerous
weapon and was sentenced to death on the basis that he
posed "a continuing serious threat to society."5
Va.Code Ann. § 19.2-264.2 (Michie 1995).
The Supreme Court of
Virginia affirmed on direct appeal, and the United
States Supreme Court denied certiorari. See Mackall v.
Commonwealth, 236 Va. 240, 372 S.E.2d 759 (1988), cert.
denied, 492 U.S. 925, 109 S.Ct. 3261, 106 L.Ed.2d 607
(1989).
In March 1989, Mackall
filed his first petition for postconviction relief,
asserting the following: (1) a pretrial lineup and an
in-court identification were unnecessarily suggestive;
(2) the trial court improperly refused to permit defense
counsel to inquire into the views of the venire on the
death penalty; (3) the trial court improperly excluded
the mitigating testimony of Patricia Hollingsworth; and
(4) trial counsel should have been permitted to withdraw
due to a conflict of interest.
This petition was
neither signed nor verified by Mackall and did not raise
any claim of ineffective assistance of counsel. The
state habeas court denied the petition, concluding that
the first of Mackall's claims was defaulted under
Slayton v. Parrigan, 215 Va. 27, 205 S.E.2d 680, 682
(1974) (holding that issues not properly raised at trial
and on direct appeal will not be considered on state
collateral postconviction review) and that the remaining
claims were barred by Hawks v. Cox, 211 Va. 91, 175
S.E.2d 271, 274 (1970) (precluding, absent changed
circumstances, consideration in state habeas proceedings
of claims previously considered on their merits).
Mackall did not seek review of this ruling.
Acting pro se, Mackall
filed this action on January 2, 1992, seeking habeas
corpus relief pursuant to 28 U.S.C.A. § 2254. The
district court appointed counsel and granted counsel's
subsequent request to hold the federal proceedings in
abeyance to permit Mackall to exhaust numerous claims
that had not been pursued on direct appeal or in his
first state habeas petition. Mackall then, for a second
time, petitioned the Virginia courts for postconviction
relief. Among the claims Mackall advanced in this second
state petition were arguments that he received
ineffective assistance of counsel during trial and on
direct appeal. The state habeas court denied relief,
concluding that because Mackall had not raised these
claims in his first habeas petition, they were barred
pursuant to Va.Code Ann. § 8.01-654(B)(2) (Michie 1992).
Mackall petitioned the
Supreme Court of Virginia for review, raising five
assignments of error: (1) the state habeas court erred
in failing to conduct an evidentiary hearing; (2) he
possessed a right to effective assistance of counsel in
the first forum in which he could raise his federal
constitutional claims; (3) the attorney who represented
him during his first state habeas proceeding was
ineffective, and this ineffectiveness constituted cause
for failing to raise the claims that were omitted from
the first state habeas petition; (4) the new claims
raised in his second state habeas petition were not
defaulted because the state habeas court lacked
jurisdiction to consider the first petition since that
petition was neither signed nor verified; and (5) the
new claims raised in his second state habeas petition
were not defaulted by his failure to seek appellate
review of the denial of the first habeas petition. The
Supreme Court of Virginia denied review:
Applying the mandate
of Code § 8.01-654(B)(2) and the rule of Slayton v.
Parrigan to the assignments of error Nos. 4 and 5, and
finding no merit in the appellant's other assignments of
error, the Court refuses the petition for appeal.
J.A. 1762 (citation
omitted).
Returning to district
court, Mackall pressed numerous claims, including the
three that he pursues here--that he received
constitutionally ineffective assistance of counsel
during trial and on direct appeal in violation of the
Sixth Amendment; that the trial court improperly
excluded mitigating evidence in violation of the Eighth
and Fourteenth Amendments; and that the refusal of the
state trial court to permit defense counsel to question
the venire concerning their views of the death penalty
violated the Sixth and Fourteenth Amendments. The
district court rejected each of these claims, and
Mackall appeals.
II.
Absent cause and
prejudice or a fundamental miscarriage of justice, a
federal habeas court may not review constitutional
claims when a state court has declined to consider their
merits on the basis of an adequate and independent state
procedural rule. See Harris v. Reed, 489 U.S. 255, 262,
109 S.Ct. 1038, 1042, 103 L.Ed.2d 308 (1989).
The Supreme Court of
Virginia expressly relied on the procedural default rule
set forth in Va.Code Ann. § 8.01-654(B)(2) in refusing
during Mackall's second state habeas corpus proceedings
to consider his claims that he received constitutionally
ineffective assistance of counsel during trial and on
direct appeal.6
And, we have held on numerous occasions that the
procedural default rule set forth in § 8.01-654(B)(2)
constitutes an adequate and independent state-law ground
for decision. See, e.g., Pope v. Netherland, 113 F.3d
1364, 1372 (4th Cir.1997), cert. denied, --- U.S. ----,
118 S.Ct. 16, 138 L.Ed.2d 1048 (1997) (No. 97-5343);
Gray v. Netherland, 99 F.3d 158, 163 (4th Cir.1996),
cert. denied, --- U.S. ----, 117 S.Ct. 1102, 137 L.Ed.2d
234 (1997).
Accordingly, we may
not consider these claims on their merits unless Mackall
can demonstrate that cause and prejudice exist to excuse
the default or that the failure of the court to consider
the claims would amount to a fundamental miscarriage of
justice. See Coleman v. Thompson, 501 U.S. 722, 750, 111
S.Ct. 2546, 2564, 115 L.Ed.2d 640 (1991).
Mackall maintains that
cause and prejudice exist7
to excuse his failure to raise the claims that counsel
representing him during trial and on direct appeal were
constitutionally ineffective. He asserts that the
attorney representing him during his first habeas corpus
proceeding was himself constitutionally ineffective in
failing to raise the earlier ineffectiveness of counsel.
In other words,
Mackall contends that because he received
constitutionally ineffective assistance of counsel
during his first state habeas corpus proceeding, this
court should excuse his failure to raise the claims of
ineffective assistance of trial and appellate counsel
and address those claims on their merits.
If attorney error
amounts to constitutionally ineffective assistance of
counsel under the standard established in Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674
(1984),8
the Sixth Amendment dictates that the attorney's error
must be imputed to the state. See Coleman, 501 U.S. at
754, 111 S.Ct. at 2567. Consequently, when attorney
error amounts to constitutionally ineffective assistance
of counsel, it may provide the cause necessary to excuse
a procedural default. See id. at 752-54, 111 S.Ct. at
2566-67; Murray v. Carrier, 477 U.S. 478, 488, 106 S.Ct.
2639, 91 L.Ed.2d 397 (1986). In order to constitute
constitutionally ineffective assistance of counsel,
however, a constitutional right to effective assistance
of counsel must first exist. See Coleman, 501 U.S. at
752, 111 S.Ct. at 2566.9
In Pennsylvania v.
Finley, 481 U.S. 551, 555, 107 S.Ct. 1990, 1993, 95 L.Ed.2d
539 (1987), the Supreme Court categorically rejected an
argument that "prisoners have a constitutional right to
counsel when mounting collateral attacks upon their
convictions." The Finley Court was reviewing a decision
of the Pennsylvania Superior Court, which reversed the
dismissal of a petition for postconviction relief after
appointed counsel moved to withdraw on the basis that no
nonfrivolous grounds for such relief existed. See id. at
553-54, 107 S.Ct. at 1992-93. The Pennsylvania Superior
Court had ruled that the procedures specified in Anders
v. California, 386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d
493 (1967),10must
be followed when counsel appointed to represent a
petitioner pursuing collateral relief from a state
conviction determines that no nonfrivolous issues exist
and seeks to withdraw. See id. at 554, 107 S.Ct. at
1992.
The Finley Court
emphatically disagreed with the conclusion of the state
court. The Supreme Court observed that the procedures
set forth in Anders were designed to protect the
constitutional right to counsel on direct appeal that
the Court recognized in Douglas v. California, 372 U.S.
353, 83 S.Ct. 814, 9 L.Ed.2d 811 (1963) (holding that
the denial of counsel to an indigent defendant on a
first appeal as of right violated a "constitutional
requirement of substantial equality and fair process"
mandated by the Fourteenth Amendment). See Finley, 481
U.S. at 554, 107 S.Ct. at 1992.
The Court ruled,
however, that the reasoning in Douglas did not compel
the conclusion that because the state had created an
avenue for collateral review of a conviction, the
Fourteenth Amendment mandated that the state provide
effective assistance of counsel--as protected by the
procedures prescribed in Anders--to allow an indigent
petitioner to pursue it. See id. at 554-55, 107 S.Ct. at
1992-93.
Furthermore, the Court
explained, Anders did not establish a constitutional
rule that appointed attorneys in all proceedings must
follow the specified procedures, but "established a
prophylactic framework" applicable only when a defendant
possesses a constitutional right to counsel. Id. The
Court set forth its holding in unmistakably plain
language: "We have never held that prisoners have a
constitutional right to counsel when mounting collateral
attacks upon their convictions, and we decline to so
hold today. Our cases establish that the right to
appointed counsel extends to the first appeal of right,
and no further." Id. at 555, 107 S.Ct. at 1993 (emphasis
added) (citation omitted).
A plurality of the
Court applied this holding in a capital setting in
Murray v. Giarratano, 492 U.S. 1, 109 S.Ct. 2765, 106
L.Ed.2d 1 (1989). There, Chief Justice Rehnquist, joined
by Justices White, O'Connor, and Scalia, rejected a
claim by Virginia death row inmates that the Fourteenth
Amendment required that counsel be appointed to permit
them to pursue postconviction relief from their capital
convictions and sentences. See id. at 3-13, 109 S.Ct. at
2766-72. The plurality reiterated the reasoning in
Finley:
"Postconviction relief
is even further removed from the criminal trial than is
discretionary direct review[for which the Court had
rejected a constitutional right to counsel in Ross v.
Moffitt, 417 U.S. 600, 94 S.Ct. 2437, 41 L.Ed.2d 341
(1974) ]. It is not part of the criminal proceeding
itself, and it is in fact considered to be civil in
nature.... States have no obligation to provide this
avenue of relief, and when they do, the fundamental
fairness mandated by the Due Process Clause does not
require that the state supply a lawyer as well."
Giarratano, 492 U.S.
at 8, 109 S.Ct. at 2769 (second alteration in original)
(citations omitted) (quoting Finley, 481 U.S. at 556-57,
107 S.Ct. at 1993-94). And, the plurality found this
reasoning to apply equally in capital and noncapital
settings. See id. at 8-10, 109 S.Ct. at 2769-70.11
Most recently, in
Coleman v. Thompson, the Court addressed a claim by
Coleman--who was seeking federal habeas relief from his
state capital conviction and sentence--that he could
demonstrate cause to excuse a procedural default based
on ineffective assistance of counsel. See Coleman, 501
U.S. at 752, 111 S.Ct. at 2566. Coleman's attorney had
failed to timely file an appeal from the denial of a
state petition for collateral relief, resulting in the
dismissal of the appeal based on a state procedural rule.
See id. at 727-28, 111 S.Ct. at 2546-47.
This procedural rule
constituted an adequate and independent state ground for
denying relief on the claims raised in the state
petition and hence foreclosed federal review of those
claims absent cause and prejudice or a miscarriage of
justice. See id. at 740-44, 111 S.Ct. at 2559-61.
Coleman argued that cause existed to excuse his default
because his attorney had been constitutionally
ineffective in failing to note a timely appeal. See id.
at 752, 111 S.Ct. at 2566.
The Court, however,
rejected Coleman's claim. See id. at 752-57, 111 S.Ct.
at 2566-68. It explained that Carrier required that in
order to constitute cause, attorney error must amount to
constitutionally ineffective assistance of counsel and
that this standard could not be satisfied in the absence
of a constitutional right to counsel. See id. at 752,
111 S.Ct. at 2566 (citing Carrier, 477 U.S. at 487-88,
106 S.Ct. at 2644-45). And, relying on Finley, the Court
stated in unequivocal terms:
Applying the Carrier
rule as stated, this case is at an end. There is no
constitutional right to an attorney in state
postconviction proceedings. Pennsylvania v. Finley, 481
U.S. 551, 107 S.Ct. 1990, 95 L.Ed.2d 539 (1987); Murray
v. Giarratano, 492 U.S. 1, 109 S.Ct. 2765, 106 L.Ed.2d 1
(1989) (applying the rule to capital cases).
Consequently, a petitioner cannot claim constitutionally
ineffective assistance of counsel in such proceedings.
Coleman, 501 U.S. at
752, 111 S.Ct. at 2566. Thus, the Court held that cause
based on the attorney's failure to file a timely appeal
from the denial of state habeas relief had not been
demonstrated because "counsel's ineffectiveness will
constitute cause only if it is an independent
constitutional violation[, and] Finley and Giarratano
established that there is no right to counsel in state
collateral proceedings." Id. at 755, 111 S.Ct. at 2567.
The Court then turned
to consider expressly Coleman's argument. He maintained
that because the applicable Virginia law prohibited him
from raising claims of ineffective assistance of trial
or appellate counsel during his direct appeal, state
habeas proceedings were the first opportunity that he
had to present those issues and that, as a result, he
should possess a constitutional right to effective
assistance of counsel to pursue those claims on
collateral review under the reasoning of Douglas. See id.
Addressing this argument, the Court wrote:
For Coleman to prevail,
... there must be an exception to the rule of Finley and
Giarratano in those cases where state collateral review
is the first place a prisoner can present a challenge to
his conviction. We need not answer this question broadly,
however, for one state court has addressed Coleman's
claims: the state habeas trial court. The effectiveness
of Coleman's counsel before that court is not at issue
here. Coleman contends that it was the ineffectiveness
of his counsel during the appeal from that determination
that constitutes cause to excuse his default. We thus
need to decide only whether Coleman had a constitutional
right to counsel on appeal from the state habeas trial
court judgment. We conclude that he did not.
Id. The Court
explained that Douglas "established that an indigent
criminal defendant has a right to appointed counsel in
his first appeal as of right in state court" because the
" 'equality demanded by the Fourteenth Amendment' "
dictates that when " 'the merits of the one and only
appeal an indigent has as of right are decided without
benefit of counsel, ... an unconstitutional line has
been drawn between rich and poor.' " Id. at 755-56, 111
S.Ct. at 2567-68 (quoting Douglas, 372 U.S. at 357-58,
83 S.Ct. at 816-17) (emphasis omitted).
Thus, the Court
refused to accept Coleman's assertion that he was
entitled to effective assistance of counsel on his
appeal from the denial of his state habeas petition,
reasoning that he had "had his one and only appeal, if
that is what a state collateral proceeding may be
considered" when the state habeas court considered his
claims of ineffective assistance of counsel. Id. at 756,
111 S.Ct. at 2568(internal quotation marks omitted).
Here, Mackall squarely
presents the issue purportedly reserved in Coleman. He
argues that he possessed a constitutional right to the
effective assistance of counsel in his first state
habeas corpus proceeding in order to raise his claims of
ineffective assistance of trial and appellate counsel.
He correctly observes that under Virginia law claims of
ineffective assistance of neither trial nor appellate
counsel can be raised on direct appeal.12
See id. at 755, 111 S.Ct. at 2567.
Because he was unable
to present his allegations of constitutional error on
direct appeal, the first opportunity made available by
the Commonwealth for the presentation of his ineffective
assistance of counsel claims was his initial state
habeas proceeding; thus, Mackall contends, the first
state habeas proceeding is analogous to the one and only
appeal of right in which a right to counsel was held to
exist in Douglas. Hence, Mackall continues, he possessed
a constitutional right to counsel in the first state
habeas proceeding to raise claims of constitutionally
ineffective assistance of trial and appellate counsel
that he could not raise on direct appeal. We cannot
agree.
It is true that in
Coleman the Supreme Court rejected on narrow grounds the
argument that a petitioner possesses a right to
effective assistance of counsel in state postconviction
relief proceedings to pursue constitutional claims that
could not be raised during the direct appeal and is said
to have purported to leave unanswered the question
presented here. Nevertheless, we cannot accept Mackall's
contention that Coleman recognizes a loophole and that
he possesses a right to effective assistance of counsel
to pursue in his state collateral proceedings a claim of
ineffective assistance of trial or appellate counsel.
The Coleman Court did
not adopt an exception to Finley; it merely rejected
Coleman's argument that the Court should create such an
exception on the facts presented. And, critically, the
rule for which Mackall argues here is directly contrary
to the explicit holding of Finley that no constitutional
right to counsel exists in collateral review. Cf. id. at
755, 111 S.Ct. at 2567 ("Finley and Giarratano
established that there is no right to counsel in state
collateral proceedings.").
As an inferior
appellate court, we are not at liberty to disregard this
controlling authority. See Agostini v. Felton, --- U.S.
----, ----, 117 S.Ct. 1997, 2017, 138 L.Ed.2d 391 (1997)
(reaffirming that "if a precedent of this Court has
direct application in a case, yet appears to rest on
reasons rejected in some other line of decisions, the
Court of Appeals should follow the case which directly
controls, leaving to [the Supreme] Court the prerogative
of overruling its own decisions" (internal quotation
marks omitted)). Thus, we are bound by the holding in
Finley.13
Because Mackall has no
right to effective assistance of counsel in his state
habeas proceedings, he cannot demonstrate cause to
excuse the procedural default of his claims that his
trial and appellate counsel were constitutionally
ineffective. Consequently, federal habeas review of
those claims is barred.
III.
Mackall next contends
that the state trial court violated the Eighth and
Fourteenth Amendments by limiting testimony he sought to
introduce in mitigation during the sentencing phase of
his trial. During cross-examination of prosecution
witness Patricia Hollingsworth, Mackall's former
probation officer, Mackall sought to elicit testimony
that he had asked to be incarcerated for a prior offense
in Morgantown, West Virginia rather than Lorton
Reformatory in Virginia because he had many friends at
Lorton and "had been hanging around with the wrong group."
J.A. 1157.
Further, during
presentation of his case in mitigation, Mackall sought
to develop the basis for Dr. Carol Rayburn's opinion
that Mackall's mental functioning was impaired and to
elicit Mackall's self-reports to her that he had
experienced hallucinations. Additionally, Mackall
attempted to have Terry Hollar, a nurse from the local
jail, testify that he had admitted prior drug use to
her. The state trial court sustained prosecution
objections to these lines of testimony.
Mackall alleged error
based on each of these trial court rulings to the
Supreme Court of Virginia during his direct appeal,
asserting that the exclusions violated state law.
However, Mackall did not base his claims of error on a
constitutional right to admit mitigating testimony or
contend that the refusal of the trial court to admit
this testimony rendered his sentencing proceeding
fundamentally unfair.
Thus, Mackall failed
to exhaust the claims he now seeks to raise. See Duncan
v. Henry, 513 U.S. 364, 366, 115 S.Ct. 887, 888, 130
L.Ed.2d 865 (1995) (per curiam) (holding that argument
to state supreme court that an evidentiary ruling by
trial court violated state law was insufficient to
exhaust claim that the ruling constituted a violation of
a federal constitutional right, and rejecting the
argument that similarity of claims is adequate to
exhaust); Matthews v. Evatt, 105 F.3d 907, 911 (4th
Cir.) (explaining that in order for federal claim to be
exhausted, its substance must be presented to the
highest state court), cert. denied, --- U.S. ----, 118
S.Ct. 102, 139 L.Ed.2d 57 (1997); Mallory v. Smith, 27
F.3d 991, 994 (4th Cir.1994) (noting that exhaustion
requires that petitioner do more than apprise state
court of the facts; he must "explain how those alleged
events establish a violation of his constitutional
rights"); id. at 995 (explaining that exhaustion
requires "more than scatter[ing] some makeshift needles
in the haystack of the state court record" (internal
quotation marks omitted)).
Because presentation
of these claims to the state court at this juncture
would be fruitless, they properly are considered to be
procedurally barred. See George v. Angelone, 100 F.3d
353, 363 (4th Cir.1996) ("A claim that has not been
presented to the highest state court nevertheless may be
treated as exhausted if it is clear that the claim would
be procedurally defaulted under state law if the
petitioner attempted to raise it at this juncture."),
cert. denied, --- U.S. ----, 117 S.Ct. 854, 136 L.Ed.2d
829 (1997). And, because Mackall does not maintain that
this default may be excused by cause and prejudice or a
miscarriage of justice, we hold these allegations of
constitutional error to be procedurally defaulted.
IV.
Mackall's sole
undefaulted claim is that the state trial court violated
the Sixth and Fourteenth Amendments by refusing to
question prospective jurors concerning their views on
the death penalty. We disagree.
The Sixth and
Fourteenth Amendments "guarantee[ ] a defendant on trial
for his life the right to an impartial jury." Morgan v.
Illinois, 504 U.S. 719, 728, 112 S.Ct. 2222, 2229, 119
L.Ed.2d 492 (1992). And, " 'the proper standard for
determining when a prospective juror may be excluded for
cause because of his or her views on capital punishment
... is whether the juror's views would "prevent or
substantially impair the performance of his duties as a
juror in accordance with his instructions and his oath."
' " Id. (quoting Wainwright v. Witt, 469 U.S. 412, 424,
105 S.Ct. 844, 852, 83 L.Ed.2d 841 (1985)) (alteration
in original). "[A] juror who in no case would vote for
capital punishment, regardless of his or her
instructions, is not an impartial juror and must be
removed for cause." Id. Likewise, a juror "who will
automatically vote for the death penalty in every case
will fail in good faith to consider the evidence of
aggravating and mitigating circumstances as the
instructions require him to do;" such a juror is not
impartial and should be removed for cause. Id. at 729,
112 S.Ct. at 2229.
A corollary of the
right to an impartial jury is the requirement of a voir
dire sufficient to permit identification of unqualified
jurors because without an adequate voir dire, a trial
judge will not be able to remove unqualified jurors and
the defendant will not be able to exercise challenges
for cause. See id. at 729-30, 112 S.Ct. at 2229.
Thus, a capital
defendant must be allowed on voir dire to ascertain
whether prospective jurors are unalterably in favor of
the death penalty in every case, regardless of the
circumstances, rendering them unable to perform their
duties in accordance with the law. See id. at 735-36,
112 S.Ct. at 2233-34. Questions directed simply to
whether a juror can be fair, or follow the law, are
insufficient. See id. at 734-36, 112 S.Ct. at 2232-33.
Although the state
trial court declined Mackall's request to ask
prospective jurors their views on the death penalty, it
did ask prospective jurors the following questions
relating to the death penalty:
Do you have any
opinion such as to prevent any of you from convicting
anyone of an offense punishable with death?
....
If you were to find
the defendant guilty of capital murder, is there any
juror who could never vote to impose the death penalty
or would refuse to even consider its imposition in this
case?
....
... If you were to sit
as a juror in this case and the jury were to convict the
defendant of capital murder, would you also be able to
consider voting for a sentence less than death?
J.A. 500-01. These
questions focus on the relevant circumstance of whether
a prospective juror entertains opinions on capital
punishment that would prevent or substantially impair
the performance of his duties as a juror in accordance
with his instructions and his oath and are adequate to
identify those who would automatically vote for the
death penalty. Consequently, we conclude that the voir
dire conducted by the state trial court did not violate
Mackall's Sixth or Fourteenth Amendment rights.
V.
In sum, we conclude
that Mackall has not demonstrated cause to excuse his
procedural default of both his claim that he received
ineffective assistance of trial and appellate counsel
and his claim that the state trial court violated the
Eighth and Fourteenth Amendments by excluding certain
testimony during the sentencing phase of his trial. We
also hold that the state trial court did not violate the
Sixth or Fourteenth Amendments by refusing to inquire
into the prospective jurors' views of the death penalty.
Accordingly, we affirm.
AFFIRMED.
*****
BUTZNER, Senior
Circuit Judge, with whom Judge Murnaghan joins,
dissenting:
The Supreme Court of
Virginia, for good and sufficient reasons, will not
decide on direct appeal whether counsel was
constitutionally ineffective during trial and direct
appeal. This appeal raises the following question, which
was recognized and reserved in Coleman v. Thompson, 501
U.S. 722, 755, 111 S.Ct. 2546, 2567, 115 L.Ed.2d 640
(1991). Did Mackall have a right to the assistance of
competent counsel to pursue the issue of allegedly
incompetent counsel in his state habeas corpus
proceeding? Sound precedent suggests an affirmative
answer.
The Sixth Amendment
guarantees a person charged with a felony a right to
counsel at trial. Gideon v. Wainwright, 372 U.S. 335,
336-45, 83 S.Ct. 792, 792-97, 9 L.Ed.2d 799 (1963).
The right to counsel
extends to the first appeal (sometimes called a direct
appeal). Douglas v. California, 372 U.S. 353, 355-58, 83
S.Ct. 814, 815-17, 9 L.Ed.2d 811 (1963).
Counsel must be
competent. Strickland v. Washington, 466 U.S. 668,
684-87, 104 S.Ct. 2052, 2062-64, 80 L.Ed.2d 674 (1984).
Therefore, to give
effect to the foregoing precedent, Mackall had a right
to pursue his Sixth Amendment guarantee of competent
counsel during trial and appeal in his state habeas
corpus proceeding with the assistance of competent
counsel. Although a prisoner is not constitutionally
entitled to counsel in a collateral proceeding, the
exception to this general rule, which Mackall seeks, is
in reality a direct attack on the competency of his
trial and appellate counsel in the only forum available
to him--a habeas corpus proceeding. For this limited
purpose Mackall is entitled to the assistance of
competent counsel.
Because Mackall
challenges the competency of his trial and appellate
counsel and of his first habeas counsel, I would vacate
the judgment denying the writ and remand the case to the
district court. The district court should conduct an
evidentiary hearing to determine the competency of
Mackall's first habeas counsel. If this counsel was
competent, the district court should reinstate the
judgment denying the writ. If the first habeas counsel
was incompetent, the district court should determine
whether Mackall's trial and appellate counsel were
incompetent. If his trial and appellate counsel were
competent, the district court should reinstate the
judgment denying the writ. If his counsel were
incompetent, the district court should grant the writ
with an appropriate proviso for a new trial. In all
other respects, I would affirm the judgment of the
district court.
Mackall named the Commonwealth of
Virginia; Edward W. Murray, then Director of the
Virginia Department of Corrections; and Charles E.
Thompson, then Warden of the Mecklenburg
Correctional Facility where Mackall is incarcerated,
as Respondents in his petition. Subsequently, Ronald
J. Angelone became the Director of the Virginia
Department of Corrections and Samuel V. Pruett
became Warden at Mecklenburg Correctional Facility.
For ease of reference, we refer to Respondents
collectively as "the Commonwealth" throughout this
opinion
Because Mackall's petition for a
writ of habeas corpus was filed on January 2, 1992,
prior to the April 24, 1996 enactment of the
Antiterrorism and Effective Death Penalty Act (AEDPA)
of 1996, Pub.L. No. 104-132, 110 Stat. 1214,
amendments to 28 U.S.C.A. § 2254 effected by the
AEDPA do not govern our resolution of this appeal.
See Lindh v. Murphy, --- U.S. ----, ----, 117 S.Ct.
2059, 2067, 138 L.Ed.2d 481 (1997). We have not yet
decided whether the provisions contained in § 107 of
the AEDPA apply to petitioners who filed state
habeas proceedings after July 1, 1992. See Bennett
v. Angelone, 92 F.3d 1336, 1342 (4th Cir.) (holding
that prior to July 1, 1992 Virginia had not
satisfied the statutory opt-in requirements and that
the provisions of § 107 do not apply to indigent
Virginia prisoners seeking federal habeas relief
from capital sentences when the Virginia courts
finally decided their state habeas petition prior to
that date; noting that it was undecided whether the
procedures established by the Commonwealth for the
appointment, compensation, and payment of reasonable
litigation expenses and competent counsel satisfied
the statutory opt-in requirements after that date),
cert. denied, --- U.S. ----, 117 S.Ct. 503, 136 L.Ed.2d
395 (1996). Mackall's first state habeas proceeding
was finally decided by the Virginia courts October
18, 1989; but, his second habeas petition was filed
on August 20, 1993 and finally denied on April 12,
1994. We need not consider the applicability of the
provisions of § 107 of the AEDPA in light of the
procedural morass presented by the facts at hand
because we conclude that habeas relief is
inappropriate under the more lenient standards in
effect prior to the AEDPA amendments. See O'Dell v.
Netherland, 95 F.3d 1214, 1255 n. 36 (4th Cir.1996)
(en banc), aff'd, --- U.S. ----, 117 S.Ct. 1969, 138
L.Ed.2d 351 (1997)
There has been no argument
concerning whether Mackall should be granted a
certificate of probable cause to appeal, as he
requested, or a certificate of appealability. We
need not address that question here, however,
because the certificate would be granted based on
the conclusion that Mackall made a substantial
showing of the denial of a constitutional right
irrespective of which type of certificate
technically should be issued under these
circumstances. Compare Lozada v. Deeds, 498 U.S.
430, 431-32, 111 S.Ct. 860, 861-62, 112 L.Ed.2d 956
(1991) (per curiam) (explaining that to warrant the
grant of a certificate of probable cause to appeal,
a habeas petitioner must "make a substantial showing
of the denial of [a] federal right" and that to
satisfy this showing, the petitioner "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" (alterations in original) (internal
quotation marks omitted)), with Murphy v. Netherland,
116 F.3d 97, 101 (4th Cir.) (denying certificate of
appealability under 28 U.S.C.A. § 2253 (West Supp.1997)
in habeas corpus action seeking relief from death
sentence when petitioner failed to make a
substantial showing of the denial of a
constitutional right), cert. denied, --- U.S. ----,
118 S.Ct. 26, 138 L.Ed.2d 1050 (1997)
A panel of this court earlier
held that the decision of the district court should
be affirmed in part, reversed in part, and remanded
for further proceedings. See Mackall v. Murray, 109
F.3d 957, 964 (4th Cir.1997). A majority of the
judges in active service subsequently voted to
consider this appeal en banc, and accordingly, the
panel decision was vacated
Mackall maintains that his trial
counsel erred in failing to challenge witness
identifications of him as the murderer, to
cross-examine an identifying witness and a jailhouse
informant, to point out that an identifying witness
had given a statement that the perpetrator wore a
mask, and to object to irrelevant testimony, the
prosecutor's closing argument, and cross-examination
of an expert outside the scope of direct examination
Mackall does not assert, and has
not demonstrated, that a constitutional error
probably resulted in the conviction of one who is
actually factually innocent. See Schlup v. Delo, 513
U.S. 298, 323-27, 115 S.Ct. 851, 865-67, 130 L.Ed.2d
808 (1995). Further, Mackall has not presented "clear
and convincing evidence that but for a
constitutional error, no reasonable juror would have
found the petitioner eligible for the death
penalty," and thus he has not demonstrated that he
is "actually innocent of the death penalty." Id. at
323, 115 S.Ct. at 865 (emphasis & internal quotation
marks omitted). Consequently, Mackall has not
established a fundamental miscarriage of justice to
excuse his default of these claims
A defendant is deprived of the
assistance of counsel guaranteed by the Constitution
when counsel's performance falls "below an objective
standard of reasonableness" and "there is a
reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding
would have been different." Strickland, 466 U.S. at
688, 694, 104 S.Ct. at 2064, 2068
Generally, "a claim of
ineffective assistance [must] be presented to the
state courts as an independent claim before it may
be used to establish cause for a procedural default."
Murray, 477 U.S. at 489, 106 S.Ct. at 2646; see
Pruett v. Thompson, 996 F.2d 1560, 1570 (4th
Cir.1993). This is so because allowing a petitioner
to raise a claim of ineffective assistance of
counsel for the first time on federal habeas review
in order to show cause for a procedural default
would place the federal habeas court "in the
anomalous position of adjudicating an unexhausted
constitutional claim for which state court review
might still be available" in contravention of "[t]he
principle of comity that underlies the exhaustion
doctrine." Murray, 477 U.S. at 489, 106 S.Ct. at
2646. Mackall has satisfied this requirement by
presenting his claims of ineffective assistance of
habeas counsel to the state court
Anders requires that appointed
counsel who seeks to withdraw because no
nonfrivolous issues exist for review must submit a
brief referencing anything in the record that
arguably could support an appeal; a copy of that
brief must be furnished to the defendant; and after
providing the defendant with an opportunity to
respond, the reviewing court must conduct an
independent and complete examination of the
proceedings to determine if further review is
merited. See Anders, 386 U.S. at 744, 87 S.Ct. at
1400
Justice Kennedy concurred in the
judgment, reasoning that the constitutional
requirement of meaningful access to the courts was
not violated by the Virginia scheme. See Giarratano,
492 U.S. at 14-15, 109 S.Ct. at 2772-73 (Kennedy,
J., concurring in the judgment)
A statutory exception to this
general rule was in effect during the time of
Mackall's direct appeal. See Va.Code Ann. §
19.2-317.1 (repealed 1990). Pursuant to that
provision, a claim of ineffective assistance of
trial counsel could be presented on direct appeal "if
all matters relating to such issue [were] fully
contained within the record of the trial." Id. It is
undisputed that Mackall's allegations of ineffective
assistance are not among the extremely limited type
that could satisfy this standard. See generally, e.g.,
Dowell v. Commonwealth, 3 Va.App. 555, 351 S.E.2d
915, 919 (1987) (considering on direct appeal claim
of ineffective assistance of counsel due to conflict
of interest arising from counsel's representation of
multiple codefendants)
We note that each of the courts
of appeals that has been asked to adopt the
exception alluded to in Coleman has similarly
rejected that invitation. See Hill v. Jones, 81 F.3d
1015, 1024-26 (11th Cir.1996), cert. denied, ---
U.S. ----, 117 S.Ct. 967, 136 L.Ed.2d 851 (1997);
Bonin v. Calderon, 77 F.3d 1155, 1159-60 (9th Cir.),
cert. denied, 516 U.S. 1143, 116 S.Ct. 980, 133 L.Ed.2d
899 (1996); Nolan v. Armontrout, 973 F.2d 615,
616-17 (8th Cir.1992)