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The sentencing judge found
three aggravating factors were present in the case:
(1) Clark created a grave risk
of death to Mrs. Thumm after he first shot Mr. Thumm in the
hallway of their home, Ariz.Rev.Stat. Sec. 13-902(F)(3);
(2) Clark murdered the Thumms
with the expectation of receiving some pecuniary gain--credit
cards, jewelry and an automobile, Ariz.Rev.Stat. Sec.
13-902(F)(5); and
(3) Clark committed the
offenses in an especially cruel and depraved manner,
Ariz.Rev.Stat. Sec. 13-902(F)(6).
In mitigation, Clark asserted
that he was only twenty years old at the time of the crimes, had
a poor home life during his formative years, lacked any adult
criminal record, suffered emotional problems stemming from his
antisocial personality, and had been cooperative with the police.
The sentencing judge found the mitigating factors not
sufficiently substantial to warrant leniency and sentenced Clark
to death on each of the four counts.
A. Procedural History
Clark filed a direct appeal
with the Arizona Supreme Court. That court found that the first
aggravating circumstance was not present because Mrs. Thumm was
actually in another room at the time Mr. Thumm was killed;
therefore, she was not within the "zone of danger" contemplated
by section 13-902(F)(3). State v. Clark, 126 Ariz. 428, 616 P.2d
888, 895-96, cert. denied, 449 U.S. 1067, 101 S.Ct. 796, 66 L.Ed.2d
612 (1980).
The court further determined
that none of the murders had been committed in an especially
cruel manner because there was no evidence that any of the
victims had suffered any pain. Id., 616 P.2d at 896.
The court upheld the trial
judge's findings that the murders were committed for pecuniary
gain and in a depraved manner. After independently reviewing all
the evidence, the court concluded that the aggravating
circumstances had been established and that the mitigating
circumstances were not sufficiently substantial to call for
leniency. Id. at 897.
The Arizona Supreme Court also
determined that Clark's sixth amendment right to confront
witnesses had not been violated when the prosecution called a
John Doe witness to testify against him. Id. at 891-93.
After exhausting his state
court remedies, Clark filed a petition for a writ of habeas
corpus in the United States District Court for the District of
Arizona pursuant to 28 U.S.C. Sec. 2254. His petition was denied
by summary judgment and this appeal followed.
B. Issues on Appeal
We consider three issues on
appeal:
1. Whether Clark's sixth
amendment right of confrontation was violated when the district
court precluded him from eliciting, during cross-examination,
the name and address of a government "John Doe" witness.
2. Whether the district court
erred in determining that Clark had waived any claim of
constitutional error stemming from a probation officer's failure
to apprise Clark of his Miranda rights and his right to counsel
prior to conducting a presentence interview upon which the
sentencing judge relied in sentencing Clark to death.
3. Whether the Arizona death
penalty statute under which Clark was sentenced to death,
Ariz.Rev.Stat. Sec. 13-902, is constitutional.
ANALYSIS
1. Sixth Amendment Right of
Confrontation
Clark argues his sixth
amendment right of confrontation was violated when he was not
permitted to elicit, on cross-examination, the name and address
of the government's John Doe witness. Clark's argument is
unpersuasive. Prior to trial, the government disclosed John
Doe's true name and felony record to Clark.
The defense had every
opportunity to discover material which might be used to impeach
Doe's credibility. Although Clark was not provided with John
Doe's address, nor was he permitted to elicit this information
on cross-examination, these circumstances, contrary to Clark's
contention, did not violate his right of confrontation under
Smith v. Illinois, 390 U.S. 129, 88 S.Ct. 748, 19 L.Ed.2d 956
(1968).
In Smith v. Illinois, the
accused did not have an opportunity to discover the true name or
address of the principal witness against him. The Court stated:
[W]hen the credibility of a
witness is in issue, the very starting point in "exposing
falsehood and bringing out the truth" through cross-examination
must necessarily be to ask the witness who he is and where he
lives. The witness' name and address open countless avenues of
in-court examination and out-of-court investigation. To forbid
this most rudimentary inquiry at the threshold is effectively to
emasculate the right of cross-examination itself.
Id. at 131, 88 S.Ct. at 750 (footnote
omitted).
In the present case, Clark
knew John Doe's true name and his felony record well in advance
of trial. This information provided Clark with the "avenues of
in-court examination and out-of-court investigation" which the
accused was denied in Smith v. Illinois. In any event, John Doe
did testify at trial that he lived "on a religious retreat" in
El Paso. This satisfied the concern expressed by the Supreme
Court in Smith v. Illinois that an accused be given an
opportunity to " 'place the witness in his proper setting' ". Id.
at 132, 88 S.Ct. at 750 (quoting Alford v. United States, 282
U.S. 687, 692-94, 51 S.Ct. 218, 219-20, 75 L.Ed. 624 (1931)).
Finally, there is no absolute
right of an accused to have a jury hear a witness's true name
and address. Smith v. Illinois " 'does not establish a rigid
rule of disclosure, but rather discusses disclosure against a
background of factors weighing conversely, such as personal
safety of the witness.' " United States v. Rangel, 534 F.2d 147,
148 (9th Cir.), cert. denied, 429 U.S. 854, 97 S.Ct. 147, 50
L.Ed.2d 129 (1976) (quoting United States v. Cosby, 500 F.2d
405, 407 (9th Cir.1974)).
Trial judges have wide
latitude to impose reasonable limits on cross-examination based
on concerns such as harassment, prejudice, confusion of the
issues or the witness's safety. Delaware v. Van Arsdall, 475 U.S.
673, 679, 106 S.Ct. 1431, 1435, 89 L.Ed.2d 674 (1986); see also
Smith v. Illinois, 390 U.S. at 133-34, 88 S.Ct. at 750-51 (questions
tending to endanger personal safety of a witness go beyond
proper bounds of cross-examination) (White, J., concurring);
United States v. Chavez-Vernaza, 844 F.2d 1368, 1376 (9th
Cir.1987) (cross-examination properly limited where witnesses
revealed true names and occupations but not true addresses and
defendant was allowed to obtain their addresses outside presence
of jury); United States v. Washington, 797 F.2d 1461, 1474 (9th
Cir.1986) (right of cross-examination may be restricted if
necessary to protect personal safety of witnesses); Rangel, 534
F.2d at 148 (witness need not reveal true name, address and
phone number where in camera evidence convinced judge witness's
personal safety would be jeopardized by such disclosure).
In the present case, the trial
judge ordered Doe's identity and address concealed from the jury
after holding an in camera hearing. The court learned in the in
camera proceeding that Doe was a Drug Enforcement Agency
informant, that threats against his life had been made in the
city where he lived, and that he still had cases pending in
which he would give information.
Based upon this information,
the trial judge determined Doe's life would be endangered by
publicly revealing his true name and address. Under these
circumstances, the court did not err in forbidding cross-examination
as to Doe's true name and address.
2. Fifth Amendment and
Sixth Amendment Claims Arising from Presentence Interview
Clark alleges his fifth and
sixth amendment rights were violated when the sentencing judge
considered information obtained from him by a probation officer
during a presentence interview. Clark asserts his fifth
amendment right to be free from self-incrimination was violated
because he was never informed either prior to or during the
interview that he had the right to remain silent, or that
anything he said could be used against him at the sentencing
hearing.
Clark further contends he was
denied his sixth amendment right to counsel because he was never
advised that he had a right to have counsel present during the
interview.
In his state court review
proceedings, Clark raised all of the issues now before this
court, except the constitutional claims involving his
presentence interview. Clark attempted to go back to state court
to raise these claims by moving in the district court for leave
to file a petition seeking additional relief in state court. The
district court denied this motion on the ground that such a
petition would be futile because it was procedurally barred
under Ariz.R.Crim.P. 32.2(a), (c).2
See Tacho v. Martinez, 862 F.2d 1376, 1379-80 (9th Cir.1988) (failure
to comply with Rule 32 results in procedural default).
We agree with the district
court. Insofar as obtaining a ruling on Clark's federal habeas
petition was concerned, it would have been pointless to send him
back to state court. He had defaulted in state court on his
presentence interview claims. As a result, he could get no
relief on these claims in state court.
Consequently, there was
nothing more he could do in state court to establish a
foundation for federal habeas review. See Fay v. Noia, 372 U.S.
391, 435, 83 S.Ct. 822, 847, 9 L.Ed.2d 837 (1963); overruled on
other grounds, Stone v. Powell, 428 U.S. 465, 494, 96 S.Ct.
3037, 3052, 49 L.Ed.2d 1067 (1976).
This left Clark with
constitutional claims which he had not presented to the highest
state court with jurisdiction to consider them. This would not
preclude federal habeas review, however, if Clark could show
cause for his state court default and prejudice stemming from
the alleged constitutional violation. Murray v. Carrier, 477 U.S.
478, 494-95, 106 S.Ct. 2639, 2648-49, 91 L.Ed.2d 397 (1986);
Allen v. Risley, 817 F.2d 68, 69 (9th Cir.1987).
The district court determined
that because Clark did not make a showing of cause for his
failure to raise his presentence interview claims before the
Arizona Supreme Court, and could not show that he was prejudiced
by the material considered by the state court sentencing judge,
these claims had been waived. We agree.
The existence of cause "must
ordinarily turn on whether the prisoner can show that some
objective factor external to the defense impeded counsel's
efforts to comply with the State's procedural rule." Murray v.
Carrier, 477 U.S. at 488, 106 S.Ct. at 2645. The cause-and-prejudice
standard ordinarily requires a showing of both elements. Id. at
494-95, 106 S.Ct. at 2648-49.
To be relieved of the burden
of showing cause, a petitioner must allege either that (1) the
constitutional violation alleged probably resulted in the
conviction of an innocent person; or (2) the procedural default
was the product of ineffective assistance of counsel. Id. at
495-96, 106 S.Ct. at 2649-50; Tacho, 862 F.2d at 1380-81.
Clark has alleged no fact, and
he has presented no argument, which would suggest any cause for
his state court procedural default. He alleges nothing to
suggest that the claimed constitutional violations resulted in
his conviction. See Smith v. Murray, 477 U.S. 527, at 537-38,
106 S.Ct. 2661, 2667-68, 91 L.Ed.2d 434 (1986).
He does not argue that his
state court default was caused by ineffective assistance of
counsel, or that his legal representation on appeal was in any
way defective. See Murray v. Carrier, 477 U.S. at 496-97, 106
S.Ct. at 2649-50. Thus, Clark has failed to show "cause," and
has failed to bring his case within the ambit of those
exceptions which permit federal habeas corpus review when cause
is lacking. See id.
Clark contends that the
Supreme Court's decision in Estelle v. Smith, 451 U.S. 454, 101
S.Ct. 1866, 68 L.Ed.2d 359 (1981), mandates that information
from a presentence interview obtained in the way the information
was obtained from Clark should not be admitted at a sentencing
hearing.
We do not reach this question,
however, because the proffered issue goes to the prejudice prong
of the cause-and-prejudice standard, not to whether cause exists
for Clark's failure to include his claims of constitutional
error in his state court review proceedings. Clark's Estelle v.
Smith argument does not provide a basis for federal habeas
review in the absence of a showing of cause. See Dugger v. Adams,
--- U.S. ----, 109 S.Ct. 1211, 1217 n. 6, 103 L.Ed.2d 435
(1989); cf. Murray v. Carrier, 477 U.S. at 488, 106 S.Ct. at
2645.
We conclude that Clark's fifth
and sixth amendment claims based upon the sentencing judge's
consideration of information obtained during Clark's presentence
interview were waived by Clark's failure to allege any cause for
not presenting these claims to the Arizona Supreme Court.
3. Sentencing
Clark was convicted by a jury.
Thereafter, he was sentenced to death by the trial judge
following a non-jury sentencing hearing. Although not argued on
appeal, Clark asserts in his habeas petition that Arizona's
death penalty sentencing scheme violates his sixth amendment
right to trial by jury.
Although we do not ordinarily
consider an issue on appeal not specifically raised in an
appellant's opening brief, we have discretion to consider such
an issue when the appellee is not misled and the issue has been
fully explored. Fed.R.App.P. 28(a)(2); see also Int'l Union of
Bricklayers & Allied Craftsman Local Union No. 20, AFL-CIO v.
Martin Jaska, Inc., 752 F.2d 1401, 1404 n. 4 (9th Cir.1985) (citing
Ellingson v. Burlington Northern, Inc., 653 F.2d 1327, 1332 (9th
Cir.1981)). We do so here.
In Adamson v. Ricketts, 865
F.2d 1011, 1025-27, 1029 (9th Cir.1988) (en banc), we recently
held that the Arizona death penalty sentencing statute is
unconstitutional because, among other things, it does not
provide for trial by jury on the aggravating circumstance
question.
We reasoned in Adamson that
because a person may not be sentenced to death for any crime
unless a sentencing judge determines that one of the aggravating
factors exists and there are no mitigating factors sufficient to
warrant leniency, the aggravating factors operate as an element
of the offense of murder punishable by death; therefore, a
defendant charged with capital murder has a constitutional right
to a jury trial on the question of the existence of aggravating
factors. Id. at 1026-27.
As in Adamson, the aggravating
factors in Clark's case which resulted in his death sentence
were established by the Arizona trial court sitting without a
jury, pursuant to Arizona's death penalty sentencing statute.
Ariz.Rev.Stat. Sec. 13-902, reenacted in 1978 as Ariz.Rev.Stat.
Sec. 13-703. Bound by Adamson, we must reverse Clark's death
sentence.3
CONCLUSION
We affirm the district court's
determination that Clark's sixth amendment right of
confrontation was not violated by the state court's refusal to
permit Clark to elicit from the government's John Doe witness,
on cross-examination, the witness's true name and address.
We also affirm the district
court's determination that Clark waived his fifth and sixth
amendment claims based upon the sentencing judge's consideration
of information obtained from Clark in his presentence interview.
Finally, controlled by this
circuit's recent decision in Adamson v. Ricketts, 865 F.2d 1011
(9th Cir.1988) (en banc), we reverse the district court and
remand with instructions to grant the writ of habeas corpus
unless the State, within a reasonable time, imposes a sentence
other than death.
a. Preclusion. A petitioner will not be
given relief under this rule based upon any ground:
....
(3) Knowingly, voluntarily and
intelligently not raised at trial, on appeal, or in any
previous collateral proceeding.
....
c. Inference of Waiver. The court may
infer from the petitioner's failure to appeal or to raise an
issue on appeal after being advised by the sentencing judge
of the necessity that he do so, or his failure to raise any
ground then available to him in a previous Rule 32
proceeding in which he was represented by counsel, that he
knowingly, voluntarily and intentionally relinquished the
right to do so.
On appeal Clark also challenges his death
sentence on the ground that the state sentencing court
failed to make express findings to reflect its consideration
of the mitigating factors Clark presented. Because we
reverse Clark's sentence of death on the ground that, under
Adamson, his sixth amendment right to trial by jury was
violated when he was denied a jury trial on the issue of the
existence of aggravating circumstances, we do not reach
Clark's mitigating circumstances argument