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Winford Lavern
STOKES Jr.
State of Missouri v.
Winford L. Stokes
Cite as 638 SW 2d 715 (Mo.banc 1982)
Winford L.
Stokes was executed on May 11, 1990
Case Facts:
On February 18, 1978, Stokes was staying with a woman named Darlene at
a hotel in the city of St. Louis. That evening she had a date with a
friend named Wilbert, and Stokes joined the two for dinner at the
Heritage House and later arrived at a lounge called "Some Place Else"
where victim Pamela R. Brenda was as well. Drink orders were delayed, so
Stokes went to find a waitress.
Soon thereafter, Stokes was seen
dancing with the victim, and she returned to the table with him and
introduced herself to Darlene and Wilbert. She joined the group which
imbibed several rounds of drinks but it seems agreed that no one was
intoxicated.
At approximately 11:30 pm,
Darlene and Wilbert announced they were ready to leave. Stokes asked
Wilbert to go to the restroom with him where he said that he "would
catch a ride home" as the victim had promised to take him.
On Tuesday, February 21, 1978,
the manager of the apartment building used his pass-key to allow a
serviceman to enter the victim’s apartment. When they entered a back
bedroom, they discovered her nude body sprawled on the floor with a
pillow or pillow case over her head and an apron wrapped around her neck.
The police were called and her
employer arrived later to identify the body. The apartment was in
disarray with the bedroom ransacked, and the police remained nearly
eight hours collecting evidence. Several latent fingerprints were lifted
from different objects in the room and four prints were determined later
to be those of Stokes.
The next day an autopsy was
performed and the cause of death was determined to be manual
strangulation and that death had occurred more than one day prior to the
autopsy.
851 F.2d 1085
Winford L. STOKES, Jr., Appellant, v.
William M. ARMONTROUT, William L. Webster, Appellees.
Before McMILLIAN, ARNOLD, and
BOWMAN, Circuit Judges.
BOWMAN, Circuit Judge.
Winford Stokes appeals the
denial of his petition for a writ of habeas corpus pursuant to
28 U.S.C. Sec. 2254. We affirm.
Stokes was convicted of
capital murder in the Circuit Court of St. Louis County in
October 1979. He was sentenced to death. The conviction was
affirmed by the Missouri Supreme Court. State v. Stokes, 638 S.W.2d
715 (Mo.1982) (en banc). Petitioner then moved to vacate the
judgment under Missouri Supreme Court Rule 27.26.1
The St. Louis Circuit Court held an evidentiary hearing and
denied petitioner's motion. The Missouri Court of Appeals
affirmed the circuit court's denial of post-conviction relief.
Stokes v. State, 688 S.W.2d 19 (Mo.Ct.App.1985).
In June 1985 Stokes filed the
instant federal habeas corpus petition. It was referred to a
federal magistrate,2
who wrote a 32-page report recommending that the petition be
denied. Stokes v. Armontrout, No. 85-1496 C (6), Report &
Recommendation, (Sept. 22, 1986). In November 1986 the District
Court3 adopted
the magistrate's recommendation.
Petitioner asserts ten grounds
for relief: (1) the State improperly withdrew from a plea
agreement; (2) the State's endorsement of twenty-five new
witnesses on the day of trial and his attorney's failure to
interview these witnesses deprived petitioner of his
constitutional right to effective cross-examination; (3) he was
denied due process when the State was allowed to give notice of
its evidence in aggravation on the day of trial, and by the
State notifying him only one month before trial of its intent to
seek the death penalty; (4) he was denied due process and
effective assistance of counsel when the court refused to grant
a continuance after the State's late endorsements, and his
attorney failed to interview five witnesses who did testify; (5)
his attorney was ineffective because he failed to raise the
issue of the court's error in not instructing the jury on the
lesser-included offense of first degree murder in petitioner's
motion for new trial; (6) his attorney was ineffective because
he did not prepare for or present any evidence in the sentencing
phase of the trial; (7) his right to a speedy trial was violated,
inter alia, by the sixteen-month delay between indictment and
trial; (8) his attorney was ineffective because he submitted a
deficient motion for new trial; (9) his attorney was ineffective
because he wrote a deficient brief on direct appeal; and (10) he
was denied due process because the jury was "death-qualified."
After painstakingly examining
the District Court record and the entire state court record, we
find that only three issues--grounds one, five, and six--require
discussion on our part.
I.
Stokes's first claim is for
specific enforcement of a plea agreement he rejected in St.
Louis County Circuit Court. In September 1979 Stokes had seven
felony charges, including capital murder, pending against him in
St. Louis City, in addition to the unrelated capital murder
charge in St. Louis County on which we focus today.
As Stokes's City trial drew
near, he and his trial counsel reached an agreement with the St.
Louis City and County prosecutors whereby Stokes would plead
guilty to second degree murder in both City and County courts,
and the State in both cases would recommend fifty year sentences,
to be served concurrently.
On September 10, 1979, Stokes
pled guilty in the City court to second degree murder, two
counts of first degree robbery, armed criminal action, two
counts of escaping custody, and stealing a motor vehicle. In
keeping with the plea agreement, the City prosecutor recommended
fifty years, and the City judge gave sentences for all the
crimes totaling fifty years. Unfortunately, a local newspaper
incorrectly reported that Stokes had received a seventy year
sentence.
Ten days later, Stokes was
transferred to St. Louis County. At the second plea proceeding
on September 20, 1979, after a two or three minute discussion
with counsel off the record, Stokes refused to plead guilty to
second degree murder in the County court. Stokes told his
attorney that he felt that the State was "lying on" him.
Attorney and client had
difficulty communicating; the judge was unaware that Stokes may
have been confused. When the plea session broke down, the County
prosecutor promptly withdrew the amended indictment for second
degree murder, and reinstated the original indictment for
capital murder.
That afternoon, Stokes met
with his attorney and showed him the erroneous newspaper article.
Once the lawyer explained that the article was incorrect, the
defendant was again ready to plead guilty in the County. The
next morning, however, when Stokes's counsel told the County
prosecutor about his client's confusion and his renewed
willingness to plead guilty, the prosecutor said that the State
would not re-extend its offer. Stokes was tried for the crime of
capital murder, and was convicted.
In his habeas petition, Stokes
claims that the State improperly withdrew its offer for a plea
bargain on the capital murder charge in the County. He asserts
that the City and County plea agreements comprised a single, two-part
package deal between him and the State. Because he partially
performed by pleading guilty to the capital murder charge (and
other charges) in the City, he argues that he detrimentally
relied on the State's promise to recommend a fifty year
concurrent sentence on the unrelated capital murder charge in
the County, and that the State was estopped from withdrawing its
offer concerning the latter charge during his brief period of
confusion.
Stokes claims that the State
withdrew its offer so that it could use the City guilty pleas as
evidence of aggravating circumstances for the death penalty, and
for impeachment purposes if Stokes had decided to testify.
Stokes did not raise this
issue on direct appeal to the Missouri Supreme Court. He first
presented it as part of an ineffective assistance allegation in
his Rule 27.26 motion. The Rule 27.26 court found that his trial
counsel had fully explained the agreement to Stokes, and that
the attorney had properly contacted the County in an effort to
re-open the original deal after the failed plea proceeding.
In reviewing the findings of
the Rule 27.26 court, the Missouri Court of Appeals stated: "The
record clearly establishes that [Stokes], not the state, reneged
on the plea agreement. But for the action of [Stokes], he would
have been sentenced in the county circuit court in accordance
with the original plea agreement." Stokes, 688 S.W.2d at 22. The
magistrate drew the same conclusion.
A criminal defendant has no
constitutional right to bargain for a plea arrangement with the
government. Weatherford v. Bursey, 429 U.S. 545, 561, 97 S.Ct.
837, 846, 51 L.Ed.2d 30 (1977). If the parties do decide to
negotiate, however, the defendant is entitled, under the Due
Process Clause of the Constitution, to "presuppose fairness in
securing [the plea] agreement.... [W]hen a plea rests in any
significant degree on a promise or agreement of the prosecutor,
so that it can be said to be part of the inducement or
consideration, such promise must be fulfilled." Santobello v.
New York, 404 U.S. 257, 261-62, 92 S.Ct. 495, 498-99, 30 L.Ed.2d
427 (1971).
The Supreme Court narrowed the
broad "fairness" guarantee of Santobello in Mabry v. Johnson,
467 U.S. 504, 104 S.Ct. 2543, 81 L.Ed.2d 437 (1984),
establishing that plea bargaining generally does not trigger
constitutional considerations until the plea of guilty has been
entered.4
A plea bargain standing alone
is without constitutional significance; in itself it is a mere
executory agreement which, until embodied in the judgment of a
court, does not deprive an accused of liberty or any other
constitutionally protected interest. It is the ensuing guilty
plea that implicates the Constitution. Only after respondent
pleaded guilty was he convicted, and it is that conviction which
gave rise to the deprivation of respondent's liberty at issue
here. Id. at 507-08, 104 S.Ct. at 2546 (footnotes omitted).
Once a guilty plea has been
entered, "[c]ontract principles often provide a useful means by
which to analyze the enforceability of plea agreements and
ensure the defendant what is reasonably due him in the
circumstances." United States v. McGovern, 822 F.2d 739, 743
(8th Cir.), cert. denied, --- U.S. ----, 108 S.Ct. 352, 98 L.Ed.2d
377 (1987). "A plea agreement, however, is not simply a contract....
It necessarily implicates the integrity of the criminal justice
system. ..." id., and involves "myriad ... collateral
considerations such as expectations of fundamental fairness by
the Defendants, [and the] efficient administration of justice."
United States v. Smith, 648 F.Supp. 495, 498 (S.D.Tex.1986). In
Stokes's case, we hold that the State's clear and prompt
withdrawal of its offer--after Stokes had repudiated the
agreement--violated neither the law of contracts nor the
Constitution.
First, we dismiss Stokes's
suggestion that he did not actually reject the State's offer,
but that he merely took it under further consideration. The
facts are clear. During the failed plea proceeding in the County
court, Stokes stated: "I'm not going to plead guilty." State v.
Stokes, No. 409734, Transcript of Plea Proceeding in Circuit
Court of St. Louis County at 2 (Sept. 20, 1979). The County
prosecutor replied: "Your Honor, in that case, since, as I
stated in my announcement as a result of specific plea
negotiations and, therefore, since that is not going through
with, the State would like to withdraw the [second degree murder]
amendment and stand on the original Indictment of Capital Murder."
Id. at 2-3.
Stokes's attorney and the
prosecutor proceeded to discuss a trial date. After a brief
recess, the County judge talked to both attorneys in chambers to
satisfy himself that Stokes fully understood what he was doing.
"THE COURT: But my point is, [Stokes] was aware of the State's
recommendation. He was aware that it was a concurrent sentence
of 50 years, concurrent with the sentence imposed in the City.
And with that knowledge, he chose not to plead guilty? [DEFENSE
COUNSEL]: Yes." Id. at 6.
Second, even assuming arguendo
that the City and County plea bargains comprised one package
deal,5 "any
rights petitioner did have to enforce the agreement [by virtue
of his City plea] were lost when he refused to perform his part
of the bargain [in the County]." Stokes, Report & Recommendation
of the United States Magistrate at 6. See United States v.
Lippert, 740 F.2d 457, 460 (6th Cir.1984), cert. denied, 469
U.S. 1218, 105 S.Ct. 1200, 84 L.Ed.2d 344 (1985); United States
v. Pleasant, 730 F.2d 657, 664 (11th Cir.), cert. denied, 469
U.S. 869, 105 S.Ct. 216, 83 L.Ed.2d 146 (1984).
Specifically, the first half
of the agreement was fully performed by both parties in the City
court. The second half of the agreement could not be performed
by the State until after Stokes entered his guilty plea in the
County at the appointed time. When the appointed time arrived
and Stokes failed to perform, the State was relieved of all
obligations (and benefits) under the second half of the
agreement. See United States v. Calabrese, 645 F.2d 1379, 1390
(10th Cir.), cert. denied, 451 U.S. 1018, 101 S.Ct. 3008, 69
L.Ed. 390 (1981); United States v. Herrera, 640 F.2d 958, 962
(9th Cir.1981).
There is no duty by a
prosecutor to keep a plea bargain open for any length of time.
Pleasant, 730 F.2d at 664. The County prosecutor did not
withdraw his offer in bad faith or on a whim, as Stokes suggests
in his reference to United States v. Baldacchino, 762 F.2d 170,
179 (1st Cir.1985). Nor was the State responsible for the
erroneous newspaper article or for Stokes's inability to explain
his refusal to plead guilty to the capital murder charge in the
County.
Third, we reject Stokes's
argument that the State is estopped from withdrawing the offer
because his guilty pleas in the City show detrimental reliance
on the State's promise of concurrent fifty year sentences on the
City and County charges. Detrimental reliance is difficult to
demonstrate in a plea bargain context. For example, in United
States v. Coon, 805 F.2d 822 (8th Cir.1986), we rejected a
similar argument that the defendant, who had confessed to the
FBI under a plea agreement, had detrimentally relied on mistaken
advice from the prosecutor about the maximum penalty that would
result from his plea.
Citing Mabry, we held: "The
only change in position that can be considered 'detrimental
reliance' is the actual entry of an involuntary guilty plea. Not
until that point has the defendant been deprived of any
constitutionally protected liberty interest." Id. at 825. See
also United States v. Mack, 655 F.2d 843, 848 (8th Cir.1981) (although
defendant confessed with "reasonable expectation" that judge had
accepted tentative plea agreement when in fact judge had
rejected it, defendant had no right to enforce original
tentative agreement after he later pled guilty under different
terms).
Under the Coon analysis,
Stokes's detrimental reliance argument fails unless his guilty
pleas in the City court were involuntary. This question has
already been resolved against Stokes by the Missouri Court of
Appeals, which affirmed the St. Louis City Court's dismissal of
a separate, one-issue Rule 27.26 motion specifically attacking
the voluntariness of these pleas. See Stokes v. State, 671 S.W.2d
822 (Mo.Ct.App.1984). Although Stokes only indirectly challenges
that determination in his brief to this Court, we have reviewed
this question de novo, as we are required to do under Marshall
v. Lonberger, 459 U.S. 422, 431, 103 S.Ct. 843, 74 L.Ed.2d 646
(1983), and we agree with the conclusion reached by the Rule
27.26 courts.
The record simply does not
indicate that Stokes's guilty pleas in the City court were
involuntary, and we therefore hold that they were not
involuntary. Moreover, after the County deal collapsed, Stokes
could have sought to withdraw his City pleas before the County
trial if he thought they were to his detriment.6
Cf. Coon, 805 F.2d at 825 (defendant not in "worse position"
after making his confession based on inaccurate information from
prosecutor, because he could have sought to exclude the
confession from the evidence and proceed to trial as if no plea
agreement had existed).
All the cases Stokes relies
upon involve situations fundamentally different from the one at
hand. For instance, Stokes mentions two principal cases in his
Statement of Issues (Santobello and State v. Burson, 698 S.W.2d
557 (Mo.Ct.App.1985)) in which defendants won specific
enforcement of plea bargains. However, in each case, the
defendant already had fully performed all his obligations under
the bargain, and the guilty plea already had been accepted by
the judge. In effect, the ball had been in the prosecutor's
court, and the prosecutor had refused to keep it in play. Stokes,
on the other hand, cannot complain; the ball was in his court
and, through no fault of the State, he chose not to keep it in
play.
In short, Stokes is asking us
to extend the constitutional standard of "fair" plea bargaining
beyond any precedent he can cite or we can find, at a time when
the United States Supreme Court has in fact been limiting
defendants' rights to enforce plea agreements. See Ricketts v.
Adamson, --- U.S. ----, 107 S.Ct. 2680, 97 L.Ed.2d 1 (1987);
United States v. Benchimol, 471 U.S. 453, 105 S.Ct. 2103, 85
L.Ed.2d 462 (1985); Mabry. We refuse to stretch the limits of
what is "unfair" to include circumstances that may be merely
unfortunate.
For the reasons set forth
above, we hold that the State, having formally withdrawn its
offer concerning the County charge of capital murder once Stokes
had repudiated that offer in open court, was under no obligation
to renew the offer. The prosecutor's decision left Stokes free
to exercise his right to trial by jury, with all of its
privileges and safeguards. See McGovern, 822 F.2d at 746. "It is
a novel argument that constitutional rights are infringed by
trying the defendant rather than accepting his plea of guilty."
Weatherford, 429 U.S. at 561, 97 S.Ct. at 846.
II.
Stokes also asserts that his
trial counsel was ineffective because he failed to raise in his
motion for new trial the trial court's error in not offering a
mandatory first degree (felony) murder instruction.7
At the close of Stokes's trial, the judge instructed the jury on
capital murder, second degree murder, and manslaughter.
The judge gave no instruction
on first degree murder--an instruction the magistrate found to
be mandatory under the laws of Missouri as they stood when
Stokes committed the capital murder in question. Stokes's trial
attorney did not request a first degree murder instruction, did
not object to its absence, and did not raise the issue in his
motion for new trial. Nor did Stokes's appellate counsel raise
the issue on direct appeal.
Stokes raised the
instructional issue for the first time in his motion for post-conviction
relief under Rule 27.26, which included some forty issues.
Stokes's Rule 27.26 counsel alleged, inter alia, that trial
counsel had been ineffective in failing to include the
instructional error in his motion for new trial. Rejecting that
claim, the state circuit court denied the Rule 27.26 motion.
Stokes's Rule 27.26 counsel did not advance the ineffective
assistance of trial counsel claim on appeal in his three-issue
brief to the Missouri Court of Appeals.
In his habeas petition, Stokes
resurrects his claim that trial counsel was ineffective in not
raising the instructional error in his motion for new trial. The
magistrate held an evidentiary hearing on this issue. He
considered testimony from both Stokes's trial counsel and his
Rule 27.26 counsel before rejecting the ineffective assistance
of trial counsel claim.
The magistrate held--and
Stokes does not seriously contest--that the failure of
petitioner's Rule 27.26 counsel to advance the constitutional
ineffective assistance of trial counsel claim on post-conviction
appeal before the Missouri Court of Appeals created a procedural
bar to federal habeas corpus review of that issue. We agree. See
Benson v. State, 611 S.W.2d 538, 541 (Mo.Ct.App.1980) (Missouri
procedure requires constitutional claim to be preserved "at each
step of the judicial process"); see also Thomas v. Auger, 738
F.2d 936, 938-39 (8th Cir.1984); White v. Swenson, 261 F.Supp.
42, 59 (W.D.Mo.1966).
Therefore, we may not consider
the claim of ineffective assistance of trial counsel unless
Stokes demonstrates both "cause" for procedural default on the
Rule 27.26 appeal, and "actual prejudice" resulting from the
abandonment of the claim. See Wainwright v. Sykes, 433 U.S. 72,
97 S.Ct. 2497, 53 L.Ed.2d 594 (1977); see also Smith v. Murray,
477 U.S. 527, 106 S.Ct. 2661, 91 L.Ed.2d 434 (1986); Murray v.
Carrier, 477 U.S. 478, 106 S.Ct. 2639, 91 L.Ed.2d 397 (1986).
Petitioner may establish cause
by proving that the procedural default in state court was due to
ineffective assistance of counsel, under the two-pronged
performance and prejudice test of Strickland v. Washington, 466
U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). See Carrier,
477 U.S. at 488, 106 S.Ct. at 2645.
Strickland requires petitioner
to demonstrate both (1) "professionally unreasonable" conduct by
counsel, and also (2) a "reasonable probability that, but for
counsel's unprofessional errors, the result of the proceeding
would have been different." Strickland, 466 U.S. at 691, 694,
104 S.Ct. at 2066, 2068. An appellate court need not consider
the performance prong if petitioner fails to prove prejudice,
and vice versa. Id. at 697, 104 S.Ct. at 2069.
Stokes asserts that the
decision of his Rule 27.26 counsel not to advance the
ineffective assistance of trial counsel claim in his post-conviction
appeal to the Missouri Court of Appeals constitutes ineffective
assistance of Rule 27.26 counsel, and thus cause for his
procedural default. The District Court (accepting the
magistrate's recommendation) rejected this allegation, holding
that the Rule 27.26 counsel was not ineffective. We affirm the
District Court, because we agree that Stokes has failed to show
that the performance of his Rule 27.26 counsel was "professionally
unreasonable" under the first prong of Strickland.8
In examining the Rule 27.26
counsel's performance, "[t]he question is not whether [his]
decision not to raise the [ineffective assistance of trial
counsel] issue was correct or wise, but rather whether his
decision was an unreasonable one which only an incompetent
attorney would adopt." Parton v. Wyrick, 704 F.2d 415, 417 (8th
Cir.1983).
Stokes's Rule 27.26 counsel
testified before the magistrate that he considered including in
his Rule 27.26 appeal the claim that trial counsel was
ineffective because he failed to raise the instructional error,
but decided that it would not "justify a finding of ineffective
assistance of counsel and cause the case to be reversed" by the
Missouri Court of Appeals. Stokes v. Armontrout, No. 85-1496 C
(6), Transcript of Hearing before Magistrate at 36-37 (E.D.Mo.
July 14, 1986).
This testimony demonstrates
that the attorney deliberately, in the exercise of reasonable
professional judgment,9
winnowed out the ineffective assistance of trial counsel claim,
along with thirty-six other issues, from his original motion in
order to focus on the three issues he decided would be strongest
on appeal. This selective process of "winnowing" and "focusing"
is the "hallmark of effective appellate advocacy." See Smith,
477 U.S. at 536, 106 S.Ct. at 2667 (quoting Jones v. Barnes, 463
U.S. 745, 751-52, 103 S.Ct. 3308, 3312-13, 77 L.Ed.2d 987
(1983)).
The transcript of the hearing
before the magistrate also indicates that Stokes's Rule 27.26
counsel erroneously may have believed that he was preserving the
ineffective assistance of trial counsel issue for federal habeas
review--either by attaching a copy of his forty-issue motion to
his three-issue appellate brief, or by raising the instructional
error in a "motion to recall the mandate," filed with and
summarily denied by the Missouri Supreme Court.
However, as the Rule 27.26
counsel specifically considered the ineffective assistance of
trial counsel claim and decided in the exercise of his informed
professional judgment that it would be futile to present it to
the Missouri Court of Appeals, we cannot hold that his apparent
confusion over preserving the claim for federal review overcomes
Strickland's "strong presumption" of attorney competence. See
Strickland, 466 U.S. at 689, 104 S.Ct. at 2065.
Deliberate tactical decisions
that result in procedural bars can always be criticized with the
benefit of hindsight, but rarely do they satisfy the cause
standard. Indeed, even attorney ignorance or inadvertence does
not constitute cause absent a showing of ineffective assistance.
See Carrier, 477 U.S. at 485-89, 106 S.Ct. at 2644-46 (counsel's
inadvertent failure to include issue on appeal to state supreme
court held not to satisfy the cause requirement of Wainwright v.
Sykes ); Williams v. Nix, 751 F.2d 956, 960 (8th Cir.), cert.
denied, 471 U.S. 1138, 105 S.Ct. 2681, 86 L.Ed.2d 699 (1985) (attorneys'
"asserted unawareness of the applicable state rule of practice"
did not amount to cause for failure to preserve claim in state
court).
In sum, "counsel's failure to
raise a particular claim on appeal is to be scrutinized under
the cause and prejudice standard when that failure is treated as
a procedural default by the state courts. Attorney error short
of ineffective assistance of counsel does not constitute cause
for a procedural default...." Carrier, 477 U.S. at 492, 106 S.Ct.
at 2648 (emphasis in original). Having affirmed the holding of
the District Court that the performance of Stokes's Rule 27.26
counsel was not "professionally unreasonable" and therefore was
not ineffective, we also affirm the District Court's holding
that Stokes failed to establish cause for his procedural default
with respect to his claim of ineffective assistance of trial
counsel.
As Stokes has not established
cause for his procedural default, we need not discuss prejudice
under the second prong of Sykes. See Leggins v. Lockhart, 822
F.2d 764, 768 (8th Cir.1987), cert. denied, --- U.S. ----, 108
S.Ct. 1080, 99 L.Ed.2d 239 (1988) (citing Engle v. Isaac, 456
U.S. 107, 134 n. 43, 102 S.Ct. 1558, 1575 n. 43, 71 L.Ed.2d 783
(1982)). Carrier allows us to reach the merits of a defaulted
claim without a showing of cause and prejudice only "in an
extraordinary case, where a constitutional violation has
probably resulted in the conviction of one who is actually
innocent." Carrier, 477 U.S. at 496, 106 S.Ct. at 2650.
Amplifying this passage, the Supreme Court, in Smith, 477 U.S.
at 538-39, 106 S.Ct. at 2668, "reject[ed] the suggestion that
there is anything 'fundamentally unfair' about enforcing
procedural default rules in cases devoid of any substantial
claim that the alleged error undermined the accuracy of the
guilt or sentencing determination."
Stokes does not present an "extraordinary
case" where the application of the Sykes cause and prejudice
standard may result in a "fundamental miscarriage of justice."
Smith, 477 U.S. at 538, 106 S.Ct. at 2668 (quoting Engle, 456
U.S. at 135, 102 S.Ct. at 1576). Specifically, Stokes does not
argue that he is "actually innocent," and the record amply
demonstrates that he is not. In addition, the overwhelming
evidence pointed to capital murder--not first degree (felony)
murder.10 See
generally 3 C. Wright, Federal Practice & Procedure: Criminal 2d
Sec. 515 (1982) (first degree (felony) murder typically is not
an included offense under capital murder, as are second degree
murder and manslaughter).
The Missouri legislature a
decade ago realized that it was inappropriate to require first
degree murder instructions to be given automatically in capital
murder cases, and replaced the mandatory rule that the
magistrate found applicable to Stokes's case with a permissive
rule requiring first degree murder instructions only when
supported by the evidence. Compare Mo.Rev.Stat. Sec. 565.006(1)
(1969) (repealed 1978) with Mo.Rev.Stat. Sec. 556.046 (1978).
See also Hanson v. State, 684 S.W.2d 337, 342 (Mo.Ct.App.1984) (first
degree (felony) murder is "not, in the classic sense, a lesser
included offense of [capital murder]"); State v. Baker, 636 S.W.2d
902, 905 (Mo.1982) (en banc), cert. denied, 459 U.S. 1183, 103
S.Ct. 834, 74 L.Ed.2d 1027 (1983) ("examination of the elements
of homicides, notably the mental states, illustrates that it is
second degree murder, not first degree murder, which would
sufficiently test a jury's belief of the crucial facts for a
conviction of capital murder").
While we are not prepared to
say that the evidence in Stokes's case would not support a
felony murder conviction, we do have serious doubts that it
would--just as the trial judge and the trial attorneys
undoubtedly did. In fact, Stokes's trial attorney testified
during the evidentiary hearing before the magistrate that he "didn't
see any real evidence to support" a first degree murder
instruction. Tr. at 7. Moreover, the jury considered
instructions on second degree murder and manslaughter before
convicting Stokes of capital murder, see Spaziano v. Florida,
468 U.S. 447, 455, 104 S.Ct. 3154, 3159, 82 L.Ed.2d 340 (1984) (citing
Beck v. Alabama, 447 U.S. 625, 643, 100 S.Ct. 2382, 2392, 65
L.Ed.2d 392 (1980)), and then prescribed the death penalty only
after a separate sentencing hearing.
These facts destroy Stokes's
argument that the absence of a first degree murder instruction
was fundamentally unfair. "[F]undamental fairness is the central
concern of the writ of habeas corpus...." Strickland, 466 U.S.
at 697, 104 S.Ct. at 2070. We are satisfied that Stokes has not
been denied fundamental fairness. Accordingly, we hold that
consideration of Stokes's ineffective assistance of trial
counsel claim is barred by procedural default.
III.
Finally, Stokes asserts that
he was denied effective assistance of counsel because his trial
attorney failed to prepare for or offer any mitigating evidence
during the sentencing phase of the trial. During the brief
sentencing trial, the State presented evidence of four statutory
aggravating circumstances: (1) the defendant had a "substantial
history of serious assaultive convictions," (2) he murdered for
pecuniary gain, (3) the murder "involved torture or depravity,"
and (4) the defendant was a prison escapee at the time of the
murder. See Mo.Rev.Stat. Sec. 565.012.
Defense counsel presented no
evidence in mitigation, but in a closing statement pleaded for
the jury to show mercy to Stokes. The judge instructed the jury
to consider one statutory mitigating circumstance: whether
Stokes had acted under extreme emotional or mental distress.
After deliberating for three hours, the jury found evidence
beyond a reasonable doubt of all four aggravating circumstances.
The jury fixed Stokes's punishment at death, and the judge
imposed the sentence.
On post-conviction appeal,
Stokes presented evidence that both his parents, as well as
witnesses opposed to the death penalty on religious and other
grounds, would have been willing to testify on his behalf during
the sentencing phase. At the Rule 27.26 hearing, trial counsel
testified: "I guess I anticipated [the death phase] in a sense
but I didn't prepare for it in the sense of calling witnesses or
anything." "Q: Or planning to call witnesses or anything?" "A:
Right...." Stokes v. State, No. 488434, [Rule 27.26 Motion]
Transcript of Record on Appeal from Circuit Court of the County
of St. Louis at 28 (Sept. 6-7, 1983).
The testimony of Stokes's
parents at the Rule 27.26 hearing was brief. Mrs. Stokes said
that although she knew her son was in jail, she was unaware of
his actual crimes until she heard about the death sentence on
TV. She was never in contact with her son in jail. Mrs. Stokes
testified that she was the head of a twelve-child household and
that she was religious. Stokes's father, a storeroom clerk and
Baptist preacher, divorced Mrs. Stokes when their son was five,
but stated that he had seen him regularly during his youth. When
asked if he maintained a close relationship with his son, Mr.
Stokes replied: "I'm not quite sure what you mean by 'close
relationship.' We had a father-son relationship and I would see
him on occasion." Id. at 135. Father visited son in prison four
or five times in as many years.
The Rule 27.26 court analyzed
this testimony under the familiar two-pronged performance and
prejudice formula of Strickland. See supra at 1092. In a ruling
affirmed by the Missouri Court of Appeals, and followed by the
magistrate and District Court, the state circuit court held that
Stokes had failed to prove either prong. We do not reach a
conclusion on the performance prong of the Strickland analysis,
because we find that Stokes has failed to prove that prejudice
resulted from trial counsel's performance, regardless of its
effectiveness.11
Under the prejudice prong of
Strickland, the burden is on petitioner to prove the scope and
weight of the evidence that his counsel failed to offer. The
value of this unoffered testimony must be substantial to prove
prejudice. It is not enough merely to speculate that a tearful
parent on the stand might have evoked pity. Compare Strickland,
466 U.S. at 700, 104 S.Ct. at 2071 (no prejudice where attorney
failed to offer any mitigating evidence, although fourteen
friends and relatives of capital murder defendant were willing
to testify that he was "generally a good person," and unoffered
medical reports described defendant as "chronically frustrated
and depressed because of his economic dilemma"); and Milton v.
Procunier, 744 F.2d 1091, 1098-99 (5th Cir.1984), cert. denied,
471 U.S. 1030, 105 S.Ct. 2050, 85 L.Ed.2d 323 (1985) (no
prejudice where attorney failed to introduce mitigating evidence
that petitioner attended church, was known to his friends and
family as a non-violent person, and had been mixed up with drugs);
with Armstrong v. Dugger, 833 F.2d 1430, 1433-34 (11th Cir.1987)
(prejudice resulted from counsel's failure to introduce
mitigating evidence that defendant had grown up in poverty, with
little adult supervision, worked hard as a youth and thus missed
a good deal of school, was subject to epileptic seizures, was
non-violent, and was involved in religious activities); and
Woodard v. Sargent, 806 F.2d 153, 157-58 (8th Cir.1986) (prejudice
resulted from counsel's failure to request instruction based on
defendant's clean police record--a statutory mitigating
circumstance--where only two aggravating circumstances found).
In Stokes's case, the record
of the Rule 27.26 hearing reveals that his parents' testimony
would have provided virtually no mitigating evidence concerning
his character or background. Testimony that Mrs. Stokes is
religious or that Mr. Stokes visited his son several times in
prison would have been of no value to the jury in deciding
Stokes's sentence. And we cannot speculate about additional
statements Stokes's parents might have made to sway the jury,
because we are tied to the record. See Burger v. Kemp, --- U.S.
----, 107 S.Ct. 3114, 3125, 97 L.Ed.2d 638 (1987).
The unoffered mitigating
evidence in this case is of little import in comparison to the
significant unoffered mitigating evidence in Armstrong and
Woodard; it tells us far less about the defendant than even the
unoffered testimony in Strickland and Milton, which was rejected
as insubstantial. In light of the overwhelming aggravating
circumstances against Stokes, see, e.g., Strickland, 466 U.S. at
700, 104 S.Ct. at 2071, we hold that counsel's failure to elicit
testimony from Mr. and Mrs. Stokes did not, with "reasonable
probability," see id. at 694, 104 S.Ct. at 2068, prejudice
petitioner.
Finally, we reject Stokes's
assertion that he was prejudiced by counsel's failure to offer
testimony that the death penalty flouts the Bible and fails as a
deterrent. Missouri courts have held that such generalized
testimony is irrelevant, see, e.g., State v. Gilmore, 681 S.W.2d
934, 941 (Mo.1984) (en banc), and we agree. Such evidence might
commend itself to a legislative body considering adoption or
retention of the death penalty, but it has no bearing on the
question whether a particular defendant who has been found
guilty of capital murder should receive death or some lesser
authorized penalty. Accordingly, Stokes was not prejudiced by
his attorney's failure to offer this kind of testimony at his
sentencing hearing.
IV.
We have carefully considered
the other seven grounds raised by Stokes, and find them to be
without merit. The judgment of the District Court is affirmed.
Although Mabry was not a capital case, we
are unwilling to reject its precedential value on this
distinction alone. Cf. Pickens v. Lockhart, 714 F.2d 1455,
1460 n. 4 (8th Cir.1983) (Eighth Circuit applies same
ineffective assistance of counsel standards in capital and
noncapital crimes)
The Missouri Court of Appeals found that
the City and County agreements were "two separate bilateral
contracts," Stokes, 688 S.W.2d at 22, although the City
prosecutor testified that the two-part arrangement was a "package
deal." State v. Stokes, No. 488434, [Rule 27.26 Motion]
Record on Appeal from the Circuit Court of the County of St.
Louis at 53 (Sept. 6-7, 1983). The magistrate did not
specifically rely on this finding, nor do we
The City prosecutor testified (during the
Rule 27.26 hearing on the County proceedings) that he would
not have opposed the withdrawal of the City pleas if Stokes
had pursued the matter before the County trial began. Tr. at
53. However, Stokes's trial attorney also testified that he
made a strategic decision not to move to withdraw the City
pleas because he considered that murder charge to be "much
more vicious or serious than the charge in the County." Id.
at 32. The Missouri Court of Appeals, affirming the denial
of Stokes's Rule 27.26 motion on the County proceedings,
held that the decision of trial counsel not to seek to
withdraw Stokes's guilty pleas in the City court did not
constitute ineffective assistance of counsel. Stokes, 688
S.W.2d at 23-24. Stokes does not raise this ineffective
assistance of counsel issue in his habeas petition
Stokes also contends in his brief to this
Court that the trial court's failure to instruct on first
degree murder violated his due process rights. As Stokes did
not raise this due process claim in his habeas petition and
neither the magistrate nor the District Court was given an
opportunity to rule on it, we do not consider it here. See
Johanson v. Pung, 795 F.2d 48, 49 (8th Cir.1986)
According to the State's reading of dicta
from Carrier, 477 U.S. at 485-89, 106 S.Ct. at 2644-46,
Stokes cannot use ineffective assistance of Rule 27.26
counsel to show cause for procedural default because he
could not raise that claim as an independent ground for
habeas relief. See Mitchell v. Wyrick, 727 F.2d 773, 774
(8th Cir.), cert. denied, 469 U.S. 823, 105 S.Ct. 100, 83
L.Ed.2d 45 (1984) (petitioner may not raise ineffective
assistance of Rule 27.26 counsel as separate claim on
federal habeas review because state post-conviction process
is civil procedure to which sixth amendment right to
effective assistance does not attach). Accord Williams v.
State, 640 F.2d 140, 144 (8th Cir.), cert. denied, 451 U.S.
990, 101 S.Ct. 2328, 68 L.Ed.2d 849 (1981). The same
language from Carrier indicates that "generally" an
ineffective assistance of counsel claim should be "presented
to the state courts as an independent claim before it may be
used to establish cause for a procedural default," in
deference to the "principle of comity that underlies the
exhaustion doctrine." Carrier, 477 U.S. at 489, 106 S.Ct. at
2646. See also Leggins v. Lockhart, 822 F.2d 764, 768 n. 5
(8th Cir.1987), cert. denied, --- U.S. ----, 108 S.Ct. 1080,
99 L.Ed.2d 239 (1988). Because of our holding that Stokes's
Rule 27.26 counsel was not ineffective, we need not
determine the applicability of these Carrier dicta to the
unique procedural facts before us
Stokes does not cite nor can we find a
single Missouri case in which a claim of ineffective
assistance of counsel based on an attorney's failure to
raise an instructional error has succeeded. For cases
rejecting such claims, see Hanson v. State, 684 S.W.2d 337 (Mo.Ct.App.1984);
Kurtz v. State, 645 S.W.2d 7 (Mo.Ct.App.1982). See also
Blackmon v. White, 825 F.2d 1263 (8th Cir.1987) (affirming
District Court's holding that although state trial court had
erred in failing to offer mandatory manslaughter instruction,
counsel was not ineffective in failing to raise the
instructional error on direct appeal)
Although Stokes ended up with his
victim's car and pendant watch after the murder, the facts
of the case do not show that the homicide occurred "in the
perpetration of" a robbery. The evidence indicates that
Stokes met his victim, Pamela Benda, in a St. Louis bar on
Saturday night, and accompanied her home in the early
morning. On Tuesday, Benda's nude body was found in her
apartment, riddled with knife wounds. Stokes's fingerprints
were found on several items in the apartment. About a month
later, Stokes was arrested in Indiana with Benda's car.
Stokes's wife, Ramona, had sold the victim's pendant watch
shortly before the arrest. At first Stokes told the police
that he had never heard of Benda. Finally, in the third
version of his story, he told the police that he and Ramona
had gone to the victim's home, taken some items, and that he
had struck Benda and knocked her down before he and Ramona
left. Ramona emphatically denied this story at trial. See
Stokes, 638 S.W.2d at 717-18
See Strickland, 466 U.S. at 697, 104 S.Ct.
at 2070. In affirming the District Court's finding of no
prejudice, we do not necessarily affirm its conclusion that
trial counsel's performance was not ineffective