826 F.2d 1354
Earl CLANTON, Plaintiff-Appellee,
v.
Toni V. BAIR, Warden; Attorney General of the State of Virginia,
Defendants- Appellants (Two Cases).
Earl CLANTON, Plaintiff-Appellant
v.
Toni V. BAIR, Warden; Attorney General of the State of Virginia,
Defendants- Appellees.
Nos. 86-4002 to 86-4004.
United States Court of Appeals,
Fourth Circuit.
Argued Jan. 6, 1987.
Decided Aug. 20, 1987.
Before HALL and WILKINSON,
Circuit Judges, and HAYNSWORTH, Senior Circuit Judge.
HAYNSWORTH, Senior Circuit
Judge:
Clanton, a prisoner of the
Commonwealth of Virginia under a sentence of death for capital
murder, sought a federal writ of habeas corpus. There were many
allegations of deficiencies in the representation provided by
his trial lawyer. The district court rejected most of them
facially, but conducted a hearing with respect to two of them.
It then granted the writ upon the ground of inadequate
preparation of the trial lawyer for the sentencing phase of the
trial. 638 F.Supp. 1090.
The specific finding was
that the lawyer had failed to insist upon a psychiatric
examination of his client, an examination which might have
disclosed extensive child abuse that Clanton had disclosed for
the first time to his habeas lawyer shortly before the federal
hearing. Clanton has cross-appealed from the order denying the
writ upon two other alleged deficiencies in the representation
provided by the trial lawyer.
We find no deficiency of
constitutional magnitude in the representation by the trial
lawyer, and reverse the order granting the writ. On Clanton's
cross-appeal, we affirm.
Many of the factual
references are taken from the comprehensive opinion of the
Supreme Court of Virginia when it had Clanton's conviction and
sentence under direct review. Clanton v. Commonwealth, 223 Va.
41, 286 S.E.2d 172 (1982).
I.
Clanton's parents separated
when he was very young. For a number of years he lived with his
father, but then went to New Jersey to live with his mother. He
was soon in trouble with the juvenile authorities, and, at age
seventeen, was convicted in New Jersey of murder upon a plea of
no contest.
When he was paroled after
serving a number of years in prison, he returned to Petersburg,
Virginia where his mother was then living. Soon again he was in
trouble and was brought to trial for unlawful injury to one
Bruce Brown whom Clanton had beaten with brass knuckles on his
fist.
During a recess in the
trial, Clanton walked away and became a fugitive. The trial
concluded in his absence, and he was sentenced to four years in
prison upon a judgment of conviction.
Clanton then moved into the
apartment of Natalie Lawrence. The door to her apartment opened
upon the same stairway landing as that of Wilhemina Smith.
Shortly after noon on a
November day in 1980, residents of two apartments on the floor
below saw Wilhemina Smith drive into the parking lot after a
shopping trip. When she reached the top of the stairs at the
entrance to her apartment, both residents heard her say
something to the effect of, "What have I done to you? Why this?"
They heard the door slam and then screams from Ms. Smith and
much other noise coming from her apartment. One of the residents
then called the police. They saw no one descend the stairs
between the time that Wilhemina Smith mounted them and the
arrival of the police.
Upon arrival, the police
found the door to Ms. Lawrence's apartment ajar. They looked in,
but no one was present. They then knocked on the door of Ms.
Smith's apartment. A woman answered saying that she was in the
shower and it would take her a few minutes to get dressed. The
police were insistent, however, and the locked door was opened
by Natalie Lawrence.
The police found blood in
the living room of Ms. Smith's apartment. They found Ms. Smith
dead on the floor of her bedroom. Death was by strangulation
with a cord-like belt around her neck. There were also stab
wounds on her face and neck with a great deal of blood.
A further search of the
apartment revealed Clanton hiding beneath the bed in a second
bedroom. There was blood on his hands and clothing, though he
was not wounded or bleeding. Four bills, aggregating $8, were
found wadded in his trouser pocket. There were blood stains on
them. Ms. Smith's open purse was found, apparently having been
ransacked. There were no bills in it.
Clanton insisted that he
was innocent and that he wanted to tell his story on the witness
stand. It was a bizarre story.
According to Clanton, he
and Ms. Lawrence were in her apartment when they heard Ms. Smith
screaming. Ms. Lawrence urged him to lend a hand to Ms. Smith,
and he undertook to do so. In the living room of the Smith
apartment he was attacked by an intruder. They fought until the
intruder fled through the apartment door.
He then entered Ms. Smith's
bedroom where he saw Ms. Smith lying on the floor stabbed and
garrotted. He got blood on his hands and clothing during his
attempt to assist her, but he was then attacked by a second
intruder. He fought with the second man. His bloody handprint
was left on a wall when he "pushed off" to deliver a karate kick.
The second intruder fled.
Clanton testified that he
wished to notify a relative of Ms. Smith. He thought her
checkbook might be an address book and picked it up to examine
it. That was his explanation of his bloody fingerprint on the
checkbook.
When the police arrived and
demanded admittance, Clanton hid beneath the bed in the other
bedroom because he was a fugitive and wished to avoid being
discovered by the police.
Natalie Lawrence was called
as a witness for the defense to corroborate his statement. She
substantially did that.
According to Ms. Lawrence,
after hearing Ms. Smith's screams she first went to investigate.
She found the key in the door to Ms. Smith's apartment and
admitted herself, but because of the commotion in the bedroom,
she returned to her apartment and sent Clanton to the rescue.
Looking through the
peephole in the doorway of her apartment, she saw an intruder
flee. As she reentered the Smith apartment, a second intruder
fled.
Ms. Lawrence had given the
police a statement in which she had said that Clanton was the
assailant and that he had told her in advance of his intention
to choke and rob Ms. Smith. On the witness stand, she said the
statement was false, as the product of police coercion,
including threats to take her child from her.
II.
After the jury's guilty
verdict, during the sentencing phase of the proceeding, Clanton
testified that he had been a Muslim but that during his
incarceration after the death of Ms. Smith he had been attending
Christian Bible classes. He produced certificates attesting his
attendance.
That was the only evidence
of any mitigating circumstance.
III.
Clanton's trial lawyer knew
that Clanton's parents had separated when Clanton was very young
and that, after having lived with his father for a number of
years, Clanton moved to New Jersey to live with his mother.
Clanton told him that otherwise his childhood had been
substantially normal.
Clanton told the officer
who had made the presentence investigation that his childhood
had been good, and that statement was included in the
presentence report. At the sentencing hearing, Clanton gave no
indication of any problems at home during his childhood.
Shortly before the federal
hearing, however, Clanton told his habeas lawyer a different
story. He was frequently beaten by his father and sexually
abused by his father's paramour. When he went to live with his
mother, she was working as a barmaid and prostitute. She was
home infrequently, and, when she was, she usually had some man
with her. She became angry with Clanton when he refused to have
sexual relations with her, and falsely charged him with theft, a
charge which got him in trouble with the juvenile authorities.
The district court
recognized that this new story of Clanton's childhood may have
been more a product of fear of execution than of devotion to
truth. The district court also recognized that Clanton would not
have told his trial lawyer all these things no matter how deeply
the trial lawyer probed.
Nothing was presented in
corroboration of any aspect of the new story. By that time,
Clanton's father was dead, but the mother was living in
Petersburg. No one inquired of her. There were several living
siblings, but no one inquired of any one of them.
Nevertheless, the district
court concluded that a psychiatrist, during a thorough
psychiatric evaluation, might have uncovered the child abuse
that Clanton had endured and been able to present it in some
credible fashion.
The trial lawyer had told
Clanton that a psychiatric evaluation might be helpful, but
Clanton obstinately rejected the suggestion. He would not
consent to any such evaluation.
The trial lawyer did not
interview Clanton's mother or his siblings in search of evidence
of some mitigating circumstance, but, according to the attorney,
Clanton was insistent that they not be involved. Clanton
particularly wished to avoid any inquiry of his mother. His
position was that he was not the murderer of Ms. Smith, and he
wished to stand upon his innocence.
Impressed with the fact
that the only mitigating circumstance presented during the
sentencing phase of the hearing was Clanton's attendance, while
incarcerated, at the Christian Bible study classes, the district
court concluded that the trial lawyer's preparation for the
sentencing stage of the proceeding was inadequate and
insufficient.
The court thought that the
lawyer might have been more insistent upon his recommendation of
a psychiatric evaluation, for it offered the best or only chance
of uncovering the abuse suffered by Clanton during his childhood
that may have warped his personality. He might have interviewed
Clanton's mother and siblings despite his client's wishes. What
such inquiries might have disclosed is unknown, except that his
mother testified at the state habeas hearing that Clanton had
helped her raise his younger siblings. She gave no indication of
any problems with Clanton other than an occasional larceny and
addiction to drugs at one time.
His brother testified at
the same hearing that after Clanton's return to Petersburg from
prison in New Jersey he had worked with youngsters in athletic
pursuits. That interval was shortlived, of course, for it ended
with Clanton's vicious attack with the brass knuckles upon Brown.
Clanton's new version of
his childhood is entirely uncorroborated. His father had died,
but his mother and siblings are still living. Apparently, no one
sought any information from them. The new story is flatly
contradicted, of course, by what Clanton told his trial lawyer
and the author of the presentence report, the accuracy of which
Clanton affirmed in open court.
If there is any kernel of
truth in the new story, one may wonder why Clanton did not tell
it sooner. There may have been some reluctance in telling others
that his mother had been a prostitute and had harbored
incestuous desires so strongly she falsely charged her young son
with theft when he declined to satisfy her wishes. The father is
dead now, however, and there is no apparent reason for
reluctance in telling of mistreatment by his deceased father and
his father's paramour.
Whether or not there is any
kernel of truth in Clanton's current story of child abuse, he
gave his trial lawyer no intimation of it. Indeed, he told the
trial lawyer that, except for having been shuttled from one
parent to the other, his childhood had been essentially normal.
He told the author of the presentence report the same thing. The
only apparent reason for the lawyer's suggestion of a
psychiatric evaluation appears to have been that Clanton has
some history of criminality and violence.
The history of violence,
however, was not overwhelming. According to Clanton, his role in
the capital murder in New Jersey was service as a lookout. That
it was not he who had done the actual slaying is strongly
suggested by the fact that his plea of no contest was accepted
and a relatively short prison sentence was imposed. His use of
brass knuckles in his thrashing of Brown was violent, but not
necessarily life threatening and he stoutly contended that he
had not attacked and murdered Ms. Smith. If one believed his
version of the death of Ms. Smith, Clanton's history of violence
would not be egregious.
IV.
The standard for an
assessment of a claim of ineffective assistance of counsel as a
deprivation of the constitutional right to counsel is derived
from Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80
L.Ed.2d 674 (1984). To prevail, the claimant must show
inadequate representation, as measured by a standard of
reasonably effective assistance under the circumstances,
resulting in prejudice to the claimant, Id. 466 U.S. at 687, 104
S.Ct. at 2064.
There is a strong
presumption that the performance of trial counsel was adequate,
and courts are to avoid the use of hindsight to elevate a
possible mistake into a deficiency of constitutional proportion.
Id. at 689, 104 S.Ct. at 2065; Roach v. Martin, 757 F.2d 1463,
1476-77 (4th Cir.), cert. denied, 474 U.S. 865, 106 S.Ct. 185,
88 L.Ed.2d 154 (1985). See Burger v. Kemp, --- U.S. ----, 107
S.Ct. 3114, 97 L.Ed.2d 638 (1987).
When Clanton rejected his
trial lawyer's suggestion of a psychiatric evaluation, there was
no basis for the lawyer's insistence upon it. Clanton seemed
lucid and rational. He gave no indication of any mental or
emotional problem. There was no doubt of his competence to stand
trial and nothing suggestive of a possible defense of insanity
at the time of commission of the murder.
That the trial lawyer knew
that Clanton as a boy had been shuffled from the custody of one
parent to that of another is much too slender a reed upon which
to require that the lawyer's suggestion of psychiatric
evaluation be pressed to the point of stout insistence. Clanton
talked to the lawyer about his childhood, with no suggestion of
abuse, and he told the probation officer that his youth had been
basically good. When a seemingly lucid and rational client
rejects the suggestion of a psychiatric evaluation and there is
no indication of a mental or emotional problem, a trial lawyer
may reasonably forego insistence upon an examination. See
Proffitt v. United States, 582 F.2d 854, 858-59 (4th Cir.1978);
United States ex rel. Rivera v. Franzen, 794 F.2d 314, 316-17
(7th Cir.), cert. denied, ------ U.S. --------, 107 S.Ct. 588,
93 L.Ed.2d 590 (1986). There is no constitutional basis for a
rule that would require a psychiatric evaluation in every
capital case. See Springer v. Collins, 586 F.2d 329, 332-33 (4th
Cir.1978), cert. denied, 440 U.S. 923, 99 S.Ct. 1252, 59 L.Ed.2d
477 (1979); cf. Ake v. Oklahoma, 470 U.S. 68, 105 S.Ct. 1087, 84
L.Ed.2d 53 (1985).
The district court relied
upon our unpublished decision in Clark v. Townley, 791 F.2d 925
(4th Cir.1986), but that case does not support the district
court's conclusion in this case. As here, Clark was charged with
a capital offense and his trial attorney failed to pursue
psychiatric evidence. Clark's lawyer, however, had a
psychiatrist's report calling attention to possible mental and
emotional problems of Clark and recommending that he be given a
more thorough examination.
Clark admitted the killing
and felt no remorse about it. He had done it for the money, the
excitement and the thrill. The only possible defensive tactic
was further pursuit of the psychiatrist's recommendation of a
more thorough examination of Clark's mental and emotional
condition. Clark's case was nothing like this one.
In this case, the trial
lawyer had no reason to foresee that his client might change his
story of his childhood to one of parental abuse. Had the
attorney done so, he could have done more than he did to flush
the matter out before trial, but there was no reason to foresee
such an eventuality.
The lawyer may have had
reason to doubt his client's version of the slaying of Ms. Smith,
but he had no reason to doubt the truthfulness of his client's
statements to him and to the probation officer about his
childhood history. If we now assume that Clanton, before trial,
was lying about his childhood history, the lawyer had no reason
to suspect it; if we assume that he was being truthful then, no
psychiatrist could have ferreted out the later lie.
We find no deficiency in
the lawyer's performance.
V.
There is no merit in the
cross-appeal.
A.
Plaintiff contends that his
trial lawyer's performance was so deficient as to be
constitutionally inadequate because he called Ms. Lawrence as a
witness. The lawyer's only reasonable option, however, was to do
what he did.
Clanton was insistent upon
his right to tell his story from the witness stand. By his own
testimony, Ms. Lawrence was in the Smith apartment before him,
and the police had testified that it was Ms. Lawrence who sought
to delay their entry into the Smith apartment and then admitted
them. Since the jurors knew that Ms. Lawrence had been present,
it would have been disastrous if the defense had not presented
Ms. Lawrence as a corroborating witness or demonstrated the
impossibility of her presentation.
The trial lawyer knew of Ms.
Lawrence's prior inconsistent statements. He knew that she would
be a weak witness because her credibility would be suspect. He
told Clanton so. Prudently, on direct examination, he asked Ms.
Lawrence about one of the prior inconsistent statements.
She admitted that she had
made the statement and sought to explain it as the product of
coercion, including threats to take her child away from her. It
was better that way, instead of leaving the matter of
inconsistent statements to be brought out on cross-examination.
Clanton contends that Ms.
Lawrence's statement to the police, that Clanton had told her
that morning that he was going to choke and rob Ms. Smith, was
the only evidence of premeditation, but that simply is not true.
The residents of the floor below heard the confrontation on the
stairway landing as Ms. Smith returned from her shopping trip.
Her inquiry, "What have I done to you," strongly suggests that
the confrontation was threatening.
The attack occurred inside
her apartment in the living room and in her bedroom, and the
residents below had testified to hearing her initial screams and
the later tumult. There is no room for a suggestion that she
enticed her assailant into her apartment, or provoked the attack
by aggressive action on her part. Everything points to the fact
that she was a passive victim of an assailant bent upon robbing
and injuring her.
Furthermore, premeditation
may be established by showing that the intention to kill existed
only a moment before the act. Peterson v. Commonwealth, 225 Va.
289, 302 S.E.2d 520, 524, cert. denied, 464 U.S. 865, 104 S.Ct.
202, 78 L.Ed.2d 176 (1983). See also Clozza v. Commonwealth, 228
Va. 124, 321 S.E.2d 273, 279 (1984), cert. denied, 469 U.S.
1230, 105 S.Ct. 1233, 84 L.Ed.2d 370 (1985).
B.
Clanton also faults the
trial lawyer for not having moved for a directed verdict of
acquittal on the robbery charge at the close of the
Commonwealth's case. He asserts that the prosecution failed to
prove that he took something of value from Ms. Smith, an element
necessary for robbery, and in turn, capital murder.
One of the policemen
testified that the wadded up $5 bill and the three $1 bills were
removed from the left front pocket of Clanton's trousers. There
were bloodstains on the bills, but none on the interior of the
left front trouser pocket.
This is suggestive of
nothing, however, for the light bloodstains could have been on
the bills before they were wadded up and placed in the pocket,
and the wad could have been placed without necessarily soiling
the pocket. If the wadded bills did come from the left front
pocket, it would demolish Clanton's contention that the wad was
in his pocket all the while and became bloodstained by seepage
through his clothing. Blood had seeped through his clothing to
stain the inside of the right front pocket, but the policeman's
testimony that they were retrieved from the left front pocket is
entirely consistent with the prosecution's case.
Moreover, substantial
evidence supports the inference that the money came from Ms.
Smith's purse. She had just returned from a shopping trip. Her
open purse was found on the floor. Apparently it had been
ransacked, but it contained no money. Clanton was not bleeding,
but he had Ms. Smith's blood all over him. His fingerprint in
blood was left on her checkbook, and it is reasonable to believe
that the money became lightly stained as he handled it before
placing it in his pocket.
We see no obvious basis for
a motion of acquittal, and no basis for a conclusion that the
trial lawyer's representation was deficient for not having made
such a motion.
VI.
Since we find no basis for
a conclusion that the trial lawyer's performance was deficient
in any way, we reverse the judgment of the district court
directing issuance of the writ unless the Commonwealth affords
Clanton a new sentencing hearing.
REVERSED IN PART; AFFIRMED
IN PART.