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Alvie James
HALE Jr.
September 25, 2000
Appeal from the United States
District Court for the Western District of Oklahoma (D.C.
No. CIV-96-1073-L)
Before SEYMOUR,
Chief Judge,PORFILIO and EBEL, Circuit Judges.
EBEL, Circuit
Judge.
Petitioner Alvie
James Hale was tried and convicted by jury in the
District Court of Pottawatomie County, Oklahoma on
one count of Murder in the First Degree and one
count of Kidnapping for Extortion. The jury
recommended death for the crime of Murder in the
First Degree and life imprisonment for the crime of
Kidnapping for Extortion. After unsuccessful direct
and post-conviction appeals in state court, Mr. Hale
filed a petition for writ of habeas corpus pursuant
to 28 U.S.C. § 2254. The district court denied the
writ. Mr. Hale appeals, and we AFFIRM.
BACKGROUND
Hale was charged
with the murder and kidnapping of William Jeffrey
Perry ("Perry") of Tecumseh, Oklahoma. Perry's
parents owned and managed a local bank.
When Perry failed
to arrive for work Tuesday morning, October 11,
1983, his sister, Veronica, went to his home to
locate him. She found his automobile in the driveway,
the front door to his home open, his clothes laid
out for work, and Perry missing. The only sign of a
struggle was an upset alarm clock.
At 10:30 a.m. that
day, Perry's mother received the first of a series
of telephone calls concerning her son from an
unidentified man. The second call came at 1:30 p.m.
and was received by Perry's sister who was asked "Where
is the money, where is $350,000?"
During each call,
the family asked to speak with Perry and were told
that Perry was at a lake cabin and could not be
brought to a phone, but that he would be released
after the caller received $350,000 from the family.
The family could not arrange to have the money until
the following day.
Meanwhile, at
approximately 7:00 a.m. on the morning of October
11, 1983, a man identified as Hale came to the
bathroom window of the house where Janet Miller
lived. He asked her if he could use a telephone and
she told him she did not have a phone.
As the man went
back to his white station wagon in her driveway, a
second man dressed only in undershorts yelled for
help from an adjacent field. Hale hurried to the
spot where the second man was located, who was bent
over with pain, and pulled him over the fence into
the automobile.
The next day, Mrs.
Perry received a phone call directing her to go to
the pay phone at a 7-11 store where she would
receive further instructions. When Mrs. Perry
reached the 7-11 she received a phone call on the
pay phone at the store that directed her to another
7-11.
During this phone
call, Mrs. Perry spotted Hale sitting in a red and
white pickup across the street. Mrs. Perry then
proceeded to the second location, where she again
received a phone call which told her where to drop
off the ransom money. Mrs. Perry followed the
caller's instructions and deposited the money at the
designated location.
While Mrs. Perry
was dropping off the money, she observed Hale's
truck approaching her location and was able to
identify Hale as the driver of the vehicle. After
Hale retrieved the money, F.B.I. agents pursued Hale
in a high speed chase through Oklahoma City.
The pursuit ended
when Hale's vehicle finally came to a stop after he
hit a drainage ditch, went airborne, and collided
head on with an F.B.I. agent's vehicle. All the
money Mrs. Perry had delivered was found in the
truck and Hale was taken into custody at that time.
Hale's father gave
law enforcement officers consent to search his home
and property. During the search, officers found the
victim's body wrapped in a dark colored trampoline
tarp within a metal storage shed, one which fit a
trampoline frame found at Hale's own home. Perry had
been shot a number of times.
Also located at
the house was a cream-colored station wagon Hale had
used the morning of October 11th. A blood-stained
towel containing a hair identified as Hale's was
found in the vehicle. In addition, blood was found
on the shoulder harness in the car which was
consistent with Perry's blood. A .38 caliber
revolver was also found in a kitchen cabinet. Two
bullets found in Perry's head were determined by a
ballistics expert to have come from that revolver to
the exclusion of all other weapons.
Hale was found
guilty of Murder in the First Degree and Kidnapping
for Extortion.1
During the second stage of Hale's trial, the
prosecutor sought the death penalty on the
kidnapping as well as the first degree murder charge.
The prosecutor argued three aggravating
circumstances for the kidnapping charge2
and four aggravating circumstances for the murder
charge.3
The jury found two
aggravating circumstances for kidnapping that it was
done for remuneration and was heinous, atrocious, or
cruel and sentenced Hale to life imprisonment. The
jury found the existence of two aggravators on the
murder charge the murder was heinous, atrocious, or
cruel and the murder was committed to avoid lawful
arrest and sentenced Hale to death. On March 22,
1984, the trial judge sentenced Hale in accordance
with the jury's recommendation.
Hale appealed,
raising twenty-two propositions of error. The
Oklahoma Court of Criminal Appeals ("OCCA") affirmed
Petitioner's convictions and sentences. Hale v.
State, 750 P.2d 130 (Okla. Crim. App. 1988) ("Hale
I"). Certiorari review was subsequently denied. Hale
v. Oklahoma, 488 U.S. 878, 109 S. Ct. 195, 102 L.
Ed. 2d 164 (1988).
Hale then pursued
post-conviction relief which was denied by the
District Court of Pottawatomie County following an
evidentiary hearing. Hale appealed to the OCCA
raising thirteen grounds for relief. The OCCA
affirmed the trial court's denial of post-conviction
relief, finding twelve of the allegations waived
because they were either raised on direct appeal or
could have been. Hale v. State, 807 P.2d 264 (Okla.
Crim. App. 1991) ("Hale II"). The OCCA denied relief
on the final claim. Certiorari review was again
denied. Hale v. Oklahoma, 502 U.S. 902, 112 S. Ct.
280, 116 L. Ed. 2d 231 (1991).
On April 28, 1992,
Hale filed a second application for post-conviction
relief in the District Court of Pottawatomie County.
All relief was denied. On appeal, the Court of
Criminal Appeals again affirmed the denial of post-conviction
relief. Hale v. State, 934 P.2d 1100 (Okla. Crim.
App. 1997) ("Hale III"). Hale then filed a petition
for writ of habeas corpus on February 28, 1997 in
the United States District Court for the Western
District of Oklahoma, raising twenty issues. That
petition was denied on January 28, 1999 and Hale was
granted a certificate of appealability on all issues.
On appeal, Hale
makes the following thirteen claims of
constitutional error: (1) he was (a) denied
effective assistance of counsel through a conflict
of interest and (b) denied due process when his
counsel's motion to withdraw from representation was
denied outside of Hale's presence, (2) he was denied
effective assistance of counsel during the
punishment stage of his trial, (3) he was denied
effective assistance of counsel during voir dire,
(4) he was denied effective assistance of counsel
when counsel failed to object to the admission of
other crimes evidence, (5) he was denied effective
assistance of counsel during counsel's second stage
closing remarks, (6) he was denied effective
assistance of counsel during counsel's first stage
closing remarks, (7) he was denied a fair trial due
to an improper instruction to the jury that
kidnapping was a death-eligible offense and denied
effective assistance of counsel for his counsel's
failure to object to the improper jury instruction,
(8) he was denied due process because of the late
filing of the Bill of Particulars and denied
effective assistance of counsel when his attorney
failed to object to the late filing, (9) his
convictions for murder and kidnapping violated
double jeopardy principles, (10) the government
committed a violation of Brady v. Maryland, 373 U.S.
83, 83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), (11) he
was denied a fair trial due to the trial court's
failure to grant a change of venue, (12) there was
insufficient evidence to support the aggravator that
Hale committed murder to avoid lawful arrest, and
(13) there was insufficient evidence to support the
"heinous, atrocious, or cruel" aggravator.
DISCUSSION
A. Standard of
Review
When reviewing the
denial of a habeas corpus petition, we are generally
subject to two different frameworks of review,
depending upon whether the state courts addressed
the merits of the claim for relief. If the state
courts have not heard the claim on its merits, we
review the district court's legal conclusions de
novo and its factual findings, if any, for clear
error. If the state courts have addressed the claim
on its merits, we review the state court ruling
under the standard enunciated under 28 U.S.C. §
2254.
Smallwood v.
Gibson, 191 F.3d 1257, 1264 (10th Cir. 1999) (footnote
and citation omitted). Because Mr. Hale filed his
petition for habeas relief nearly one year after the
effective date of the Antiterrorism and Effective
Death Penalty Act of 1996 ("AEDPA"), AEDPA applies
to his petition. See Lindh v. Murphy, 521 U.S. 320,
336, 117 S. Ct. 2059, 138 L. Ed. 2d 481 (1997).
Under AEDPA's
provisions, a federal court is precluded from
granting habeas relief on any claim adjudicated on
the merits by the state court, unless the state
proceeding "resulted in a decision that was contrary
to, or involved an unreasonable application of,
clearly established Federal law, as determined by
the Supreme Court," 28 U.S.C. § 2254(d)(1), or "resulted
in a decision that was based on an unreasonable
determination of the facts in light of the evidence
presented in the State court proceeding," 28 U.S.C.
§ 2254(d)(2). "In addition, we presume the factual
findings of the state court are correct unless
petitioner can rebut this presumption by clear and
convincing evidence." Smallwood, 191 F.3d at 1265 (citing
28 U.S.C. § 2254(e)(1)).
The Supreme Court
recently construed the review standard set forth in
28 U.S.C. § 2254(d)(1). See Williams v. Taylor, 529
U.S. 362, 120 S. Ct. 1495, 146 L. Ed. 2d 389 (2000).
In order for Hale to secure a writ under section
(d)(1) he must satisfy one of the following two
conditions: "the state-court adjudication resulted
in a decision that (1) 'was contrary to . . .
clearly established Federal law, as determined by
the Supreme Court of the United States,' or (2) 'involved
an unreasonable application of . . . clearly
established Federal law as, determined by the
Supreme Court of the United States.'" Williams, __
U.S. __, 120 S. Ct. at 1523 (omissions in original).
The Court
determined that a state court decision is "contrary
to" clearly established federal law "if the state
court arrives at a conclusion opposite to that
reached by this Court on a question of law or if the
state court decides a case differently than this
Court has on a set of materially indistinguishable
facts." Id. A state court decision is an
unreasonable application of federal law "if the
state court identifies the correct governing legal
principle from this Court's decision but
unreasonably applies that principle to the facts of
the prisoner's case." Id.
When a federal
habeas court is making an "unreasonable application"
inquiry, the Court stated that it "should ask
whether the state court's application of clearly
established federal law was objectively unreasonable."
Id. at 1521. The Court stopped short of defining the
term "unreasonable" as it is used in AEDPA, but did
note that while it is "difficult to define," it is
"a common term in the legal world and, accordingly,
federal judges are familiar with its meaning." Id.
at 1522. The Court was careful to point out, however,
that "an unreasonable application of federal law is
different from an incorrect application of federal
law." Id.
We now turn to our
review of Mr. Hale's claims in light of Williams.
I. Ineffective
Assistance of Counsel and Related Claims
A. Motion to
Withdraw
Hale first argues
that he was denied the effective assistance of
counsel because of a conflict of interest. Hale
contends that his trial counsel suffered under a
conflict of interest based on trial counsel's
assertions to the court in a motion to withdraw.
Hale's trial counsel, Mr. Van Wagner, was appointed
by the trial court to represent Hale on November 30,
1983. Van Wagner testified at the post-conviction
hearing that the first thing he did after being
appointed was to file an Application to Withdraw
with the trial judge. The written application stated
in pertinent part:
He [Van Wagner]
knows said Defendant whose office was across the
hall from this applicant's law office in 1982 and
portions of 1983, and this applicant believes that
the Defendant attempted to burglarize his law office
in early 1983 along with other offices in the
building, although there was not sufficient evidence
to press charges. Because of this, this applicant
has a personal dislike, distrust and animosity
toward the Defendant which will prevent the
desirable communication and trust that is necessary
to an attorney-client relationship.
After Van Wagner
filed this application he had a meeting with the
trial judge. There is no transcript of the meeting
between Mr. Van Wagner and the judge; however,
following the meeting, the judge denied the
application to withdraw and the following "court
minute" was handwritten at the bottom of the
application: "Above application denied after
consideration by the Court. The Court is of the
opinion that the attorney will not permit
personalities to effect [sic] his relationship or
representation of defendant."
Hale argues on
appeal that the asserted animosity of Van Wagner
towards Hale was a conflict of interest which the
judge failed to inquire into adequately and resolve
properly. In addition, Hale argues that his due
process rights were violated because he was not
present while his attorney discussed the application
to withdraw with the trial judge.
In Hale's state
direct appeal, he raised only the conflict of
interest issue, and he failed to raise the
procedural due process claim. With regard to the
conflict of interest claim, the OCCA stated:
Trial counsel
asked to withdraw from representing Hale because he
suspected appellant of attempting to burglarize his
offices and thought that his personal animosity
might hinder communications with Hale. The trial
court held a hearing out of Hale's presence and
declined the application. We find no abuse of the
court's discretion in requiring counsel to overcome
his personal feelings and to represent Hale. There
is no constitutional right to an attorney client
relationship free of animosity. Morris v. Slappy,
461 U.S. 1, 103 S. Ct. 1610, 75 L. Ed. 2d 610
(1983).
Hale I, 750 P.2d
at 135. In his state application for post-conviction
relief, Hale, for the first time, raised his
procedural due process claim based on his absence
from the hearing on the motion to withdraw, in
addition to his previously raised conflict of
interest claim.
The OCCA denied
consideration of the issue, stating that the
conflict of interest claim had been addressed on
direct appeal and was therefore barred from review
on post-conviction. Hale II, 807 P.2d at 267. It
appears that the procedural due process claim has
never been addressed by the OCCA. Because the state
does not raise procedural bar on appeal, we will
consider the procedural due process claim on the
merits. See Hooks v. Ward, 184 F.3d 1206, 1223 (10th
Cir. 1999).
1. Procedural Due
Process Claim
Hale first argues
that his constitutional rights were violated when he
was not notified of or permitted to attend the
hearing or meeting at which his court-appointed
counsel discussed his motion to withdraw with the
trial judge. Because the OCCA did not address this
claim on the merits, we apply pre-AEDPA standards to
this portion of Hale's claim. See Hooks, 184 F.3d at
1223.
The district court
below concluded that Hale's due process rights were
not violated by his absence from the hearing on the
motion to withdraw because it was not a stage of the
proceedings in which his presence was required. The
question of whether a defendant has a constitutional
right to be present at a particular stage of his
trial is a legal question that we review de novo.
See United States v. Gomez, 67 F.3d 1515, 1528 (10th
Cir. 1995).
The Supreme Court
has held that a defendant "has a due process right
to be present in his own person whenever his
presence has a relation, reasonably substantial, to
the fullness of his opportunity to defend against
the charge." Kentucky v. Stincer, 482 U.S. 730, 745,
107 S. Ct. 2658, 96 L. Ed. 2d 631 (1987) (internal
quotation marks omitted). When a defendant's
presence, however, would be "useless" or "the
benefit but a shadow," his presence is not
constitutionally required. Id.
Due process
requires a defendant's presence only whenever "a
fair and just hearing would be thwarted by his
absence." Id. "Thus, a defendant is guaranteed the
right to be present at any stage of the criminal
proceeding that is critical to its outcome if his
presence would contribute to the fairness of the
procedure." Id.
In Stincer, the
Supreme Court found no due process violation
occurred as a result of the defendant's exclusion
from a hearing to determine two young witnesses'
competency to testify. In reaching this conclusion,
the Court stressed the fact that no substantive
testimony that the two girls would give during trial
was revealed during the hearing and the defendant
did not make a showing that his presence would have
ensured a more reliable determination of the
competence of the two young witnesses to testify
against him. Id. at 745-46. Therefore, the Court
concluded that the defendant's absence from the
hearing could not have affected his ability to
defend himself at trial.
This court
considered a similar legal issue as the one
presented here in United States v. Oles, 994 F.2d
1519 (10th Cir. 1993). In Oles, this court held that
the defendant's absence from a preliminary hearing,
in which the court determined whether court
appointed counsel would withdraw in favor of
potential retained counsel, did not violate the
defendant's due process rights. Id. at 1525. In
reaching this holding, we found that because no
substantive matters relating to the charges pending
against the defendant were discussed at the hearing
and because the defendant did not establish that his
presence would have contributed to the fairness of
the trial, the defendant's absence did not "impinge
on [the defendants'] opportunity to defend against [the
charges], or affect the fairness of the entire trial."
Id.
Similarly, in
Green v. Johnson, 116 F.3d 1115 (5th Cir. 1997), the
Fifth Circuit held that a defendant's due process
rights were not violated when the defendant was
absent during a meeting between the judge and one of
his two attorneys concerning the one attorney's
motion to withdraw. Id. at 1124. In the meeting, the
attorney argued that her relationship with her co-counsel
had deteriorated to the point that they did not
communicate about the case directly, and she felt
this situation was hindering her ability to
represent the defendant. Id.
The Fifth Circuit
held that the defendant's exclusion from the meeting
did not thwart the fairness and just treatment of
the issue during the meeting or the fairness of the
defendant's overall representation. Id. Moreover,
the court found that although the defendant had
stated that if he was present he could have provided
the court with important information about the
conflict, the defendant failed to provide the court
with such information or explain how it would have
affected the ruling. Id.
Like the
defendants in Stincer, Oles, and Green, Hale's
absence from the conference between the trial judge
and his counsel did not affect his ability to defend
against the charges he was facing nor did it thwart
the fairness of that conference or his overall
representation. There is no allegation that the
trial judge and counsel, Mr. Van Wagner, discussed
the substantive charges against Hale.
The conference
discussed whether Van Wagner's asserted subjective
feelings toward Hale would affect his representation.
There is no suggestion that the conference addressed,
or attempted to resolve, the truth of the underlying
suspicions that gave rise to Van Wagner's ill will
nor was there an allegation of a breakdown in
communications. As in Green, Hale does not indicate
what he could have done had he been present that
would have had an effect on the ruling by the trial
judge or affected the fairness of his trial or the
presentation of his defense.
This court finds
that Hale's exclusion from the proceeding did not
result in an unfair proceeding or trial. Rather, the
trial judge, after being presented with Van Wagner's
petition, specifically found that trial counsel's
relationship and representation of the defendant
would not be affected.
Similarly, Van
Wagner testified at the post-conviction hearing that
his "vague suspicion" that Hale had attempted to
burglarize his office did not affect his
representation of Hale at all. Hale has presented no
evidence to refute the above findings and testimony.
We conclude that the meeting on the motion to
withdraw did not impinge on Hale's opportunity to
defend against the charges against him or affect the
fairness of the entire trial; thus we find no
constitutional violation.
2. Conflict of
Interest
The second part of
Hale's claim urges this court to find that an actual
conflict of interest existed between Hale and Mr.
Van Wagner because Mr. Van Wagner had a vague
suspicion that Hale might have burglarized his
offices. Because the OCCA addressed this claim on
the merits, we review under AEDPA standards.
The Sixth
Amendment guarantees the effective assistance of
counsel to a defendant in a criminal trial. See
Selsor v. Kaiser, 81 F.3d 1492, 1496-97 (10th Cir.
1996). "The Sixth Amendment right to effective
assistance of counsel encompasses the correlative
right to representation that is free from conflicts
of interest." Id. at 1497 (internal quotation marks
omitted). This court has explained that the
[t]ypical conflict
of interest case[] giving rise to [a] claim[] of
ineffective assistance of counsel involve[s]
multiple representation of co-defendants at a single
trial. However, a defendant's right to counsel free
from conflicts of interest is not limited to cases
involving joint representation of co-defendants but
extends to any situation in which a defendant's
counsel owes conflicting duties to that defendant
and some other third person.
United States v.
Cook, 45 F.3d 388, 393 (10th Cir. 1995) (internal
citations, quotation marks, and alterations omitted).
Implicit in the latter category of conflicts noted
in Cook is the notion that a conflict may also arise
where a lawyer's self-interest is adverse to the
interest of his client. See Smith v. Lockhart, 923
F.2d 1314, 1320 (8th Cir. 1991) ("In general, a
conflict exists when an attorney is placed in a
situation conducive to divided loyalties."); see
also Beets v. Scott, 65 F.3d 1258 (5th Cir. 1995) (discussing
conflict of interest when attorney's self-interest
conflicts with duty of loyalty to defendant). Hale
argues that this situation exists in his case
because his counsel informed the court that he
disliked and distrusted Hale because he suspected
that Hale may have burglarized his law offices
approximately a year earlier.
Hale suggests that
this animosity demonstrates that his interests and
Van Wagner's interests were in conflict. Hale's
interpretation of the law is too broad. Under Hale's
view, any time that counsel dislikes his or her
client, the defendant could claim a conflict of
interest. This is not the state of the law.
A conflict does
not arise any time defendant and his counsel had
prior dealings that may have been at odds; rather,
the interests of counsel and defendant must be
divergent in the current litigation, such that the
attorney has an interest in the outcome of the
particular case at issue that is adverse to that of
the defendant. See United States v. Soto Hernandez,
849 F.2d 1325, 1329 (10th Cir. 1988) (stating that
to show conflict of interest, the defendant must
demonstrate that counsel "actively represented
conflicting interests" in the pending case); see
also Beets, 65 F.3d at 1273 (condemning as a
conflict the execution of media and literary rights
fee arrangements between the attorney and his client
during the pendency of a representation but
declining to award habeas relief because of a lack
of a showing of prejudice).4
In the present
case, there is no evidence that Van Wagner had any
interest in the outcome of the current case that
would conflict with Hale's interest. The fact that
Van Wagner had a suspicion that Hale may have
burglarized his office at an earlier time is
unrelated to the case for which he was currently
representing Hale.
Although Van
Wagner would have a conflict of interest if he were
representing Hale for the robbery of his law office
because their interests in that case would be
adverse, representation of Hale in a wholly
unrelated case does not give rise to a conflict of
interest. Cf. Church v. Sullivan, 942 F.2d 1501,
1511 n.8 (10th Cir. 1991) (finding conflict of
interest where defense counsel may have to
cross-examine a witness who is a former client only
when counsel's previous representation of the
witness is "substantially related to the attorney's
later representation of [the current client]" (alteration
in original omitted)). The fact that Van Wagner did
not like Hale or did not trust him does not rise to
the level of a conflict of interest. Personality
conflicts are not conflicts of interest. Morris v.
Slappy, 461 U.S. 1, 13, 103 S. Ct. 1610, 75 L. Ed.
2d 610 (1983). Thus, we decline to find a conflict
of interest in this situation.
Although there is
no conflict of interest, we have recognized that "a
complete breakdown in communication between an
attorney and client may give rise to a presumption
of ineffectiveness." Romero v. Furlong, 215 F.3d
1107, 1111 (10th Cir. 2000) (alterations in original
omitted). In this case, however, there is no
evidence that there was a breakdown in communication
between Van Wagner and Hale. The evidence, instead,
supports the conclusion that client and counsel
maintained adequate communication.
Van Wagner
testified at the state post-conviction hearing that
he met with Hale many times prior to the trial and
discussed the case and the strategy they would
follow at trial. In addition, Hale testified at the
post-conviction hearing that he did not have any
difficulty communicating with Van Wagner. Thus,
there is no evidence from which we could presume
ineffective assistance based on a total breakdown in
communication.
There being no
conflict of interest and no evidence of a total
breakdown in communication, we can vacate Hale's
conviction on Sixth Amendment grounds only if he can
show ineffective assistance of counsel within the
meaning of Strickland v. Washington, 466 U.S. 668,
104 S. Ct. 2052, 80 L. Ed. 2d 674 (1984).
However, given the
concession by Hale's counsel that he carried
animosity towards Hale due to his suspicion that
Hale might have previously burglarized his law
office, we believe it is appropriate to scrutinize
counsel's performance with a somewhat more critical
eye.5
We turn, then, to the specific allegations of trial
conduct that Hale argues constituted ineffective
assistance of counsel.
B. Mitigation
Evidence
Hale argues his
trial counsel, Mr. Van Wagner, was ineffective
during the penalty phase of the trial. Specifically,
Hale contends that his attorney failed adequately to
investigate, prepare, and present a second stage
defense. Hale focuses on the lack of any mitigation
evidence during the sentencing phase, which he
asserts was readily available had Van Wagner done
any amount of investigation or preparation.
According to Hale, there exists a reasonable
probability that had the jury heard the undiscovered
mitigation evidence, it would not have voted for
death.
On direct criminal
appeal, the OCCA rejected this claim, stating that
counsel's decision with regard to witness testimony
is a matter of trial tactics which the court would
not second guess. See Hale I, 750 P.2d at 142. On
Hale's first state habeas petition, the lower court
held an extensive evidentiary hearing.
Following the
hearing, the court denied relief and the OCCA
subsequently rejected the claim a second time,
reiterating that what witnesses should be used at
trial are a matter of trial strategy, and further
stating that Hale had failed to meet his burden to
show that but for trial counsel's decisions, the
result of the trial would have been different. The
OCCA then pointed out that Hale had raised this
issue on direct appeal, and thus was barred from
raising it again on post-conviction. See Hale II,
807 P.2d at 267.
Claims of
ineffective assistance of counsel are mixed
questions of law and fact. See Wallace v. Ward, 191
F.3d 1235, 1247 (10th Cir. 1999) (applying AEDPA). "To
establish ineffective assistance of counsel, a
petitioner must prove that counsel's performance was
constitutionally deficient and that counsel's
deficient performance prejudiced the defense." Id. (citing
Strickland, 466 U.S. at 687 (alteration in original
omitted).
With regard to the
first prong, to prove deficient performance Hale "must
overcome the presumption that counsel's conduct was
not constitutionally defective. Judicial scrutiny of
counsel's performance is highly deferential."
Wallace, 191 F.3d at 1247 (citation omitted). If
constitutionally deficient performance is shown,
then Hale must demonstrate that "there is a 'reasonable
probability' that the outcome would have been
different had those errors not occurred." Brecheen
v. Reynolds, 41 F.3d 1343, 1365 (10th Cir. 1994).
However, when a
petitioner is specifically challenging the
imposition of the death sentence during the
punishment phase of the trial, the prejudice prong
of Strickland focuses on whether there is "a
reasonable probability that, absent the errors, the
sentencer . . . would have concluded that the
balance of aggravating and mitigating circumstances
did not warrant death." Stafford v. Saffle, 34 F.3d
1557, 1564 (10th Cir. 1994). Courts may address the
performance and prejudice components in any order
and need not address both if a defendant fails to
make a sufficient showing of one. See Strickland 466
U.S. at 697.
Hale's trial
counsel did not give an opening statement at the
beginning of the penalty phase and presented no
mitigating evidence. Counsel addressed the jury
during the second stage only in his closing argument
in which he urged the jurors to bestow mercy on Hale
and give him life in prison. Hale argues on habeas
that his counsel should have introduced the
testimony of persons in the community who knew him
both as a youth and as an adult, in his capacity as
a father, businessman, and friend.
"[T]he failure to
present available mitigating evidence is not per se
ineffective assistance of counsel." Brecheen, 41
F.3d at 1368. Instead, it is necessary to evaluate
the reasons for counsel's failure to present
mitigating evidence and then determine whether that
failure, if due to deficient performance by the
attorney, prejudiced the defendant. Here, Hale
contends that counsel's failure to present
mitigating evidence resulted from his failure to
investigate possible sources of such evidence. "[A]n
attorney has a duty to conduct a reasonable
investigation, including an investigation of the
defendant's background, for possible mitigating
evidence." Brecheen, 41 F.3d at 1366.
The duty to
investigate derives from counsel's basic function,
which is to make the adversarial testing process
work in the particular case. Because that testing
process generally will not function properly unless
defense counsel has done some investigation into the
prosecution's case and into various defense
strategies, the Supreme Court has noted that counsel
has a duty to make reasonable investigations or to
make a reasonable decision that makes particular
investigations unnecessary.
Stouffer v.
Reynolds, 168 F.3d 1155, 1167 (10th Cir. 1999) (alterations
in original omitted). This duty is strictly observed
in capital cases. See Nguyen v. Reynolds, 131 F.3d
1340, 1347 (10th Cir. 1997). An attorney's failure
to conduct a reasonable investigation "may fall
outside the scope of reasonable professional
assistance, and thereby amount to deficient
representation under the first prong of Strickland."
Brecheen, 41 F.3d at 1366 (quotation marks omitted).
To determine
whether Van Wagner's performance was below the
prevailing standards, we review the evidence
presented at the state habeas evidentiary hearing.
During the hearing, Van Wagner testified that he
spent a considerable amount of time reviewing the
law and the charges, conferencing with Hale,
examining the FBI reports from the federal
prosecution, talking with Hale's father and wife,
and talking with other witnesses. Although Van
Wagner testified that he spoke with various
potential witnesses, he could not recall any person
with whom he actually spoke other than Mr. Hale's
father and wife.
Moreover, Hale
testified that he gave Van Wagner a list of friends
that Van Wagner could contact about possibly
testifying on Hale's behalf. Several people Hale
named on this list testified at the hearing that
they were never contacted before or during the trial,
though they would have been willing to testify at
trial on Hale's behalf.
Although Van
Wagner testified that Hale was adamant that his wife
and daughter not testify during the mitigation stage,
this did not preclude him from investigating other
potential witnesses or mitigating evidence.
In addition, Van
Wagner admitted that he did not hire an investigator
to track down any potential mitigation witnesses. A
defense investigator hired by Hale's state habeas
counsel testified at the hearing that finding
mitigation witnesses in this case was in fact easier
than most death penalty cases because Hale had been
a long-time resident of the area where the crime and
trial took place. Thus, there were reasonable lines
of investigation open to Van Wagner which would have
revealed readily available mitigation witnesses;
however, Van Wagner failed to pursue any of them.
Given this lack of
investigation, Van Wagner's decision not to put
forth any mitigation evidence at the sentencing
phase cannot be justified as strategic. As this
court stated in Breechen, before an attorney can
insulate his behavior from review by claiming that a
decision to forego mitigation evidence was strategic,
"an attorney must have chosen not to present
mitigating evidence after having investigated the
defendant's background, and that choice must have
been reasonable under the circumstances." Brecheen,
41 F.3d at 1369.
In this case, Van
Wagner testified that he "thought" one of the
reasons he may have decided not to present any
mitigation testimony was because Hale had several
prior felony convictions which he feared would be
brought out by the prosecution should he put on
character witnesses. However, none of the these
prior felony convictions involved violent crimes.
Moreover, the
witnesses that testified on behalf of Hale at the
post-conviction hearing stated that these prior
convictions would not have influenced their opinion
of Hale. If Van Wagner had spoken with these
individuals he may have decided that the risks of
revealing several prior, non-violent convictions
were outweighed by the benefit to be obtained from
the witnesses' testimony.
In any event,
Hale's criminal record could not justify a failure
to investigate possible mitigating evidence even if
it might be a justification not to introduce such
evidence at trial. Because Van Wagner failed to make
any investigation, we believe it was unreasonable
for the OCCA to conclude that Van Wagner's decision
to present no mitigating witnesses was a strategic
decision. We conclude that Van Wagner functioned
well below the level of any competent attorney
during the penalty phase in failing to investigate
mitigating evidence.
We must, however,
still determine whether Hale has met his burden
under AEDPA of showing that Van Wagner's deficient
performance prejudiced him. In assessing prejudice
in the penalty phase, "we must keep in mind the
strength of the government's case and the
aggravating factors the jury found as well as the
mitigating factors that might have been presented"
if Van Wagner's performance had not been deficient.
Stafford v. Saffle, 34 F.3d 1557, 1564 (10th Cir.
1994).
During the state
post-conviction evidentiary hearing, Hale presented
the testimony of four family members and nine
friends who all stated they would have testified at
the sentencing phase if asked. Two of these
witnesses, however, included Hale's wife and
daughter. Hale had insisted at trial that his wife
and daughter not be allowed to testify on his behalf,
and affirmed this demand when he testified at the
post-conviction hearing. As the client, Hale had the
right to preclude this testimony. See Stafford, 34
F.3d at 1564-65 (recognizing client's right to
preclude a line of defense).
This left the
potential testimony of two family members, Hale's
sister and his uncle, and nine friends. Initially,
we point out that it is unclear whether Hale's
sister would have been able to testify on her
brother's behalf. At the time of the trial, she was
away in Italy and no one had informed her that her
brother was on trial.
In addition, four
of the people who testified provided somewhat
equivocal statements on behalf of Hale. For example,
one friend stated that he liked Mr. Hale, but he was
also friends with the victim's family, and stated
only that Hale "seemed to care," or at least "I
never saw anything that would indicate that he
didn't."
Another friend
stated in response to the question "Would you have
told the jury to ask them to spare his life?": "I
don't know what I would have told them." Still
another friend responding to the same question
testified that he would have simply stated that he "knew
him [Hale] socially to the extent that he and I
talked together frequently about baseball, and we
were good friends. I I didn't know anything other
than that about him, really." The remainder of the
testimony from other witnesses was limited to
general statements that Hale was a good father and
friend, a good citizen, and had been a good student
back in high school.
Against these
testimonials from friends and family members, some
of which were equivocal, is the State's strong case
against Hale. The jury found two aggravators: the
murder was "heinous, atrocious, or cruel" and the
murder was committed to avoid lawful arrest. There
was ample evidence to prove both of these
aggravators.6
In addition, there
was strong evidence connecting Hale to the crime.
The victim was wrapped in Hale's trampoline tarp.
The body was found at Hale's father's home and the
gun used to kill the victim was a gun Hale had
borrowed from his father. Furthermore, there was
hair, blood, and fingerprint evidence connecting
Hale to the murder. There was also evidence
presented at trial that Hale had attempted to kidnap
a woman just one day prior to the kidnapping of the
victim, and a former cellmate of Hale's testified
that Hale had told him he knew how to get rid of
witnesses. The cellmate further stated that when
Hale learned that the inmate was going to testify
against him, the inmate was beaten up by Hale and
others.
Given the strength
of the case against Hale, the aggravating factors
found by the jury, and the nature of the crime
itself, we do not believe that the later-identified
testimony from family and friends, some of which was
equivocal and none of which was compelling, would
have created a reasonable probability that the jury
would have sentenced Hale to life in prison. See
Boyd v. Ward, 179 F.3d 904, 918 (10th Cir. 1999)
("Even if we assume the failure to present
mitigating evidence in the form of testimony from
childhood acquaintances and family members is
deficient performance," petitioner failed to
establish prejudice in light of minimal other
mitigating evidence and overall strength of state's
case); Smith v. Gibson, 197 F.3d 454, 463-64 (10th
Cir. 1999) (finding testimony from family, friends,
bosses, and former coaches insufficient to show jury
would have sentenced defendant to life in prison in
light of "brutal and senseless nature of this crime
and the strength of the State's evidence supporting
the three aggravating circumstances"). Thus, we
conclude the OCCA's determination that Hale's
counsel was not ineffective was not an unreasonable
application of federal law.
C. Voir Dire
Hale next argues
that his trial counsel rendered ineffective
assistance of counsel during voir dire. Specifically,
Hale argues that his trial attorney, Mr. Van Wagner,
was ineffective when he: (1) failed generally to
question jurors about a possible defense strategy;
(2) failed to attempt to rehabilitate jurors
challenged for cause by the state based upon their
views on the death penalty; and (3) failed to
challenge for cause or use peremptory challenges to
exclude several jurors with preconceived notions of
Hale's guilt.
Hale raised this
claim on direct appeal, and the OCCA summarily
dismissed it, finding that defense counsel's conduct
during voir dire was not deficient. Hale I, 750 P.2d
at 139. The court further stated that "challenges to
veniremen are a matter of trial technique which
should not be second guessed with the benefit of
hindsight." Id. As discussed above, to show
ineffective assistance of counsel, Hale must show
both constitutionally deficient performance by trial
counsel and prejudice.
1. General
Questioning During Voir Dire
Hale argues that
Mr. Van Wagner was ineffective because he failed to
educate the jury on any aspect of his second stage
strategy. However, Hale has failed to demonstrate
how Mr. Van Wagner's questioning during voir dire
fell below constitutional standards.
In Nguyen v.
Reynolds, 131 F.3d 1340 (10th Cir. 1997), this Court
held that "[a]n attorney's actions during voir dire
are considered to be matters of trial strategy. A
strategic decision cannot be the basis for a claim
of ineffective assistance unless counsel's decision
is shown to be so ill chosen that it permeates the
entire trial with obvious unfairness." Id. at 1349 (citation
omitted). Hale has failed to demonstrate that Mr.
Van Wagner's failure to question jurors about a
possible defense strategy permeated the trial with
unfairness.
The Supreme Court
has held that in a capital trial, due process
requires a voir dire examination of a potential
juror's views on the death penalty, see Morgan v.
Illinois, 504 U.S. 719, 729, 112 S. Ct. 2222, 119 L.
Ed. 2d 492 (1992); however, it is clear from the
transcript of the voir dire proceedings that such an
examination did take place in this case.
Furthermore, after
examining the transcript, it is clear that Mr. Van
Wagner did ask the jurors questions that attempted
to elicit potential biases which could be either
helpful or damaging to Hale's case. These questions
included whether the jurors held an opinion, whether
they knew anyone in law enforcement that would color
their ability to be impartial, and whether they were
members of a church. Moreover, the court thoroughly
questioned the jurors as to their views on the death
penalty. Thus, Hale has failed to show that Mr. Van
Wagner's performance in questioning the jurors
during voir dire was constitutionally deficient or
prejudicial.
2.
Rehabilitation of Jurors Challenged for Cause
Hale next argues
that trial counsel was ineffective because he failed
to attempt to rehabilitate four jurors after the
state challenged them for cause and the court
dismissed them based upon their views regarding the
death penalty.
The trial court
asked the following question of all the jurors: "If
selected as a juror in a case where the law and the
evidence warrant could you without doing violence to
your conscious [sic] recommend the death penalty?"
The trial judge then went on to question
individually those jurors who responded negatively
about their views on the death penalty. These jurors
included Jurors Fischer, Zinn, Abel, and Myer. In
individual questioning, three of these jurors,
Fischer, Zinn, and Meyer, stated unequivocally that
they could not inflict the death penalty in any
case. The fourth juror, Abel, stated that she could
not apply the death penalty in this case regardless
of the evidence because she knew Hale, his daughter,
and his wife. These responses were repeated upon
questioning by the state.
The Supreme Court
in Wainwright v. Witt, 469 U.S. 412, 105 S. Ct. 844,
83 L. Ed. 2d 841 (1985), articulated the standard
for determining whether a prospective juror must be
excluded for cause because of his or her view on
capital punishment as "whether the juror's views
would prevent or substantially impair the
performance of his duties as a juror in accordance
with his instructions and his oath." Id. at 424 (quotation
marks omitted). A juror's bias need not be proven
with "unmistakable clarity" because
determinations of
juror bias cannot be reduced to question-and-answer
sessions which obtain results in the manner of a
catechism. . . . Despite this lack of clarity in the
printed record, however, there will be situations
where the trial judge is left with the definite
impression that a prospective juror would be unable
to faithfully and impartially apply the law. . . . [T]his
is why deference must be paid to the trial judge who
sees and hears the juror.
Id. at 424-26.
Thus, the state
trial judge's determination is statutorily accorded
a presumption of correctness which can only be
rebutted by clear and convincing evidence. See 28
U.S.C. 2254(e)(1); see also Williams v. Collins, 16
F.3d 626, 633 (5th Cir. 1994). A review of the
responses of the four jurors in this case indicates
that the trial court did not improperly excuse them
under Wainwright.
All four jurors in
question in this case made it clear, by the time
both the trial judge and the prosecutor finished
asking questions, that they could not impose the
death penalty in this case regardless of the
evidence or the facts presented. Based on their
answers, the trial court could have been "left with
the definite impression that [Fischer, Abel, Meyer,
and Zinn] would be unable to faithfully and
impartially apply the law." See Wainwright, 469 U.S.
at 426.
Hale has produced
no evidence to rebut the trial court's finding that
the jurors should be removed for cause, and he has
advanced no evidence to suggest that further cross-examination
of these witnesses would have been helpful. Hence,
we cannot find that Hale's counsel acted
unreasonably or unprofessionally in failing to
attempt to rehabilitate the four dismissed jurors.
See Williams, 16 F.3d at 633 (holding that counsel
was not ineffective for failing to rehabilitate
three jurors excused for cause when their answers
suggested they would not have been able to function
properly as jurors in a capital case); Foster v.
Delo, 39 F.3d 873, 878 (8th Cir. 1994) (finding
counsel was not ineffective for failing to
rehabilitate two jurors excused for cause when they
answered unequivocally that they could not consider
the death penalty regardless of the law or the
evidence); see also Sawyer v. Butler, 848 F.2d 582,
589 (5th Cir. 1988) (denying an ineffective
assistance claim and holding that there was no
prejudice from counsel's failure to rehabilitate
prospective jurors who stated they could not impose
the death penalty when defendant failed to
demonstrate rehabilitation was possible), aff'd on
reh'g, 881 F.2d 1273 (5th Cir. 1989), aff'd sub nom.
Sawyer v. Smith, 497 U.S. 227, 110 S. Ct. 2822, 111
L. Ed. 2d 193 (1990).
3. Failure to
Challenge Jurors With Preconceived Notions of Guilt
Hale's next
argument is that his trial counsel was ineffective
when he did not challenge for cause or excuse by
peremptory challenge six jurors who had preconceived
notions of Hale's guilt. As support for this claim,
Hale presents the testimony of Judge Frank McCarthy
who testified as an expert witness during the post-conviction
evidentiary hearing. Judge McCarthy opined that
in a case where
the defense knows going in that they're not going to
offer any substantive testimony, and they know that
they've got a good venue issue, to allow six jurors
to sit on your jury, who say they've already got
their minds made up or have opinions about your
client's guilt, is just inappropriate and it's
ineffectively representing your client. There's no
reason for you to do that.
As noted above, in
order to show counsel was ineffective for failing to
object to the presence of certain persons on the
jury, Hale must prove "counsel's representation fell
below an objective standard of reasonableness."
Kimmelman v. Morrison, 477 U.S. 365, 375, 106 S. Ct.
2574, 91 L. Ed. 2d 305 (1986) (emphasis added).
In addition, Hale
must show counsel's deficient performance prejudiced
the defense. "This requires showing that counsel's
errors were so serious as to deprive the defendant
of a fair trial, a trial whose result is reliable."
Strickland, 466 U.S. at 687. Defense counsel's
failure to attempt to remove from the jury a person
who has been established on voir dire to be biased
constitutes prejudice under Strickland. See Johnson
v. Armontrout, 961 F.2d 748, 755-56 (8th Cir. 1992).
To show a juror
was biased, a defendant must show that the juror had
such a fixed opinion that he or she could not judge
impartially. See Patton v. Yount, 467 U.S. 1025,
1035, 104 S. Ct. 2885, 81 L. Ed. 2d 847 (1984). Thus,
a juror is not shown to have been impartial simply
because he or she had a preconceived notion as to
the guilt or innocence of the accused. See Murphy v.
Florida, 421 U.S. 794, 800, 95 S. Ct. 2031, 44 L.
Ed. 2d 589 (1975). The Supreme Court stated in Irwin
v. Dowd, 366 U.S. 717, 81 S. Ct. 1639, 6 L. Ed. 2d
751 (1961):
It is not required
. . . that the jurors be totally ignorant of the
facts and issues involved. . . .To hold that the
mere existence of any preconceived notion as to the
guilt or innocence of an accused, without more, is
sufficient to rebut the presumption of a prospective
juror's impartiality would be to establish an
impossible standard. It is sufficient if the juror
can lay aside his impression or opinion and render a
verdict based on the evidence presented in court.
Id. at 722-23.
Thus, to show a juror was biased, Hale must show
more than that the juror had a preconceived notion
of guilt; he must show that the juror had such a
fixed opinion that he or she could not judge
impartially.
In this case, Hale
contends that counsel was deficient when he did not
attempt to remove six jurors whom he claims held
opinions as to his guilt, and that this failure
prejudiced him because he was convicted by an
impartial jury. However, these jurors implicitly or
explicitly all said that they held only mild or
slight opinions and all six said they could put
their opinions aside and judge the case impartially
on the evidence.
One of these
jurors, Juror McBee, was a member of the Oklahoma
State Bureau of Investigation Commission ("OSBIC").
The OSBIC had been involved in the investigation of
Hale's case; however, there was no suggestion in the
voir dire transcript that Juror McBee had actually
participated in the investigation. On the other hand,
there was testimony during voir dire that Juror
McBee was a friend of Hale's counsel, Mr. Van
Wagner, and knew the defendant and the defendant's
family socially.
In fact, Juror
McBee stated during voir dire that he had played
golf with Hale on multiple occasions. Thus, it was
objectively reasonable for Van Wagner to have left
McBee on the jury under the belief that he would be
favorable to the defendant, both because he was a
friend of counsel and because he knew Hale and his
family socially.
Another of these
jurors, Juror McLaughlin, also stated during voir
dire that he knew Hale. McLaughlin stated that he
had done business with Hale and would see him at
Hale's bakery where they would strike up
conversations. Based on this testimony, it was
reasonable trial strategy to have left this person
on the jury in the hope that he would be favorable
to Hale, or at the very least be reluctant to give
him the death penalty.
The judge asked
the entire jury panel twice whether anyone felt they
could not give both sides a fair and impartial trial
and no one responded. Further, Hale never showed
actual bias by any of these seated jurors. Cf. Smith
v. Phillips, 455 U.S. 209, 215, 102 S. Ct. 940, 71
L. Ed. 2d 78 (1982); Irons. v. Lockhart, 741 F.2d
207; 208 (8th Cir. 1984).
This situation is
in stark contrast to Johnson v. Armontrout, 961 F.2d
748 (8th Cir. 1992), in which the court found
ineffective assistance of counsel when the defense
attorney failed to remove two biased jurors for
cause. In Johnson, ten members of Mr. Johnson's
venire had previously served on a jury who had
earlier convicted another man of taking part in the
same robbery. Mr. Johnson had appeared at the
earlier trial handcuffed and under guard. Id. at
751.
The court found
actual prejudice because two of those ten jurors
stated unequivocally that they firmly believed that
Johnson was guilty of the robbery. Id. The court
found that the failure to remove two biased jurors
constituted actual prejudice. Id. at 755-56. In
contrast, here there was no unequivocal statement by
any juror that they were firmly convinced Hale was
guilty and could not set aside this opinion. On the
record before us, we conclude that Hale has not
established a Strickland violation because his
counsel failed to challenge these jurors.
D. Admission of
Other Crimes Evidence.
Hale next argues
that his trial counsel was ineffective when he
failed to object to the admission of evidence of
other crimes allegedly committed by Hale. The other
crimes evidence to which Hale argues counsel should
have objected included Mrs. Brenda Allison's
testimony that Hale, on the day before Jeff Perry
was abducted, drove up to Mrs. Allison's home,
informed her that her husband had been in an auto
accident, and offered to drive her to the hospital.
Mrs. Allison later learned that her husband was
never in a car accident.
The Prosecutor
argued that this evidence was admitted to show
identity, motive, plan, and intent on the part of
Hale. Hale also claims that counsel should have
objected to the admission of the testimony of one of
Hale's former cellmates, Mark Weaver, who testified
that Hale and other inmate beat him after he agreed
to testify against Hale.7
The Oklahoma Court
of Criminal Appeals addressed this claim as part of
Hale's ineffective assistance of counsel claim on
direct appeal. In rejecting the claim, the court
held:
We find that the
other crimes evidence which consisted of a possible
attempted kidnapping and an assault on a prison
cellmate who gave testimony on behalf of the State
was admissible to show common scheme and identity.
As the evidence was properly admissible, we find
that there was no deficiency in failing to raise an
objection to it.
Hale I, 750 P.2d
at 140.
Hale's claim can
be resolved by addressing the prejudice prong under
Strickland. Hale has failed to demonstrate that if
trial counsel had objected to the admission of the
above testimony, it would have been excluded.
The OCCA has
repeatedly allowed the admission of evidence of
other crimes to prove motive, common scheme,
identity, plan, knowledge, or absence of mistake or
accident. See, e.g., Huskey v. State, 989 P.2d 1, 3
(Okla. Crim. App. 1999); Douglas v. State, 951 P.2d
651, 673 (Okla. Crim. App. 1997).
In this case,
there was a question of identity. Hale denied that
he was the one who kidnapped and killed Jeff Perry.
He argued that he was simply told to pick up the
money. The evidence by Brenda Allison of an
attempted kidnapping just a day prior to the
victim's abduction helped to establish identity and
common scheme.
The testimony by
Mark Weaver that Hale beat him up when he discovered
that Weaver was going to testify against him has
been found by the OCCA to be admissible as other
crimes evidence "to infer a consciousness of guilt
from an attempt to improperly influence or cause the
absence of a material witness at trial." Powell v.
State, 995 P.2d 510, 527 (Okla. Crim. App. 2000).
The OCCA has further stated that this type of
evidence "constitute[s] 'admissions by conduct
designed to obstruct justice' and [is] thus
admissible to establish motive." Id. (quoting Gideon
v. State, 721 P.2d 1336, 1338 (Okla. Crim. App.
1986)). Thus, the testimony of both witnesses was
properly admissible as other crimes evidence. Hale
has failed therefore to show that if his attorney
had objected, the evidence would have been excluded.
Hale attempts to
show prejudice by asserting that the prosecutor
failed to give notice that he was introducing other
crimes evidence as required under Oklahoma law. See
Burks v. State, 594 P.2d 771, 774 (Okla. Crim. App.
1979) (requiring notice of other crimes evidence ten
days prior to trial), overruled in part on other
grounds by Jones v. State, 772 P.2d 922, 925 (Okla.
Crim. App. 1989). Hale argues that if counsel had
objected to the admission on the basis of
insufficient notice, Oklahoma would have excluded
the evidence. Again, we disagree and therefore find
no prejudice.
First, Hale has
failed to support this assertion in his brief.
Although Hale had a full evidentiary hearing during
post-conviction, he never asked Mr. Van Wagner, his
attorney, whether he received notice; therefore
there is no conclusive evidence that he did not
receive notice. In addition, in Malicoat v. State,
992 P.2d 383 (Okla. Crim. App. 2000), the OCCA
clarified that failure to provide Burks notice does
not automatically require the exclusion of other
crimes evidence.
The court
emphasized that the purpose of Burks notice is to
ensure that the defendant is not surprised by the
admission of other crimes evidence, and to allow the
defendant time to be heard on the other crimes
evidence before it is presented to the jury.
Malicoat, 992 P.2d at 402-03; see also Powell, 995
P.2d at 527 (no abuse of discretion on part of trial
court in admitting other crimes evidence without
Burks notice when defendant not surprised); Bryan v.
State, 935 P.2d 338, 357 (Okla. Crim. App. 1997).
Hale cannot argue
here that he was surprised by the testimony of
either Brenda Allison or Mark Weaver. Brenda Allison
testified at the preliminary hearing, thus providing
counsel notice of the testimony she had to offer. In
addition, her name was listed as a witness that
would be called at trial. Moreover, Hale's trial
counsel filed a motion in limine prior to trial
attempting to suppress the evidence of Brenda
Allison that was later denied by the trial court
prior to trial.
Mark Weaver
testified at the preliminary hearing about Hale's
assault on him. Moreover, Weaver was included on the
list of trial witnesses. Therefore, even if Van
Wagner had objected to the evidence at trial, the
lack of written notice would not have kept the
evidence out. Moreover, as discussed above, because
the evidence was proper other crimes evidence, it
would not have been excluded. Thus, Hale cannot show
prejudice. We therefore find that the OCCA's
determination that Hale was not denied effective
assistance of counsel was not an unreasonable
application of federal law.
E. Second Stage
Closing Remarks
Mr. Hale next
asserts that he received ineffective assistance of
trial counsel during his counsel's second stage
closing remarks. Specifically, Hale contends that
his attorney's false statement to the jury that Hale
had been abandoned by his wife and daughter
constituted deficient performance that prejudiced
his case. The OCCA concluded that under Strickland,
Hale had not been denied his Sixth Amendment right
to effective assistance of counsel. See Hale I, 750
P.2d at 142.
The portion of
trial counsel's closing argument to which Hale
objects reads as follows:
And his wife Susan
was here to testify earlier this week. She's
abandoned him. He has a teenage daughter Jamie. She
hasn't been here. She won't be here. I know it's
easy to say that because of his participation he's
earned it. I'm just asking you for mercy because you
are better.
On this point,
Hale fails to overcome the presumption that these
statements "might be considered sound trial strategy."
Strickland, 466 U.S. at 689. First, it is not clear
whether the statement that Hale's wife had abandoned
him at the time of trial was false. Hale's ex-wife
testified during a post-conviction hearing that she
began divorce proceedings approximately six or seven
months "after this all happened." Second, it is
undisputed that Hale had instructed his attorney
that he did not want his wife or child to testify in
his favor, in order to spare them any undue trauma.
Therefore, it
seems clear that in closing argument counsel was
attempting to put the best spin on the fact that
Hale's wife and daughter had not testified during
the punishment phase, by attempting to garner
sympathy. "For counsel's decision to rise to the
level of constitutional ineffectiveness, the
decision must have been completely unreasonable, not
merely wrong, so that it bears no relationship to a
possible defense strategy." See Hoxsie v. Kerby, 108
F.3d 1239, 1246 (10th Cir. 1997) (alterations and
quotation marks omitted). Here, the attorney's
comments had a reasonable relationship to a defense
strategy.
Moreover, even if
counsel was deficient in making this statement, Hale
has failed to show any prejudice. There is no "reasonable
probability that, but for counsel's [abandonment
argument], the result of the proceeding would have
been different." Strickland, 466 U.S. at 694. Thus,
we find that the OCCA's determination that counsel
was not ineffective was not an unreasonable
application of federal law.
F. First Stage
Closing Statement
Hale next argues
that during closing argument in the guilt phase of
the trial, his attorney conceded his guilt and thus
denied him effective assistance of counsel. The OCCA
rejected this claim, finding no prejudice. Hale I,
750 P.2d at 142. The court further concluded that if
counsel had claimed that Hale had not been involved
at all, in the face of overwhelming evidence of
Hale's involvement, counsel would have lost all
credibility with the jury. Id.
The relevant
portion of counsel's argument is as follows:
This is the FBI's
case. And after all they're the best in the country.
At least that's what they tell us. And they look
pretty sharp. Couple of the experts even spelled
their names for you so you wouldn't miss out to know
that. They're slick. The State would have you accept
the FBI's case without any questions. Don't delve
into hypotheticals says the State. Don't bother
yourself with unanswered questions because we have
answered everything that you could want to know.
That's not true. There are a lot of unanswered
questions, and you should ask every reasonable
question that comes to your mind when you are in
that jury room. . . .There isn't any doubt that Jim
Hale was involved in this. No doubt whatsoever. How
much though? To what extent? And was he the only one?
How many voices were on the tapes? Susan Hale, Jim's
wife, was able to say, "I can only identify my
husband as on one of those tapes." What did it sound
like to you?
We conclude that
the OCCA reasonably applied Strickland in resolving
this issue. Although "an attorney who adopts and
acts upon a belief that his client should be
convicted 'fail[s] to function in any meaningful
sense as the Government's adversary,'" Osborn v.
Shillinger, 861 F.2d 612, 625 (10th Cir. 1988) (quoting
United States v. Cronic, 466 U.S. 648, 666, 104 S.
Ct. 2039, 80 L. Ed. 2d. 657 (1984) (alteration in
original)), Hale's counsel did not act in such a
manner in this case.
Instead, he made a
reasonable strategic decision to concede some
involvement by Hale, given the overwhelming evidence
presented at trial, and focused on the extent of his
involvement and whether others could have been
involved. See Trice v. Ward, 196 F.3d 1151, 1161-62
(10th Cir. 1999) (finding it was neither
unreasonable nor prejudicial to admit some
involvement and focus energy on other arguments,
when evidence was overwhelming).
Moreover, given
the overwhelming evidence linking Hale to the crime
i.e., F.B.I. identification of Hale as the man
making at least some of the ransom calls to Mrs.
Perry; hair, gun, and blood evidence linking Hale to
the crime; the body wrapped in a trampoline tarp
which fit Hale's trampoline; and other eyewitness
accounts of Hale's involvement Hale cannot show a
reasonable probability that the outcome of the guilt
phase of the trial would have been different absent
the concession made by his attorney during closing
argument.
G. Improper Jury
Instruction
Hale next argues
that he is entitled to habeas relief because his
jury was improperly instructed under Oklahoma law
that the death penalty could be imposed for the
kidnapping for extortion conviction. Hale presents
this claim as both a constitutional claim and as a
separate ineffective assistance of counsel claim.
The OCCA addressed
and rejected this claim on direct appeal, finding
that although the instruction on the kidnapping
charge incorrectly stated under Oklahoma law that
kidnapping was a death-eligible offense, the error
was not due to any willful misconduct on the part of
the attorney or the trial court.
Moreover the court
stated that "[s]ince the jury in this case did not
assess the death penalty for the extortion
conviction, appellant has not demonstrated prejudice
resulting from the improper instruction." Hale I,
750 P.2d at 138 (citing Bumper v. North Carolina,
391 U.S. 543, 545, 88 S. Ct. 1788, 20 L. Ed. 2d 797
(1968)). The OCCA further concluded that counsel was
not deficient for his failure to object to the jury
instruction. Id. at 142.
It is not disputed
that the second stage jury instruction regarding the
possible punishment for kidnapping was in error,
because it stated that Hale could be given the death
penalty on the kidnapping charge. The instruction
read:
The Defendant in
this case has been found guilty by you, the jury, of
the offense of KIDNAPPING FOR EXTORTION as charged
in count II of the information. It is now your duty
to determine the penalty to be imposed for this
offense.
Under the law of
the State of Oklahoma, every person found guilty of
KIDNAPPING FOR EXTORTION shall be punished by death
or imprisonment in the penitentiary, not less than
ten (10) years.
In addition to the
above instruction, the prosecutor argued during his
second stage closing argument that both counts
murder and kidnapping carried the death penalty and
urged its imposition on both counts. The prosecutor
also stated, however, that if the jury rejected the
death penalty, the jury could give Hale life or "any
range you want."
Hale first argues
that the kidnapping instruction that allowed for the
imposition of a death sentence resulted in
constitutional error that cannot be viewed as
harmless. The Supreme Court has stated that the
argument that a jury instruction is incorrect under
state law is not a basis for federal habeas relief.
See Estelle v. McGuire, 502 U.S. 62, 71-72, 112 S.
Ct. 475, 116 L. Ed. 2d 385 (1991); Esquibel v. Rice,
13 F.3d 1430, 1433 (10th Cir. 1994).
The appropriate
question on habeas review is "whether the ailing
instruction by itself so infected the entire trial
that the resulting conviction violates due process."
McGuire, 502 U.S. at 72. The instruction must be
viewed in the context of the instructions as a whole
and the trial record. Id. For this review, we apply
a harmless error analysis. See California v. Roy,
519 U.S. 2, 5, 117 S. Ct. 337, 136 L. Ed. 2d 266
(1996) (reviewing jury instruction under harmless
error analysis).
Prior to AEDPA,
federal courts applied the Brecht v. Abrahamson, 507
U.S. 619, 637, 113 S. Ct. 1710, 123 L. Ed. 2d 353
(1993), harmless error analysis. Under Brecht, a
federal court on habeas review must determine
whether the error had a "substantial and injurious
effect or influence in determining the jury's
verdict." Id. at 623.
AEDPA now provides,
however, that habeas relief shall not be granted
from state convictions "unless the adjudication of
the claim . . . involved an unreasonable application
of [] clearly established Federal law, as determined
by the Supreme Court of the United States." 28
U.S.C. § 2254(d). Chapman v. California, 386 U.S.
18, 87 S. Ct. 824, 17 L. Ed. 2d 705 (1967), sets
forth the clearly established standard that state
courts apply for evaluating instances of
constitutional error whether an error was harmless
beyond a reasonable doubt. Oklahoma Court of
Criminal Appeals reviewed this error for prejudice,
citing Bumper v. North Carolina, 391 U.S. 543, 545
(1968).
That, however, is
the wrong constitutional standard. Bumper v. North
Carolina, id., refers only to whether a Witherspoon
challenge (Witherspoon v. Illinois, 391 U.S. 510, 88
S. Ct. 1770, 20 L. Ed. 2d 776 (1968)) can be applied
to a case where the jury recommends life
imprisonment rather than death. Thus, we find that
case inapposite. The proper harmless error standard,
that should have been applied, is that expressed in
Chapman v. California. Thus, we apply the standard
of review set forth in Brecht. See Williams v.
Taylor, 120 S. Ct. 1495 (2000).
Here, the jury
recommended a life sentence, not death for the
kidnapping conviction. The jury was given a full
range of possible sentences and chose a permissible
sentence under Oklahoma law life in prison. There is
no evidence that the jury was influenced to give a
life sentence simply because they were given the
impermissible choice of giving a death sentence.
Moreover, there is
no evidence that the jury imposed the death sentence
for the murder conviction because of the erroneous
kidnapping instruction. Hale attempts to show that
the jury imposed a death sentence on the murder
charge because of the erroneous kidnapping charge by
suggesting that the jury impermissibly double-counted
aggravators.
Hale asserts that
because the jury found the "heinous, atrocious, or
cruel" aggravator for the kidnapping charge and also
found the "heinous, atrocious, or cruel" aggravator
for the murder charge, the jury was allowed to
double-count. Hale misconstrues double counting.
Double-counting occurs when one aggravating
circumstance for a crime found by the jury
necessarily subsumes another aggravator found by the
jury for the same crime. See Smith v. Gibson, 197
F.3d 454, 464 (10th Cir. 1999).
Here, the jury
looked at a similar aggravator for two separate
crimes. There is no evidence that the jury relied on
the aggravating circumstances it found arising from
the kidnapping in assessing the penalty for the
murder charge. Moreover, such an assumption would
ignore the jury instructions, which the jury is
presumed to follow, see Shannon v. United States,
512 U.S. 573, 585, 114 S. Ct. 2419, L. Ed. 2d 459
(1994), that provided the jury with separate
aggravating circumstances for each crime.
Thus, Hale's
argument that double counting allowed the jury to
use the erroneous kidnapping charge to assess death
for the murder charge fails. We therefore conclude
that any constitutional error in the instruction did
not have a substantial and injurious effect on the
jury
Hale further
argues that he was denied effective assistance of
counsel due to his counsel's failure to object to
the improper jury instruction on the kidnapping
charge. Even if we were to assume that this
constituted deficient performance, Hale has failed
to show prejudice. Hale has not shown that had
counsel objected, there is a reasonable probability
that the jury would have returned a sentence other
than life in prison. The jury's actual sentence did
not reflect an error of law. Cf. Kennedy v. Maggio,
725 F.2d 269 (5th Cir. 1984) (finding counsel
ineffective when it counseled client to plead guilty
to rape under erroneous belief that if defendant
went to trial he would be eligible for the death
penalty).
Here, the jury was
allowed under the law to return a sentence of life
imprisonment. Mere speculation that the jury might
have returned a lesser prison sentence if death had
not been a possibility is not sufficient to show
prejudice. Thus, Hale has not established that the
OCCA's determination that counsel was not
ineffective was unreasonable.
H. Amended Bill of
Particulars
Hale next argues
that his due process rights were violated when the
State waited until the first day of trial to file an
amended Bill of Particulars which added the "avoiding
arrest" aggravating circumstance to the three
already alleged in the original Bill of Particulars.8
Hale also argues that his counsel's failure to
object to this addition resulted in ineffective
assistance of counsel.
1. Due Process
The OCCA rejected
this claim, finding that it bordered on the "frivolous."
See Hale I, 750 P.2d at 139. The court went on to
state that at the time the Bill of Particulars was
amended, Hale was "already aware of all of the
evidence to be used by the State to prove [the
aggravator];" thus defense counsel was not surprised.
Id.
The Supreme Court
has held that the Due Process Clause requires that a
defendant receive adequate notice that he could
receive the death penalty. Lankford v. Idaho, 500
U.S. 110, 127, 111 S. Ct. 1723, 114 L. Ed. 2d 173
(1991). In addition, "a defendant must have a
meaningful opportunity to deny or explain the
State's evidence used to procure a death sentence."
Duvall v. Reynolds, 139 F.3d 768, 797 (10th Cir.
1998) (citing Gardner v. Florida, 430 U.S. 349, 362,
97 S. Ct. 1197, 51 L. Ed. 2d 393 (1977)).
In this case, Hale
argues that the amendment to the Bill of Particulars
on the day of trial, February 27, 1984, deprived him
of due process. However, Hale knew from the prior
Bill of Particulars that he was subject to the death
penalty on the basis of three aggravators.
In addition, the
State had previously submitted its list of witnesses
and did not include any new witnesses when it added
the new aggravator, nor did it add any witnesses in
the punishment phase. Hale was aware of all of the
evidence and witnesses that were going to be
presented against him at trial and in the punishment
phase prior to the addition of the "avoid arrest"
aggravator.
Moreover, Hale's
counsel announced that he was ready on the first day
of trial, and testified at the state post-conviction
hearing that he was not surprised by any evidence
presented at trial and was ready when the trial
began. Thus, Hale was not subjected to "trial by
ambush." See Duvall, 139 F.3d at 797. Therefore,
Hale has not carried his burden of showing that the
OCCA's determination that there was no error was an
unreasonable application of federal law.
2. Ineffective
Assistance of Counsel
Hale further
argues that under Oklahoma law, if Hale's trial
counsel had objected to the addition of the "avoid
arrest" aggravator on the morning of the first day
of trial, the court would have excluded it. Because
the jury found the "avoiding arrest" aggravator when
it reached its decision to impose the death penalty,
Hale argues that he suffered prejudice from the
failure to object and have the aggravator quashed.
The OCCA addressed and rejected this claim, finding
that the trial court properly could have admitted
the additional aggravator under Oklahoma law, and
thus trial counsel was not deficient. See Hale I,
750 P.2d at 141.
At the time Hale
was tried, Oklahoma had no set time by which the
State had to have filed a Bill of Particulars. See
Hunter v. State, 829 P.2d 64, 65 (Okla. Crim. App.
1992).9
Oklahoma courts, however, required that the Bill of
Particulars be filed within a reasonable amount of
time so that the defense could prepare for trial.
See id.; Carpenter v. State, 929 P.2d 988, 994-95 (Okla.
Crim. App. 1996).
In this case, Hale was not surprised by the fact
that the State was seeking the death penalty when
the State introduced a fourth aggravator the day of
trial, because an original Bill of Particulars had
already been filed. In addition, as noted above,
Hale was aware of all of the evidence and witnesses
that the state was going to use against him prior to
the amendment and had time to prepare a defense.10
Because Hale was
not surprised by any new evidence or witnesses, or
by the fact that the State was seeking the death
penalty, and no new evidence was introduced at the
sentencing phase, the trial court would not have
been required to quash the additional aggravator
even if counsel had objected. Hale has failed to
show that he was prejudiced under Strickland.
Therefore, we cannot find that the OCCA's
determination that counsel was not ineffective was
an unreasonable application of federal law.
II. Double Jeopardy
and Liberty Interest
Hale next argues
that his constitutional rights were violated when
the State of Oklahoma prosecuted him for first-degree
murder and kidnapping for purposes of extortion
following his conviction in federal court for
extortion under the Hobbs Act, 18 U.S.C. § 1951.
Specifically, Hale argues the state prosecutions
were barred by Okla. Stat. tit. 21, § 25 (repealed
1986), and that Oklahoma's failure to enforce that
statute amounted to a deprivation of his liberty
interest.11
Appellee contends that Hale failed to exhaust this
claim fully with regard to the murder conviction and
thus habeas relief should be denied pursuant to 28
U.S.C. § 2254(b)(1).
On direct appeal
Hale argued (1) that he could not be tried for the
crime of kidnapping under the Oklahoma Constitution,
because he had already been convicted of extortion
in federal court under the Hobbs Act, and (2) that
the state prosecutions for kidnapping and first
degree murder violated the Oklahoma Double Jeopardy
Clause. Thus, Hale did not raise a federal
constitutional claim on direct appeal. In Hale's
second application for post-conviction relief, Hale
did raise a federal constitutional claim; however,
the claim raised in the second application
challenged only the kidnapping conviction and did
not challenge the murder conviction.
The OCCA did not
address this claim on post-conviction review finding
that it had been raised on direct appeal and was
therefore barred. See Hale III, 934 P.2d at 1102.
Thus, the issue as it concerns the murder charge has
not been exhausted.12
See Anderson v. Harless, 459 U.S. 4, 6-7, 103 S. Ct.
276, 74 L. Ed. 2d 3 (1982) (per curiam) (petitioner
failed fairly to present federal habeas claim to
state courts where, in state court proceedings, he
relied only upon state law authority to challenge
jury instruction).
Nevertheless, the
Supreme Court has held that if a petitioner 'failed
to exhaust state remedies and the court to which the
petitioner would be required to present his claims
in order to meet the exhaustion requirement would
now find the claims procedurally barred' the claims
are considered exhausted and procedurally defaulted
for purposes of habeas relief.
Thomas v. Gibson,
218 F.3d 1213, 1220-21 (10th Cir. July 18, 2000) (quoting
Coleman v. Thompson, 501 U.S. 722, 735 n.1, 111 S.
Ct. 2546, 115 L. Ed. 2d. 640 (1991)). Oklahoma bars
collateral review of claims actually raised on
direct appeal or those that could have been raised
on direct appeal but were not. See Brecheen, 41 F.3d
at 1349 n.4 (citing Okla. Stat. tit. 22, § 1086).
Accordingly, Hale has defaulted his claim with
regard to the murder conviction.
We cannot consider
issues raised in a habeas petition "that have been
defaulted in a state court on an independent and
adequate procedural ground unless the petitioner can
demonstrate cause and prejudice or a fundamental
miscarriage of justice." Thomas, 218 F.3d 1213,
1221-22 (alteration omitted). This court has held
that Oklahoma's procedural bar to most claims not
raised on direct appeal (other than ineffective
counsel claims) is independent and adequate. See
Brecheen, 41 F.3d at 1356. Because Hale has not
shown cause and prejudice or that a fundamental
miscarriage of justice will occur if we do not
address the claim with regard to the murder
conviction, this part of his claim is barred.
Although Hale also
failed to raise his federal claim with regard to the
kidnapping conviction on direct appeal, and thus it
would seem this part of the claim is also
procedurally barred, Appellee has not raised
procedural bar with respect to this aspect of Hale's
claim.
As such, we will
consider Hale's kidnapping claim on the merits, see
Hooks, 184 F.3d at 1223 (proceeding to merits of
claim when state did not raise procedural bar), as
did the federal district court, which denied the
claim and found that even if section 25 creates a
liberty interest, Oklahoma would not find that Hale
was entitled to have the state charges dismissed
under that statute. Because, as noted above, the
Oklahoma courts never addressed Hale's claim that
Okla. Stat. tit. 21, § 25 created a federally
protected liberty interest preventing the state
prosecution of Hale for kidnapping, the claim was
not "adjudicated on the merits in State court
proceedings," as contemplated by 28 U.S.C. §
2254(d). Thus, we must review the claim under pre-AEDPA
standards. Prior to AEDPA we reviewed questions of
law on habeas de novo. Hooks, 184 F.3d at 1223.
"Whether an
interest created by state law rises to the level of
a 'liberty interest' protected by the Due Process
Clause of the Fourteenth Amendment is a matter of
federal law." Montero v. Meyer, 13 F.3d 1444, 1447
(10th Cir. 1994). It is unnecessary for this court
to determine whether section 25 creates a liberty
interest cognizable under the United States
Constitution, because whether it does or not,
Oklahoma would not find that Hale's claim falls
within the scope of section 25.
Section 25 states:
Whenever it
appears upon the trial that the accused has already
been acquitted or convicted upon any criminal
prosecution under the laws of another state,
government or country, founded upon the act or
omission in respect to which he is upon trial, this
is a sufficient defense.
Russell v. State,
654 P.2d 1058, 1061 (Okla. Crim. App. 1982) (quoting
Okla. Stat. tit. 21, 21 O.S. § 25). Hale's
conviction in federal court under the Hobbs Act
constituted a conviction under the laws of another
government for purposes of section 25. See Russell,
654 P.2d at 1061. Under the decisions of Oklahoma
courts addressing the interpretation of this statute,
the question then becomes "whether the federal and
subsequent State prosecutions were founded upon the
same offense or 'acts' as provided in the statute."
Id.13
To make this
determination, the Oklahoma courts look to the
language of the different statutes under which the
defendant was convicted. If "evidence necessary to
prove the federal charges would not be sufficient to
prove the state charges, and vice versa," then
section 25 has not been violated. Russell, 654 P.2d
at 1062-63; Hubbell v. State, 585 P.2d 369, 374 (Okla.
Crim. App. 1978) (same). Thus, if the evidence used
to prove the federal crime is insufficient to prove
the state crime and vice versa, the trial in the
federal court would not bar a subsequent prosecution
in state court, even though the underlying facts are
the same. Russell, 654 P.2d at 1063.
In the federal
prosecution, Hale was charged with violating the
Hobbs Act, 18 U.S.C. § 1951. That statute provides
that:
(a) Whoever in any
way or degree obstructs, delays, or affects commerce
or the movement of any article or commodity in
commerce, by robbery or extortion or attempts or
conspires so to do, or commits or threatens physical
violence to any person or property in furtherance of
a plan or purpose to do anything in violation of
this section shall be fined not more than $10,000 or
imprisoned not more than twenty years, or both.
The Supreme Court
has found that there are two essential elements of a
Hobbs Act crime: "interference with commerce, and
extortion." Stirone v. United States, 361 U.S. 212,
218, 80 S. Ct. 270, 4 L. Ed. 2d 252 (1960).
Hale was
prosecuted in state court in Oklahoma for kidnapping
for extortion, Okla. Stat. tit. 21, § 745. The
kidnapping statute reads as follows:
A. Every person
who, without lawful authority, forcibly seizes and
confines another, or inveigles or kidnaps another,
for the purpose of extorting any money, property or
thing of value or advantage from the person so
seized, confined, inveigled or kidnapped, or from
any other person, or in any manner threatens either
by written instrument, word of mouth, message,
telegraph, telephone, by placing an ad in a
newspaper, or by messenger, demands money or other
thing of value, shall be guilty of a felony, and
upon conviction shall suffer death or imprisonment
in the penitentiary, not less than ten (10) years.
Oklahoma has
stated that this statute requires that a jury find
four essential elements: "(1) an unlawful, (2)
forcible seizure and confinement (3) of another (4)
with the intent to extort a valuable thing or
advantage from any person." Turner v. State, 786
P.2d 1251, 1254 (Okla. Crim. App. 1990).
Upon looking at
the elements that need to be proven by the State, it
becomes clear that under each statute the state or
federal government must prove an element not
necessary to any other charge. In the Hobbs Act
case, the federal prosecutor had to show that Hale's
actions interfered with commerce. This evidence was
not necessary to prove the state crime of kidnapping.
Likewise, in the kidnapping charge the state
prosecutor had to prove forcible seizure and
confinement of another. This was not an element of
the Hobbs Act. As the Oklahoma court stated in
Hubbell:
[A]lthough it
appears that the same exhibits . . . were introduced
in both federal and state courts, it does not follow
that [Hale] was being tried twice for the same
offense. . . . The evidence necessary to prove the
federal offense would be insufficient to prove the
state offense and vice versa. Therefore, the trial
in federal court did not bar a subsequent
prosecution in state court.
Hubbell, 585 P.2d
at 374.
Therefore, it is
clear that Oklahoma did not violate Okla. Stat. tit.
21, § 25 when it prosecuted Hale for kidnapping
following the federal prosecution under the Hobbs
Act. Since there was no violation of section 25,
there can be no denial of a liberty interest
predicated upon section 25. Thus, we deny relief
under this claim.
III. Brady claim
Hale next argues
that he is entitled to habeas relief because the
F.B.I. has continued to suppress evidence in its
possession after Hale requested it pursuant to the
Freedom of Information Act ("FOIA"), in violation of
Brady v. Maryland, 373 U.S. 83, 83 S. Ct. 1194, 10
L. Ed. 2d. 215 (1963). Appellee counters that this
claim is procedurally barred.
Hale did not raise
this Brady claim on direct appeal. On post-conviction
review, the OCCA rejected this claim, finding that
it could have been raised on direct appeal and was
not; thus it was barred from being raised on post-conviction.
Hale II, 807 P.2d at 268-69 (citing Okla. Stat. tit.
22, § 1086). "We may not consider issues raised in a
habeas petition 'that have been defaulted in state
court on an independent and adequate procedural
ground, unless the petitioner can demonstrate cause
and prejudice or a fundamental miscarriage of
justice.'" Medlock v. Ward, 200 F.3d 1314, 1323
(10th Cir. 2000) (quoting English v. Cody, 146 F.3d
1257, 1259 (10th Cir. 1998) (citing Coleman v.
Thompson, 501 U.S. 722, 749-50, 111 S. Ct. 2546, 115
L. Ed. 2d 640 (1991))).
We have recently
recognized that Oklahoma's bar on raising claims on
post-conviction that could have been raised on
direct appeal is an independent and adequate state
bar with regard to Brady claims. See Clayton v.
Gibson, 199 F.3d 1162, 1175 (10th Cir. 1999); see
also Okla. Stat. tit. 22, § 1086.14
As we stated in
Brecheen v. Reynolds, 41 F.3d 1343 (10th Cir. 1994),
section 1086 "precludes state collateral review of .
. . issues that could have been raised on direct
appeal but were not." Id. at 1349 n.4.15
Furthermore, Hale has failed to show cause and
prejudice, or that a fundamental miscarriage of
justice will occur if we do not address this claim.
Thus, we conclude Hale is barred from raising this
claim.
IV. Change of Venue
Hale next argues
that he was denied a fair trial when the trial judge
failed to grant defense counsel's motion for a
change of venue. On direct appeal, the OCCA, in a
2-1 decision, rejected this claim. Relying on the
Supreme Court's decisions in Irwin v. Dowd, 366 U.S.
717, 81 S. Ct. 1639, 6 L. Ed. 2d 751 (1961), and
Murphy v. Florida, 421 U.S. 794, 95 S. Ct. 2031, 44
L. Ed. 2d 589 (1975), the court found that Hale had
failed to show that the pretrial publicity created
actual or presumed prejudice. See Hale I, 750 P.2d
at 134-35.
The court noted
that each of the jurors finally seated stated that
he or she could set aside any opinion held and could
be impartial. Id. In addition, every juror
challenged for cause was dismissed. Under these
circumstances, the court found that the trial
court's decision to deny the motion for a change of
venue was not an abuse of discretion. Id. at 135.
The State argues that this determination was not an
unreasonable application of Supreme Court precedent.
On February 22,
1984, Hale filed a petition for change of venue. On
February, 24, 1984 a hearing was held on Hale's
motion, during which time Hale's counsel presented
the testimony of two county residents who testified
that, in their opinion, based upon pre-trial
publicity and conversations with citizens in the
area, Hale would not be able to receive a fair trial
because people had already decided Hale was guilty.
Hale also introduced numerous articles published in
the two newspapers with local circulation. At the
conclusion of the hearing, the trial judge took the
motion under advisement until after voir dire.
Prior to Hale's
trial, the news coverage of Perry's abduction and
murder, as well as the arrest and indictment and
federal prosecution, was considerable. The newspaper
accounts revealed details of the murder, kidnapping,
ransom demand, and Hale's arrest and arraignment on
federal charges, and further detailed the cost to
the county associated with escorting Hale to court
by federal marshals.
The articles
included pictures of Hale and of the crime scene
where Perry's body was eventually found. The paper
also reported the impact on the community and the
Perry family. One article discussed the fact that
Hale had previous dealings with the bank in which he
owed money, and also discussed related civil and
criminal charges against Hale. The newspapers also
reported the incident involving Brenda Allison, who
claimed that Hale had told her that her husband was
hurt in a car accident and offered her a ride just a
day prior to Perry's abduction. When Perry was found
guilty on the federal extortion charges, there were
more articles in the newspaper. Several papers also
reported the testimony of witnesses in the federal
extortion case.
During voir dire,
thirty-seven jurors were called and examined by the
trial judge and the attorneys. Of those thirty-seven,
only three stated they had no prior knowledge of the
case. Twelve potential jurors admitted that they had
held some opinion at some point about Hale's guilt.
Six of these twelve were seated on Hale's jury. In
addition, four potential jurors knew Hale or his
family and eight knew the victim or his family.
Furthermore, one of the jurors finally seated had
discussed the case with one of the key witnesses at
trial, Ms. Miller, but stated that she could be
impartial.
At the conclusion
of voir dire, the judge asked the jurors if anyone
seated could not be fair and impartial. No one
responded. The judge then overruled the motion for a
change of venue. This ruling, following the inquiry
by the court as to whether the jurors could be
impartial, serves as a general finding by the court
that the panel selected for the trial was impartial.
See Church v. Sullivan, 942 F.2d 1501, 1518 (10th
Cir. 1991) (holding that a trial judge's denial of a
change of venue in connection with his statement
that the court had found twelve impartial jurors and
one alternate in two hours, served as a general
finding of impartiality).
"We review the
trial court's decision denying a transfer of venue
for an abuse of discretion. We give great deference
to the trial court's exercise of its discretion, and
its decision is entitled to a presumption of
correctness and will not be overturned unless there
is manifest error." Stafford, 34 F.3d at 1565 (internal
quotation marks and citations omitted); see also
Mayes v. Gibson, 210 F.3d 1284, 1291 (10th Cir.
2000) (post-AEDPA). Our review of state court
findings is limited in part because the "state trial
judge had the benefit of observing the general
demeanor of the jurors as the basis for his general
finding [of impartiality]." Brecheen, 41 F.3d at
1350.
Thus, a habeas
petitioner attempting to show a due process
violation because of a state trial judge's failure
to grant a change of venue motion "must demonstrate
either that the trial resulted in actual prejudice
or that it gave rise to a presumption of prejudice
because it involved 'such a probability that
prejudice will result that it is deemed inherently
lacking in due process.'" Id. at 1350 (quoting Estes
v. Texas, 381 U.S. 532, 542-43, 85 S. Ct. 1628,
1633, 14 L. Ed. 2d 543 (1065)); see also Murphy, 421
U.S. at 798-99 (discussing cases in which Supreme
Court held due process violations had occurred after
finding either actual prejudice or presumed
prejudice).
1. Presumed
Prejudice
The defendant
bears the burden of establishing that prejudice
should be presumed. See Stafford v. Saffle, 34 F.3d
1557, 1566 (10th Cir. 1994). In order to demonstrate
that prejudice should be presumed, the defendant
must "establish that an irrepressibly hostile
attitude pervaded the community." Id. at 1567. "Simply
showing that all the potential jurors knew about the
case and that there was extensive pretrial publicity
will not suffice to demonstrate that an
irrepressibly hostile attitude pervaded the
community." Id. Presumed prejudice is "rarely
invoked and only in extreme circumstances." Id.
The Supreme Court
has presumed prejudice in only a small number of
cases. In those cases where the Court has presumed
prejudice, however, "the influence of the news
media, either in the community at large or in the
courtroom itself, pervaded the proceedings," Murphy,
421 U.S. at 799, and created either a circus
atmosphere in the court room or a lynch mob
mentality such that it would be impossible to
receive a fair trial. See Sheppard v. Maxwell, 384
U.S. 333, 86 S. Ct. 1507, 16 L. Ed. 2d 600 (1966) (finding
a due process violation from five volumes of news
clippings, accommodation for the press in the
courthouse and courtroom, publication of potential
juror's names and addresses allowing the public to
contact potential jurors pretrial); Rideau v.
Louisiana, 373 U.S. 723, 83 S. Ct. 1417, 10 L. Ed.
2d 663 (1963) (finding due process violation after
defendant's filmed confession was repeatedly
broadcast on the local television news of the small
town); Estes 381 U.S. at 545-51 (presuming prejudice
based on pretrial and trial media coverage that
resulted in a disruptive circus atmosphere that
deprived the defendant of the solemnity and sobriety
to which a defendant is entitled).
The facts of this
case do not rise to the level of those in Rideau,
Sheppard, or Estes. Although Hale presented evidence
of approximately thirty newspaper articles written
about the case, these articles alone are not
sufficient to show that prejudice should be presumed,
particularly given the fact that they were written
over a five month period with the largest volume
dating from several months before Hale's trial. As
the Supreme Court stated in Murphy, a jury's
exposure to a "defendant's prior convictions or to
news accounts of the crime with which he is charged"
cannot alone demonstrate that the defendant was
denied due process. 421 U.S. at 799.
The evidence does
not demonstrate that the pre-trial publicity had
created such a media frenzy or circus atmosphere
that Hale could not possibly have received a fair
trial. Thus, Hale has failed to meet his burden of
showing that an irrepressibly hostile attitude
pervaded the community such that prejudice could be
presumed.
2. Actual Prejudice
Hale also seems to
suggest that the voir dire proceedings showed actual
prejudice based on responses of actual and potential
jurors, almost all of whom had heard about the case
and some of whom had formed opinions based on
pretrial publicity. "We review actual prejudice by
examining the totality of the circumstances."
Stafford, 34 F.3d at 1567. "Due process requires
that the accused receive a fair trial by an
impartial jury free from outside influences." United
States v. Abello-Silva, 948 F.2d 1168, 1177 (10th
Cir. 1991) (quoting Sheppard, 384 U.S. at 362). "The
trial court has broad discretion in gauging the
effects of allegedly prejudicial publicity and in
taking measures to insure a fair trial." Id. (quotation
marks omitted). The trial court in this case made a
general finding that the jury was impartial. The
Supreme Court has stressed that partiality does not
mean:
that the jurors be
totally ignorant of the facts and issues involved.
In these days of swift, widespread and diverse
methods of communication, an important case can be
expected to arouse the interest of the public in the
vicinity, and scarcely any of those best qualified
to serve as jurors will not have formed some
impression or opinion as to the merits of the case.
This is particularly true in criminal cases. To hold
that the mere existence of any preconceived notion
as to the guilt or innocence of an accused, without
more, is sufficient to rebut the presumption of a
prospective juror's impartiality would be to
establish an impossible standard. It is sufficient
if the juror can lay aside his impression or opinion
and render a verdict based on the evidence presented
in court.
Irwin, 366 U.S. at
722-23.
In this case,
twelve out of thirty-seven jurors questioned had
opinions. Six out of those twelve were dismissed and
six were seated on the jury. These six all testified
that they could put aside their opinions and judge
the case on the facts. Moreover, the trial judge
asked twice whether there were any jurors who felt
they could not be impartial. No juror responded. See
Yount, 467 U.S. at 1035 (stating that the relevant
inquiry is whether the jurors at the defendant's
trial "had such fixed opinions that they could not
judge impartially the guilt of the defendant"); see
also Stafford, 34 F.3d at 1567 (finding petitioner
had failed to show jury was not impartial despite
fact that one juror stated that "I will do my best"
when asked whether he could keep the knowledge of
one set of murders for which the defendant had
previously been tried and convicted, separate from
the current set of murder charges). Furthermore,
after reviewing the voir dire proceedings, there is
no indication from the jurors' responses that there
was an atmosphere of hostility toward the defendant,
nor did the trial court have a difficult time in
seating the jury.
As the OCCA
explained, the facts of this case are in contrast to
Irwin v. Dowd, in which the Supreme Court found
actual prejudice. In Irwin, over ninety percent of
the 430 prospective jurors interviewed entertained
some opinion as to guilt, 268 were dismissed for
cause, and eight out of the twelve jurors actually
seated stated they believed the defendant was guilty.
Irwin, 366 U.S. at 727.
Based on these
facts and the obvious hostility towards the
defendant revealed during voir dire, the Court
determined the defendant could not have received a
fair trial. The totality of the circumstances of
this case do not compare to the situation presented
in Irwin. Here, none of the seated jurors stated
unequivocally that they believed Hale was guilty,
nor was there a showing that any of the seated
jurors had such fixed opinions that they could not
judge the case impartially.
Moreover, out of
37 jurors called only eight jurors were dismissed
for cause. Thus, the trial court did not encounter
the same difficulty in seating a jury that the court
in Irwin confronted. It is also clear from reading
the voir dire in this case, that there was not the
vehement hostility present in the jurors' responses
that the Supreme Court found important in Irwin. Id.
at 726-27.
Therefore, viewing
the totality of the circumstances present during
voir dire, we cannot conclude that the trial court's
finding that the jury was impartial was in error.
Thus, the OCCA's determination that the trial court
did not abuse its discretion in denying the motion
to change venue was not an unreasonable application
of federal law as interpreted by the Supreme Court.
V. "Avoid Arrest or
Prosecution" Aggravator
Hale argues there
was such a lack of evidence to support the
aggravator that the murder was committed to avoid
arrest or prosecution that his federal
constitutional rights were violated. Jackson v.
Virginia, 443 U.S. 307, 99 S. Ct. 2781, 61 L. Ed. 2d
560 (1979). Hale did not raise this claim on direct
appeal. On post-conviction review, the OCCA
determined that this issue was barred because it
could have been raised on direct appeal, but was not.
Hale II, 807 P.2d at 269.16
Because Hale's claim of insufficient evidence was
not adjudicated on the merits in state court
proceedings, the new standard articulated in §
2254(d) does not govern our review. See Hooks v.
Ward, 184 F.3d 1206, 1223 (10th Cir. 1999).
On a
constitutional claim that there was insufficient
evidence, we must determine whether "after viewing
the evidence in the light most favorable to the
prosecution, any rational trier of fact could have
found the essential elements of the crime beyond a
reasonable doubt." Foster v. Ward, 182 F.3d 1177,
1194 (10th Cir. 1999). To support a finding of the "avoid
arrest or prosecution" aggravator, "the focus is on
the defendant's intent, whether proved by the
defendant's own statement or through circumstantial
evidence." Fox v. Ward, 200 F.3d 1286, 1301 (10th
Cir. 2000). In addition, Oklahoma courts require the
existence of a predicate crime apart from the murder
from which the defendant sought to avoid arrest or
prosecution. McGregor v. State, 885 P.2d 1366, 1385
(Okla. Crim. App. 1994).
In the instant
case, there was ample evidence from which a rational
fact finder could conclude beyond a reasonable doubt
that the aggravating circumstance was present. First,
the Oklahoma Court of Criminal Appeals concluded
that there was evidence that Hale knew or was
familiar with the victim and his family. We agree,
and Hale has presented no evidence to dispute this
fact.
In addition, there
was testimony from a witness at trial that she saw
Hale grab the victim, haul him over a fence, and
shove him into his car, with no attempt by the
defendant to conceal his identity. See Fox, 200 F.3d
at 1301 (finding sufficient evidence to support
avoid arrest aggravator and noting that defendants
failed to conceal their identity to their victims).
There was also testimony that Hale stated to a
cellmate that he knew how to get rid of witnesses.
Furthermore, there was clearly a predicate crime
kidnapping for extortion apart from the murder
itself from which Hale sought to avoid arrest or
prosecution. Based on all of the foregoing
circumstantial evidence, we find a rational trier of
fact could find the aggravator was present beyond a
reasonable doubt. Hale's claim for relief on this
ground fails.
VI. "Heinous,
atrocious, or cruel" aggravator
Hale's final
argument is that his death sentence should be set
aside because the evidence was constitutionally
insufficient to prove that he was personally
responsible for inflicting the wounds Perry suffered
prior to death. The OCCA reviewed the evidence on
direct appeal and found that there was sufficient
evidence to support the aggravator.
The appropriate
standard for reviewing this claim is the rational
factfinder standard established in Jackson v.
Virginia, 443 U.S. 307 (1979).17
The "especially heinous, atrocious, or cruel"
aggravator is properly found when the murder was
"preceded by torture or serious physical abuse."
Medlock v. Ward, 200 F.3d 1314, 1321 (10th Cir.
2000) (per curiam). Torture includes "the infliction
of either great physical anguish or extreme mental
cruelty," while physical abuse requires evidence of
conscious physical suffering. Id.; Clayton v.
Gibson, 199 F.3d 1162, 1177 (10th Cir. 1999).
In this case,
there is evidence in the record that Perry received
at least five gunshot wounds, only two or three of
which were fatal two shots to the head, and possibly
one shot to the abdomen. In addition, on the morning
Perry was abducted, Ms. Miller testified that she
saw a man, who appeared to be Perry, bent over
holding his side and bleeding in the field crying
for help. She then witnessed Hale run towards Perry,
pull him over a fence, and push him into his car.
The testimony of Ms. Miller was later corroborated
by the finding of blood in the location where she
saw Perry. This evidence is consistent with
conscious physical suffering.
Hale argues,
however, that there was no evidence that he was the
one to inflict the wounds on Perry. First, this
assertion flies in the face of the jury verdict of
guilty on the first-degree murder charge. The jury
found Hale guilty for the murder of Perry. There was
more than sufficient evidence for the jury to find
that Hale was guilty of Perry's murder. We therefore
find that a rational trier of fact could have found
the "heinous, atrocious, or cruel" aggravator beyond
a reasonable doubt.
CONCLUSION
For the above-stated
reasons, we DENY habeas relief and AFFIRM the
decision of the district court.
Hale was also convicted in a
separate proceeding in federal court of the
charge of Affecting Interstate Commerce by
Extortion based upon his action in this case.
As discussed below, the fact
that the potential animosity between the
defendant and his counsel did not rise to the
level of a conflict of interest does not
preclude defendant from showing that his counsel
was ineffective as a result of the animosity. It
simply means that his claim is not evaluated
under the standard for conflicts of interest
articulated by the Supreme Court in Culyer v.
Sullivan, 446 U.S. 335, 100 S. Ct. 1708, 64 L.
Ed. 2d 333 (1980), and Holloway v. Arkansas, 435
U.S. 475, 98 S. Ct. 1173, 55 L. Ed. 2d 426
(1978)
Following the hearing on Van
Wagner's application to withdraw as counsel, the
trial court determined that the personality
issues would not affect the relationship with
the defendant or the representation. Although
this finding as to whether counsel should have
been removed at the time the motion was made is
one we presume to be correct under AEDPA, it
does not preclude a finding that animosity may
have infected the actions and decisions of
counsel during trial and after the court made
its finding. The trial court has made no finding
to which we must give a presumption of
correctness with regard to whether animosity
existed during trial. The court simply stated
that it believed prior to trial that counsel
could overcome the animosity.
Weaver testified that while
he was a cellmate of Hale's, Hale told him he
knew how to get rid of witnesses. After Hale
learned that Weaver was going to testify about
this statement, Hale and several other inmates
beat up Weaver. On habeas, Hale does not argue
that his attorney should have objected to
Weaver's testimony that Hale told him he knew
how to get rid of witnesses. He only argues
counsel should have objected to the testimony
that Hale beat him up when he learned Weaver was
going to testify against him.
The original Bill of
Particulars alleged three aggravating
circumstances:
(1) The defendant committed
the murder for remuneration or the promise of
remuneration. (2) The murder was especially
heinous, atrocious, and cruel. (3) There exists
the probability that the defendant would commit
criminal acts of violence that would constitute
a continuing threat to society.
In Hunter, the OCCA announced
a new rule of procedure requiring the State to
file the Bill of Particulars prior to or at the
time of arraignment. Hunter, 829 P.2d at 65.
However, in Thomas v. State, 888 P.2d 522, 527 (Okla.
Crim. App. 1994), the OCCA clarified that Hunter
does not apply retroactively to cases that are
on collateral review at the time the rule was
laid down. Because the rule in Hunter was
announced after Hale's direct appeals were
completed, the rule does not apply in his case.
The OCCA found that the
amendment to the Bill of Particulars was made
prior to the commencement of trial. See Hale I,
750 P.2d at 140. This is a factual finding that
is presumed to be correct, absent clear and
convincing evidence to the contrary. Our review
of the record indicates that the amendment was
filed prior to the start of trial and was
addressed by the court with the parties prior to
the beginning of any proceedings in the trial.
Hale does not argue, nor
could he, that the federal prosecution and state
prosecutions violated the Double Jeopardy clause
of the Fifth Amendment. See Abbate v. United
States, 359 U.S. 187, 79 S. Ct. 666, 3 L. Ed. 2d
729 (1959) (holding that prior state conviction
did not bar subsequent federal prosecution under
the Double Jeopardy Clause).
Hale seems to argue in the
reply brief that the Appellee has waived the
exhaustion argument because it did not raise it
before the district court. This argument fails
under 28 U.S.C. § 2254(b)(3), which states, "A
State shall not be deemed to have waived the
exhaustion requirement or be estopped from
reliance upon the requirement unless the State,
through counsel, expressly waives the
requirement." The record does not reveal that
Appellee has ever expressly waived the
exhaustion requirement on this claim; thus it is
free to raise this issue on appeal to this court.
Hale argues in his brief that
this court has already held that the state and
federal convictions in this case are based on
the same acts and thus, under the "law of the
case" doctrine, we are bound. Hale cites to this
court's opinion in Hale v. United States
Department of Justice, 99 F.3d 1025 (10th Cir.
1996). In that case, this court stated "[i]n
1983 Hale was convicted in the United States
District Court for the Western District of
Oklahoma under the Hobbs Act, 18 U.S.C. § 1951,
for his action in connection with the kidnapping
and murder of William Jeffrey Perry. Hale was
sentenced to twenty years imprisonment. The
following year, Hale was convicted and sentenced
to death by the State of Oklahoma for his role
in the same crime." Id. at 1027-28 (citations
omitted). Hale misconstrues the "law of the
case" doctrine. As explained in Jeffries v.
Wood, 114 F.3d 1484 (9th Cir. 1997), the law of
the case is a doctrine under which an appellate
court will not reconsider a matter resolved on a
prior appeal. Id. at 1488-89. The rule prevents
questions already considered and decided once in
the case from being reargued at every subsequent
stage of the case. Id. at 1489. The statement
made by this court in Hale was not an issue that
was "resolved" or "considered and decided" by
this court. Instead, this court was simply
reciting the history of the case, thus there is
no "law of the case" on this point.
"All grounds for relief
available to an applicant under this act must be
raised in his original, supplemental or amended
application. Any ground finally adjudicated or
not so raised, or knowingly, voluntarily and
intelligently waived in the proceeding that
resulted in the conviction or sentence or in any
other proceeding the application has taken to
secure relief may not be the basis for a
subsequent application, unless the court finds a
ground for relief asserted which for sufficient
reason was not asserted or was inadequately
raised in the prior application." Okla. Stat.
tit. 22, § 1086.
The federal district court
determined that Oklahoma's procedural bar was
not independent and adequate with regard to
Brady claims. In reaching this conclusion, the
district court looked to two Oklahoma cases in
which the Court of Criminal Appeals did not
apply the bar on Brady claims. See Rojem v.
State, 925 P.2d 70 (Okla. Crim. App. 1996);
Castleberry v. State, 590 P.2d 697 (Okla. Crim.
App. 1979). In Rojem, the court addressed the
Brady claim on post-conviction because new
evidence, not previously discoverable, was
presented to the court. See Rojem, 925 P.2d at
73-74. In Castleberry, the court addressed the
Brady claim because it was inadequately raised
on direct appeal. See Castleberry, 590 P.2d at
701. Both of these cases fall within the stated
exception contained within § 1086. See Okla.
Stat. tit 22, § 1086 (barring claims not raised
on direct appeal unless the court "finds a
ground for relief asserted which for sufficient
reason was not asserted or was inadequately
raised in the prior application").
This Court has recognized
that a state court finding of procedural default
is adequate "if it is strictly or regularly
followed." Maes v. Thomas, 46 F.3d 979, 986
(10th Cir. 1995) (quotation marks omitted).
Adequacy requires "application of the rule 'evenhandedly
to all similar claims.'" Id. (emphasis added). "The
test . . . is whether the state courts' actual
application of the particular procedural default
rule to all similar claims has been evenhanded
in the vast majority of cases." Id. (alterations
and quotation marks omitted) (emphasis added).
The two cases cited by the district court were
not similar to the case in Hale because they
fell within the statutory exception. Moreover,
we have repeatedly found that Oklahoma has
applied section 1086 consistently to preclude
claims on post-conviction review which could
have been raised on direct appeal. See Brecheen,
41 F.3d at 1356, Steele v. Young, 11 F.3d 1518,
1522 (10th Cir. 1993); see also Smith v. State,
878 P.2d 375, 377 n.2 (Okla. Crim. App. 1994) (applying
section 1086 to preclude Brady claim not raised
on direct appeal); Banks v. State, 810 P.2d
1286, 1289 n.2 (Okla. Crim. App. 1991) (same).
Thus, we again conclude that section 1086 is an
adequate state bar to Brady claims raised on
post-conviction review that could have been
raised on direct appeal.
Because Appellee has not
raised procedural bar on this appeal, we decline
to raise the issue sue sponte where Hale has not
had an opportunity to show cause and prejudice.
We therefore proceed to the merits of the claim.
See Duvall v. Reynolds, 139 F.3d 768, 796 n.11
(10th Cir. 1998).
Prior to AEDPA, we reviewed
sufficiency of the evidence challenges de novo.
See Moore v. Gibson, 195 F.3d 1152, 1176 (10th
Cir. 1999). Under AEDPA, however, our standard
of review is not as clear. There is precedent in
the Tenth Circuit that a sufficiency of the
evidence challenge is a legal question and other
precedent suggesting it is a question of fact.
See Moore, 195 F.3d at 1176-77 (collecting cases
on both sides). If we treat the issue as a legal
determination, we look to 28 U.S.C. § 2254(d)(1)
and determine whether the state court decision
was contrary to or an unreasonable application
of clearly established federal law. If, on the
other hand, it is a factual question, we look to
§ 2254(d)(2) and decide whether the state court
decision was an unreasonable determination of
the facts in light of the evidence presented to
the state court. Further, § 2254(e)(1) requires
us to afford a presumption of correctness to a
state court's factual findings. In this case,
however, we do not determine which is the more
appropriate analysis because Hale's claim lacks
merit under either standard of review.