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Joseph Earl
BATES
DOC Number: 0023098
Joseph E. Bates
Execution date set for Joseph Bates
RALEIGH - Correction Secretary Theodis Beck has
set September 26, 2003 as the execution date for death row inmate
Joseph Earl Bates. The execution is scheduled for 2 a.m. at Central
Prison in Raleigh.
Bates, 35, was first sentenced to death on March
2, 1991 in Yadkin County Superior Court for the August 1990 murder
of Charles Edwin Jenkins. On appeal, the North Carolina Supreme
Court awarded Bates a new trial. After a second trial, Bates
received the death sentence on November 9, 1994. He also received a
40-year sentence for one count of kidnapping.
A media tour is scheduled at Central Prison on
Monday, Sept. 22. Interested media representatives should arrive at
Central Prison's visitor center promptly at 10 a.m. on the tour
date. Warden Marvin Polk will explain the execution procedures. The
session will last approximately one hour. This will be the only
opportunity to photograph the execution chamber and death watch area
before the execution.
Journalists who plan to attend the tour should
contact the Department of Correction Public Information Office at
919-716-3700.
Joseph Bates, 35, was first sentenced to death on
March 2, 1991 in Yadkin County Superior Court for the August 1990
murder of Charles Edwin Jenkins. On appeal, the North Carolina
Supreme Court awarded Bates a new trial. After a second trial, Bates
received the death sentence on November 9, 1994. He also received a
40-year sentence for one count of kidnapping.
On August 25, 1990, two fishermen discovered
Charles Jenkins’ body floating in the Yadkin River, in Yadkin County,
North Carolina. Charles’s ankles and wrists were bound by rope, his
legs and arms were hog-tied, and a rope was tied around his neck.
While investigating the murder, two police officers went to Bates’
house to speak with him. At that time, the officers obtained a piece
of paper and some molding from Bates’ home having what appeared to
be bloodstains on it.
The following day, Bates gave a thirteen-page
confession, in which he admitted to beating, hog-tying, kidnapping,
and then shooting the victim in the neck. Bates was indicted for
kidnapping and murder.
The facts surrounding the crime are undisputed.
Sometime in late July or early August 1990, someone broke into and
fired gunshots into Bates’ home, causing Bates to set up a temporary
campsite on his employer Hal Eddleman’s property. Around this same
time Bates told his friend, Gary Shaver, that he could kill someone.
On August 10, Bates called Eddleman and told Eddleman to meet him at
the bridge later that evening because something was "going down."
Eddleman went to the bridge as instructed, but Bates never came to
meet him.
The next evening Bates and Shaver went to a night club. At
approximately 1:45 a.m., Bates instructed a waitress to ask Billy
Grimes, another friend, to telephone Eddleman. Bates told her that
Grimes and Eddleman would know what was going on.
At approximately 2:00 a.m., Jenkins asked Bates
and Shaver for a ride home. During the ride, Bates asked Jenkins if
he knew Bates’ ex-wife and her new boyfriend, and Jenkins replied
that he did. Bates stopped twice during the ride.
During the second
stop, Bates struck Jenkins three times on the back of the head with
a shovel, appearing to knock him unconscious. When Jenkins began to
moan, Bates struck him again, hog-tied him, and then placed him in
the vehicle.
On the way back to his campsite, Bates stopped at
Eddleman’s house and told Eddleman that he "got one of the MF’s." He
then told Grimes, "I’ve got one of the guys that’s been messing with
me. Do you want to watch or help?" Grimes declined to help, as did
Shaver and Eddleman.
Bates drove Jenkins back to his campsite around
4:00 a.m. At the campsite, Bates loosened the ropes on Jenkins and
began asking Jenkins who had shot into his home. Jenkins mentioned
two people who were involved, but did not say anything else.
Unsatisfied with Jenkins’ response, Bates then tied Jenkins to a
tree and went to his tent to retrieve a gun that he had borrowed
from Eddleman. Bates put the gun up to Jenkins throat, but Jenkins
repeated that he did not know for sure who had shot into Bates’ home.
Bates then untied Jenkins, took him to the back of the truck, and
shot him in the neck. Jenkins was lying face-up near the back of the
truck when Bates shot him.
In his confession, Bates said he "shot him . . .
because he acted like he knew who had shot into my house, he spit on
me and told me to go to hell, and this made me mad and I shot him."
After rummaging through Jenkins’ pockets, Bates retied Jenkins’
hands and feet and loaded him into the jeep.
Bates drove back to
Eddleman’s house, returned Eddleman’s gun, and asked, "what do you
think I should do with the body." Bates then left and threw the body
into the Yadkin River.
Later that day Bates discussed the murder with
both Eddleman and Grimes. Bates told Eddleman, "Well, it don’t
bother me all that bad." Bates told Grimes that he killed the victim
because he would get no more time for murder than for kidnapping.
Bates was indicted for kidnapping and murder. The State sought the
death penalty.
A jury found Bates guilty of one count of first
degree murder and one count of first degree kidnapping. He was
sentenced to death for the first degree murder conviction.
On
appeal, the North Carolina Supreme Court awarded Bates a new trial
based on an improper denial of Bates’ motion for an ex parte hearing
regarding his request for funds to employ a forensic psychologist.
Bates was retried, and a second jury found Bates guilty of one count
of first degree kidnapping and one count of first degree murder on
the basis of both the felony murder rule and premeditation and
deliberation.
The jury recommended the death sentence on the basis
of the kidnapping and the especially heinous, atrocious, or cruel
nature of the crime. On November 9, 1994, Judge Julius Rousseau
sentenced Bates to death for the first degree murder conviction and
to an additional forty years in prison for the kidnapping conviction.
AP September 26, 2003
RALEIGH, N.C. (AP) - A Yadkin County man executed
early Friday for a 1990 slaying he blamed on brain damage referred
to a Bible verse just before he was put to death.
Joseph Earl Bates, 35, was executed by injection
at Central Prison in Raleigh. He was pronounced dead at 2:14 a.m.,
said Department of Correction spokeswoman Pam Walker. "I haven't
really give it any thought," Bates said when asked by prison warden
Marvin Polk for last words before being wheeled into the steel-walled
execution chamber. "Let's see. Hebrews, Chapter 13, Verse 6, they
can read it." The verse says: "So that we may boldly say, the Lord
is my helper, and I will not fear what man shall do unto me."
None of Bates' relatives witnessed the execution.
Bates stared straight ahead as four law enforcement officers and two
relatives of the victim watched as he died. "It's just an ending of
the case," said Yadkin County Sheriff Michael Cain. "Certain crimes
are going to be met with certain penalties." Bates confessed to
killing Charles Edward Jenkins of Yadkin County after agreeing to
give him a ride home from a bar.
Bates was convicted of first-degree murder and
kidnapping in 1991 but his conviction and death sentence were
overturned because he didn't receive funds for a mental health
expert. The expert in his second trial in 1994 didn't know about his
brain injury. He was convicted and resentenced to death for the 1990
slaying.
Defense lawyers appealed to the U.S. Supreme
Court while Bates visited relatives hours before the execution was
scheduled. They also sought clemency from North Carolina Gov. Mike
Easley. Both requests were denied on Thursday. "I find no compelling
reason to invalidate the sentence recommended by two juries and
affirmed by the courts," Easley said in a statement issued by his
office.
The federal appeal said Bates was poorly
represented by appeals lawyers after he was convicted. The petition
said one lawyer spent very little time on the case, billing only 12
minutes in 1998, and the other was ineffective because he was
depressed. Justices of the North Carolina Supreme Court denied an
appeal on Wednesday.
Bates' family and friends said he was coerced
into the killing by two other men, one of whom received a suspended
sentence for aiding in the kidnapping. Prosecutors and Jenkins'
family said the killing was premeditated and brutal. Jenkins' body
was thrown into a river.
Two other inmates have been executed in North
Carolina in the past five weeks. Another execution is scheduled next
week for convicted killer Edward Hartman. Hartman, 38, was convicted
of the 1993 murder of Herman Smith Jr. in Northampton County.
September 26, 2003
(RALEIGH) -- A Yadkin County man was executed
Friday morning at Raleigh's Central Prison. Joseph Earl Bates was
put to death by lethal injection for a 1990 murder. A Correction
Department official says Bates died at 2:14 a.m. He was 35 years old.
Bates confessed to shooting Charles Edward Jenkins. His body was
dumped in a river.
Governor Easley and the U.S. Supreme Court
declined on Thursday night to stop his execution. Bates' death row
attorneys had said he deserved a life sentence. They say jurors
never heard about the brain damage he suffered from a car wreck
three years before the murder.
They also say he was poorly
represented by his former appeals lawyers after he was convicted.
Attorneys for the state and Jenkins' family argued the slaying was a
premeditated, brutal killing.
Bates is the third death row prisoner executed in
North Carolina in the past five weeks. Another execution is set for
next week.
September 26, 2003
RALEIGH, N.C. -- A Yadkin
County man was executed early Friday for a 1990 slaying he blamed on
brain damage he suffered from a car wreck three years earlier.
Joseph Earl Bates, 35, was put to death by lethal injection at
Central Prison in Raleigh. He was pronounced dead at 2:14 a.m., said
Department of Correction spokeswoman Pam Walker.
Bates confessed to killing Charles Edward Jenkins
of Yadkin County after agreeing to give him a ride home from a bar.
Bates was convicted of first-degree murder and kidnapping in 1991
but his conviction and death sentence were overturned because he
didn't receive funds for a mental health expert. The expert in his
second trial in 1994 didn't know about his brain injury. He was
convicted and resentenced to death for the 1990 slaying.
Defense lawyers had appealed to the U.S. Supreme
Court while Bates visited relatives hours before the execution was
scheduled. They also sought clemency from North Carolina Gov. Mike
Easley. Both requests were denied on Thursday. "I find no compelling
reason to invalidate the sentence recommended by two juries and
affirmed by the courts," Easley said in a news release, refusing to
commute Bates' sentence to life in prison.
The federal appeal said Bates was poorly
represented by appeals lawyers after he was convicted. The petition
said one lawyer spent very little time on the case, billing only 12
minutes in 1998, and the other was ineffective because he was
depressed. "This petitioner, locked on death row, experienced the
illusion of two counsels acting on his behalf," the petition said.
Justices of the North Carolina Supreme Court denied an appeal on
Wednesday. State prosecutors have said Bates had no claims that
warrant a stay of execution and a review by appeals courts.
Bates' family and friends said he was coerced
into the killing by two other men, one of whom received a suspended
sentence for aiding in the kidnapping. Attorneys for the state and
Jenkins' family said the killing was premeditated and brutal.
Jenkins' body was thrown into a river.
Two other inmates have been executed in North
Carolina in the past five weeks. Another execution is scheduled next
week for convicted killer Edward Hartman. Hartman, 38, was convicted
of the 1993 murder of Herman Smith Jr. in Northampton County.
September 23, 2003
RALEIGH, N.C. -- Gov. Mike Easley heard Tuesday
from prosecutors and defense attorneys arguing whether a Yadkin
County man should be executed later this week. Joseph Earl Bates is
set to die early Friday at Raleigh's Central Prison. He was
convicted of kidnapping and killing a man he met at a bar in 1990.
Bates confessed to fatally shooting Charles
Jenkins, but his attorneys say jurors didn't hear evidence about how
Bates' suffered brain damage after a serious car accident three
years before the murder. They also told reporters after the clemency
hearing that at least one of his appellate lawyers didn't give
enough time to the case.
Yadkin County District Attorney Tom Horner spoke
with Easley Tuesday morning at the governor's office in Raleigh.
Easley can commute the sentence to life in prison.
Bates' attorneys say they plan late Tuesday or
Wednesday to ask the state Supreme Court for a stay of the execution.
September 24, 2003
RALEIGH, N.C. -- The state
Supreme Court on Wednesday denied a request for a stay from a death
row inmate who said brain damage suffered in a car wreck changed him
from a kind man into a killer. The court denied the request from
Joseph Earl Bates, who is scheduled to be executed at 2 a.m. Friday.
Bates, 35, confessed to killing Charles Edward
Jenkins after agreeing to give him a ride home from a bar in 1990,
three years after his car accident. A Yadkin County judge Monday
denied a request for a stay of the execution. His attorneys filed an
appeal late Tuesday to the state Supreme Court, saying brain injury
evidence and allegations of ineffective counsel need to be
considered.
In a response filed Wednesday, state prosecutors
said "Bates has presented nothing warranting a stay of execution and
certiorari review." Bates was convicted of first-degree murder and
kidnapping in 1991 but his conviction and death sentence were
overturned because he didn't receive funds for a mental health
expert. The expert in his second trial in 1994 didn't know about his
brain injury. He was convicted and resentenced to death.
Bates' family and friends say he was coerced into
the killing by two other men, one of whom received a suspended
sentence for the aiding in the kidnapping. At a clemency hearing
Tuesday, Bates' attorneys asked Gov. Mike Easley to commute his
sentence to life behind bars. Bates had several friends and family
members pleading his case outside Easley's office, recalling a Joe
Bates who worked hard in school and on the football field before his
accident made him paranoid and irrational. "He doesn't deserve the
death penalty," said his sister, Tricia Bullins of Sandy Ridge,
while carrying an old Bible, embossed with her brother's name. "This
is totally out of character."
Attorneys for the state and Jenkins family' told
Easley earlier Tuesday the execution should go forward, saying it
was a premeditated, brutal killing. Jenkins' body was thrown into a
river. "Life is a valuable thing and my brother's life was taken,"
said David Jenkins, the victim's brother. "Life is so valuable that
it requires a life be paid."
Bates' attorneys also have presented sworn
statements from two former lawyers who handled Bates' post-conviction
appeals. One said he suffered from clinical depression while
handling a Bates motion, seriously harming If his appeals fail,
Bates would be the third death row prisoner to be executed in North
Carolina in five weeks.
On Wednesday, the state Correction Department
named witnesses for Bates' execution. Official witnesses are: David
Jenkins and Karl Jenkins, both victims' family members; Ron Perry
and Frank Brown, both of the State Bureau of Investigation; Yadkin
County Sheriff Michael Cain; and Yadkin County sheriff's Maj.
Raymond Wells Swain. Media witnesses are: Andy Matthew of the Yadkin
Ripple; Scott Sexton of the Winston-Salem Journal; and Estes
Thompson of The Associated Press.
Here's the theory: A person accused of first-degree
murder in North Carolina is entitled to a vigorous, competent
defense and a comprehensive review of the sentence before being put
to death.
Here's the reality: Those accused of murder often
have incompetent lawyers who don't thoroughly investigate the facts,
bring those facts to the jury's attention and aggressively pursue
appeals after conviction. Defendants go to their death in the sure
knowledge that the state allows some killers to get off with life in
prison while others convicted of similar crimes get the Big Needle.
If usual practice continues this week, convicted
murderer Joseph Earl Bates will be put to death early Friday at
Central Prison in Raleigh without a single juror ever considering
some critical facts in his case. The sorry truth is that Mr. Bates'
lawyers never told his trial jurors that the defendant had suffered
brain damage in an auto accident that rendered him paranoid, anxious
and depressed -- factors the federal courts have said should be
considered in murder cases. Four jurors later said they might have
voted differently had they known of his background.
There is no doubt that Joseph Earl Bates killed
Charles Jenkins, a stranger, after offering him a ride home from a
bar in 1990. There is also no question that Mr. Bates, who had been
borderline mentally retarded prior to suffering the brain damage in
1987, underwent significant personality changes after the accident.
Experts now say he was suffering from severe mental disturbances,
but his trial lawyers never brought that up at trial.
One of his appellate lawyers also suffered from
mental problems, quit working on the case and left town, Mr. Bates'
lawyers say. That lawyer, David Williams, later said his condition
had an adverse impact on his ability to represent Mr. Bates.
These kinds of circumstances often cloud the
death sentences handed out in North Carolina. Gov. Mike Easley, who
has the constitutional duty to make the final person on whether
justice was done in death penalty cases, appears to view his role
narrowly -- as an appellate judge making sure there was no
overriding legal error in the process.
We believe the governor should take a broader
view and answer the questions that trouble many North Carolinians --
even those who support the death penalty. Is it fair that some
murderers are sentenced to life in prison while others found guilty
of similar crimes are put to death? Is it fair that prosecutors in
some parts of the state seek the death penalty for crimes that
prosecutors elsewhere would not treat as capital cases? Is it fair
that, with few exceptions, murderers sentenced to death had lousy or
inexperienced lawyers?
We believe the answers to these questions are no,
no and no. Gov. Easley should impose a moratorium on further
executions until the state demonstrates that it can prosecute
capital cases and apply the death penalty in an equitable fashion.
This won't spare Joseph Earl Bates' life. But it would spare the
people of North Carolina the awful knowledge that our system of
criminal justice is so fatally flawed.
Joseph Bates, North Carolina - Sept. 26, 2003
The state of North Carolina is scheduled to
execute Joseph Bates, a white man, Sept. 26 for the 1990 murder of
Charles Jenkins. Bates has serious mental health issues that were
not presented at trial or pursued in court. He suffers from the
effects of serious and repeated traumatic head injuries that were
suffered in the years before his crime and subsequently altered his
personality. He has been diagnosed as paranoid and delusional and
has attempted suicide twice while in prison.
Four jurors have stated that they would have
handed down a different verdict had they known of Bates’s mental
problems.
The National Mental Health Association, the
nation's oldest and largest organization that conducts research on
mental illness, estimates that as many as 370 people with severe
mental illnesses currently sit on death row—more than 1 of every 10
prisoners awaiting execution. The justice system "inadequately
addresses the complexity of cases involving criminal defendants with
mental illness," the group has concluded, calling for a complete
suspension of the death penalty until the courts devise "more just,
accurate and systematic ways of determining and considering a
defendant's mental status."
In fact, there are currently few provisions in
place that require judges and juries to spare the lives of those
with severe mental illnesses. Even defendants who suffer from
extreme delusions are deemed mentally "competent" to stand trial for
their life if they simply understand that they are being executed
and why they are being executed. "You may believe that your thoughts
are controlled by aliens who are beaming rays into your brain," says
Stephen Bright, an attorney who heads the Southern Center for Human
Rights in Atlanta, "but that won't necessarily have any bearing when
it comes to assessing your competence to be executed."
"Mentally ill or not, most people facing capital
charges are poor," notes Collie Brown, senior director for criminal
justice programs at the National Mental Health Association. "They
don't have the resources to retain expert witnesses," and they often
get court-appointed attorneys who don't even raise their condition
at trial."
The state sanctioned termination of the mentally
ill can not be allowed to continue. Please contact Gov. Mike Easley
and urge him to commute the death sentence of Joseph Bates.
Defendant's initial conviction of murder and
sentence of death was reversed for new trial by the Supreme Court,
333 N.C. 523, 428 S.E.2d 693. Following jury trial before the
Superior Court, Yadkin County, Rousseau, J., defendant was again
convicted of first-degree murder and first-degree kidnapping and
sentenced to death. Defendant appealed. The Supreme Court, Frye, J.,
held that: (1) defendant was properly denied instruction on second-
degree murder; (2) refusal to submit separately four nonstatutory
mitigating circumstances either not supported by evidence or
subsumed in other mitigating circumstances was not error; (3) trial
court correctly refused to peremptorily instruct jury regarding
mitigating circumstances on which evidence was controverted; (4)
aggravating circumstances that murder was especially heinous,
atrocious or cruel and that murder was committed in course of
commission of felony were supported by separate evidence and thus
both circumstances were properly submitted; (5) prosecutor's
comments on defendant's demeanor were not improper comments on
defendant's failure to testify; (6) defendant was not prejudiced by
refusal to allow him to inquire whether jurors would hold his
election not to testify against him; (7) defendant was not in
custody when he made statements prior to being Mirandized; (8) trial
court did not unduly restrict defendant's voir dire of prospective
jurors; (9) prosecutor's exercise of eight of 12 peremptory
challenges against women did not show prima facie case of gender
discrimination; and (10) death sentence was not excessive or
disproportionate to penalty imposed in similar cases. No error.
FRYE, Justice.
Defendant, Joseph Earl Bates, was indicted on 29 October 1990 for
the murder and the first-degree kidnapping of Charles Edwin Jenkins.
He was tried capitally in February 1991, found guilty of one count
of first-degree murder and one count of first-degree kidnapping, and
sentenced to death for the first- degree murder conviction. On
appeal, we awarded defendant a new trial. State v. Bates, 333 N.C.
523, 428 S.E.2d 693, cert. denied, 510 U.S. 984, 114 S.Ct. 487, 126
L.Ed.2d 438 (1993)
During defendant's second capital trial, the jury
returned verdicts of guilty of one count of first-degree kidnapping
and guilty of one count of first-degree murder on the basis of
premeditation and deliberation and under the felony murder rule.
During a capital sentencing proceeding conducted pursuant to N.C.G.S.
§ 15A-2000 the jury recommended a sentence of death for the first-degree
murder conviction. The jury found as aggravating circumstances that
the murder was committed while defendant was engaged in the
commission of a kidnapping, N.C.G.S. § 15A- 2000(e)(5) (1988) ; and
that the murder was especially heinous, atrocious, or cruel, N.C.G.S.
§ 15A-2000(e)(9) (1988).
The jury also found seven of the seventeen
statutory and nonstatutory mitigating circumstances submitted to it.
On 9 November 1994, Judge Rousseau sentenced defendant to forty
years in prison for his first-degree kidnapping conviction, and upon
the jury's recommendation, he imposed a sentence of death for
defendant's first-degree murder conviction.
Defendant appeals to this Court as of right from
the first-degree murder conviction; he does not appeal the
kidnapping conviction. Defendant makes twenty-four arguments on
appeal, supported by thirty-one assignments of error. We reject each
of these arguments and conclude that defendant's trial and capital
sentencing proceeding were free of prejudicial error and that the
death sentence is not disproportionate. Accordingly, we uphold
defendant's conviction of first-degree murder and his sentence of
death.
The State's evidence presented at trial tended to
show the following facts and circumstances: At approximately 9:30
p.m. on 10 August 1990, defendant spoke with Hal Eddleman, his
employer, inside defendant's tent, which was located on Eddleman's
land. Eddleman allowed defendant to set up a campsite on his
property after someone had broken into and fired gunshots into
defendant's house.
Defendant told Eddleman, "There's something going
down at [the] Donnaha [bridge]. This guy got in touch with me, and
told me to meet him over at Donnaha, we'd get it over with." As a
result of this conversation, at approximately 11:30 p.m. on 10
August 1990, Eddleman and his wife went to the Donnaha bridge, which
extends across the Yadkin River. They remained there for
approximately two to two and one-half hours. After seeing no one,
they returned home and went to bed.
At around 9:00 or 9:30 p.m. on 11 August 1990,
defendant and Gary Shaver went to LaDan's Night Club. Janette Turner,
a part-time waitress at LaDan's, and Billy Grimes, Turner's
boyfriend and defendant's friend, were also at LaDan's that night.
Grimes left LaDan's at around 12:30 or 1:00 a.m. on 12 August 1990.
Grimes and Turner planned to meet at Bran's Game Room at the end of
Turner's shift. At about 1:45 a.m., defendant asked Turner to ask
Grimes to telephone Eddleman and said that Grimes and Eddleman would
know what was going on. When Turner left LaDan's at around 2:00 or
2:30 a.m., she went to Bran's to meet Grimes. When she arrived at
Bran's, Turner relayed defendant's message to Grimes.
Grimes testified at trial that when Turner
relayed defendant's message to telephone Eddleman and tell him that
something was "going down" and that they knew what it was all about,
he did not know what it was all about. Nonetheless, Grimes and
Turner left Bran's and went to the Pineview Restaurant, where Grimes
telephoned Eddleman from an outside pay telephone. Grimes apologized
for waking Eddleman and relayed defendant's message to him. Grimes
said, "[Defendant] wanted me to call you and tell you there's
something going down and he wants to know if you want anything to do
with it." Eddleman said, "Well, I went to the river last night and
spent about two and a half, maybe three hours. Nothing didn't happen
then. Hell, no, I don't want nothing to do with it." Eddleman then
went back to sleep. Grimes and Turner returned to Bran's and
departed in their separate vehicles.
Meanwhile, at approximately 2:00 a.m., the victim,
Charles Edwin Jenkins, asked defendant for a ride home. The victim
left LaDan's with defendant and Shaver. During the ride, defendant
asked the victim whether he knew defendant's ex-wife, Lisa Bates, or
her boyfriend, Jeff Goins. The victim responded, "Yeah, isn't Lisa
the one that has big breasts" and "long blond hair." According to
Shaver's testimony at trial, although defendant's ex-wife had long
blond hair at that time, she did not have "big breasts."
During the ride, defendant stopped twice. The
first time, he stopped for fifteen or twenty minutes along the side
of the road in Iredell County so that defendant and Shaver could
"use the bathroom." The victim did not exit the vehicle at this
time. After driving for about fifteen or twenty minutes more,
defendant stopped the vehicle a second time. This time, the victim
and Shaver got out of defendant's vehicle to "use the bathroom."
Shaver was standing on the passenger side of the vehicle, and the
victim was standing at the rear of the vehicle. Defendant exited the
vehicle, went around to the rear of the vehicle, and struck the
victim at least three times on the back of the head with a shovel
handle that had been in the vehicle. The victim fell to the ground.
Defendant then gave the handle to Shaver, took some rope from the
vehicle, and tied the victim's hands.
The victim appeared to be
unconscious at this point. However, the victim started moaning, and
defendant told Shaver to hit the victim with the shovel handle.
Shaver refused so defendant took the handle from Shaver and struck
the victim on the back of the head again. The victim stopped moaning
and again appeared to be unconscious. Defendant then bound the
victim's arms and legs behind his back, or hog-tied him.
Defendant asked Shaver to help him place the
victim into defendant's vehicle, and Shaver did so. Defendant then
told Shaver that he believed that the victim was one of the persons
who had been "messing around his house and stuff." Defendant said
that he was "going to find out some answers." Defendant believed
that the persons who had shot into his house were friends of his ex-wife
and her boyfriend, and he thought the victim was setting him up and
leading him into a trap.
Defendant and Shaver got into the truck and
headed towards defendant's campsite. Defendant was driving, Shaver
was in the passenger seat, and the victim was hog-tied and lying on
the floor of the rear of the vehicle. At some point, the victim
propped his head up, and defendant asked him for directions. The
victim responded that he could not see because his glasses had been
lost.
The victim then asked defendant what he had done and what was
going on. Defendant told the victim to shut up. About fifteen or
twenty minutes later, defendant noticed a sign indicating that they
were entering Yadkin County. Defendant proceeded towards his
campsite.
On the way back to his campsite, defendant
stopped at Eddleman's house. Defendant and Shaver exited the vehicle.
Defendant knocked on the front door and entered Eddleman's house;
Shaver waited outside in front of defendant's vehicle. Defendant
remained inside the house for fifteen or twenty minutes. While
inside Eddleman's house, defendant told Eddleman, "We got one of the
MF's."
Eddleman asked, "Who is he?" Defendant said, "His name is
Chuck." Eddleman asked, "How do you know he's one of them?"
Defendant said, "He's told us." Eddleman asked, "Where's he at?"
Defendant responded, "He's hogtied in the jeep. You want to see him?"
Eddleman said, "No, the best thing you can do is take him back where
you got him, apologize to him and do anything he wants you to do,
and hope that he don't prosecute you for kidnapping him." Defendant
and Eddleman then stepped out onto the porch.
While defendant and Eddleman were outside on the
porch talking, Billy Grimes drove up in his white Mitsubishi pickup
truck and parked behind defendant's vehicle. Defendant walked up to
Grimes' pickup truck and spoke with Grimes. According to Grimes,
defendant said, "I've got one of the guys that's been messing with
me. Do you want to watch or help?" Grimes declined, left, and went
home.
Meanwhile, Eddleman had stepped off the porch to
talk with Shaver. Eddleman said to Shaver, "Gary, you don't want
nothing to do with this either." Eddleman also told Shaver, "Gary,
you better talk to [defendant]." Eddleman then said to defendant, "Joe,
you better listen." Defendant then walked over to Shaver and told
him that he could get out of the situation if he wished. Shaver
stated that he wanted out because he had sole custody of his
daughter and did not want to jeopardize his custody.
Defendant told
Shaver that he would take Shaver back to his vehicle, which was
parked at defendant's campsite. Defendant and Shaver then got back
into defendant's vehicle and left. When they arrived at defendant's
campsite, Shaver got into his vehicle and left. The victim was alive
at this time. Shaver went home, set his alarm clock, and went to bed.
It was approximately 4:00 a.m. at this time.
Defendant returned to Eddleman's house later that
morning and again awoke Eddleman. It was still dark outside.
Defendant returned Eddleman's gun, which he had borrowed at some
time earlier. Eddleman took the gun and placed it in one of his
bedrooms in his house. Defendant asked Eddleman, "What do you think
I should do with the body?" Eddleman said, "What?" Defendant
repeated the question.
Eddleman said, "Man, if you've got a body,
you've only got about three choices. You either take him to the
sheriff's office, bury him or throw him in the river." After some
further conversation, defendant asked, "Do you reckon I should tie
cement blocks to him?" Eddleman answered, "If you do, or not, he
will come up in from nine to eleven days." Defendant then said, "I
guess I can load him by myself," and he left.
Eddleman went back to bed and awoke at 9:30 or
9:45 a.m. that morning. Eddleman went to look at the gun to
determine whether there was blood on it. He discovered what appeared
to be flesh and blood on the gun. He then cleaned the gun. Later
that day, Eddleman spoke with defendant.
During the conversation,
defendant said, "I was just thinking about what happened last
night." Eddleman said, "Man, you better quit thinking. You're going
to have a hard enough day as it is." Defendant said, "Well, it don't
bother me all that bad." Eddleman responded, "It will." When
defendant left Eddleman's house, he packed up his tent and left the
campsite.
Grimes saw defendant at about noon that day.
Defendant was at defendant's home unloading his vehicle. Defendant
was placing his tent and the other items from his campsite into his
residence. Grimes noticed that there was blood all over the contents
of defendant's vehicle. Defendant took some items inside his house
and washed the blood off in the sink. Grimes remained at defendant's
house for about thirty minutes.
Grimes again saw defendant later that day at
Bran's Game Room. Defendant told Grimes that he shot the victim
through the neck and threw his body into the river. Grimes asked
defendant why he killed the victim, and defendant said that he could
not let him live after what defendant had done to the victim and
that he would get just as much time for murder as he would for
kidnapping.
A couple of days later, Shaver saw defendant at
Eddleman's house. Shaver asked defendant what happened, and
defendant said that it was best if Shaver did not know. A few days
before, defendant had told Shaver that he thought he could kill
someone.
On 25 August 1990, two fishermen discovered the
victim's body floating in the Yadkin River and contacted the police.
The victim's ankles and wrists were bound by rope, his legs and arms
were pulled backwards behind his back and tied together, and a rope
was tied around his neck. The victim's body was in an early stage of
decomposition. His belt buckle was undone, and his pants were
unzipped.
On 26 August 1990, an autopsy was performed on
the victim's body. The medical examiner noted that the victim's
wrists and ankles had been bound together with rope and that his
arms and legs had been fastened behind his back in a "hogtie"
configuration. There was also a loop of rope around the victim's
neck and a separate rope around his knee area.
The medical examiner
further noted that there was considerable decomposition of the body.
He discovered a gunshot wound to the back of the victim's neck. The
medical examiner was unable to testify with any degree of medical
certainty whether the victim experienced any pain as a result of the
gunshot wound but testified that the victim could have died
instantaneously.
Prior to the autopsy, police officers took
fingerprints from the victim to establish his identity. Because the
State Bureau of Investigation (SBI) was unable to determine his
identity from these prints, the victim's hands were surgically
removed and turned over to an agent of the SBI so that they could be
processed and better fingerprints obtained. The SBI processed the
fingerprints they obtained from the hands and determined that the
victim was Charles Edwin Jenkins.
On 30 August 1990, while investigating the
victim's murder, two law enforcement officers went to defendant's
house and spoke with him. Before leaving the residence, they asked
defendant's permission to search his vehicle. Defendant gave them
permission and assisted them into the vehicle. One of the officers
found a newspaper on the floor of defendant's vehicle.
The newspaper
had a front-page story about the officer's uncle, so he asked
defendant if he could have the newspaper. Defendant agreed to let
him have it. Inside the newspaper, the officer found a receipt that
had what appeared to be bloodstains on it. The officers also asked
defendant's permission to have a small piece of rope that was in a
bucket on defendant's front porch.
Defendant allowed the officers to take the rope.
Also, a piece of molding containing what appeared to be blood was
taken from defendant's vehicle. The receipt and the molding were
examined by the SBI, and the substance on them was determined to be
blood. However, no useable fingerprints were taken from the molding,
and no determination could be made as to whether the blood matched
the victim's blood since the victim's body contained no blood when
it was found.
On 31 August 1990, defendant gave a thirteen-page
confession to the police in which he admitted beating the victim,
binding him with ropes, kidnapping him, tying him to a tree, and
questioning him at gunpoint. Defendant also admitted shooting the
victim in the neck after the victim would not tell him who had shot
into his house and after the victim had spat on him. Defendant
further admitted tying a cement block around the victim's neck,
removing the cement block when he discovered it made the body too
heavy to throw off the bridge, and throwing the victim's hog-tied
body into the Yadkin River.
Defendant did not testify at trial. However,
defendant presented the testimony of two witnesses, Eddleman's wife
and Eddleman's daughter-in-law, which tended to show that Shaver's
vehicle was parked at defendant's campsite until 6:00 or 7:00 a.m.
on the morning of the victim's death.
Defendant was convicted and sentenced to death in
the Superior Court, Yadkin County, Rousseau, J., for crimes of first-degree
murder and first-degree kidnapping. Defendant appealed. Following
grant of defendant's motion to bypass, the Supreme Court, Whichard,
J., held that denial of defendant's pretrial motion to have his
preliminary showing of need for funds to hire forensic psychologist
heard ex parte jeopardized defendant's constitutional rights and
could not be deemed harmless. New trial ordered.
Appeal from the United States District Court for
the Middle District of North Carolina, at Durham. James A. Beaty, Jr.,
District Judge.(CA-99-742-1)
Before WILKINSON, Chief Judge, WIDENER, Circuit
Judge, and HAMILTON, Senior Circuit Judge.
Affirmed by published opinion. Chief Judge
Wilkinson wrote the opinion, in which Judge Widener and Senior Judge
Hamilton joined.
Appellant Joseph Earl Bates was sentenced to
death for the murder of Charles Edwin Jenkins. Bates does not
contest the fact that he com- mitted the murder. After exhausting
state challenges to the sentence imposed by the state courts, Bates
petitioned the United States District Court for the Middle
District of North Carolina for a writ of habeas corpus under 28
U.S.C. § 2254. The district court found no merit in his claims and
dismissed the petition. We now affirm.
I.
On August 25, 1990, two fishermen discovered
Charles Jenkins' body floating in the Yadkin River, in Yadkin
County, North Carolina. The victim's ankles and wrists were bound by
rope, his legs and arms were hog-tied, and a rope was tied around
his neck. While investigat- ing the murder, two police officers went
to Bates' house to speak with him.
At that time, the officers
obtained a piece of paper and some molding from Bates' home having
what appeared to be bloodstains on it. The following day, Bates gave
a thirteen-page confession, in which he admitted to beating,
hog-tying, kidnapping, and then shooting the victim in the neck.
Bates was indicted for kidnapping and murder.
The facts surrounding the crime are undisputed.
Some time in late July or early August 1990, someone broke into and
fired gunshots into Bates' home, causing Bates to set up a temporary
campsite on his employer Hal Eddleman's property. Around this same
time Bates told his friend, Gary Shaver, that he could kill someone.
On August 10, Bates called Eddleman and told
Eddleman to meet him at the bridge later that evening because
something was "going down." Eddleman went to the bridge as
instructed, but Bates never came to meet him. The next evening Bates
and Shaver went to a night club. At approximately 1:45 a.m., Bates
instructed a waitress to ask Billy Grimes, another friend, to
telephone Eddleman. Bates told her that Grimes and Eddleman would
know what was going on.
At approximately 2:00 a.m., Jenkins asked Bates
and Shaver for a ride home. During the ride, Bates asked Jenkins if
he knew Bates' ex- wife and her new boyfriend, and Jenkins replied
that he did. Bates stopped twice during the ride. During the second
stop, Bates struck Jenkins three times on the back of the head with
a shovel, appearing to knock him unconscious. When Jenkins began to
moan, Bates struck him again, hog-tied him, and then placed him in
the vehicle.
On the way back to his campsite, Bates stopped at
Eddleman's house and told Eddleman that he "got one of the MF's." He
then told Grimes, "I've got one of the guys that's been messing with
me. Do you want to watch or help?" Grimes declined to help, as did
Shaver and Eddleman. Bates drove Jenkins back to his campsite around
4:00 a.m.
At the campsite, Bates loosened the ropes on
Jenkins and began asking Jenkins who had shot into his home. Jenkins
mentioned two people who were involved, but did not say anything
else. Unsatisfied with Jenkins' response, Bates then tied Jenkins to
a tree and went to his tent to retrieve a gun that he had borrowed
from Eddleman. Bates put the gun up to Jenkins throat, but Jenkins
repeated that he did not know for sure who had shot into Bates'
home.
Bates then untied Jenkins, took him to the back of the
truck, and shot him in the neck. Jen- kins was lying face-up near
the back of the truck when Bates shot him. In his confession, Bates
said he "shot him . . . because he acted like he knew who had shot
into my house, he spit on me and told me to go to hell, and this
made me mad and I shot him."
After rummaging through Jenkins' pockets, Bates
retied Jenkins' hands and feet and loaded him into the jeep. Bates
drove back to Eddleman's house, returned Eddleman's gun, and asked,
"[w]hat do you think I should do with the body." Bates then left and
threw the body into the Yadkin River.
Later that day Bates discussed the murder with
both Eddleman and Grimes. Bates told Eddleman, "[w]ell, it don't
bother me all that bad." Bates told Grimes that he killed the victim
because he would get no more time for murder than for kidnapping.
Bates was indicted for kidnapping and murder. The
State sought the death penalty. A jury found Bates guilty of one
count of first degree murder and one count of first degree
kidnapping. He was sen- tenced to death for the first degree murder
conviction. On appeal, the North Carolina Supreme Court awarded
Bates a new trial based on an improper denial of Bates' motion for
an ex parte hearing regarding his request for funds to employ a
forensic psychologist. State v. Bates, 428 S.E.2d 693 (N.C. 1993).
Bates was retried, and a second jury found Bates guilty of one count
of first degree kidnapping and one count of first degree murder on
the basis of both the felony murder rule and premeditation and
deliberation.
During the closing argument of the penalty phase
of the second trial, the prosecutor pointed out that Jenkins' mother,
Bates' mother, and Bates' sister each cried while on the stand. The
prosecutor then asked whether the jurors saw Bates cry during the
trial, or whether Bates had presented any evidence of remorse. The
prosecutor also commented that Bates had been given the benefit of a
lengthy trial and two good lawyers who would stand up and ask the
jurors not to return the death penalty, because it was a lawyer's
job to do so.
The jury recommended the death sentence on the
basis of the kid- napping and the especially heinous, atrocious, or
cruel nature of the crime. On November 9, 1994, Judge Julius
Rousseau sentenced Bates to death for the first degree murder
conviction and to an additional forty years in prison for the
kidnapping conviction. The Supreme Court of North Carolina affirmed
the conviction and sentence, State v. Bates, 473 S.E.2d 269 (N.C.
1996), and the United States Supreme Court denied certiorari, Bates
v. North Carolina, 519 U.S. 1131 (1997).
Bates then filed a motion for appropriate relief.
The North Carolina Superior Court entered an order denying Bates'
claims, and the Supreme Court of North Carolina affirmed. State v.
Bates, 539 S.E.2d 297 (N.C. 1999).
Next, Bates filed a petition for habeas corpus in
the United States District Court for the Middle District of North
Carolina. On February 14, 2002, the district court adopted the
magistrate's recommendation to dismiss Bates' petition. Bates v.
Lee, No. 1:99CV00742 (M.D.N.C. Feb. 14, 2002). Finding no
substantial issue presented, the district court also declined to
issue a certificate of appealability. Id. Bates now appeals.
Federal
courts entertaining collateral attacks on
state convictions have only limited powers
of judicial review. See Williams v.
Taylor, 529 U.S. 362, 120 S.Ct. 1495,
146 L.Ed.2d 389 (2000). Under 28 U.S.C. §
2254(d)(1) (2002), federal courts may not
grant a writ of habeas corpus when a state
court has already resolved the merits of a
claim unless the state court's decision was
"contrary to, or involved an unreasonable
application of, clearly established Federal
law, as determined by the Supreme Court of
the United States." 28 U.S.C. § 2254(d)(1)
(2002).
A state
court decision is contrary to clearly
established federal law if the state court "applies
a rule that contradicts the governing law
set forth in [the Court's] cases" or "confronts
a set of facts that are materially
indistinguishable from a decision of the
Court and nevertheless arrives at a result
different from [its] precedent." Williams,
529 U.S. at 405-06, 120 S.Ct. 1495.
A state
court decision involves an unreasonable
application of Supreme Court precedent if
the state court "correctly identifies the
governing legal rule but applies it
unreasonably to the facts of a particular
prisoner's case," id. at 407-08, 120
S.Ct. 1495, or "was unreasonable in refusing
to extend the governing legal principle to a
context in which the principle should have
controlled." Ramdass v. Angelone, 530
U.S. 156, 166, 120 S.Ct. 2113, 147 L.Ed.2d
125 (2000) (opinion of Kennedy, J.). The
Supreme Court has stressed the importance of
the word "unreasonable" in the standard of
review. "Under § 2254(d)(1)'s `unreasonable
application' clause ... a federal habeas
court may not issue the writ simply because
that court concludes in its independent
judgment that the relevant state-court
decision applied clearly established federal
law erroneously or incorrectly. Rather, that
application must also be unreasonable."
Williams, 529 U.S. at 411, 120 S.Ct.
1495.
In this
case, Bates argues that the North Carolina
Supreme Court's decision was an unreasonable
application of clearly established federal
law because (1) the trial court erroneously
failed to instruct the jury on second degree
murder; (2) the prosecutor's closing
comments during the penalty phase violated
the defendant's Fifth Amendment right to
remain silent and his due process rights;
and (3) the jury instructions on the "heinous,
atrocious or cruel" aggravating circumstance
were vague and overbroad in violation of the
Fifth, Eighth and Fourteenth Amendments. We
address each argument in turn.
First,
Bates contends that the North Carolina
courts unreasonably applied federal law by
failing to instruct the jury on the lesser
included offense of second degree murder.
Bates argues that Jenkins provoked him to
commit the murder. This, in combination with
other circumstances in his life at the time,
constituted enough evidence to negate
deliberation, and the trial court should
have therefore instructed the jury on second
degree murder.
In capital
cases, due process requires the court to
give an instruction on any lesser included
offense when the evidence warrants such an
instruction. Beck v. Alabama, 447 U.S.
625, 637-38, 100 S.Ct. 2382, 65 L.Ed.2d 392
(1980). But "[a] defendant is not entitled
to have the jury instructed as to lesser
degrees of the crime simply because the
crime charged is murder." Briley v. Bass,
742 F.2d 155, 164 (4th Cir.1984). Instead, "due
process requires that a lesser included
offense instruction be given only when the
evidence warrants such an instruction."
Hopper v. Evans, 456 U.S. 605, 611, 102
S.Ct. 2049, 72 L.Ed.2d 367 (1982). "The
decision of whether there is enough evidence
to justify a lesser included offense charge
rests within the sound discretion of the
trial judge." United States v. Chapman,
615 F.2d 1294 (10th Cir.1980).
Further,
"[w]here ... the highest court of a state
has reviewed a defendant's request for a
lesser included offense instruction and
concluded that it is not warranted by the
evidence elicited at trial, that conclusion
is axiomatically correct, as a matter of
state law. Accordingly, the circumstances
that would induce a federal court to
overturn the state court determination would
need to be extraordinary, indeed." Bagby
v. Sowders, 894 F.2d 792, 795 (6th
Cir.1990). Because "federal habeas corpus
relief does not lie for errors of state law,"
Lewis v. Jeffers, 497 U.S. 764, 780,
110 S.Ct. 3092, 111 L.Ed.2d 606 (1990), our
only question here is whether the North
Carolina courts' finding that there was
insufficient evidence to support a second
degree murder instruction was so wrong as to
amount to a fundamental miscarriage of
justice. E.g., Nichols v. Gagnon, 710
F.2d 1267, 1269 (7th Cir.1983).
North
Carolina law recognizes three degrees of
homicide, two of which are relevant here.
Murder in the first degree is the unlawful
killing of another human being with malice
and with premeditation and deliberation. N.C.
Gen.Stat. § 14-17 (2002); State v. Watson,
338 N.C. 168, 449 S.E.2d 694, 699 (1994).
Murder in the second degree is the unlawful
killing of a human being with malice, but
without premeditation and deliberation.
State v. Duboise, 279 N.C. 73, 181 S.E.2d
393, 398 (1971).
Premeditation means that "defendant formed
the specific intent to kill the victim for
some period of time, however short, before
the actual killing. Deliberation means that
the intent to kill was formed while
defendant was in a cool state of blood and
not under the influence of a violent passion
suddenly aroused by sufficient provocation."
State v. Misenheimer, 304 N.C. 108,
282 S.E.2d 791, 795 (1981) (citations
omitted).
North
Carolina courts consider several factors in
determining the existence of premeditation
and deliberation, including (1) provocation
by the deceased; (2) the defendant's conduct
and statements before and after the killing;
(3) "threats and declarations of the
defendant before and during the course of
the occurrence giving rise to the death of [the]
deceased"; (4) "ill-will or previous
difficulty between the parties"; (5) "the
dealing of lethal blows after the deceased
has been felled and rendered helpless"; and
(6) "evidence that the killing was done in a
brutal manner." State v. Fisher, 318
N.C. 512, 350 S.E.2d 334, 338 (1986).
Provocation by the deceased can negate
deliberation, so long as it is strong "enough
to arouse a sudden and sufficient passion in
the perpetrator...." State v. Salmon,
140 N.C.App. 567, 537 S.E.2d 829, 834
(2000). However, "[i]f the State's evidence
establishes each and every element of first-degree
murder and there is no evidence to negate
these elements, it is proper for the trial
court to exclude second-degree murder from
the jury's consideration." State v.
Flowers, 347 N.C. 1, 489 S.E.2d 391, 407
(1997).
Bates
argues that two circumstances negate the
element of premeditation and deliberation.
First, he contends that the circumstances of
his life at the time of the murder
demonstrate that he was distressed and thus
unable to form the mental state to commit
first degree murder. Bates points out that
he had been recently estranged from his wife,
that someone had broken into and shot at his
home, and that he believed Jenkins was
setting him up. Second, Bates argues that
his confession, where he stated that Jenkins
made him mad by spitting on and cursing at
him, in combination with the circumstances
of his life at the time, negates
deliberation. Bates, however, misinterprets
the quantum of evidence necessary to negate
this element.
Under
North Carolina law, a showing of mere anger
is not sufficient to prove that a defendant
lost his ability to reason and thus to
negate deliberation. "Anger and emotion
frequently coincide with murder, but a court
should instruct on murder in the second
degree only when the evidence would permit a
reasonable finding that the defendant's
anger and emotion were strong enough to
disturb the defendant's ability to reason."
State v. Perry, 338 N.C. 457, 450 S.E.2d
471, 474 (1994).
Bates
introduced evidence that he was angry and
distressed before the killing occurred. He
did not, however, introduce any evidence
tending to show that his ability to reason
had been disturbed. In fact, Bates'
confession tends to contradict that
inference. Bates clearly states in his
confession that when he brought Jenkins back
to his campsite he "was not drunk or doing
drugs at the tim[e]. I knew what was going
on." Nothing in his confession suggests that
Bates lost the ability to formulate rational
thought.
Furthermore, the uncontroverted evidence at
trial demonstrates premeditation and
deliberation. The factors that North
Carolina courts use in evaluating the
existence of premeditation and deliberation
strongly suggest their existence here. Bates
relies on the first factor, provocation by
the deceased, to negate deliberation. He
ignores, however, the evidence demonstrating
that before Jenkins spat on and cursed at
him, Bates had already kidnapped, hogtied,
and then beat and questioned Jenkins for a
period of several hours.
Furthermore, Bates' conduct prior to and
after the killing overwhelmingly supports
the existence of premeditation and
deliberation. Prior to the killing Bates
told Shaver that he could kill someone, and
then repeatedly told his friends that
something would be "going down." After the
murder, Bates told Grimes that he killed
Jenkins because Bates couldn't let Jenkins
live after Bates tortured him, and that he
would get no more time for murder than for
kidnapping. These statements contradict any
suggestion that Bates shot Jenkins because
Jenkins made him so angry that he lost the
ability to reason. In fact, they suggest
just the opposite — that the murder
was a calculated act, however twisted that
calculus might be.
We
acknowledge that under North Carolina law
provocation by the deceased can suffice to
negate deliberation. See State v. Watson,
338 N.C. 168, 449 S.E.2d 694, 700 (1994).
The North Carolina courts found that it did
not, however, suffice in this case. The sole
evidence Bates offers to support a second
degree murder instruction is his statement
that the victim spat on and cursed at him
which made him mad. That evidence does not
tend to establish that his ability to reason
had been disturbed. Furthermore, Bates'
confession, where Bates states that the
victim was lying on his back face-up when he
shot him, suggests that there was some
period of time between the alleged
provocation and the actual murder.
Nothing in
the North Carolina jury instructions
approached a due process violation. And
while the parties argue extensively over
state law, "[i]t is not the province of a
federal habeas court to reexamine state-court
determinations on state-law questions."
Estelle v. McGuire, 502 U.S. 62, 67-68,
112 S.Ct. 475, 116 L.Ed.2d 385 (1991).
Beck requires a trial court to give a
lesser included offense instruction when the
evidence so warrants.
The North
Carolina trial court, in the face of
overwhelming evidence of premeditation and
deliberation, reasonably determined that
under North Carolina law the evidence did
not warrant such an instruction. Thus, we
must reject Bates' argument and hold that
the North Carolina Supreme Court did not
unreasonably apply the relevant Supreme
Court precedent to the facts of this case.
Next,
Bates argues that the prosecutor's closing
arguments at sentencing violated his Fifth
Amendment right to remain silent and his due
process rights. We also review these claims
for whether the North Carolina Supreme
Court's decision was contrary to, or an
unreasonable application of, clearly
established Federal law. See Williams v.
Taylor, 529 U.S. 362, 120 S.Ct. 1495,
146 L.Ed.2d 389 (2000).
Bates made
no objection at any time to the
prosecution's sentencing argument. He
contends, however, that the trial court
erred by failing to intervene ex mero
motu to prevent the prosecutor from
commenting on his right to remain silent.
Bates contends that by pointing out to the
jury that other witnesses in the case had
gotten on the stand and cried, and then
asking the jurors whether they had observed
Bates crying, the prosecutor implicitly
argued that Bates should have testified.
The
Constitution "forbids either comment by the
prosecution on the accused's silence or
instructions by the court that such silence
is evidence of guilt." Griffin v.
California, 380 U.S. 609, 615, 85 S.Ct.
1229, 14 L.Ed.2d 106 (1965); Doyle v.
Ohio, 426 U.S. 610, 96 S.Ct. 2240, 49
L.Ed.2d 91 (1976). A prosecutor improperly
comments on the defendant's failure to
testify when "the language used [is]
manifestly intended to be, or ... [is] of
such character that the jury would naturally
and necessarily take it to be a comment on
the failure of the accused to testify."
United States v. Anderson, 481 F.2d 685,
701 (4th Cir.1973), aff'd, 417 U.S.
211, 94 S.Ct. 2253, 41 L.Ed.2d 20 (1974).
During the
sentencing portion of the trial, the
prosecutor argued:
Have you
heard any evidence at all that the Defendant
is sorry for what he did? Think about that
for a minute. Any evidence at all that he's
sorry?
...
[H]e was
bragging about ... bragging about throwing
this body in the river. Bragging. Is he
sorry?
When he
said to Hal, "It doesn't bother me. I[t]
doesn't bother me," was he sorry. When he
talked to Gary Shaver, "Chill out. Don't
worry about it. I don't."
...
You saw
three women get on the stand and cry. You
saw [the victim's mother], and briefly ...
she lost her composure, and she cried. Did
the Defendant shed any tears as she cried?
Anybody look? Did you see any show of
emotion of him as she cried for the loss of
her son.
[The
defendant's] mother, his own mother got on
the stand and cried. Any tears over there?
Did you see any?
[The
defendant's] sister, who's done so well. She
cried for her brother. Did he? Did he cry
for what he'd done to her? For what he'd
done to Charlie?
We do not
think this closing argument, pungent though
it was, violated the defendant's Fifth
Amendment right to remain silent at
sentencing. And in so holding, the North
Carolina Supreme Court did not unreasonably
apply clearly established federal law. This
court has found that prosecutorial comments
about the lack of remorse demonstrated by a
defendant's demeanor during trial do not
violate a defendant's Fifth Amendment right
not to testify. Howard v. Moore, 131
F.3d 399, 421 (4th Cir.1997); Gaskins v.
McKellar, 916 F.2d 941, 951 (4th
Cir.1990); see also Six v. Delo, 94
F.3d 469, 476-77 (8th Cir.1996).
The
prosecutor's comments in this case fall
within the scope of Howard and
Gaskins. The prosecutor never commented
directly or indirectly on Bates' failure to
testify. Rather, as the Supreme Court of
North Carolina observed, "the prosecutor
commented on the demeanor of the defendant,
which was before the jury at all times. Such
statements are not comparable to those which
this Court has previously held to be
improper comments on a defendant's failure
to testify." State v. Bates, 343 N.C.
564, 473 S.E.2d 269, 281 (1996) (internal
citation omitted). Moreover, reference to
Bates' remarks immediately following the
murder constituted nothing more than a
repetition of the evidence already presented
at trial.
Bates'
reliance on Lesko v. Lehman, 925 F.2d
1527 (3d Cir.1991), is misplaced. In
Lesko, the prosecutor asked the jury to
consider Lesko's arrogance on the witness
stand and argued that Lesko did not even
have the "common decency to say I'm sorry
for what I did." Id. at 1544. The
Third Circuit judged this an impermissible
comment on Lesko's failure to testify
because it suggested that Lesko had an
obligation to address the charges against
him. Id. at 1544-45. No such thing
happened here. As the magistrate judge noted,
while comments on what the defendant "failed
to say may very well penalize a defendant
for exercising his right to remain silent
... asking the jury whether the evidence
presented of [Bates'] demeanor during trial
shows remorse ... does not." Bates v.
Lee, No. 1:99CV00742.
Bates was
not, of course, obligated to show remorse
for his murder of Jenkins either before or
during trial. However, the absence of any
indication of contrition on his part for the
taking of another human life was not beyond
the range of prosecutorial comment during
sentencing. Since this court has already
determined in Howard and Gaskins
that comments referring to a defendant's
demeanor during trial do not violate the
Fifth Amendment, we find that the North
Carolina courts' application of Griffin
and Doyle was not unreasonable.
Next,
Bates argues that the prosecutor's rhetoric
at sentencing deprived him of a fair trial.
Specifically, Bates argues that the
prosecutor commented on the exercise of his
right to counsel and his right to a jury
trial in a manner which penalized him for
exercising those rights. Furthermore, Bates
argues that the prosecutor improperly
discredited defense counsel in a way that
also caused severe prejudice.
In
considering Bates' argument, we first
recognize that prosecutors enjoy
considerable latitude in presenting
arguments to a jury, Sizemore v. Fletcher,
921 F.2d 667, 670 (6th Cir.1990), because "the
adversary system permits the prosecutor to `prosecute
with earnestness and vigor.'" United
States v. Young, 470 U.S. 1, 7, 105 S.Ct.
1038, 84 L.Ed.2d 1 (1985) (quoting Berger
v. United States, 295 U.S. 78, 88, 55
S.Ct. 629, 79 L.Ed. 1314 (1935)).
Committed
advocates do not always present antiseptic
closing statements, and the jury is
entrusted within reason to resolve such
heated clashes of competing views. Moreover,
the scope of our review is narrow, because "not
every trial error or infirmity which might
call for application of supervisory powers
correspondingly constitutes a `failure to
observe that fundamental fairness essential
to the very concept of justice.'"
Donnelly v. DeChristoforo, 416 U.S. 637,
642, 94 S.Ct. 1868, 40 L.Ed.2d 431 (1974) (quoting
Lisenba v. California, 314 U.S. 219,
236, 62 S.Ct. 280, 86 L.Ed. 166 (1941)).
Thus, our
review is limited to whether the comments
rendered the proceeding so fundamentally
unfair as to constitute a denial of due
process. Donnelly, 416 U.S. at 643,
94 S.Ct. 1868. This determination requires
us to look at "the nature of the comments,
the nature and quantum of the evidence
before the jury, the arguments of opposing
counsel, the judge's charge, and whether the
errors were isolated or repeated." Boyd
v. French, 147 F.3d 319, 329 (4th
Cir.1998) (internal quotation marks omitted).
Bates
attacks the following portion of the
prosecutor's argument:
The
Defendant sits here today with the benefit
of, all the benefit we can give him that
this system has to grant a person on trial.
He gets all the ordinary benefits of this
system, and it's not perfect, but it's as
good as we could do. He sits here and he has
this benefit. He has the benefit of a
lengthy trial. He has the benefit of placing
the burden of beyond a reasonable doubt on
the shoulders of the State and say, "Here
carry it. And, carry it straight up that
mountain."
...
He's been
given the benefit of two lawyers, two good
lawyers, two good men, who will stand in a
moment and talk to you, and ask you not to
return the death penalty. That's their job.
...
Did [the
victim] have a trial? ... But, did, did [the
victim] have the benefit of people getting
up and begging for his life?
These
comments did not run afoul of the due
process clause. They were based upon facts
established during trial or were aspects of
the trial which were readily apparent to the
jurors. That Bates had received the benefit
of a lengthy trial and two good lawyers was
obvious to everyone. And although we
recognize the impropriety of a prosecutor
vouching for a witness or impugning the
ethics of defense counsel, we do not have
that situation here. See United States v.
Moore, 710 F.2d 157, 159 (4th Cir.1983)(noting
that improper prosecutorial comment might
mislead the jury into thinking the
prosecution obtained extra-judicial
information not available to the jury). Here,
the prosecutor's comments were not
misleading and thus not prejudicial either.
Even if we
assumed arguendo that the prosecutor's
comments at sentencing were improper, we
cannot ignore the fact that Bates at no time
objected to them. Moreover, the evidence of
both the nature of the crime and the fact
that Bates committed it was overwhelming.
Given the indisputably gruesome
circumstances attending the murder and the
fact that Bates indisputably committed it,
any denial of fundamental fairness from
prosecutorial comments seems highly unlikely.
See, e.g., Bennett v. Angelone, 92
F.3d 1336, 1345-47 (4th Cir.1996).
The trial
judge also instructed the jurors to consider
the evidence for themselves rather than to
rely on the arguments of the attorneys, thus
curing any possible improprieties in the
prosecutor's statements. Finally, the
remarks were not pervasive, comprising only
one and one half pages of the prosecutor's
twenty-seven page argument. The North
Carolina Supreme Court, "[a]fter carefully
reviewing the prosecutor's argument in its
entirety ... conclude[d] that it was not so
grossly improper as to have necessitated
intervention ex mero motu by the
trial court." State v. Bates, 473 S.E.2d
at 284. Under the circumstances, we cannot
hold that this was an unreasonable
application of clearly established federal
law.
Bates
argues finally that the jury instructions on
the "heinous, atrocious or cruel"
aggravating circumstance were vague and
overbroad in violation of the Fifth, Eighth
and Fourteenth Amendments. We also review
this claim for whether the state court
adjudication resulted in a decision that was
contrary to, or involved an unreasonable
application of, clearly established federal
law as determined by the United States
Supreme Court. Williams v. Taylor,
529 U.S. at 413, 120 S.Ct. 1495; 28 U.S.C. §
2254(d)(1).
It has
long been settled that a state's capital
sentencing scheme must be tailored to avoid
the arbitrary and capricious infliction of
the death penalty. Furman v. Georgia,
408 U.S. 238, 92 S.Ct. 2726, 33 L.Ed.2d 346
(1972). Thus, a state must "define the
crimes for which death may be the sentence
in a way that obviates `standardless [sentencing]
discretion.'" Godfrey v. Georgia, 446
U.S. 420, 428, 100 S.Ct. 1759, 64 L.Ed.2d
398 (1980) (quoting Gregg v. Georgia,
428 U.S. 153, 196 n. 47, 96 S.Ct. 2909, 49
L.Ed.2d 859 (1976)). A state does so by
providing "a meaningful basis for
distinguishing the few cases in which [the
penalty] is imposed from the many cases in
which it is not." Gregg, 428 U.S. at
188, 96 S.Ct. 2909 (quoting Furman,
408 U.S. at 313, 92 S.Ct. 2726 (White, J.,
concurring)).
In the
case of statutory aggravating circumstances
in a capital punishment scheme, the Supreme
Court has held that, standing alone, an
instruction to determine whether the murder
was "especially heinous, atrocious, or
cruel," runs afoul of the Eighth Amendment
prohibition against the imposition of cruel
and unusual punishments. Maynard v.
Cartwright, 486 U.S. 356, 108 S.Ct.
1853, 100 L.Ed.2d 372 (1988). However, an
unconstitutionally vague statutory
circumstance can be cured by an accompanying
limiting instruction which does provide
sufficient guidance. See Shell v.
Mississippi, 498 U.S. 1, 3, 111 S.Ct.
313, 112 L.Ed.2d 1 (1990) (Marshall, J.,
concurring); Walton v. Arizona, 497
U.S. 639, 653, 110 S.Ct. 3047, 111 L.Ed.2d
511 (1990), overruled in part by Ring v.
Arizona, ___ U.S. ___, 122 S.Ct. 2428,
153 L.Ed.2d 556 (2002).
Thus,
since the Supreme Court has already
determined that the "especially heinous,
atrocious, or cruel" language alone violates
the Eighth Amendment, we must now "determine
whether the state courts have further
defined the vague terms and, if they have
done so, whether those definitions are
constitutionally sufficient, i.e., whether
they provide some guidance to the
sentencer." Walton, 497 U.S. at 653,
110 S.Ct. 3047.
With these
principles in mind, we turn to the
instruction given by the trial court at the
conclusion of the sentencing phase of Bates'
trial. Under North Carolina law, a person
may be sentenced to death if the jury finds,
as an aggravating circumstance, that "the
capital felony was especially heinous,
atrocious, or cruel." N.C. Gen.Stat. §
15A-2000(e)(9) (2002). The trial court
instructed the jury as follows:
Was this
murder especially heinous, atrocious or
cruel?
Now,
ladies and gentlemen, in this context,
heinous means extremely wicked or shockingly
evil. Atrocious means outrageously wicked
and vile. And, cruel means designed to
inflict a high degree of pain with utter
indifference or even enjoyment of the
suffering of others.
However,
it's not enough that this murder be heinous,
atrocious or cruel, as those terms have just
been defined to you, this murder must have
been especially heinous, atrocious or cruel.
And, not every murder is especially so.
For this
murder to have been especially heinous,
atrocious or cruel, any brutality which [was]
involved in it, must have exceeded that
which is normally present in any killing ...
or this murder must have been a
conscienceless or pitiless crime, which was
unnecessarily torturous to the victim.
This court
recently considered an Eighth Amendment
challenge to precisely the same aggravating
circumstance instruction in Fullwood v.
Lee, 290 F.3d 663 (4th Cir.2002). There,
we concluded that the North Carolina Supreme
Court's rejection of the challenge was
neither contrary to nor an unreasonable
application of clearly established Supreme
Court precedent. Id. at 694.
We further
noted that this court had recently rejected
that argument in two other capital cases
involving the same North Carolina statutory
aggravating circumstance. Id. (citing
Fisher v. Lee, 215 F.3d 438, 457-59
(4th Cir.2000), and Frye v. Lee, 235
F.3d 897, 907-08 (4th Cir.), cert. denied,
533 U.S. 960, 121 S.Ct. 2614, 150 L.Ed.2d
769 (2001)). Given our recent consideration
of this issue, we reiterate that the North
Carolina Supreme Court decision was neither
contrary to nor an unreasonable application
of clearly established Supreme Court
precedent.
For the
foregoing reasons, the judgment of the
district court is