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State v. Smith, 97 Ohio St.3d 367, 780 N.E.2d 221 (Ohio
2002). (Direct Appeal) Smith v. Bradshaw, 591 F.3d 517 (6th Cir. 2010). (Habeas)
Final/Special Meal:
Pizza, fried fish, chocolate ice cream and soda.
Final Words:
None.
Ohio Department of
Rehabilitation and Correction
Name: Steven T. Smith
DOC#: CCI A369-054
Date of Birth: 2/9/1967
Gender: Male
Race: White
County of Conviction: Richland County
Institution: Chillicothe Correctional Institution
Executed: 05/01/13
On May 1, 2013, Steven Smith was executed for
the 1998 aggravated murder of Autumn Carter.
Ohio Department of
Rehabilitation and Correction
(Clemency Report)
IN RE: STEVEN T. SMITH, CCI #A369-054
STATE OF OHIO ADULT PAROLE AUTHORITY
Date of Meeting: APRIL 2, 2013
CRIME, CONVICTION: Aggravated Murder
DATE, PLACE OF CRIME: SEPTEMBER 29, 1998 in Mansfield, Ohio,
COUNTY: Richland
CASE NUMBER: 98CR601
VICTIM: Autumn B. Carter
INDICTMENT: Aggravated Murder (2 cts)
VERDICT: Found guilty.
DATE OF SENTENCE: March 25, 1999
SENTENCE: DEATH.
ADMITTED TO INSTITUTION: March 26, 1999
JAIL TIME CREDIT: 1 day
TIME SERVED: 169 months
AGE AT ADMISSION: 32 years old
CURRENT AGE: 46 years old
DATE OF BIRTH: February 9, 1967
JUDGES: Honorable James DeWeese
PROSECUTING ATTORNEY: James Mayer
Ohio executes man convicted of killing
6-month-old girl
Reuters.com
May 1, 2013
(Reuters) - The state of Ohio on Wednesday
executed a man who was convicted of killing a 6-month-old girl
during a drunken sexual assault in 1998. Steven T. Smith, 46, was
put to death at 10:29 a.m. ET (1439 GMT) by lethal injection at a
state prison in Lucasville, Ohio, according to the state
corrections department. Smith answered "no," when asked by the
prison warden if he had any final words before his death,
according to JoEllen Smith, spokeswoman for the Ohio Department of
Rehabilitation and Correction.
The family of the victim witnessed the
execution, Smith said. The death row inmate spent the evening
before his execution listening to a Cincinnati Reds game on the
radio and requested pepperoni pizza, ham and sausage, fried fish
and fries, chocolate ice cream and Mountain Dew, Smith said. She
also said Smith spent time with his 21-year-old daughter and his
niece on Tuesday night and Wednesday morning.
Smith was convicted of killing Autumn Carter,
the daughter of his live-in girlfriend, Kesha Frye, in what
prosecutors said was a drunken sexual assault that lasted up to 30
minutes in their home in Mansfield, Ohio. During a recent clemency
hearing, Richland County Prosecutor James Mayer called Smith the
"worst of the worst" saying Smith assaulted Autumn for 30 minutes
violently, banged her head with his hands and slammed her so hard
into a couch that its fabric left an impression on her face.
Smith admitted killing Autumn in his clemency
hearing in April but added he had no recollection of the events of
that evening because he was heavily intoxicated after drinking at
least 12 beers and has a history of blacking out due to alcohol.
Defense attorneys had argued that Smith's sentence should be
commuted because the jury in the case was not allowed to consider
a lesser offense of involuntary manslaughter and that Smith was an
alcoholic with a "shattered childhood" who has accepted his guilt.
In April, the 10-member parole board voted unanimously against
recommending clemency and Republican Governor John Kasich, who has
granted clemency to four death row inmates, rejected Smith's bid
for clemency. Smith was the tenth person executed in the United
States this year and the second in Ohio, according to the Death
Penalty Information Center.
Ohio executes man who killed, raped
6-month-old
By Amanda Lee Myers - News-Herald.com
Associated Press - Wednesday, May 01,
2013
LUCASVILLE, Ohio (AP) — One family wept loudly
and another family cheered Wednesday as a man was executed for
killing a 6-month-old as he raped her. Steve Smith, 46, was
executed by lethal injection at the state prison in Lucasville in
southern Ohio for the 1998 killing of his live-in girlfriend's
daughter, Autumn Carter, in Mansfield.
Smith had recently tried to get his sentence
reduced to life in prison, arguing that he was too drunk to
realize that his assault was killing Autumn and that he didn't
mean to hurt her. The Ohio Parole Board and Gov. John Kasich
turned him down unanimously.
In the 25 minutes between when Smith walked
into the death chamber flanked by prison guards and when the
lethal injection killed him, his only child, 21-year-old Brittney,
and his niece sobbed and shook with grief. Smith declined to say
any last words, then looked at Brittney sitting behind a pane of
glass. "I love you," Brittney said as she wept. Smith turned his
head away and appeared to be struggling not to cry, his chin
shaking.
As the lethal injection began, Smith took
several heavy breaths before he closed his eyes. He was pronounced
dead at 10:29 a.m. Less than 3 feet away from Brittney and
separated by a wall, Autumn's mother — Kesha Frye — watched Smith
quietly. After he was dead, Frye's sister pumped her fists in the
air. "I'm glad he's dead, and I hope he burns in hell," Frye said
surrounded by her family after the execution. Frye's father and
Autumn's grandfather, Patrick Hicks, said Smith's execution was
too good for him. "Because of him, Autumn never had a chance to
take her first step, she never had her first birthday or a first
day of school," he said. "It's just unfortunate that this man gets
to die a peaceful death after the torture he put Autumn through."
Days before the execution, Brittney Smith said
that she has never believed her father killed Autumn and that he
had only admitted to it because he had given up hope. "I know my
dad's innocent," she said. "I do not believe he did this, and you
know, he raised all my cousins, my sister before I was even born,
and he never did anything (sexually)."
After the execution, Smith's attorney, Joseph
Wilhelm, said that his client "felt great remorse for the tragic
and shocking crime he committed." "He was well-behaved and sober
while in prison, causing no problems in the institution and living
each day with the guilt and grief caused by his alcohol-fueled
crime," said Wilhelm, who also witnessed the execution. "While
some may trumpet his execution as appropriate revenge for his
crime, Ohio is no safer having executed Steven Smith than had he
lived the remainder of his natural life in prison."
Back on the night of Sept. 29, 1998, Frye was
awoken by Smith, her live-in boyfriend of four months. Smith, who
was drunk and naked, laid a naked and lifeless Autumn on Frye's
bed, according to court records. Frye rushed the baby and her
other 2-year-old daughter to a neighbor's house and called 911.
Autumn was pronounced dead after doctors tried to revive her for
more than an hour, and Smith was arrested. The baby was covered in
bruises and welts and had severe injuries showing she had been
brutally raped, though no semen was present. At the home, there
was no sign of forced entry, and police found a large amount of
white cloth that came from Autumn's diaper strewn about; police
found the rest of the diaper in a garbage bin outside, along with
10 empty cans of beer.
At the time, Smith told police that he "didn't
do anything." "I'm not sick like that," he said. At trial, Smith
didn't testify in his own defense on the advice of his attorneys,
even as prosecutors repeatedly referred to him as a "baby raper,"
showed pictures of Autumn's battered body and told jurors that her
assault lasted up to a half-hour. Expert witnesses for Smith
testified that he might have accidentally suffocated the girl
within three to five minutes of the assault.
The jury found Smith guilty of aggravated
murder and sentenced him to die. At an April 2 hearing in which
Smith sought to have his death sentence reduced to life in prison,
Smith told the Ohio Parole Board that he was sorry and wished he
could ask Autumn for forgiveness. Smith spent his last night
eating pizza, fried fish, chocolate ice cream and soda, listening
to the Cincinnati Reds play the St. Louis Cardinals, mailing
letters and visiting with his daughter and niece, prison officials
said. Smith became the 51st inmate put to death in Ohio since it
resumed executions in 1999. The state has enough of its lethal
injection drug, the powerful sedative pentobarbital, to execute
two other inmates before the supply expires. Eight more inmates
are scheduled to die from November through mid-2015.
Ohio executes man who killed, raped
6-month-old in Mansfield
Cleveland.com
May 01, 2013
LUCASVILLE, Ohio — One family wept loudly and
another family cheered today as a man was executed for killing a
6-month-old as he raped her. Steve Smith, 46, was executed by
lethal injection at the state prison in Lucasville for the 1998
killing of his live-in girlfriend’s daughter, Autumn Carter, in
Mansfield. Smith had recently tried to get his sentence reduced to
life in prison, arguing that he was too drunk to realize that his
assault was killing Autumn and that he didn’t mean to hurt her.
The Ohio Parole Board and Gov. John Kasich turned him down
unanimously.
In the 25 minutes between when Smith walked
into the death chamber flanked by prison guards and when the
lethal injection killed him, his only child, 21-year-old Brittney,
and his niece sobbed and shook with grief. Smith declined to say
any last words, then looked at Brittney sitting behind a pane of
glass. “I love you,” Brittney said as she wept. Smith turned his
head away and appeared to be struggling not to cry, his chin
shaking. As the lethal injection began, Smith took several heavy
breaths before he closed his eyes. He was pronounced dead at 10:29
a.m.
Less than 3 feet away from Brittney and
separated by a wall, Autumn’s mother — Kesha Frye — watched Smith
quietly. After he was dead, Frye’s sister pumped her fists in the
air. “I’m glad he’s dead, and I hope he burns in hell,” Frye said
surrounded by her family after the execution. Frye’s father and
Autumn’s grandfather, Patrick Hicks, said Smith’s execution was
too good for him. “Because of him, Autumn never had a chance to
take her first step, she never had her first birthday or a first
day of school,” he said. “It’s just unfortunate that this man gets
to die a peaceful death after the torture he put Autumn through.”
Days before the execution, Brittney Smith said
that she has never believed her father killed Autumn and that he
had only admitted to it because he had given up hope. “I know my
dad’s innocent,” she said. “I do not believe he did this, and you
know, he raised all my cousins, my sister before I was even born,
and he never did anything [sexually].”
After the execution, Smith’s attorney, Joseph
Wilhelm, said that his client “felt great remorse for the tragic
and shocking crime he committed.” “He was well-behaved and sober
while in prison, causing no problems in the institution and living
each day with the guilt and grief caused by his alcohol-fueled
crime,” said Wilhelm, who also witnessed the execution. “While
some may trumpet his execution as appropriate revenge for his
crime, Ohio is no safer having executed Steven Smith than had he
lived the remainder of his natural life in prison.”
Back on the night of Sept. 29, 1998, Frye was
awoken by Smith, her live-in boyfriend of four months. Smith, who
was drunk and naked, laid a naked and lifeless Autumn on Frye’s
bed, according to court records. Frye rushed the baby and her
other 2-year-old daughter to a neighbor’s house and called 9-1-1.
Autumn was pronounced dead after doctors tried to revive her for
more than an hour, and Smith was arrested. The baby was covered in
bruises and welts and had severe injuries showing she had been
brutally raped, though no semen was present.
At the home, there was no sign of forced entry,
and police found a large amount of white cloth that came from
Autumn’s diaper strewn about; police found the rest of the diaper
in a garbage bin outside, along with 10 empty cans of beer. At the
time, Smith told police that he “didn’t do anything.” “I’m not
sick like that,” he said.
At trial, Smith didn’t testify in his own
defense on the advice of his attorneys, even as prosecutors
repeatedly referred to him as a “baby raper,” showed pictures of
Autumn’s battered body and told jurors that her assault lasted up
to a half-hour. Expert witnesses for Smith testified that he might
have accidentally suffocated the girl within three to five minutes
of the assault. The jury found Smith guilty of aggravated murder
and sentenced him to die.
At an April 2 hearing in which Smith sought to
have his death sentence reduced to life in prison, Smith told the
Ohio Parole Board that he was sorry and wished he could ask Autumn
for forgiveness. Smith spent his last night eating pizza, fried
fish, chocolate ice cream and soda, listening to the Cincinnati
Reds play the St. Louis Cardinals, mailing letters and visiting
with his daughter and niece, prison officials said.
Smith became the 51st inmate put to death in
Ohio since it resumed executions in 1999. The state has enough of
its lethal injection drug, the powerful sedative pentobarbital, to
execute two other inmates before the supply expires. Eight more
inmates are scheduled to die from November through mid-2015.
Kasich denies clemency for man who killed
baby
By Andrew Welsh-Huggins - Dispatch.com
Thursday April 18, 2013
Gov. John Kasich yesterday rejected a plea for
mercy by a condemned man who says he intended to rape his
girlfriend’s 6-month-old daughter but didn’t mean to kill her. The
decision by Kasich upheld a unanimous recommendation by the Ohio
Parole Board on April 10 to deny clemency for Steven Smith,
calling his crime “among the worst of the worst.” Kasich did not
explain his decision as is his custom, except to note the parole
board’s previous decision.
The board said some arguments for sparing
Smith, such as his turbulent childhood, were far outweighed by the
nature of the crime. “Smith took the life of an innocent
6-month-old infant while using the baby to sexually gratify
himself,” the board said. “It is hard to fathom a crime more
repulsive or reprehensible in character.” Smith’s crime was
“clearly among the worst of the worst,” the board said, echoing
language that proponents of Ohio’s 30-year-old capital punishment
law used in pushing for the statute. The baby, Autumn Carter, died
because Smith was too drunk to realize his assault was killing
her, Smith’s attorneys argued in court filings with the parole
board, which heard the case last week. And Ohio law is clear, they
said: A death sentence requires an intent to kill the victim.
“The evidence suggests that Autumn’s death was
a horrible accident,” Smith’s attorneys, Joseph Wilhelm and Tyson
Fleming, said in a written argument prepared for the board. They
continued: “Despite the shocking nature of this crime, Steve’s
death sentence should be commuted because genuine doubts exist
whether he even committed a capital offense.” The parole board
rejected that argument, saying the “ferociousness” of the attack
on the baby was proof of Smith’s intention to kill. It “stretches
credulity to think that Smith had no intention to kill Autumn when
he assaulted her in a manner that made death a virtual certainty,”
the board said.
Smith’s attorneys declined to comment
yesterday. Smith, 46, was never charged with rape, meaning the
jury’s only choice was to convict or acquit him of aggravated
murder, his attorneys say. However, rape was included in the
indictment against Smith as one of the factors making him eligible
for the death penalty. Under Ohio law, an aggravated murder
committed in the course of another crime — such as burglary,
robbery, arson or the killing of a police officer or child — is an
element that can make someone eligible for capital punishment.
The Richland County prosecutor said Smith
continues to hide behind alcohol as an excuse and called Smith’s
actions “the purposeful murder of a helpless baby girl.”
Prosecutor James Mayer told the parole board in his written
statement that the girl’s injuries were consistent with a homicide
that contradicts Smith’s claim he didn’t intend to kill her. “The
horrific attack upon Autumn Carter showed much more than Smith’s
stated purpose,” Mayer said. Mayer said he didn’t know why Smith
wasn’t charged with rape, but he said it wasn’t part of a trial
strategy.
The attack happened early in the morning of
Sept. 29, 1998, in the Mansfield apartment of the girl’s mother,
Kaysha Frye, whom Smith had been dating for about six months. Frye
was awakened after 3 a.m. by a naked Smith, who placed Autumn
beside her in bed, according to records. Frye realized the girl
wasn’t breathing, told Smith he’d killed her and then ran to a
neighbor’s house for help. Smith, known to consume as many as 12
beers a day, had had several beers the previous evening and had a
blood-alcohol content of 0.123, well above the legal limit for
drivers, when he was tested almost eight hours later, records
show. Smith had unsuccessfully tried to have sex with his
girlfriend the evening before the attack, according to records.
The prosecutor argued that Smith’s assault of the girl was revenge
for his failure to perform with Frye. Smith’s attorneys dispute
this, saying the girlfriend was not upset with him.
Prosecutors presented evidence at trial that
Smith’s attack lasted as long as 30 minutes, during which time
Smith beat the girl to death. Expert witnesses for Smith concluded
he may have accidentally suffocated the girl within three to five
minutes while he lay on top of her, according to his clemency
petition. Smith is scheduled to die May 1. If executed, he would
become the 51st inmate put to death in Ohio since it resumed
executions in 1999. The state has enough of its lethal injection
drug, the powerful sedative pentobarbital, to execute Smith and
two other inmates before the supply expires. Eight more inmates
are scheduled to die from November through mid-2015.
Steven Smith, Condemned Killer, Won't Get
Mercy From Ohio Gov. John Kasich
By Andrew Welsh-Huggins - HuffingtonPost.com
April 17, 2013
COLUMBUS, Ohio -- Gov. John Kasich on Wednesday
rejected a plea for mercy by a condemned man who says he intended
to rape his girlfriend's 6-month-old daughter but didn't mean to
kill her. The decision by Kasich, a Republican, upheld a unanimous
recommendation by the Ohio Parole Board on April 10 to deny
clemency for Steven Smith, calling his crime "among the worst of
the worst." Kasich did not explain his decision as is his custom,
except to note the parole board's previous decision.
The board said some arguments for sparing
Smith, such as his turbulent childhood, were far outweighed by the
nature of the crime. "Smith took the life of an innocent
6-month-old infant while using the baby to sexually gratify
himself," the board said. "It is hard to fathom a crime more
repulsive or reprehensible in character." Smith's crime was
"clearly among the worst of the worst," the board said, echoing
language that proponents of Ohio's 30-year-old capital punishment
law used in pushing for the statute.
The baby, Autumn Carter, died because Smith was
too drunk to realize his assault was killing her, Smith's
attorneys argued in court filings with the parole board, which
heard the case last week. And Ohio law is clear, they said: A
death sentence requires an intent to kill the victim. "The
evidence suggests that Autumn's death was a horrible accident,"
Smith's attorneys, Joseph Wilhelm and Tyson Fleming, said in a
written argument prepared for the board. They continued: "Despite
the shocking nature of this crime, Steve's death sentence should
be commuted because genuine doubts exist whether he even committed
a capital offense."
The parole board rejected that argument, saying
the "ferociousness" of the attack on the baby was proof of Smith's
intention to kill. It "stretches credulity to think that Smith had
no intention to kill Autumn when he assaulted her in a manner that
made death a virtual certainty," the board said. Smith's attorneys
declined to comment Wednesday.
Smith, 46, was never charged with rape, meaning
the jury's only choice was to convict or acquit him of aggravated
murder, his attorneys say. However, rape was included in the
indictment against Smith as one of the factors making him eligible
for the death penalty. Under Ohio law, an aggravated murder
committed in the course of another crime – such as burglary,
robbery, arson or the killing of a police officer or child – is an
element that can make someone eligible for capital punishment.
The Richland County prosecutor said Smith
continues to hide behind alcohol as an excuse and called Smith's
actions "the purposeful murder of a helpless baby girl."
Prosecutor James Mayer told the parole board in his written
statement that the girl's injuries were consistent with a homicide
that contradicts Smith's claim he didn't intend to kill her. "The
horrific attack upon Autumn Carter showed much more than Smith's
stated purpose," Mayer said. Mayer said he didn't know why Smith
wasn't charged with rape, but he said it wasn't part of a trial
strategy.
The attack happened early in the morning of
Sept. 29, 1998, in the Mansfield apartment of the girl's mother,
Kaysha Frye, whom Smith had been dating for about six months. Frye
was awakened after 3 a.m. by a naked Smith, who placed Autumn
beside her in bed, according to records. Frye realized the girl
wasn't breathing, told Smith he'd killed her and then ran to a
neighbor's house for help. Smith, known to consume as many as 12
beers a day, had had several beers the previous evening and had a
blood-alcohol content of 0.123, well above the legal limit for
drivers, when he was tested almost eight hours later, records
show. Smith had unsuccessfully tried to have sex with his
girlfriend the evening before the attack, according to records.
The prosecutor argued that Smith's assault of the girl was revenge
for his failure to perform with Frye. Smith's attorneys dispute
this, saying the girlfriend was not upset with him. Prosecutors
presented evidence at trial that Smith's attack lasted as long as
30 minutes, during which time Smith beat the girl to death. Expert
witnesses for Smith concluded he may have accidentally suffocated
the girl within three to five minutes while he lay on top of her,
according to his clemency petition.
Smith is scheduled to die May 1. If executed,
he would become the 51st inmate put to death in Ohio since it
resumed executions in 1999. The state has enough of its lethal
injection drug, the powerful sedative pentobarbital, to execute
Smith and two other inmates before the supply expires. Eight more
inmates are scheduled to die from November through mid-2015.
Steven Smith
ProDeathPenalty.com
In April 1998, Steven Smith met and started
dating Keysha Frye. A short time later, Smith moved in with Frye
and her two young daughters, Ashley, age two, and Autumn, six
months. In the middle of September 1998, Frye asked Smith to move
out due to his heavy drinking. However, Smith moved back in after
he promised Frye that he would stop drinking. Around this same
time, Smith was fired from his job and began watching Frye's
children while she was at work. On September 28, 1998, Frye
arrived home from work at 2:30 p.m. According to Frye's account of
what occurred that afternoon and evening, she and Smith left the
apartment with her two children. They ran some errands, ate dinner
at Burger King, and visited one of Smith's friends, Brett Samples.
While visiting Samples, Smith drank three beers and played pool.
They left Samples's home at 7:30 p.m. On the way home, Smith
purchased a twelve-pack of Busch Ice at a gas station and drank
one of the beers in the car. Upon arriving home around 8:00 p.m.,
Frye locked the apartment's two outer doors. Smith changed
Autumn's diaper, fed her, and dressed her in a pink sleeper. At
around 10:15 p.m., Smith took Autumn upstairs and put her to sleep
in her crib. Frye put Ashley to bed at 10:30 p.m.
Frye went back downstairs and watched
television with Smith, who drank more beer. Shortly thereafter,
she and Smith went upstairs. Smith removed his cutoff shorts and
red underwear, and they had sexual intercourse. Smith did not
ejaculate, but Frye stated that he did not seem upset. Frye and
Smith then went back downstairs, watched more television, and
Smith consumed more beer. Frye went upstairs to sleep at 11:00
p.m., while Smith remained downstairs watching television. Frye
checked in on her children and brought Ashley into her bed to
sleep with her. Frye left Autumn in her crib.
At around 3:22 a.m. on September 29, 1998, Frye
was awakened by Smith, who was standing next to her bed, naked.
Smith placed Autumn, who was also naked, down beside Frye in bed.
Frye went to pick Autumn up and noticed that Autumn's head fell
over her arm. She then placed her hand on Autumn's stomach and
realized that the baby was not breathing. Frye told Smith that he
had killed her baby. In response, Smith threw the alarm clock and
said that the baby was not dead. Frye quickly left the apartment
with Autumn and Ashley and went to the apartment of neighbors Mya
Brooks and Jeff Pierce. Brooks testified that when she opened the
door, Frye screamed, "He killed my baby, he killed my baby, Mya,
help me." Frye entered the apartment with her children, and Brooks
called 911. Before the ambulance arrived, Smith came to Brooks's
door, asked what Frye was doing, and exclaimed that "he didn't do
anything" and "why was she fucking lying." Brooks shut the door on
Smith.
Emergency medical personnel arrived and
discovered Autumn's nude, lifeless body lying on a blanket. They
observed injuries on her head and bruising around her eyes. They
began CPR, and Autumn was transported to the hospital. The
emergency room doctor testified that upon her arrival, Autumn had
no pulse and had suffered a retinal hemorrhage. In addition to her
visible bruising, the physician also stated that Autumn had
bruising around her rectum and that the opening of her vagina was
ten times the normal size for a baby her age--injuries that are
consistent with sexual abuse. After trying to resuscitate Autumn
for close to an hour, medical personnel pronounced her dead.
In the meantime, shortly after EMS arrived at
the scene, Pierce observed Smith throw a trash bag in a dumpster.
He heard Smith say that he did not do anything and that he was
leaving. Pierce told Smith to stay with him, which he agreed to
do. Soon thereafter, the police arrived at the crime scene.
Officers entered Frye's apartment and saw no signs of forcible
entry. They found that the television had been left on and was
extremely loud. Police also discovered the victim's pink baby
sleeper under the coffee table and Smith's cutoffs and jeans near
the couch. They also found whitish-colored material, later
determined to be pieces of shredded diaper, scattered on the floor
in the same area near the baby swing and sofa. Small piles of the
victim's hair were found on the coffee table. The police also
retrieved a garbage bag from the outside trash dumpster that
contained a torn baby diaper, Smith's tee shirt, and ten empty
cans of Busch Ice.
Officer Joseph Dean Petrecky approached Smith,
who was standing outside the apartment. Before asking him any
questions, Smith told the officer, "I didn't do it, I didn't do
it." Smith smelled of alcohol, was disheveled, and swayed back and
forth while speaking with the officer. The officer arrested Smith
for public intoxication. Later that morning, at 11:00 a.m.,
Smith's blood-alcohol level was tested and found to be .123. At
the police station, Detective Robert Burks interviewed Smith. He
told the detective that he had drunk four beers during the entire
day and night. He stated that he and Frye had gone to bed at
midnight and that he was awakened by Frye, who was accusing him of
killing her daughter.
On October 27, 1998, Smith gave police a second
statement. In that statement, he changed his version of what had
occurred. He told police that he had consumed three beers at
Samples's house and six additional beers when he returned to the
apartment. Smith said that later that evening, after they had
returned home, they put Autumn to sleep in the baby swing and
Ashley to sleep on the downstairs love seat. Smith also said they
had had sexual intercourse on the living room couch while the two
children were asleep in the same room. According to Smith, he woke
up at 3:25 a.m. and, believing that something was wrong with
Autumn, carried her upstairs while he yelled for Frye. At that
point, Frye grabbed Autumn and accused him of killing her. On
November 3, 1998, Smith signed and verified the October 27
statement. In answer to follow-up questions, Smith denied putting
trash in the dumpster the morning of the crime and said that the
cotton materials found on the living room floor were baby wipes
put there by Ashley.
The grand jury indicted Smith on two counts of
aggravated murder, with two death penalty specifications, murder
during rape or attempted rape and purposely causing the death of
someone under the age of 13. Each count also contained a sexual
motivation specification and a sexually violent predator
specification. At trial, in addition to the foregoing evidence,
Dr. Marvin S. Platt, the coroner who performed the autopsy,
displayed autopsy photographs and slides and testified that the
victim died from compression asphyxia and blunt trauma to the
head. Dr. Platt found that the injuries to the victim's head and
the abrasions on her forehead, cheek, and chin indicated that the
victim was lying on her abdomen and that her face had been forced
into a pillow. Contusions to her buttocks indicated that they were
subject to pressure from the weight of another person. Dr. Platt
further testified that the victim suffered subarachnoid and
retinal hemorrhages consistent with shaken baby syndrome,
indicating that an attempt had been made to restrain the baby.
Other bruising and abrasions revealed that the baby had resisted
the attack. The victim was also missing hair from the back of her
head, evidence consistent with someone grasping the back of her
head. Furthermore, as attested by the emergency room physician,
Dr. Platt found that the victim's clitoris was red, her vagina was
enlarged, and there was a hemorrhage in her anus, all indicative
of attempted penetration.
Forensic evidence revealed human blood on two
seat cushions and on Autumn's pink sleeper. DNA tests excluded
Smith as the source of the blood. However, DNA from the two couch
cushions and the pink sleeper matched the baby's DNA. No semen was
found.
In his defense, Smith offered the testimony of
Robert Forney Jr., a board-certified forensic toxicologist, to
support his theory that he was intoxicated when he committed the
assault. Forney testified that Smith's blood-alcohol level would
have been at least .36 and possibly as high as .60 at 11:30 p.m.
on September 28. According to Forney, even an alcoholic with a .28
blood-alcohol level would be intoxicated. Smith called other
witnesses on his behalf who testified that he was a heavy drinker
who had blacked out in the past. In addition, his former
girlfriend, with whom he had a child, and his sister testified
that when he watched their children, he took good care of them.
The jury found Smith guilty as charged. After a
penalty hearing, the jury recommended death on each aggravated
murder charge. The state then dismissed the violent sexual
predator specification. The trial court sentenced Smith to death
on each aggravated murder count, finding that the two aggravating
circumstances were not outweighed by any mitigating factors.
State v. Smith, 97 Ohio St.3d 367,
780 N.E.2d 221 (Ohio 2002). (Direct Appeal)
Defendant was convicted in the Court of Common
Pleas, Richland County, of aggravated murder and was sentenced to
death. He appealed. The Supreme Court, Francis E. Sweeney, Sr.,
J., held that: (1) defendant was not entitled to instruction on
lesser included offense of voluntary manslaughter or on voluntary
intoxication; (2) instruction that jury must impose life sentence
if not all twelve jurors agreed to recommend death was not
prejudicial error; (3) autopsy slides and photographs of victim's
injuries were admissible; (4) admission of hearsay statement of
victim's mother was harmless error; and (5) sentence of death was
appropriate and was not disproportionate. Affirmed.
FRANCIS E. SWEENEY, SR., J.
In April 1998, defendant-appellant, Steven
Smith, met and started dating Keysha Frye. A short time later,
Smith moved in with Frye and her two young daughters, Ashley, age
two, and Autumn, six months. In the middle of September 1998, Frye
asked Smith to move out due to his heavy drinking. However, Smith
moved back in after he promised Frye that he would stop drinking.
Around this same time, Smith was fired from his job and began
watching Frye's children while she was at work. On September 28,
1998, Frye arrived home from work at 2:30 p.m. According to Frye's
account of what occurred that afternoon and evening, she and Smith
left the apartment with her two children. They ran some errands,
ate dinner at Burger King, and visited one of Smith's friends,
Brett Samples. While visiting Samples, Smith drank three beers and
played pool. They left Samples's home at 7:30 p.m. On the way
home, Smith purchased a twelve-pack of Busch Ice at a gas station
and drank one of the beers in the car.
Upon arriving home around 8:00 p.m., Frye
locked the apartment's two outer doors. Smith changed Autumn's
diaper, fed her, and dressed her in a pink sleeper. At around
10:15 p.m., Smith took Autumn upstairs and put her to sleep in her
crib. Frye put Ashley to bed at 10:30 p.m. Frye went back
downstairs and watched television with Smith, who drank more beer.
Shortly thereafter, she and Smith went upstairs. Smith removed his
cutoff shorts and red underwear, and they had sexual intercourse.
Smith did not ejaculate, but Frye stated that he did not seem
upset. Frye and Smith then went back downstairs, watched more
television, and Smith consumed more beer. Frye went upstairs to
sleep at 11:00 p.m., while Smith remained downstairs watching
television. Frye checked in on her children and brought Ashley
into her bed to sleep with her. Frye left Autumn in her crib. At
around 3:22 a.m. on September 29, 1998, Frye was awakened by
Smith, who was standing next to her bed, naked. Smith placed
Autumn, who was also naked, down beside Frye in bed. Frye went to
pick Autumn up and noticed that Autumn's head fell over her arm.
She then placed her hand on Autumn's stomach and realized that the
baby was not breathing. Frye told Smith that he had killed her
baby. In response, Smith threw the alarm clock and said that the
baby was not dead.
Frye quickly left the apartment with Autumn and
Ashley and went to the apartment of neighbors Mya Brooks and Jeff
Pierce. Brooks testified that when she opened the door, Frye
screamed, “[H]e killed my baby, he killed my baby, Mya, help me.”
Frye entered the apartment with her children, and Brooks called
911. Before the ambulance arrived, Smith came to Brooks's door,
asked what Frye was doing, and exclaimed that “he didn't do
anything” and “why was she fucking lying.” Brooks shut the door on
Smith. Emergency medical personnel arrived and discovered Autumn's
nude, lifeless body lying on a blanket. They observed injuries on
her head and bruising around her eyes. They began CPR, and Autumn
was transported to the hospital. The emergency room doctor
testified that upon her arrival, Autumn had no pulse and had
suffered a retinal hemorrhage. In addition to her visible
bruising, the physician also stated that Autumn had bruising
around her rectum and that the opening of her vagina was ten times
the normal size for a baby her age—injuries that are consistent
with sexual abuse. After trying to resuscitate Autumn for close to
an hour, medical personnel pronounced her dead. In the meantime,
shortly after EMS arrived at the scene, Pierce observed Smith
throw a trash bag in a dumpster. He heard Smith say that he did
not do anything and that he was leaving. Pierce told Smith to stay
with him, which he agreed to do. Soon thereafter, the police
arrived at the crime scene. Officers entered Frye's apartment and
saw no signs of forcible entry. They found that the television had
been left on and was extremely loud. Police also discovered the
victim's pink baby sleeper under the coffee table and Smith's
cutoffs and jeans near the couch. They also found whitish-colored
material, later determined to be pieces of shredded diaper,
scattered on the floor in the same area near the baby swing and
sofa. Small piles of the victim's hair were found on the coffee
table. The police also retrieved a garbage bag from the outside
trash dumpster that contained a torn baby diaper, Smith's tee
shirt, and ten empty cans of Busch Ice.
Officer Joseph Dean Petrecky approached Smith,
who was standing outside the apartment. Before asking him any
questions, Smith told the officer, “I didn't do it, I didn't do
it.” Smith smelled of alcohol, was disheveled, and swayed back and
forth while speaking with the officer. The officer arrested Smith
for public intoxication. Later that morning, at 11:00 a.m.,
Smith's blood-alcohol level was tested and found to be .123. At
the police station, Detective Robert Burks interviewed Smith. He
told the detective that he had drunk four beers during the entire
day and night. He stated that he and Frye had gone to bed at
midnight and that he was awakened by Frye, who was accusing him of
killing her daughter. On October 27, 1998, Smith gave police a
second statement. In that statement, he changed his version of
what had occurred. He told police that he had consumed three beers
at Samples's house and six additional beers when he returned to
the apartment. Smith said that later that evening, after they had
returned home, they put Autumn to sleep in the baby swing and
Ashley to sleep on the downstairs love seat. Smith also said they
had had sexual intercourse on the living room couch while the two
children were asleep in the same room. According to Smith, he woke
up at 3:25 a.m. and, believing that something was wrong with
Autumn, carried her upstairs while he yelled for Frye. At that
point, Frye grabbed Autumn and accused him of killing her.
On November 3, 1998, Smith signed and verified
the October 27 statement. In answer to followup questions, Smith
denied putting trash in the dumpster the morning of the crime and
said that the cotton materials found on the living room floor were
baby wipes put there by Ashley. The grand jury indicted Smith on
two counts of aggravated murder, with two death penalty
specifications, under R.C. 2929.04(A)(7) (murder during rape or
attempted rape) and R.C. 2929.04(A)(9) (purposely causing the
death of someone under the age of 13). Each count also contained a
sexual motivation specification and a sexually violent predator
specification.
At trial, in addition to the foregoing
evidence, Dr. Marvin S. Platt, the coroner who performed the
autopsy, displayed autopsy photographs and slides and testified
that the victim died from compression asphyxia and blunt trauma to
the head. Dr. Platt found that the injuries to the victim's head
and the abrasions on her forehead, cheek, and chin indicated that
the victim was lying on her abdomen and that her face had been
forced into a pillow. Contusions to her buttocks indicated that
they were subject to pressure from the weight of another person.
Dr. Platt further testified that the victim suffered subarachnoid
and retinal hemorrhages consistent with shaken baby syndrome,
indicating that an attempt had been made to restrain the baby.
Other bruising and abrasions revealed that the baby had resisted
the attack. The victim was also missing hair from the back of her
head, evidence consistent with someone grasping the back of her
head. Furthermore, as attested by the emergency room physician,
Dr. Platt found that the victim's clitoris was red, her vagina was
enlarged, and there was a hemorrhage in her anus, all indicative
of attempted penetration. Forensic evidence revealed human blood
on two seat cushions and on Autumn's pink sleeper. DNA tests
excluded appellant as the source of the blood. However, DNA from
the two couch cushions and the pink sleeper matched the victim's
DNA. No semen was found.
In his defense, Smith offered the testimony of
Robert Forney Jr., a board-certified forensic toxicologist, to
support his theory that he was intoxicated when he committed the
assault. Forney testified that Smith's blood-alcohol level would
have been at least .36 and possibly as high as .60 at 11:30 p.m.
on September 28. According to Forney, even an alcoholic with a .28
blood-alcohol level would be intoxicated. Smith called other
witnesses on his behalf who testified that he was a heavy drinker
who had blacked out in the past. In addition, his former
girlfriend, with whom he had a child, and his sister testified
that when he watched their children, he took good care of them.
The jury found Smith guilty as charged. After a
penalty hearing, the jury recommended death on each aggravated
murder charge. The state then dismissed the violent sexual
predator specification. The trial court sentenced appellant to
death on each aggravated murder count, finding that the two
aggravating circumstances were not outweighed by any mitigating
factors. Smith now appeals to this court as a matter of right.
There are 19 propositions of law before us.FN1 We have repeatedly
held that we need not discuss, in opinion form, every proposition
of law raised in a death penalty appeal. We have fully considered
each argument advanced and have reviewed the record in its
entirety. We have also reviewed the penalty of death for
appropriateness and proportionality. Upon review, and for the
reasons that follow, we uphold Smith's convictions and sentence of
death. FN1. Smith originally presented 20 propositions of law for
our consideration. However proposition of law 20 has been
withdrawn.
I Jury Instructions
A. Guilt Phase
In proposition of law one, Smith contends that
the trial court erred by refusing to instruct the jury on the
lesser included offense of involuntary manslaughter and on
voluntary intoxication. Smith maintains that although he had the
intent to commit a sexual assault, he lacked the intent necessary
to support a finding of having a purpose to kill and that his
intoxication prevented his realizing the severity of the injuries
he was inflicting on Autumn. An instruction on a lesser included
offense is “required only where the evidence presented at trial
would reasonably support both an acquittal on the crime charged
and a conviction upon the lesser included offense.” State v.
Thomas (1988), 40 Ohio St.3d 213, 533 N.E.2d 286, paragraph two of
the syllabus. We find no evidence to suggest that Smith lacked the
purpose to kill the victim in this case.
Contrary to Smith's contention, he presented no
evidence at trial indicating that he intended to sexually assault,
rather than kill, Autumn. Instead, the evidence reveals that Smith
purposely killed Autumn while raping or attempting to rape her.
Medical testimony found that the weight and pressure of Smith's
body on top of the sixteen-pound baby was one of the direct causes
of her death. The violence of the attack, which was estimated by
the coroner to have lasted between ten and thirty minutes,
resulted in hemorrhages to her brain and retina and caused her to
sustain brain contusions and other contusions on her body.
Witnesses testified that these injuries showed intent to kill.
Consequently, we reject Smith's argument that evidence of purpose
was lacking. Accordingly, we find that the court did not err in
denying Smith's request for an involuntary manslaughter
instruction. See State v. Raglin (1998), 83 Ohio St.3d 253,
257–258, 699 N.E.2d 482; State v. Smith (2000), 89 Ohio St.3d 323,
331, 731 N.E.2d 645. We also find that the trial court acted
properly in refusing to instruct the jury on voluntary
intoxication. It is within the trial court's discretion “to
determine whether the evidence presented at trial is sufficient to
require a jury instruction on intoxication where the accused
claims that his inebriated condition negated the mental state
required as an element of the crime charged.” State v. Wolons
(1989), 44 Ohio St.3d 64, 541 N.E.2d 443, paragraph two of the
syllabus; State v. Nields (2001), 93 Ohio St.3d 6, 22–23, 752
N.E.2d 859.
Given the evidence presented, the court did not
abuse its discretion. Smith's strongest evidence of intoxication
was his expert's testimony, placing his blood-alcohol level
between .26 and .6 at the time of the offense. However, a high
blood-alcohol level does not compel an intoxication instruction (
State v. Mitts [1998], 81 Ohio St.3d 223, 229, 690 N.E.2d 522),
since even severe intoxication can co-exist with purpose. State v.
Hicks (1989), 43 Ohio St.3d 72, 74, 538 N.E.2d 1030. The evidence
reveals that Smith understood what was occurring after the
offenses were committed. He understood that Frye accused him of
killing her child and consciously made the decision to throw
evidence into a dumpster. Additional testimony from Smith's
friends and relatives showed that although Smith was a heavy
drunker, he was able to handle his alcohol well. This evidence
supports the conclusion that Smith had the intent to murder
Autumn. Accordingly, no instruction on voluntary intoxication was
required. As for the remaining arguments regarding jury
instructions, since Smith did not raise an objection, we apply a
plain-error analysis. Crim.R. 30(A).
Smith challenges the court's instruction on an
accused's right not to take the witness stand. In particular,
Smith objects to that part of the instruction that said that a
defendant has the constitutional right not to testify and “ is not
called on to advance a theory that may explain something even if
it will otherwise remain a mystery.” (Emphasis added.) Smith
contends that the italicized language suggests that he could have
explained the mystery surrounding the murder, which implied that
he was guilty of the crimes charged. We disagree. The instruction
taken as a whole emphasized appellant's right to remain silent.
The court further charged the jurors that they “must not be
influenced by the Defendant's failure to testify.” Although the
language Smith complains of was unnecessary, it does not, when
viewed in the context of the overall charge, violate his Fifth
Amendment rights. We overrule proposition of law one. We summarily
reject propositions of law 13 and 19, which address the court's
failure to define “principal offender” and the court's use of the
statutory definition of “reasonable doubt” as contained in R.C.
2901.05(D). We have repeatedly held that the failure to define
“principal offender” does not constitute plain error. See State v.
Chinn (1999), 85 Ohio St.3d 548, 559, 709 N.E.2d 1166. We have
also upheld the statutory definition of “reasonable doubt.” See,
e.g., State v. Jenkins (1984), 15 Ohio St.3d 164, 15 OBR 311, 473
N.E.2d 264, paragraph eight of the syllabus; State v. Moore
(1998), 81 Ohio St.3d 22, 37–38, 689 N.E.2d 1.
B. Penalty Phase
In proposition of law five, Smith challenges
the trial court's instruction regarding life imprisonment on the
ground that it failed to comply with State v. Brooks (1996), 75
Ohio St.3d 148, 162, 661 N.E.2d 1030. In Brooks, we found that the
court erred in instructing jurors that they must unanimously
determine that the death penalty is inappropriate before they
consider a life sentence. The instruction at hand differs from
that of Brooks in that the trial court here never advised the jury
that it had to unanimously reject the death penalty before
considering a life sentence. Instead, the jury was told that it
must impose a life sentence if not all twelve jurors agreed to
recommend death. The jurors were implicitly told that a single
juror could prevent the death penalty. The instructions were
consistent with R.C. 2929.03(D)(2). See State v. Stallings (2000),
89 Ohio St.3d 280, 293, 731 N.E.2d 159. Although it is advisable
for courts to explicitly instruct the jury that a single juror
“may prevent a death penalty recommendation by finding that the
aggravating circumstances * * * do not outweigh the mitigating
factors” ( State v. Madrigal [2000], 87 Ohio St.3d 378, 393, 721
N.E.2d 52), the charge as given did not create prejudicial error.
We overrule proposition of law five. We summarily reject
proposition of law 16 regarding the court's refusal to instruct on
residual doubt as a mitigating factor, on authority of State v.
McGuire (1997), 80 Ohio St.3d 390, 686 N.E.2d 1112, syllabus.
II Voir Dire
In proposition of law 12, Smith contends that
the trial court erred in denying his challenge for cause against
juror Paula Bryant based on Bryant's strong views in favor of the
death penalty. The standard for determining whether a prospective
juror may be excluded for cause based upon his or her views on the
death penalty is whether those views would “ ‘prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath.’ ” (Emphasis
omitted.) Wainwright v. Witt (1985), 469 U.S. 412, 420, 105 S.Ct.
844, 83 L.Ed.2d 841, quoting Adams v. Texas (1980), 448 U.S. 38,
45, 100 S.Ct. 2521, 65 L.Ed.2d 581. In this case, juror Bryant
indicated that she favored the death penalty. However, she later
stated that she would listen to all of the evidence and that she
would not be predisposed to recommending the death penalty.
Instead, she would make the state prove that the aggravating
circumstances outweighed the mitigating factors. Since the juror
agreed to follow the law, we find that the trial court did not
abuse its discretion in denying Smith's challenge for cause. We
overrule appellant's proposition of law 12.
III. Trial Issues
A. Gruesome Photographs
In his second proposition of law, Smith argues
that his due process rights were violated when the trial court
erroneously admitted, over defense objection, 18 gruesome and
cumulative photographs and slides of the victim during the guilt
and penalty phase of trial. Smith contends that the photographs
were irrelevant and highly prejudicial. The admission of
photographs is left to the sound discretion of the trial court.
Evid.R. 403, 611(A). We have previously held that “[p]roperly
authenticated photographs, even if gruesome, are admissible in a
capital prosecution if relevant and of probative value in
assisting the trier of fact to determine the issues or are
illustrative of testimony and other evidence, as long as the
danger of material prejudice to a defendant is outweighed by their
probative value and the photographs are not repetitive or
cumulative in number.” State v. Maurer (1984), 15 Ohio St.3d 239,
15 OBR 379, 473 N.E.2d 768, paragraph seven of the syllabus; See,
also, State v. Morales (1987), 32 Ohio St.3d 252, 257–258, 513
N.E.2d 267; State v. Twyford (2002), 94 Ohio St.3d 340, 357–358,
763 N.E.2d 122. The photographs in question reveal marks and
abrasions on the victim's face, torso, and buttocks as well as
injuries to her lips, ears, scalp, chin, vagina, and rectum. The
autopsy slides depict injuries to the victim's internal organs.
Although the trial judge was at first reluctant to admit the
autopsy slides, he was persuaded that their admission was
appropriate because they could be used to assist the coroner in
his testimony.
Upon review, we find no reversible error in the
admission of the photographs and slides at either phase of trial.
To begin with, although many photographs and slides were admitted,
we note that number alone does not require reversal. As we have
previously stated, “the mere fact that there are numerous photos
will not be considered reversible error unless the defendant is
prejudiced thereby. Absent gruesomeness or shock value, it is
difficult to imagine how the sheer number of photographs admitted
can result in prejudice requiring reversal.” State v. DePew
(1988), 38 Ohio St.3d 275, 281, 528 N.E.2d 542. Although arguably
gruesome, these photographs and slides were relevant in that they
depicted the wounds inflicted on the victim, supported the
coroner's testimony on cause of death, and helped prove
appellant's intent. With respect to the autopsy slides, the trial
court reduced the possibility of undue prejudice by refusing to
allow the slides to be taken into the deliberation room.
Moreover, even if some of the photographs or
slides were improperly admitted, we note that any prejudice was
harmless considering the overwhelming evidence of Smith's guilt.
In addition, any prejudicial impact is minimized by our
independent review. See State v. Davie (1997), 80 Ohio St.3d 311,
318, 686 N.E.2d 245.4 For the foregoing reasons, we overrule
proposition of law two.
B. Improper Expert and Lay Testimony
In proposition of law six, Smith contends that
Dr. Platt, the coroner, and Dr. Battels, the emergency room
physician, offered opinions outside their area of expertise. In
particular, he objects to the fact that the two physicians were
asked to give their opinions about the grid-like patterns on
Autumn's face and whether a cushion taken from Frye's sofa could
have caused the abrasions. Smith also objects to the physicians'
testimony regarding Smith's intent and to the coroner's testimony
that Autumn was crying during the attack. We find no merit in
Smith's assertions. The doctors' comments on weave-pattern
comparisons were not elicited as expert testimony but were instead
made in their capacity as lay witnesses. Their testimony was
therefore admissible under Evid.R. 701, since it was based upon
their visual comparison of the cushion and the marks on Autumn's
face. See, e.g., State v. Jells (1990), 53 Ohio St.3d 22, 28–29,
559 N.E.2d 464 (police officer's testimony on footprint
comparisons admissible as lay opinion). Furthermore, the doctors'
testimony that the victim was resisting and crying and that she
was intentionally killed was admissible under Evid.R. 702 and 704.
Such testimony was relevant to describing the circumstances of the
victim's death and was proper expert testimony on the nature of
the death—i.e., that it was not accidental. Proposition of law six
is overruled.
C. Irrelevant and Repetitive Testimony
In proposition of law four, Smith argues that
he was denied a fair trial because the jury was exposed to
repetitive and inflammatory descriptions of the victim's injuries.
Thirteen witnesses, including the victim's mother, neighbors at
the crime scene, police officers, attending medical personnel, and
the coroner, testified about some aspect of the victim's injuries.
The non-medical witnesses' testimony was relevant since it helped
to explain their actions at the scene and to substantiate that
Autumn was severely beaten. The testimony by medical witnesses was
likewise relevant in that it was used to establish the cause of
death. However, even if the testimony had been repetitive, Smith
failed to object at trial, and the admission of such testimony did
not result in plain error. Therefore, we overrule proposition of
law four. In proposition of law nine, Smith contends that the
state introduced irrelevant evidence, including testimony about
the victim's height and weight, Frye's work history, and Smith's
failure to pay child support and to visit his daughter. No
objection was made to such testimony. Upon review of the record,
we find that the testimony complained of, even if improper, was
not plain error. Consequently, we overrule proposition of law
nine.
D. Hearsay
In proposition of law eight, Smith contends
that Frye's statements asserting that “he killed my baby” were
inadmissible hearsay. Smith maintains that these statements did
not fall within the excited utterance exception to the hearsay
rule or to any other hearsay exception. Evid.R. 803(2), the
excited utterance exception to the hearsay rule, provides:
“Excited utterance. A statement relating to a startling event or
condition made while the declarant was under the stress of
excitement caused by the event or condition.” One of the
requisites necessary to invoke the excited utterance exception is
the declarant's “opportunity to observe personally the matters
asserted in his statement or declaration.” Potter v. Baker (1955),
162 Ohio St. 488, 55 O.O. 389, 124 N.E.2d 140, paragraph two of
the syllabus. Since Frye did not personally observe appellant kill
her daughter, her statements do not satisfy this requirement.
However, even if erroneous, we find that this constitutes harmless
error.
IV. Prosecutorial Misconduct
In proposition of law three, Smith alleges
several instances of prosecutorial misconduct. The test for
prosecutorial misconduct is whether the remarks made were improper
and, if so, whether the rights of the accused were materially
prejudiced. State v. Smith (1984), 14 Ohio St.3d 13, 14, 14 OBR
317, 470 N.E.2d 883. Unless otherwise noted, the defense did not
object to the purported acts of prosecutorial misconduct and thus
waived all but plain error. State v. Slagle (1992), 65 Ohio St.3d
597, 604, 605 N.E.2d 916.
First, Smith argues that the prosecutor made
improper comments in his opening statement concerning the victim's
physical appearance at birth (her height, weight, and hair and eye
color) as well as information concerning Frye's life history.
According to Smith, these comments constitute inappropriate
victim-impact evidence. However, since the testimony merely
elicited background information and was “not overly emotional or
directed to the penalty to be imposed” ( State v. Reynolds [1998],
80 Ohio St.3d 670, 679, 687 N.E.2d 1358), the remarks do not
constitute plain error. See, also, State v. Goodwin (1999), 84
Ohio St.3d 331, 339, 703 N.E.2d 1251. Second, Smith claims error
in the prosecutor's reference to him in opening statement as a
“baby murderer” and a “baby molester.” We have upheld similar
remarks as “fair comment.” See, e.g., Nields, 93 Ohio St.3d at 37,
752 N.E.2d 859, where the prosecutor referred to the defendant as
a “mean-spirited derelict.” Thus, since the evidence supports such
characterization, we find no reversible error stemming from such
remarks. Third, Smith argues that the prosecution asked leading
questions of numerous witnesses and vouched for Frye's testimony
by telling her she was doing a good job. Although there were in
fact some leading questions, none of these questions resulted in
prejudice to Smith. With respect to the prosecutor's comment to
Frye, when read in context, it is clear that the prosecutor was
simply reassuring Frye in the midst of her difficult testimony.
Neither of these circumstances constitutes prosecutorial
misconduct.
Smith next argues that the prosecutor
improperly impeached the credibility of defense witness Kathy
Foster during another defense witness's testimony. The prosecutor
was merely pointing out inconsistencies in her testimony, which
was proper cross-examination under Evid.R. 611(B). Smith also
contends that it was wrong for the prosecutor to cross-examine
defense witness Theresa Sauders about irrelevant issues such as
whether Smith paid child support or visited his daughter and to
cross-examine his sister, Karen Samples, about why she allowed
Smith to watch her child, knowing that he consumed large amounts
of alcohol. Defense counsel introduced these topics when Sauders
testified on direct examination that Smith was a good father who
took care of his daughter and when the witnesses testified that
Smith babysat their children.
Smith next argues that prosecutorial misconduct
occurred when the head and leg of a CPR doll came off as the
coroner demonstrated the way in which the young victim was
injured. No objection was made at the time of the incident, but
defense counsel later moved for a mistrial, which the court
denied. The record reflects that the incident was accidental and
that the prosecutor in no way tried to inflame the passions of the
jury. Cf. State v. Keenan (1993), 66 Ohio St.3d 402, 408, 613
N.E.2d 203 (stabbing knife into counsel's table). As the trial
court noted, “the jury could clearly see the witness was
embarrassed when the things fell off the baby, the mechanical
dummy, and it is true that several of them were laughing audibly,
so again, I don't think it inflamed them in any way. So it is sort
of a klutz-type move.”
Smith also claims several instances of
misconduct in the prosecutor's closing argument. We have reviewed
each alleged instance and find that even where the comments were
improper, they do not result in plain error. For instance, Smith
claims misconduct when the prosecutor stated that the victim is
“actually speaking to you through the evidence in the case. * * *
Autumn Carter, she's crying out to you.” These comments, although
emotional, were used to tie together the forensic evidence
presented during trial that pertained to the victim, such as the
clumps of her hair found on the coffee table, bloodstains
discovered on the sofa, and diaper fabric found on the floor.
Moreover, these comments fall within the wide latitude allowed by
a prosecutor in closing argument. See State v. Bies (1996), 74
Ohio St.3d 320, 326, 658 N.E.2d 754. Furthermore, although the
prosecutor's comment that Smith “gets joy or gets happiness out of
molesting, raping a six-month old baby” is harsh, it was a comment
addressing the sexual-motivation specification. Even if this
comment is deemed improper, it does not represent plain error.
Smith also objects to the prosecutor's
characterization of the crime as being a ten-to-thirty-minute
beating. However, this characterization was not improper given the
fact that Dr. Platt testified that the attack lasted this long.
Smith also believes the prosecutor's statement that “Steven Smith,
seated right over there next to his counsel” was prejudicial
because it was used to denigrate him and his trial counsel.
Likewise, Smith objects to the prosecutor's question, which asked,
“Did he claim accident, that he didn't do this on purpose?” Smith
believes the prosecutor was commenting on his failure to testify.
Smith takes these remarks out of context. The prosecutor was
merely pointing out the defendant to the jury as a means of
emphasizing that it was he who committed these heinous crimes.
Moreover, the prosecutor was not commenting on Smith's failure to
testify but was instead showing how the evidence supports the fact
that he purposely committed the crimes in question.
Smith next asserts that the prosecutor
impermissibly argued “prior calculation and design” because they
were not elements of the offenses charged. However, the jury was
not misled by these remarks, since the prosecutor informed them
that “prior calculation and design” were not issues in the case.
Smith also objects to the prosecutor's suggestion that he was
motivated by revenge when he committed the crimes in question.
Although a prosecutor is “entitled to latitude as to what the
evidence has shown and what inferences can reasonably be drawn
from the evidence” ( State v. Smith [1997], 80 Ohio St.3d 89, 111,
684 N.E.2d 668), the prosecutor's revenge theory is a stretch,
particularly given the fact that Frye herself testified that Smith
was not upset when he did not ejaculate during sex. Nevertheless,
even if these remarks were improper, they did not affect the
fairness of the trial and are not plain error. Smith also claims
prosecutorial misconduct occurred when the prosecutor told the
jury there would be no instruction on intoxication. However, we
find it was permissible for the prosecutor to point out to the
jury that the evidence did not warrant such an instruction.
Smith also claims several instances of
prosecutorial misconduct during the penalty phase. Upon review of
the record, we find that no prosecutorial misconduct occurred that
would have affected the fairness of the trial. First, Smith
contends that the prosecutor's opening statement improperly
shifted the burden of proof by stating “that there can be no
mitigating facts which outweigh the aggravating circumstances.”
Second, Smith argues that the prosecutor treated the nature and
circumstances of the offense as an aggravating circumstance. While
these statements were improper, the court's instructions as to the
proper weighing process and its charge as to the precise
aggravating circumstances cure any error. See State v. Stojetz
(1999), 84 Ohio St.3d 452, 465, 705 N.E.2d 329; State v. Hill
(1996), 75 Ohio St.3d 195, 202, 661 N.E.2d 1068. Third, Smith
contends that the prosecutor committed misconduct by comparing him
to others who have below-average intelligence and are alcoholics
but who do not commit crimes of this magnitude. Such comment is
fair rebuttal to defense claims that the jury should consider
Smith's intellectual impairment and alcoholism as significant
mitigating factors. See State v. LaMar, 95 Ohio St.3d 181,
2002-Ohio-2128, 767 N.E.2d 166, at ¶ 178. Finally, Smith argues
that the prosecutor offered his personal opinion by stating that
the imposition of the death penalty is “the right decision” to
make. While this does convey the prosecutor's personal opinion,
the remark was an isolated comment that does not reach the level
of plain error. Donnelly v. DeChristoforo (1974), 416 U.S. 637,
646–647, 94 S.Ct. 1868, 40 L.Ed.2d 431. We overrule proposition of
law three.
V. Ineffective Assistance of Counsel
In proposition of law ten, Smith claims that he
received ineffective assistance of counsel. In order to prevail on
this claim, a defendant must show that counsel's performance fell
below an objective standard of reasonableness and that the
deficient performance prejudiced the defense so that defendant was
deprived of a fair trial. Strickland v. Washington (1984), 466
U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674; State v. Bradley
(1989), 42 Ohio St.3d 136, 538 N.E.2d 373, paragraphs two and
three of the syllabus.
Smith first complains that trial counsel was
deficient by failing to properly request a penalty-phase jury
instruction that complies with Brooks, 75 Ohio St.3d 148, 661
N.E.2d 1030. In proposition of law five, we found that no plain
error arose from the instruction given. Thus, this argument lacks
merit. Smith next argues that counsel was ineffective by agreeing
to readmit all trial evidence during the penalty phase. In
particular, Smith contends that certain evidence was irrelevant,
such as the photographs and autopsy slides of the victim, certain
testimony of emergency personnel, and medical testimony concerning
the cause of death. Under Evid.R. 401, this evidence was relevant
since it pertains to the nature and circumstances of the
aggravating circumstances. State v. Jackson (2001), 92 Ohio St.3d
436, 447, 751 N.E.2d 946. Moreover, our independent sentence
reassessment can cure any prejudice stemming from the readmission
of this evidence. Smith also contends that his trial counsel's
reference to certain irrelevant mitigating factors (victim
inducement, victim provocation) during his opening statement in
the penalty phase constituted ineffective assistance of counsel.
Upon review of the record, it is clear that while counsel
initially recited all of the statutory mitigating factors, he
later focused in on those relevant factors in his closing. This
does not render counsel ineffective. See State v. Durr (1991), 58
Ohio St.3d 86, 97, 568 N.E.2d 674. Smith further claims
ineffective assistance by pointing to several instances where
trial counsel failed to object to prejudicial evidence, improper
jury instructions, judicial misconduct, and prosecutorial
misconduct. Upon review, we find that none of these allegations,
even if deficient, resulted in prejudicial error depriving Smith
of a fair trial. Accordingly, we overrule proposition of law ten.
VI. Sentencing Issues
A. Victim-Impact Evidence
In proposition of law 15, Smith contends that
the trial court committed reversible error by considering
victim-impact evidence during sentencing. Prior to sentencing but
after receiving the jury's recommendation, the trial court stated
that it had received and considered a letter from the victim's
father. In addition, the trial court allowed Frye to make a
statement where she expressed her hatred toward Smith and her hope
that he would be tortured and killed just as her daughter was
killed. Because no objections were made to this victim-impact
evidence, it must be examined under the plain-error standard.
Reynolds (1998), 80 Ohio St.3d at 679, 687 N.E.2d 1358.
Victim-impact evidence is permitted where it elicits the effect
that the victim's death has had on family members. State v.
Fautenberry (1995), 72 Ohio St.3d 435, 439, 650 N.E.2d 878.
However, victim-impact evidence that expresses an opinion as to
the appropriate sentence to be imposed is inappropriate. Id.
Frye's opinion that Smith should receive the death penalty was
improper victim-impact evidence. Nonetheless, the admission of
these statements did not constitute outcome-determinative plain
error. Nor does the sentencing opinion show that the trial court
considered these statements when sentencing Smith. We overrule
proposition of law 15.
B. Sentencing Opinion
In proposition of law 17, Smith argues that the trial court
in its sentencing opinion failed to give sufficient weight to his
long history of alcohol abuse. The weight, if any, to be given a
mitigating factor is within the trial court's discretion. State v.
Fox (1994), 69 Ohio St.3d 183, 193, 631 N.E.2d 124. The statute
does not require that significant weight be afforded a defendant's
alcohol abuse. Reynolds, 80 Ohio St.3d at 685, 687 N.E.2d 1358.
The trial court did not abuse its discretion by failing to give
substantial weight to this factor. Moreover, any error in the
trial court's sentencing opinion may be cured by this court's
independent review of Smith's death sentence. State v. Lott
(1990), 51 Ohio St.3d 160, 171–172, 555 N.E.2d 293. We overrule
proposition of law 17.
VII. Independent Sentence Review
Having considered Smith's propositions of law,
we must now independently review the death sentence for
appropriateness and proportionality.
A. Evidence at Penalty Hearing
In mitigation, five witnesses testified. Jane
Mosier, Smith's mother, testified that Smith was the second of
four children. Mosier said that Smith's biological father, William
Haught, had no contact with him while he was growing up. Mosier
later married an abusive man who drank, used drugs, and threatened
to burn their house down. Mosier then married Kale Mosier, a
“decent guy” whom Smith called dad. He died in 1998. Mosier
described Smith as a “good boy” who “loved school,” “loved to
work,” and got along with everybody. She said that Smith left home
at seventeen to live and work on a farm. She was first aware that
Smith had a drinking problem after he had obtained his driver's
license and was convicted of drunk driving. Mosier has had little
contact with Smith and for the last couple of years has seen him
only once or twice a year.
Smith's first cousin, Judy Ann Rigsby, grew up
with Smith. Rigsby testified that Mosier's first husband
physically beat Smith by whipping him with a belt. She also stated
that Kale Mosier was a “very nice man” who took care of Smith.
Rigsby further stated that Smith's grandmother was his primary
caregiver and that she had always been there for him. She
described Smith as an average student. She never observed Smith
using alcohol but heard about it from other people. Karen Sue
Samples, Smith's sister, testified that Smith received little
attention while growing up and that he started drinking alcohol at
age nine or ten. She described Smith as a “good boy” who would not
hurt anyone. She said the only problem he had was drinking.
Samples asked the jury to spare her brother's life. Sergeant Helen
Johnson, a corrections officer, testified that Smith committed two
minor violations of inmate rules since being incarcerated.
Otherwise, she stated that he was respectful towards correction
officers.
Dr. Janice Ort, a clinical psychologist,
interviewed and conducted psychological testing on Smith. Ort
found that as a youth, both of his parents were absent from his
life. Although his grandmother and aunt helped care for him, they
were not a significant, continuous presence. Ort described Smith
as an average student in high school who ranked 149 out of 162
students. Ort further noted that Smith's judgment was impaired by
alcohol and that he was alcohol-dependent, probably in the middle
to late stages of alcoholism. With respect to the crimes charged,
Smith told Ort that he had no memory of what transpired other than
that he had fallen asleep on the couch, had found Autumn asleep in
the swing, and had wondered when he awoke how and why she was
there.
The test results placed Smith's IQ of 80 in the
low-average range of intelligence. In addition, Smith scored low
on the information and vocabulary subjects of the Wechsler Adult
Intelligence Scale Revised but did fine on basic arithmetic. He
also scored low on tests measuring his social skills. The results
of the Minnesota Multiphasic Personality Inventory 2 (“MMPI 2”)
test were within normal limits, although results indicated
possible problems with depression, alcohol abuse, and sensitivity
to others. The Rorschach inkblot test indicated that Smith
contains his emotions, has difficulty understanding and processing
information, and has possible trouble with impulse control. Ort
diagnosed Smith with a dysthymic disorder and substance abuse.
B. Sentence Evaluation
After independent assessment, the evidence
proves beyond a reasonable doubt the aggravating circumstances
charged against Smith. The jury found and the evidence
demonstrates that Smith purposely killed Autumn Carter, a child
under 13 years of age (R.C. 2929.04[A][9] ), while committing or
attempting to commit rape (R.C. 2929.04[A][7] ).
We find nothing in the nature and circumstances
of the offense to be mitigating. For ten to thirty minutes, Smith
brutally raped and murdered Autumn Carter while her mother was
asleep in the apartment. The violent nature of the attack was
demonstrated by the fact that Autumn's hair was ripped out, her
vagina and anus were seriously damaged, she was suffocated by the
weight of Smith on her small body, and she suffered subarachnoid
and retinal hemorrhages. This crime is nothing less than a
horrific, senseless murder committed against a small, defenseless,
six-month-old baby.
Smith's history and background provide only
modest mitigating value. He was raised by a mother who paid little
attention to his well-being, and he had little contact with his
biological father. In addition, his mother's first husband was
abusive. However, his stepfather, Kale Mosier, and his grandmother
were positive influences in his life. Smith's use of alcohol
provides little, if any, mitigation. The evidence showed that
Smith was aware of what he was being accused of and that while
emergency personnel were tending to the victim, Smith was coherent
enough to hide physical evidence (including beer cans, a torn baby
diaper, and a shirt) in a trash dumpster outside the building.
Thus, we find that the use of alcohol by Smith should have little
impact on the weighing process. See State v. Slagle (1992), 65
Ohio St.3d 597, 614, 605 N.E.2d 916.
Of the statutory mitigating factors, only R.C.
2929.04(B)(5) and (B)(7) are slightly applicable. The R.C.
2929.04(B)(5) mitigating factor, lack of a significant criminal
record, is entitled to some weight, since Smith's criminal record
consists of two DUI convictions and arrests for minor offenses.
Under R.C. 2929.04(B)(7), other relevant factors, Dr. Ort
testified that Smith suffers from a dysthymic disorder, a
personality disorder, and alcoholism. She also said that alcohol
had permanently impaired his judgment. Nevertheless, upon
independent weighing, we find that the aggravating circumstances
outweigh the mitigating factors beyond a reasonable doubt. The
death penalty in this case is appropriate when compared to other
rape cases, both of which involved victims over the age of 13. See
State v. Mason (1998), 82 Ohio St.3d 144, 694 N.E.2d 932; State v.
McGuire (1997), 80 Ohio St.3d 390, 686 N.E.2d 1112.
Accordingly, we affirm Smith's convictions and
sentence of death. Judgment affirmed. MOYER, C.J., DOUGLAS,
RESNICK, PFEIFER and COOK, JJ., concur. LUNDBERG STRATTON, J.,
concurs and concurs separately.
LUNDBERG STRATTON, J., concurring.
While I agree with the majority's judgment
affirming the convictions and sentence of death in this case, I
disagree with the majority's resolution of the Evid.R. 803 issue.
Generally, out-of-court statements offered to prove the truth of
the matter asserted are inadmissible hearsay. Evid.R. 801(C) and
802. However, Evid.R. 803 provides numerous exceptions to the
hearsay rule: “The following are not excluded by the hearsay rule,
even though the declarant is available as a witness. “ * * * “(2)
Excited utterance “A statement relating to a startling event or
condition made while the declarant was under the stress of
excitement caused by the event or condition.”
Such a statement is admissible despite its
hearsay nature if the following four conditions are satisfied: “
‘(a) that there was some occurrence startling enough to produce a
nervous excitement in the declarant, which was sufficient to still
his reflective faculties and thereby make his statements and
declarations the unreflective and sincere expression of his actual
impressions and beliefs, and thus render his statement or
declaration spontaneous and unreflective, “ ‘(b) that the
statement or declaration, even if not strictly contemporaneous
with its exciting cause, was made before there had been time for
such nervous excitement to lose a domination over his reflective
faculties, so that such domination continued to remain sufficient
to make his statements and declarations the unreflective and
sincere expression of his actual impressions and beliefs, “ ‘(c)
that the statement or declaration related to such startling
occurrence or the circumstances of such startling occurrence, and
“ ‘(d) that the declarant had an opportunity to observe personally
the matters asserted in his statement or declaration.’ ” (Emphasis
added in part.) State v. Wallace (1988), 37 Ohio St.3d 87, 89, 524
N.E.2d 466, quoting Potter v. Baker (1955), 162 Ohio St. 488, 55
O.O. 389, 124 N.E.2d 140, paragraph two of the syllabus.
The majority concludes that since Frye did not
personally observe Smith kill Autumn, Frye's statement does not
satisfy this last requirement. I respectfully disagree. When Frye
went to bed that evening around 11:00 p.m., her daughter Autumn,
the victim in this case, was asleep in her crib in her own
bedroom, wearing pajamas. Smith was downstairs, drinking beer and
watching TV when Frye went to bed. At 3:22 a.m., Smith woke Frye
by saying, “I'm laying the baby down beside you.” Frye picked up
Autumn, and Autumn's head fell over Frye's arm. Frye then put her
hand on Autumn's stomach and found that Autumn was not breathing.
Frye said to Smith, “[You] killed my baby.” Smith replied, “No, I
didn't,” and threw an alarm clock into the closet. Smith then
picked up Autumn, and said that Autumn was breathing and not dead.
Frye also noticed that both Smith and Autumn were totally naked.
Although Frye did not actually see Smith rape
and kill her child, when Frye went to bed, Smith was the only one
in the house with the baby who could have inflicted the injuries
sustained. When Frye awoke, Smith was the one standing next to the
bed with the lifeless baby. In addition, while the two were fully
clothed at the time that Frye had gone to bed, both Smith and the
baby were naked when Frye awoke to this nightmare. I would
therefore find that Frye's statement, “[You] killed my baby,”
falls under the excited utterance exception to the hearsay rule.
Frye's waking to find her child dead was an occurrence startling
enough to produce a nervous excitement in Frye. The statement was
made contemporaneous with the event and related to the startling
occurrence. Frye personally had observed Autumn sleeping in her
crib in her pajamas at 11:00 p.m. and awoke at 3:22 a.m. to find
the naked Smith standing beside the bed on which Autumn's limp,
naked body lay. I would find that under these facts, Frye
personally observed the matters asserted in her statement as
required by Evid.R. 803(2).
Although the majority finds error in the
admission of Frye's statement, the majority concludes,
nonetheless, that the error was harmless. Therefore, while I
disagree with the majority's rationale regarding the excited
utterance, because I agree with the majority's ultimate resolution
of this issue and because I would otherwise affirm the convictions
and sentence of death, I concur.
APPENDIX
“Proposition of Law No. I: When a trial court
refuses to instruct on relevant issues and makes improper
suggestions in instructions given, a capital defendant is deprived
of his rights to due process, a fair trial, and reliable
determination of his guilt. Moreover, the refusal to instruct also
deprives the defendant of his right to present a meaningful
defense. U.S. Const. Amends. V, VI, XIV; Ohio Const. Art. I §§ 5,
16.
“Proposition of Law No. II: The admission of
shocking and graphic photographs and slides into evidence at both
phases of a capital trial violates the defendant's right to due
process when the probative value of the slides and photographs is
outweighed by the danger of prejudice to the defendant, and the
slides and photographs are cumulative of other evidence and
repetitive of other photographs. U.S. Const. Amend. XIV; Ohio
Const. Art. I, § 16.
“Proposition of Law No. III: A capital
defendant is denied his substantive and procedural due process
rights to a fair trial when a prosecutor commits acts of
misconduct during the trial and the sentencing phases of his
capital trial. He is also denied his right to reliable sentencing.
U.S. Const. Amends. VIII, XIV; Ohio Const. Art. I §§ 9, 16.
“Proposition of Law No. IV: Where inflammatory,
repetitive evidence is admitted into evidence a capital defendant
is denied his rights to a fair trial, due process and a reliable
determination of his guilt and sentence. U.S. Const. Amends. VIII,
XIV; Ohio Const. Art. I §§ 10, 16.
“Proposition of Law No. V: Instruction that a
jury verdict must be unanimous as to a life sentence is contrary
to O.R.C. § 2929.03(D)(2). Instruction that a jury verdict must be
unanimous as to a life sentence misleads the jury as to its
fundamental role in Ohio's capital sentencing scheme in violation
of the Cruel and Unusual Punishment Clause and the Due Process
Clause. U.S. Const. Amends VIII, XIV; Ohio Const. Art. I, §§ 9,
16.
“Proposition of Law No. VI: A capital
appellant's right to due process is violated when the trial court
admits improper expert testimony. U.S. Const. Amend. XIV; Ohio
Const. Art. I, § 16.
“Proposition of Law No. VII: A capital
appellant's right to due process is violated when the trial court
admits improper lay opinion.
“Proposition of Law No. VIII: The accused's
rights to confrontation and due process are violated when the
state offers hearsay testimony on the ultimate issue of fact in a
capital murder case and the out of court declarant did not
personally observe the matter to which the witness testified. U.S.
Const. Amends. XI, XIV; Ohio Const. Art. I, §§ 10, 16.
“Proposition of Law No. IX: Admission of
irrelevant evidence during a capital defendant's trial deprives
him of a fair trial and due process. U.S. Const. Amend. XIV; Ohio
Const. Art. I, § 16.
“Proposition of Law No. X: The accused's right
to effective assistance of counsel is violated when counsel's
performance is deficient and the accused is thereby prejudiced.
U.S. Const. Amends. VI, XIV; Ohio Const. Art I, § 10.
“Proposition of Law No. XI: Steven Smith's
sentence of death is inappropriate. His difficult childhood,
history of alcoholism, intoxication at the time of the offense, as
well as depression and limited intellectual capacity all favor a
life sentence.
“Proposition of Law No. XII: The service of a
juror at the penalty phase who is biased in favor of the death
penalty violates a capital defendant's right to due process. U.S.
Const. Amend. XIV; Ohio Const. Art. I § 16.
“Proposition of Law No. XIII: Where the trial
court fails to instruct on an essential element of two aggravating
circumstances that make the accused death eligible, a capital
defendant is deprived of his rights to a jury trial, to due
process, and to a reliable capital sentencing hearing. U.S. Const.
Amends. VI, VIII, XIV; Ohio Const. Art. I §§ 5, 9, 16.
“Proposition of Law No. XIV: A capital
defendant's right against cruel and unusual punishment and the
defendant's right to due process are violated when the trial court
implies that mitigating evidence deserves no weight. U.S. Const.
Amends VIII and XIV; Ohio Const. Art. I §§ 9, 16.
“Proposition of Law No. XV: It is
constitutional error for the trial court to consider victim impact
evidence in capital sentencing in the form of an opinion by a
victim's family member about the proper punishment for the
defendant. U.S. Const. Amends. VIII and XIV.
“Proposition of Law No. XVI: A capital
defendant's right against cruel and unusual punishment under the
Eighth and Fourteenth Amendments is denied when the sentencer is
precluded from considering residual doubt of guilt as a mitigating
factor. The preclusion of residual doubt from a capital sentencing
proceeding also violates the defendant's due process right to
rebuttal under the Fourteenth Amendment. The preclusion of
residual doubt may also infringe a capital defendant's right to
effective assistance of counsel as guaranteed by the Sixth and
Fourteenth Amendments. U.S. Const. Amends. VI, VIII, XIV; Ohio
Const. Art. I §§ 9, 10, 16.
“Proposition of Law No. XVII: A capital
defendant's rights against cruel and unusual punishment and to due
process are violated when the sentencing court discounts relevant
mitigation because it does not create an excuse for the
substantive offense of aggravated murder. U.S. Const. Amends.
VIII, XIV; Ohio Const. Art. I, §§ 9, 16.
“Proposition of Law No. XVIII: Ohio's death
penalty law is unconstitutional. Ohio Rev.Code Ann. §§ 2903.01,
2929.02, 2929.021, 2929.022, 2929.023, 2929.03, 2929.04, and
2929.05 (Anderson 1996), do not meet the prescribed constitutional
requirements and are unconstitutional on their face and as applied
to Steven Smith. U.S. Const. Amends. V, VI, VIII, XIV; Ohio Const.
Art. I, §§ 2, 9, 10, 16. Further, Ohio's death penalty statute
violates the United States' obligations under international law.
“Proposition of Law No. XIX: A capital
defendant's right to due process is violated when the state is
permitted to convict upon a standard of proof below proof beyond a
reasonable doubt. U.S. Const. Amend. XIV.
“Proposition of Law No. XX: When the trial
court ignores the express language of Ohio Rev.Code Ann. §
2929.03(D)(1) (Anderson 1993) and sua sponte orders a pre-sentence
investigation report which contains prejudicial content, a capital
defendant's rights to a reliable death sentence and due process of
law are violated. U.S. Const. Amends. V, VI, VIII, XIV; Ohio
Const. Art. I §§ 1, 2, 5, 9, 10, 16, 20.”
Smith v. Bradshaw, 591 F.3d 517 (6th
Cir. 2010). (Habeas)
Background: Following affirmance of conviction
and sentence of death for raping and murdering six-month-old baby,
97 Ohio St.3d 367, 780 N.E.2d 221, petition for writ of habeas
corpus was filed. The United States District Court for the
Northern District of Ohio, Kathleen McDonald O'Malley, J., 2007 WL
2840379, denied the petition. Petitioner appealed.
Holdings: The Court of Appeals, Boggs, Circuit
Judge, held that: (1) petitioner's claim that prosecutor
improperly commented on his failure to testify was procedurally
defaulted; (2) defense counsel's failure to object to prosecutor's
comment was not deficient; (3) counsel's failure to object to
death penalty instruction during capital murder prosecution was
not deficient; (4) state court's determination that evidence would
not permit a jury rationally to find defendant guilty only of
involuntary manslaughter was not contrary to or an unreasonably
application of clearly established federal law; and (5)
petitioner's evidence of intoxication was insufficient, under Ohio
law, to negate intent to kill. Affirmed. Gilman, Circuit Judge,
filed concurring opinion.
BOGGS, Circuit Judge.
Steven Smith is an Ohio inmate sentenced to
death for raping and murdering a six-month-old baby. We affirm the
district court's denial of a writ of habeas corpus.
I. Background
On September 28, 1998, Smith was living with
his girlfriend, Keysha Frye, and her two young daughters,
two-year-old Ashley and six-month-old Autumn. That evening, Smith
drank three beers while he, Frye, and the children visited a
friend. On the way home, Smith bought a twelve-pack of beer and
drank one in the car. Once back at Frye's apartment, Smith and
Frye put the children to bed, then watched television and had sex.
Frye went to bed around 11:00 p.m., but Smith stayed up drinking.
At approximately 3:22 a.m., Smith woke Frye by placing Autumn's
naked body next to her. Frye realized that Autumn was not
breathing and accused Smith of killing her; Smith threw an alarm
clock and said that she was not dead. Frye quickly took Autumn's
body and Ashley to a neighbor's apartment, screaming that Smith
had killed her baby. Smith followed, exclaiming that he “didn't do
anything” and asking “why was she fucking lying,” but the neighbor
did not let him in. A short while later, another neighbor observed
Smith throw a trash bag in the dumpster and heard Smith say that
he did not do anything and that he was leaving. This neighbor
convinced Smith not to leave.
When the police arrived, they saw no signs of forcible entry
in Frye's apartment, and they found the television on and
extremely loud. They discovered Autumn's pink baby sleeper under
the coffee table and Smith's cutoffs and jeans near the couch.
They also found whitish-colored material, later determined to be
pieces of shredded diaper, scattered on the floor in the same
area, and piles of Autumn's hair were found on the coffee table.
The police also retrieved a garbage bag from the outside trash
dumpster that contained a torn baby diaper, Smith's t-shirt, and
ten empty beer cans. When approached by an officer, Smith
preemptively exclaimed, “I didn't do it, I didn't do it”; he
smelled of alcohol and swayed back and forth while speaking. At
the police station, Smith told detectives that he had drunk four
beers that night. He stated that he and Frye had gone to bed at
midnight and that he was awakened by Frye, who was accusing him of
killing Autumn. A month later, Smith changed his story, telling
police that he had consumed nine beers, and that he awoke
downstairs at 3:25 a.m. and, believing that something was wrong
with Autumn, carried her upstairs. He also denied putting trash in
the dumpster.
Smith was charged with aggravated murder for
raping and killing a child under the age of thirteen. At trial,
the coroner who performed the autopsy testified extensively, using
autopsy photographs and slides. He explained that Autumn died from
compression asphyxia and blunt trauma to the head. The injuries to
her head and the abrasions on her forehead, cheek, and chin
indicated that she was lying on her abdomen and that her face had
been forced into a pillow. Contusions to her buttocks indicated
that they were subject to pressure from the weight of another
person. Other bruising and abrasions revealed that Autumn had
resisted the attack. She also suffered subarachnoid and retinal
hemorrhages consistent with shaken baby impact syndrome,
indicating that she had been restrained, and she was missing hair
from the back of her head, suggesting that the attacker had
forcefully grasped it. Furthermore, her clitoris was red, her
vagina was ten times the normal size for a baby her age, and there
was a hemorrhage in her anus, all indicative of attempted
penetration. Additionally, Autumn's blood was found on two seat
cushions and on her pink sleeper. No semen was found.
Smith offered the testimony of a
board-certified forensic toxicologist to support his intoxication
defense. The police tested Smith's blood-alcohol level at 11:00
a.m. on September 29, approximately seven hours after he was
arrested, as 0.123%. The toxicologist testified that, based on
this result, Smith's blood-alcohol level would have been at least
0.36% and possibly as high as 0.60% at 11:30 p.m. on September 28.
Smith also offered evidence that he drank as many as fifteen beers
that night, and that he was an alcoholic who drank heavily and
frequently blacked out.
The jury found Smith guilty as charged and
sentenced him to death. The Ohio Supreme Court affirmed Smith's
conviction and sentence on direct appeal, State v. Smith, 97 Ohio
St.3d 367, 780 N.E.2d 221 (2002), and the Ohio Court of Appeals
denied his petition for postconviction review. The district court
denied Smith's petition for a writ of habeas corpus. Smith
appeals, having received a certificate of appealability on four
claims: (1) that the prosecutor improperly commented on his
failure to testify; (2) that the penalty-phase jury instructions
were misleading; (3) that counsel was constitutionally ineffective
for failing to object to the misleading penalty instructions and
for not requesting clarifying instructions; and (4) that the trial
court should have instructed the jury on the lesser included
offense of involuntary manslaughter.
II. Standard of Review
When a state court has “adjudicated ... the
merits” of a defendant's claim, we may only grant a writ of habeas
corpus if the state court decision “was contrary to, or involved
an unreasonable application of, clearly established Federal law,
as determined by the Supreme Court,” or “was based on an
unreasonable determination of the facts in light of the evidence
presented in the State court proceeding.” 28 U.S.C. § 2254(d). An
adjudication on the merits is contrary to clearly established
Supreme Court law if, for example, the “state court applies a rule
that contradicts the governing law set forth in [Supreme Court]
cases.” Williams v. Taylor, 529 U.S. 362, 405–06, 120 S.Ct. 1495,
146 L.Ed.2d 389 (2000). An adjudication on the merits unreasonably
applies Supreme Court law if, for example, “the state court
identifies the correct governing legal rule ... but unreasonably
applies it to the facts of the particular state prisoner's case.”
Id. at 407, 120 S.Ct. 1495. The application must be “objectively
unreasonable,” not merely incorrect. Id. at 409–10, 120 S.Ct.
1495. When a state court's adjudication on the merits is either
contrary to or an unreasonable application of clearly established
Supreme Court precedent, we “must then resolve the claim without
the deference AEDPA otherwise requires.” Panetti v. Quarterman,
551 U.S. 930, 953, 127 S.Ct. 2842, 168 L.Ed.2d 662 (2007).
III. Prosecutorial Misconduct
Smith's first claim is that the prosecutor
improperly commented on his failure to testify during the guilt
phase by telling the jurors to ask themselves, “[d]id [Smith]
claim accident, that he didn't do this on purpose?” See Griffin v.
California, 380 U.S. 609, 615, 85 S.Ct. 1229, 14 L.Ed.2d 106
(1965). This claim is procedurally defaulted: counsel failed to
object to the comment at trial, and the state court enforced the
procedural bar by reviewing the claim only for plain error. See
Seymour v. Walker, 224 F.3d 542, 557 (6th Cir.2000). Smith asserts
that we should not enforce his default. But his claim that the
state courts do not regularly enforce Ohio's contemporaneous
objection rule is “squarely foreclosed” by our precedent. Nields
v. Bradshaw, 482 F.3d 442, 451 (6th Cir.2007) (holding that Ohio's
state courts have not “applied its contemporaneous objection rule
unevenly and inconsistently” with regard to prosecutorial
misconduct claims). And he cannot excuse his default through the
ineffectiveness of counsel because he cannot show that counsel's
failure to object to this one comment—thereby drawing attention to
it—was deficient. Lundgren v. Mitchell, 440 F.3d 754, 774–75 (6th
Cir.2006) (“[A]ny single failure to object [to closing arguments]
usually cannot be said to have been error.... [D]efense counsel
must so consistently fail to use objections, despite numerous and
clear reasons for doing so, that counsel's failure cannot
reasonably have been said to have been part of a trial strategy or
tactical choice.”).
IV. Misleading Jury Instructions
We address Smith's second and third claims
together because both relate to the penalty-phase jury
instructions. Smith's second claim is that the penalty
instructions violated Caldwell v. Mississippi, 472 U.S. 320, 105
S.Ct. 2633, 86 L.Ed.2d 231 (1985), because they “affirmatively
misled [the jury] regarding its role in the sentencing process,”
Romano v. Oklahoma, 512 U.S. 1, 9, 114 S.Ct. 2004, 129 L.Ed.2d 1
(1994). Under Ohio law, the jury must unanimously recommend the
death penalty; thus, “a solitary juror may prevent” it. State v.
Brooks, 75 Ohio St.3d 148, 661 N.E.2d 1030, 1042 (1996). Smith
contends that the instructions wrongly suggested that the jury was
required to reject the death penalty unanimously, rather than to
choose it unanimously.
This claim is also procedurally defaulted.
Counsel did not object to the instructions as given. Smith wrongly
suggests that the state court did not enforce the procedural bar
because it did not discuss this claim “in terms of ‘plain error.’
” After reviewing the several jury-instruction claims that Smith
had preserved for appeal, the court stated: “As for the remaining
arguments regarding jury instructions, since Smith did not raise
an objection, we apply a plain-error analysis”; it then rejected,
inter alia, this claim. Thus, the court enforced the procedural
bar, see Seymour, 224 F.3d at 557.
Smith's third claim is that his counsel was
ineffective for failing to object to the penalty instructions as
misleading and for not requesting an additional instruction
explicitly stating that a solitary juror could prevent the death
penalty. See Strickland v. Washington, 466 U.S. 668, 687, 104
S.Ct. 2052, 80 L.Ed.2d 674 (1984). Although the state court
rejected this claim on the merits, we review it de novo because
Smith also argues that it excuses the default of his second claim.
See Girts v. Yanai, 501 F.3d 743, 753 (6th Cir.2007). (“[C]ounsel
cannot be ineffective for a failure to raise an issue that lacks
merit.”). The instructions stated: “You shall impose the death
sentence only if all 12 of you unanimously find [that the death
penalty is appropriate]. You shall impose one of the life
imprisonment verdicts if all 12 of you do not unanimously find
[that the death penalty is appropriate]” (emphasis added). This
unmistakably informed the jury that the death penalty must be
endorsed by every juror, and thus that one juror could prevent it.
Cf. Hartman v. Bagley, 492 F.3d 347, 362–65 (6th Cir.2007)
(rejecting an identical claim about the instruction, “[I]f ... you
cannot unanimously agree that the [death penalty is appropriate],
... you will then [impose a life sentence]”). No other aspect of
the instructions or the verdict forms undermined this clarity.
Smith's counsel was also not ineffective for
failing to request an additional “solitary juror” instruction, to
which Smith was entitled under Ohio law, Brooks, 661 N.E.2d at
1042. Even if Smith's counsel was deficient for failing to request
the additional instruction, Smith cannot show a reasonable
probability that the instruction would have led to a different
outcome: the instructions as given adequately informed the jury
that a single juror could prevent the death penalty, and thus an
additional instruction would not have told the jury anything it
did not already know.
V. Lesser–Included–Offense Instruction
Smith's final claim is that the trial court
erred in refusing to instruct the jury on involuntary
manslaughter. In capital cases, Beck v. Alabama requires that the
jury be instructed on a noncapital lesser-included offense if, and
only if, “the evidence would permit a jury rationally to find [the
defendant] guilty of the lesser offense and acquit him of the
greater.” 447 U.S. 625, 635, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980)
(internal quotation marks omitted). Beck explained that “when the
evidence unquestionably establishes that the defendant is guilty
of a serious, violent offense—but leaves some doubt with respect
to an element that would justify conviction of a capital
offense—the failure to give the jury the ‘third option’ of
convicting of a lesser included offense would seem inevitably to
enhance the risk of an unwarranted conviction.” Id. at 637, 100
S.Ct. 2382.
Under Ohio law, involuntary manslaughter is a
lesser included offense of aggravated murder, distinguished by the
lack of intent to kill. State v. Campbell, 69 Ohio St.3d 38, 630
N.E.2d 339, 349 (1994). Smith contends that the trial court should
have instructed the jury on involuntary manslaughter because,
while there was overwhelming evidence that Smith raped and killed
Autumn, the evidence of his voluntary intoxication would allow a
rational jury to reasonably doubt whether he intended to kill her.
The state court denied this claim on the merits, carefully
recounting Autumn's injuries and concluding that no reasonable
juror could have found that Smith did not intend to kill her,
given the brutality and duration of the crime. Smith contends that
the state court's decision is both contrary to and an unreasonable
application of Beck. He argues that the decision is contrary to
Beck because the court did not, in fact, determine whether a
rational jury reasonably could have doubted his intent to kill;
rather, he maintains that the court rejected his claim only
because he did not provide evidence of a specific intent to molest
Autumn and because the evidence was sufficient to support the
verdict. This argument fails. The court noted that Smith had not
provided any evidence of an intent only to molest rather than to
kill. Also, Smith never admitted that he molested her. And, while
the state court's opinion is not ideal, it plainly did not review
the verdict only for the sufficiency of the evidence: the court
properly recited Beck's rule, it relied on three cases that
properly applied Beck, and its analysis is consistent with Beck.
Smith has failed to rebut the “presumption that state courts know
and follow the law,” Woodford v. Visciotti, 537 U.S. 19, 24, 123
S.Ct. 357, 154 L.Ed.2d 279 (2002) (per curiam).
Smith's argument that the state court
unreasonably applied Beck requires more analysis, but also
fails.FN1 It is well established that a lesser-included-offense
instruction is not required where the facts of a murder so
strongly indicate intent to kill that the jury could not
rationally have a reasonable doubt as to the defendant's intent.
See, e.g., Hopper v. Evans, 456 U.S. 605, 613, 102 S.Ct. 2049, 72
L.Ed.2d 367 (1982) (denying a Beck claim where the defendant's
testimony and evidence that he shot the victim in the back during
an armed robbery “affirmatively negated any claim that he did not
intend to kill the victim”); Campbell v. Coyle, 260 F.3d 531,
543–44 (6th Cir.2001) (holding that the defendant's Beck claim
failed because the number and location of the victim's five stab
wounds “compelled a reasonable jury to find that the [defendant]
possessed the intent to kill,” despite evidence of a struggle);
see also Slaughter v. Parker, 450 F.3d 224, 236–38 (6th Cir.2006)
(rejecting a Beck claim in the alternative because the “facts
[that the victim was bludgeoned in the head and stabbed five
times] foreclose the conclusion that [the defendant] acted with
any mental state other than intent”); Abdus–Samad v. Bell, 420
F.3d 614, 629 (6th Cir.2005) (rejecting a Beck claim in the
alternative because “[t]he fact that [the defendant] shot the
victim with a pistol five to six times makes it virtually
impossible to find that the killing was accidental”).
FN1. Because we reject Smith's claim on the
merits, we need not decide whether harmless error review can apply
to Beck claims. Compare Hogan v. Gibson, 197 F.3d 1297, 1312 n. 13
(10th Cir.1999) (holding that it does not); Cordova v. Lynaugh,
838 F.2d 764, 767 (5th Cir.1988) (same), overruled on other
grounds as recognized by Vanderbilt v. Collins, 994 F.2d 189, 195
(5th Cir.1993), with Gerlaugh v. Stewart, 129 F.3d 1027, 1031 (9th
Cir.1997) (applying Brecht's harmless error standard to a Beck
claim).
This case law reflects the sensible view that,
as a general matter, repeated violent conduct conclusively proves
intent to kill. Autumn's death reflects such conduct: for ten to
thirty minutes, Smith violently raped a six-month-old baby, during
which time the baby resisted the attack and Smith forcibly subdued
her by forcing her face into a pillow, ripping out her hair,
shaking her, and causing deadly blunt force trauma to her head.
Compared to the overwhelming proof of intent from such directed
and persistent brutality, Smith's intoxication evidence, which was
not connected to any testimony that he was too drunk to form any
intent, does not allow a juror rationally to acquit him of
aggravated murder. Cf. Palmer v. Bagley, 330 Fed.Appx. 92, 99–100
(6th Cir.2009) (concluding “that a jury could not rationally have
found that [the defendant] lacked the specific intent to kill each
victim” where both were shot twice in the head at close range,
“execution-style,” despite the defendant's evidence that he was
severely intoxicated from alcohol and LSD, that there had been a
struggle, and his testimony that he did not intend to kill the
victims). Therefore, we cannot say the state court's decision was
unreasonable.
Smith's case may be compared usefully with the
cases cited in the previous two paragraphs. Smith's fundamental
claim is that a jury could reasonably make the leap from his
obvious intoxication to the conclusion that he did not intend to
kill Autumn Frye. And, it is certainly not physically or logically
impossible that he did not harbor such an intent, because the
ultimate fact of intent can only be inferred, rather than ever
known. However, what Smith seeks from a jury would be a leap of
faith, not an inferential leap based on evidence. We note that
Smith did not contend, through his own testimony or any other type
of circumstantial evidence, that he intended only molestation, but
not killing. His basic position was always that no molestation
occurred. In the cases cited above, it was equally true that it
was not physically or logically impossible that there was no
intent to kill. In Hopper, it was not impossible that a gunman
firing a shot that struck the victim in the back intended only to
frighten or wound. In Campbell, it was not physically impossible
that an assailant in a struggle might strike five wounds in the
chest while intending only to disable but, as Judge Gilman's
opinion there ably showed, a conclusion need not be impossible to
be unreasonable. 260 F.3d at 543–44. Similarly, the wounds
delivered in Slaughter and in Abdus–Samad could in principle have
been inflicted by a flailing assailant intending only minatory
action, but there was no evidence that this theoretically possible
situation occurred, just as in our case there is no evidence from
which a jury could reasonably draw the conclusion that Smith
intended some outrage, but not killing. In particular, the
evidence showed not only simple asphyxiation, which might in
theory have been caused only by Smith's weight pressing on the
baby in the course of a rape. Instead, the evidence directly
showed blunt trauma to the head and shaken baby impact syndrome,
indicative of lethal force purposefully applied.
And even if the state court's analysis under
Beck were unreasonable, we would analyze Smith's claim under de
novo review, Panetti, 551 U.S. at 953, 127 S.Ct. 2842, and reject
it because his evidence of intoxication was insufficient as a
matter of state law to negate intent to kill. A
lesser-included-offense instruction is required only where “the
facts of the case and the laws of the State warrant such an
instruction.” Hill v. Black, 920 F.2d 249, 251 (5th Cir.1990)
(emphasis added); cf. Hopkins v. Reeves, 524 U.S. 88, 95–99, 118
S.Ct. 1895, 141 L.Ed.2d 76 (1998) (holding that Beck requires
instruction only on crimes that are lesser included offenses under
state law); Spaziano v. Florida, 468 U.S. 447, 456–57, 104 S.Ct.
3154, 82 L.Ed.2d 340 (1984) (holding that a
lesser-included-offense instruction was not required when the
lesser offense's state-law statute of limitations had run). Under
Montana v. Egelhoff, states may regulate when—or if—evidence of
voluntary intoxication can negate specific intent. 518 U.S. 37,
56, 116 S.Ct. 2013, 135 L.Ed.2d 361 (1996). We agree with our
apparently unanimous sister circuits that, given Egelhoff, Beck
claims based on voluntary intoxication that negates intent will
fail unless the evidence of intoxication satisfies the state law
requirements for negating intent. See, e.g., Spears v. Mullin, 343
F.3d 1215, 1244–45 (10th Cir.2003) (applying Oklahoma's rule that
the defendant must be “so intoxicated that his mental abilities
were overcome or that the intoxication prevented him from acting
with malice”); Skipper v. Lee, 238 F.3d 414 (Table), 2000 WL
1853330, at *5 (4th Cir.2000) (applying North Carolina's rule that
the defendant must produce “substantial evidence which would
support a conclusion by the judge that he was so intoxicated that
he could not form a deliberate and premeditated intent to kill”);
Goodwin v. Johnson, 132 F.3d 162, 191–92 (5th Cir.1997) (holding
that “the laws of [Texas] foreclose our finding a Beck violation
on the basis [of] evidence of [the defendant's] voluntary
intoxication” because Texas does not allow voluntary intoxication
to negate intent); Clabourne v. Lewis, 64 F.3d 1373, 1379–81 (9th
Cir.1995) (explaining that in evaluating Beck claims based on
intoxication, the court must “first consider whether Arizona
recognizes intoxication as a defense to the premeditation element
of first-degree murder”).
At the time of Smith's conviction, Ohio law
allowed voluntary intoxication to “create a reasonable doubt as
to” the defendant's intent to kill “[o]nly where the defendant was
so intoxicated as to be mentally unable to intend anything.” FN2
State v. Otte, 74 Ohio St.3d 555, 660 N.E.2d 711, 720 (1996).
Thus, even belief in a claim (not made here) that Smith only
intended rape, but not murder, would not justify the instruction.
The state court rejected Smith's request for a
voluntary-intoxication instruction, concluding that the evidence
demonstrated that he could “intend [some]thing” at the time of the
murder. Smith's claim that this holding was error was not
certified for appeal, and the state court's holding therefore
forecloses his Beck claim: as a matter of state law, Smith's
intoxication evidence could not create a reasonable doubt as to
his intent to kill. FN2. Effective October 2000, Ohio eliminated
voluntary intoxication as a defense to specific intent. See Ohio
Rev.Code § 2901.21(C) ( “Voluntary intoxication may not be taken
into consideration in determining the existence of a mental state
that is an element of a criminal offense.”).
Nonetheless, we note our agreement with the
state court's conclusion. As we explained above, the facts of the
crime demonstrate that Smith could “intend [some]thing.” So do his
actions immediately before and after the murder. Smith apparently
was aware enough to: turn up the volume on the television to drown
out Autumn's cries; remove her baby sleeper and tear apart her
diaper; carry her body upstairs to her mother; have conversations
with the neighbors and the police, and deny responsibility for her
death repeatedly; and clean up the evidence of the murder and
throw it away. These are not the aimless and uncontrolled actions
of an individual incapable of “intend[ing] anything.” Cf. Otte,
660 N.E.2d at 720–21 (finding that the defendant was not “so
intoxicated as to be mentally unable to intend anything” because,
inter alia, he turned up the volume of the television to drown out
the victims' cries, he shot them in the head, and he left the
crime scene); State v. Tillman, 2000 WL 1682, at *3 (Ohio App.
Dec. 20, 1999) (rejecting a request for voluntary-intoxication
instructions where the defendant was able to ride a bike and
“complet[e] the physical acts necessary for his part in getting
aboard and absconding with [the victim's] vehicle,” and where the
defendant's assault of the victim indicated “the cognitive
wherewithal to understand that the vehicle's owner stood as an
impediment to getting away with the crime”); State v. Adkins, 1997
WL 66763, at *3 (Ohio App. Feb.11, 1997) (rejecting a request for
voluntary-intoxication instructions because, although the
defendant was too intoxicated to give a statement to police upon
arrest, he had been able to drive a car, have a conversation, and
retrieve a gun before the murder).
VI. Conclusion
We AFFIRM the district court's denial of habeas
relief.
RONALD LEE GILMAN, Circuit Judge, concurring.
I concur in Parts III (prosecutorial
misconduct) and IV (misleading jury instructions) of the lead
opinion without reservation. Because Ohio state law at the time of
Smith's conviction severely restricted the consideration of his
intoxication evidence to the point of rendering it unhelpful to
Smith, I also reluctantly join in Part V (the
lesser-included-offense instruction). But I write separately to
express my concerns regarding the Ohio Supreme Court's analysis of
the issue of the lesser-included-offense jury instruction under
Beck v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392
(1980). In Beck, the Supreme Court held that the death penalty may
not be imposed where the jury is “not permitted to consider a
verdict of guilt of a lesser included non-capital offense, and
[where] the evidence would have supported such a verdict.” 447
U.S. at 627, 100 S.Ct. 2382. The petitioner in that case, Gilbert
Beck, participated in a robbery with an accomplice. Id. at 629–30,
100 S.Ct. 2382. Beck maintained that he never intended to kill the
victim, and that his accomplice unexpectedly struck and killed the
man after Beck had bound him to a chair. Id. The state charged
Beck with intentional killing during the course of a robbery, and
the trial judge was precluded by a state statute from instructing
the jury as to the lesser-included offense of felony murder. Id.
at 630, 100 S.Ct. 2382. After Beck was convicted and sentenced to
death, his punishment was upheld by the Alabama Supreme Court. Id.
at 632, 100 S.Ct. 2382. The United States Supreme Court reversed,
identifying the need for a “procedural safeguard” that would
“afford[ ] the jury a less drastic alternative than the choice
between conviction of the offense charged and acquittal.” Id. at
633, 637, 100 S.Ct. 2382. In particular, the Court recognized that
when the evidence unquestionably establishes that the defendant is
guilty of a serious, violent offense—but leaves some doubt with
respect to an element that would justify conviction of a capital
offense—the failure to give the jury the “third option” of
convicting on a lesser included offense would seem inevitably to
enhance the risk of an unwarranted conviction. Id. at 637, 100
S.Ct. 2382.
Beck therefore identifies the need to provide
jurors with this “third option” in order to avoid two
polar-opposite results: convicting a defendant based on a “belief
that the defendant is guilty of some serious crime and should be
punished,” or acquitting a guilty defendant based on the belief
that, “whatever his crime, the defendant does not deserve death.”
Id. at 642–43, 100 S.Ct. 2382. And although both of these two
outcomes are undesirable, the “fundamental concern” in Beck is
“that a jury convinced that the defendant had committed some
violent crime but not convinced that he was guilty of a capital
crime might nonetheless vote for a capital conviction if the only
alternative was to set the defendant free with no punishment at
all.” Schad v. Arizona, 501 U.S. 624, 646, 111 S.Ct. 2491, 115
L.Ed.2d 555 (1991). When evaluating Smith's appellate argument
that he was entitled to an involuntary manslaughter instruction
(which, unlike the charge of aggravated murder, does not require a
showing of an intent to kill), the Ohio Supreme Court misapplied
Beck in two respects. The Court first noted that, contrary to
Smith's contention, “he presented no evidence at trial indicating
that he intended to sexually assault, rather than kill, Autumn.”
State v. Smith, 97 Ohio St.3d 367, 780 N.E.2d 221, 228 (2002).
(The lead opinion echoes this assertion, stating that Smith did
not present any evidence “that he intended only molestation.”
(Lead Op. at 525)) Lack of proof from the defendant, however, is
irrelevant under Beck because a reviewing court's analysis is
limited to whether the evidence as a whole supports the giving of
such an instruction. See Hopper v. Evans, 456 U.S. 605, 611, 102
S.Ct. 2049, 72 L.Ed.2d 367 (1982). Moreover, the defendant in a
criminal case is never obligated to present any evidence. United
States v. Hynes, 467 F.3d 951, 957 (6th Cir.2006) (approving the
use of a jury instruction stating that the “[d]efendant has no
burden to prove his innocence or to present any evidence or to
testify”). The Ohio Supreme Court thus improperly implied that
Smith bore the burden of providing exculpatory evidence regarding
his intent, whereas Beck in fact imposes no such burden.
Second, the Ohio Supreme Court summarized
Autumn's injuries and the testimony about those injuries in a
scant few sentences to conclude that Smith had the intent to kill.
Smith, 780 N.E.2d at 228. In doing so, the Court held that there
was sufficient evidence to reach this conclusion. See id.
(“Consequently, we reject Smith's argument that evidence of
purpose was lacking.”). But a Beck analysis is not a
sufficiency-of-the-evidence inquiry. Hyatt v. Branker, 569 F.3d
162, 174 (4th Cir.2009) (“A Beck challenge does not question
whether the prosecutor presented evidence sufficient to sustain a
conviction of a capital offense.”); Hogan v. Gibson, 197 F.3d
1297, 1305 (10th Cir.1999) (observing that Beck “requires a court
to consider whether there is sufficient evidence to warrant
instructing a jury on a lesser included offense, not whether there
is sufficient evidence to warrant conviction on the greater
offense”). The Ohio Supreme Court conducted no analysis to
consider whether the evidence would permit a reasonable juror to
find that Smith intended only to rape Autumn and not to kill her.
Instead, the Court focused its attention solely on whether the
evidence supported a finding that Smith intended to kill Autumn,
thereby overlooking its duty to consider whether the evidence cast
“some doubt” as to Smith's intent to kill. See Beck, 447 U.S. at
637, 100 S.Ct. 2382. And the evidence presented at trial, in my
opinion, did exactly that. First, there was evidence that Smith
was highly intoxicated, which in turn would have made him less
aware of the consequences of his aggressive behavior on a
six-month-old child. The proof indicates that, during the course
of the evening, Smith consumed at least ten cans of beer. He had a
blood-alcohol level of .123 when he was tested by the police more
than seven hours after the incident. Based upon this evidence, a
board-certified toxicologist testified at trial that Smith's
blood-alcohol level would have been at least .36 and possibly as
high as .60 shortly before midnight. Other witnesses testified
that Smith was known to be a heavy drinker who had blacked out on
several occasions in the past. Both Keysha Frye (Autumn's mother
and Smith's girlfriend) and one of her neighbors testified that on
the night of the incident and in the early morning hours the
following day, Smith was “very drunk.” Moreover, officers reported
that they observed Smith swaying back and forth while he was
answering their questions shortly after they arrived at Frye's
house. A reasonable juror could thus conclude from this evidence
that Smith was too intoxicated to realize the fatal consequences
of his actions.
In addition, there was no evidence to show that
Smith had any motive to kill Autumn. Multiple witnesses, including
Smith's sister and a former girlfriend with whom Smith had a
child, testified that Smith had taken good care of children when
he had been around them. Furthermore, Frye had on many occasions
entrusted Smith to watch both Autumn and her two-year-old
daughter, Ashley, while Frye was at work. The absence of any
evidence as to why Smith would kill Autumn further calls into
question the conclusion that he intended to kill her. Smith also
made no effort to conceal Autumn's body after she died. Instead,
Smith took Autumn's body upstairs to the bedroom he shared with
Frye, and he placed Autumn's body next to Frye in the bed. Smith
also denied that Autumn was dead. A reasonable juror could
interpret these actions as indicating that Smith did not realize
that he had killed Autumn, a conclusion that, by necessary
implication, would indicate a lack of intent to kill. Finally,
contrary to the Ohio Supreme Court's conclusion, Autumn's injuries
are as consistent with Smith trying to keep her quiet as they are
with any purported intent to take her life. Autumn suffered
injuries to the side of her head and had bruising around her eyes.
Dr. Marvin Platt, the coroner who performed the autopsy, testified
at trial that Autumn died from asphyxia and blunt trauma to the
head. Injuries to her head and abrasions on her forehead, cheek,
and chin, he surmised, indicated that Autumn was lying on her
stomach and that her face had been forced into a pillow. He also
observed that Autumn suffered subarachnoid and retinal hemorrhages
consistent with shaken-baby syndrome, which indicated that an
effort had been made to restrain Autumn. Although one
interpretation of this testimony is that Smith deliberately
suffocated Autumn in a pillow, another reasonable interpretation
is that Smith unintentionally crushed Autumn with the weight of
his body and caused her asphyxiation during the course of the
rape. The nature of Autumn's injuries thus do not necessitate a
finding of deliberate intent to kill on the part of Smith.
I find particularly significant the fact that
the jurors grappled with the issue of intent following the close
of the evidence. During the penalty phase, the jury submitted the
following question to the court: “If we feel [Smith] was not in
his right mind, is that reason enough alone not to give him a
death sentence according to the law”? This question indicates that
the jurors, based on their weighing of the evidence presented at
trial, had doubts as to whether Smith had the mental capacity to
develop the intent to kill Autumn at the time of the rape. The
lead opinion declines to view the evidence from this perspective,
asserting that the facts of Autumn's murder “conclusively proves
intent to kill” so as to preclude any juror's reasonable doubt as
to Smith's intent. (Lead Op. at 524) But the cases that the lead
opinion relies upon to support that assertion all present
scenarios markedly different from the circumstances in the instant
case. In Hopper v. Evans, 456 U.S. 605, 613, 102 S.Ct. 2049, 72
L.Ed.2d 367 (1982), for example, the petitioner admitted to
shooting the victim in the back during the course of an armed
robbery. The petitioner in Campbell v. Coyle, 260 F.3d 531, 535,
543 (6th Cir.2001), stabbed his victim with a knife at least four
times. Similarly, in Slaughter v. Parker, 450 F.3d 224, 237–38
(6th Cir.2006), the petitioner bludgeoned the victim in the head
and stabbed her five times in the chest, “including a stab wound
that penetrated five inches into her chest and pierced her heart.”
(Citation omitted.) And in Abdus–Samad v. Bell, 420 F.3d 614, 629
(6th Cir.2005), the petitioner shot the victim five or six times.
The above scenarios stand in sharp contrast to the circumstances
of the present case, where there is no evidence conclusively
demonstrating an intent to kill, such as repeated stabbings or
shootings. There is in fact no indication that Smith used a weapon
of any kind, unlike the petitioners in the cases relied upon by
the lead opinion. In sum, I believe there is “some doubt,” see
Beck, 447 U.S. at 637, 100 S.Ct. 2382, of Smith's intent to kill
Autumn in light of his extreme intoxication, his lack of motive to
kill Autumn, his taking Autumn's body to Frye after the incident,
and the nature of Autumn's injuries.
Unfortunately for Smith, however, the above
analysis is insufficient to grant Smith habeas relief because, as
the lead opinion correctly notes, Ohio law at the time of his
conviction effectively precluded Smith from relying on evidence of
his intoxication to support the argument that he intended only to
rape, and not kill, Autumn. See State v. Otte, 74 Ohio St.3d 555,
660 N.E.2d 711, 720 (1996) (permitting a defendant to raise a
voluntary-intoxication defense “only where the defendant was so
intoxicated as to be mentally unable to intend anything” and thus
“create a reasonable doubt as to his ability to form the specific
intent essential to the charged felony.” (citation and internal
quotation marks omitted)). The facts before us demonstrate that
Smith, despite his intoxication, clearly intended something of a
criminal nature. (Indeed, Smith concedes on appeal that he
intended to rape Autumn.) And, as noted by the lead opinion, the
Supreme Court has upheld similar state-law interpretations against
due process challenges. See Montana v. Egelhoff, 518 U.S. 37, 56,
116 S.Ct. 2013, 135 L.Ed.2d 361 (1996) (holding that a Montana
statute providing that voluntary intoxication could not be
considered when determining a defendant's mental state did not
violate due process); see also Goodwin v. Johnson, 132 F.3d 162,
191 (5th Cir.1997) (holding that, in light of Egelhoff, “the laws
of the state foreclose our finding a Beck violation on the basis
that evidence of Goodwin's voluntary intoxication could have
allowed a reasonable jury to convict him of the lesser-included
offense of murder”).
Without Smith's intoxication argument—the
strongest, in my opinion, demonstrating his lack of intent to
kill—the remaining evidence would not permit a reasonable juror to
find that Smith intended only to rape Autumn. Therefore, despite
my disagreement with the Ohio Supreme Court's analysis, I concur
with the lead opinion's conclusion that Smith is not entitled to
habeas relief.