Date of
Execution:
|
February 2,
1994 |
Offender:
|
Harold Barnard
#683 |
Last
Statement: |
God, please
forgive me of my sins. Look after my people. Bless and
protect all people. I am sorry for my sins. Lord, take me
home with you. Amen. (A couple of sentences garbled.) |
United States Court of Appeals for the Fifth Circuit
April 3, 1992
Harold Amos
Barnard, Jr. appeals the district court's dismissal
of his petition for a writ of habeas corpus. He
argues that the district court erred in rejecting
his contention that the Texas capital sentencing
statute as applied in his case unconstitutionally
prevented the jury from fully considering and giving
effect to all of the mitigating evidence he
presented during the conviction and sentencing
phases of his trial. Finding no error, we affirm the
district court's denial of habeas relief and vacate
the stay of execution.
I. BACKGROUND
On June 6, 1980,
Barnard killed sixteen-year-old Tuan Nguyen during
the robbery of a convenience store in Galveston,
Texas.
A jury convicted Barnard of capital murder on April
1, 1981. After a punishment hearing, the jury
affirmatively answered the three special issues
submitted pursuant to Texas law, and on April 6,
1981, the court imposed a death sentence.
The Texas Court of
Criminal Appeals affirmed Barnard's conviction on
April 8, 1987. Barnard v. State, 730 S.W.2d 703 (Tex.Crim.App.1987),
cert. denied, 485 U.S. 929, 108 S.Ct. 1098, 99 L.Ed.2d
261 (1988). Barnard filed a petition for a writ of
habeas corpus in the state trial court on October
31, 1988. On November 22, 1988, the trial court
entered its findings of fact and conclusions of law
and recommended denial of the writ. The Court of
Criminal Appeals found the trial court's findings
and conclusions to be supported by the record and
denied the writ on January 6, 1989.
The trial court
rescheduled Barnard's execution for March 14, 1989.
On February 21, 1989, Barnard filed a petition for
habeas corpus relief and an application for stay of
execution in United States district court. The
district court stayed the execution pending its
consideration of Barnard's petition.
On December 12,
1989, the district court entered a final judgment
dismissing the petition for a writ of habeas corpus
and lifting the stay of execution. Barnard timely
filed a motion to alter or amend the judgment
pursuant to Federal Rule of Civil Procedure 59(e),
which the district court denied. After Barnard filed
a notice of appeal, the district court granted a
certificate of probable cause and entered a stay of
execution on February 7, 1990. This appeal followed.
On appeal, Barnard
contends that the district court erred in rejecting
his claims that (1) the Texas death sentencing
statute prevented the jury in his case from
considering and giving effect to his mitigating
evidence in violation of the Sixth and Eighth
Amendments to the United States Constitution; (2)
the court's instruction on temporary insanity caused
by intoxication prevented the jury from giving any
mitigating consideration to this evidence unless
Barnard proved that he was so intoxicated that he
was insane at the time of the offense; (3) evidence
of his good character, including evidence of his
carpentry skills, work history, and familial
responsibility and support, was not adequately
treated within the special issues; and (4) Barnard
received ineffective assistance of counsel. We
consider each of these claims below.
II. ANALYSIS
A. Standard of
review
In considering a
federal habeas corpus petition presented by a
petitioner in state custody, federal courts must
accord a presumption of correctness to any state
court factual findings. See 28 U.S.C. § 2254(d). We
review the district court's findings of fact for
clear error, but decide any issues of law de novo.
Humphrey v. Lynaugh, 861 F.2d 875, 876 (5th
Cir.1988), cert. denied, 490 U.S. 1024, 109 S.Ct.
1755, 104 L.Ed.2d 191 (1989).
B. Penry claim
Barnard first
contends that the Texas capital sentencing statute,
as applied in his case, violated the Sixth, Eighth,
and Fourteenth Amendments to the United States
Constitution by failing to provide a vehicle by
which Barnard's jury could properly consider and
give effect to the substantial mitigating evidence
he presented at trial. Barnard argues that the Texas
capital sentencing statute
unconstitutionally limited the jury's consideration
of two types of mitigating evidence that he
presented at trial: (1) his head injury, evidence of
permanent characteristics and disabilities stemming
from his troubled childhood, and his drug and
alcohol abuse; and (2) evidence of his good
character, including evidence of his carpentry
skills, work history, and familial responsibility
and support. Barnard maintains that, under the
narrow focus of the special issues, no means existed
by which the jury could give meaningful expression
to this evidence and vote for life as mandated by
the Supreme Court in Penry v. Lynaugh, 492 U.S. 302,
109 S.Ct. 2934, 106 L.Ed.2d 256 (1989).
The district court
refused to review the merits of Barnard's contention
that the Texas death sentencing statute was
unconstitutional as applied
in his case, concluding that Barnard had
procedurally defaulted this claim. In making this
ruling, the district court observed that both the
trial court and the Court of Criminal Appeals found
on state habeas review that Barnard was barred under
state law from complaining of the trial court's
failure to give additional jury instructions on
mitigating evidence because he failed to request
such a special instruction.
The district court
determined that the state habeas court unambiguously
relied on the state procedural default doctrine in
its dismissal, and that Barnard demonstrated neither
good cause for his failure to comply with state
court procedures nor actual prejudice resulting from
the alleged constitutional violation.
Over two years
have elapsed since the district court rested its
decision on the procedural default doctrine. Since
then, the Texas Court of Criminal Appeals has
clarified the state's position on whether a habeas
petitioner has defaulted on a Penry claim. Selvage
v. Collins, 816 S.W.2d 390 (Tex.Crim.App.1991),
explained that a Penry claim is preserved even if
the petitioner failed to request an instruction on
mitigating evidence or object to the instructions
given at trial. Id. at 392. However, a petitioner
cannot base a Penry claim on mitigating evidence
that could have been, but was not, proffered at
trial. May v. Collins, 904 F.2d 228, 232 (5th
Cir.1990), cert. denied, --- U.S. ----, 111 S.Ct.
770, 112 L.Ed.2d 789 (1991); DeLuna v. Lynaugh, 890
F.2d 720, 722 (5th Cir.1989); see also Ex parte
Goodman, 816 S.W.2d 383, 386 n. 6 (Tex.Crim.App.1991)
(in dicta, refusing to consider arguments based on
tactically withheld Penry evidence, unless the
appellant makes a contemporaneous offer of proof or
bill of exception detailing what mitigating evidence
is being withheld). With these constraints in mind,
we examine whether Barnard's challenge to the
application of the Texas sentencing statute in his
case warrants relief.
Although the
Supreme Court has upheld the constitutionality of
the Texas capital sentencing scheme, see Jurek v.
Texas, 428 U.S. 262, 272, 96 S.Ct. 2950, 2956, 49
L.Ed.2d 929 (1976) (opinion of Stewart, Powell &
Stevens, JJ.), it has found that under certain
circumstances, the statutory special issues must be
augmented by jury instructions to preserve the
constitutionality of the statute's application. In
Penry, the Supreme Court held that a Texas jury
could not give effect to mitigating evidence of
mental retardation and an abused childhood through
the special issues absent instructions informing the
jury that it could consider and give effect to this
evidence by refusing to impose the death penalty.
492 U.S. at 328, 109 S.Ct. at 2951. The Court
ordered resentencing in Penry's case because without
such an instruction, "the jury was not provided with
a vehicle for expressing its 'reasoned moral
response' " to his mitigating evidence in its
sentencing decision. Id.
In Graham v.
Collins, 950 F.2d 1009 (5th Cir.1992) (en banc),
petition for cert. filed Mar. 9, 1992 (No. 91-7580),
this court recently construed Penry to indicate that
special jury instructions are required only when the
"major mitigating thrust of the evidence is beyond
the scope of all the special issues." Id. at 1027.
We determined that Graham's evidence of his youth as
a mitigating factor found adequate expression
through the second special issue. Graham reasoned
that because youth is a transitory condition,
whatever is mitigating about
youth tends to lend support to a "no" answer to the
second special issue, and its tendency to do so is
essentially proportional to the degree to which the
jury concludes such factors were influential in the
defendant's criminal conduct. The greater the role
such attributes of youth are found to have played in
the defendant's criminal conduct, the stronger the
inference that, as his youth passes, he will no
longer be a danger to society.
Id. at 1031. The
majority distinguished evidence of transitory
conditions, such as youth, from evidence of "uniquely
severe permanent handicaps with which the defendant
was burdened through no fault of his own," such as
mental retardation, organic brain damage and an
abused childhood. Id. at 1029. We turn now to
Barnard's contention that the mitigating evidence he
presented at trial differs materially from the type
of evidence found unproblematic in Graham and that,
as a consequence, the lack of special jury
instructions rendered his proceeding
unconstitutional.
Barnard argues
that because the evidence presented during his trial
raised an issue with regard to his head injury and
its effects, the jury could not have expressed the
full mitigating force of this evidence within the
special issues. At trial, Barnard testified that
several months before he committed the crime, his
son-in-law beat him in the head with a tire iron.
Barnard's friend, Marie Farquhar,
and his mother, Maude Barnard, testified to the
apparent severity of the wounds resulting from the
beating. Barnard's mother also stated that Barnard
was unable to work for four or five months and that
he was less helpful around the house after the
beating. She further stated that since the beating,
she thought he needed psychiatric help. On cross-examination,
she also told of an occasion after the beating when
she accompanied Barnard to a hospital so that he
would get a psychiatric examination, recalling that
he left the hospital the same day, apparently
without receiving treatment.
Barnard did not
introduce expert testimony relating to his
psychological disorders during his capital trial.
Nor does the record contain any affirmative evidence
of brain damage. The evidence of the beating,
without more, is insufficient to support a Penry
claim. The evidence must be able to raise an
inference "that the crime is attributable to the
disability." Graham, 950 F.2d at 1033. Here, there
is no evidence that the physical trauma from the
blows caused Barnard to suffer from mental
impairment, or that his criminal actions were
attributable to mental impairment. Barnard cannot
rely on his mother's inexpert speculation concerning
Barnard's mental condition to demonstrate a Penry-type
disability. A juror would be compelled to share this
speculation to make such a finding. See Wilkerson v.
Collins, 950 F.2d 1054, 1061 (5th Cir.1992) (refusing
to consider claim based upon conjecture rather than
proof). Therefore, Barnard's claim is without merit.
Barnard further
contends that, in the absence of a special
instruction, the jury was precluded from expressing
the full mitigating potential of his evidence of a
troubled childhood. Testimony during Barnard's trial
revealed that his parents divorced when he was four
years old and that he lived alone with his mother
until he was thirteen. His father was absent from
his life during this period. At age thirteen,
Barnard was sent to live with his father, but had
difficulties with him and eventually lived with an
uncle. Barnard's mother testified that she had been
in a mental hospital four times, but specified the
approximate date of her institutionalization for
only one occasion, which apparently occurred after
Barnard was eighteen years old.
Barnard did not offer any affirmative evidence to
show that his mother received institutional care
during his childhood. Nor did he attempt to show
that his alcohol and drug use or any mental
impairment or psychological problem was attributable
to his childhood experiences.
We reject
Barnard's attempt to portray this testimony as
mitigation evidence of permanent characteristics and
disabilities stemming from his troubled childhood.
Although the Graham majority observed that a
defendant who introduced evidence of the adverse
effects of a troubled childhood might well raise a
Penry issue, in this case, as in Graham, there was
no evidence that these childhood experiences had any
psychological effect on Barnard. Graham, 950 F.2d at
1033. Accordingly, we find no substantial evidence
that Barnard's "criminal conduct was 'attributable
to a disadvantaged background, or to emotional and
mental problems[.]' " Id. (quoting Penry, 109 S.Ct.
at 2947).
Nor are we
convinced by Barnard's efforts to characterize the
record as raising the issue of an addictive disorder.
The scattered testimony recounting Barnard's
evidently frequent episodes of heavy alcohol
consumption, alcohol intoxication and marijuana use
does not demonstrate that the episodes were
attributable to a permanent handicap. Although the
evidence showed that Barnard was intoxicated at the
time of the offense, "voluntary intoxication is not
the kind of 'uniquely severe permanent handicap[ ]
with which the defendant was burdened through no
fault of his own' that requires a special
instruction to ensure that the mitigating effect of
such evidence finds expression in the jury's
sentencing decision." Cordova v. Collins, 953 F.2d
167, 170 (5th Cir.1992) (quoting Graham, 950 F.2d at
1029). A juror who concluded that Barnard suffered
from alcoholism or drug addiction would have
necessarily relied solely on speculation to reach
that conclusion. Accordingly, Barnard cannot prevail
on this claim. See Wilkerson, 950 F.2d at 1061.
Barnard
alternatively argues that the jury instruction on
his intoxication at the time of the crime prevented
the jury from giving any mitigating consideration to
this evidence unless Barnard proved that he was so
intoxicated that he was insane at the time of the
offense.
This instruction, he contends, did not allow a juror
who found that Barnard acted deliberately and was
not temporarily insane at the time of the offense to
give mitigating effect to Barnard's evidence of
intoxication even though the juror also found that
the intoxication diminished Barnard's capacity and
militated in favor of a life sentence. Therefore, he
maintains that the mitigating thrust of this
evidence of intoxication extended beyond the special
issues.
In reviewing
Barnard's state habeas petition, the trial court
determined that Barnard's failure to request a
special instruction or to object to this instruction
at trial established a procedural bar to
consideration of this claim. The Court of Criminal
Appeals denied Barnard state habeas relief based on
this determination. The district court concluded
that the state habeas court's reliance on the state
procedural bar was unambiguous and thus precluded it
from reaching the merits of this claim pursuant to
Harris v. Reed, 489 U.S. 255, 109 S.Ct. 1038, 103
L.Ed.2d 308 (1989).
We agree with the
district court that the state procedural bar
precludes our review of this claim. In Selvage, the
Texas Court of Criminal Appeals held that Selvage's
Penry claim was not procedurally barred under Texas
law because it was "an assertion of a right not
previously recognized." 816 S.W.2d at 391. This
rationale does not pertain here. In contrast to
Penry, Barnard does not contend that the Texas
special issues prevented the jury from considering
Barnard's evidence of voluntary intoxication; he
asserts that the court's erroneous instruction
prevented the jury from giving full mitigating
effect to his evidence of voluntary intoxication.
Since a jury can express the mitigating force of
evidence of voluntary intoxication through the Texas
special issues, Barnard's failure to object to the
additional instruction on temporary insanity
resulted in the state procedural default of this
claim.
In his final Penry
claim, Barnard argues that evidence of his good
character, including evidence of his carpentry
skills, work history, and familial responsibility
and support
fell outside the scope of the second special issue.
However, this court has concluded that evidence of
good character does not require a special
instruction under Penry. Graham, 950 F.2d at 1032.
Since the principal mitigating thrust of good
character evidence is to show that the defendant
acted atypically in committing the capital crime,
this evidence can find adequate expression under
second special issue. Id. Specifically, the Graham
majority observed that
[u]nlike Penry evidence, which
can reduce culpability where it is inferred that the
crime is attributable to the disability while other
similar offenders have no such "excuse," good
character evidence provides no variety of "excuse."
Further, absent some unusual indication of an
essentially permanent adverse change in character (e.g.,
brain damage), to the extent that the testimony is
convincing that the defendant's general character is
indeed good it will also, to essentially the same
extent, be convincing that he will not continue to
be a threat to society.
Id. at 1033 (emphasis
in original). Barnard, however, maintains that,
unlike the good character evidence offered in Graham,
the mitigating potential of his good character
evidence is not to show that Barnard does not have
the capacity for future violence. Rather, he
contends, the evidence shows that his life should be
spared despite his need to be placed in a controlled
environment.
To the extent that
Barnard asserts that a capital sentencer must be
able to express the mitigating potential of evidence
unrelated to a defendant's culpability or capacity
for rehabilitation, ample authority supports the
contrary conclusion. See, e.g., Penry, 492 U.S. at
319, 109 S.Ct. at 2947 ("Underlying Lockett and
Eddings is the principle that punishment should be
directly related to the personal culpability of the
defendant."); Tison v. Arizona, 481 U.S. 137, 149,
107 S.Ct. 1676, 1683, 95 L.Ed.2d 127 (1987) ("The
heart of the retribution rationale is that a
criminal sentence must be directly related to the
personal culpability of the criminal offender.");
Skipper v. South Carolina, 476 U.S. 1, 5, 106 S.Ct.
1669, 1671, 90 L.Ed.2d 1 (1986) ("Consideration of a
defendant's past conduct as indicative of his
probable future behavior is an inevitable and not
undesirable element of criminal sentencing[.]").
Further, Barnard portrays the qualitative effect of
this mitigating evidence in a way that continues to
bear on the question of Barnard's rehabilitative
potential,
which is adequately addressed within the second
special issue. Thus, we find no merit to this
contention.
C.
Unconstitutionally vague terms
Barnard contends
that the Texas capital sentencing statute was
unconstitutionally applied to him because its
operative terms are so vague and indefinite that
they deprive the jury of meaningful guidance in its
sentencing deliberations. Without clarifying
instructions on terms such as "probability" and "deliberateness,"
he argues, the statute unduly restricts the scope of
the mitigating evidence which the jury can consider.
To support his contention, Barnard points out that
in Penry, the Supreme Court expressed doubt about
whether the jury could give effect to Penry's
mitigating evidence of mental retardation and child
abuse "[i]n the absence of jury instructions
defining the term 'deliberately.' " 492 U.S. at 323,
109 S.Ct. at 2949.
This claim is
without merit. Both the Texas Court of Criminal
Appeals and this court have held that the common
meaning of the term "deliberately" is sufficiently
clear to allow the jury to decide the punishment
phase issues. Ellis v. Lynaugh, 873 F.2d 830, 839
(5th Cir.), cert. denied, 493 U.S. 970, 110 S.Ct.
419, 107 L.Ed.2d 384 (1989). In Penry, the Court was
concerned that the trial court did not direct the
jury to consider Penry's mental retardation in a way
that bore fully on his moral culpability. The Court
observed that "Penry's mental retardation was
relevant to the question whether he was capable of
acting 'deliberately,' but it also 'had relevance to
[his] moral culpability beyond the scope of the
special verdict questio[n].' " 492 U.S. at 322, 109
S.Ct. at 2948 (quoting Franklin v. Lynaugh, 487 U.S.
164, 108 S.Ct. 2320, 2332, 101 L.Ed.2d 155) (1988) (alterations
in original). Barnard has not presented any evidence
that would require additional sentencing
instructions pursuant to Penry. Thus, the doubt
expressed in Penry does not apply to Barnard's case.
See DeLuna, 890 F.2d at 722-23.
Moreover, Barnard
fails to demonstrate that the jurors were confused
about the meanings of the challenged terms "probability"
and "society" as used in the second special
punishment issue. In Jurek, the Supreme Court
rejected the petitioner's contention that the second
special issue was unconstitutionally vague. See 428
U.S. at 274-75, 96 S.Ct. at 2957-58 (opinion of
Stewart, Powell & Stevens, JJ.); id. at 279, 96 S.Ct.
at 2959 (White & Rehnquist, JJ. & Burger, C.J.,
concurring) ("the issues posed in the sentencing
proceeding have a commonsense core of meaning and
... criminal juries should be capable of
understanding them"). We conclude that these terms "have
a plain meaning of sufficient content that the
discretion left to the jury was no more than that
inherent in the jury system itself." Milton v.
Procunier, 744 F.2d 1091, 1096 (5th Cir.1984), cert.
denied, 471 U.S. 1030, 105 S.Ct. 2050, 85 L.Ed.2d
323 (1985).
D. Ineffective
assistance of counsel
Finally, Barnard
argues that he was denied effective assistance of
counsel in violation of the Sixth Amendment.
Specifically, he points out that his trial counsel
(1) failed to have a psychiatric expert evaluate
Barnard; (2) failed to conduct an adequate
examination into Barnard's family history; (3)
failed to obtain a medical examination to determine
whether Barnard suffered from brain damage; and (4)
allowed Barnard to testify in his own defense at
trial. These errors and omissions, Barnard contends,
prejudiced his right to a fair trial.
We review an
ineffective assistance of counsel claim under the
two-prong standard enunciated in Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d
674 (1984). See, e.g., Wilkerson, 950 F.2d at 1063.
Under Strickland, a defendant must show
[f]irst ... that counsel's
performance was deficient. This requires showing
that counsel made errors so serious that counsel was
not functioning as the "counsel" guaranteed the
defendant by the Sixth Amendment. Second, the
defendant must show that the deficient performance
prejudiced the defense. This requires showing that
counsel's errors were so serious as to deprive the
defendant of a fair trial, a trial whose result is
reliable. Unless a defendant makes both showings, it
cannot be said that the conviction or death sentence
resulted from a breakdown in the adversarial process
that renders the result unreliable.
Strickland, 466
U.S. at 687, 104 S.Ct. at 2064. We determine the
reasonableness of the challenged conduct by viewing
the circumstances at the time of that conduct. Id.
at 690, 104 S.Ct. at 2066. Further, "[w]e must
strongly presume that trial counsel rendered
adequate assistance and that the challenged conduct
was the product of a reasoned trial strategy."
Wilkerson, 950 F.2d at 1065 (citing Strickland).
Barnard fails to
demonstrate that his counsel would have reason to
believe that Barnard suffered from a mental defect
at the time of the offense or trial. Thus, he cannot
sustain the argument that his counsel was
ineffective for failing to employ experts to explore
the psychological, medical or physical origins of
Barnard's mental condition. Likewise, he does not
show that counsel's investigation into Barnard's
family background was unreasonably deficient.
Counsel elicited testimony from Barnard's mother,
who favorably described some of Barnard's personal
characteristics to the jury. Barnard also fails to
provide factual support for the allegations of
childhood neglect that he urges would have come to
light had counsel conducted a more thorough
investigation. As such, he fails to show that his
counsel performed in a constitutionally deficient
manner.
Moreover, Barnard
does not demonstrate that his trial counsel's
decision to waive Barnard's Fifth Amendment right
not to testify constitutes ineffective assistance of
counsel. Barnard argues that this waiver resulted in
the extraction of incriminating testimony, some of
which was elicited by defense counsel himself,
concerning Barnard's participation in and
preparation for the crime. However, as the district
court observed, he has not demonstrated that trial
counsel neglected to weigh the possible harm from
potentially incriminating testimony against the need
for Barnard to testify in favor of the defense
theory of his case. Nor does Barnard show that but
for this alleged error, the result of the proceeding
would have been different. The jury already had
considerable evidence before it to find that Barnard
planned to participate and acted deliberately in
committing the crime.
Since Barnard's
allegations do not satisfy the Strickland test, we
find no merit to this claim.
In addition, we reject Barnard's assertion that he
is entitled to an evidentiary hearing on the issue
of ineffective assistance of counsel to make
findings of fact as to whether counsel's decisions
were grounded in a deliberate trial strategy. The
reliance of the trial court and the federal district
court on this rationale in denying relief derived
from a legal presumption dictated by Strickland, see
466 U.S. at 690, 104 S.Ct. at 2065, not from any
unsubstantiated speculation on the record. Because
Barnard fails to present allegations sufficient to
overcome this presumption, we conclude that he is
not entitled to an evidentiary hearing. See Ellis,
873 F.2d at 840.
III. CONCLUSION
For the foregoing
reasons, we AFFIRM the decision of the district
court and VACATE the stay of execution.
*****
13 F.3d 871
United States Court of Appeals,
Fifth Circuit.
Jan. 31, 1994
Appeal from the United States
District Court for the Southern District of
Texas.
KING, Circuit Judge:
Harold
Amos Barnard, Jr., a death-row inmate in the
Texas Department of Criminal Justice (TDCJ),
Institutional Division, filed his second
petition for federal habeas corpus relief,
pursuant to 28 U.S.C. Sec. 2254, in the
United States District Court for the
Southern District of Texas on January 27,
1994. Barnard is scheduled to be executed
after midnight on February 2, 1994. Barnard
requested that the district court stay his
execution, hold an evidentiary hearing on
the issue of his competency, and issue a
writ of habeas corpus vacating his death
sentence. Barnard also requested that the
district court appoint counsel for him
pursuant to 21 U.S.C. Sec. 848(q)(4)(B).
On January
28, 1994, the district court denied Barnard
all relief and a certificate of probable
cause (CPC). Barnard then filed a notice of
appeal to this court, along with an
application for a CPC, a motion to stay his
execution, and a renewed motion for
appointment of counsel. Although the
district court denied relief on the ground
that Barnard had abused the writ, we do not
reach this question in our consideration of
his entitlement to a CPC and a stay of
execution, but instead hold that Barnard has
not made a substantial showing of the denial
of a federal right. Thus, we deny his
application for a CPC and his motion to stay
his execution. We reverse the district
court's denial of counsel, and in the light
of Barnard's exigent circumstances, we grant
his motion to appoint counsel.
A jury
convicted Barnard of capital murder on April
1, 1981, for the killing of sixteen-year-old
Tuan Nguyen during a robbery of a
convenience store in Galveston, Texas, on
June 6, 1980.1
After a punishment hearing, the jury
affirmatively answered the three special
issues submitted pursuant to Texas law,
thereby requiring that Barnard be sentenced
to death.
On April
8, 1987, the Texas Court of Criminal Appeals
affirmed Barnard's conviction, and on July
17, 1987, the state trial court pronounced
Barnard's death sentence and set his
execution for September 23, 1987. On
February 29, 1988, the Supreme Court denied
Barnard's petition for writ of certiorari.
See Barnard v. State, 730 S.W.2d 703 (Tex.Crim.App.1987),
cert. denied, 485 U.S. 929, 108 S.Ct. 1098,
99 L.Ed.2d 261 (1988).
The Texas
Court of Criminal Appeals denied Barnard's
first petition for state habeas corpus
relief on January 6, 1989, and Barnard's
execution was rescheduled for March 14,
1989. On February 21, 1989, Barnard filed a
petition for federal habeas corpus relief
and an application for stay of execution in
the United States District Court for the
Southern District of Texas. The district
court stayed the execution pending its
consideration of Barnard's petition.
On
December 12, 1989, the district court
entered a final judgment dismissing the
petition for a writ of habeas corpus and
lifting the stay of execution. After Barnard
filed a notice of appeal, the district court
granted a CPC and entered a stay of
execution on February 7, 1990.
On appeal,
Barnard contended that the district court
erred in rejecting his claims that (1) the
Texas death sentencing statute prevented the
jury in his case from considering and giving
effect to his mitigating evidence in
violation of the Sixth and Eighth Amendments
to the United States Constitution under
Penry v. Lynaugh, 492 U.S. 302, 109 S.Ct.
2934, 106 L.Ed.2d 256 (1989); (2) the state
trial court's instruction on temporary
insanity caused by intoxication prevented
the jury from giving any mitigating
consideration to this evidence unless
Barnard proved that he was so intoxicated
that he was insane at the time of the
offense; (3) evidence of his good character--including
evidence of his carpentry skills, work
history, and familial responsibility and
support--was not adequately treated within
the special issues; and (4) Barnard had
received ineffective assistance of counsel.
Finding no error, a panel of this court
affirmed the district court's denial of
habeas relief and vacated the stay of
execution. Barnard v. Collins, 958 F.2d 634,
643 (5th Cir.1992), cert. denied, --- U.S.
----, 113 S.Ct. 990, 122 L.Ed.2d 142 (1993).
Rehearing was denied on May 22, 1992.
Barnard v. Collins, 964 F.2d 1145 (5th
Cir.1992). The state trial court rescheduled
Barnard's execution for March 16, 1993.
The
Supreme Court denied certiorari review of
Barnard's petition for federal habeas relief
on January 11, 1993. Barnard v. Collins, ---
U.S. ----, 113 S.Ct. 990, 122 L.Ed.2d 142
(1993). On March 8, 1993, the Supreme Court
also denied Barnard's application for a stay
of execution and petition for rehearing, in
which he reargued his Penry claim in light
of the Court's decision in Graham v. Collins,
--- U.S. ----, 113 S.Ct. 892, 122 L.Ed.2d
260 (1993).
On March
10, 1993--six days before his then current
execution date and nearly five years after
the execution date which was set after
Barnard's conviction became final--Barnard
filed his second petition for state habeas
relief, in which he asserted that he was
incompetent to be executed under Ford v.
Wainwright, 477 U.S. 399, 106 S.Ct. 2595, 91
L.Ed.2d 335 (1986), and that the Texas
special issues did not allow the jury to
reflect adequately the mitigation value of
his proffered evidence. He also argued that
Article 8.04(b) of the Texas Penal Code,
which the judge read to the jury as an
instruction at the sentencing phase of the
trial, was unconstitutional both on its face
and as applied. On March 15, 1993, the state
court issued its findings and conclusions,
recommending that habeas relief be denied.
Later that same day, the Texas Court of
Criminal Appeals granted Barnard a stay of
execution.
On May 11,
1993, the Texas Court of Criminal Appeals
ordered the state trial court to hold an
evidentiary hearing on Barnard's claim that
he was incompetent to be executed. That
hearing was held on July 22, 1993. The trial
court then issued its findings and
conclusions and recommended that Barnard's
petition for habeas relief be denied on
September 29, 1993. On November 8, 1993, the
Texas Court of Criminal Appeals adopted the
trial court's findings and conclusions and
denied Barnard's petition for habeas relief.
Barnard's execution date was then
rescheduled for February 2, 1994.
On January
27, 1994, Barnard filed his second habeas
petition in federal district court. He
requested that the district court stay his
execution, hold an evidentiary hearing to
determine whether Barnard was competent to
be executed, and issue a writ of habeas
corpus vacating his death sentence. The
attorney who had filed Barnard's second
federal habeas petition also requested that
the district court appoint him to represent
Barnard pursuant to 21 U.S.C. Sec.
848(q)(4)(B). On January 28, 1994, the
district court denied Barnard all relief,
denied Barnard a CPC, and denied his
attorney's motion for appointment of counsel.
Barnard then filed a notice of appeal with
this court, along with an application for a
CPC, a motion to stay his execution, and a
renewed motion for appointment of counsel.
In
response to Barnard's petition, the State
moved to dismiss the petition as an abuse of
the writ, pursuant to Rule 9(b), Rules
Governing Section 2254 Cases. Under Rule
9(b), a second or successive petition in
which new grounds for relief are alleged may
be dismissed if the petitioner's "reasonable
and diligent investigation" would have
resulted in his presenting these grounds in
a previous habeas petition. See McCleskey v.
Zant, 499 U.S. 467, 493, 111 S.Ct. 1454,
1472, 113 L.Ed.2d 517 (1991). Once abuse of
the writ has been pleaded by the State,
raised by the district court sua sponte or
raised as required in Hawkins v. Lynaugh,
862 F.2d 487, 489 (5th Cir.), stay granted,
488 U.S. 989, 109 S.Ct. 569, 102 L.Ed.2d 593
(1988), vacated and remanded on other
grounds, 494 U.S. 1013, 110 S.Ct. 1313, 108
L.Ed.2d 489 (1990), the petitioner must show
by a preponderance of the evidence that he
has not abused the writ or otherwise
violated Rule 9(b). Andre v. Guste, 850 F.2d
259 (5th Cir.1988); Johnson v. McCotter, 803
F.2d 830, 832 (5th Cir.1986).
According
to the district court, it was clear from the
evidence put forth by Barnard that he could
not meet this burden. The district court
found that although there was some evidence
that Barnard's condition had persistently
worsened over the years, it was abundantly
clear that the question of his competency to
be executed was extant at the time of his
first habeas petition because "Barnard's
habeas counsel have known and asserted for
years that Barnard's sanity is questionable."
Thus, because the district court determined
that Barnard failed to demonstrate good
cause for his failure to raise the issue of
his competency in his earlier writ, the
court dismissed Barnard's petition on
grounds that he had abused the writ.
We need
not reach the question of whether Barnard
abused the writ for purposes of his
entitlement to habeas relief on the merits.
Even if we assume arguendo that Barnard did
not abuse the writ, we find that Barnard has
not made a substantial showing of a denial
of a federal right, and thus we deny his
application for a CPC and his motion to stay
his execution.
This court
reviews an application for a CPC using the
same standard as that used by the district
court in the first instance. That is, we
will grant a CPC to appeal only if the
applicant can make a substantial showing of
a denial of a federal right. Barefoot v.
Estelle, 463 U.S. 880, 893, 103 S.Ct. 3383,
3394, 77 L.Ed.2d 1090 (1983); Drew v.
Collins, 5 F.3d 93, 95 (5th Cir.1993),
petition for cert. filed (Jan. 5, 1994).
This standard does not require the applicant
to show that he would prevail on the merits,
but it does require him to show that the
issues he presents are debatable among
jurists of reason. Barefoot, 463 U.S. at 893
n. 4, 103 S.Ct. at 3395 n. 4; Drew, 5 F.3d
at 95. The same standard essentially applies
to an application for a stay of execution.
Drew, 5 F.3d at 95 (citing Delo v. Stokes,
495 U.S. 320, 321, 110 S.Ct. 1880, 1881, 109
L.Ed.2d 325 (1990) ("A stay of execution
pending disposition of a second or
successive federal habeas petition should be
granted only when there are 'substantial
grounds upon which relief might be granted.'
" (quoting Barefoot, 463 U.S. at 895, 103
S.Ct. at 3395))).
Discussion
Barnard
argues that his application for CPC should
be granted because he is presently
incompetent to be executed under Ford v.
Wainwright, 477 U.S. 399, 106 S.Ct. 2595, 91
L.Ed.2d 335 (1986). He asserts that the
state trial court's finding that Barnard was
competent to be executed, issued after an
evidentiary hearing held on July 22, 1993,
is not entitled to be given a "presumption
of correctness" in federal court because the
state court's treatment of the competency
issue was not "full and fair."
Section
2254(d) directs federal habeas courts to
presume the correctness of a state court
determination after a
hearing on the merits of a factual issue ...
unless the applicant shall otherwise
establish or it shall otherwise appear, or
the respondent shall admit
(2) that the factfinding
procedure employed by the State court was
not adequate to afford a full and fair
hearing; ...
(8) or unless ... the
Federal court on a consideration of such
part of the record as a whole [on which the
factfinding was based] concluded that such
factual determination is not fairly
supported by the record.
28 U.S.C.
Sec. 2254(d); see Sumner v. Mata, 449 U.S.
539, 546-47, 101 S.Ct. 764, 768-69, 66 L.Ed.2d
722 (1981). A state court's conclusion
regarding a petitioner's competency to be
executed is entitled to such a presumption.
Garrett v. Collins, 951 F.2d 57, 59 (5th
Cir.1992); see Ford, 477 U.S. at 410-411,
106 S.Ct. at 2602-2603.
The state
habeas court found, after a full evidentiary
hearing in which the court was able to
review both live and affidavit testimony,
that Barnard was competent to be executed
under the Ford standard, i.e., that a
prisoner must understand the fact of his
impending execution and the reason for it.2
During the hearing, at which Barnard was
present but did not testify, Barnard
presented, in addition to the testimony of
his former attorney, the live medical
testimony of Dr. Philip Murphy, a
psychologist, and Dr. Allen Childs, a
psychiatrist, both of whom had recently
interviewed Barnard.3
They agreed that Barnard suffers from
delusions that he is being persecuted by
various minority groups. In rebuttal, the
State presented the live testimony of Dr.
Edward B. Gripon, who had been ordered by
the court to examine Barnard and who
testified that although Barnard suffered
serious delusions, Barnard understood the
fact of his impending execution and the
reason for it. In one of its factual
findings, the state court stated that
[b]ased on the reports
and evaluations and testimony of Applicant's
and the Court's mental health experts, Texas
Department of Criminal Justice medical
records, and the sworn statements of TDCJ
personnel, the Court finds that Applicant
comprehends the nature, pendency, and
purpose of his execution. Applicant knows
that he was found guilty of killing a young
boy in a robbery in Galveston County and
that his pending execution was because he
had been found guilty of that crime. He knew
of the date of his scheduled execution and
that it would be lethal injection by use of
an intravenous injection. Applicants'
experts do not establish that he is unaware
of the fact of or the reason for his
impending execution, but rather that his
perception of the reason for his conviction
and pending execution is at times distorted
by a delusional system in which he
attributes anything negative that happens to
him to a conspiracy of Asians, Jews, Blacks,
homosexuals, and the Mafia (emphasis added).
The state
court thus found that Barnard knew that he
was going to be executed and why he was
going to be executed--precisely the finding
required by the Ford standard of competency.4
Barnard
contends that this finding should not be
given a presumption of correctness under Sec.
2254(d) because the trial court's hearing
could not possibly have been "full and fair"
if the trial court ignored the testimony of
seven impartial witnesses in favor of one
court-appointed witness. However, we agree
with the district court that an unexpected
outcome does not automatically render the
state procedure unfair--especially when
Barnard was afforded a full-blown
evidentiary hearing. We thus find meritless
Barnard's contention that Texas did not
afford him a "full and fair" proceeding.
Barnard
also argues that the state court's finding
of competence should not be given a
presumption of correctness because such a
determination is not "fairly supported by
the record." This argument, too, is without
merit. Although the state court had before
it various affidavits and doctors' reports
on Barnard's competency which Barnard had
filed, the court found that only the reports
of Drs. Murphy and Childs--who gave live
testimony for Barnard at the hearing--related
to Barnard's current diagnosis. Dr. Gripon,
who testified for the State and who had
recently reviewed Barnard's medical records
and interviewed Barnard, also gave live
testimony related to Barnard's current
diagnosis.
This court
has made it clear that "deference to a state
court's findings is particularly important 'where
a federal court makes its determinations
based on the identical record that was
considered by the state appellate court.' "
Self v. Collins, 973 F.2d 1198, 1213 (5th
Cir.1992) (quoting Sumner, 449 U.S. at 547,
101 S.Ct. at 769), cert. denied, --- U.S.
----, 113 S.Ct. 1613, 123 L.Ed.2d 173
(1993). Section 2254(d) " 'gives federal
habeas courts no license to redetermine
credibility of witnesses whose demeanor has
been observed by the state trial court' " or
to disagree with the weight the state court
gave to the testimony of those witnesses
whose demeanor the federal habeas court did
not observe. Id. at 1214 (quoting Marshall
v. Lonberger, 459 U.S. 422, 434, 103 S.Ct.
843, 850, 74 L.Ed.2d 646 (1983)).
Barnard
also argues that the state court's finding
of competency should not be given Sec.
2254(d) deference because such a finding is
a mixed question of law and fact and thus
not subject to a presumption of correctness
under Sec. 2254(d). The cases to which
Barnard cites for support of this argument,
however, concern the issue of competency to
stand trial and not the issue of competency
to be executed. This court has previously
determined that a state court's finding of
competency to be executed is entitled to a
presumption of correctness under Sec.
2254(d). See Garrett, 951 F.2d at 59; see
also Ford, 477 U.S. at 410-11, 106 S.Ct. at
2602 (explaining that a federal habeas court
is required to hold an evidentiary hearing
on the issue of the petitioner's competency
to be executed if the petitioner shows that
one of the statutory exceptions to Sec.
2254(d) is applicable in his specific case).
Even if we
were to conclude, however, that competency
to be executed is a mixed question of law
and fact, the pure factfindings that
underlie the state court's determination
that Barnard is competent to be executed are
entitled to a presumption of correctness,
and based on those factfindings, we would
reach the same legal conclusion.
For the
foregoing reasons, we cannot determine that
Barnard has made a substantial showing of a
denial of a federal right. Accordingly, we
deny his application for a CPC and his
motion to stay his execution.5
Barnard
also argues that the district court erred in
denying his motion to have counsel appointed
for him, pursuant to 21 U.S.C. Sec.
848(q)(4)(B).6
Although we did not address the question
whether Barnard abused the writ for purposes
of his entitlement to habeas relief on the
merits, we address the question of abuse of
the writ here in relation to the district
court's denial of counsel's motion to be
appointed under Sec. 848(q)(4)(B).
The
district court dismissed Barnard's petition
for abuse of the writ because the court
determined that it was "abundantly clear"
that the question of Barnard's sanity was
extant at the time of the filing of his
first habeas petition. Nonetheless, we note
that the issue of Barnard's sanity was not
urged at trial (Barnard himself testified at
trial) or on direct appeal to the Texas
Court of Criminal Appeals, except as it was
incident to his claims relating to voluntary
intoxication. We also note that more than
five years has transpired since Barnard's
first scheduled execution date after his
conviction became final and that by the
district court's own admission, there is
evidence in the record that Barnard's
condition has persistently worsened over the
years.
Further,
Texas employs its own abuse of the writ
doctrine, which requires in certain
instances that a petitioner show "good
cause" why claims urged in a second or
successive petition were not urged earlier
or face dismissal of those claims. See
TEX.CODE CRIM.P. art. 11.07 (Vernon 1977 &
Supp.1993); Ex parte Emmons, 660 S.W.2d 106,
110 (Tex.Crim.App.1983); Ex parte Carr, 511
S.W.2d 523, 525-26 (Tex.Crim.App.1974).
Although
the showing of "good cause" which Texas
requires may well not be the same as the
showing of "cause and prejudice" required in
federal cases, we find it relevant that
abuse of the writ was not raised at the
state level with respect to Barnard's claim
of incompetency to be executed in his second
state habeas petition and that the Texas
Court of Criminal Appeals stayed Barnard's
execution on the eve of the set execution
date and mandated an evidentiary hearing on
the issue of competency.
Moreover,
our research indicates no reported decision
in which a federal circuit court or the
Supreme Court has denied relief of a
petitioner's competency-to-be-executed claim
on grounds of abuse of the writ. Assuming
without deciding that the abuse of the writ
doctrine is nonetheless applicable to a
petition for federal habeas relief premised
on a Ford claim, the district court's
determination that Barnard's claim
constituted an abuse of the writ because he
could not show "cause and prejudice" for his
failure to raise this claim in his earlier
petition seems premature in the absence of
an evidentiary hearing or other appropriate
proceeding to determine exactly when
Barnard's counsel could have discovered
through reasonable diligence and
investigation that Barnard was incompetent
to be executed.7
Because
the determination of Barnard's competency to
be executed is a fact-intensive inquiry, the
point at which Barnard's counsel should have
initiated that inquiry is equally fact-intensive.
Although after a hearing, the district court
might be in a position to conclude that
Barnard's competency claim should have been
raised in his first round of state and
federal habeas petitions (initiated in
October 1988), we cannot say, absent a more
complete factual development, that this is
true.
With the
foregoing discussion in mind, we believe
that the district court was incorrect in
denying counsel's motion for appointment
under 21 U.S.C. Sec. 848(q)(4)(B). On its
face, Sec. 848(q)(4)(B) does not condition
the appointment of counsel on the
substantiality or nonfrivolousness of
petitioner's habeas claims.8
Compare 21 U.S.C. Sec. 848(q)(4)(B) with 28
U.S.C. Sec. 1915(d) ("The court may request
an attorney to represent any such person
unable to employ counsel and may dismiss the
case if the allegation of poverty is untrue,
or if satisfied that the action is frivolous
or malicious.").
Even if
judicial interpretation of Sec. 848(q)(4)(B)
may later condition the appointment of
counsel on some level of substantiality or
nonfrivolousness in a petitioner's habeas
claims, we cannot say that in the instant
case, without the benefit of a hearing on
the subject of whether counsel should have
raised earlier the matter of his competency
to be executed, Barnard's competency claim
was such that the district court should have
denied counsel's motion for appointment
under Sec. 848(q)(4)(B). The district court
therefore erred in denying counsel's motion
on abuse of the writ grounds. Counsel has a
similar motion pending in this court, and in
view of the shortness of time remaining
before his execution, we grant the motion.
The
district court will be required to hold a
hearing at some future date to determine
whether and in what amount fees are to be
awarded Barnard's appointed counsel. As the
district court is already aware, counsel
waited more than ten weeks from the time the
Court of Criminal Appeals denied Barnard
relief on his second state habeas petition
to file a second federal habeas petition and
a motion to be appointed with the district
court--only a few days before Barnard's
scheduled execution.
At the
hearing, the district court should determine
whether counsel, as an officer of the court,
had good cause for delay in filing Barnard's
second habeas petition and if not, whether
the amount of fees to which counsel would
otherwise be entitled should be reduced as a
sanction. See Thomas v. Capital Security
Servs., Inc., 836 F.2d 866, 878 (5th
Cir.1988) (en banc) ("[T]he basic principle
governing the choice of sanctions is that
the least severe sanction adequate to serve
the purpose should be imposed.").
For the
foregoing reasons, we DENY Barnard's
application for a CPC and his motion for
stay of execution. We REVERSE that portion
of the district court's order denying
appointment of counsel under Sec.
848(q)(4)(B). We grant the motion for
appointment of counsel under Sec.
848(q)(4)(B) and Barnard's application for
in forma pauperis status.
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