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Thomas Clyde BOWLING
Jr.
2 days after
Thomas Bowling (born 1948) is an American convicted murderer
who unsuccessfully challenged the constitutionality of his death
sentence.
Bowling was convicted and sentenced to death for
the April 9, 1990,
murders of Tina and Eddie Earley. Bowling shot the Earleys dead after
ramming their car outside their small dry-cleaning business in the
city of Lexington, Kentucky. Bowling also shot the couple's two-year
old son, but the child survived. Thomas Bowling was arrested on April
11, in neighboring Tennessee. His car and a .357 calibre handgun were
found hidden at his family's home in rural Kentucky.
Bowling's attorneys are currently pursuing appeals
and clemency on the grounds of potential innocence and mental
retardation.
Appeal
Bowling's lawyers claim the evidence against him is purely
circumstantial, and there are other suspects for the murder. Bowling
was assessed at the age of 12 - 13 to have an IQ of 74 which, given
the margin of error, places him within the range for mental
retardation. In addition, he has a documented history of adaptive
deficits, being described as a "follower" and easily manipulated.
Throughout school, his parents had to lay his clothes out for him and
ensure that he bathed and maintained personal hygiene. Bowling was a
slow learner throughout school; He spent three years in the ninth
grade, and failed health class three years in a row.
Bowling's lawyers also argue that there was no
physical evidence placing him at the scene of the crime; an eye-witness
failed to identify him; ballistics experts admitted the weapon linked
to him was one of millions that could have been used in the crime; and
while the car used in the crime was his, there was no proof that he
was driving it at the time. Further, the state did not establish a
motive for Thomas Bowling to kill the Earley couple, whom he did not
know and had never met.
The lawyers assert that a local family murdered the
Ealey's. According to the petition and accompanying police reports,
Eddie Earley told police about a local Lexington family's alleged drug
activity, which resulted in an arrest. The family then had a motive
for a shooting. Bowling's lawyers argue that the family apparently
used Bowling's vehicle in the murder. On the day of the murders,
Bowling was intoxicated and states that he can not remember anything
of that day. Apparently, however, he was told by members of the above
family later that afternoon to take his car out of town.
Supreme court
In 2004 Bowling sued the Kentucky State Department
of Corrections along with fellow inmate Ralph Baze
on the grounds that execution by lethal injection
constitutes cruel and unusual punishment in
violation of the 8th Amendment to the United States
constitution. Baze's court case was Baze v. Rees.
On April 16, 2008 the U.S. Supreme Court, by a 7-2
vote, rejected the challenge to the use of lethal
injections to execute prisoners.
Thomas Clyde Bowling
Kentucky
Mental Retardation
Execution Date: Granted Stay of Execution
Thomas Bowling, 51, was convicted and sentenced to death for the
April 9, 1990, murders of Tina and Eddie Earley. The Earley's were
shot dead outside their small dry-cleaning business in the city of
Lexington, Kentucky. Thomas Bowling was arrested on April 11, in
neighboring Tennessee. His car and a .357 calibre handgun were found
hidden at his family's home in rural Kentucky.
Bowling's attorneys are currently pursuing
appeals and clemency on the grounds of potential innocence and
mental retardation.
Mental Retardation
Bowling was assessed at the age of 12 - 13 to
have an IQ of 74, which given the margin of error, places him within
the range for mental retardation. In addition, he has an extensive
documented history of adaptive deficits, being described as a ''follower''
and easily manipulated. Throughout school, his parents had to lay
his clothes out for him and ensure that he bathed and maintained
personal hygiene.
Bowling also was a slow learner throughout school.
He had a low I.Q. and spent 3 years in the ninth grade. Despite
working hard, Bowling even failed health class three years in a row.
His neighbours and teachers remember Bowling as a nice child who
just needed extra help and special education.
Innocence
Bowling's lawyers have also raised evidence that
he is innocent. The evidence against him is purely circumstantial.
There was no physical evidence placing him at the scene of the crime;
an eye-witness failed to identify him; ballistics experts admitted
the weapon linked to him was one of millions that could have been
used in the crime; and while the car used in the crime was his,
there was no proof that he was driving it at the time. Further, the
state did not establish a motive for Thomas Bowling to kill the
Earley couple, whom he did not know and had never met. Instead the
lawyers assert, a local family murdered the Ealey's.
According to the petition and accompanying police
reports, Eddie Earley told police about a local Lexington family's
alleged drug activity, which resulted in an arrest. The family then
retaliated against the Earleys by shooting Tina, Ed and their then
2-year-old son outside their dry-cleaning business. The son was shot
in the foot but later recovered. His lawyers argue that the family
apparently used Bowling's vehicle in the murder and helped Bowling
obtain the gun that police believe was used in the murder, his
lawyers say. On the day of the murders, Bowling was intoxicated and
states that he can not remember anything of that day. Apparently,
however, he was told by members of the above family later that
afternoon to take his car out of town. Bowling complied, the
petition stated.
Governor Fletcher and Medical
Ethics
According to Amnesty International, the
Governor's legal counsel reportedly issued a statement refuting
claims that Governor Fletcher, who is a doctor, was violating the
American Medical Association's (AMA) guidelines or ethical standards
by signing the death warrant. The AMA's guidelines open by stating
that "an individual's opinion on capital punishment is the personal
moral decision of the individual. A physician, as a member of a
profession dedicated to preserving life when there is hope of doing
so, should not be a participant in a legally authorized execution."
After Governor Fletcher signed the death warrant, his legal counsel
was quoted as saying: "By signing a death warrant, in no way is
Governor Ernie Fletcher participating in the conduct of an execution".
344 F.3d 487
Thomas Clyde Bowling, Jr.,
Petitioner-Appellant, v.
Phillip Parker, Warden, Respondent-Appellee.
No. 01-5832.
United States Court of Appeals,
Sixth Circuit.
Argued: December 10, 2002.
Decided and Filed: September 17, 2003.
Petition for Rehearing Denied En Banc: December 30, 2003. Pursuant to
Sixth Circuit Rule 206
Before: MOORE, GILMAN, and GIBBONS, Circuit Judges.
OPINION
KAREN NELSON MOORE, Circuit Judge.
Thomas Clyde Bowling, Jr. ("Bowling")
appeals the district court's judgment denying both his petition for
a writ of habeas corpus and his request for an evidentiary hearing
in conjunction with that petition. Bowling was convicted in state
court of murdering Tina and Eddie Earley and sentenced to death. His
conviction and death sentence were affirmed by Kentucky courts on
direct appeal and in post-conviction proceedings. In the district
court and now on appeal, Bowling raises numerous claims of error. He
contends that he was denied proper jury instructions, given
ineffective assistance of counsel, deprived of an evidentiary
hearing, denied a fair jury, subjected to numerous instances of
prosecutorial misconduct, and given a sentence that was
constitutionally disproportionate. For the reasons that follow, we
AFFIRM the decision of the district court below, and deny Bowling's
petition for a writ of habeas corpus and his request for an
evidentiary hearing.
I. BACKGROUND
A. Factual Background
Early in the morning on April 9,
1990, Eddie and Tina Earley were shot to death in their automobile
in a parking lot outside a Lexington dry-cleaning establishment.
Their two-year-old son Christopher was also shot, but not fatally.
Police arriving at the scene found several witnesses offering varied
observations of the shooter, collected several bullets from inside
and outside the vehicle, and recovered debris consistent with a car
collision. After analyzing the debris, the police determined that
the Earleys' car must have been hit by a 1981 light blue Chevrolet
Malibu. They also determined that a 1981 Malibu was registered in
the county to Bowling. The police, however, did not seek to arrest
Bowling at that point; instead they pursued several theories of who
could have murdered the Earleys.
On the following day, April 10,
1990, police received a telephone call from Bowling's sister,
Patricia Gentry. Gentry and her mother, Iva Lee Bowling, were
worried because they had not seen Bowling, who was affectionately
known as T.C., since approximately 6:00 a.m. the preceding day.
Watching the news reports, they realized that Bowling's car matched
the description of the suspected killer's car. Searching for Bowling,
the two women drove to property owned by the family in rural Powell
County. There they discovered Bowling's car. Bowling, however, was
not there. When they returned to Gentry's Knoxville home, they
discovered Bowling asleep on the couch. After consulting with their
minister, they called the police, who came and picked Bowling up
without incident. The police then recovered Bowling's car from the
Powell County property, where they also discovered a buried .357-magnum
revolver.
Bowling was represented at trial
by three attorneys: Baldani, Summers, and Richardson. Prior to trial,
these attorneys had Bowling undergo a neurological and psychological
evaluation by Dr. Donald Beal.
B. The Trial
On December 10, 1990, the trial
began. The court's stated goal in voir dire was to qualify forty-four
of the ninety-nine pooled jurors. Qualifying forty-four jurors would
allow the defendant to have eighteen peremptory challenges and the
government twelve, with twelve people remaining to be jurors and two
to be alternates. Later, however, the court stated that it was
worried that the jury pool would be too small, so it ended up
qualifying forty-eight jurors, but then struck the four extra jurors.
On December 12, the guilt phase of
the trial began. The Commonwealth produced twenty-five witnesses.
There were three eye-witnesses to the crime. The first, Larry Turner,
never saw the shooter; he went to the crime scene after hearing what
he thought was a car backfiring. By the time he reached the car, the
killer had already fled, and Turner observed only the Earleys'
dented car, the dead bodies, and the child crying. David Boyd
testified that while stopped at a stoplight, he looked back to see
two cars in the parking lot and a man firing a gun into one of them.
According to Boyd, the shooter then stood and looked at the scene
before driving off. Boyd described the car as being a light blue
1979 or 1980 Malibu and described the shooter as being six feet tall
with a medium build, wearing a black jacket and a brimmed hat. The
third eyewitness, Norman Pullins, who had seen the events from a
nursing home across the street, could not be found by either party.
By agreement of the parties, the police played their audiotape of an
interview with Pullins that took place the morning of the shootings.
The police next testified regarding the crime scene and presented to
the jury photographs and a videotape depicting the scene in
considerable detail.
The Commonwealth then focused on
the evidence discovered at the Bowling property in Powell County.
One officer testified that he found Bowling's Malibu in the thicket,
and an orange jacket, an orange Little Caesar's T-shirt from
Bowling's workplace, and a black Rangers' hat in a small shed. The
officer also found an unused outhouse on the property into which
several empty alcohol bottles had been thrown. Another officer
testified to finding the gun on the property. Lastly, an officer
testified that he retrieved Bowling's personal effects from his
sister's house, including a black jacket.
The state then introduced expert
testimony. A forensic pathologist testified that the Earleys had no
chance of surviving the injuries that they sustained. A police
automotive expert testified that the glass, plastic, and chrome
debris from the crime scene matched Bowling's car. Another expert
testified that paint from the Earleys' car had rubbed off (because
of the accident) onto Bowling's car, and that paint from Bowling's
car had also rubbed off on the Earleys' car. The expert
unambiguously stated that tests on the paint samples demonstrated
that it was Bowling's car that had rammed into the Earleys' vehicle.
A state ballistics expert identified the recovered gun as a Smith
and Wesson.357 and stated that the bullets shot from it would have
identical markings to those recovered from the crime scene. On
cross-examination, however, he admitted that there may be millions
of guns that would have left marks like those on the bullets found
at the crime scene.
The Commonwealth also presented
testimony from Clay Brackett that he had sold a similar-looking
Smith and Wesson .357 to Bowling a few days before the killings.
There were also two witnesses, Jack Mullins and Jack Strange, who
placed Bowling on the road in front of the property in Powell County
the evening of the murders.
The Commonwealth then called
Bowling's family to testify to the events leading up to the
telephone call that they made to the police. Bowling's family
testified that Bowling had been seriously depressed in the weeks
before the shootings. Bowling was also obsessed with death. During a
drive with his mother a few days before the shooting, Bowling told
her that his time had run out and that she should look for him at
the family property in Powell County if he disappeared. During this
drive, Bowling had stopped for approximately thirty minutes in a
parking lot, behind the nursing home property across from the dry-cleaning
place where the Earleys worked. Bowling had also shown to his family
the gun that he had recently purchased from Brackett.
The defense presented no witnesses,
choosing not to present the expert testimony of Dr. Beal. Bowling's
counsel asked for time to inform Bowling again of his right to
testify, but after consulting with Bowling, counsel announced that
Bowling would not testify.1
The defense rested on their cross-examinations of the witnesses. The
defense had brought out Bowling's erratic behavior during the
weekend before the shootings. Brackett admitted, while he was being
cross-examined, that he traded in handguns without keeping records
and had poor memory and hearing. David Boyd admitted that he may
have told a police detective that the shooter had long brown hair, a
dark complexion, and possibly a mustache — none of which describe
Bowling. Though defense counsel did not gain much ground from the
expert witnesses, the Commonwealth's ballistics expert did concede
that the .357-magnum was one of perhaps millions of guns that could
have fired the bullets that killed the Earleys. Defense counsel also
established that none of Bowling's possessions, including his car,
had any blood on them, that there were no fingerprints found on the
gun or at the crime scene, and that the only lead residue on
Bowling's belongings was inside the left pocket of his jacket and
could have come from a gun or from bullets.
The defense asked for jury
instructions on extreme emotional disturbance, circumstantial
evidence, and reckless homicide. The trial court denied these
instructions. The jury found Bowling guilty of intentionally
murdering Tina and Eddie Earley and assaulting their son
Christopher.
Before the penalty phase began,
Bowling, his defense counsel, and the prosecution met because
Bowling had filed a pro se motion to discharge his attorneys.
Bowling stated that he was angry with his attorneys because they had
essentially presented no defense on his behalf. Bowling claimed that
he did not have ample opportunity to meet with his attorneys;
Bowling told the state court judge that his attorneys had not spent
more than a total of one hour with him throughout the litigation.
Bowling said that there were many witnesses who could have been
called to testify — although, when questioned, he could not give the
names of any such witnesses or list any particular act that his
attorneys failed to do. Bowling stressed, however, that he had no
time to tell his attorneys of witnesses who might have been called,
because his attorneys had not met with him. Bowling said that he
felt that his attorneys did not take his case seriously, and that
they once remarked to another person in front of Bowling that they
did not have a defense. The district court denied his motion to
discharge his attorneys.
The penalty phase then began. The
defense called six witnesses to testify. There were three non-family
members: a former co-worker of Bowling and two jail employees, all
of whom spoke kindly of Bowling. The defense also called Bowling's
mother, his sister, and his son, who discussed their love for
Bowling, his mental and emotional deterioration in the weeks before
the killings, his failed marriage, and his having only a ninth-grade
education and being of low mental ability. Bowling did not testify.
The trial court denied Bowling's
request for specific mitigating instructions on extreme emotional
disturbance, mental illness, intoxication, and model jail conduct,
but gave a general mitigating instruction. The trial court also
instructed the jurors on one statutory aggravating factor, that of
intentionally causing multiple deaths. The jury found that the
aggravating factor applied and recommended two death sentences. The
trial judge sentenced Bowling to death.
C. Post-Trial Case History
Bowling's conviction and sentences
underwent mandatory review by the Kentucky Supreme Court pursuant to
Kentucky Revised Code § 532.075. The Kentucky Supreme Court affirmed
his conviction and sentence on September 30, 1993. Bowling v.
Commonwealth, 873 S.W.2d 175 (Ky. 1993) ["Bowling I"].
Two justices dissented. The dissenting justices argued that Bowling
should have been given an instruction on extreme emotional
disturbance in the guilt and penalty phases, id. at 182-85 (Leibson,
J., dissenting), and one justice also would have reversed the
conviction because of prosecutorial misconduct, id. at 185-87
(Burke, S.J., dissenting).
Bowling then began his post-conviction
proceedings in a state circuit court. Here, however, Bowling made a
potentially significant procedural error. On February 28, 1995, he
filed a notice of intent to file a motion for post-conviction relief
under Kentucky Rule of Criminal Procedure (known as "RCr") 11.42.
However, he did not file the motion itself at that time. Governor
Patton set Bowling's execution date for February 1, 1996. Eventually,
the Supreme Court of Kentucky determined that Bowling's execution
could not be stayed without the actual motion being filed.
Bowling v. Commonwealth, 926 S.W.2d 667, 669 (Ky.1996). So on
January 26, 1996, Bowling's counsel filed a rushed but formal RCr
11.42 motion, and asked for more time to file an amended or
supplemental motion. On February 8, 1996, the state circuit court
granted the request, and gave Bowling 120 additional days running
from the initial deadline, January 26, 1996. On May 28, 1996, a
supplemental RCr motion was filed, but it was not verified as
required by Kentucky law. On June 6, 1996, clearly after the 120-day
period, Bowling filed the revised version as a verified supplemental
motion. On October 1, 1996, the circuit court ordered both versions
of the supplemental motion stricken, the first for being unverified
and the second for being untimely, which ostensibly prevented those
claims from being addressed. The state circuit court recognized its
power to allow amendment for equitable reasons but declined to
exercise that power. The circuit court found against Bowling on the
merits on all the remaining claims.
The Kentucky Supreme Court
unanimously affirmed the circuit court's decision. Bowling v.
Commonwealth, 981 S.W.2d 545 (Ky. 1998) ["Bowling II"].
The Kentucky Supreme Court dismissed the claims Bowling raised in
his initial RCr petition as not having merit. The Kentucky Supreme
Court then addressed the claims raised in Bowling's struck
supplemental motions. The Kentucky Supreme Court prefaced its
analysis of Bowling's claims with the following statement:
Appellant presents a number of
other issues in his supplemental RCr 11.42 motion. Notwithstanding
that his supplemental motion was struck by the trial court, in the
interest of judicial economy we will review the seven additional
claims of ineffective assistance of counsel raised in the motion.
Id. at 551. The Kentucky
Supreme Court then denied Bowling's claims on the merits.
Bowling filed a motion for a writ
of habeas corpus with the district court on August 12, 1999. Bowling
moved for an evidentiary hearing with the district court on some
issues, but this motion was denied. Ultimately, the district court
denied the writ. Bowling v. Parker, 138 F.Supp.2d 821 (E.D.Ky.2001)
["Bowling III"]. The district court granted a certificate of
appealability as to all issues.
II. ANALYSIS
A. The Legal Standards of AEDPA
This court reviews de novo the
legal conclusions of a district court denying habeas relief.
Palazzolo v. Gorcyca, 244 F.3d 512, 515 (6th Cir.), cert.
denied, 534 U.S. 828, 122 S.Ct. 68, 151 L.Ed.2d 35 (2001). As
Bowling's habeas petition was filed on August 12, 1999, it is
governed by the Antiterrorism and Effective Death Penalty Act of
1996 ("AEDPA"). Pursuant to AEDPA, relief is available with respect
to claims adjudicated on the merits in state court only if the
adjudication:
(1) resulted in a decision that
was contrary to, or involved an unreasonable application of, clearly
established Federal law, as determined by the Supreme Court of the
United States; or
(2) resulted in a decision that
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)(1)-(2).
Moreover, the findings of a state court are presumed to be correct
and can only be contravened if Bowling can show by clear and
convincing evidence that they are erroneous. See 28 U.S.C. §
2254(e)(1). The presumption of correctness also attaches to the
factual findings of a state appellate court based on the state trial
record. See Sumner v. Mata, 449 U.S. 539, 546-47, 101 S.Ct.
764, 66 L.Ed.2d 722 (1981).
B. Procedural Default
Before addressing the merits of
Bowling's appeal, we must address the state's contention that some
of Bowling's claims are procedurally defaulted. The government
argues that because Bowling's supplemental RCr motions were struck
by the trial court, the claims that appear only therein are
defaulted and cannot be revived in a federal habeas corpus action.
We reject the state's contention
that these claims have been procedurally defaulted. It is clear that
if a petitioner defaults his federal claims in state court by
failing to comply with an adequate and independent state procedural
rule, federal habeas relief is barred unless the petitioner can show
cause for the default and actual prejudice, or a resultant
fundamental miscarriage of justice. Coleman v. Thompson, 501
U.S. 722, 750, 111 S.Ct. 2546, 115 L.Ed.2d 640 (1991). This court
recently spoke to how courts are to examine an allegation of
procedural default: First, the court must determine whether there is
such a procedural rule that is applicable to the claim at issue and
whether the petitioner did, in fact, fail to follow it. Second, the
court must decide whether the state courts actually enforced its
procedural sanction. Third, the court must decide whether the
state's procedural forfeiture is an "adequate and independent"
ground on which the state can rely to foreclose review of a federal
constitutional claim.... And, fourth, the petitioner must
demonstrate ... that there was "cause" for him to neglect the
procedural rule and that he was actually prejudiced by the alleged
constitutional error.
Greer v. Mitchell, 264 F.3d
663, 673 (6th Cir.2001) (citations omitted) (citing, inter alia,
Maupin v. Smith, 785 F.2d 135, 138 (6th Cir.1986)), cert.
denied, 535 U.S. 940, 122 S.Ct. 1323, 152 L.Ed.2d 231 (2002). At
issue here is the second prong of the Maupin test; Bowling
questions whether the Kentucky Supreme Court actually enforced its
procedural sanction. In this regard, the Supreme Court has stated
that "[t]he mere existence of a basis for a state procedural bar
does not deprive [federal courts] of jurisdiction; the state court
must actually have relied on the procedural bar as an independent
basis for its disposition of the case." Caldwell v. Mississippi,
472 U.S. 320, 327, 105 S.Ct. 2633, 86 L.Ed.2d 231 (1985); see
also Coleman, 501 U.S. at 735, 111 S.Ct. 2546 (requiring that
the last state court rendering a reasoned judgment on the matter "clearly
and expressly" state that its judgment rests on such a procedural
bar for the doctrine of procedural default to apply).
The language used by the Kentucky
Supreme Court in its opinion reveals that it did not clearly rely on
Bowling's procedural default to dismiss the claims raised in his
supplemental motion. After noting that the claims were raised only
in the struck supplemental pleadings, the Kentucky Supreme Court
went on to consider the merits of those claims, stating, "Notwithstanding
that his supplemental motion was struck by the trial court, in the
interest of judicial economy we will review the seven additional
claims of ineffective assistance of counsel raised in the motion."
Bowling II, 981 S.W.2d at 551.
There are two reasonable
interpretations to which this statement is susceptible. The Kentucky
Supreme Court may have been relying on the procedural default. Its
dismissal of Bowling's claims on the merits would then be considered
an alternative holding. In such a situation, we would consider the
claims in the struck motion procedurally defaulted. See Harris v.
Reed, 489 U.S. 255, 264 n. 10, 109 S.Ct. 1038, 103 L.Ed.2d 308
(1989) (stating that "a state court need not fear reaching the
merits of a federal claim in an alternative holding"); Coe
v. Bell, 161 F.3d 320, 330 (6th Cir.1998). However, the Kentucky
Supreme Court may have well been using the word "notwithstanding" to
ignore the issue of possible procedural default and consider the
claims on the merits. In such a case, Bowling's claims would not be
defaulted because the state court would not have been relying on the
procedural bar in its disposition of the case.
We find both interpretations
eminently plausible. The use of the word "notwithstanding" could
suggest either that the Kentucky Supreme Court was enforcing the
procedural default or that it was waiving it. Moreover, the
possibility that the Kentucky Supreme Court was in fact waiving the
default is amplified by the fact that it went on to consider
Bowling's claims on the merits. See Harris, 489 U.S. at 266
n. 13, 109 S.Ct. 1038 (noting that "[w]hile it perhaps could be
argued that this statement would have sufficed had the state court
never reached the federal claim," the fact that "the state court
clearly went on to reject the federal claim on the merits" makes it
less clear that the state court actually relied on the procedural
bar). Ultimately, the fact that both interpretations are sensible
settles this issue in Bowling's favor, for there must be unambiguous
state-court reliance on a procedural default for it to block our
review. See Gall v. Parker, 231 F.3d 265, 321 (6th Cir.2000),
cert. denied, 533 U.S. 941, 121 S.Ct. 2577, 150 L.Ed.2d 739
(2001).
We therefore proceed to the merits
of Bowling's claims. His contentions of error fall into six general
categories. He claims that he was denied proper jury instructions,
his counsel was constitutionally ineffective, he was improperly
denied an evidentiary hearing, the jury in his case was
constitutionally invalid, the prosecutors acted inappropriately
towards him at trial, and his death sentence was constitutionally
disproportionate.
C. Denial of Proper Jury
Instructions
Bowling's first claim for relief
is his claim that he was denied proper jury instructions in both the
guilt and penalty phases of his trial. Although Bowling's claim that
he was entitled in the guilt phase to a jury instruction on extreme
emotional disturbance ("EED") is the strongest claim he brings in
his habeas petition, we find it ultimately unpersuasive. We
therefore dismiss Bowling's claim that he was denied proper jury
instructions.
1. Instructions in the Guilt
Phase
Bowling claims that the trial
court improperly failed to give the jury a lesser-included-offense
instruction in the guilt phase. Bowling contends that the jury
should have been given an instruction on extreme emotional
disturbance; if the jury then had found extreme emotional
disturbance, it would have convicted Bowling only of manslaughter (rather
than murder). See KY.REV.CODE ANN. § 507.030(b) (defining
manslaughter as an intentional killing "under circumstances which do
not constitute murder because [the defendant] acts under the
influence of extreme emotional disturbance").
The Supreme Court has held that
the failure to give a lesser-included-offense instruction can
violate due process. See Beck v. Alabama, 447 U.S. 625, 100
S.Ct. 2382, 65 L.Ed.2d 392 (1980). In Beck, the defendant and
his accomplice broke into the house of an eighty-year-old man and
tied him up. According to Beck, the accomplice struck the man and
killed him. Beck consistently maintained that he did not kill the
victim and that he had never intended for the murder to occur. The
state charged him with "robbery-intentional killing," a capital
crime. Id. at 628, 100 S.Ct. 2382. Pursuant to the applicable
state statute, the trial judge was prohibited from instructing the
jury on the lesser-included offense of "felony-murder," a noncapital
crime. The jury convicted Beck of intentional murder, and he was
sentenced to death. The Supreme Court held that it is a denial of
due process for a jury to be deprived of the opportunity to consider
the lesser-included offense of felony-murder when "the
unavailability of a lesser included offense instruction enhances the
risk of an unwarranted conviction." Id. at 638, 100 S.Ct.
2382.
In this case, manslaughter is a
lesser-included offense of murder under Kentucky law. See Bray v.
Commonwealth, 68 S.W.3d 375, 383 (Ky.2002) (analyzing whether a
defendant should have received an instruction on the "lesser
included offense of first degree manslaughter" where he was
convicted of murder, but claimed that he was extremely emotionally
disturbed at the time of the homicide); see also KY.REV.CODE
ANN. § 507.030(b) (defining manslaughter as a lesser-included
offense of murder).
Nonetheless, while due process can
require an instruction on lesser offenses that are necessarily
included in the greater offense, due process does not require an
instruction on a lesser-included offense if the evidence does not
support such an instruction. Hopper v. Evans, 456 U.S. 605,
611, 102 S.Ct. 2049, 72 L.Ed.2d 367 (1982). Instead, "a Beck
instruction is only required when `there was evidence which, if
believed, could reasonably have led to a verdict of guilt of a
lesser offense,' but not the greater." Campbell v. Coyle, 260
F.3d 531, 541 (6th Cir.2001) (quoting Hopper, 456 U.S. at
610, 102 S.Ct. 2049) cert. denied, 535 U.S. 975, 122 S.Ct.
1448: 152 L.Ed.2d 390 (2002). This constitutional requirement is
virtually identical to the Kentucky requirement that an instruction
be given when "`a juror might entertain reasonable doubt as to the
defendant's guilt of the greater offense, and yet believe beyond
reasonable doubt that the defendant is guilty of the lesser offense.'"
Jacobs v. Commonwealth, 58 S.W.3d 435, 446 (Ky.2001) (citation
omitted). The Kentucky Supreme Court determined that the evidence at
trial would not permit a rational jury to find extreme emotional
disturbance. See Bowling I, 873 S.W.2d at 179 (discussing
this claim). Given the deference that we are required to give to the
Kentucky Supreme Court's analysis of this question, we ask only
whether the Kentucky Supreme Court was unreasonable in its
conclusion that the evidence at trial would not permit a rational
jury to find extreme emotional disturbance. See Campbell, 260
F.3d at 543 (noting that the question is "whether the state court's
application of [the Beck] rule to these facts was objectively
unreasonable").
To answer this question, however,
we must discern the meaning of the term, "extreme emotional
disturbance." This is a question of state law. See Bennett v.
Scroggy, 793 F.2d 772, 778 (6th Cir.1986) ("A due process clause
claim that one is entitled to instructions on a lesser included
offense can be resolved only by determining what the elements of
those offenses are. Hence, the reviewing court must look first to
the state's law."). Kentucky law, at the time of Bowling's
case, had explained EED as follows:
Extreme emotional disturbance is a
temporary state of mind so enraged, inflamed, or disturbed as to
overcome one's judgment, and to cause one to act uncontrollably from
the impelling force of the extreme emotional disturbance rather than
from evil or malicious purposes. It is not a mental disease in
itself, and an enraged, inflamed, or disturbed emotional state does
not constitute an extreme emotional disturbance unless there is a
reasonable explanation or excuse therefor, the reasonableness of
which is to be determined from the viewpoint of a person in the
defendant's situation under circumstances as defendant believed them
to be.
McClellan v. Commonwealth,
715 S.W.2d 464, 468-69 (Ky.1986). Kentucky courts have explained
that, to show EED, there must be a triggering event — a "sudden and
uninterrupted" event that "triggers the explosion of violence on the
part of the criminal defendant." Foster v. Commonwealth, 827
S.W.2d 670, 678 (Ky.1991) (holding that a woman was not entitled to
an EED instruction after she murdered five individuals without a
recent aggravating incident, despite the fact that the woman had
suffered significant physical and emotional harm as a child and
abused drugs and alcohol). As a result, "extreme emotional
disturbance is not established by evidence of insanity or mental
illness, but require [sic] a showing of some dramatic event which
creates a temporary emotional disturbance as opposed to a more
generalized mental derangement." Stanford v. Commonwealth,
793 S.W.2d 112, 115 (Ky.1990).
Bowling claims that, under the
facts of his case and the definition of EED used above, an EED
instruction was required. It is undisputed that Bowling's car
crashed into the Earleys' car in the Earley Bird Cleaners' parking
lot and that the front right-hand side of Bowling's car impacted the
driver's side of the Earleys' car. Bowling argues that this accident
was a triggering event that enraged Bowling, overthrew his judgment,
and caused him to get out of his car and kill the Earleys. This
theory, Bowling argues, would explain the otherwise motiveless
killing of the Earleys and would also explain why Bowling did not
simply get out of his car and shoot the Earleys rather than damaging
his own car first.2
Bowling acknowledges that he has
submitted no evidence supporting his argument that an EED
instruction was necessary.3
He argues merely that we should infer from the very fact that a car
accident preceded the shootings that the car accident must have
triggered an uncontrollable rage that caused the shootings.
The facts of this case do not
support such an inference. Bowling's accident involved a parked car
in a parking lot far away from the street. It resulted in no
physical injury to Bowling and only minor damage to both cars.
Bowling's car remained drivable. In fact, his car only suffered
light damage to its front right-hand side; according to expert
testimony and photographic evidence, only the right front fender and
its parking light assembly were damaged. As Bowling's car was only
impacted in the front right-hand side, it is clear that Bowling
would have been able to see the impending collision. This suggests
that Bowling either intentionally caused the accident or at least
had knowledge that a collision was impending before it happened.
These facts make Bowling's claim
of EED grossly implausible. Bowling has introduced no evidence, such
as that of a accident-reconstruction specialist, to support his
claim. He simply asks us to infer that the accident so enraged him
as to overcome his judgment and cause him to act uncontrollably from
the accident's impelling force. Even if this were the case, however,
the extreme emotional disturbance inquiry is not merely a subjective
one. It is also, in part, an objective one. Therefore, even if
Bowling were to show that he was emotionally enraged within the
meaning of Kentucky law, Bowling would still not be able to show a "reasonable
explanation or excuse" for his rage. McClellan, 715 S.W.2d at
469. We must agree with the Kentucky Supreme Court that this type of
minor car accident in itself does not create a reasonable
explanation or excuse for a double homicide.
Context also suggests that it was
not the accident that caused the shootings. Testimony at trial
established that Bowling was seriously depressed and under the
influence of alcohol in the days preceding the shooting. Bowling was
obsessed with death, made frequent morbid statements like "my time
has run out," and told his mother, if he disappeared, to look for
him on family property in Powell County. J.A. at 4558 (Testimony of
Iva Lee Bowling). Bowling's state of mind might also be reflected in
the fact that he purchased a gun a few days before the shootings and
carried it with him the morning of the shootings. Bowling suggests
that these comments and actions support his claim that he was
extremely emotionally disturbed at the time of the shootings. In
reality, however, these comments and actions undercut his claim —
for in order for Bowling to be entitled to an EED instruction,
Kentucky law requires that the accident itself be the "dramatic
event which creates a temporary emotional disturbance as opposed to
a more generalized mental derangement." Stanford, 793 S.W.2d
at 115. All of Bowling's evidence suggests general mental illness,
not a temporary and extreme emotional disturbance stemming from the
accident. See McClellan, 715 S.W.2d at 468 (noting that "the
condition must be a temporary disturbance of the emotions as opposed
to mental derangement per se"). As a result, we cannot say that the
Kentucky Supreme Court's decision that an EED instruction was not
necessary was objectively unreasonable.4
2. Instructions in the Penalty
Phase
Bowling's next claim is that he
should have been granted a specific mitigating instruction on EED,
mental illness, and intoxication in the penalty phase. Bowling
complains that he was only given a general instruction on mitigation,
which allowed the jury to consider any evidence they found
mitigating, but did not specifically instruct them to take into
account evidence of EED, mental illness, or intoxication. On appeal,
the Kentucky Supreme Court upheld the general mitigating instruction,
stating that Bowling was not constitutionally entitled to anything
more. Bowling I, 873 S.W.2d at 180.
The Kentucky Supreme Court is
correct. The United States Supreme Court rejected Bowling's claim in
Boyde v. California, 494 U.S. 370, 110 S.Ct. 1190, 108 L.Ed.2d
316 (1990), where the Court held that a catch-all instruction on
mitigation was constitutionally sufficient unless the instructions
as a whole created "a reasonable likelihood that the jury has
applied the challenged instruction in a way that prevents the
consideration of constitutionally relevant evidence." Id. at
380, 110 S.Ct. 1190; see also Buchanan v. Angelone, 522 U.S.
269, 276, 118 S.Ct. 757, 139 L.Ed.2d 702 (1998). An examination of
the actual jury instructions reveals that there was no realistic
chance of confusion.
The jury instructions correctly
explain that the defendant is presumed to be innocent of the
aggravating circumstance, and that the aggravating circumstance must
be proved by the prosecution beyond a reasonable doubt. For each
crime, the instructions explain that the jury need not impose the
death penalty simply because the aggravating circumstance is proved
beyond a reasonable doubt. They explain that the death penalty can
be imposed despite the existence of a mitigating circumstance, but
only if the aggravating circumstances outweigh the mitigating ones.
Most importantly, the jury instructions explicitly call upon the
jury to consider the mitigating evidence generally:
[Y]ou shall consider such
mitigating or extenuating facts and circumstances as have been
presented to you in the evidence including, but not limited to,
such of the following as you may believe from the evidence; (a) that
the Defendant has no significant history of prior criminal activity.
You shall consider any other facts and circumstances which you
consider to be mitigating or extenuating even though they are not
listed in this instruction.
J.A. at 5106-07 (italics added).
The instruction clearly allows, and in fact commands, the jurors to
consider evidence that they find mitigating. There is no reason to
assume that the jury did not consider the evidence of EED, mental
illness, and intoxication as potential mitigating evidence. Cf.
Payton v. Woodford, 299 F.3d 815, 818-19 (9th Cir.2002) (granting
habeas relief under AEDPA to a defendant whose evidence of a post-crime
conversion and good works was likely not considered by the jury
because the catch-all provision of the instructions only allowed the
jury to consider circumstances that "extenuate[d] the gravity of the
crime"). The mere fact that the jury was not given a particularized
instruction on EED or mental illness, as opposed to a more
generalized one, is simply not a constitutional wrong.5
D. Ineffective Assistance of
Counsel
Bowling's next set of claims for
relief arises from his allegation that he was provided with
ineffective counsel under Strickland v. Washington, 466 U.S.
668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). Bowling alleges that his
counsel was constitutionally defective in six principal ways.
Specifically, he asserts that counsel failed (1) to investigate the
victims' drug activities, which would have led them to another
viable suspect, Donald Adams, (2) to consult with Bowling before and
during trial, (3) to present evidence that would have justified an
instruction on EED and mitigation evidence more generally, (4) to
prepare adequately before trial because of a pending criminal
indictment against one of Bowling's attorneys, (5) to contact a
potentially exculpatory witness, and (6) to impeach effectively the
government witnesses.
In order to succeed on any of
these claims of ineffective assistance of counsel, Bowling must show
two things. First, he must show that his counsel's performance was
constitutionally deficient, and second, he must show that he was
prejudiced by his counsel's errors. Id. at 687, 104 S.Ct.
2052.
In order to prove his counsel
constitutionally deficient, Bowling must show that his counsel's
performance fell below an objective standard of reasonableness under
prevailing professional norms. Id. at 687-88, 104 S.Ct. 2052.
Bowling must overcome the "presumption that, under the circumstances,
the challenged action might be considered sound trial strategy."
Bell v. Cone, 535 U.S. 685, 698, 122 S.Ct. 1843, 152 L.Ed.2d 914
(2002) (quotations omitted). Having proved his counsel deficient,
Bowling must then show that "there is a reasonable probability that,
but for counsel's unprofessional errors, the result of the
proceeding would have been different." Strickland, 466 U.S.
at 694, 104 S.Ct. 2052. A "reasonable probability" in this context
is a "probability sufficient to undermine confidence in the outcome."
Id.6
1. Failing to Investigate the
Victims
Bowling's first claim of
ineffective assistance, which was discussed extensively at oral
argument though not given much attention in the parties' appellate
briefs, is that his counsel did not properly investigate the Earleys'
involvement with drugs. If his counsel had performed a proper
investigation, Bowling argues, they would have discovered that Eddie
Earley had informed Lexington police of the drug activities of
Donald Adams and that Donald Adams was the one who presumably shot
the Earleys.
To support his claim, Bowling
points to a memorandum written by his attorneys roughly six weeks
before trial. This memorandum lists twenty-seven tasks that counsel
said they needed to accomplish before trial. One of these, task
number twenty one, is an interview with Larry Walsh, who was the
chief of Lexington police at the time. The memorandum states that
they should interview Walsh because he was "friends with the victims"
and because Eddie Earley "provided information concerning Donald
Adam['s] drug activity." J.A. at 1237. We note that task number
twenty is counsel's statement that they should interview Donald
Adams, who "supposedly had [an] affair with Tina, and sold dope to
Eddie." J.A. at 1237.
Counsel never interviewed Walsh.
Bowling claims that if Walsh had been interviewed, Bowling's counsel
would have found that Donald Adams was the one who killed the
Earleys, or, at the very least, Bowling's counsel would have been
able to create reasonable doubt by arguing that Adams committed the
murders.
We must note that Bowling's theory
that Donald Adams was involved in the murders is farfetched. Though
Bowling never really explains how Donald Adams could have been the
murderer under the facts adduced in the case, he seems to intimate
that Adams must have stolen Bowling's car, committed the murders,
and then deposited Bowling's car on the Bowling family's property.
Among the more obvious problems with Bowling's theory is the fact
that Bowling does not explain why Adams would choose to frame
Bowling for the murders, how Adams stole Bowling's car, how Adams
knew where Bowling's family property in rural Powell County was
located, and — most importantly — how Jack Mullins and Jack Strange
could have both identified Bowling near the Powell County property
if he had not been there.
The implausibility of Bowling's
thesis that Donald Adams was in fact the killer makes it virtually
impossible for Bowling to prove that his counsel was
constitutionally deficient for not investigating this theory. In
light of the tenuous connection between Adams and the murder,
counsel's decision not to investigate further does not seem
unreasonable. In fact, the memorandum that Bowling uses to show that
his attorneys were deficient seems to support the opposite
conclusion. The memorandum reveals a methodically organized defense
team, and the mere fact that Bowling's attorneys failed to
accomplish all of the tasks they set out for themselves may be an
indication of their early ambitiousness rather than their later
negligence.
Moreover, Bowling has put forth no
evidence of prejudice. Bowling has not shown that anything
inculpatory about Adams would have come out of an interview with the
police chief. Bowling suggests that his attorneys would have at
least discovered that Eddie Earley had previously informed on Donald
Adams and that Donald Adams may have slept with Tina Earley.
Bowling's attorneys, however, already suspected this. Bowling has
put forth no evidence going beyond these facts; Bowling has not
shown that Donald Adams was in any way actually connected to the
Earleys' murders. Bowling has therefore not shown that the Kentucky
Supreme Court's decision denying relief on this claim was
unreasonable. Bowling II, 981 S.W.2d at 550.
2. Failing to Consult with
Bowling
As explained in Part I.B, supra,
Bowling first claimed ineffective assistance in the trial itself.
Between the guilt and penalty phases, Bowling sought to have his
counsel removed because Bowling felt they were unprepared. Bowling
claimed that he did not have ample chance to explain the facts of
the case to his attorneys because he had "not spent an hour, total,
with any of them from day one." J.A. at 4921 (Trial Tr.). The few
times that they did talk, Bowling claims, he was interrupted and
ignored. While Bowling's attorneys did not put on a single witness,
Bowling claimed that there were numerous witnesses who could have
been called.
The Kentucky Supreme Court quickly
rejected this claim on direct appeal, stating that "[t]he trial
judge determined that the trial strategy used by Bowling's counsel
had a better chance of success than any of which the trial judge
could think in light of the strong evidence of guilt presented by
the prosecution." Bowling I, 873 S.W.2d at 180.
This claim of ineffective
assistance of counsel fails. First, it is not clear that Bowling has
shown constitutional deficiency. The Supreme Court has emphasized
that the focus of the Sixth Amendment is not on "the accused's
relationship with his lawyer," but on "the adversarial process."
Wheat v. United States, 486 U.S. 153, 159, 108 S.Ct. 1692, 100
L.Ed.2d 140 (1988) (quotation omitted); see also Dick v. Scroggy,
882 F.2d 192, 197 (6th Cir.1989) (holding, in a non-capital case,
that Strickland was not violated when the defendant's
attorney did not interview the defendant until the night before
trial, and then for only thirty to forty-five minutes). Yet, the one-hour
total consultation time that Bowling cites is alarming, and courts
have granted habeas relief under such conditions. See, e.g.,
Harris By and Through Ramseyer v. Wood, 64 F.3d 1432, 1436,
1438-39 (9th Cir.1995) (holding that Strickland was violated
when the defendant's counsel, among many other deficiencies, met
with his client in a capital case for less than two hours).
We are concerned, however, by the
fact that Bowling has done nothing to substantiate this bare
allegation. Bowling has not even submitted a personal affidavit
verifying the one-hour total consultation figure. Bowling's trial
counsel signed affidavits stating their general strategy and
admitting that they never interviewed Chief Walsh of the Police
Department. Though they easily could have done so, these affidavits
never mention the one-hour total consultation figure. Instead of
providing that sort of substantive evidence, Bowling simply raises
this claim in his briefs, often making very limited claims like, "Lead
counsel at trial appears to have visited Mr. Bowling for a
mere hour, cumulative," without any supporting evidence. J.A. at
1843 (Motion for Post-Conviction Relief) (italics added). Moreover,
the one-hour figure seems implausible, given that Bowling's trial
lawyers could not have found the witnesses who testified at the
penalty phase (which included Bowling's coworkers and jail
supervisors) or discovered the rest of their submitted evidence
without Bowling's aid. It also seems strange, for example, that
Bowling's lawyers would have Bowling attend a psychological
examination with a psychologist for nine hours and meet with him for
only one.
Even, however, if the one-hour
total consultation figure is accurate and Bowling has made out
deficiency, Bowling has not shown the prejudice that his
Strickland argument requires. As noted by the federal district
court, Bowling has not shown how additional time spent with counsel
could have altered the outcome of his trial. Bowling claimed in the
colloquy with the state trial judge that numerous witnesses could
have been called, but Bowling never specifically named anyone and
stated in front of the trial judge that he would not testify himself.
Bowling has not even alleged factually how additional time with his
counsel would have aided his case or helped counsel obtain names of
people to testify on his behalf. Bowling cannot therefore show
prejudice; the mere fact that counsel spent little time with him is
not enough under Strickland, without evidence of prejudice or
other defects. As a result, Bowling has not shown that the Kentucky
Supreme Court's decision denying him relief on this ground is
unreasonable.
3. Failing to Present EED and
Other Mitigating Evidence
Bowling's next claim is that his
counsel was ineffective in their efforts to present evidence of an
EED defense in the guilt phase and to present general evidence of
mitigation in the penalty phase. Bowling claims that his lawyers did
not present evidence that could have garnered Bowling a mitigating
instruction under KY. REV. CODE ANN. § 532.025(2)(b)(2) and (7),
which allow for mitigation upon a showing of "extreme mental or
emotional disturbance" or a lack of capacity "to appreciate the
criminality of his conduct [or to conform the conduct] to the
requirements of law... as a result of mental illness or retardation
or intoxication."
Bowling makes several arguments.
He argues that his lawyers failed to understand the Kentucky
requirements of EED. He argues that his lawyers hastily prepared
their expert Dr. Beal and that they should have presented him in the
penalty phase. Bowling alleges that his lawyers did not put on Dr.
Beal because Beal did not return a phone call. Bowling also argues
that counsel in the penalty phase should have submitted evidence
that Bowling had a growth removed from his head at age seven,
sustained serious head injuries, had a violent alcoholic father, and
suffered a history of alcohol abuse and blackouts. The Kentucky
Supreme Court rejected all of these assorted claims. Bowling II,
981 S.W.2d at 550.
Some of Bowling's claims clearly
have no merit. Bowling claims that Beal's analysis was a hasty last-minute
effort, but Beal spent nine hours with Bowling, interviewed several
members of Bowling's family, examined medical and family records,
and wrote a written report. Bowling argues that his lawyers did not
understand the Kentucky requirements of EED, but Bowling has offered
no evidence to support this claim, and our review of the transcript
suggests otherwise.
Bowling's chief objection seems to
be a challenge to his counsel's decision not to put Dr. Beal on the
stand. Many sensible reasons could justify this decision. First, if
Beal had testified to Bowling's mental deterioration before the
crime, that might have implicitly suggested to the jury that Bowling
was the murderer. The decision not to call Beal as a witness may
have been a necessary consequence of Bowling's insistence on not
abandoning his claim of innocence in the guilt phase. Bowling claims,
however, that his attorneys were simply lazy, pointing to the
following statement that his attorneys made in deciding to rest his
case:
Assuming that we — I mean, we are
going to rest. We were — I didn't mean to seem like we were
stringing him along. I do want them to know that we were considering
putting Dr. Veal [sic] on this afternoon. We needed to talk to him
about some additional information that we had. He did not get back
to us. On further reflection, we decided to rest.
J.A. at 4757. In isolation, this
comment suggests that his attorneys may have chosen not to call Beal
as a witness because they could not find him. Even if this is true,
however, it was better for Bowling that his attorneys did not call
Dr. Beal to testify, as it is clear that Beal's testimony was not
going to help Bowling establish extreme emotional disturbance.
Beal's report states:
There is no evidence that the
mental disorders substantially impaired this man[']s behavior with
respect to the alleged actions, such that he lacked substantial
capacity to appreciate the criminality of his conduct, or that he
was unable to conform his conduct to the requirements of the law. In
my opinion Mr. Bowling was legally sane at the time of the
offenses for which he is charged.
J.A. at 5320 (Beal Report). The
report contains other damaging observations as well. In his
psychological assessment of Bowling, Beal reported Bowling as having
a tendency to be "angry, irritable, resentful" and "asocial," and
said that his offenses could be expected to be "vicious and
assaultative ... senseless, poorly planned, and poorly executed."
J.A. at 5328. Moreover, it is clear that Dr. Beal did not think
Bowling was entitled to an EED instruction. One of Bowling's
attorneys wrote a memorandum describing his conversation with Dr.
Beal, during which Dr. Beal suggested that "Bowling was in a frame
of enraged anger prior to the murders, and we discussed that this
did not appear to be a heat of passion kind of thing, but rather
something that had been developing several days earlier." J.A.
at 5335 (Att'y Memorandum) (italics added). This would be very
damaging information, for as we noted, supra at Part II.C, in
our discussion of extreme emotional disturbance, it would, in fact,
destroy Bowling's request for an EED instruction under Kentucky law.
See McClellan, 715 S.W.2d at 468.
Because Beal's testimony was not
going to help Bowling, it was certainly reasonable (and perhaps
ultimately better for Bowling) that Bowling's counsel chose to rely
on the testimony of their favorable lay witnesses, Bowling's sister
and mother, who testified to his deteriorating state of mind, as
well as on the state's mental health expert, Dr. Smith, whose report
seems more helpful to the defense than the one of Dr. Beal. See
Bowling II, 981 S.W.2d at 550 (noting that the State's profile "aided
Appellant in his case more than his own psychologist's profile").
Dr. Smith, in contrast to Dr. Beal, believed that it was "unlikely
but not impossible that Mr. Bowling, as a result of mental disease
or defect, lacked substantial ability to comprehend the criminality
of his behavior or to conform his behavior to the requirements of
law." J.A. at 5186-87 (Smith Report). Smith's report also states
that Bowling "suffers from Alcohol Abuse" and that at the time of
the accident Bowling either "suffered from a major psychiatric
disorder or ... was suffering an ordinary reaction to the loss of
his wife occurring in an alcoholic individual with this [Antisocial
and Borderline] personality disorder." J.A. at 5186.
Since Beal's testimony was not
going to aid Bowling, Bowling cannot show ineffective assistance of
counsel for the failure to present it. Even if Bowling is right and
his attorneys were not making a tactical error but were being
deficient in failing to present Beal, Bowling cannot show prejudice.
Finally, Bowling argues that his
counsel could and should have submitted evidence that Bowling had a
growth removed from his head at age seven, serious head injuries, a
violent alcoholic father, and a history of alcohol abuse and
blackouts. As an initial matter, Bowling did present some of this
information. His sister and mother testified to his drinking, the
prevalence of mental illness in the family, and his strange behavior
during the weeks before the shooting. Bowling has not submitted
evidence that he suffered from a violent alcoholic father. Bowling's
evidence that he had a growth removed from his head and a serious
head injury comes from an initial doctor's report noting the head
growth and the fact that Bowling was in a boating accident as a
child that left him unconscious. Beal's report, however, considered
this earlier report, and did not think the head growth and childhood
injury worthy of mention.
This evidence, though not
presented, does not seem to have much importance. Bowling's counsel
submitted these facts to their expert, who seemed to view them as
trivial and not worth pursing. It was therefore reasonable for
counsel to make the strategic decision to pursue other avenues of
relief for Bowling by stressing his drinking, mood swings, and
increasing depression. Moreover, Bowling cannot show any prejudice
from this alleged deficiency, because it is simply unrealistic to
say that knowledge of these two minor childhood incidents, which
have no apparent connection to the present, could have changed
anything. Bowling has not shown deficiency or prejudice as those
terms have been used in other binding precedent. Cf. Terry
Williams v. Taylor, 529 U.S. 362, 395-98, 120 S.Ct. 1495, 146
L.Ed.2d 389 (2000) (finding ineffective assistance when counsel
failed to introduce evidence that the defendant was borderline
mentally retarded and was severely and repeatedly beaten by his
father); Coleman v. Mitchell, 268 F.3d 417, 450-53 (6th
Cir.2001) (finding ineffective assistance when counsel failed to
report that the defendant was borderline mentally retarded and
sexually abused by his grandmother who involved him in her voodoo
and group sex practices), cert. denied, 535 U.S. 1031, 122
S.Ct. 1639, 152 L.Ed.2d 647 (2002); Carter v. Bell, 218 F.3d
581, 593-94, 600 (6th Cir. 2000) (finding ineffective assistance
when counsel failed to introduce medical records showing multiple
childhood and adult head injuries from accidents and fights, and
physician recommendations for psychiatric hospitalization); Glenn
v. Tate, 71 F.3d 1204, 1208, 1211 (6th Cir.1995) (finding
ineffective assistance when counsel failed to introduce evidence
showing that the defendant sustained organic brain damage before he
was born and was mentally retarded as a result), cert. denied,
519 U.S. 910, 117 S.Ct. 273, 136 L.Ed.2d 196 (1996).
4. Failing to Prepare Because
of the Indictment
Bowling next claims that his
attorney Summers was unprepared because Summers was told on the
first day of trial that he was being indicted. Bowling points to an
affidavit filed by another of his trial attorneys, Baldani, who
stated that Summers was "extremely upset" and asked Baldani to
cross-examine the investigating officer, Detective Henderson. J.A.
at 1243 (Baldani Aff.).
In Bowling's post-conviction
appeal, the Kentucky Supreme Court analyzed this claim and stated
that "[w]ith no evidence that counsel's indictment had any negative
implications on Appellant's trial, we cannot conclude that Appellant
was denied effective counsel in this respect." Bowling II,
981 S.W.2d at 550.
The Kentucky Supreme Court is
correct. Bowling has not even alleged that the performance of his
defense team was hampered when Baldani had to take over for Summers.
Neither Baldani in his affidavit nor Bowling in his brief makes any
claim that Summers would have done a better job than Baldani did. On
direct examination, Detective Henderson related the events
surrounding Bowling's arrest in Knoxville, told of retrieving
Bowling's personal effects, and testified about interviewing the
witnesses placing Bowling on the road near where his car was
discovered on the evening of the murder. On cross-examination,
Baldani got Henderson to admit that none of the personal effects had
blood on them and that the car itself did not have blood on it
either. No part of Baldani's cross-examination seems substandard and
Bowling has not even suggested anything that Baldani failed to ask.
This claim therefore fails.
5. Failing to Investigate the
Message With the Police
Bowling also argues that a message
left within the police department long before the trial took place
suggests that there may be another witness to the crime. The message
is from an officer who had a friend whose boyfriend was a witness to
the accident. The message reports only that the "incident occured
[sic] over a fender bender type accident." J.A. at 1779.
Bowling contends that his counsel
was ineffective for not taking steps to investigate who sent the
message. Even assuming that Bowling could show his counsel was
deficient for failing to do so, Bowling cannot prove prejudice.
Bowling argues that if his counsel had been able to find this
witness, then the witness could have rebutted the prosecution's
theory that Bowling had intentionally rammed the car, which would
have entitled Bowling to an instruction on EED. Bowling, however,
has no evidence that the witness would testify that the incident was
accidental or that an accidental collision would have been
sufficient to warrant an instruction on EED. In fact, it seems
likely that the witness would have hurt Bowling's case. The only
thing known about the witness is that she described the accident
preceding the shootings as a fender bender. This tends to suggest
that the accident was an extremely minor one, which would contradict
Bowling's claim that the accident was so jarring as to make him lose
control over his actions and shoot the Earleys. Moreover, as the
Kentucky Supreme Court stressed, "[i]t was not the lack of evidence
pertaining to the collision, but rather the lack of evidence showing
the effect the collision had upon Appellant that precluded the EED
instruction." Bowling II, 981 S.W.2d at 549. As a result,
this claim of error also fails.
6. Failing to Impeach the
Prosecution's Witnesses
Bowling's last claim of
ineffective assistance of counsel is that his counsel inadequately
cross-examined Clay Brackett.7
Bowling argues that an adequate cross-examination of Brackett, who
sold Bowling the murder weapon, would have shown that he testified
pursuant to a covert deal struck with police who agreed not to
pursue him for failing to register his firearms. The Kentucky
Supreme Court rejected this claim as well. Bowling II, 981
S.W.2d at 550.
Bowling, however, has put forth no
evidence of an agreement between Brackett and the government.
Without any evidence supporting Bowling's claim, we cannot say that
the Kentucky Supreme Court's decision to deny relief on these
grounds was improper, let alone unreasonable.
E. Evidentiary Hearing
Bowling next claims that the
district court erred by denying him a federal evidentiary hearing in
conjunction with his habeas petition. Bowling seeks an evidentiary
hearing to investigate one of his Brady claims and a few of
his ineffective assistance of counsel claims. SeeBrady v.
Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963).
Specifically, Bowling wants to investigate whether the prosecution
had any internal documents linking the Earleys to Donald Adams (and
thus Donald Adams to the crime itself), and whether Bowling's
counsel was defective for not further investigating Adams.8
Bowling also seeks an evidentiary hearing to establish whether his
counsel was ineffective for failing to investigate a potential deal
the government made with Clay Brackett. Bowling was never granted
any post-conviction evidentiary hearing by the Kentucky state courts,
but requested an evidentiary hearing in the direct appeal and post-conviction
proceedings. We conclude that the district court did not err in
denying Bowling an evidentiary hearing.
The first hurdle that Bowling must
jump is 28 U.S.C. § 2254(e)(2), which prevents federal courts from
granting evidentiary hearings to petitioners who "fail[ ] to develop
the factual basis of a claim in State court proceedings." The
Supreme Court has explained that "a failure to develop the factual
basis of a claim is not established unless there is lack of
diligence, or some greater fault, attributable to the prisoner or
the prisoner's counsel." Michael Williams v. Taylor, 529 U.S.
420, 432, 120 S.Ct. 1479, 146 L.Ed.2d 435 (2000). This court has
noted that "a finding of diligence would `depend[ ] upon whether the
prisoner made a reasonable attempt, in light of the information
available at the time, to investigate and pursue claims in state
court.'" Sawyer v. Hofbauer, 299 F.3d 605, 610 (6th Cir.2002)
(citing Williams, 529 U.S. at 435, 120 S.Ct. 1479).
Bowling has met his burden under
28 U.S.C. § 2254(e)(2). Bowling repeatedly sought an evidentiary
hearing in state court and, in those proceedings, introduced several
documents attempting to corroborate the deal between Clay Brackett
and the government and to establish the culpability of Donald Adams.
We find this sufficient to show that Bowling was diligent in his
state court litigation.
However, the fact that Bowling is
not disqualified from receiving an evidentiary hearing under §
2254(e)(2) does not entitle him to one. We must determine then
whether the district court abused its discretion by denying him an
evidentiary hearing. See Sawyer, 299 F.3d at 610. This court
has held that "a habeas petitioner is generally entitled to such a
hearing if he alleges sufficient grounds for release, relevant facts
are in dispute, and the state courts did not hold a full and fair
evidentiary hearing." Id. (internal quotations omitted).
However, "[e]ven in a death penalty case, `bald assertions and
conclusory allegations do not provide sufficient ground to warrant
requiring the state to respond to discovery or to require an
evidentiary hearing.'" Stanford v. Parker, 266 F.3d 442, 460
(6th Cir.2001) (citation omitted), cert. denied, 537 U.S.
831, 123 S.Ct. 136, 154 L.Ed.2d 47 (2002).
Bowling cannot show that the
district court abused its discretion in denying him an evidentiary
hearing. Bowling's claims that Donald Adams was the one who murdered
the victims and that Clay Brackett had a deal with the government do
not amount to anything more than conclusory allegations. At oral
argument, Bowling's counsel argued that Bowling could not make more
than bald assertions precisely because he had not had an evidentiary
hearing. This circular logic, however, would entitle every habeas
defendant to an evidentiary hearing on any issue. Without some
evidence in support of Bowling's implausible theory of the case,
which is analyzed above in our discussion of Bowling's ineffective
assistance of counsel claims, we cannot say that the district
court's decision to deny an evidentiary hearing was an abuse of
discretion.9
F. Prosecutorial Misconduct
Bowling's fourth set of claims
relates to allegations of misconduct on the part of the prosecution.
On direct appeal, the Kentucky Supreme Court considered the claims
of prosecutorial misconduct together and found no merit in them.
Bowling I, 873 S.W.2d at 178.
On habeas review, claims of
prosecutorial misconduct are reviewed deferentially. Darden v.
Wainwright, 477 U.S. 168, 181, 106 S.Ct. 2464, 91 L.Ed.2d 144
(1986). To be cognizable, the misconduct must have "`so infected the
trial with unfairness as to make the resulting conviction a denial
of due process.'" Id. (citation omitted). Even if the
prosecutor's conduct was improper or even "universally condemned,"
id., we can provide relief only if the statements were so
flagrant as to render the entire trial fundamentally unfair. Once we
find that a statement is improper, four factors are considered in
determining whether the impropriety is flagrant: (1) the likelihood
that the remarks would mislead the jury or prejudice the accused,
(2) whether the remarks were isolated or extensive, (3) whether the
remarks were deliberately or accidentally presented to the jury, and
(4) whether other evidence against the defendant was substantial.
See Boyle v. Million, 201 F.3d 711, 717 (6th Cir.2000). Under
AEDPA, this bar is heightened by the deference we give to the
Kentucky Supreme Court's determination of Bowling's prosecutorial-misconduct
claims. See Macias v. Makowski, 291 F.3d 447, 453-54 (6th
Cir.2002) ("If this court were hearing the case on direct appeal, we
might have concluded that the prosecutor's comments violated
Macias's due process rights. But this case is before us on a
petition for a writ of habeas corpus. So the relevant question is
not whether the state court's decision was wrong, but whether it was
an unreasonable application of clearly established federal law.").
1. The Presumption of Innocence
Bowling's first claim is that the
prosecutor negated the presumption of innocence during general voir
dire by drawing the following analogy:
Okay; most of us know how to drive
a standard transmission. That means that you are not going forward
in this case or you are not going in reverse in this case, but you
are sitting in neutral waiting to determine, based on the evidence
you hear here, whether you go forward or in reverse. Is there
anybody here that is not in neutral? How did you like the way I
viewed that? Thank you; I have no other questions, Judge.
J.A. at 3317-18. Bowling is
correct when he states that a jury must be told a defendant is
presumed innocent. Taylor v. Kentucky, 436 U.S. 478, 484-86,
98 S.Ct. 1930, 56 L.Ed.2d 468 (1978). Given the context of the
prosecutor's statement, it is clear that the prosecutor did not
undermine that presumption; instead, the prosecutor was merely
trying to make sure that the jury began the trial without
presuppositions about the case. The same prosecutor had made the
following remark only seconds before:
Do we all agree that this
Defendant is, as he sits right here, innocent until proven guilty?
We all understand that there has been no evidence heard in this
case. And, as a result, if all of us had to vote right now, we would
have to vote not guilty because we haven't heard any evidence. Do we
understand that? Okay; now, in criminal cases, the burden of proving
a person charged with a crime guilty beyond a reasonable doubt rests
on the Commonwealth.... The burden is on us; do you understand that?
J.A. at 3315. Considering these
statements together, it becomes apparent that the presumption of
innocence was not negated in this case. There is therefore no
impropriety here, and this claim is easily dismissed.
2. Comments on Bowling's Silence
Bowling also argues that the
prosecution made constitutionally improper comments about his
failure to testify. Bowling has two comments in mind. First, in the
prosecution's closing argument in the guilt phase, the prosecutor
argued that the defendant did have a motive:
But, see, we have proven a motive.
There is no doubt he had one. See, something made him buy that gun
from Mr. Brackett before this killing. Something caused him to go
out and sit by that fence row by that empty slat. Something made him
do that. Something made him say that morning, "Today is the day."
Something motivated him to plan it so that he caught Eddie and Tina
Early there the every morning [sic] — or, at the very moment of
their arrival at the cleaners. And, something motivated him to ram
his car into theirs, and to empty that .357 into their bodies. We
have proven to you that he had a motive. We can't tell you what it
is, because only the man that pulled the trigger knows. But, we know
that there is one.
J.A. at 4860-61. Bowling argues
that the statement "only the man that pulled the trigger knows," was
effectively a comment on the fact that Bowling did not testify at
trial. Bowling did not, however, object to this statement at the
time. Bowling also points to the prosecution's argument in the
penalty phase where the prosecutor remarked, "What the defendant
cannot get away from here is the planning, the pre-meditation, the
physical evidence, his actions, the callousness of it, and his lack
of seeming remorse." J.A. at 5116. Bowling objected to this
statement at trial and argues here that it also was a comment on
Bowling's silence.
The law is clear that the
prosecution cannot comment on a defendant's decision not to testify
at trial. See Griffin v. California, 380 U.S. 609, 615, 85
S.Ct. 1229, 14 L.Ed.2d 106 (1965); Rachel v. Bordenkircher,
590 F.2d 200, 202 (6th Cir.1978) (granting writ of habeas corpus and
requiring a new trial when the prosecutor remarked that he could not
say what happened because the defendant "won't tell us"). Yet,
prosecutors can "summarize the evidence and comment on its
quantitative and qualitative significance." United States v. Bond,
22 F.3d 662, 669 (6th Cir.1994). When a statement indirectly
comments on the defendant's decision not to testify, this court uses
four factors to evaluate such a statement: "1) Were the comments `manifestly
intended' to reflect on the accused's silence or of such a
character that the jury would `naturally and necessarily' take them
as such; 2) were the remarks isolated or extensive; 3) was the
evidence of guilt otherwise overwhelming; 4) what curative
instructions were given and when." Lent v. Wells, 861 F.2d
972, 975 (6th Cir.1988), cert. denied, 489 U.S. 1100, 109
S.Ct. 1577, 103 L.Ed.2d 943 (1989).
The prosecution's comments do not
create constitutional error. Analyzing the above factors, we
conclude that both of the comments are singular, inadvertent
statements that only upon reflection marginally touch on Bowling's
silence. They were not manifestly intended to reflect on Bowling's
silence and likely would not have been taken as such. The
prosecution's first comment, which was not objected to, that "only
the man that pulled the trigger knows" was probably intended to show
the jury that the prosecution had done everything it could to show
motive; the comment was likely not intended to highlight the
defendant's silence. The second statement seems even less
appropriately construed as a comment on the defendant's silence —
the prosecution was merely emphasizing its view that the defendant's
actions at the time of the crime (rather than his silence at trial)
demonstrated no remorse. See Lent, 861 F.2d at 975 (stating
that there can be no constitutional error if "some other explanation
for the prosecutor's remarks is equally plausible"). We therefore
conclude that such comments do not constitute constitutional error.
3. Diminished Jury Responsibility
Bowling argues that the prosecutor
diminished the jury's responsibility for deciding whether to apply
the death penalty. Bowling points to several comments made at the
penalty phase that he alleges took the responsibility for the death
sentence away from the jury and placed it on the prosecution, the
legislature, and society.
The Supreme Court has established
that "it is constitutionally impermissible to rest a death sentence
on a determination made by a sentencer who has been led to believe
that the responsibility for determining the appropriateness of the
defendant's death rests elsewhere." Caldwell, 472 U.S. at
328-29, 105 S.Ct. 2633. In Caldwell, the Supreme Court
reversed the defendant's conviction after the prosecutor explicitly
argued that the responsibility for the death penalty was not with
the jury, by telling the jurors "your decision is not the final
decision." Id. at 325, 105 S.Ct. 2633. In Dugger v. Adams,
489 U.S. 401, 109 S.Ct. 1211, 103 L.Ed.2d 435 (1989), the Court held
that "to establish a Caldwell violation, a defendant
necessarily must show that the remarks to the jury improperly
described the role assigned to the jury by local law." Id. at
407, 109 S.Ct. 1211. Bowling cites several statements made in
closing argument that allegedly violate Caldwell, but none of
these claims have merit.
A number of the statements Bowling
puts forward clearly do not constitute Caldwell violations.
Bowling claims that the prosecutor improperly told the jury to find
the death penalty because Bowling was not ill but mean, because the
legislature had deemed the death penalty appropriate when it devised
the legislative scheme, and because Bowling might be released on
parole otherwise. We note initially that Bowling's characterizations
of the prosecution's remarks are somewhat inaccurate and exaggerated.
In any event, however, Bowling has not shown how the prosecution's
remarks improperly described the role assigned to the jury by local
law as required by Caldwell,
Only two of the prosecutor's
statements are potentially serious violations of Caldwell.
The first statement was made by the prosecutor who, when addressing
the jury, stated that the jurors could not "recommend the
death penalty unless [they] first decide that an aggravating factor
exists." J.A. at 5113-14 (italics added). Bowling alleges that the
jury's responsibility for the death penalty was unconstitutionally
lessened by the use of the word "recommend." We have held, however,
that this statement does not misstate local law because Kentucky
statutes also use the word "recommend." See KY. REV.CODE ANN.
§ 532.025(1)(b); Kordenbrock v. Scroggy, 919 F.2d 1091, 1101
(6th Cir.1990) (en banc) (holding that, under Dugger, the use
of the word "recommend" under Kentucky law did not misstate the
jury's role and therefore could not amount to a Caldwell
violation).10 As
a result, this statement was not made in violation of Caldwell.
The second potentially problematic
statement was also made by the prosecution in its closing: That is
an extraordinary case, you see. Multiple homicides, intentional
killings; you kill one person. Don't kill everybody else, the other
witnesses. Extraordinary cases. In Kentucky, the death penalty
applies. And, our Legislature has said in those aggravated murder
cases that the death penalty may be imposed by a jury. Potter
Stewart, a former Justice of the United States Supreme Court, said
while dealing with death penalty cases. "The expression of society's
moral outrage is essential in an ordered society that asks its
citizens to rely on legal processes rather than self-help to
vindicate their wrongs." He continued — and this is critical — "because,"
he said, "when people begin to believe that organized society is
unwilling or unable to impose on criminal offenders the punishment
they deserve, then the seeds of anarchy will soon be sewn."
J.A. at 5111-12. Bowling argues
that this quotation, which comes from Justice Stewart's concurrence
in Furman v. Georgia, 408 U.S. 238, 308, 92 S.Ct. 2726, 33
L.Ed.2d 346 (1972), and was repeated in Gregg v. Georgia, 428
U.S. 153, 183, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976), violates the
principles announced in Caldwell. However, it is clear that
there is nothing in this statement that explicitly misinforms the
jury of its role. Bowling's argument here is better conceptualized
as a claim under Viereck v. United States, 318 U.S. 236, 63
S.Ct. 561, 87 L.Ed. 734 (1943), which held that the incendiary
nature of a prosecutor's patriotic remarks which were "wholly
irrelevant to any facts or issues in the case, the purpose and
effect of which could only have been to arouse passion and prejudice"
jeopardized the defendant's right to a fair trial. Id. at
247, 63 S.Ct. 561. This court, however, has stated that unless the
remarks were "calculated to incite the passions and prejudices of
the jurors, appeals to the jury to act as the community conscience
are not per se impermissible," United States v. Solivan, 937
F.2d 1146, 1151 (6th Cir.1991), and so a case-by-case analysis is
required.
In Solivan, we held that a
prosecutor violated the defendant's right to a fair trial when he
urged the jury to "tell her and all of the other drug dealers like
her ... that we don't want that stuff in Northern Kentucky and that
anybody who brings that stuff in Northern Kentucky ... [interrupted
by the court]" Id. at 1148. An earlier case, United States
v. Alloway, 397 F.2d 105 (6th Cir.1968), had held not improper a
prosecutor's statement that "You the jurors, are called upon in this
case to be the world conscience of the community. And I'm calling on
this jury to speak out for the community and let the John Alloways
know that this type of conduct will not be tolerated, that we're not
going to tolerate..." Id. at 113. The Solivan court
distinguished Alloway by noting that the comments in
Alloway "constituted a general plea which did not even
specifically refer to the crime of armed robbery," and that "armed
robbery was not and is not the specific focus of national attention
as is the drug problem." Solivan, 937 F.2d at 1155. In
contrast, in Solivan, "the prosecutor went beyond ... a mere
innocuous reference to the community or societal need to convict
guilty people ... and went so far as to urge the jury to send a
message to the community, to defendant and `all of the drug dealers
like her' by convicting defendant." Id. In Solivan,
the prosecutor suggested that through a conviction "the jury...
would help keep its community in northern Kentucky free of the drug
trade."
In Buell v. Mitchell, 274
F.3d 337 (6th Cir.2001), we again addressed the distinction between
Alloway and Solivan, denying a writ of habeas corpus
to a defendant on the basis of a prosecutor's remark that "the jury
should `send a message to the Robert Buells of the world' that `if
you're going to commit this kind of a crime then you better be
expecting to pay the ultimate price, yourself." Id. at 365.
We noted that the prosecutor in Buell "was not making a
statement regarding the jury's ability to address a specific
societal problem," but was merely making "a general statement
regarding the need to convict people who commit sexual molestation
and murder." Id.
Under our binding precedents, we
hold that the prosecutor's statement in this case is not so improper
as to violate Bowling's due-process rights. The statement that
Bowling complains of is a general reference to the societal need to
punish guilty people; the prosecutor in this case did not "attempt
to compare or to associate the defendant with a feared and highly
publicized group, such as drug dealers," Solivan, 937 F.2d at
1154, but was attempting only to make "a general statement regarding
the need to convict people who commit... murder," Buell, 274
F.3d at 365. Moreover, the prosecutor did not state that the jurors'
individual communities would be safer if the defendant were
convicted, as was the case in Solivan. Although we will not
say that the giving of this statement was proper, see State v.
Byrd, 32 Ohio St.3d 79, 512 N.E.2d 611, 615-16 (1987) (calling
the same argument "not proper" and "caution[ing] prosecutors to
avoid such arguments"), we do not find it, under the circumstances
of this case, so improper as to render Bowling's trial fundamentally
unfair, see Macias, 291 F.3d at 453-54 (noting that the
normally deferential review of prosecutorial misconduct is even more
deferential under AEDPA).
4. The Golden Rule
Bowling claims that the prosecutor
also committed misconduct when, after discussing the testimony of
Bowling's family, he remarked in the penalty phase:
It is always difficult when a
family member testifies on behalf of someone charged with a crime.
They are his family. And, what do you expect? Don't you know that Mr.
and Mrs. Early and Ms. Morgan would give anything in the world to
have had the opportunity to beg for their children's life on April
9, 1990. Please don't hurt our children. And, don't you know, Chris
[the injured child], if he could, would love to have plead for the
life of his mother and father.
J.A. at 5115-16. Bowling argues
that the prosecutor's comments here are similar to the forbidden
Golden Rule, which "tends to pressure the jury to decide the issue
of guilt or innocence on considerations apart from the evidence of
the defendant's culpability." Dean v. Commonwealth, 777 S.W.2d
900, 904 (Ky.1989) (finding error in an extended statement
glorifying the victim of a homicide).
This comment, however, was an
isolated remark that did not suggest to the jury that they should
decide the case on a basis other than Bowling's culpability. This
court has recently held a more dangerous comment not to be improper,
let alone a denial of due process. Simpson v. Jones, 238 F.3d
399, 409 (6th Cir.2000) (upholding the statement, "Ask yourself if
you had a loved one, or had a relative, or a friend, who was in a
situation like that"). Given the Simpson precedent, by which
this panel is bound, we must conclude that the statement that
Bowling complains of is not so fundamentally unfair as to constitute
a denial of due process.
5. Finding of Statutory
Aggravator
Bowling next claims prosecutorial
misconduct amounting to a denial of due process in the fact that the
prosecutor told the jury, during the eligibility section of the
penalty phase, that because it had already found the aggravating
circumstance in the guilt phase of the trial (by finding Bowling
guilty of intentional double homicide), it need not again consider
whether there was an aggravating circumstance in the penalty phase,
because under Kentucky law, the aggravating circumstance was already
shown. See KY. REV. CODE ANN. § 532.025(2)(a)(6) (making an
offender eligible for the death penalty when "[t]he offender's act
or acts of killing were intentional and resulted in multiple deaths").
The prosecutor remarked as follows:
You cannot recommend the death
penalty unless you first decide that an aggravating factor exists.
Did the Defendant, Thomas Clyde Bowling, Jr. intentionally cause the
death of more than one person. I don't have to remind you that you
found that last Friday.
J.A. at 5113-14.
This instruction does not appear
to violate Bowling's constitutional rights. First, an aggravating
circumstance may be found at either the guilt or penalty phase.
See Tuilaepa v. California, 512 U.S. 967, 971-72, 114 S.Ct.
2630, 129 L.Ed.2d 750 (1994). Second, Tuilaepa
notwithstanding, the jury instructions in this case did in fact
require the jury to find the aggravating circumstance beyond a
reasonable doubt in the penalty phase as well as in the guilt phase,
J.A. at 5106, which the jury found, J.A. at 5138. There is therefore
no error.
6. Denigration of Bowling's
Mitigation Evidence
Finally, Bowling argues that the
prosecution improperly told the jury that it did not have to
consider Bowling's mitigation evidence. Bowling cites to the part of
argument where the prosecutor remarked:
It is a strong, strong, strong
case against this Defendant. And, what about mitigating
circumstances that you are instructed to consider, if you wish;
Mitigating circumstances, whether there are any mitigating
circumstances that would make this entire event less serious, the
brutal murder of two young lives. Are there any such circumstances?
Are there?
J.A. at 5116 (italics added).
Bowling argues that the italicized phrase makes it seem that the
jury does not need to consider the mitigating evidence, which it is
constitutionally required to do under Boyde v. California,
494 U.S. 370, 380, 110 S.Ct. 1190, 108 L.Ed.2d 316 (1990). This
could be an improper attempt to suggest to the jury they may decide
not to consider mitigating evidence, but it seems more likely to be
interpreted as a simple argument that there is no mitigating
evidence. See Lent, 861 F.2d at 975 (noting that there can be
no constitutional error if "some other explanation for the
prosecutor's remarks is equally plausible"). Even if this is error,
however, it is an isolated, unintentional error with no effect on
the jury. The jury was repeatedly told in the instructions that they
had to consider mitigating evidence; for example, an instruction
states that the jury "shall consider such mitigating or extenuating
facts and circumstances as have been presented to you." J.A. at
5106. Bowling has therefore not made out a violation of due process
here.
In summary, we find none of
Bowling's allegations of prosecutorial misconduct, individually or
together, violate due process.
G. Denial of Fair Jury
Bowling's next set of claims is
that the jury empaneled to hear his case was unfairly selected.
Bowling has two independent claims for relief. His first argument is
that one of the jurors actually seated was an "automatic death
penalty" juror who should have been excluded. Bowling's second
argument is that three jurors, whom Bowling eventually struck with
his peremptory challenges, should have been dismissed for cause.
These claims do not have merit.
Bowling's first claim of improper
jury selection is that Charles Livingston, Juror # 650, should have
been excluded for cause as an "automatic death penalty" juror.
See Morgan v. Illinois, 504 U.S. 719, 728, 112 S.Ct. 2222, 119
L.Ed.2d 492 (1992) (noting that "a capital defendant may challenge
for cause any prospective juror ... who will automatically vote for
the death penalty in every case"); see also Wainwright v. Witt,
469 U.S. 412, 424, 105 S.Ct. 844, 83 L.Ed.2d 841 (1985) ("[T]he
proper standard for determining when a prospective juror may be
excluded for cause because of his or her views on capital punishment
... is whether the juror's views would prevent or substantially
impair the performance of his duties as a juror in accordance with
his instructions and his oath.") (internal quotation omitted). In
determining whether a juror is biased, "deference must be paid to
the trial judge who sees and hears the juror." Witt, 469 U.S.
at 426, 105 S.Ct. 844. Even before AEDPA, the trial court's finding
that a juror was impartial was entitled to a presumption of
correctness, rebuttable only upon a showing of clear and convincing
evidence. See 28 U.S.C. § 2254(e)(1); Patton v. Yount,
467 U.S. 1025, 1036, 104 S.Ct. 2885, 81 L.Ed.2d 847 (1984) (noting
that juror partiality is a question of historical fact). The
question is not whether the trial judge was wrong or right in his
determination of impartiality, but merely whether his decision was "fairly
supported by the record." See Witt, 469 U.S. at 433, 105 S.Ct.
844 (internal quotations omitted).
The colloquy between Livingston,
the trial court, and the two sets of counsel was extensive:
Q [(Pros.)]: If you were
selected as a jury — juror, and along with your eleven jurors in a
particular case concluded that the defendant was guilty of
intentional murder, then could you in the sentencing phase or the
penalty phase consider the entire range of penalties, twenty years
to life, life without parole, or death?
A: One?
Q [(Court)]: And, decide on
one of them; but, could you consider all three penalties?
A: I could consider them
all.
J.A. at 3534-35. The court then
asked whether Livingston could vote for the death penalty, and he
answered affirmatively. The court then asked:
Q: By like token, even
though the Defendant was found guilty beyond a reasonable doubt of
intentional murder, if the other facts of the case made it
appropriate that only twenty years be fixed as the penalty, you
could do that, too?
A: Yes.
J.A. at 3536. However, Livingston
was then asked questions by defense counsel. He first equivocated on
whether he could necessarily or automatically give the death penalty,
stating, "Well, you know, in a trial if it is proven that he is
guilty ..." J.A. at 3539. He was then asked, "but, given that
situation of a multiple intentional killing, found guilty beyond a
reasonable doubt, that would lead you to automatically vote for the
death penalty?" J.A. at 3540-41. He responded, "Yes." J.A. at 3541.
Livingston later also stated that he felt strongly about that.
Eventually, the Court intervened and asked some direct questions:
Q [(Court)]: Would you
consider if mitigating circumstances were proven to you along with
the rest of the case?
A: I would try.
Q: Would you consider all
of the facts in the case, not just the fact that he had committed a
multiple killing, but circumstances of how, why, when, and under
what mental condition and all that sort of thing?
A: Uh-huh.
Q: Would you consider all
of those factors?
A: Yes, (inaudible).
Q: Then, let me know
whether you believe that in every case where a defendant is
convicted of an intentional killing that the death penalty would
automatically be given or should automatically be given? Do you
believe that? Are you sure you understand what I am saying now?
[Some clarification.]
* * *
A: Well, what I'm saying
now, you are saying if a man takes another person's life
intentionally — you know, I feel that when a man takes another life,
he should be punished for that. But, if he takes someone's life and
he is not in his right mind, then I would consider (inaudible).
Q: Would you consider other
facts that the law says are mitigating circumstances? Well, I take
it, that if the jury — if you should be on a jury and you find the
Defendant in a particular case guilty of intentional murder, you
wouldn't automatically, then, say death penalty and nothing else
considered?
A: No, I would have to
consider the other options.
Q: You could consider all
of them including twenty years, the minimum.
A: Yes; I definitely don't
want, you know, (inaudible) see someone take the death penalty
(inaudible).
Q: Deserve it based upon
your finding of all the facts — in your consideration of all of the
facts in the case?
A: Right.
Q: Not just that one fact,
that it was a multiple killing?
A: Yes.
J.A. at 3542-46. Livingston was
then moved out of the room. Bowling's counsel challenged him for
cause, but the motion was denied.
Though we recognize this is a
close question, ultimately Livingston is not an "automatic death
penalty" juror within the meaning of Morgan. Livingston did
initially state that he would automatically give the death penalty
to those who met the aggravating factor, but later he expressly said
that he would consider mitigating evidence. The trial court asked
Livingston thorough questions, and Livingston's responses showed
that he was not someone who would automatically impose the death
penalty in all cases. Morgan requires only that a juror be
excluded if he would automatically "vote for the death penalty
without regard to the mitigating evidence," something that
Livingston explicitly said he would not do. Morgan, 504 U.S.
at 738, 112 S.Ct. 2222. This being the case, given the deference we
give to trial courts' determinations of impartiality, we find that
there is no constitutional error here, and alternatively, that the
Kentucky Supreme Court's decision to that effect, Bowling I,
873 S.W.2d at 177, was not objectively unreasonable.
Bowling's second claim is that he
was forced to use peremptory challenges to strike three other jurors
who should have been disqualified for cause, and that he could have
used these peremptories to exclude Livingston. The Supreme Court has
made it clear that this is not a constitutional injury. See Ross
v. Oklahoma, 487 U.S. 81, 88, 108 S.Ct. 2273, 101 L.Ed.2d 80
(1988) ("So long as the jury that sits is impartial, the fact that
the defendant had to use a peremptory challenge to achieve that
result does not mean the Sixth Amendment was violated."); see
also United States v. Martinez-Salazar, 528 U.S. 304, 307, 120
S.Ct. 774, 145 L.Ed.2d 792 (2000) (noting that there is no violation
if the defendant "elects to cure [the] error by exercising a
peremptory challenge, and is subsequently convicted by a jury on
which no biased juror sat"). There is therefore no constitutional
violation here.
H. Proportionality Review
Bowling's last claim for habeas
relief is that the review by the Kentucky Supreme Court for
proportionality was unconstitutional. Bowling claims that the
Kentucky Supreme Court erred in not setting aside his death sentence,
because it was excessive and disproportionate to the penalty imposed
in similar cases. This claim fails.
The Supreme Court has held that
the Constitution does require proportionality review, but that it
only requires proportionality between the punishment and the crime,
not between the punishment in this case and that exacted in other
cases. See Pulley v. Harris, 465 U.S. 37, 50, 104 S.Ct. 871,
79 L.Ed.2d 29 (1984). Although "[t]here is no federal constitutional
requirement that a state appellate court conduct a comparative
proportionality review," McQueen v. Scroggy, 99 F.3d 1302,
1333-34 (6th Cir.1996), cert. denied, 521 U.S. 1130, 117 S.Ct.
2535, 138 L.Ed.2d 1035 (1997), Kentucky law does require the
Kentucky Supreme Court to engage in comparative proportionality
review. See KY. REV.CODE ANN. § 532.075(3)(c). Although
claimed violations of state law are generally not cognizable on
habeas, the Supreme Court has left room for the argument that a
state-law error could, potentially, "be sufficiently egregious to
amount to a denial of equal protection or of due process of law
guaranteed by the Fourteenth Amendment." Harris, 465 U.S. at
41, 104 S.Ct. 871. Bowling therefore argues that the Kentucky
proportionality requirement creates a due-process interest that the
Kentucky Supreme Court violated by not finding his sentence
disproportionate.
As an initial matter, we question
whether Kentucky law has created a due-process interest here.
Kentucky requires that its Supreme Court assess "[w]hether the
sentence of death is excessive or disproportionate to the penalty
imposed in similar cases, considering both the crime and the
defendant," and also requires it to "include in its decision a
reference to those similar cases which it took into consideration."
KY. REV.CODE ANN. § 532.075(3)(c) & (5). This circuit recently held
that Tennessee's proportionality statute, which is similar to the
statute here, did not create a liberty interest because "the statute
only tells the supreme court what questions it must ask. It does not
tell the supreme court how it must do so, and it does not
even define the terms (e.g., arbitrariness) of these
questions. As a result, [the defendant] has no federal due-process
right that was violated." Coe, 161 F.3d at 352 (citing
Kentucky Dep't of Corr. v. Thompson, 490 U.S. 454, 463, 109 S.Ct.
1904, 104 L.Ed.2d 506 (1989)). Similarly here, the statute only
explains what the Kentucky Supreme Court needs to consider—similar
cases, the crime, and the defendant—it does not tell that court how
to make this decision. This suggests under Coe that no due-process
right exists.
Even if there were a due-process
interest here, however, the Kentucky Supreme Court did not violate
it. The Kentucky Supreme Court, in its decision on direct appeal,
did conduct a comparative proportionality review and concluded it
did not show that "this sentence of death is either excessive or
disproportionate to the penalty proposed in other capital cases."
Bowling I, 873 S.W.2d at 181. In support, the Kentucky Supreme
Court cited four of its cases and incorporated a list of others.
Id. at 181-82.
Bowling argues that the Kentucky
Supreme Court only compared Bowling's sentence to other crimes where
the death penalty was imposed, but should have compared Bowling's
sentence to similar crimes where the death penalty was not imposed.
There is no clear support in Kentucky law for the proposition that
the Kentucky Supreme Court must also consider those additional
cases. In fact, Bowling notes this, stating that "Kentucky has
limited review to cases in which the death penalty was imposed."
Appellant Br. at 121.
Bowling's recognition that
Kentucky law does not require consideration of those additional
cases reveals that he is actually arguing that Kentucky has an
ineffective framework for assessing proportionality rather than a
claim that Kentucky misapplied its own framework. This forecloses
Bowling's due-process argument, however, for there is no violation
of due process as long as Kentucky follows its procedures. We note
that we also have specifically rejected this type of challenge to
Ohio's proportionality statutes, stating:
[T]he Ohio Supreme Court has
indicated that proportionality review is required under Ohio
Rev.Code § 2929.05(A) to the extent that the reviewing court must
consider cases already decided by the court in which the death
penalty had been imposed. Since proportionality review is not
required by the Constitution, states have great latitude in defining
the pool of cases used for comparison. By limiting proportionality
review to other cases already decided by the reviewing court in
which the death penalty has been imposed, Ohio has properly acted
within the wide latitude it is allowed.
Buell, 274 F.3d at 368-69 (citations
omitted). As a result, we find Bowling's proportionality argument
unconvincing and dismiss his corresponding claim for relief.
III. CONCLUSION
After having reviewed the record,
the briefs, and the various earlier opinions in this case, and after
oral argument, we conclude that Bowling has not made out a claim for
habeas corpus relief, either by virtue of a single error or through
the cumulative effect of multiple errors. We also conclude that his
claim for an evidentiary hearing should be denied. We therefore
AFFIRM the judgment of the district court.
In an interview with a mental health worker
held while Bowling was in jail, Bowling claimed that he "had no
recollection of the day of the crime." J.A. at 54 (Pet. Br. in
Dist. Ct.)
We note parenthetically that this argument was
adopted by two justices of the Kentucky Supreme Court on Bowling's
direct appealBowling I, 873 S.W.2d at 182-85 (Leibson, J.,
dissenting).
Under current Kentucky law, Bowling has the
burden of proving EED; the government is not charged with proving
its absenceSee Wellman v. Commonwealth, 694 S.W.2d 696, 697
(Ky.1985). Bowling argues in his brief that the government should
have had the burden of proving an absence of EED at trial. Bowling
cites a recent Sixth Circuit case that granted habeas relief on
such grounds. See Gall v. Parker, 231 F.3d 265, 288-91 (6th
Cir.2000) (holding that the Kentucky Supreme Court erroneously put
the burden on the defendant to show EED when it was actually the
government's obligation to prove a lack of EED), cert. denied,
533 U.S. 941, 121 S.Ct. 2577, 150 L.Ed.2d 739 (2001). The salient
difference between this case and Gall, however, is that the
trial and appeal in Gall took place in 1980 while the facts
of this case occurred in 1991. In the intervening period — in
1985, more specifically — the Kentucky Supreme Court explicitly
shifted the burden of proof on this issue to the defendant. See
Wellman, 694 S.W.2d at 697 (overruling "those portions of [several
cases] which declare that the absence of extreme emotional
distress is an essential element of the crime of murder and
require the Commonwealth to prove such absence"). As a result,
under Wellman, it was proper for the trial court to put the
burden of proving EED on Bowling.
Bowling argues that the
Wellman decision violated due process and separation-of-powers
principles by retroactively enlarging the scope of a criminal
statute. We, however, did not find the retroactivity argument
persuasive even in Wellman's own habeas petition, Wellman v.
Rees, No. 86-5988, 1987 WL 38211 (6th Cir. June 1, 1987),
cert. denied, 484 U.S. 968, 108 S.Ct. 464, 98 L.Ed.2d 403
(1987), and we do not find it persuasive now. We therefore dismiss
this contention of error.
Bowling also makes a claim that the denial of
an EED instruction in the guilt phase was improper under state law.
Normally, habeas petitioners cannot obtain relief in federal court
on the basis that the state courts did not follow state law; there
generally must be some federal constitutional errorSee Estelle
v. McGuire, 502 U.S. 62, 67-68, 112 S.Ct. 475, 116 L.Ed.2d 385
(1991); Hutchison v. Bell, 303 F.3d 720, 731 (6th Cir.2002)
("State-law trial errors will not warrant habeas relief unless the
`error rises to the level of depriving the defendant of
fundamental fairness in the trial process.'") (citation omitted).
To the extent that this violation of state law was so flagrant as
to amount to a denial of due process, we have already considered
the claim and rejected it in our Beck discussion above.
In addition to arguing that the denial of a
specific instruction in the penalty phase violates federal law,
Bowling also claims that this denial violated a state statute that
requires judges to give particularized instructions on mitigating
factorsSee KY. REV.CODE. ANN. § 532.025(2) ("In all cases
of offenses for which the death penalty may be authorized, the
judge shall consider, or he shall include in his instructions to
the jury for it to consider, any mitigating circumstances or
aggravating circumstances otherwise authorized by law and any of
the following statutory aggravating or mitigating circumstances
which may be supported by the evidence."). Bowling argues that he
did present sufficient evidence to merit a specific instruction on
these facts under state law. Whether or not we would agree with
him on this point, Bowling ignores the fact that this court
generally does not review alleged violations of state law in
federal habeas proceedings. See Estelle, 502 U.S. at 67-68,
112 S.Ct. 475. We merely hold here that the state trial court's
determination that Bowling was not entitled to instructions on
these factors is not so fundamentally unfair as to violate due
process.
We note at the outset that the Kentucky Supreme
Court addressed and rejected all of Bowling's claims of
ineffective assistance that we consider hereBowling II, 981
S.W.2d at 549-52.
In his brief to this court, Bowling raises for
the first time the possibility that his counsel was also
ineffective for failing properly to cross-examine Detective
Henderson. This claim was never presented to the Kentucky Supreme
Court and was not even presented to the district court below. It
is therefore defaulted
In any event, we hold this claim
has no merit. Bowling argues that an adequate cross-examination of
Henderson would have revealed that the prosecution had no
explanation for why Bowling committed the murders. Bowling argues
that his attorneys inappropriately chose not to ask Detective
Henderson about whether Bowling knew the Earleys or not, after
being warned by the judge that this would open the door to hostile
evidence and after consulting with Bowling himself. Bowling gives
no reason to think this was an unreasonable decision, and even if
it was, Bowling does not explain how it could have prejudiced his
case, as the defense repeatedly stated throughout trial that there
was no apparent motive.
Although Bowling raises thisBrady claim
as a part of his general request for an evidentiary hearing,
see Appellant Br. at 51-54; Reply Br. at 16-17, Bowling does
not discuss it outside of this context. Construing Bowling's
appellate briefs generously, we will consider this part of
Bowling's petition as stating a Brady claim as well as a
claim that an evidentiary hearing should be granted on this
Brady issue.
We reject the Brady claim.
First, we note that this claim is procedurally defaulted. Bowling
raised three Brady issues in the federal district court. He
claimed that the prosecution did not disclose exculpatory notes on
the results of a photo lineup, documents establishing the
extramarital affairs of Tina Earley and drug use by both Earleys,
and a deal with Clay Brackett. See Bowling III, 138 F.Supp.2d
at 879-885; J.A. at 109-12 (Pet. Br. in Dist. Ct.). He did not
raise there the Brady claim he alludes to here: whether "[t]he
prosecution failed to disclose evidence regarding Donald Adams'
prosecution for drug charges, his involvement in a drug ring, and
the victims' involvement with the police." Appellant Br. at 53.
Moreover, this claim was not presented to the Kentucky Supreme
Court. For these reasons Bowling's claim is defaulted.
Even if this claim were properly
presented to the federal district court and the Kentucky Supreme
Court, we would deny the claim on the merits. Under Brady v.
Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), a
prosecutor who suppresses evidence that is favorable to the
defendant and "material either to guilt or to punishment" violates
due process. Id. at 87, 83 S.Ct. 1194; see also United
States v. Bagley, 473 U.S. 667, 682, 105 S.Ct. 3375, 87 L.Ed.2d
481 (1985) (explaining that materiality exists when "there is a
reasonable probability that, had the evidence been disclosed to
the defense, the result of the proceeding would have been
different"). In the present case, however, Bowling has not put
forth any evidence to show that the prosecution improperly
suppressed information about Donald Adams or that such a
suppression would be material. We therefore reject Bowling's
Brady claim.
To the extent that Bowling seeks relief by
arguing that the Kentucky courts erroneously applied state law by
denying him a post-conviction evidentiary hearing, we reject his
claim. As we have noted in this opinion already, we generally do
not review alleged violations of state law in federal habeas
proceedings; there must be some independent constitutional errorEstelle
v. McGuire, 502 U.S. 62, 67-68, 112 S.Ct. 475, 116 L.Ed.2d 385
(1991). Insofar as Bowling may be claiming that this alleged state-law
error violated due process, we believe that any potential error
was not so fundamentally unfair as to violate Bowling's due-process
rights. Insofar as Bowling may be claiming that this alleged error
entitled him to an evidentiary hearing in federal court, we have
considered and rejected this claim immediately above.
There is a violation of state law here, however,
because during the period betweenCaldwell and Dugger
(and before the trial in this case), the Kentucky Supreme Court
held that the word "recommend," while technically accurate,
improperly suggested to the jury that they were "merely one step
in a long process." Tamme v. Commonwealth, 759 S.W.2d 51,
53 (Ky.1988); cf. Kordenbrock, 919 F.2d at 1101 (holding
that there was no violation of state law because the trial and
appeal in the case at bar happened before the decision in Tamme
and the decision in Tamme was not retroactive).
We do not believe this violation
of state law is so egregious as to make the prosecutor's
misconduct a violation of due process. Although the prosecutor
erroneously used the word "recommend," it was an isolated remark
and clearly not intended to prejudice the jury — the prosecutor
routinely used other more appropriate words, such as "fix[]" and "impose"
throughout his closing argument. J.A. at 5110, 5113. In fact, his
closing argument ended with the statement, "I am asking you to
sentence T.C. Bowling to death." J.A. at 5120. In this context, it
is clear that the jury was well aware that it had responsibility
of deciding whether the death penalty should apply. We therefore
hold that any potential violation of state law under Tamme
did not violate Bowling's due-process rights.