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Emmitt FOSTER
Robbery
2 days after
State of Missouri v.
Emmitt Foster
748 S.W. 2d 903 (Mo. app. 1988)
Emmitt Foster was executed
on May 3, 1995
Case Facts:
On November 20, 1983 in St. Louis County De Ann Keys and her
boyfriend Travis Walker were awakened at 2:00 a.m. by a phone call
from friends of Walker.
A short time later, two men arrived at the
residence. Walker went into the living room with them and Keys
stayed in the bedroom. One of the men was identified as Michael
Phillips and the other was known to Keys as "John Lee."
Phillips returned to the bedroom and forced Keys
at gunpoint to come into the living room and to lie next to Walker
on the floor. Keys saw "Lee," later identified as Emmitt Foster,
standing over Walker with a pistol in his hand. Phillips ransacked
the apartment. Before the two men left, they shot both Walker and
Keys.
Keys later regained consciousness and went
outside to seek help. She returned to the apartment and wrote the
names Michael Phillips and John Lee on an envelope.
When police arrived they found Walker dead on the
living room floor and Keys in the bedroom lying on the bed. Police
ascertained from Keys that the names on the envelope were those of
the perpetrators. Keys survived the attack. "John Lee" was
subsequently identified as Emmitt Foster.
Foster was arrested two days later on November
20, 1983 and charged with Capital Murder.
1968 08/08 - Foster was sentenced to 18 months in the Federal
Youth Correctional Center at Englewood California for Unlawful
Possession of U.S. Mail.
1970 10/20 - Foster was sentenced to the Missouri Department of
Corrections for two counts of Robbery I by Means of a Dangerous and
Deadly Weapon from the City of St. Louis. His sentence was for six
years on each count to run concurrently and his sentence was
commutated on April 11, 1974.
1975 06/12 - Foster was sentenced to the Missouri Department of
Corrections for two counts of Robbery I by Means of a Dangerous and
Deadly Weapon from the City of St. Louis. He received a sentence of
15 years on each count to run concurrently and his sentence was
commutated on August 12, 1982.
1983 11/20 - Travis Walker was shot to death in St. Louis County.
1984 4/30 - Emmitt Foster was indicted in St. Louis County on
the charge of capital murder for the shooting death of Travis Walker.
9/14 - Foster was found guilty of capital murder in the Circuit
Court of St. Louis County and the jury recommended a sentence of
death.
11/30 - A motion for a new trial was denied and Foster was sentenced
to death for killing Travis Walker.
12/10 - A notice of appeal was filed.
1985 11/21 - The Missouri Supreme Court affirmed Foster's
conviction and sentence.
1986 6/9 -The United States Supreme Court denied certiorari.
9/23 - Foster filed a Rule 27.6 motion for post conviction relief in
the Circuit Court of St. Charles County.
1987 5/20 - The motion for post conviction relief was denied.
1988 3/29 - The Missouri Court of Appeals, Eastern District,
affirmed the denial of post conviction relief.
7/1 - Foster filed a petition for writ of habeas corpus in the
United States District court for the Eastern District of Missouri.
1992 10/8 - The petition for writ of habeas corpus was denied.
1993 4/22 - The United States Court of Appeals for the Eighth
Circuit reversed the district court's order and granted the petition
for writ of habeas corpus.
1994 2/22 - Rehearing granted by the United States Court of
Appeals for the Eighth Circuit.
11/7 - The Eighth Circuit Court of Appeals, sitting en banc upheld
the district court's judgment and affirmed Foster's conviction and
sentence.
1995 4/17 - The United States Supreme Court declined review of
the Eighth Circuit Court of Appeal November 7th decision.
4/18 -The Missouri Supreme Court set May 3, 1995, as Foster's
execution date.
Missouri Executes Murderer of Teammate
The New York Times
May 4, 1995
A man convicted
of killing a softball teammate in a robbery was executed by
injection early today, maintaining his innocence to the end.
"I do have remorse for the legal system," the
condemned man, Emmitt Foster, said in his final statement, "because
I did not commit this particular murder."
Mr. Foster, 42, was not pronounced dead until 29
minutes after receiving the first injection. A Department of
Corrections spokesman, George Lombardi, said Mr. Foster's veins had
apparently collapsed because of long-term drug use.
Mr. Foster was convicted of killing Travis
Walker, 26, in November 1983. An accomplice, Michael Phillips, was
sentenced to life in prison.
Mr. Foster's execution came just hours after an
execution in Pennsylvania, that state's first in 33 years. Keith
Zettlemoyer, 39, was executed by injection late Tuesday for the 1980
murder of a friend who planned to testify against him in a robbery
trial.
Emmitt Foster: May 3, 1995, Missouri
CourtTV.com
Emmitt Foster's death was a protracted
and painful one because, according to the coroner, the leather
straps that bound him to the gurney were too tight to allow blood to
flow freely through his system. He was not pronounced dead until 30
minutes after the injection began. Three minutes later, the curtains
were re-opened to the witnesses.
11 F.3d 1451
Emmitt Foster, Appellant, v.
Paul Delo, Appellee
United States Court of Appeals,
Eighth Circuit.
Submitted March 17, 1993.
Decided Dec. 15, 1993.
Order Granting Rehearing and RehearingEn Banc and
Vacating Opinion Feb. 22, 1994
Before McMILLIAN, Circuit
Judge, BRIGHT, Senior Circuit Judge, and JOHN R.
GIBSON, Circuit Judge.
BRIGHT, Senior Circuit Judge.
Emmitt
Foster appeals the denial of his petition
for habeas corpus relief pursuant to 28
U.S.C. Sec. 2254. He was convicted of
capital murder1
in the Circuit Court of St. Louis County,
Missouri and sentenced to death. Foster
raises numerous allegations of error, which
fall into three general categories: (1) that
the district court improperly found many of
his claims procedurally barred; (2) that the
district court improperly rejected various
claims of ineffective assistance of counsel;
and (3) that the district court erred in
denying relief for assorted state court
errors.
We
determine that the district court erred in
failing to conclude that Foster's counsel
provided ineffective assistance regarding
Foster's right to testify at the punishment
phase of Foster's case. Accordingly, we
direct the district court to issue the writ
vacating Foster's death sentence. We leave
the State of Missouri the option of having
Foster resentenced for first-degree murder,
or seeking a new hearing on the penalty
phase of the capital murder case. As to all
other alleged errors, we reject them for the
reasons set forth in the magistrate judge's
findings adopted by the district court.
I.
Foster's
underlying conviction for capital murder is
based on events which occurred in the early
morning of November 20, 1983. The state
court's findings of fact rely in large part
on the testimony of DeAnn Keys, who lived
with the murder victim, Travis Walker.
Around
2:00 a.m. on November 20, 1983, Walker
received a telephone call from Michael
Phillips, a companion from a local softball
team whom he had known since childhood.
Phillips told Walker he needed assistance
with a flat tire. Keys remained in bed and
Walker met Phillips and Foster, another
companion from the softball team, outside
the apartment. Keys next heard the men
conversing in the living room and heard
Phillips ask to use the phone. After the
call, Phillips asked to use the bathroom. He
did not enter the bathroom, however, and
Keys heard Walker say, "Damn, man, you are
tripping." Phillips then entered the bedroom
and ordered Keys into the living room at
gunpoint.
In the
living room, Phillips forced Keys to lie
next to Walker. Foster then held Walker and
Keys at gunpoint while Phillips searched the
bedroom for valuables. After five minutes of
searching, Phillips questioned Walker and
Keys about their jewelry, at one point
placing his pistol in Keys' ear. After
concluding he had found all their valuables,
Phillips moved toward the main door.
Phillips told the two that he and Foster,
who was still standing near Walker, were
leaving and should not be followed.
Keys then
heard and felt a gunshot and lost
consciousness. When she regained
consciousness, Keys realized she was
bleeding from her head. She went to a
neighboring apartment to seek help, but
found no one. Returning home, she attempted
to call the police, but the phone was dead.
Fearing she would soon die, Keys wrote twice
on an envelope "Mike Philips [sic]" and
"John Lee," the name by which she knew
Foster.
Responding
to a neighbor's phone call, the police
arrived to find Walker dead and Keys lying
on the bed with a fractured skull and jaw,
and several broken facial bones and teeth.
Each had received four gunshots to the head.
Keys later
identified photos of Phillips and Foster as
the assailants. Forensic and ballistics
analysis established that the bullets which
killed Walker came from a different weapon
than those that injured Keys, thus
indicating one of the criminals killed
Walker, while the other wounded Keys. Police
never recovered the weapons.
Phillips
and Foster were tried separately in the
Circuit Court of St. Louis County. A jury
convicted Phillips of first-degree murder2
and sentenced him to life imprisonment
without the possibility of parole.
During the
guilt phase of Foster's bifurcated jury
trial, the defendant, on counsels' advice,
did not testify in his own defense. Counsel
did call eight witnesses to support Foster's
alibi. The jury found Foster guilty of
capital murder. At the punishment phase of
the trial Foster again did not testify. The
jury recommended a sentence of death, and
the judge followed the jury's recommendation.
Foster thereafter appealed to the Missouri
Supreme Court, which affirmed his conviction.
State v. Foster, 700 S.W.2d 440 (Mo. banc
1985), cert. denied, 476 U.S. 1178, 106 S.Ct.
2907, 90 L.Ed.2d 993 (1986).
Foster
pursued post-conviction relief under
Missouri Supreme Court Rule 27.26.3
Among other claims, Foster asserted that he
was denied his right to testify during the
penalty phase of the trial. After an
evidentiary hearing, the circuit court
denied collateral relief. Foster appealed,
and the Missouri Court of Appeals affirmed.
Foster v. State, 748 S.W.2d 903 (Mo.Ct.App.1988).
Foster
then filed a pro se petition for a writ of
habeas corpus with the United States
District Court for the Eastern District of
Missouri. The district court appointed
counsel, and Foster filed an amended
petition. The district court referred the
case to a United States magistrate judge who,
without holding an evidentiary hearing,
recommended the denial of Foster's petition.
The district court adopted the magistrate
judge's report and denied the petition. On
November 4, 1992, Foster filed this timely
appeal. We reverse the district court's
decision denying habeas relief on the issue
of ineffective assistance of counsel based
on counsels' failure to advise defendant of
his right to testify at the penalty phase.
We affirm on all other issues.
II.
Foster
contends that counsel violated his
fundamental constitutional rights by waiving
his right to testify at the penalty phase
without first obtaining his informed consent.
Foster claims that even though he desired to
testify, counsel never informed him that he
could do so.
Initially
the Government asserts that Foster is
procedurally barred from raising this claim
of ineffective assistance of counsel. The
Government bases its argument on the
Missouri appellate court's failure to find
any indication that Foster desired to
testify or that he was misled by counsel or
ignorant of his right to testify. The
Government contends this factual finding is
entitled to a presumption of correctness.
Furthermore, even if Foster properly may
seek habeas relief on this ground, the
Government argues that Foster failed to
demonstrate prejudice, and thus cannot prove
ineffective assistance of counsel.
Foster's
claim of ineffective assistance of counsel,
based on a violation of his right to testify,
was not procedurally defaulted because he
raised it before the state court in his Rule
27.26 motion and at the evidentiary hearing.
For purposes of Sec. 2254, the court of
appeals may review claims alleging
essentially the same facts and legal
theories presented before the state court.
Kenley v. Armontrout, 937 F.2d 1298, 1302-03
(8th Cir.), cert. denied, --- U.S. ----, 112
S.Ct. 431, 116 L.Ed.2d 450 (1991). The state
appellate court rejected the ineffective
assistance claim on the ground that Foster
failed to show that his failure to testify
prejudiced the outcome of the proceeding.
Foster, 748 S.W.2d at 908. Consequently, the
state court had an opportunity to rule on
Foster's claim of ineffective assistance of
counsel relating to denial of his right to
testify, and thus the claim properly came
before the district court. See Laws v.
Armontrout, 863 F.2d 1377, 1392 (8th
Cir.1988), cert. denied, 490 U.S. 1040, 109
S.Ct. 1944, 104 L.Ed.2d 415 (1989). The
Report and Recommendation of United States
Magistrate Judge, adopted by the federal
district court, rejected Foster's sixth
amendment claim for failure to prove
prejudice.4
Because
Foster contends his counsel failed to inform
him of his right to testify and thus failed
to protect that right, we analyze his claim
as one of ineffective assistance of counsel.
See United States v. Teague, 953 F.2d 1525,
1534 (11th Cir.), cert. denied, --- U.S.
----, 113 S.Ct. 127, 121 L.Ed.2d 82 (1992).
Under Strickland v. Washington, 466 U.S.
668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984),
Foster must show that his counsel performed
deficiently and that the substandard
performance prejudiced the outcome of the
proceeding. Id. at 687, 104 S.Ct. at 2064.
Foster's
lead counsel during the guilt phase, Bill
Aylward, stated at the Rule 27.26 hearing
that a plea for mercy would be inconsistent
with Foster's alibi defense during the guilt
phase. Accordingly, he did not recommend
that Foster testify during the penalty phase.
(Post-Conviction Relief Tr. [hereinafter PCR
Tr.] Vol. II at 11-13.) Also present at the
post-conviction hearing was Assistant County
Public Defender Peter Dunne, Foster's lead
counsel at the penalty phase. Dunne
testified on direct examination, as a
witness for the State, as follows:
Q [Mr.
Waldemer, counsel for State of Missouri] Did
you discuss with Mr. Foster the possibility
of his testifying?
A That
subject came up more than once, yes.
Q What was
the substance of those discussions?
A Emmitt
agreed with us that because of his priors
and the fact that he would be impeached with
them if he did testify that it probably
would be better if he did not.
Q Did you
explain to Emmitt what would take place
during the penalty phase should it be
reached?
A Yes.
Q Did you
explain to Emmitt he had a right to testify
during the trial if he wanted to?
Ms. Soffer
[Counsel for Foster]: Objection, your Honor,
that's leading.
THE COURT:
Sustained.
Q [Mr.
Waldemer] Did you discuss Emmitt's testfying
[sic]?
A In the
penalty phase?
Q At any
time time [sic].
A As I
recall it, the subject came up principally
about testifying in the guilt phase of the
trial. I cannot pressume [sic] discussing
his testifying in the penalty phase of the
trial.
Q Did you
advise him whether or not to testify?
A It was
our advice at the time that it would be
better if he did not.
Q And your
reason for that was?
A Our
reason was that we did not want his prior
convictions to give the jury that reason to
convict him of this offense. I didn't want
that to be the reason why he was convicted.
(PCR Tr.
Vol. I at 93-94.) During cross-examination,
Dunne testified further:
Q [Ms.
Soffer] With respect to Mr. Foster's failure
to testify during the guilt phase you say
that you reached a mutual decision, I guess,
it wouldn't be in his best interest?
A That's
correct.
Q You were
in charge of the penalty phase, obviously,
and did you in your pretrial discussions
with him tell Mr. Foster that the jury would
be informed of his prior convictions at the
penalty phase?
A I do not
at this time remember saying that, but I in
all the occasions that we talked about it I
am certain that it came up, but I don't
remember right now when it did.
Q You were
aware of that fact?
A Oh, yes.
Q Did you
tell [Mr. Foster] he could testify in the
penalty phase if he chose to do so?
A I don't
recall discussing the penalty of him
testifying at the penalty phase.
Q Didn't
it occur to you that his testimony in the
penalty phase would allow the jury to have
more insight into the man Emmitt Foster was?
A I guess
the answer to that is, no.
Q So you
didn't think that could be helpful in terms
of it leading to some mitigating evidence?
A I don't
see how it could have been.
(PCR Tr.
Vol. I at 129-30.) Foster stated he did not
know that he could testify at the penalty
stage, thus explaining why he did not ask to
do so:Q [Ms. Soffer] Emmitt, in your
meetings with Mr. Aylward or Mr. Dunne--well,
let me start back, in regards in your
meetings with Mr. Dunne before you met Mr.
Aylward do you recall whether or not you
told him that you wanted to testify in this
matter?
A Yes, I
asked about testifying.
Q And what
was Mr. Dunne's response to that?
A They
told me if I testified then they would bring
out then--that would give a prosecutor an
opportunity to bring out my prior
convictions.
Q What did
you think when you heard that?
A Well, I
didn't want to testify no more. I didn't
want them to here [sic] my prior convictions.
Q Did they
explain to you that if the case were to go
into the penalty phase that the jury would
then be informed of your prior convictions?
A No, they
didn't.
Q What did
they tell you about the penalty phase?
A Nothing
in that respect.
Q Did they
inform of you whether or not you had the
right to testify at that time?
A No, they
didn't.
Q After
the case was submitted to the jury and it
returned its verdict did you at any time ask
them if you could testify in the penalty
phase?
A No, I
didn't have no knowledge that I could
testify. So, you know, it never even entered
my mind to try to testify I didn't believe I
could.
(PCR Tr.
Vol. I at 40-41.)
The state
court of appeals, based on the foregoing,
found that "[t]here is no indication of what
[Foster's] testimony would have been. There
is no indication that movant was misled by
counsel or that he was ignorant of his right
to testify." Foster, 748 S.W.2d at 908.
The record
simply does not support these findings that
counsel did not mislead Foster or that
Foster knew he could testify at the penalty
phase. Reference to the state appellate
court's reasoning offers insight into the
basis for the faulty conclusion:
Clearly, counsel advised
movant that he had the right to testify
during the guilt stage of the trial and that,
if he did so, his prior convictions could be
used to attack his credibility. Movant
decided not to testify during the guilt
stage and offered the defense of alibi.
Movant also did not testify during the
penalty stage of the trial, even though his
prior convictions were now admissible as
bearing on the issue of punishment. As noted
in the testimony of trial counsel at the
27.26 hearing, movant's testimony at that
point would have been inconsistent with the
defense of alibi during the guilt stage and
would not have been beneficial to him.
Id. at
907-08.
The fact
that Foster knew of his right to testify at
the guilt stage does not justify a finding
that Foster knew he could testify at the
penalty phase. Furthermore, counsels'
rationale for advising against Foster
testifying at the guilt phase disappeared at
the penalty stage. Foster had already been
convicted of capital murder, and faced one
of two possible sentences, life imprisonment
or death. The issue of guilt had been
decided; Foster desperately needed to
present evidence mitigating against the
death penalty. The facts are inescapable
that counsel, precisely because they failed
to comprehend this significant distinction,
misled Foster into believing that testifying
at the penalty phase might negatively affect
the outcome because of the prior advice
given him not to testify at the trial (guilt
phase).
The
federal court, relying upon the same
reasoning as the state court of appeals,
concluded: "[p]etitioner's trial counsel
made a judgment not to have him testify
during the penalty phase because it was
believed that petitioner's testimony would
not be beneficial to him at that stage of
the proceedings." (Report and Recommendation
of United States Magistrate Judge at 25.)
This finding suffers from the same logical
infirmity applied by the state appellate
court, and therefore must be characterized
as clearly erroneous.
III.
A criminal
defendant's right to put on a defense,
including the right to testify in one's own
behalf, is a fundamental constitutional
guarantee that can only be waived by the
defendant himself. United States v.
Bernloehr, 833 F.2d 749, 751 (8th Cir.1987).
See also Harris v. New York, 401 U.S. 222,
225, 91 S.Ct. 643, 645, 28 L.Ed.2d 1 (1971).
An effective waiver or relinquishment of a
constitutional right must be made
intelligently, voluntarily and knowingly.
See Johnson v. Zerbst, 304 U.S. 458, 464, 58
S.Ct. 1019, 1023, 82 L.Ed. 1461 (1938). The
evidence presented at the Rule 27.26 hearing,
however, does not support the conclusion
that counsel explained the possible benefits
of Foster exercising his right to testify
during the penalty phase. Under these
circumstances, Foster had no opportunity to
assert his right to testify at the penalty
phase.
Counsels'
testimony, set forth above, illustrates
their misconception as to the role of the
penalty phase. Because of the egregiousness
of the crime and the fact that evidence of
his prior convictions would be admissible
regardless of whether defendant took the
stand, Foster's own plea to the jury for
mercy was absolutely necessary,
notwithstanding his earlier alibi defense.
Missouri
law effective at the relevant time5
required the jury, in capital murder cases,
to consider both mitigating and aggravating
circumstances relevant to the severity of
the crime. By failing to properly advise
Foster of his fundamental right to testify
at the penalty phase, defense counsel
precluded the jury from considering
information imperative to a valid exercise
of its discretion, thus effectively denying
Foster his only real chance to avoid the
death penalty.
Counsels'
conduct, which evinced their failure to
comprehend what purpose defendant's exercise
of his right to testify would serve, impeded
an informed decision whether to waive or
invoke a fundamental constitutional
guarantee. Counsel performed deficiently.
Foster
must also show that counsels' deficient
performance prejudiced the proceeding. The
state appellate court and the federal
district court failed to find prejudice,
noting that Foster did not explain at his
Rule 27.26 hearing the content of his
proposed penalty phase testimony. Foster
asserts that ineffective assistance of
counsel accounts for his failure to offer
specific evidence at the post-conviction
relief hearing regarding his proposed
testimony.
A showing
of prejudice under Strickland requires the
defendant to establish that counsels' errors
were so serious as to deprive defendant of a
fair proceeding, thereby rendering the
result unreliable. The defendant must show
that " 'there is a reasonable probability
that, but for counsel[s'] unprofessional
errors, the result of the proceeding would
have been different.' " United States v.
Bagley, 473 U.S. 667, 682, 105 S.Ct. 3375,
3383, 87 L.Ed.2d 481 (1985) (quoting
Strickland, 466 U.S. at 694, 104 S.Ct. at
2068).
The
prejudice analysis under Strickland, beyond
consideration of outcome, requires inquiry "whether
the result of the proceeding was
fundamentally unfair or unreliable."
Lockhart v. Fretwell, --- U.S. ----, ----,
113 S.Ct. 838, 842, 122 L.Ed.2d 180 (1993).
Counsels'
job at the sentencing hearing was to
convince the jury that, notwithstanding the
brutality of the murder for which he had
been convicted, Foster did not deserve to
die. The prosecution sought to prove the
contrary, and set out to do so by referring
to Foster as a nonperson, sometimes solely
as " 'that.' " The following excerpts are
illustrative:
A friend,
a friend for a few bucks, some pieces of
jewelry. That's the manner of man they will
have us believe we shouldn't do this. Let
him go among the prison population, a prison
population where every day other people are
locked up for lesser crimes. Guards have to
come to work unarmed. You have no right to
do that with this man. I submit to you that
that's what we mean by deterring him. They,
too, the people who have to go to the
penitentiary for other crimes which they
have committed, have lesser but certain
rights, and they have a right not to be
exposed to that. And the guards, while they
do an unbelievably courageous job, have a
right to some protection. They have a right
to that (indicating) not being there, and
that's what we call deterring him.
....
... They [referring to
the victim's family] had the right to have
their son and grandson and brother for the
rest of his natural life, until somebody
superior to us deemed it time for him to die
and not that (indicating).
....
... It is right that he
should be executed. There has been some
religious discussion here. The Christians
have the Golden Rule. 'Do unto others what
you would have them do unto you.' Muslims
reverse this process, and the Koran says,
'Do not do unto others what you would have
him do unto you.' And Confucius says, 'Man
should do that which is right, not for hope
of reward or for fear of punishment. Man
should do what is right, because that is
what it means to be a man.' That is what is
the essence of man, and that (indicating) is
no man.
(Trial Tr.
at 975-77 (emphasis added).)
While the
prosecution attempted to dehumanize Foster
in each juror's mind, the defense failed in
its efforts to elicit potentially mitigating
evidence pertaining to defendant's life. For
example, the defense was precluded from
eliciting certain information from
defendant's mother.6
Although counsel challenged the exclusion,
no evidence exists that the defense
thereafter recognized the ever-increasing
urgency in offering Foster's testimony in
mitigation.
At the
penalty phase, lead defense counsel's
closing argument suggested the prejudicial
effect of not having his client testify:
MR DUNNE:
.... As I stand here before you in this
court, I must confess to you that I am
afraid. I am afraid for myself. I am afraid
for Emmitt, that I don't have the ability to
speak for him. That I won't be able to find
the words that must be said now. And most of
all, I am afraid that even if I did, you
would not be swayed.
(Trial Tr.
at 979 (emphasis added).)
In this
case, prejudice is apparent from the record.
The prosecutor referred to defendant as a "that."
Foster's mother was restricted in speaking
for her son. The evidence shows a fair
probability that Foster may not have shot
Walker, but that his colleague in the crime,
Michael Phillips, did.7
We also
know, although the jury did not, that this
crime, albeit heinous, did not necessarily
call for the death penalty, as Phillips had
received life imprisonment. At least in this
record, no distinction exists between the
conduct of Phillips and that of Foster. All
of these circumstances lead to a logical
conclusion of prejudice to Foster flowing
from counsels' deficiency.
Foster had
nothing to lose and everything to gain by
testifying at the penalty phase. His guilt
already had been established. His only
chance to escape the death penalty required
a plea for his own life, asking the jury for
mercy, portraying himself as a human being.
Foster's
failure to take the stand because of
counsels' incompetence virtually guaranteed
the death sentence under the circumstances.
Absent counsels' incompetent waiver of
Foster's right to testify, there is a
reasonable probability the jury would not
have recommended the death penalty. See
Smith v. Murray, 477 U.S. 527, 539, 106 S.Ct.
2661, 2669, 91 L.Ed.2d 434 (1986) (Stevens,
J., dissenting) ("The record in this case
unquestionably demonstrates that
petitioner's constitutional claim is
meritorious, and that there is a significant
risk that he will be put to death because
his constitutional rights were violated." (emphasis
in original)). No claim is made, nor could
it cogently be made, that trial strategy
entered into the failure of counsel to
advise defendant of his right to testify at
the penalty phase. Cf. United States v.
Norwood, 798 F.2d 1094 (7th Cir.), cert.
denied, 479 U.S. 1011, 107 S.Ct. 656, 93
L.Ed.2d 711 (1986).
The
Supreme Court has made clear the importance
of a criminal defendant's right to testify,
stating:
None of these modern
innovations [in criminal procedure] lessens
the need for the defendant, personally, to
have the opportunity to present to the court
his plea in mitigation. The most persuasive
counsel may not be able to speak for a
defendant as the defendant might, with
halting eloquence, speak for himself [before
the imposition of a sentence].
Green v.
United States, 365 U.S. 301, 304, 81 S.Ct.
653, 655, 5 L.Ed.2d 670 (1961). More
recently, the Court observed "the most
important witness for the defense in many
criminal cases is the defendant himself."
Rock v. Arkansas, 483 U.S. 44, 52, 107 S.Ct.
2704, 2709, 97 L.Ed.2d 37 (1987).
We
conclude that Foster's case shows a proper
basis for relief due to incompetence of
trial counsel and prejudice under the
Strickland test.
IV.
Based on
the foregoing, we reverse the district
court's order denying Foster's petition for
habeas relief and direct the district court
to issue a writ of habeas corpus vacating
Foster's death sentence. We leave to the
State of Missouri the choice of having
Foster resentenced for first-degree murder
or seeking a new hearing on the penalty
phase of the capital murder case. We affirm
the district court order denying habeas
relief for all other issues raised.
*****
JOHN R.
GIBSON, Circuit Judge, concurring.
I concur
in the judgment of the court today and in
its opinion, but write separately simply to
underscore several of my concerns. Foster's
counsel briefed twenty-five arguments,
including the one that is the basis for the
court's decision today. With respect to this
issue, the State did not brief the merits,
but included it with some ten others in a
general argument that they were procedurally
barred, and there was no showing of cause
and prejudice. The basis for the argument
was that Foster had failed to present them
in his Rule 27.26 motion. The court today
correctly rejects this argument. The claim
was presented in the Rule 27.26 motion, and
there was considerable testimony on this
issue from Foster and his lawyers, Dunne and
Aylward, at the Rule 27.26 hearing. It is
true that the issue was not decided by the
trial court, but the decision of the
Missouri Court of Appeals squarely deals
with and rejects the issue. State v. Foster,
748 S.W.2d 903, 907-08 (Mo.Ct.App.1988).
Thus, the State's procedural bar argument
must be rejected.
Even
though the State did not brief the
ineffectiveness argument on the merits, in
view of the scatter-shot approach taken by
Foster's counsel in briefing, I would be
hesitant to conclude that the State has
waived the argument on the merits.
The
crucial question is whether there is support
for the Missouri Court of Appeals' finding
that "[t]here is no indication that movant
was misled by counsel or that he was
ignorant of his right to testify." Id. at
908. If not, the finding is not entitled to
the presumption of correctness under 28
U.S.C. Sec. 2254(d)(8). In examining the
opinion of the state court of appeals and
looking to the record to determine if its
decision is supported, it is evident that
attorney Aylward, who described himself as
in charge of the defense and making the
decisions, although delegating the penalty
phase to Dunne, was clear in his testimony
that a plea for mercy by Foster would have
been inconsistent with his defense of alibi
during the guilt stage. Thus far there would
be evidence to support the state court's
finding in this respect, and further to
demonstrate an exercise of defense counsel's
judgment on this issue. Such an exercise of
counsel's judgment would be unassailable in
a claim of ineffective assistance of counsel.
From this
point on the State's position deteriorates.
Foster had a right to testify at his own
trial. Rock v. Arkansas, 483 U.S. 44, 49,
107 S.Ct. 2704, 2708, 97 L.Ed.2d 37 (1987).
The law is clear that the decision as to
whether or not to testify is Foster's, and
he has the ultimate authority to make this
fundamental decision. Jones v. Barnes, 463
U.S. 745, 751, 103 S.Ct. 3308, 3312, 77 L.Ed.2d
987 (1983). This is particularly true in a
case such as this where a jury has
determined guilt, and the only issue
remaining is the choice between life
imprisonment or death. Foster may have had
long odds on receiving the life sentence,
but if he desired to testify, perhaps in the
hopes that the jury would see him as a human
being and that one juror would decide to
grant him life, this was his decision to
make.
It is true,
as the Missouri Court of Appeals held, that
movant did not express a desire to testify,
or what his testimony would have been. 748
S.W.2d at 908. The next statement by the
court, "there is no indication that movant
was misled by counsel or that he was
ignorant of his right to testify," is simply
not supported by the evidence, and
accordingly under 28 U.S.C. Sec. 2254(d)(8)
it is not entitled to the presumption of
correctness. Both attorneys made clear that
they advised Foster not to testify in the
guilt phase, but both were uncertain with
respect to what they told Foster with
respect to the penalty phase. Aylward
testified that he did not know in what
detail the penalty phase strategy was
discussed with Foster, but stated that
Foster was aware as to how they were going
to proceed. Foster made no request to be
allowed to testify. Dunne stated he could
not "presume discussing" Foster testifying
in the penalty phase of the trial, although
it was counsel's advice that it would be
better if Foster did not testify because
Foster's prior convictions might come into
evidence. Dunne stated that he did not
recall discussing with Foster the possible
negative effects of testifying at the
penalty phase. Moreover, it did not occur to
Dunne that Foster's testimony at the penalty
phase might give the jury more insight into
Foster. Dunne could not see how this would
have been helpful in leading to some
mitigating evidence. Foster was definite
that he had not been informed as to whether
he could testify at the penalty phase.
Thus,
while Foster did not ask to testify, the
record is clear that his lawyers were unsure
as to whether he had been informed that he
had the right to do so. It is evident that
Foster was not given sufficient advice to be
able make an informed decision about his
right to testify.
With this
record, there is simply no support for the
statement of the Court of Appeals of
Missouri that there was no indication that
Foster was "misled by counsel or that he was
ignorant of his right to testify," and the
presumption of correctness as to this
finding falls from the case.
*****
ORDER
Feb. 22, 1994.
Appellee's
petition for rehearing with suggestion for
rehearing en banc has been considered by the
court and is granted. The opinion and
judgment of this court filed on December 15,
1993, are vacated. The case is set for oral
argument before the court en banc at 1:00
p.m. on Tuesday, May 24, 1994, in the United
States Court and Custom House in St. Louis,
Missouri.
While defendant bears the
risk of error in a post-conviction
proceeding, Coleman v. Thompson, --- U.S.
----, ----, 111 S.Ct. 2546, 2567, 115 L.Ed.2d
640 (1991); Mitchell v. Wyrick, 727 F.2d
773, 774 (8th Cir.), cert. denied, 469 U.S.
823, 105 S.Ct. 100, 83 L.Ed.2d 45 (1984),
here Foster alleged and argued his
ineffective assistance of counsel claim to
the state tribunal pursuant to Rule 27.26.
That court ruled on the merits of Foster's
claim. No bar to federal review exists. See
Ylst v. Nunnemaker, --- U.S. ----, ----, 111
S.Ct. 2590, 2593, 115 L.Ed.2d 706 (1991);
Evans v. Dowd, 932 F.2d 739, 741 (8th Cir.),
cert. denied, --- U.S. ----, 112 S.Ct. 385,
116 L.Ed.2d 335 (1991)
This exclusion of
evidence, resulting from sustained
objections made by the Government, does
underscore the importance of Foster
testifying for himself at the penalty phase
As ballistics disclosed,
a separate gun provided the fatal gunshot
wounds to Walker than the gun used to shoot
and grievously wound Keys. See supra p.
1453. A 50% probability exists that Phillips
shot Walker with his gun
39 F.3d 873
Emmitt
Foster, Appellant, v.
Paul Delo, Appellee
United
States Court of Appeals,
Eighth Circuit.
Submitted
May 24, 1994.
Decided Nov. 7, 1994
Before RICHARD S.
ARNOLD, Chief Judge,
BRIGHT, Senior Circuit
Judge, McMILLIAN,
Circuit Judge, JOHN R.
GIBSON, Senior Circuit
Judge, and FAGG, BOWMAN,
WOLLMAN, MAGILL, BEAM,
LOKEN, HANSEN, and
MORRIS SHEPPARD ARNOLD,
Circuit Judges, En Banc.
MORRIS SHEPPARD ARNOLD,
Circuit Judge.
Emmitt Foster was
sentenced to death
for the murder of
Travis Walker. After
his appeal failed,
he filed a motion
for post-conviction
relief under former
Missouri Rule 27.26.
Mo.R.Crim.P. 27.26 (repealed
and replaced with
Mo.R.Crim.P. 29.15
in 1987). The
Circuit Court of St.
Louis County denied
the motion, and the
Missouri Court of
Appeals affirmed the
denial. Foster v.
State, 748 S.W.2d
903 (Mo.App.1988).
After exhausting his
remedies in state
court, Foster
challenged the
conviction and
sentence by filing
this petition for
writ of habeas
corpus alleging
twenty-five
constitutional
defects in his trial.
Since filing for
relief in the
district court,
Foster has filed
three state
petitions for writ
of habeas corpus, in
1988, 1992, and
1994, alleging
grounds for relief
that had not been
raised in the
earlier proceedings
in state court. The
district court
considered Foster's
petition on the
state's motion for
summary judgment and
denied relief;
Foster appealed. A
panel of this court
reversed and ordered
the district court
to issue a writ
vacating the death
sentence. Foster v.
Delo, 11 F.3d 1451
(8th Cir.1994). We
granted the state's
request for
rehearing, vacated
the panel's opinion,
and ordered
rehearing en banc.
I.
Walker was murdered
during the very
early hours of
November 20, 1983,
after Foster and
Michael Phillips
entered, apparently
on a ruse, the home
Walker shared with
Deann Keys, and
robbed them of
jewelry and other
valuables. Phillips
had telephoned
Walker's home at
approximately 2:00
a.m., claiming that
he needed help with
a flat tire. Walker
and Phillips were
friends and had
known each other
since childhood;
Walker, Phillips,
and Foster were
teammates on a
softball team. Keys
also knew both
Phillips and Foster,
although she knew
Foster as John Lee.
After the telephone
call, Phillips
arrived with Foster,
and the two spoke
with Walker; Keys
remained in bed, but
overheard parts of
the conversation.
Phillips soon
entered the bedroom,
pointed a gun at
Keys, and ordered
her into the living
room. Keys went into
the living room and
saw Walker lying on
the floor with
Foster pointing a
gun at his head.
Foster and Phillips
forced Keys to lie
down next to Walker.
Phillips began to
search the victims'
home for valuables
and found some. He
then demanded to
know where the rest
of the jewelry was.
Walker told him that
it was at Walker's
mother's home.
Phillips continued
his search, but
apparently found
nothing more. He
then told Keys and
Walker that he and
Foster were leaving
and ordered the
victims not to move
or to attempt to
pursue them. Keys
heard a shot and
apparently lost
consciousness. When
she regained
consciousness she
tried to find a
neighbor, but was
unsuccessful; she
then tried to use
the telephone, but
the line was dead.
She returned to her
bedroom, and,
convinced that she
was near death,
wrote the names
"John Lee" (Foster's
alias) and "Mike
Philips [sic]" twice
on an envelope.
Police officers, who
had been summoned by
Keys's neighbor,
arrived and found
Keys still alive;
Walker was already
dead. An autopsy
subsequently
revealed that Walker
had been shot four
times in the head.
Medical evidence
revealed that Keys
had also been shot
four times in the
head. Walker and
Keys were shot with
different guns. Keys
survived and
testified at trial,
identifying Foster
as one of her
assailants, although
she could not say
whether Foster or
Phillips or both did
the shooting.
Foster did not
testify at either
the guilt or penalty
phase of his trial.
He was convicted of
capital murder and
sentenced to death
in 1984. Phillips
remained a fugitive
until shortly before
Foster's trial and
was tried in 1985.
He was convicted of
felony-murder and
was sentenced to
life in prison.
II.
Of Foster's twenty-five
grounds for relief,
the panel found only
one to be
meritorious: it
agreed that Foster's
counsel had failed
to inform him of his
right to testify at
the penalty phase of
his trial and that
this failure
amounted to
prejudicial
ineffective
assistance of
counsel. The state
argues that this
claim and ten others
are procedurally
barred because
Foster failed to
raise them in his
state petition for
post-conviction
relief. Although
some of the ten
claims are indeed
barred, it is clear
that Foster claimed
that he was entitled
to post-conviction
relief in part
because his trial
counsel failed to
call him to testify.
This claim is
therefore properly
before us.
In order to be
entitled to relief
because of
ineffective
assistance of
counsel, a
petitioner must show
both that his
counsel "made errors
so serious that
counsel was not
functioning as the 'counsel'
guaranteed the
defendant by the
Sixth Amendment,"
and that "counsel's
errors were so
serious as to
deprive the
defendant of a fair
trial, a trial whose
result is reliable."
Strickland v.
Washington, 466 U.S.
668, 687, 104 S.Ct.
2052, 2064, 80 L.Ed.2d
674 (1984). "An
error by counsel
even if
professionally
unreasonable, does
not warrant setting
aside the judgment
of a criminal
proceeding if the
error had no effect
on the judgment."
Strickland, 466 U.S.
at 691, 104 S.Ct. at
2066. Foster must
also show that he
was prejudiced by
his counsel's
ineffective
performance: he "must
show that there is a
reasonable
probability that,
but for counsel's
unprofessional
errors, the result
of the proceeding
would have been
different."
Strickland, 466 U.S.
at 694, 104 S.Ct. at
2068.
Foster argues that
his attorney should
have called him to
testify in order to
convince the jury
not to impose
capital punishment
on him. He does not,
however, tell us why
he believes that
there is a
reasonable
probability that the
jury would have
reached a different
verdict if it had
heard his testimony.
In fact, at the
evidentiary hearing
held when the state
court heard his
motion for relief
under Rule 27.26,
Foster never even
indicated what his
testimony would have
been had he taken
the stand. Since it
is incumbent upon a
petitioner to show
that he was actually
prejudiced by his
counsel's actions,
we cannot grant
relief.
Foster admits in his
brief that he failed
to show prejudice at
his hearing for
post-conviction
relief, but urges us
to consider this as
yet another example
of ineffective
assistance of
counsel. The
performance of
Foster's post-conviction
counsel, however,
even if it were
shown to have been
ineffective, could
not provide a basis
for issuing a writ
of habeas corpus.
There is no
constitutional right
to counsel in state
post-conviction
hearings; there can
be, therefore, no
constitutionally
ineffective
assistance that
could justify
issuing the Great
Writ on this ground.
Coleman v. Thompson,
501 U.S. 722,
751-53, 111 S.Ct.
2546, 2566, 115 L.Ed.2d
640 (1991); Pollard
v. Delo, 28 F.3d
887, 888 (8th
Cir.1994).
III.
When a panel of this
court reviewed this
case, it found in
favor of the state
on twenty-four of
Foster's claims. The
state petitioned for
rehearing of the one
claim that it lost.
Foster did not seek
rehearing of the
rejected claims,
although his oral
argument before this
court made clear
that he had not
abandoned them. We
will ordinarily
consider on
rehearing only those
issues specifically
raised in a petition,
and will depart from
this rule only on
the rarest of
occasions. Brown v.
Stites Concrete,
Inc., 994 F.2d 553,
557 (8th Cir.1993)
(en banc). Because
Foster's petition
for relief
challenges the
propriety of his
execution, we
believe that this
case presents
circumstances
warranting a review
of his remaining
claims.
A.
In addition to his
claim that his
counsel was
ineffective for not
calling him to
testify, Foster
argues that his
counsel was
ineffective for
several other
reasons.
Foster claims that
his trial counsel
was ineffective
because he did not
attempt to
rehabilitate two
members of the
venire who stated on
voir dire that they
could not, in any
circumstances,
consider imposing
capital punishment.
Foster concedes,
citing Wainwright v.
Witt, 469 U.S. 412,
105 S.Ct. 844, 83
L.Ed.2d 841 (1985),
that a prosecutor
may exclude jurors
who profess an
inability to impose
the death penalty.
See also Hulsey v.
Sargent, 865 F.2d
954 (8th Cir.1989),
cert. denied, 493
U.S. 923, 110 S.Ct.
291, 107 L.Ed.2d 270
(1989). The
prosecutor asked
each of the jurors
in question whether,
after having been
instructed as to the
law and after
hearing the evidence,
they could not in
any circumstances
consider the death
penalty. They
answered,
unequivocally, that
they could not
consider it. In the
face of such clear
answers, it was
reasonable for
Foster's trial
counsel to conclude
that there was no
point in attempting
to rehabilitate
these two jurors.
Foster makes the
related argument
that trial counsel
was ineffective for
failing to object to
the prosecutor's
questioning of the
venire with respect
to capital
punishment. In
reviewing this
argument as part of
Foster's request for
post-conviction
relief, the Missouri
Court of Appeals
found that "[t]he
prosecutor's
questions were not a
request for a
commitment from
prospective jurors
to a future course
of action, but
constituted a proper
inquiry into whether
the venire members
would be able to
follow the court's
instructions with
regard to assessing
punishment." Foster,
supra, 748 S.W.2d at
907. The record
adequately supports
the findings of the
state court, which
are, of course,
therefore entitled
to a presumption of
correctness. Sumner
v. Mata, 455 U.S.
591, 102 S.Ct. 1303,
71 L.Ed.2d 480
(1982). The failure
to object to proper
questions cannot be
considered
unreasonable.
Foster asserts that
his trial counsel
was ineffective
because he failed to
make an offer of
proof when, in the
penalty phase, the
court sustained the
prosecutor's
objections to
several questions
asked of Foster's
mother in order to
elicit mitigating
evidence. The
questions related to
Foster's upbringing:
his mother's age
when he was born;
whether his father
was alive; whether
he knew his father;
whether he had
deceased siblings;
and whether his
mother was wealthy.
Foster's mother
answered three of
these before the
prosecutor objected:
she was fifteen when
Foster was born; his
father was deceased;
not all of his
siblings were still
living. Even if we
were to conclude
that the failure to
make an offer of
proof with respect
to the unanswered
questions was
unreasonable, we
would still not be
able to conclude
that Foster's
counsel was
constitutionally
ineffective because
it is clear that
Foster has not
satisfied the
requirements of
Strickland. In order
to be entitled to
relief, Foster "must
show that there is a
reasonable
probability that,
but for counsel's
unprofessional
errors, the result
of the proceeding
would have been
different."
Strickland, supra,
466 U.S. at 694, 104
S.Ct. at 2068. The
Supreme Court
explained that a
reasonable
probability "is a
probability
sufficient to
undermine confidence
in the outcome" of
the trial. Foster
has not demonstrated,
and we cannot find
anything in the
record to suggest,
that there was a
reasonable
probability that the
jury would have
chosen life
imprisonment instead
of execution if
Foster's mother had
been allowed to say
that Foster never
had much contact
with his father and
that she was not a
wealthy woman.
Foster's next claim
is that his counsel
was ineffective
because he did not
timely object to
questions of a
witness, one of
Foster's neighbors
who attended church
with Foster,
relating to a
photograph that had
not been disclosed
to the defense prior
to the trial, and to
a reference to a
tenet of the Islamic
faith during the
prosecutor's closing
argument. The
photograph
apparently showed a
man wearing a fez
and sitting between
an American flag and
a Black Muslim flag.
When the prosecutor
asked whether the
person in the
photograph was
Foster, Foster's
counsel promptly
objected; the record
reveals no answer.
The photograph was
marked, but not
admitted into
evidence. The jury
saw the photograph
only at a distance.
The prosecutor's
only mention of
Islam in his closing
argument was in a
reference to what he
described as the
Christians' "Golden
Rule," namely, that
one should do unto
others what he would
have others do unto
him; he also stated
that Muslims and
Confucians have
similar rules. We
can find no evidence
that counsel's
action or inaction
was ineffective or
prejudicial.
Foster claims that
his trial counsel
was ineffective
during the guilt
phase of the trial
because counsel
failed to
investigate the
medical records of
Deann Keys.
According to the
records of the
emergency room to
which Keys was
brought, Keys was
shot while lying in
bed, not while lying
on the floor in the
living room. Since
the only defense
Foster presented was
that he was not in
Keys's home at the
time of Walker's
murder, and since
Keys's testimony
placed him in that
place at that time,
Foster argues that
Keys's credibility
was crucial to the
government's case,
and that the medical
records, had they
been introduced,
would have impeached
her credibility.
Assuming, without
deciding, that the
medical records
would have been
admissible, Foster's
argument has no
merit. First,
because Foster's
defense was that he
was not in Keys's
home, it makes
little difference
whether she was shot
in the bedroom or
the living room.
Second, the record
reveals that Keys's
speech was inaudible
when police officers
found her, and
understandably so
since she had been
shot four times in
the head. The
personnel of the
emergency room who
made the record
might well have made
the error because
they did not
understand her.
Third, Keys
testified that she
got up after she had
been shot, left the
apartment to find
help, returned to
the apartment when
she thought she had
failed, went to her
bedroom, and wrote
down the names of
her assailants
before lying down in
the bed where she
was eventually found.
We cannot discern
any prejudice in
trial counsel's
failure to show that
this sequence of
events began in the
bedroom (assuming
the medical records
are correct and
Keys's own
recollection is
wrong) rather than
in the living room.
Foster's next
argument is even
less convincing: he
argues that his
trial counsel was
ineffective for
failing to offer
into evidence the
toxicological report
on Walker's body.
That report revealed
that Walker's blood
alcohol level was
0.117 percent. We
fail to see how the
failure to present
evidence that Walker
was drunk could
possibly have been
prejudicial to
Foster in either of
the phases of his
trial.
Foster next asserts
that his trial
counsel was
ineffective because
he should have
interviewed Phillips
who was in custody
one month before
trial. In support of
this argument,
Foster has submitted
Phillips's affidavit,
executed in January
of 1988, in which he
states that had he
been asked to
testify at Foster's
trial, he would have
testified that to
the best of his
knowledge Foster had
nothing to do with
Walker's murder. We
are not persuaded
that it was
unreasonable for
trial counsel to
decline to call
Phillips to testify
and thereby to
subject him to
cross-examination on
the details of the
crime and of
Foster's role in it.
We are also
skeptical that
Phillips would have
testified at
Foster's trial when
he risked direct and
cross-examination
through which he
might well have
incriminated himself.
We are confident,
moreover, that the
result of the trial
would not have been
different if
Phillips had
testified.
Foster claims that
his trial counsel
was ineffective for
failing to
investigate
adequately the
background of Tyrone
Mitchell, one of the
state's witnesses.
Mitchell testified
that he heard and
saw Keys on the
night she was shot,
that she had
difficulty speaking,
and that he directed
a neighbor to
telephone the police.
Foster's trial
counsel did not know
that Mitchell had
made a deal with the
state according to
which he would
testify against
Foster if the state
dismissed a criminal
charge against him.
This claim is
procedurally barred
because Foster did
not raise it in his
direct appeal or in
his state petition
for post-conviction
relief. Even if it
were not barred, it
would not provide a
basis for relief.
Mitchell was a minor
witness and his
testimony was
consistent with that
of others. We cannot
say that if the jury
had known about the
agreement, it would
have discounted
Mitchell's testimony;
if it had discounted
Mitchell's testimony,
it is not likely
that it would have
acquitted Foster.
Foster urges us to
reverse the district
court because his
trial counsel was
ineffective for
failing to object to
certain instructions
given to the jury.
Foster failed to
raise these issues
in his motion for
post-conviction
relief under Rule
27.26. He has
therefore defaulted
on these claims. His
subsequent state
petitions for writ
of habeas corpus,
which were filed
after he filed his
federal petition,
cannot undo the
default. Blair v.
Armontrout, 976 F.2d
1130, 1136 (8th
Cir.1992), cert.
denied. --- U.S.
----, 113 S.Ct.
2357, 124 L.Ed.2d
265 (1993); Daniels
v. Jones, 944 F.2d
429 (8th Cir.1991).
B.
Foster makes three
arguments relating
to the jury
instructions given
at the close of the
penalty phase of
Foster's trial. He
argues, first, that
the jury
instructions
required that the
jury could consider
as mitigating
circumstances only
those circumstances
that the jury
unanimously found to
exist. Such
instructions are
contrary to the rule
that the jury must
be permitted to
consider all
mitigating evidence.
See Mills v.
Maryland, 486 U.S.
367, 384, 108 S.Ct.
1860, 1870, 100 L.Ed.2d
384 (1988). Foster
made this argument
for the first time
in his federal
petition for a writ
of habeas corpus.
Because he raised
this issue neither
on direct appeal nor
in his motion for
relief under Rule
27.26, his claim for
relief is barred. A
petitioner may, of
course, avoid a
procedural bar if he
can show both good
cause for failing to
raise the barred
issue earlier and
actual prejudice
resulting from the
alleged
constitutional
violation.
Wainwright v. Sykes,
433 U.S. 72, 84-87,
97 S.Ct. 2497,
2505-07, 53 L.Ed.2d
594 (1977). But
Foster has shown
neither.
Foster's second
challenge to the
jury instructions
concerns the third
of four aggravating
circumstances
defined for the jury:
the trial court
instructed the jury
to decide "[w]hether
the murder of Travis
Walker involved
depravity of mind
and that as a result
thereof it was
outrageously or
wantonly vile,
horrible or
inhuman." This
instruction was
based on former
section
565.012.2(7).
Mo.Ann.Stat. Sec.
565.012.2(7) (Vernon
1979) (repealed and
replaced with
Mo.Ann.Stat. Sec.
565.032.2(7) in
1983). Once again,
Foster is not
entitled to relief.
Foster did not
object at trial to
the instruction he
is now challenging;
nor did he raise
this issue in his
state petition for
post-conviction
relief. His claim is
therefore
procedurally barred.
Foster's final
challenge to the
jury instructions is
his claim that the
trial court should
have instructed the
jury that it should
consider as a
mitigating
circumstance whether
Foster "acted under
extreme duress or
substantial
domination of
another person."
Foster urges us to
conclude that he was
entitled to this
instruction because
he was acting under
the substantial
dominance of
Phillips when they
murdered Walker. The
Supreme Court of
Missouri found that
Foster presented
absolutely no
evidence that he
acted under duress
or under Phillips's
dominance on the
night of the murder.
State v. Foster, 700
S.W.2d 440, 444
(Mo.1985), cert.
denied, 476 U.S.
1178, 106 S.Ct.
2907, 90 L.Ed.2d 993
(1986). That
conclusion is well
supported in the
record, and thus
Foster is not
entitled to relief
on this ground.
C.
Foster's remaining
claims relate to a
number of alleged
errors, some of
which have already
been discussed in
other contexts. None
has merit. Foster
argues that the
trial court denied
him a fair trial
when it sustained
the state's
objections to
questions that his
counsel posed to his
mother during the
penalty phase of the
trial. As we said
above, the jury
actually heard
Foster's mother's
answers to some of
these questions
before the state
objected; Foster's
trial counsel failed
to make an offer of
proof with respect
to the unanswered
questions. We held
above that this
could not be
ineffective
assistance of
counsel because
Foster could show no
prejudice. In the
present context, the
determination of
whether the trial
court's ruling
denied Foster a fair
trial, we will
consider Foster's
claim procedurally
barred unless the
alleged
constitutional error
"probably resulted
in a verdict of
death against one
whom the jury would
otherwise have
sentenced to life
imprisonment."
Stokes v. Armontrout,
893 F.2d 152, 156
(8th Cir.1989).
Foster had wanted
his mother to
testify that he had
little contact with
his father and that
one of his brothers
was deceased. We do
not think it
probable that the
more complete
testimony of
Foster's mother,
which Foster
presented at his
hearing for state
post-conviction
relief, would have
had any effect on
the jury's verdict.
Foster argues that
he was entitled to a
trial by a jury
drawn from a fair
cross section of the
community and that
the state's
exclusion of members
of the venire who
expressed
reservations about
capital punishment
but did not
unequivocally aver
that they would not
follow the court's
instructions on the
law with respect to
the death penalty
deprived him of a
fairly
representative jury.
See Duncan v.
Louisiana, 391 U.S.
145, 88 S.Ct. 1444,
20 L.Ed.2d 491
(1968) (a criminal
defendant is
entitled to trial by
jury); Taylor v.
Louisiana, 419 U.S.
522, 95 S.Ct. 692,
42 L.Ed.2d 690
(1975) (petit jury
must be selected
from a pool that is
a fair cross section
of the community).
The Supreme Court
has made clear that
it is not improper
to exclude from a
jury, either for
cause or by way of
peremptory
challenges, those
members of the
venire who are
opposed to capital
punishment, and has
emphasized that
opponents of the
death penalty are
not members of a
distinctive group
that under Duren v.
Missouri, 439 U.S.
357, 99 S.Ct. 664,
58 L.Ed.2d 579
(1979), may not be
excluded from the
jury pool. Lockhart
v. McCree, 476 U.S.
162, 173-74, 106
S.Ct. 1758, 1764-65,
90 L.Ed.2d 137
(1986). Foster's
argument therefore
provides no basis
for relief.
Foster alleges that
his rights under the
Fourteenth Amendment
were infringed by
the refusal of the
Missouri Supreme
Court to accept an
untimely request to
transfer from the
Missouri Court of
Appeals to the
Missouri Supreme
Court his appeal of
the denial of his
state motion for
post-conviction
relief. The Missouri
Court of Appeals had
affirmed the denial
of Foster's petition
for post-conviction
relief. Foster then
requested rehearing
by the Court of
Appeals or transfer
to the Missouri
Supreme Court. The
Court of Appeals
denied his request.
Foster next
petitioned the
Missouri Supreme
Court requesting
that it transfer his
appeal from the
Court of Appeals.
The Missouri Supreme
Court refused to
file the request
because it exceeded
the six-page limit
for such requests by
one and one-half
pages. Foster
apparently shortened
his request, but
filed it two days
late. Foster asserts
that the Missouri
Supreme Court
routinely grants
such requests for
transfer and
suggests that the
failure to accept
the untimely request
was improper. Foster
claims that this
amounted to a
deprivation of a
fundamental
constitutional right
because the Missouri
Supreme Court does
not treat those who
have been sentenced
to death in the same
manner as it treats
others. He has,
however, utterly
failed to present
evidence that the
Supreme Court
routinely grants
such requests to
other criminal
defendants or other
prisoners appealing
from denials of
post-conviction
relief. Indeed, we
have noted that the
Missouri Supreme
Court does not
usually grant such
requests. Brown v.
Armontrout, 898 F.2d
84, 86 n. 5 (8th
Cir.) (noting that
the State argued in
its brief that
Missouri Supreme
Court granted motion
to transfer in only
eleven percent of
all cases in 1986;
and noting that the
district court in
Fisher v. Trickey,
656 F.Supp. 797, 804
(W.D.Mo.1987), found
no cases in which
the Missouri Supreme
Court granted a
request for transfer
made by a criminal
defendant or a
petitioner for writ
of habeas corpus),
cert. denied, 498
U.S. 868, 111 S.Ct.
186, 112 L.Ed.2d 149
(1990). We cannot
conclude that the
Missouri Supreme
Court treated Foster
differently from the
way that it treated
anybody else.
Foster argues that
his right to due
process was
infringed when the
state played a tape
recording of Dorothy
Beck Lee's (Beck's)
statements to police.
Beck was Foster's
girlfriend. She
testified, as part
of Foster's defense
during the guilt
phase of the trial,
that Foster was with
her at the time of
the murder. She had
told police that
Foster was not with
her at that time,
and that Foster had
asked her to cover
for him by saying
that she was with
him then. The
admissibility of
evidence is a
question of state
law that does not
raise a federal
issue unless
admitting the
evidence infringes
specific
constitutional
protections or is so
prejudicial that it
amounts to a denial
of due process.
Adail v. Wyrick, 711
F.2d 99, 102 (8th
Cir.1983). Foster
cites no specific
protection that has
been infringed; nor
does he show us why
the tape was so
prejudicial that he
was denied due
process. Because
there is no federal
constitutional
violation, we deny
relief on this
ground.
Foster asserts that
the state's argument
at the close of the
guilt phase of the
trial violated due
process. The state
attempted to explain
to the jury the
differences between
capital murder and
first degree murder,
and between those
offenses and other
homicides. The state
argued that this was
a case of capital
murder, and
explained that first
degree murder is not
a lesser included
offense of capital
murder: "That's the
way the law used to
be.... But now they
changed the law as
the legislature has
the right to do....
Actually, they
changed it again,
but it doesn't go
into effect until
next year." At this
point Foster's
counsel objected. As
Foster's argument
here makes clear,
this issue also is
one of state law.
Missouri does indeed
forbid arguing
questions of law to
the jury. State v.
Williams, 588 S.W.2d
70, 74 (Mo.App.1979).
We can award a writ
of habeas corpus on
due process grounds,
however, only if the
state's argument so
infected the trial
as to render it
fundamentally unfair.
Darden v.
Wainwright, 477 U.S.
168, 181, 106 S.Ct.
2464, 2471, 91 L.Ed.2d
144 (1986); Pickens
v. Lockhart, 4 F.3d
1446, 1453 (8th
Cir.1993), cert.
denied, --- U.S.
----, 114 S.Ct.
1206, 127 L.Ed.2d
553 (1994). Having
reviewed the record,
we cannot conclude
that the state's
comments denied
Foster due process.
Foster claims that
he should not be put
to death because his
punishment is
disproportional to
that imposed on
Phillips and on
other defendants in
similar cases. The
Eighth Amendment
does not require
that courts compare
the sentences
imposed in similar
cases. Pulley v.
Harris, 465 U.S. 37,
48-51, 104 S.Ct.
871, 878-79, 79 L.Ed.2d
29 (1984); Jurek v.
Texas, 428 U.S. 262,
96 S.Ct. 2950, 49
L.Ed.2d 929 (1976).
Under Missouri law,
however, the Supreme
Court of that state
does undertake a
comparative review
of all verdicts in
which a jury or a
judge imposed
capital punishment
instead of
imprisonment for
life. Mo.Ann.Stat.
Sec. 565.014 (Vernon
1979) (repealed and
replaced with
Mo.Ann.Stat. Sec.
565.035 in 1983).
Where a state
creates a right,
such as a
defendant's right to
a review of his
sentence, the
Fourteenth Amendment
of course entitles
him to procedures to
ensure that the
right is not
arbitrarily denied.
Wolff v. McDonald,
418 U.S. 539, 557,
94 S.Ct. 2963, 2975,
41 L.Ed.2d 935
(1974); see also
Hicks v. Oklahoma,
447 U.S. 343,
346-47, 100 S.Ct.
2227, 2229-30, 65
L.Ed.2d 175 (1980).
But the Missouri
Supreme Court
conducted the
relevant review in
this case and
concluded that the
punishment was not
disproportional to
that imposed for
similar crimes in
similar cases.
Foster, supra, 700
S.W.2d at 444-45.
Foster's claim
presents no basis
for relief.
Foster argues that
he is entitled to
relief because the
state's failure to
reveal that Tyrone
Mitchell agreed to
testify at Foster's
trial in exchange
for the state's
dismissal of charges
against Mitchell
amounted to
prosecutorial
misconduct. This
claim is
procedurally barred
because Foster
failed to raise it
in state proceedings.
As we stated above,
moreover, when we
reviewed the claim
of ineffective
assistance of
counsel relating to
Mitchell's testimony,
Mitchell was,
despite Foster's
assertions to the
contrary, a minor
witness. We do not
think that there is
a reasonable
possibility that the
jury would have
rendered a different
verdict if the
agreement between
Mitchell and the
state had been
revealed to it.
IV.
On May 13, 1994,
eleven days before
we heard argument en
banc, Foster filed a
motion to remand
this matter to the
district court for
the presentation of
newly discovered
evidence. We took
the motion as
submitted with the
case. Foster claims
that an investigator
working for the
Missouri Capital
Punishment Resource
Center obtained in
late 1993 a copy of
the file on Travis
Walker's murder held
by the St. Louis
police. She is said
to have learned that
a report by Sidney
R. Anderson, an
investigator with
the Medical
Examiner's office,
stated that Deann
Keys "was unable to
talk due to damage
from her wound, but
from the evidence at
the apartment, it
appears that she was
in bed when she was
shot." This report,
Foster claims, was
never revealed to
trial counsel.
Foster has raised
this issue in a
separate petition
for writ of habeas
corpus that he filed
on May 9 of this
year with the
Missouri Supreme
Court. Because it is
the subject of
pending state
proceedings, we deny
Foster's motion
without prejudice to
such rights to raise
this issue as he may
have had as of May
13, 1994.
V.
For the reasons
given, we affirm the
judgment of the
District Court
denying Foster a
writ of habeas
corpus.
*****
BRIGHT, Senior
Circuit Judge, with
whom McMILLIAN,
Circuit Judge, and
JOHN R. GIBSON,
Senior Circuit Judge,
join, dissenting.
We dissent. Counsels'
ineffective
assistance deprived
Foster of the right
to testify on his
own behalf and
prejudiced the
outcome of the
sentencing
proceeding. Thus,
the death sentence
is flawed.
The majority has
elected not to
discuss the
performance
component of the
Strickland inquiry
and instead solely
addresses the issue
of prejudice. We,
however, discuss
both components of
the ineffectiveness
claim and observe
that the
deficiencies of
counsels' actions
throw light on the
issue of prejudice,
as well as establish
that Foster received
less than competent
representation.
Strickland requires
the petitioner to "identify
the acts or
omissions of counsel
that are alleged not
to have been the
result of reasonable
professional
judgment."
Strickland v.
Washington, 466 U.S.
668, 690, 104 S.Ct.
2052, 2066, 80 L.Ed.2d
674 (1984). In his
habeas petition,
Foster contends that
his counsels'
failure to properly
notify him of his
fundamental right to
testify during the
penalty phase of his
capital trial
rendered counsels'
conduct
constitutionally
deficient. The
Report and
Recommendation of
United States
Magistrate Judge,
adopted by the
federal district
court,1
rejected Foster's
sixth amendment
claim for failure to
prove prejudice. In
addition, the
opinion asserted
that the record did
not support Foster's
claims that he was
misled by counsel or
that he was ignorant
of his right to
testify. In this
regard, the district
court clearly erred
as a matter of fact
and erred as a
matter of law based
on the undisputed
record.
We briefly relate
the record on this
matter. During the
Rule 27.26 (now Rule
29.15) post-conviction
hearing in the
Circuit Court of St.
Louis County, Peter
Dunne, Foster's lead
counsel at the
penalty phase of his
capital trial, in
substance admitted
not discussing with
Foster whether or
not Foster should
take the stand
during the penalty
phase. On direct
examination by
Foster's counsel,
Dunne said, "As I
recall it, the
subject came up
principally about
testifying in the
guilt phase of the
trial. I cannot
pressume [sic]
discussing his
testifying in the
penalty phase of the
trial." Post-Conviction
Relief Tr. [hereinafter
PCR Tr.] Vol. I at
94.
During cross-examination
by Foster's attorney,
Dunne clarified that
general response:
Q Did you tell [Mr.
Foster] he could
testify in the
penalty phase if he
chose to do so?
A I don't recall
discussing the
penalty of him
testifying at the
penalty phase.
Q Didn't it occur to
you that his
testimony in the
penalty phase would
allow the jury to
have more insight
into the man Emmitt
Foster was?
A I guess the answer
to that is, no.
Q So you didn't
think that could be
helpful in terms of
it leading to some
mitigating evidence?
A I don't see how it
could have been.
PCR Tr. Vol. I at
130.
Similarly, when
Foster's lead
counsel during the
guilt phase, Bill
Aylward, was asked
whether he had
discussed with
Emmitt Foster his
ability to testify
during the penalty
phase, Mr. Aylward
could not "recall
specifically [whether]
we did or not." PCR
Tr. Vol. II at 12.
When questioned
whether Foster had
at any time asked
Aylward to allow him
to testify, Aylward
responded, "No." Id.
at 13.
During this same
hearing Emmitt
Foster himself
testified on this
crucial issue as
follows:
Q Did they [Aylward
and Dunne] explain
to you that if the
case were to go into
the penalty phase
that the jury would
then be informed of
your prior
convictions?
A No, they didn't.
Q What did they tell
you about the
penalty phase?
A Nothing in that
respect.
Q Did they inform
you of whether or
not you had the
right to testify at
that time?
A No, they didn't.
Q After the case was
submitted to the
jury and it returned
its verdict did you
at any time ask them
if you could testify
in the penalty phase?
A No, I didn't have
no knowledge that I
could testify. So,
you know, it never
even entered my mind
to try to testify I
didn't believe I
could.
PCR Tr. Vol. I at
41.
Thus, without
dispute in the
record, Foster's
lawyers failed to
appreciate the
importance of having
Foster testify
during the penalty
phase of his capital
trial, to advise
Foster of his
constitutional right
to testify in the
penalty phase and to
recognize the
probable benefits
deriving from such
testimony. The
federal district
court's conclusion
in this case, that
there existed no
indication that
Foster was misled or
ignorant of his
right to testify,
lacks any support in
the record.2
The law recognizes
the right of a
criminal defendant
to testify on his or
her own behalf as
fundamental and
personal, with the
privilege of waiver
or invocation
belonging solely to
the defendant. El-Tabech
v. Hopkins, 997 F.2d
386, 388 (8th
Cir.1993); United
States v. Bernloehr,
833 F.2d 749, 751
(8th Cir.1987). A
defendant's attorney,
however, carries
primary
responsibility for
notifying the
defendant of that
right. United States
v. Teague, 953 F.2d
1525, 1533 (11th
Cir.), cert. denied,
--- U.S. ----, 113
S.Ct. 127, 121 L.Ed.2d
82 (1992). The very
"purpose of the
constitutional
guaranty of a right
to counsel is to
protect an accused
from conviction
resulting from his
own ignorance of his
legal and
constitutional
rights." Johnson v.
Zerbst, 304 U.S.
458, 465, 58 S.Ct.
1019, 1023, 82 L.Ed.
1461 (1938). Foster
did not waive his
right to testify at
the penalty phase,
but his attorneys
ignored that right
and rendered Foster
grossly ineffective
assistance in that
regard. Teague, 953
F.2d at 1534; cf.
Bernloehr, 833 F.2d
at 752 n. 2 (noting
that "cases in which
courts have found a
denial of a
defendant's right to
testify almost
invariably involve
ineffective
assistance of
counsel or
impermissible
actions by the trial
judge").
II. PREJUDICE
Counsels' failure to
advise Foster of his
right to testify
during the penalty
phase of his capital
trial prevented the
jury from
considering vital
mitigating evidence
and thus prejudiced
the proceeding.
To establish
prejudice, the
petitioner must show
that "there is a
reasonable
probability that,
but for counsel[s']
unprofessional
errors, the result
of the proceeding
would have been
different."
Strickland, 466 U.S.
at 694, 104 S.Ct. at
2068. Beyond
considerations of
outcome, however,
the Strickland
inquiry asks whether
the "result of the
proceeding was
fundamentally unfair
or unreliable."
Lockhart v. Fretwell,
--- U.S. ----, ----,
113 S.Ct. 838, 842,
122 L.Ed.2d 180
(1993).
The majority
contends that
Foster's failure in
the prior Missouri
court proceedings to
specify the content
of his testimony
constitutes a
failure to establish
prejudice and bars
any relief. See
Foster, maj. at 877.
But that conclusion
omits what is
obvious in this case
on the record before
us. In our view,
when counsel's
conduct denies the
defendant an
opportunity to
testify on his own
behalf and that
testimony might make
the difference
between life and
death in the
sentencing phase of
the trial, a court
must examine the
whole record for a
determination of
prejudice or not.3
In this case, five
defense witnesses
testified during the
penalty phase of the
capital trial on
Foster's behalf,
four as character
witnesses and one as
an expert on the
deterrent effect of
capital punishment.
As the record
reflects, three of
the four character
witnesses spoke
about Foster's very
active involvement
in the African
Methodist Episcopal
(AME) Church to
which he belonged.
Albert A. Walton,
Jr., a friend from
church, suggested
that Foster involved
himself in the
church "to reform
himself and to live
a better life."
Trial Tr. Vol. III
at 922. Another
witness, Reverend
Lawrence Davison,
testified that
Foster participated
in various church
projects, including
the showing of films
to children on
Saturday afternoons.
Id. at 909. A third
witness, James
Leonard "Mateus"
Trimble,
characterized Foster
as a very close
friend and a
dedicated member of
the church who
frequently woke
Trimble up on Sunday
mornings to ensure
that he went to
services. Id. at
931-32.
The testimony
elicited from these
witnesses also
sought to portray
Foster as a
responsible man whom
people could count
on and could trust
with their children,
their friends and
their fellow
parishioners. For
instance, Reverend
Davison testified
that Foster had "keys
to [his] church, to
the door and to [his]
upstairs apartment."
Id. at 907. Mr.
Trimble chronicled
how Foster would
always help Trimble
move his junk
collection in or out
of the house. Id. at
934. And Mr. Walton
stated that he "trusted
[Emmitt Foster] at [his]
home with [his] wife
and children and
friends." Id. at
922. The fourth
witness, Foster's
mother, attempted to
present testimony on
Foster's difficult
upbringing, but the
trial judge
prevented the jury
from hearing much
about Foster's
background by
sustaining
objections to
several aspects of
her testimony. Id.
at 903-05.
As to the other side
of the coin, how did
the prosecutor
portray Foster as a
person deserving to
die? The prosecutor
dehumanized Foster
as, in effect, a
non-person,
sometimes referring
to him as "that,"
with comments such
as these:
A friend, a friend
for a few bucks,
some pieces of
jewelry. That's the
manner of man they
will have us believe
we shouldn't do this.
Let him go among the
prison population, a
prison population
where every day
other people are
locked up for lesser
crimes. Guards have
to come to work
unarmed. You have no
right to do that
with this man. I
submit to you that
that's what we mean
by deterring him.
They, too, the
people who have to
go to the
penitentiary for
other crimes which
they have committed,
have lesser but
certain rights, and
they have a right
not to be exposed to
that. And the guards,
while they do an
unbelieveably
courageous job, have
a right to some
protection. They
have a right to that
(indicating) not
being there, and
that's what we call
deterring him.
....
... They [referring
to the victim's
family] had the
right to have their
son and grandson and
brother for the rest
of his natural life,
until somebody
superior to us
deemed it time for
him to die and not
that (indicating).
....
... It is right that
he should be
executed. There has
been some religious
discussion here. The
Christians have the
Golden Rule. 'Do
unto others what you
would have them do
unto you.' Muslims
reverse this process,
and the Koran says,
'Do not do unto
others what you
would have him do
unto you.' And
Confucius says, 'Man
should do that which
is right, not for
hope of reward or
for fear of
punishment. Man
should do what is
right, because that
is what it means to
be a man.' That is
what is the essence
of man, and that (indicating)
is no man.
Trial Tr. Vol. III
at 975-77 (emphasis
added).
Does this court need
a blueprint of
knowing Foster's
precise words which
had never been
spoken to address
the issue of
prejudice? On this
record, the answer
is "no."
The record, however,
clearly denotes what
Foster needed to do.
He stood convicted
of capital murder
and faced a probable
death sentence
unless he could show
that he deserved to
live. His witnesses
had spoken to
elements of his good
character. But
without Foster's
corroboration, that
testimony gained no
support from any
affirmation by the
person of whom the
witnesses had spoken.
Without such support
of Foster's
character, the other
witnesses' testimony
lacked a point of
reference, lacked
substance and lacked
credibility.
Regardless of his
actual words, just
taking the stand
after his witnesses
had testified would
demonstrate Foster
as a human and not a
"that."
We need go one step
further. Is there
prejudice shown? In
this case, prejudice
is apparent from the
record. The
prosecutor referred
to defendant as a "that."
Foster's mother was
restricted in
testifying on her
son's behalf.
Further, the
evidence shows an
equal probability
that Foster may not
have shot Walker,
but that his
colleague in the
crime, Michael
Phillips, may have
killed Walker.4
But the uncertainty
of who shot Walker
could carry no
weight in the
sentencing without
Foster taking the
witness stand.
We also know,
although the jury
did not, that this
crime, albeit
heinous, had not
previously called
for the death
penalty, as Phillips
had received life
imprisonment. At
least on the record
in this case, no
distinction exists
between the conduct
of Phillips and that
of Foster. All of
these circumstances
lead to a logical
conclusion of
prejudice to Foster
flowing from
counsels' deficiency.
Finally, the
prejudice from
Foster not taking
the stand comes
across with striking
effect in the
argument of Foster's
lawyer at the
penalty phase:
MR DUNNE: .... As I
stand here before
you in this court, I
must confess to you
that I am afraid. I
am afraid for myself.
I am afraid for
Emmitt, that I don't
have the ability to
speak for him. That
I won't be able to
find the words that
must be said now.
And most of all, I
am afraid that even
if I did, you would
not be swayed.
Trial Tr. Vol. III
at 979.
What irony! The
lawyer's ineffective
argument was brought
about by the
lawyer's own
ineffectiveness.
The Supreme Court
has made clear the
importance of a
criminal defendant's
right to testify,
stating:
None of these modern
innovations [in
criminal procedure]
lessens the need for
the defendant,
personally, to have
the opportunity to
present to the court
his plea in
mitigation. The most
persuasive counsel
may not be able to
speak for a
defendant as the
defendant might,
with halting
eloquence, speak for
himself [before the
imposition of a
sentence].
Green v. United
States, 365 U.S.
301, 304, 81 S.Ct.
653, 655, 5 L.Ed.2d
670 (1961). The
Court has also
observed "the most
important witness
for the defense in
many criminal cases
is the defendant
himself." Rock v.
Arkansas, 483 U.S.
44, 52, 107 S.Ct.
2704, 2709, 97 L.Ed.2d
37 (1987).
Foster's failure to
take the stand
because of counsels'
incompetence
virtually guaranteed
the death sentence
under the
circumstances.
Absent counsels'
incompetent waiver
of Foster's right to
testify, there
exists a reasonable
probability the jury
would not have
recommended the
death penalty. See
Smith v. Murray, 477
U.S. 527, 539, 106
S.Ct. 2661, 2669, 91
L.Ed.2d 434 (1986) (Stevens,
J., dissenting) ("The
record in this case
unquestionably
demonstrates that
petitioner's
constitutional claim
is meritorious, and
that there is a
significant risk
that he will be put
to death because his
constitutional
rights were violated."
(emphasis in
original)).
No claim is made in
this proceeding, nor
could it cogently be
made, that trial
strategy entered
into the failure of
counsel to advise
defendant of his
right to testify at
the penalty phase.
Cf. United States v.
Norwood, 798 F.2d
1094 (7th Cir.),
cert. denied, 479
U.S. 1011, 107 S.Ct.
656, 93 L.Ed.2d 711
(1986).
The majority today
seizes upon the fact
that there was no
showing as to what
Foster's testimony
would have been. The
critical point,
however, is that
Foster makes no
argument that he had
substantive factual
testimony to give.
What renders the
result in this case
fundamentally unfair
or unreliable is
that had Foster
testified, his
appearance and
demeanor, coupled
with the mitigating
testimony offered on
his behalf, could
well have caused
jurors who
entertained genuine
doubts and who were
troubled by an
absence of absolute
certainty5
to vote against
imposing the death
penalty. It was
Foster's only chance
to escape the death
penalty, but he was
deprived of it to
his prejudice by
inadequate counsel.
The failure of
counsel to recognize
the importance of
Foster's testimony,
and to advise him of
his right to testify
during the
sentencing phase of
the trial so that
Foster could and
would testify,
skewed the
adversarial balance
in the State's
favor, rendering the
sentence of death
unreliable and
unfair. Cf.
Strickland, 466 U.S.
at 696, 104 S.Ct. at
2069.
Accordingly, we
would reverse the
district court's
order denying
Foster's petition
for habeas relief
and direct the
district court to
issue a writ of
habeas corpus
vacating Foster's
death sentence. We
would leave to the
State of Missouri
the choice of having
Foster resentenced
to life imprisonment
without the
possibility of
parole or seeking a
new hearing on the
penalty phase of
this capital murder
case.
The opinion in the
district court
relied substantially
on the Missouri
State Court of
Appeals decision
affirming the state
circuit court's
denial of Foster's
post-conviction
claim of ineffective
assistance of
counsel. Foster v.
State, 748 S.W.2d
903 (Mo.Ct.App.1988)
As we have
previously observed
in the vacated panel
opinion, counsels'
rationale for
advising Foster not
to testify at the
guilt phase as not
beneficial to Foster
disappeared at the
penalty phase. The
adoption of that
rationale by the
state and federal
courts as to the
penalty phase was
faulty and clearly
erroneous. Foster v.
Delo, 11 F.3d 1451,
1456 (8th Cir.1993);
id. at 1459-60
(Gibson, J.,
concurring)
Cf. Strickland, 466
U.S. at 705, 104
S.Ct. at 2074
[A] failure to
consider relevant
aspects of a
defendant's
character and
background creates
such an unacceptable
risk that the death
penalty was
unconstitutionally
imposed that, even
in cases where the
matter was not
raised below, the "interests
of justice" may
impose on reviewing
courts "a duty to
remand [the] case
for resentencing."
Id. (emphasis added)
(Brennan, J.,
concurring in part
and dissenting in
part) (quoting
Eddings v. Oklahoma,
455 U.S. 104, 117,
n. *, 119, 102 S.Ct.
869, 878, n. *, 879,
71 L.Ed.2d 1 (1982)
(O'Connor, J.,
concurring)).
As ballistics
disclosed, a
separate gun
provided the fatal
gunshot wounds to
Walker than the gun
used to shoot and
grievously wound
Keys. See Foster, 11
F.3d at 1453. A 50%
probability exists
that Phillips shot
Walker with his gun
Such absence of
certainty has been
referred to as
whimsical doubt. See
Grigsby v. Mabry,
758 F.2d 226, 247-48
(8th Cir.1985) (en
banc) (Gibson, J.,
dissenting), rev'd
sub nom., Lockhart
v. McCree, 476 U.S.
162, 106 S.Ct. 1758,
90 L.Ed.2d 137
(1986); Smith v.
Balkcom, 660 F.2d
573, 579-82 (5th
Cir.1981), modified
on other grounds,
671 F.2d 858 (5th
Cir.), cert. denied,
459 U.S. 882, 103
S.Ct. 181, 74 L.Ed.2d
148 (1982); see also
Lockhart v. McCree,
476 U.S. 162, 181,
106 S.Ct. 1758,
1769, 90 L.Ed.2d 137
(1986); Smith v.
Wainright, 741 F.2d
1248, 1255 (11th
Cir.1984), cert.
denied, 470 U.S.
1087, 1088, 105 S.Ct.
1853, 1855, 85 L.Ed.2d
150, 151 (1985)
54
F.3d 463
Emmitt
Foster,
Appellant,
v.
Paul
Delo,
Appellee
United
States
Court
of
Appeals,
Eighth
Circuit.
Decided
April
28,
1995.
Order
Denying
Rehearing,
Granting
Rehearing
En
Banc
and
Vacating
Stay
May
1,
1995
Before McMILLIAN, Circuit Judge, BRIGHT and JOHN R. GIBSON, Senior Circuit Judges.
PER CURIAM.
This matter is before the court on an expedited appeal relating to EmmittFoster's second petition for a writ of habeas corpus and his application for a stay of execution. Foster's execution has been set for May 3, 1995. In a memorandum and order issued on April 26, 1995, the District Court for the Eastern District of Missouri denied Foster's petition for habeas relief as well as his petition for a stay of execution. Foster v. Delo, No. 4:95CV00680 (E.D.Mo. Apr. 26, 1995). We grant Foster's application for a stay of execution and reverse and remand on the merits of the petition. We instruct the district court to conduct an expedited evidentiary hearing on new evidence, which if true, seriously calls into question Foster's guilt in the crime for which he has been sentenced to die.
In our prior panel opinion, the majority concluded that Foster's fundamental rights had been violated due to ineffective assistance of counsel during the sentencing phase of his capital trial. Foster v. Delo, 11 F.3d 1451 (8th Cir.1993), vacated and rev'd, 39 F.3d 873 (8th Cir.1994) (en banc). Now, we have even stronger and more "substantial grounds" for granting Foster's petition for a stay of execution. Delo v. Blair, --- U.S. ----, ----, 113 S.Ct. 2922, 2923, 125 L.Ed.2d 751 (1993).
First, new evidence has surfaced, suggesting that an investigator with the St. Louis County Medical Examiner's Office, who had been working on the Travis Walker murder case, withheld exculpatory evidence in violation of Brady v. Maryland, 373 U.S. 83, 87, 83 S.Ct. 1194, 1196-97, 10 L.Ed.2d 215 (1963). According to Foster's petition, a report authored by Sidney R. Anderson indicated that he believed DeAnn Keys, the only witness who linked Foster to the crime, was not shot in the living room as Ms. Keys had testified, but rather had been shot in her bedroom. This evidence may undermine Ms. Keys's credibility, and may suggest, in light of other testimony, that Ms. Keys might not have been able to identify Foster at the crime scene. These are matters to be addressed in the hearing before the district court.
Second, Foster asserts that the May 23, 1994 affidavit of Michael Phillips establishes his actual innocence. Phillips was tried separately and convicted of first-degree murder for his role in the slaying and was sentenced to life in prison. In the affidavit, Phillips states that he committed the murder of Travis Walker with an unnamed accomplice and that Foster was not at the murder scene and was in no way involved in the murder. Phillips explains that he did not come forward sooner because Foster's attorneys did not contact him.
Relying on the Supreme Court's decision in Delo v. Stokes, 495 U.S. 320, 321, 110 S.Ct. 1880, 1881, 109 L.Ed.2d 325 (1990) (per curiam), the district court concluded that Foster's second habeas petition constituted an abuse of the writ and that his claim of actual innocence was insufficient to excuse such an abuse. As a result, the district court denied Foster's second habeas petition and his motion for a stay of execution.
In relevant part, the Stokes opinion provides that
[a] stay of execution pending disposition of a second or successive federal habeas petition should be granted only when there are "substantial grounds upon which relief might be granted." There are no "substantial grounds" present in this case, because respondent's fourth federal habeas petition clearly constitutes an abuse of the writ.
Id. at 321, 110 S.Ct. at 1881 (citation omitted) (emphasis added). Contrary to the district court, we do not believe Foster's second habeas petition constitutes a "clear" abuse of the writ. Additionally, even if Foster had abused the writ, we believe he has established at least a facial and important claim of actual innocence, thereby excusing any and all procedural defaults.
There exists crucial matters that need examination by the district court at a hearing on remand. Thus, the rush to execution is inappropriate in this case.
Accordingly, we grant a stay of execution pending review in the district court and we reverse and remand Foster's petition for habeas corpus for further proceedings in conformity with this opinion.
*****
JOHN R. GIBSON, Senior Circuit Judge, dissenting.
I respectfully dissent. I would deny the motion for stay of execution.
The Supreme Court teaches that on second and later habeas petitions a stay must not be entered unless "there are substantial grounds upon which relief might be granted." Delo v. Blair, --- U.S. ----, ----, 113 S.Ct. 2922, 2923, 125 L.Ed.2d 751 (1993) [citing cases].
The district court in its memorandum and order denying the stay of execution has carefully analyzed Foster's latest claims and discusses the most recent cases from the Supreme Court in death penalty cases. Kyles v. Whitley, --- U.S. ----, 115 S.Ct. 1555, 131 L.Ed.2d 490 (1995), and Schlup v. Delo, --- U.S. ----, 115 S.Ct. 851, 130 L.Ed.2d 808 (1995). As I conclude there are no substantial grounds upon which relief might be granted, I would deny the stay on the basis articulated in the district court's memorandum and order.
*****
ORDER
May 1, 1995
The appellee's petition for rehearing before the panel is hereby denied. Judge John R. Gibson votes to grant the petition for rehearing and vacate the stay of execution.
The appellee's petition for rehearing en banc and motion to vacate stay of execution have been considered by the Court and are hereby granted. Judges McMillian and Murphy vote to deny the petition for rehearing en banc and the motion to vacate stay of execution.