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Roy Bruce SMITH
Same day
Victim: Sgt. John Conner, Manassas Police Dept.
Smith murdered the Manassas police officer
with shots from an assault rifle and handgun during standoff at his
home on July 24, 1988.
Los
Angeles Times
July 18, 1997
Roy
Bruce Smith, 50, a former computer technician, was executed by
injection Thursday night at Greensville Correctional Center for the
slaying of a Virginia police officer nine years ago, a prison spokesman said.
He was convicted of the July 24, 1988, shooting
death of Manassas City Police Sgt. John Conner, who had arrived at
Smith’s home after Smith threatened to shoot people and fired into the air.
Affirmed by published opinion.
Judge MOTZ wrote the opinion, in which Judge
NIEMEYER and Judge LUTTIG joined.
DIANA GRIBBON MOTZ, Circuit
Judge:
A Virginia
jury convicted Smith
of the willful, deliberate, and premeditated
killing of Sgt. Conner on July 24, 1988.
Concluding that Smith's
crime was vile and that
Smith presented a future danger, the
jury recommended a sentence of death. The
trial court entered that sentence on May 26,
1989.
The
Virginia Supreme Court affirmed the
conviction and sentence,
Smith v. Commonwealth, 239 Va. 243,
389 S.E.2d 871 (1990), and the United States
Supreme Court denied Smith's
petition for a writ of certiorari.
Smith v. Virginia,
498 U.S. 881, 111 S.Ct. 221, 112 L.Ed.2d 177
(1990).
Smith filed a
petition for habeas corpus with the state
court, which dismissed it on August 19,
1991. After Smith
unsuccessfully appealed to the Virginia
Supreme Court, the Supreme Court again
denied certiorari. Smith
v. Virginia, 506 U.S. 848, 113 S.Ct. 142,
121 L.Ed.2d 95 (1992).
On October
22, 1993, Smith
petitioned for a writ of habeas in federal
court pursuant to 28 U.S.C. § 2254. The
district court denied the writ on June 10,
1996 and Smith now
appeals to this court.
The
underlying facts are simple and tragic.
On July
24, 1988, after engaging in an ongoing
dispute with his wife,
Smith drank prodigious amounts of
beer and then returned to his Manassas,
Virginia home. He strapped on two loaded
pistols (a .357 magnum and a .44 magnum) and
took a loaded assault rifle with him out to
his front stoop. Smith
shot into the air with his rifle. When
neighbors complained,
Smith said "[W]ait 'til I start
shooting people." Smith's
neighbors recalled that he also said "I hope
somebody calls the police because I will
shoot the first one that arrives and I hope
they shoot me in return."
The
Supreme Court of Virginia well described the
events that followed:
The
dispatcher relayed the order to Sgt. John
Conner, a uniformed officer, who indicated
that "he was en route." At this point,
Smith "was still on
[his] front steps," but when "some person
... started across the street,"
Smith "immediately
got up" and went inside.
In a few
moments, Sgt. Conner reported on his
portable radio: "I've got him in sight he's
coming out the back door." Other officers
proceeded toward the rear of the house, and
one of them, James K. Ryan, heard Sgt.
Conner say: "Drop the rifle, drop the rifle
now." Ryan then heard "gunfire going off,"
consisting of "eight to 12 ... real sharp
... cracks," followed by "a short pop and
after that ... there was a succession of
real sharp cracks again."
Ryan heard a man "groaning
or ... moaning" and, when he ran around the
end of a fence separating
Smith's back yard from his neighbor's,
he saw Sgt. Conner lying on the ground in a
"bare spot in the alleyway." Ryan observed
"a lot of blood around [Conner's] head and
two wounds in his back."
Ryan left Conner in the
care of another officer and went to help
subdue Smith, who
was struggling with several officers some
twenty to twenty-five feet from Conner's
location.
As Bamford "took a step,"
Smith saw him and
tried to "put a magazine in the bottom of
the weapon." Bamford attempted to "get back
out of the way," but slipped and fell. When
he regained his feet,
Smith started to get up, and Bamford
pointed his shotgun at him and yelled, "[d]rop
it" several times. Smith
said, "I give up, I give up" and dropped his
rifle, which was still equipped with a
bayonet.
Bamford told
Smith to get down
on his knees. Smith
complied, but when Bamford ordered him to "put
his hands on the ground and walk out, to lay
flat," Smith
refused. A struggle ensued involving several
officers, who were unable to "get the rifle
from under [Smith]."
When one of the officers said, "he's got
another gun," Bamford kicked
Smith in the face,
but he continued to struggle. The struggle
ended only after Smith
had been placed in leg restraints and
handcuffed behind his back.
During the struggle,
Smith told the
officers to "[g]o ahead and kill [him]."
After he was subdued,
Smith said that Conner was the "first
priority, take care of him, take care of him.
He's one of us, he's one of ours." Mortally
wounded, Sgt. Conner died several hours
later.
In the gun battle with
Smith, Conner
suffered wounds to his right leg, right
forearm, back, and head. The wound to the
head, which caused "a peach size section of
skull [to be] missing," proved fatal.
Gunpowder debris was found in the head wound,
indicating the wound was caused by a gunshot
fired within three feet if inflicted by a
handgun or six feet if inflicted by a rifle.
Preliminarily, we must decide whether the
newly enacted in forma pauperis filing fee
provisions of the Prison Litigation Reform
Act ("PLRA") apply to habeas proceedings.
See Pub.L. No. 104-134, 110 Stat. 1321
(1996) (amending 28 U.S.C. § 1915).1
To date, five circuits have considered
whether the PLRA's fee provisions apply to
habeas petitioners. Our sister circuits have
unanimously held the PLRA filing fee
provisions inapplicable in habeas
proceedings. See Naddi v. Hill, 106 F.3d
275, 277 (9th Cir.1997); United States v.
Cole, 101 F.3d 1076, 1077 (5th Cir.1996);
Santana v. United States, 98 F.3d 752,
753-56 (3rd Cir.1996); Martin v. United
States, 96 F.3d 853, 855-56 (7th Cir.1996);
Reyes v. Keane, 90 F.3d 676, 678 (2d
Cir.1996).
The
rationale of these cases is compelling.
First, the PLRA contains no provision
expressly including habeas petitioners
within its reach. The in forma pauperis fee
provisions of the PLRA apply when "a
prisoner seek[s] to bring a civil action or
appeal a judgment in a civil action." 28
U.S.C.A. § 1915(a)(2) (West, WESTLAW through
Oct. 19, 1996).
The PLRA
does not define "civil action," and does not
explicitly include or exclude habeas
litigants from its reach. Although a habeas
proceeding is considered a civil action for
some purposes, Smith
v. Bennett, 365 U.S. 708, 712, 81 S.Ct. 895,
897-98, 6 L.Ed.2d 39 (1961), it is "more
accurately regarded as being sui generis."
Martin, 96 F.3d at 855. (Posner, C.J.).
[H]abeas
corpus cases are, in effect, hybrid actions
whose nature is not adequately captured by
the phrase "civil action"; they are
independent civil dispositions of completed
criminal proceedings. James S. Liebman, 1
FEDERAL HABEAS CORPUS PRACTICE & PROCEDURE §
2.1, at 3 (1988). The "civil" label is
attached to habeas proceedings in order to
distinguish them from "criminal" proceedings,
which are intended to punish and require
various constitutional guarantees. Boudin v.
Thomas, 732 F.2d 1107, 1112 (2d Cir.1984);
see also Ex parte Tom Tong, 108 U.S. at 559,
2 S.Ct. at 872, [27 L.Ed. 826 (1883)]
(Habeas corpus review is a civil proceeding
because "[p]roceedings to enforce civil
rights are civil proceedings and proceedings
for the punishment of crimes are criminal
proceedings."). In light of their hybrid
nature, habeas proceedings are often
determined to be outside the reach of the
phrase "civil action." See, e.g., Schlanger
v. Seamans, 401 U.S. 487, 490 n. 4, 91 S.Ct.
995, 998 n. 4, 28 L.Ed.2d 251 (1971) (nationwide
service of process under 28 U.S.C. § 1391(e)
applicable in civil proceedings against
United States employees and officers is not
available in habeas corpus proceedings);
Harris v. Nelson, 394 U.S. 286, 89 S.Ct.
1082, 22 L.Ed.2d 281 (1969) (civil discovery
rules do not automatically apply to habeas
proceedings); Ewing v. Rodgers, 826 F.2d 967
(10th Cir.1987) (a habeas corpus suit is not
a "civil action" for purposes of an award of
attorneys fees under the Equal Access to
Justice Act, 28 U.S.C. § 2412(d)(1)(A));
Boudin, 732 F.2d 1107 (similar); Dillard v.
Blackburn, 780 F.2d 509 (5th Cir.1986) ("[H]abeas
cases are not automatically subject to the
rules governing civil actions."); see also
Advisory Committee Note to Rule 11 of the
Rules Governing § 2254 Cases (Federal Rules
of Civil Procedure apply to habeas corpus
proceedings only to the extent they are not
inconsistent with the habeas rules).
Second,
the text and context of the PLRA reflect a
Congressional focus on prisoner civil rights
litigation, as opposed to habeas proceedings.
The Antiterrorism and Effective Death
Penalty Act of 1996 ("AEDPA"), Pub.L. No.
104-132, 110 Stat. 1214 (1996), enacted just
two days before passage of the PLRA,
extensively reformed habeas proceedings.
This
chronology strongly suggests that Congress
intended to make its changes to habeas
proceedings via the AEDPA, and to alter
procedure in prisoner civil rights
litigation in the PLRA. See Naddi, 106 F.3d
at 277 ("A review of the language and intent
of the PLRA reveals that Congress was
focused on prisoner civil rights and
conditions cases ... especially in light of
the major revisions to habeas corpus laws
contained in the AEDPA...."); Cole, 101 F.3d
at 1077 ("Congress gave specific attention
to perceived abuses in the filing of habeas
corpus petitions by enacting Title I of the
AEDPA. That title imposes several new
restrictions on habeas corpus petitions, but
makes no change in filing fees or in a
prisoner's obligation for payment of
existing fees."); Santana, 98 F.3d at 755 (Citing
statements from the text and concluding that
"[i]f Congress had wanted to reform the in
forma pauperis status of habeas petitioners,
it might have done so in the AEDPA.");
Martin, 96 F.3d at 856 (same); Reyes, 90
F.3d at 678 (same).
Third, it
seems unlikely that Congress meant the
PLRA's complex payment structure to apply to
the nominal filing fee for habeas petitions.
In Title I of the AEDPA "Congress gave
specific attention to perceived abuse in the
filing of habeas petitions" but made "no
change in filing fees." Reyes, 90 F.3d at
678. The habeas filing fee remained $5,
compared to the $120 filing fee applicable
to civil complaints. See 28 U.S.C. § 1914(a)
(1994).
Finally,
applying the PLRA to habeas actions would
have an inequitable result certainly
unintended by Congress: a prisoner who had
filed three groundless civil suits might be
barred any access to habeas relief. The PLRA
prevents prisoners from filing civil actions
or appeals when three prior actions have
been dismissed as frivolous, unless the
prisoner proves that he is in imminent
danger of serious bodily harm. See 28
U.S.C.A. § 1915(g) (West, WESTLAW through
Oct. 19, 1996).
Thus, as
Judge Posner has pointed out, applying the
PLRA to habeas actions would "block [habeas]
access to any prisoner who had filed three
groundless civil suits and was unable to pay
the full appellate filing fee.... This
result would be contrary to the long
tradition of ready access of prisoners to
federal habeas corpus, as distinct from
their access to tort remedies (a distinction
emphasized in Heck v. Humphrey, 512 U.S.
477, 114 S.Ct. 2364, 129 L.Ed.2d 383
(1994))." Martin, 96 F.3d at 855-56.
For these
and the other reasons discussed by our
sister circuits, we join them and hold that
the in forma pauperis filing fee provisions
of the PLRA do not apply in habeas corpus
actions.
Turning to
the merits of Smith's
habeas petition, Smith
claims ineffective assistance of counsel
because his trial counsel did not seek the
appointment of various non-psychiatric
experts for testimonial and trial
preparation purposes.2
"Whether counsel's performance was
constitutionally adequate is a mixed
question of law and fact which we review de
novo." Savino v. Murray, 82 F.3d 593, 598
(4th Cir.), cert. denied, --- U.S. ----, 117
S.Ct. 1, 135 L.Ed.2d 1098 (1996).
Dr. Field
stated that blood found on the barrel of
Smith's .357 magnum
was consistent with "blow back" from a gun
shot four to six inches away from Sgt.
Conner. Julien Mason, a firearms
identification expert, explained that there
were bullet abrasions on
Smith's fence that were consistent
with the bullets of a .357 magnum.
Donald
McClanrock, a forensic scientist, testified
that Smith had more
barium gas on his left hand than on his
right hand, and that this finding was
consistent with Smith
having shot a revolver with his left hand.
Smith's trial
counsel attacked the prosecution's theory
through cross-examination. Dr. Field
admitted on cross-examination that the blood
on the muzzle of the .357 was not
necessarily the result of a "blow back," and
that the bullet that caused Sgt. Conner's
back wound might have ricocheted.
Firearms
expert Julien Mason recognized that the
bullet that caused the back wound likely
ricocheted off of Sgt. Conner's belt, and
that the same bullet may have caused the
head wound. Mason acknowledged that he found
no gunpowder residue in his examination of
tissue from Sgt. Conner's head wound. Mason
also admitted that he could not determine
when the spent .357 casings had been fired.
On cross-examination
McClanrock conceded that the gases on
Smith's hand could
have come from the rifle. There was also
trial testimony that the amount of time
between Smith's
apprehension and the sound of shots was too
short for Smith to
traverse the distance of his driveway, shoot
Sgt. Conner, and return to the side door of
his house.
Stewart
James, a blood stain expert, opined that the
blood on the .357 magnum could not have been
"blow back" and that if it was blow back,
there should have been blood on
Smith's clothes.
Forensic
pathologist Dr. Vincent DiMaio stated that
Sgt. Conner's head wound was caused by the
rifle, and from at least two or more feet
away. Lucien Haag, a firearms expert,
concluded that there was evidence that
Smith had not fired
the .357 the night of July 24, 1988.3
Our
inquiry into whether trial counsel's failure
to request expert assistance was
constitutionally deficient is controlled by
Strickland v. Washington, 466 U.S. 668, 687,
104 S.Ct. 2052, 2064, 80 L.Ed.2d 674 (1984):
A
convicted defendant's claim that counsel's
assistance was so defective as to require
reversal of a conviction or death sentence
has two components.
First, the
defendant must show that counsel's
performance was deficient. This requires
showing that counsel made errors so serious
that counsel was not functioning as the "counsel"
guaranteed the defendant by the Sixth
Amendment.
Second,
the defendant must show that the deficient
performance prejudiced the defense. This
requires showing that counsel's errors were
so serious as to deprive the defendant of a
fair trial, a trial whose result is reliable.
Unless a defendant makes both showings, it
cannot be said that the conviction or death
sentence resulted from a breakdown in the
adversary process that renders the result
unreliable.
Strickland,
466 U.S. at 687, 104 S.Ct. at 2064. The
district court held that
Smith had failed under "Strickland 's
performance prong," because
Smith's trial
counsel reasonably chose to rely upon cross-examination
of the State's own witnesses to establish
his case.
We agree.
The parties spend a significant amount of
time arguing about whether
Smith would have met the standard for
court appointment of expert assistance if he
had sought appointment of such experts at
trial. Regardless of whether the trial court
would have appointed such experts, it was
reasonable for Smith's
trial attorneys to rely, as they said, on "the
Commonwealth's own, quote, experts verifying
Mr. Smith's version
of what happened."
In short,
Smith has not
demonstrated that his trial counsel's
performance was constitutionally deficient.
Smith next argues
that the district court erred in finding a
number of his claims procedurally barred.
Smith maintains
that there was "cause" for the procedural
default: his state habeas attorney's refusal
to present his federal claims, despite
Smith's orders. It
does appear that Smith's
state habeas counsel ignored
Smith's requests to
file federal constitutional claims along
with his state constitutional claims.
The
Supreme Court has held that "[t]here is no
constitutional right to an attorney in state
post-conviction proceedings. Consequently, a
petitioner cannot claim constitutionally
ineffective assistance of counsel in such
proceedings." Coleman v. Thompson, 501 U.S.
722, 752, 111 S.Ct. 2546, 2566, 115 L.Ed.2d
640 (1991) (citations omitted). An
attorney's errors on state habeas can "only
constitute 'cause' if [the defendant] was
denied his right to effective assistance of
counsel. As explained [in Coleman, the
defendant] had no such right in his state
habeas appeal." Wise v. Williams, 982 F.2d
142, 145 (4th Cir.1992). Therefore, under
Wise and Coleman, Smith
had no right to counsel (effective or
otherwise) on state habeas, and cannot claim
ineffective assistance of state habeas
counsel, or claim that counsel's errors were
cause for procedural default.4
We review
a denial of a motion to amend for abuse of
discretion. See Chisolm v. TranSouth Fin.
Corp., 95 F.3d 331, 338 (4th Cir.1996). A
party may amend his pleading only by leave
of the court, but "leave shall be freely
given when justice so requires." Fed.R.Civ.P.
15(a); Foman v. Davis, 371 U.S. 178, 182, 83
S.Ct. 227, 230, 9 L.Ed.2d 222 (1962).
Although "[d]elay alone" should not suffice
as reason for denial of a motion to amend,
Davis v. Piper Aircraft Corp., 615 F.2d 606,
613 (4th Cir.1980), "this court has reasoned
that a motion to amend may be denied when it
has been unduly delayed and when allowing
the motion would prejudice the nonmovant."
Lone Star Steakhouse & Saloon, Inc. v. Alpha
of Va., Inc., 43 F.3d 922, 941 (4th
Cir.1995).
We cannot
conclude that the district court erred in
finding that Smith's
motion to amend was unduly delayed and
prejudicial. Smith
had months to discover the tapes at issue.
In the fall of 1994 the State provided
Smith with a list
of items available for inspection, including
an "interview tape," with interviews of
officers "Bamford, Goodman, Bagshaw."
Moreover,
before the July motion to amend,
Smith's case had
already been delayed on multiple occasions.
Following these delays, the court made clear
that the case had dragged on for two years,
and the court expected things to move apace:
"The court is anxious to dispose of this
case in as speedy a manner as justice will
allow. Accordingly, counsel are ADVISED that
the court will look upon further delays with
extreme displeasure."
"Amendments
near the time of trial may be particularly
disruptive, and may therefore be subject to
special scrutiny." Deasy v. Hill, 833 F.2d
38, 41 (4th Cir.1987). In this case
Smith moved to
amend literally on the eve of trial: a two-day
evidentiary hearing on
Smith's ineffective assistance of
counsel claims was set for July 12, 1995 and
Smith filed his
motion to amend the habeas petition on July
5, 1995. As in Deasy, in this case "the
delay was significant, and the motion to
amend came right before trial and after
discovery was complete." Id.
Granting
Smith's motion to
amend would have required the State to argue
a whole new set of claims, based on
completely new theories. The district court
certainly would have had to schedule another
hearing, and perhaps order more discovery.
As the district court noted, the amendment
would have required the State's "lawyers [to]
spend additional time, money, and energy
laboring in this Court's trenches."
In sum,
Smith's motion to
amend would have required the State to begin
anew on a new set of claims a week before
trial and would have delayed the resolution
of Smith's case
indefinitely. This showing suffices to
demonstrate prejudice. See Lone Star, 43
F.3d at 940; Pearson, 863 F.2d at 328; Deasy,
833 F.2d at 41-42.
Given the
multiple past delays, the late hour of
Smith's motion to
amend, and the great additional burdens
granting the motion would have placed on the
State, the district court did not abuse its
discretion in denying the motion.
For the
foregoing reasons the judgment of the
district court is hereby
AFFIRMED.
We note that the State
failed to address this issue at oral
argument, and has not updated its short
memorandum on this issue to respond to the
five circuit courts (cited above) that have
held that the PLRA fee provisions do not
apply to habeas proceedings. Accordingly, it
is unclear whether the State still opposes
Smith's motion
asserting that the PLRA in forma pauperis
provisions do not apply to habeas
proceedings. See Naddi v. Hill, 106 F.3d
275, 277 (9th Cir.1997) (State of California
acknowledges that "PLRA's revised forma
pauperis provisions relating to prisoners do
not apply to habeas proceedings."). However,
since the State has not withdrawn its
opposition, we assume for purposes here that
it does still oppose the motion
The State argues on
appeal that the new evidentiary standard for
habeas corpus actions included in Title I of
the AEDPA should be applied in this case.
Smith responds that
application of the AEDPA to his case would
have an impermissible retroactive effect. We
need not decide whether the AEDPA's new
evidentiary standard applies because, even
under the more expansive prior scope of
review, Smith is
not entitled to relief. See Cooper v.
Taylor, 103 F.3d 366, 369 n. 1 (4th
Cir.1996) (en banc)
At the habeas hearing,
Smith also
presented expert testimony intended to prove
that he did not fire first at Sgt. Conner.
At trial Leslie Freed,
Smith's emergency room nurse,
testified that the trajectory of the
entrance and exit of Smith's
foot wound was consistent with
Smith facing
towards Sgt. Conner (and therefore possibly
firing first). Lucien Haag testified before
the habeas court that the bullet came from
the other side, which was more consistent
with Smith facing a
different direction (and possibly not firing
first). This evidence is of little
consequence, however, because the direction
Smith was facing
was not pivotal to the prosecution's case.
It was raised on cross examination by
Smith's lawyers,
and was not an issue raised or focused on by
the State. Furthermore, in light of the
other evidence presented at trial that
Smith shot first,
it is unlikely this evidence would have made
a difference
Smith
also attempts to recast his ineffective
assistance claim as a due process claim. See
Hicks v. Oklahoma, 447 U.S. 343, 346, 100
S.Ct. 2227, 2229-30, 65 L.Ed.2d 175, (1980).
See also Buchanan v. Angelone, 103 F.3d 344,
348 (4th Cir.1996) ("It is true, at least in
the context of discretionary sentencing by a
jury, that denial of a state procedural
right may rise to the level of a federal due
process violation.") We have never held that
a prisoner may claim a due process violation
based upon his lawyer's performance on state
habeas and we decline to do so today because
the failure of Smith's
state habeas counsel to pursue
Smith's federal
constitutional claims did not violate any
due process right. Smith
has not been denied review of those claims;
rather, those claims have been fully
reviewed on direct appeal. Indeed, even if
those claims had been pursued on state
habeas, they would almost certainly have
been barred because they had already been
raised and rejected on direct appeal, and
Virginia bars repetitive review of identical
issues on habeas. See Slayton v. Parrigan,
215 Va. 27, 205 S.E.2d 680 (1974); Hawks v.
Cox, 211 Va. 91, 175 S.E.2d 271 (1970)
Failure to disclose the
tapes hardly constituted prosecutorial
misconduct. Smith
asserts that the taped interviews of
Officers Goodman and Ryan prove: (1)Smith
could not have recognized Sgt. Conner as a
police officer because the visibility was
poor the night of the shooting and (2)Smith
did not walk down the alley and shoot Sgt.
Conner at close range. On the tapes the
officers do state that visibility was poor,
but Smith had
already presented similar evidence at trial
and the State had countered it with a good
deal of testimony that visibility was
entirely adequate. In any event and most
significantly, the tapes make it clear that
neither Officer Goodman nor Officer Ryan was
positioned to report what
Smith could see or whether
Smith had shot Sgt.
Conner at close range. Thus, the tapes offer
no rebuttal to the mountain of physical
evidence presented to the jury,
Smith's statement
that he would shoot the first police officer
who arrived, and the fact that Sgt. Conner,
the first officer on the scene, twice asked
Smith to "drop the
rifle" immediately prior to being shot by
Smith. For these
reasons, the tapes were minimally helpful to
Smith and would
almost surely fail the "materiality" test of
Brady v. Maryland, 373 U.S. 83, 83 S.Ct.
1194, 10 L.Ed.2d 215 (1963)