A man who was on parole for the fourth time when
he murdered a Dallas police officer seven years ago was executed by
injection at the state prison here on Wednesday night.
In a final statement, the 33-year-old prisoner,
Bernard Amos, said his life was being taken in error and accused the
courts of racism.
I just say in this case the State of Texas made a
big mistake," said Mr. Amos, who, like his victim, was black. "It
doesn't do any good to have a lawyer. Fifty percent of the cases go
before the Court of Criminal Appeals. They only hear the white ones.
May the grace of God have mercy on them."
Mr. Amos gulped twice and gasped once as the
lethal drugs began to flow through his body. He was pronounced dead
seven minutes later.
He was executed for murdering James Joe, 34, who
had interrupted Mr. Amos and an accomplice during a burglary at an
apartment complex where Mr. Joe was working a second job as a
security guard.
From 1980 to 1987, Mr. Amos, an 11th-grade
dropout who worked as a mechanic, was convicted and sent to prison
four times for numerous crimes, including burglary and auto theft.
61 F.3d 333
Bernard Eugene AMOS, Petitioner-Appellant,
v.
Wayne SCOTT, Director, Texas Department of Criminal Justice,
Institutional Division, Respondent-Appellee.
No. 94-10576.
United States
Court of Appeals,
Fifth Circuit.
Aug. 7,
1995.
Appeal from the United States
District Court for the Northern District of Texas.
Before KING, DAVIS and WIENER,
Circuit Judges.
WIENER, Circuit Judge:
Petitioner-Appellant Bernard
Eugene Amos, a Texas death row inmate, appeals the district
court's grant of summary judgment in favor of Respondent-Appellant
Wayne Scott, Director of the Texas Department of Criminal Justice
(the State), denying and dismissing with prejudice Amos' petition
for a writ of habeas corpus. For the reasons set forth below, we
affirm the judgment of the district court.
The full factual history for
this appeal is detailed in the opinion of the Texas Court of
Criminal Appeals (TCCA) affirming Amos' conviction and sentence.
Summarized briefly, that history is as follows. On January 14,
1988, Amos and his cousin, Gary Von Bennett, drove to a Dallas
apartment complex looking for something to steal or an apartment
to burglarize. After the two men burglarized one apartment and
returned to their car to cache the stolen goods, they were
approached by James Joe, an off-duty Dallas police officer and
part-time apartment complex security guard. Joe, who was wearing a
Dallas Police Department sweatshirt and police badge, identified
himself and proceeded to question Amos and Bennett. Amos became
upset during the exchange with Joe, and at some point "flinched,"
turned, drew a pistol, and shot Joe in the chest at point blank
range. Bennett eventually testified that he immediately ran toward
one of the apartment buildings, ducked down, heard three or four
more shots, and then nothing. When Bennett returned to the car, he
saw both Amos and Joe lying on the ground.
Bennett was told by Amos that he
had been shot and needed help. Bennett helped Amos into the car
and drove to a neighboring apartment complex. When the police
arrived at that apartment complex, Bennett ran and hid. Amos, who
was unable to run, got out of the car and tried to hide under a
parked truck. The police found Amos, arrested him, and transported
him to a hospital for treatment.
II
PROCEDURAL HISTORY
Amos was indicted for the
capital murder of James Joe in the course of committing and
attempting to commit burglary. Amos entered a plea of "not guilty"
to the offense and a trial followed. Bennett, as the State's key
witness, testified to the foregoing facts at the guilt-innocence
phase of Amos' trial. Amos also testified in his own defense,
admitting in the course thereof to seven prior felony convictions,
one misdemeanor conviction, and four incarcerations in the Texas
Department of Corrections. The jury returned a verdict of guilty
as charged in the indictment. After a separate hearing on
punishment, the jury, in response to the Texas special issues
submitted to it, sentenced Amos to death by lethal injection.
Amos' motion for a new trial was denied following a hearing on
that motion.
Amos' conviction and sentence
were automatically appealed to the TCCA, the state's highest
appellate court for criminal appeals. In an en banc decision, that
court affirmed Amos' conviction and sentence.
The United States Supreme Court denied Amos' petition for writ of
certiorari.
Amos filed his first petition
for writs of habeas corpus simultaneously in the TCCA and the
Criminal District Court of Dallas County (state habeas court or
trial court, depending on context). The state habeas court denied
Amos' petition in an order adopting the State's proposed findings
of fact and conclusions of law and adding the court's own
supplemental findings of fact and conclusions of law. The TCCA
also denied Amos' petition, holding that the findings entered by
the trial court were supported by the record.
Amos filed a petition for
federal writ of habeas corpus and stay of execution in the
district court, which granted the stay pending its examination of
Amos' habeas petition. In response to Amos' petition, the State
filed an answer and a motion for summary judgment. Following oral
argument, the district court granted summary judgment in favor of
the State, dismissing Amos' petition and vacating the stay of
execution. In rejecting Amos' petition, the district court held
that (1) six of Amos' eleven grounds for relief were procedurally
barred under state law;
(2) Amos' claim that the State failed to disclose material
impeachment evidence and to correct perjured testimony was
meritless; (3) Amos did not satisfy the standard necessary to
establish his claim of ineffective assistance of counsel on the
grounds that counsel failed to a) conduct a reasonable punishment
phase investigation, b) adequately voir dire the jury panel, and
c) present evidence that Amos did not knowingly waive his Fifth
Amendment rights; and (4) Amos showed no basis for relief on his
claim challenging the Texas special issues, as interpreted and
applied in his case. Amos' motion to alter or amend the district
court's judgment was denied.
Amos timely filed notice of
appeal to this court but the district court denied a certificate
of probable cause (CPC) to appeal. Amos filed a second notice of
appeal as well as another motion for CPC. Again, the district
court denied Amos' motion for CPC. Amos then filed a request for
CPC with this court, which was carried with this appeal. We grant
Amos' request for a CPC, and proceed to the merits of his appeal.
III
ANALYSIS
Amos asserts on appeal that the
district court erred in (1) relying on the Texas contemporaneous
objection rule as an "independent and adequate state-law ground"
barring federal court review of his claim that the totality of
circumstances surrounding his trial violated his Sixth Amendment
right to a fair trial;
(2) denying him an evidentiary hearing on his claim that the State
failed to disclose material impeachment evidence and knowingly
presented false testimony; and (3) denying him an evidentiary
hearing on his claim that his counsels' failure to investigate and
present mitigating evidence during the punishment phase of his
trial constitutes ineffective assistance of counsel. Amos did not
re-urge on appeal his challenge to the Texas special issues.
A. STANDARD OF REVIEW
In reviewing the habeas
proceedings of petitioners in state custody, we must accord a
presumption of correctness to state court findings of facts.
We review the district court's findings of fact for clear error
and decide any issues of law de novo.
A district court's denial of federal habeas review based on a
state procedural ground presents a legal question that we review
de novo.
B. TEXAS' CONTEMPORANEOUS OBJECTION RULE--INDEPENDENT
AND ADEQUATE?
Amos contends that the district
court erroneously relied on the Texas contemporaneous objection
rule as an independent and adequate state-law ground on which to
deny review of many of his federal habeas claims.
Amos insists vigorously that the state procedural rule is not an
adequate state-law ground, advancing two fundamental reasons: (1)
the rule and its exceptions are not strictly or regularly followed
by the TCCA, and (2) the rule is an inherently discretionary rule
of procedure and therefore is per se inadequate.
1. Strictly or Regularly
Followed?
A federal court will not review
a question of federal law decided by a state court if the decision
of that state court rests on a state ground that is both
independent of the merits of the federal claim and adequate to
support that judgment.
This "independent and adequate state law" doctrine applies to both
substantive and procedural grounds and affects federal review of
claims that are raised on either direct or habeas review.
Procedural default does not bar
federal court review of a federal claim raised in a habeas
petition unless the last state court rendering a judgment in the
case has "clearly and expressly" indicated that its judgment is
independent of federal law, e.g., rests on a state procedural bar.
Relevant to this appeal in this regard is a recent Supreme Court
case, Sochor v. Florida,
in which the Court held that a state court opinion expressing that
"none of the complained-of jury instructions were objected to at
trial, and thus, ... are not preserved for appeal," indicates with
"requisite clarity" the rejection of a federal claim based on an
alternative state-law ground.
We note in particular that the Court reached this conclusion even
though the state court opinion also expressed that, "[i]n any
event, [the] claims ... have no merit."
In addition to being independent
of federal law, a state procedural rule barring federal habeas
review of a federal claim must be adequate. In general, the test
for the adequacy of such a rule is that it is strictly or
regularly followed by the cognizant state court.
The Supreme Court has further defined this concept of adequacy,
however, to include a state procedural ground that is strictly or
regularly applied evenhandedly to the vast majority of similar
claims.
Federal courts will presume that
there is no independent and adequate state ground for a state
court decision when that decision " 'fairly appears to rest
primarily on federal law, or to be interwoven with the federal law,
and when the adequacy and independence of any possible state law
ground is not clear from the face of the opinion.' "
Nevertheless, a judgment resting on an independent and adequate
state rule of procedural default will bar federal habeas review of
a federal claim if the habeas petitioner cannot show "cause" for
the default and "prejudice attributed thereto," or demonstrate
that the federal court's failure to review the defaulted claim
will result in a "fundamental miscarriage of justice."
Amos contends that the Texas
contemporaneous objection rule is not an adequate state procedural
ground on which to base a denial of federal habeas review of his
claims because the rule is neither strictly nor regularly followed.
To support his contention, Amos lists a number of cases in which,
he asserts, the TCCA has expressly--and inconsistently--excused a
criminal defendant's non-compliance with the procedural rule and
proceeded to reach the merits of the otherwise defaulted claim.
Amos essentially argues that the
TCCA fails to follow strictly or regularly the contemporaneous
objection rule whenever it first notes a defendant's failure to
comply with the rule, then "nevertheless" or "in the interest of
justice" goes on to excuse the procedural default and consider the
substantive merits of the claim. Amos insists that the fact that
the state court prefaces its discussion of the merits with such
transitional terms as "nevertheless" or "however" demonstrates the
court's clear intent to excuse the procedural error and deny
relief solely on the merits.
Amos deduces, therefore, that the state court's "unambiguous
intent to excuse" the defendant's failure to observe the
contemporaneous objection rule constitutes that court's failure to
follow strictly or regularly the rule.
At the outset we note that, in
challenging the adequacy of the Texas contemporaneous objection
rule, Amos attacks the rule in its entirety, as it has been
applied to myriad claims in capital and non-capital cases from
1972 to the present. What Amos fails to do in his zealous attempt
to discredit the rule, however, is to direct us to cases in which
the rule has been applied--either evenhandedly or unevenhandedly--to
claims identical or similar to his own Sixth Amendment claim of an
unfair trial.
Unfortunately for Amos, our
research on this precise Sixth Amendment claim--and presumably his
as well--reveals that, on the limited occasions in which a Texas
appellate court has applied Texas Rule 52(a) to a similar claim,
the court has applied the rule evenhandedly.
Because Amos has not demonstrated that the TCCA does not strictly
or regularly apply the contemporaneous objection rule to claims
identical or similar to his Sixth Amendment claim, we are
convinced that the rule is an adequate state-law ground,
regardless of whether that court may be less than strict or
regular in applying the rule to dissimilar claims.
Even if we were to look outside
Amos' particular context, we would find that Texas courts apply
the contemporaneous objection rule strictly and regularly. The
vast majority of cases on which Amos relies do not reflect
instances in which the TCCA has failed to follow strictly or
regularly the contemporaneous objection rule; quite the opposite,
the substantial majority reflect instances in which the state
court first held that a defendant's claims were procedurally
barred and then addressed the merits of the defaulted claim in an
alternative holding.
Given the Supreme Court's
conclusion in Sochor that the state court opinion in that case
indicated with requisite clarity that the defendant's federal
claim was rejected on alternative grounds--state procedural
default and federal merits--it follows that here, when the TCCA
uses similar language for the same purpose, such language must be
viewed as signaling an alternative holding independent of federal
law, not as an indication that the state court is excusing the
procedural default.
The fact that from time to time
the state court uses any one of an infinite variety of
particularized transitional phrases to signal alternative holdings--language
that Amos' characterizes as demonstrating the court's unambiguous
intent to excuse the procedural default--is irrelevant in this
instance. Harking to the Supreme Court's dicta in Coleman v.
Thompson, we
remind ourselves--and Amos--that "we have no power to tell state
courts how they must write their opinions. We encourage state
courts to express plainly ... the grounds upon which their
judgments rests, but we will not impose on state courts the
responsibility for using particular language in every case in
which a state prisoner presents a federal claim...."
We decline today to impose on
the TCCA the need to pronounce some shibboleth or incant some
magic words guaranteeing safe passage from a holding based on a
state procedural bar to an alternative holding on the merits
without infecting the opinion with "excuse" and thus dooming it to
inadequacy. We likewise decline Amos' invitation to hold that a
court's particular choice of words or phrases to reflect the
shifting of its focus from a holding grounded on independent state
law to an alternative holding based on federal law is dispositive
when determining whether that state-law ground is adequate.
We remain satisfied instead that
when the TCCA holds that a criminal defendant's federal claim is
procedurally barred, then proceeds to address the merits of the
defaulted claim and voice a second holding, the opinion is
properly viewed as stating alternative holdings. Only if the TCCA
should clearly and unequivocally excuse the procedural default
will we view the opinion as one decided on the merits only.
As we discern that all but a de
minimis few of the cases cited by Amos reflect occasions in which
the Texas state court has rendered alternative holdings rather
than excused the procedural default, it follows that the TCCA
strictly or regularly enforces the contemporaneous objection rule.
The handful of cases upon which Amos relies as typifying the
TCCA's disregard of the contemporaneous objection rule are either
insufficient to undercut the adequacy of the Texas rule or
inapplicable.
We acknowledge with approval the
principle that an occasional act of grace by a state court in
excusing or disregarding a state procedural rule does not render
the rule inadequate;
after all, "regularly" is not synonymous with "always" and "strictly"
is not synonymous with "unanimously." In Bass v. Estelle,
we determined that
... we do not regard an occasional act of grace
by the Texas court in entertaining the merits of a claim that
might have been viewed as waived by procedural default to
constitute such a failure to strictly or regularly follow the
state's contemporaneous objection rule as permits us to disregard
that rule generally or where the state court has not done so.
In Bass, we distinguished the
appellant's contention that the contemporaneous objection rule was
not strictly or regularly followed from a challenge of the same
ilk that had proved successful in Barr v. Columbia.
The Supreme Court in Barr refused to accept the state "generality
of exceptions" rule as an independent and adequate state law
barring federal habeas review after the Court's review of the
state jurisprudence identified four separate decisions rendered by
the same state court--just weeks before the petitioner's
appeal--in which the state court had held that identical "general"
exceptions were sufficient.
In distinguishing--and rejecting--the
issue raised in Barr from the "adequacy issue" posed in Bass, we
essentially determined that the petitioner in Bass had not
presented the same type of clearly identifiable disregard of the
state rule as had the petitioner in Barr. We noted that "[u]ntil
such constructional legerdemain as occurred in Barr is drawn
before us," we would have no occasion to re-examine our prior
holding that "we will not excuse a procedural default in a case
where state courts have not done so."
We are satisfied that, despite
his strenuous efforts to marshall cases in which the TCCA has
failed to apply the contemporaneous objection rule, Amos has not
presented to us a situation in which we should conclude that the
contemporaneous objection rule--as applied by the TCCA to Amos'
specific claims, as well as to essentially identical claims in
other cases--is not strictly or regularly followed. We find to the
contrary, then, that it is thus followed.
In a variation of his theme
composed to "undercut the adequacy"
of the contemporaneous objection rule, Amos argues that a state
court's failure to apply, consistently and rationally, recognized
exceptions to a procedural default rule will render the larger
procedural rule an inadequate state law ground in all cases.
Specifically, Amos contends that the TCCA does not strictly or
regularly apply its two recognized exceptions--the "right not
recognized" exception and the "fundamental error" exception--to
the contemporaneous objection rule, as a result of which the rule
as a whole is not an adequate state-law ground.
i. Right Not Recognized Exception
Amos cites several cases in
which he asserts the TCCA has not consistently applied the "right
not recognized" exception to the contemporaneous objection rule to
claims based on Penry v. Lynaugh,
and Estelle v. Smith.
As we cannot read the cases on which Amos relies to support this
contention, however, we remain convinced that, in the vast
majority of cases, the TCCA strictly and regularly applies both
the contemporaneous objection rule and its "right not recognized"
exception. First, we reject out of hand as wholly inapposite those
cases in which the TCCA barred Penry claims before that court even
recognized that such claims could be raised as a right not
recognized.
Amos asserts nevertheless that even after the TCCA recognized
Penry claims as a right not recognized, that court disregarded the
exception and held that such claims were procedurally barred.
Amos relies on Sawyers v.
Collins, yet
that case offers no support to his argument.
As we determined in Sawyers that the TCCA did not deny Sawyers'
Penry claim on the basis of procedural default, but rather on the
merits, it does not follow--as Amos urges--that Sawyers presents
an occasion in which the state court failed to apply strictly the
right not recognized exception to a Penry claim.
Amos cites but a single case in
support of his contention that the TCCA does not consistently and
rationally apply the right not recognized exception to Estelle v.
Smith claims.
Amos' reliance on this one case is misplaced, however, as the
relevant opinion was rendered in 1995. We do not consider as
dispositive of our review of the application of the
contemporaneous objection rule in 1992, a case that applied (or
allegedly excused) the rule in 1995.
ii. Fundamental Error Exception
Amos next contends that, even
though the TCCA has not developed a defined, consistently-applied
fundamental error exception to the contemporaneous objection rule,
that court inconsistently and indiscriminately applies such an
exception to various fundamental error claims. Amos rejects the
State's response that the fundamental error exception is limited
to unobjected-to jury charge error, and notes that the TCCA has
held recently in Marin v. State,
that numerous types of statutory and constitutional claims are not
subject to the contemporaneous objection rule. Further, Amos
suggests that in "the rare instances" when a fundamental error
exception has been applied to non-jury charge error, the Texas
courts have done so inconsistently. Again, we are not persuaded.
Contrary to the argument that
Amos tries to make in regard to Marin, our review of that case
convinces us that Texas' adjudicatory system limits the types of
rights that fall within the scope of its Rule 52(a), thus, the
rule itself cannot be deemed as inadequate merely because
particular types of fundamental claims must be treated as
exceptions to the rule.
Similarly, we find meritless Amos' contention that the TCCA
inconsistently applies the fundamental error exception to errors
other than jury-charge error.
In rejecting this argument, we
note that Amos compares cases in which the TCCA has acknowledged
that a claim of double jeopardy--a fundamental constitutional
guarantee--may be raised for the first time on appeal,
to one case in which that court denied review of a claim grounded
in the doctrine of collateral estoppel,
and to cases in which a different state appellate court has
reviewed or discussed the same.
Neither do we find persuasive
Amos' assertion that the Texas contemporaneous objection rule is
inherently discretionary and is therefore per se an inadequate
state-law ground.
As just discussed, Rule 52(a) is not inherently or universally
discretionary: The TCCA limits the application of the rule to a
specific category of rights, and that same court defines and
limits the occasions in which the rule itself must be excused. We
are satisfied that when these standards, which govern the
application of the rule, are viewed in conjunction with the state
court's practice of regularly and strictly applying the rule and
its exceptions, they demonstrate that the Texas contemporaneous
objection rule is not an inherently discretionary--and therefore
inadequate--state procedural rule.
In sum, we conclude that the
TCCA strictly and regularly applies its contemporaneous objection
rule and the recognized exceptions thereto in the vast majority of
cases (and particularly in cases raising identical or similar
Sixth Amendment claims), that come before it. We also conclude
that the relatively few occasions cited by Amos in which it might
be said that the TCCA has disregarded the rule and its exceptions
are not sufficient to undercut the overall regularity and
consistency of their application and thus the adequacy of the
state procedural bar.
We hold, therefore, that the
Texas contemporaneous objection rule, as applied by the TCCA to
Amos' petition for writ of habeas corpus, is an independent and
adequate state-law procedural ground sufficient to bar federal
court habeas review of federal claims. Accordingly, we hold that
here the district court did not err in categorizing that rule as
an independent and adequate state procedural rule and relying on
it as grounds for refusing to review Amos' claim that the totality
of circumstances surrounding his trial violated his right to a
fair trial.
C. EVIDENTIARY HEARING
Amos asserts on appeal that the
district court erred in denying him an evidentiary hearing on his
claim that the State failed to disclose material impeachment
evidence and to correct false testimony (Giglio/Napue claim)
and his claim of ineffective assistance of counsel.
1. Giglio/Napue Claim
An evidentiary hearing in a
federal habeas corpus proceeding is mandatory only when (1) there
is a factual dispute which, if resolved in the petitioner's favor,
would entitle the petitioner to relief, and (2) the petitioner did
not receive a full and fair evidentiary hearing in state court.
The burden is on the habeas petitioner to allege facts which, if
proved, would entitle him to relief.
Amos requested a federal
evidentiary hearing to prove the factual basis of his Giglio/
Napue claim, in which he alleged that the State failed to disclose
that it had reached an agreement with Bennett in exchange for his
testimony and failed to correct false testimony elicited from
Bennett. Bennett testified at Amos' trial that he had not received
any "deal" from the State in exchange for taking the stand. Later,
however, Bennett averred in an affidavit that before he testified
he was certain that "there was a deal" and that it would be "okay"
for him to cooperate with the State.
The district court concluded
that a federal evidentiary hearing on this issue was not necessary
because there was no factual dispute whether the State had entered
into an agreement with Bennett. The district court noted that the
state habeas court's factual findings are presumed to be correct
if supported by the record, and held that the record supported the
state habeas court's finding that no deal was made between the
State and Bennett in exchange for Bennett's testimony.
We agree.
Pursuant to 28 U.S.C. Sec.
2254(d), in any federal habeas proceeding, a presumption of
correctness must be accorded the findings of fact made by a state
habeas court if those findings are supported by the record.
This presumption does not apply, however, to situations in which
the factfinding procedure employed by the state habeas court is
not adequate to afford the petitioner a full and fair hearing.
Amos argues that, as the state habeas court based its factual
findings on a "paper hearing," he was not afforded a full and fair
hearing on his claims, and that therefore, the district court
erred in applying the Sec. 2254(d) presumption of correctness to
the state court's findings.
Factual findings based solely on
a paper hearing are not automatically entitled to a Sec. 2254(d)
presumption of correctness.
"[I]t is necessary to examine in each case whether a paper hearing
is appropriate to the resolution of the factual dispute underlying
the petitioner's claim."
Nevertheless, a factfinding procedure that involves credibility
determinations and is based on a "paper hearing" affords the
habeas petitioner a full and fair hearing when the state court
judge who presided over the petitioner's trial conducts the habeas
proceeding.
Whenever such a judicial identity exists, the presumption of
correctness applies, and a federal habeas court must accord the
presumption to the factual findings.
In the instant case, the
disputed facts stem from state habeas credibility assessments that
were made by the same state court judge who had presided over
Amos' trial. We are satisfied, therefore, that the factfinding
procedure followed by that judge afforded Amos a full and fair
hearing. Accordingly, the district court did not err in presuming
that the factual findings of the state court were correct. And, as
we determine that the factual findings of the state court are
supported by the record, we are convinced that the district court
did not err in concluding, as had the state court judge, that the
State had not entered into an agreement with Bennett, granting him
a "deal" in exchange for his testimony.
As there was no "deal" between
the State and Bennett, it follows that Amos' claim that the State
failed to disclose material impeachment evidence and to correct
Bennett's false testimony, in violation of the Eighth and
Fourteenth Amendments, has no merit. Albeit on paper, Amos was
afforded a full and adequate hearing on his state habeas petition.
And, because he did not establish a factual dispute which, if
resolved, would entitle him to relief, he was not entitled to a
federal evidentiary hearing. We hold, therefore, that the district
court did not err in denying Amos' request for an evidentiary
hearing on his Giglio/ Napue claim.
2. Ineffective Assistance of
Counsel
In both his state and federal
habeas petitions, Amos alleged that his counsels' failure to
investigate and prepare mitigating evidence about his background
and mental health constituted ineffective assistance of counsel in
violation of the Sixth and Fourteenth Amendments. In his appeal to
this court, Amos contends that the state habeas court's findings
on this issue are not entitled to the presumption of correctness
because the factfinding procedure employed by that court
improperly elevated Amos' burden of merely alleging facts to one
requiring him to prove his factual allegations. Additionally, Amos
asserts--as he did on his Giglio/ Napue claim--that the district
court erred in relying on the findings of the state court and in
denying him an evidentiary hearing to prove his ineffective
assistance claim.
To obtain habeas relief based on
a claim of ineffective assistance of counsel, a petitioner must
demonstrate both that his counsel's performance was deficient
(cause prong) and that the deficient performance of counsel
prejudiced the defendant (prejudice prong).
To satisfy the cause prong of the Strickland standard, a defendant
must show that counsel's representation fell below an objective
standard of reasonableness.
This objective standard is "highly deferential" and includes a "strong
presumption that counsel's conduct falls within the wide range of
reasonable professional assistance."
To satisfy the prejudice prong
of Strickland, a defendant must show that "there is a reasonable
probability that, but for counsel's unprofessional error, the
result of the proceeding would have been different."
In deciding ineffective assistance claims, a court need not
address both prongs of the conjunctive Strickland standard, but
may dispose of such a claim based solely on a petitioner's failure
to meet either prong of the test.
A district court need not
conduct an evidentiary hearing to resolve an ineffective
assistance of counsel claim when a petitioner fails to allege
facts which, if proved, would entitle the petitioner to relief,
or when the state court record supports that court's disposition
of the claim.
A state habeas court's findings of fact made in the course of
deciding such a claim are entitled to the Sec. 2254(d) presumption
of correctness,
but the cause and prejudice components of the Strickland test
present a mixed question of law and fact that must be reviewed
accordingly.
A state habeas court's ultimate conclusion that counsel did not
render ineffective assistance, therefore, is not a factual finding
to which the presumption of correctness applies, but is a legal
question that must be reviewed de novo.
In his federal habeas petition,
Amos argues inter alia that his lawyers' failure to conduct a
reasonable investigation into Amos' background and character
constitutes ineffective assistance of counsel because a reasonable
investigation would have led to substantial, mitigating
information that could then have been introduced during the
punishment phase of his trial. In rejecting this claim, the
district court first noted the state habeas court's factual
finding that Amos strongly opposed having any witnesses testify on
his behalf during the punishment phase of his trial.
The district court determined in
light of this fact that counsels' failure to investigate what
witnesses might have said on Amos' behalf at the punishment phase
of his trial could not have prejudiced Amos: He would not have
permitted those witnesses to testify anyway, so what they might
have said is academic. Thus, concluded the court, Amos could not
establish with reasonable probability that, but for his attorneys'
failure to interview Amos' family and friends, the outcome of his
punishment phase would have been different; ergo no prejudice;
ergo no merit to his claim of ineffective assistance of counsel.
Albeit unnecessary, the district court also concluded that Amos
failed to establish that his counsels' performance was deficient;
ergo no cause; ergo no merit to his ineffective assistance claim.
We agree on both scores.
Amos nevertheless asserts that
the district court's factual finding that he wanted no witnesses
called misapprehends the significance of the state habeas court's
finding that Amos did not want family members to testify. Amos
contends that just because he did not want family members to
testify, it does not follow that no prejudice could result from
counsels' failure to interview them. Amos insists that, had his
lawyers interviewed his family and friends, those lawyers would
have discovered that Amos had been victimized and abused by his
father, which in turn would have required them to employ a mental
health professional to examine Amos before trial to elicit both
guilt-innocence and penalty phase evidence.
Amos' argument fails for two
reasons. First, contrary to Amos' assertion, the district court
was correct in finding that Amos wanted no witnesses--not just no
family members--to testify at his punishment phase. According to
the findings of fact and conclusions of law contained in the
State's response to Amos' state habeas petition, which the state
habeas court adopted, Amos personally decided to present no
punishment phase evidence.
Moreover, in a colloquy with the
trial court, Amos (1) confirmed that he had signed a statement in
which he expressed his desire to call no further witnesses at the
punishment phase of his trial, (2) testified that he did not want
to call members of his family to testify, (3) acknowledged that he
understood the consequences of resting his case at that time (last
chance to present testimony), and (4) confirmed that he had talked
with his attorney and approved the strategy developed for his
case. Clearly, this supports both the state court's finding that
Amos did not want to present any punishment phase testimony and
the propriety of the district court's reliance on that finding.
Second, in its substantive
review of Amos' claim, the district court considered the affidavit
of one of Amos' attorneys, which was filed with leave of the court.
In that affidavit, Amos' attorney stated that he made a strategic
decision not to call a mental health expert to testify in Amos'
behalf because it would have been of little value in light of
Amos' coherent testimony at the guilt-innocence phase of his trial.
In addition, Amos' attorney averred that he did interview members
of Amos' family and others whom Amos had mentioned might testify
for him at the punishment phase of his trial.
Although counsel had determined
that Amos' friends--most of whom were convicted criminals--would
not make credible witnesses, he planned to call as witnesses some
of Amos' family members and a former state corrections employee.
Before any of these witnesses could testify, however, Amos
notified counsel that he did not want to present any punishment
phase testimony. Amos signed a statement to that effect and
reiterated his decision in his testimony before the court.
In Clark v. Collins,
we considered whether a district court erred in rejecting, without
an evidentiary hearing, a habeas petitioner's claim that his
counsel's failure to seek an independent psychiatric evaluation or
interview family members in support of a possible insanity defense
constituted ineffective assistance of counsel. We accepted the
state court's factual findings that supported counsel's tactical
decision not to request additional psychiatric evaluation, as well
as that court's finding that the petitioner had explicitly
requested that counsel refrain from involving his family in his
case.
We concluded that the
petitioner's counsel did not perform deficiently in failing to
seek additional medical opinions or in failing to interview family
members regarding the petitioner's sanity. Consequently, we held
that the district court did not err in rejecting the petitioner's
ineffective assistance of counsel claims without conducting an
evidentiary hearing.
Reinforced by our holding in Clark, we are comfortable in
concluding in this instance that the district court did not err in
rejecting Amos' ineffective assistance of counsel claim without
conducting an evidentiary hearing.
We also reject Amos' other
argument, that the district court erroneously relied on the state
habeas court's legal conclusion that Amos failed to prove mental
impairment. In fact, in our review of the district court's opinion,
we fail to discern just where it is that Amos finds the district
court to have relied on such a conclusion. We do see where the
district court (1) recited the state court's findings, including
that court's finding that "Amos had failed to produce any proof of
reduced mental abilities and there was no evidence of 'reduced
mental abilities,' " and (2) used the state court's finding that
there was "no evidence of reduced mental abilities" to corroborate
the district court's de novo review and subsequent denial of Amos'
claim. But if, in denying Amos' claim, the district court relied
on any of the state habeas court's factual findings at all, it was
at most the fact that Amos wanted no witnesses to testify and the
fact that there was no evidence indicating that Amos was mentally
impaired.
Finding that Amos has not
alleged any fact which, if proved, would entitle him to an
evidentiary hearing, we hold that the district court did not err
in rejecting Amos' ineffective assistance of counsel claim without
conducting an evidentiary hearing.
IV
CONCLUSION
We grant Amos' request for CPC,
and for the foregoing reasons affirm the judgment of the district
court. The stay of execution ordered by this court on January 6,
1995 is vacated.