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Cory
JOHNSON
378 F.3d 382
United States of America, Plaintiff-appellant,
v.
James H. Roane, Jr., Defendant-appellee.
United States of America, Plaintiff-appellee,
v.
James H. Roane, Jr., Defendant-appellant.
United States of America, Plaintiff-appellee,
v. Cory Johnson, Defendant-appellant.
United States of America, Plaintiff-appellee,
v.
Richard Tipton, Defendant-appellant
Nos. 03-13 & 03-25
United States Court of Appeals, Fourth Circuit.
Argued: May 6, 2004 Decided: August 9, 2004
Before WILKINSON, KING, and DUNCAN, Circuit Judges.
Affirmed in part and reversed in part by published opinion. Judge
KING wrote the opinion, in which Judge WILKINSON and Judge DUNCAN
joined.
KING, Circuit Judge:
In February 1993, James Roane, Cory Johnson, and Richard Tipton were
convicted in the Eastern District of Virginia for an array of criminal
activity, including several capital murders, arising out of drug-trafficking
operations in and near Richmond. Each received at least one death
sentence for his crimes, plus various terms of imprisonment. After
unavailing direct appeals to this Court, United States v. Tipton,
90 F.3d 861 (4th Cir.1996), Roane, Johnson, and Tipton (the "Defendants")
sought habeas corpus relief in the district court. The Government
sought summary judgment on their claims, which the district court
awarded, except for two claims raised by Roane. See United States
v. Tipton, No. 3:92CR68 (E.D.Va. May 1, 2003) (the "Opinion").
After discovery proceedings and an evidentiary hearing on Roane's
remaining two claims, the court granted relief on his Sixth Amendment
claim of ineffective assistance of counsel ("IAC claim"), vacating
Roane's convictions and sentences relating to the murder of Douglas
Moody. See United States v. Roane, No. 3:92CR68 (E.D.Va. May 1,
2003) (the "Roane Opinion"). Finally, the court rejected Roane's claim
of actual innocence of the Moody murder. Id.
We are now presented with four separate appeals, which we have
consolidated. In Appeal No. 03-13, the Government appeals the district
court's award of relief to Roane on his Sixth Amendment IAC claim. In
No. 03-25, Roane cross-appeals the court's rulings in favor of the
Government on certain of his other claims. And in Nos. 03-26 and
03-27, Johnson and Tipton appeal the award of summary judgment to the
Government on certain of their claims. As explained below, we affirm
the rulings in favor of the Government in Nos. 03-25, 03-26, and
03-27, and we reverse the award of relief to Roane in No. 03-13.
In our comprehensive 1996 opinion rejecting the Defendants' direct
appeals, Judge Phillips aptly summarized the relevant facts underlying
the prosecution of Johnson, Tipton, and Roane. See Tipton, 90
F.3d at 868-70. Because we are unable to improve on that summary, it
is set forth in haec verba:
Recounted in summary form and in the light most favorable to the
Government, the core evidence revealed the following. Tipton, Roane,
and Cory Johnson were principal "partners" in a substantial drug-trafficking
conspiracy that lasted from 1989 through July of 1992. The
conspiracy's operations began in Trenton, New Jersey where Johnson and
Tipton, both from New York City, became members. In August of 1990,
the conspiracy expanded its operations to Richmond, Virginia where
Roane joined the conspiracy in November of 1991. The Trenton-based
operation came to an end on June 4, 1991 when police confiscated a
large quantity of crack cocaine and firearms. In late 1991, the
conspiracy's operations were expanded from the Central Gardens area of
Richmond to a second area in Richmond called Newtowne.
During the period of the conspiracy's operation, its "partners",
including appellants, obtained wholesale quantities of powdered
cocaine from suppliers in New York City, converted it by "cooking" [it]
into crack cocaine, then packaged it, divided it among themselves, and
distributed it through a network of 30-40 street level dealers, "workers."
Typically, the appellants and their other partners in the conspiracy's
operations took two-thirds of the proceeds realized from street-level
sales of their product.
Over a short span of time in early 1992, Tipton, Cory Johnson, and
Roane were variously implicated in the murders of ten persons within
the Richmond area — all in relation to their drug-trafficking
operation and either because their victims were suspected of treachery
or other misfeasance, or because they were competitors in the drug
trade, or because they had personally offended one of the "partners."
On January 4, 1992, Tipton and Roane drove Douglas Talley, an
underling in disfavor for mishandling a drug transaction, to the south
side of Richmond. Once there, Roane grabbed Talley from the rear while
Tipton stabbed him repeatedly. The attack lasted three to five minutes
and involved the infliction of eighty-four stab wounds to Talley's
head, neck, and upper body that killed him.
On the evening of January 13, 1992, Tipton and Roane went to the
apartment of Douglas Moody, a suspected rival in their drug-trafficking
area, where Tipton shot Moody twice in the back. After Moody fled by
jumping through a window, both Tipton and Roane pursued. Roane, armed
with a military-style knife retrieved from an apartment where the
knife was kept for co-conspirator Curtis Thorne, caught up with Moody
in the front yard of the apartment where he stabbed him eighteen
times, killing him.
On the night of January 14, 1992, Roane, Cory Johnson, and a third
person retrieved a bag of guns that they had left at an apartment
earlier that day. Roane then located Peyton Johnson, another rival
drug dealer, at a tavern. Shortly after Roane left the tavern, Cory
Johnson entered with another person and fatally shot Peyton Johnson
with a semiautomatic weapon.
On January 29, 1992, Roane pulled his car around the corner of an
alley, got out of the vehicle, approached Louis Johnson, whom
appellant Johnson thought had threatened him while acting as bodyguard
for a rival dealer, and shot him. Cory Johnson and co-conspirator
Lance Thomas then got out of Roane's car and began firing at Louis
Johnson. As Louis Johnson lay on the ground, either Cory Johnson or
Thomas shot him twice at close range. Louis Johnson died from some or
all of these gunshot wounds.
On the evening of February 1, 1992, Cory Johnson and Lance Thomas were
told that Roane had gone to the apartment of Torrick Brown, with whom
Roane had been having trouble. Johnson and Thomas armed themselves
with semiautomatic weapons and went to the apartment where they joined
appellant Roane outside. The three then knocked on Brown's door and
asked his half-sister, Martha McCoy, if Brown was there. She summoned
Brown to the door and Cory Johnson, Roane, and Thomas opened fire with
semiautomatic weapons, killing Brown and critically wounding McCoy.
In late January, 1992, after being threatened by Cory Johnson for not
paying for a supply of crack cocaine, Dorothy Armstrong went to live
with her brother, Bobby Long. On February 1, Cory Johnson learned from
Jerry Gaiters the location of Long's house. Thereafter, Tipton and an
unidentified "young fellow" picked up Gaiters and Cory Johnson who
were then driven by Tipton to a house where the group obtained a bag
of guns. After dropping off the unidentified third party, the group
proceeded to Long's house. Upon arriving at Long's house, Cory Johnson
and Gaiters got out of the car and approached the house. While Tipton
waited in the car, Cory Johnson and Gaiters went to the front door.
When Long opened the door, Cory Johnson opened fire, killing both
Dorothy Armstrong and one Anthony Carter. Bobby Long fled out the
front door, but was fatally shot by Cory Johnson in the front yard.
In early February 1992, Cory Johnson began to suspect that Linwood
Chiles was cooperating with the police. On February 19, 1992, Johnson
borrowed Valerie Butler's automobile and arranged to meet with Chiles.
That night, Chiles, Curtis Thorne, and sisters Priscilla and Gwen
Greene met Cory Johnson and drove off together in Chiles's station
wagon. Chiles parked the car in an alley, and Tipton soon drove in
behind it in another car, got out, and came up alongside the
stationwagon. With Tipton standing by, Cory Johnson told Chiles to
place his head on the steering wheel and then shot Chiles twice at
close range. Additional shots were fired, killing Thorne and
critically wounding both of the Greene sisters. The autopsy report
indicated that Thorne had been hit by bullets fired from two different
directions.
Tipton was charged under 21 U.S.C. §
848(e) and 18 U.S.C. § 2 with capital murder for eight of these
killings (Talley, Moody, Louis Johnson, Long, Carter, Armstrong,
Thorne, and Chiles); Cory Johnson, with seven (Louis Johnson, Long,
Carter, Armstrong, Thorne, Chiles, and Peyton Johnson); and Roane,
with three, (Moody, Louis Johnson, and Peyton Johnson).
The jury convicted Tipton of six of the eight capital murders with
which he was charged under § 848(e) (Talley, Armstrong, Long, Carter,
Chiles, and Thorne). One of the other two § 848(e) charges was
dismissed (Louis Johnson) and the other resulted in acquittal (Moody).
Tipton was also convicted of conspiracy to possess cocaine base with
the intent to distribute (21 U.S.C. § 846), engaging in a [continuing
criminal enterprise ("CCE")] (21 U.S.C. § 848(a)), eight counts of
committing acts of violence (the eight killings charged under §
848(e)) in the aid of racketeering activity (18 U.S.C. § 1959), two
counts of using a firearm in relation to a crime of violence or a
drug-trafficking crime (18 U.S.C. § 924(c)), and two counts of
possessing cocaine base with intent to distribute (21 U.S.C. §
841(a)(1)).
The jury convicted Cory Johnson of all seven of the capital murders
with which he was charged under § 848(e) (Louis Johnson, Long, Carter,
Armstrong, Thorne, Chiles, and Peyton Johnson). He was also convicted
of conspiracy to possess cocaine base with the intent to distribute
(21 U.S.C. § 846), engaging in a CCE (21 U.S.C. § 848(a)), eleven
counts of committing acts of violence (including the seven killings
charged under § 848(e)) in aid of racketeering activity (18 U.S.C. §
1959), five counts of using a firearm in relation to a crime of
violence or drug-trafficking offense (18 U.S.C. § 924(c)), and two
counts of possession of cocaine base with the intent to distribute (21
U.S.C. § 841(a)(1)).
The jury convicted Roane of all three of the capital murders with
which he was charged under § 848(e) (Moody, Peyton Johnson, and Louis
Johnson.) He was also convicted of conspiracy to possess cocaine base
with the intent to distribute (21 U.S.C. § 846), engaging in a CCE (21
U.S.C. § 848(a)), five counts of committing acts of violence (including
the three killings charged under § 848(e)) in aid of racketeering
activity (18 U.S.C. § 1959), four counts of using a firearm in
relation to a crime of violence or a drug trafficking offense (18
U.S.C. § 924(c)), and one count of possession of cocaine base with the
intent to distribute (21 U.S.C. § 841(a)(1)).
Following a penalty hearing on the capital murder counts, the jury
recommended that Cory Johnson be sentenced to death on all of the
seven § 848(e) murders of which he had been convicted; that Tipton be
sentenced to death for three of the six § 848(e) murders of which he
was convicted (Talley, Chiles, and Thorne); and that Roane be
sentenced to death for one of the three of which he was convicted (Moody).
The district court sentenced Johnson, Tipton, and Roane to death in
accordance with the jury's recommendations pursuant to 21 U.S.C. §
848(l), and imposed various sentences of imprisonment upon each
of the appellants for the several noncapital counts on which they were
convicted and for those capital murder counts on which Tipton and
Roane had been convicted but were not given death sentences.
On appellants' motion, the district court refused to order execution
of the several death sentences on the grounds that Congress had
neither directly authorized the means by which the death sentences
imposed under § 848 should be carried out, nor properly delegated to
the Attorney General the authority to issue the implementing
regulations that were invoked by the Government. In consequence, the
district court stayed execution of the death sentences it had imposed
until such time as Congress had authorized the means of execution.
Id.
When the Defendants initially appealed their convictions and sentences
to this Court, the Government cross-appealed the district court's stay
of their death sentences. In our Tipton opinion, we analyzed
and disposed of approximately sixty issues, including challenges by
the Defendants to aspects of the jury-selection process, the trial's
guilt phase, and the trial's penalty phase. See id. at 870-901.
In rejecting nearly all these challenges, we affirmed the convictions
and sentences of the Defendants, except for their convictions for
violating 21 U.S.C. § 846 (conspiracy to commit drug offenses), which
we vacated on double jeopardy grounds. Finally, on the Government's
cross-appeal, we vacated the stay of their death sentences and
remanded for the executions to proceed in accordance with regulations
promulgated by the Attorney General. Id. at 901-03.
Following our decision in Tipton, the Defendants persisted in
seeking relief from their convictions and sentences. On May 8, 1998,
they sought leave to interview jurors, pursuant to Local Rule 83.5 of
the district court, which was denied. Johnson v. Pruett, No.
3:97CV895 (E.D. Va. June 10, 1998). On June 1, 1998, the Defendants
sought relief under 28 U.S.C. § 2255, filing motions to vacate, set
aside, or correct their sentences.1
The Government sought summary judgment on these motions, and the
Defendants, in June 1999, requested leave to conduct discovery. The
court granted the discovery request in part, authorizing Tipton to
conduct certain forensic testing. Johnson v. Pruett, No.
3:97CV895 (E.D.Va. May 3, 2000).
In its Opinion disposing of the § 2255 motions, the district court
awarded summary judgment to the Government except on Roane's claims
that: (1) he was denied effective assistance of counsel in connection
with the Moody murder, and (2) he was actually innocent of that murder.
See Opinion at 114. The Defendants thereafter filed a joint
motion to alter the Opinion, which the court denied. United Statesv.
Tipton, No. 3:92CR68 (E.D.Va. July 15, 2003). Johnson and Tipton
then moved for the issuance of certificates of appealability, which
the district court awarded on November 26, 2003, as to all claims
raised in their § 2255 motions. United States v. Tipton, No.
3:92CR68 (E.D.Va. Nov. 26, 2003). Johnson and Tipton have filed timely
appeals, and we possess jurisdiction pursuant to 28 U.S.C. §§ 1291 and
2253(a).
On June 21, 2002, the district court
conducted an evidentiary hearing on Roane's IAC claim and on his claim
of actual innocence. In the Roane Opinion of May 1, 2003, the court
made findings of fact regarding the representation rendered by Roane's
trial attorney. See Roane Opinion at 2-8. In so doing, the
court first addressed the evidence implicating Roane in the Moody
murder, finding as follows:
• Denise Berkley testified
that on the night of the Moody murder, she watched Roane stab Moody
"18 or 19 times" while Moody pleaded for his life; that she then saw
Sandra Reavis, Roane, Curt Thorne, Linwood Chiles, and Priscilla "Pepsi"
Greene leave the scene of the murder in Chiles's station wagon; and
that Roane took the knife he used to stab Moody and gave it to Pepsi
Greene, asking her to get rid of it;
• Pepsi Greene testified that she heard two or three shots and
then saw Roane and Tipton exit the house from which the shots were
fired; that Roane then directed her to get him a knife; and that later
that night, Roane returned the knife, then covered with blood, and
told her to get rid of it; and
• Robert Davis testified that, immediately following the Moody
murder, he saw Tipton and Roane by the steps near his house and heard
them stating, "Yeah, I got him, I got him ... we can't stay out here,
man. This is hot anyway."
Id. at 3-4. Importantly, the court found the testimony of these
witnesses to be "credible and ... corroborated by the physical
evidence of murder including the autopsy and the crime scene video."
Id. at 4. Indeed, the court found Greene's testimony to be "particularly
compelling." Id.
The court then focused on the evidence of Gina Taylor, who observed
the Moody murder. Taylor had testified at trial that Roane was not
involved. Id. The court found, however, that the value of
Taylor's evidence was undermined by (1) her acknowledgment that she
could not identify the assailant's gender and that she did not see his
face, (2) the fact that she was evasive on cross-examination, and (3)
her acknowledgment that she had "kind of" dated Tipton. Id.
The court then made findings
regarding Roane's alibi for the Moody murder. According to the court,
Roane had advised his lawyer prior to trial of the following: (1) he
did not participate in the murder of Moody; (2) on January 12, 1992
— the night of the murder — he was in a Howard Johnson
hotel room with codefendant Sandra Reavis; (3) he and Reavis were
driven to the hotel by Linwood Chiles; (4) Carmella Cooley accompanied
them to the hotel; and (5) Chiles had registered and paid cash for the
hotel room. Id. at 5. The court found that the lawyer, David
Baugh, "was convinced that Roane did not participate in the Moody
murder" and that the hotel was a "couple of miles from where Douglas
Moody was murdered." Id.
In addressing Mr. Baugh's pretrial
investigation into Roane's alibi, the court found the following: (1)
Mr. Baugh interviewed Cooley, who said that she had once accompanied
Roane and Reavis to the Howard Johnson but could not verify the date;
(2) Mr. Baugh concluded that Cooley's ignorance of the date and
apparent hostility would make her a bad witness; (3) Mr. Baugh
contacted the hotel seeking records of Linwood Chiles renting a room
on January 12, 1992; (4) when the hotel manager advised that there
were no such records, Mr. Baugh went to the hotel and personally
sought to locate such records; (5) Mr. Baugh limited his search to the
name "Linwood Chiles," and searched only for records of January 12,
1992; and (6) Mr. Baugh found no records of Linwood Chiles being
registered at the hotel on January 12, 1992. Id.
The court analyzed the sufficiency of
Mr. Baugh's pretrial investigation and concluded that it was
constitutionally deficient. In so ruling, it found that: (1) an
investigator hired by Roane's habeas corpus lawyer went to the Howard
Johnson and looked through boxes of occupancy records for three hours;
(2) the investigator found a card with the name "Chiles, Linwood" from
the night of January 2, 1992, and a card with the name "Chiles, Larry"
from the night of January 12, 1992; (3) in his trial preparation, Mr.
Baugh could have subpoenaed the Howard Johnson records, or he could
have devoted more effort to searching for them; (4) if Mr. Baugh had
utilized the subpoena process or searched more diligently, he could
have located the records found by the investigator; and (5) Roane was
amenable to testifying in his own defense but was advised by Mr. Baugh
not to testify unless his alibi defense could be objectively
corroborated. Id. at 5-6.
Finally, the court made several
findings on the evidence presented in the habeas corpus evidentiary
hearing, to the following effect: (1) Roane's testimony was "tenable
but not compelling"; (2) although Reavis confirmed Roane's alibi, her
testimony was "flat and unpersuasive"; (3) because she would not waive
her Fifth Amendment rights, Reavis would not have testified at trial;
(4) Demetrius Rowe testified that, at about 8:30 p.m. on the night of
the Moody murder, Reavis told Rowe that she was going to a hotel with
Roane; (5) Rowe saw Reavis and Roane leave the area — not in
Chiles's station wagon (as Roane claimed) but in a cab; (6) Rowe
witnessed the murder of Moody and was sure Roane was not present; (7)
Rowe did not provide anyone with this information before trial; and
(8) to the extent it exculpated Roane, Rowe's evidence was "not
credible" and "would carry no weight with a jury." Id. at 7.
Assessing all these findings in the context of the case, the court
concluded that Mr. Baugh was constitutionally ineffective in his
investigation of Roane's alibi. It therefore vacated Roane's
convictions and sentences on the three counts related to the Moody
murder, that is, Counts Five, Six, and Seven.2Id. at 13. Finally, the court denied relief on Roane's claim of
actual innocence.3Id.
The Government appealed the court's ruling in favor of Roane on his
IAC claim, and Roane sought a certificate of appealability on certain
of the claims resolved against him, which the district court issued.
United States v. Tipton, No. 3:92CR68 (E.D.Va. Nov. 26, 2003).
Roane then cross-appealed, and we possess jurisdiction pursuant to 28
U.S.C. §§ 1291 and 2253(a).
In our consideration of the district court's rulings, we review its
legal conclusions de novo and its findings of fact for clear error.
Monroe v. Angelone, 323 F.3d 286, 299 (4th Cir.2003); see also
Quesinberry v. Taylor, 162 F.3d 273, 276 (4th Cir.1998). We review
de novo mixed questions of law and fact addressed by the district
court — including the issue of whether a lawyer's performance
was constitutionally adequate. Smith v. Angelone, 111 F.3d
1126, 1131 (4th Cir.1997). We review for abuse of discretion the
district court's decision to deny a post-trial request to interview
jurors, United States v. Gravely, 840 F.2d 1156, 1159 (4th
Cir.1988), as well as its rulings on a discovery request. See
Thomas v. Taylor, 170 F.3d 466, 474 (4th Cir.1999).
The Defendants raise multiple issues on appeal, and the district
judge has awarded a certificate of appealability on each of them.4
Under the applicable statute, an appeal may not be taken from a final
order of a district court in a § 2255 proceeding unless a certificate
of appealability has been issued. 28 U.S.C. § 2253(c)(1)(B). A
certificate of appealability may only be issued "if the applicant has
made a substantial showing of the denial of a constitutional right,"
id. § 2253(c)(2), and the judge must specify the issues on
which the certificate has been granted, id. § 2253(c)(3). In
this instance, the district judge issued certificates of appealability
to the Defendants and explained, "[u]pon consideration of the
Defendants' claims and the arguments offered in support thereof, the
Court concludes that the issues for which the Defendants seek a
certificate of appealability are adequate to deserve encouragement to
proceed further." United States v. Tipton, No. 3:92CR68 (E.D.Va.
Nov. 26, 2003).
Although some of the issues raised on appeal are common to the
Defendants, certain issues pertain to only two of the Defendants or
solely to a particular defendant.5
Each of their contentions, however, falls into one of six categories:
(1) claims that the prosecution unconstitutionally discriminated
against women in the jury selection process;
(2) challenges to their § 848 CCE
convictions — including claims that the trial court erred in
failing to instruct and counsel were ineffective in failing to request
an instruction that (a) the jury had to unanimously agree on which
predicate violations constituted a "continuing series"; (b) the jury
had to unanimously agree on the identities of the "five or more
persons" that each Defendant supervised; and (c) certain categories of
persons and certain types of relationships cannot constitute
supervision;
(3) claims of prosecutorial misconduct during trial — including
claims that (a) the prosecution knowingly introduced perjured
testimony from witnesses Gregg Scott, Maurice Saunders, and Hussone
Jones; and (b) the prosecution improperly withheld exculpatory
evidence regarding witnesses "Wildman" Stevens, John Knight, and
Stoodie Green;
(4) challenges to the court's conduct
of the habeas corpus proceedings — including (a) challenges to
the standard employed by the court in assessing the Defendants'
discovery requests; (b) the contention that the court abused its
discretion in granting summary judgment without allowing further
discovery; and (c) Johnson and Tipton's claim that the court
erroneously denied their motion for leave to interview jurors;
(5) IAC claims not otherwise addressed — including (a) that
their lawyers should have further investigated their alleged gang
activities in New York and New Jersey; (b) Johnson and Tipton's claim
that their lawyers should have requested a voir dire inquiry on
whether prospective jurors had a tendency to favor the death penalty;
(c) Johnson and Tipton's claim that their lawyers failed to present
mitigating evidence regarding prison conditions; (d) Tipton's claims
that his lawyers failed to present adequate defenses to the Talley and
Stoney Run murders;6
(e) Tipton's claim that his lawyers failed to present an adequate
case-in-mitigation; (f) Roane's claim that his lawyers conceded
certain aggravating factors; and (g) Roane's claim that his lawyers
waived his right to attend the voir dire proceedings; and
(6) Johnson's Eighth Amendment claim that he is mentally retarded
and cannot constitutionally be executed, and that his counsel were
ineffective in failing to address this issue at sentencing and on
direct appeal.7
At trial, the Government utilized two of its peremptory challenges
to strike men from the jury panel, and it used eight peremptory
challenges to strike prospective women jurors. The Defendants, however,
failed to object at trial to the Government's use of its peremptory
challenges. After trial, but before Defendants' direct appeal, the
Supreme Court held that intentional gender discrimination by use of
peremptory challenges contravenes the Equal Protection Clause.
J.E.B. v. Alabama, 511 U.S. 127, 114 S.Ct. 1419, 128 L.Ed.2d 89
(1994) (extending its holding in Batson v. Kentucky, 476 U.S.
79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986) from racial discrimination to
gender discrimination). The Defendants, in their direct appeal, raised
the issue of sex discrimination in jury selection. In rejecting their
claim, we explained that they had produced no evidence to support
their claim, other than "raw figures" of men versus women stricken by
the prosecution, and such raw figures were insufficient to make a
prima facie showing of gender discrimination. Tipton, 90 F.3d
at 881 & n. 11. Because we addressed this issue on direct appeal in
Tipton, the Defendants cannot raise their J.E.B. claim
again in these § 2255 proceedings.9
The Defendants also maintain that the
failure of their counsel to object to the prosecution's use of its
peremptory challenges constitutes ineffective assistance of counsel.
At the time of their trial, however, the Supreme Court had not granted
certiorari in J.E.B., and the Ninth Circuit was the only
federal appellate court to extend the Batson principle to
gender discrimination. See United States v. De Gross, 960 F.2d
1433, 1437-43 (9th Cir.1992) (en banc). Indeed, we had explicitly
rejected attempts to extend Batson to gender. See United
States v. Hamilton, 850 F.2d 1038, 1042 (4th Cir.1988) ("[W]e
reject appellants' suggestion that the Equal Protection Clause compels
us to extend Batson to apply to peremptory challenges exercised
on the basis of gender."). In light of this precedent, the Defendants
are unable to demonstrate that their counsel's failure to object to
the prosecution's use of peremptory strikes against prospective female
jurors fell below the range of professionally competent performance.
See United States v. McNamara, 74 F.3d 514, 517 (4th Cir.1996)
(explaining counsel not deficient for following controlling circuit
precedent at time of trial). Accordingly, we must affirm the court's
ruling on the IAC claims premised on the lack of an objection at trial
to the prosecution's use of its peremptory strikes.
We turn next to the Defendants'
multiple claims of error regarding their convictions on the CCE counts.
In order to convict a defendant of a CCE offense, the Government is
required to prove five elements:
(1) [the] defendant committed a
felony violation of the federal drug laws; (2) such violation was part
of a continuing series of violations of the drug laws; (3) the series
of violations were undertaken by defendant in concert with five or
more persons; (4) defendant served as an organizer or supervisor, or
in another management capacity with respect to those other persons;
and (5) defendant derived substantial income or resources from the
continuing series of violations.
United States v. Ricks, 882
F.2d 885, 890-91 (4th Cir.1989); see also 21 U.S.C. § 848(c).
On appeal here, and in their § 2255 proceedings in district court, the
Defendants focus on the second, third, and fourth of these elements.
In their direct appeals, the
Defendants asserted that the trial court had plainly erred in failing
to instruct the jury that it was required to unanimously agree on
three predicate violations supporting the "continuing series" element
of § 848(c).10
Assuming that unanimity was required, we rejected this claim and
explained that "the record plainly indicates that appellants could
have suffered no actual prejudice from the lack of a special unanimity
instruction on the predicate violation element" because "[b]y its
verdict, it is clear that the jury unanimously found each guilty of at
least five predicate violations...." Tipton, 90 F.3d at 885.
After we rendered our Tipton
decision, the Supreme Court confirmed what we had assumed there.
It held that, in a CCE prosecution, the jury must unanimously
agree on the specific violations that make up the "continuing
series." Richardson v. United States, 526 U.S. 813, 816,
119 S.Ct. 1707, 143 L.Ed.2d 985 (1999). The Defendants now contend
that the trial court's failure to give the Richardson
instruction constitutes a structural defect in their trial and
that they are therefore not required to show prejudice. In the
alternative, they assert that they have demonstrated prejudice.
Johnson and Tipton also maintain that their lawyers were
ineffective in failing to object to the lack of a unanimity
instruction. As explained below, we agree with the district court
that these claims lack merit.
We have recognized that a trial
court's failure to give a Richardson instruction is a
procedural defect rather than a structural one. United States
v. Stitt, 250 F.3d 878, 883 (4th Cir.2001) (rejecting
assertion that Richardson error is structural defect);
United States v. Brown, 202 F.3d 691, 699 (4th Cir.2000) (same).
As explained in Stitt, a trial court's failure to give a
Richardson instruction is subject to harmless error analysis,
and a defendant raising such an issue must therefore demonstrate
prejudice. Stitt, 250 F.3d at 883. We ruled on the
Defendants' direct appeal that the trial court's failure to give a
Richardson-type instruction did not prejudice them, see
Tipton, 90 F.3d at 885, and we must therefore affirm the
district court on this point.
In addition to their substantive
Richardson claims, Johnson and Tipton maintain that their
counsel's failure to request a Richardson-type instruction
at trial constitutes ineffective assistance, in violation of the
Sixth Amendment. Again, our decision on direct appeal forecloses
this contention. In order to prevail on an IAC claim, a defendant
must demonstrate that: (1) counsel's performance was deficient;
and (2) such deficient performance prejudiced the defense.
Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052,
80 L.Ed.2d 674 (1984). Because we decided in Tipton that
the Defendants were not prejudiced by the lack of a Richardson
instruction, Johnson and Tipton are unable to satisfy the second
prong of Strickland. Accordingly, we affirm the court's
ruling on this claim as well.
Relying on United States v.
Jerome, 942 F.2d 1328, 1330-31 (9th Cir.1991), Johnson and
Tipton next contend that they were entitled to a special unanimity
instruction on the CCE charge regarding the identities of the "five
or more persons" that each of them was alleged to have supervised.
See 21 U.S.C. § 848(c). Not only has this claim been
inexcusably defaulted by Johnson and Tipton's failure to raise it
either at trial or on direct appeal, it also fails because, in
Stitt, we held that Richardson did not change the rule
"that the jury need not unanimously agree on which five persons
were organized, supervised, or managed by the defendant." Stitt,
250 F.3d at 886.
Johnson and Tipton nevertheless
claim that their attorneys were constitutionally ineffective in
failing to raise this unanimity issue at trial. Because Stitt
stands for the proposition that unanimous agreement on the
identity of each supervisee is not required, we agree with the
district court that the lawyers were not ineffective in failing to
seek such an instruction. See Opinion at 21-25.
Johnson and Tipton next contend
that the trial court erred in failing to instruct — and
counsel were ineffective in failing to request — that
certain categories of persons (i.e., drug kingpins) cannot as a
matter of law be supervisees, and that certain types of
relationships (i.e., buyer-seller) cannot constitute supervision.
See United States v. Barona, 56 F.3d 1087, 1096-97 (9th
Cir.1995) (finding error in failing to instruct that certain
individuals who were on list of potential supervisees given to
jury were incapable, as a legal matter, of counting as supervisees).
This claim has been defaulted by the failure of Johnson and Tipton
to raise it either at trial or on direct appeal. See Bousley v.
United States, 523 U.S. 614, 622, 118 S.Ct. 1604, 140 L.Ed.2d
828 (1998). Like the district court, see Opinion at 19,
21-25, however, we will briefly examine this claim in order to
assess the contention that counsel's failure to raise it in a
timely manner resulted from constitutionally ineffective
representation.
The trial court gave the
following instruction regarding the supervision element of §
848(c):
[t]he term "organizer" and the
term "supervisory position" and "position of management" are to be
given their usual and ordinary meanings. These words imply the
exercise of power or authority by a person who occupies some
position of management or supervision.
See Opinion at 19-20. We
upheld this very instruction in United States v. Hall, 93
F.3d 126, 130 (4th Cir.1996), two months after our decision in
Tipton. In Hall, the defendant maintained that the jury
should have been instructed that he could have neither supervised
nor organized individuals with whom he had only a buyer-seller
relationship. Id. As we explained in Hall, [j]urors
are competent to understand and apply ordinary concepts like
organizer, supervisor and management." Id. at 131. This
jury, like the one in Hall, was fully capable of
understanding the term "supervision." Accordingly, Johnson and
Tipton were not prejudiced by the lack of such an instruction, and
their counsel were not ineffective in failing to request a more
detailed instruction regarding these terms.11
We turn next to the contentions
of Johnson and Tipton that their trial was prejudiced by multiple
instances of prosecutorial misconduct. They contend that the
prosecution knowingly introduced false testimony at trial, in
contravention of their due process rights, from witnesses Gregg
Scott, Maurice Saunders, and Hussone Jones. And Tipton asserts
that the Government contravened the principles of Brady v.
Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963),
by withholding from them exculpatory evidence pertaining to the
witnesses "Wildman" Stevens, John Knight, and Stoodie Greene. We
assess these claims in turn.
First, Johnson and Tipton
contend that the prosecution knowingly introduced perjured
testimony from Gregg Scott, Maurice Saunders, and Hussone Jones.
In order to prevail on such a claim, Johnson and Tipton are
required to demonstrate that: (1) the testimony was false, see
Boyd v. French, 147 F.3d 319, 329-30 (4th Cir.1998); (2) the
Government knew the testimony was false, see Thompson v.
Garrison, 516 F.2d 986, 988 (4th Cir.1975); and (3) there is a
reasonable probability that the false testimony could have
affected the verdict, Boyd, 147 F.3d at 330. As explained
below, we agree with the district court that this claim must be
rejected.
a.
In support of this habeas corpus
claim, Johnson and Tipton submitted affidavits from various gang
members in New York, asserting that Gregg Scott had lied at trial
when he: (1) testified that the New York Boyz (a gang of which
Johnson and Tipton were allegedly members) met to discuss
retaliating against individuals who threatened other members of
the gang; and (2) testified that he received guns from a man known
as "Light."12
Although Johnson and Tipton raised a factual issue on the falsity
of these statements, they offered no proof that the Government
knew or should have known this testimony to be false. Opinion at
33-35. And the fact that the evidence may have benefitted the
Government is not enough. Such "`[a]iry generalities, conclusory
assertions and hearsay statements [do] not suffice' to stave off
summary judgment or entitle a habeas petitioner to an evidentiary
hearing, because none of these would be admissible evidence at an
evidentiary hearing." Id. at 35 (quoting United States
v. Aiello, 814 F.2d 109, 113 (2d Cir.1987)). We therefore
affirm the district court's ruling on this claim.
b.
Johnson and Tipton next assert
that the Government knew, or that it should have known, that
Maurice Saunders testified falsely at trial when he claimed that
he saw Light during two trips to New York, and that Light could
not have been in New York because he was in fact incarcerated
elsewhere during Saunders's visits. Again, Johnson and Tipton
proffer no evidence that the Government, at the time of trial,
knew or should have known of Light's incarceration. See Horton
v. United States, 983 F.Supp. 650, 654-55 (E.D.Va.1997) (rejecting
assertion that, for Brady purposes, federal prosecutor is
charged with knowledge of state prison records). And conclusory
accusations that the Government should have known that a statement
was false, without more, do not warrant an evidentiary hearing or
offer escape from summary judgment. See Aiello, 814 F.2d at
113-14.
In any event, Johnson and Tipton
have made no showing that such testimony about Light's
incarceration, even if untrue, could have affected the outcome of
their trial. As the district court explained in denying their IAC
claim regarding the prosecution's failure to discover Light's
incarceration, the Government presented extensive trial evidence
of Johnson and Tipton's New York connections and gang-related
activities. Opinion at 39 (explaining that the proffered testimony
of Light's incarceration does not negate the following: "Anthony
Howlen's testimony that Johnson and Tipton were part of the New
York Boyz and sliced him with razors when he interfered with their
attempts to sell drugs in New Jersey; the repeated references to
the New York Boyz during the course of the Richmond based
activities; Tipton's threats to invoke the assistance of his New
York associates if retaliatory actions were required; the
appearance of New York Boyz Lance Thomas and Hess in Richmond; and
the repeated trips by Tipton and Johnson from Richmond to New York
to obtain drugs"). We therefore affirm the district court on this
claim.
c.
Johnson and Tipton also contend
that the witness Hussone Jones lied when he testified about the
murder of Douglas Talley. Jones testified at trial that he watched
from his own car as Tipton stabbed Talley in Talley's car. Johnson
and Tipton assume that this testimony was false because there were
no street lights in the area of the crime, and they contend it was
too dark for Jones to see anything. The district court found,
however, that Jones was within ten to twenty feet of Talley's car,
and that the car was illuminated by its dome light. The dome light
was lit because, after initially being stabbed, Talley's arms and
head prevented the car door from closing. Opinion at 54-55.
Jones's testimony was consistent with the facts observed at the
crime scene, and Johnson and Tipton have failed to make the
requisite showing of falsity.
Tipton also asserts that the
prosecution improperly withheld exculpatory evidence from his
counsel, in violation of due process and Brady, regarding
the witnesses "Wildman" Stevens, John Knight, and Stoodie Green.
In order to establish a Brady violation, Tipton was
required to demonstrate that the information at issue was
"favorable to the accused"; that it was "suppressed by the [Government],
either willfully or inadvertently"; and that prejudice to the
defense ensued. Strickler v. Greene, 527 U.S. 263, 281-82,
119 S.Ct. 1936, 144 L.Ed.2d 286 (1999). The district court held
that Tipton failed to establish a Brady violation, see
Opinion at 57, 63-64, and we agree.
Tipton contends, first of all,
that the prosecutors knew, and yet failed to disclose, that the
witness Stevens had denied receiving a knife from Tipton, and that
this information would have refuted Jones's testimony that Tipton
gave Stevens a bloody knife on the night of the Talley murder. As
for this claim, the district court found that there was no
evidence that Stevens actually conveyed this information to the
prosecution. Id. at 57. Accordingly, this contention fails
under the second Brady prong.
Second, Tipton asserts that the
prosecutors knew of, and yet also failed to disclose, statements
by the witnesses John Knight and Stoodie Green providing Tipton an
alibi on the night of the Stoney Run murders. Tipton's Brady
claims must fail, however, because, "where the exculpatory
information is not only available to the defendant but also lies
in a source where a reasonable defendant would have looked, a
defendant is not entitled to the benefit of the Brady
doctrine." United States v. Wilson, 901 F.2d 378, 381 (4th
Cir.1990). We have explained that information actually known by
the defendant falls outside the ambit of the Brady rule.
Fullwood v. Lee, 290 F.3d 663, 686 (4th Cir.2002). Obviously,
Tipton knew who he was with on the evening of the Talley murder
— he had no need for the Government to provide him with
such information. Thus, no Brady violation has been shown,
and we affirm the district court's ruling on the issue.
We turn next to the Defendants'
multiple challenges to the district court's conduct of their
habeas corpus proceedings. These contentions include (1) their
challenge to the standard utilized by the court in assessing their
discovery requests; (2) their contention that the court abused its
discretion in awarding summary judgment to the Government without
first according them an opportunity to conduct discovery; and (3)
their assertion that the denial of their motion for leave to
interview jurors was erroneous.
Other than authorizing Tipton to
conduct forensic testing of a knife found at the Talley murder
scene, the court denied the Defendants' broad motions for
authority to conduct discovery in their habeas corpus proceedings.
Johnson v. Pruett, No. 3:97CV895 (E.D.Va. May 3, 2000).
Pursuant to Rule 6(a) of the Rules Governing § 2255 Proceedings, a
prisoner may engage in discovery only "if, and to the extent that,
the judge in the exercise of his discretion and for good cause
shown grants him leave to do so, but not otherwise." The
Defendants contend that the district court utilized an incorrect
legal standard in assessing their discovery requests. And the
Defendants assert that, regardless of the standard employed, such
discovery should have been authorized. We are constrained to
disagree.
In denying the request for
discovery, the court explained the standard it was utilizing:
The Supreme Court determined in
Harris v. Nelson, 394 U.S. 286, 89 S.Ct. 1082, 22 L.Ed.2d
281 (1969), and its progeny, Bracy v. Gramley, 520 U.S.
899, 117 S.Ct. 1793, 138 L.Ed.2d 97 (1997), that `good cause' for
discovery exists when a petition for habeas corpus establishes a
prima facie case for relief. See Harris v. Nelson, 394 U.S.
at 290, 89 S.Ct. 1082. Specifically, discovery is warranted, "where
specific allegations before the court show reason to believe that
the petitioner may, if the facts are fully developed, be able to
demonstrate that he is ... entitled to relief." Bracy, 520
U.S. at 908-09, 117 S.Ct. 1793 (citing Harris, 394 U.S. at
299-300, 89 S.Ct. 1082).
Johnson v. Pruett, No.
3:97CV895 (E.D.Va. May 3, 2000). The Defendants assert that the
court, in ruling against them, improperly applied a stringent
"prima facie" standard under Harris, instead of a more
forgiving "good cause" standard authorized by Bracy. This
contention is incorrect. In Bracy, the Court cited with
approval the discovery standard articulated in Harris,
merely clarifying the definition of "good cause." See
Quesinberry v. Taylor, 162 F.3d 273, 279 (4th Cir.1998) (observing
that Bracy approved the Harris standard); see
also Murphy v. Johnson, 205 F.3d 809, 813 (5th Cir.2000) ("[T]he
Bracy decision does not lower the grade for discovery in
habeas cases, but rather it merely reasserts the standards of
Harris v. Nelson...."). Here, the district court properly
applied the good cause standard outlined in Harris and
Bracy, and it did not abuse its discretion in deciding that
the Defendants had not shown good cause for the bulk of their
discovery requests. The court carefully considered each claim
asserted by the Defendants, and it assessed whether the Defendants
had shown good cause for discovery. See Johnson v. Pruett,
No. 3:97CV895, at 3-12 (E.D.Va. May 3, 2000). Because the court
applied the proper standard and did not abuse its discretion, we
affirm its rulings on this issue.13
Johnson and Tipton next contend
that the district court abused its discretion in denying their
claims of juror misconduct without first granting them leave to
interview the jurors. According to Johnson and Tipton, the jurors
were exposed to extraneous information during trial, including
extensive media coverage, which clouded their judgment.
We have already assessed and
disposed of at least one aspect of this claim. During trial, two
jurors admitted reading an inflammatory article about the
Defendants. One of those jurors was excused by the trial court,
but the other, Mr. Cooke, advised the court that the article would
not affect his consideration of the case, and he continued to
serve. On direct appeal, the Defendants contended that Cooke
should have been removed from the jury because he had been exposed
to mid-trial adverse publicity. We specifically considered this
claim and found no error in the court's decision with regard to
Cooke. Tipton, 90 F.3d at 891 n. 16. In addition, we agree
with the district court that Johnson and Tipton's remaining media-related
claims with respect to the jury have been procedurally defaulted
by their failure to raise them either at trial or on direct
appeal. See Opinion at 3.
As to their non-media-related
juror misconduct claims, the district court carefully explained
that they are so speculative as to be "insufficient to survive
summary dismissal, much less summary judgment." United States
v. Tipton, No. 3:92CR68, at 3 (E.D.Va. July 15, 2003).
Throughout the trial, the court gave cautionary instructions to
the jury concerning both media coverage and other possible outside
influences, repeatedly reminding the jurors to avoid such external
sources of information. Johnson and Tipton have provided us with
nothing to suggest that the jurors violated these instructions.
And as we observed in Gravely,"[r]equests to impeach jury
verdicts by post-trial contact with jurors are disfavored." 840
F.2d at 1159. Before proceeding down the path of impeaching a jury
verdict, a § 2255 movant must make a threshold showing of improper
outside influence. Id. In this instance, the court did not
abuse its discretion in finding that no such showing had been
made. Id. (explaining that denial of jury investigation is
subject to abuse of discretion review). Put simply, Johnson and
Tipton have failed to proffer any evidence that the jurors engaged
in misconduct or that they were improperly exposed to outside
influences. We therefore affirm the court's rulings on the
Defendants' request to interview the jurors. See Opinion at
3; United States v. Tip-ton, No. 3:92CR68, at 3 (E.D.Va.
July 15, 2003).
The Defendants also assert
multiple other IAC claims, contending that: (1) their lawyers
should have further investigated their alleged gang activities in
New York and New Jersey; (2) Johnson's and Tipton's lawyers should
have requested a "reverseWitherspoon" inquiry;14
(3) Johnson's and Tipton's lawyers failed to present mitigating
evidence regarding prison conditions; (4) Tipton's lawyers failed
to present adequate defenses to the Talley and Stoney Run murders;
(5) Tipton's lawyers failed to make an adequate case-in-mitigation;
(6) Roane's lawyers conceded certain aggravating factors; and (7)
Roane's lawyers waived his right to voir dire.
As we have explained, the Court
in Strickland established that an IAC claim has two prongs:
(1) that counsel's performance was deficient; and (2) that such
deficient performance prejudiced the defense. 466 U.S. at 687, 104
S.Ct. 2052. A defendant asserting an IAC claim must therefore
satisfy both prongs, and a failure of proof on either prong ends
the matter. See Williams v. Kelly, 816 F.2d 939, 946-47
(4th Cir.1987).
Under the first prong of
Strickland, we apply a "strong presumption" that a trial
counsel's strategy and tactics fall "within the wide range of
reasonable professional assistance." Strickland, 466 U.S.
at 689, 104 S.Ct. 2052. For a lawyer's trial performance to be
deficient, his errors must have been so serious that he was not "functioning
as the `counsel' guaranteed the defendant by the Sixth Amendment."
Id. at 687, 104 S.Ct. 2052. And the reasonableness of a
lawyer's trial performance must be "evaluated from counsel's
perspective at the time of the alleged error and in light of all
the circumstances, and the standard of reasonableness is highly
deferential." Kimmelman v. Morrison, 477 U.S. 365, 381, 106
S.Ct. 2574, 91 L.Ed.2d 305 (1986); see also Strickland, 466
U.S. at 689, 104 S.Ct. 2052.
In order to establish prejudice
under Strickland's second prong, a defendant must show that
"there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding would have
been different." Strickland, 466 U.S. at 694, 104 S.Ct.
2052. A reasonable probability is a "probability sufficient to
undermine confidence in the outcome." Id. As explained
below, we agree with the district court that the Defendants'
remaining IAC claims lack merit, standing alone or viewed in the
aggregate.
First of all, the Defendants
maintain that their lawyers should have further investigated their
alleged gang activities in New York and New Jersey, and that this
failure constitutes constitutionally ineffective assistance. They
assert that such an investigation would have led to the discovery
of impeaching evidence on certain prosecution witnesses —
i.e., that Light was in jail when Saunders supposedly saw him in
New York, and that Scott's testimony about gang-related
retaliation was false.
Notwithstanding whether
counsel's investigation was reasonable, the Defendants have failed
to establish prejudice under Strickland's second prong. As
the district court explained, substantial negative repercussions
would have resulted to the Defendants from the introduction at
trial of such impeachment evidence. Opinion at 38. Many of the
purported impeaching witnesses had acknowledged being involved in
illegal drug transactions with Johnson and Tipton and in pooling
their money with Johnson and Tipton to purchase drugs, and Light
did not deny that he was a regular source of Tipton's for crack
cocaine. Id. In addition, none of this evidence would have
undermined the overwhelming evidence before the jury that the
Defendants were involved in a CCE in the Richmond area, and that
their enterprise had distributed illegal drugs and killed on
several occasions in order to ensure its success. Accordingly, the
Defendants could not have been prejudiced by any purported
omissions of their counsel in this regard, and these claims must
be rejected.
Johnson and Tipton next contend
that, under the principle established in Morgan v. Illinois,
504 U.S. 719, 112 S.Ct. 2222, 119 L.Ed.2d 492 (1992), their
counsel were constitutionally ineffective in failing to request a
specific "reverse-Witherspoon" inquiry of all prospective
jurors. Under Morgan, a capital defendant has the right to
an "inquiry sufficient to ensure — within the limits of
reason and practicality — a jury none of whose members
would `unwaveringly impose death after a finding of guilt' and
hence would uniformly reject any and all evidence of mitigating
factors, no matter how instructed on the law." Tipton, 90
F.3d at 878 (quoting Morgan, 504 U.S. at 733, 112 S.Ct.
2222). Johnson and Tipton contend that their lawyers failed to
ensure that each prospective trial juror was specifically asked
whether he or she would always impose a sentence of death. On
direct appeal, however, this Court foreclosed the prejudice prong
of this contention when, in considering a separate contention
concerning voir dire, we concluded that "the district court's
inquiry into death penalty attitudes was sufficient to cull out
any prospective juror who would always vote for the death
penalty." Id. at 879. Accordingly, Johnson and Tipton are
unable to satisfy Strickland's second prong, and their
counsel were not constitutionally ineffective for failing to
request a reverse-Witherspoon inquiry.
Johnson and Tipton next contend
that their lawyers were constitutionally ineffective for failing
to present mitigating evidence regarding the prison conditions
they would face if sentenced to life imprisonment without the
possibility of parole. This contention is made in response to a
point argued by the prosecutor during closing: "Ask yourself,
should they be punished beyond incarceration? I'm not telling you
incarceration is nice and a lifetime of incarceration is not
punishment. But think about each and every day of their existence
in jail. They will wake up, bathe, be fed. They will be able to
watch TV, read books. They will be able to use the telephone to
talk to their loved ones." Essentially, Johnson and Tipton contend
that, had their lawyers explained to the jury that actual prison
conditions were more difficult than this benign description would
suggest, the jury may have seen a life sentence as sufficient
punishment and rejected the death penalty.
As the district court correctly
explained, if the lawyers had introduced evidence of prison
conditions, the prosecution would simply have been afforded
another opportunity to remind the jurors that Johnson and Tipton
possessed a "proven inclination to engineer murders from behind
prison walls." Opinion at 77. And the Government could have drawn
the stark contrast between prison life and the living conditions
of the incapacitated Greene sisters who were critically wounded
during the Stoney Run murders. Accordingly, the lawyers acted
reasonably in deciding not to describe prison conditions as
mitigating evidence.
Tipton next asserts that his
counsel were ineffective in their defense of him on the Talley
murder counts (Counts Three and Four), and on the Stoney Run
murder counts (Counts Twenty-four and Twenty-five). We reject both
of these contentions.
a.
Tipton maintains that, based on
pathologist Dr. Fierro's testimony, Tipton, who is right-handed,
could not have been Talley's murderer. Accordingly, Tipton
contends that Hussone Jones's eyewitness testimony must have been
false and that his counsel were ineffective in failing to exploit
this fact. We disagree. The district court expressly found that
"Dr. Fierro's testimony did not suggest that Tipton, who was
initially sitting on the right of Talley, could not stab Talley on
the right side of his body.... Such a diffusion of wounds is
consistent with Jones' description...." Opinion at 55. In light of
this factual finding, counsel were not deficient in failing to
urge the jury to absolve Tipton on the basis of Dr. Fierro's
testimony.
Tipton also contends that
defense counsel were ineffective in failing to interview and call
as a witness "Wildman" Stevens, who, according to an affidavit
submitted during the § 2255 proceedings, would have contradicted
Jones's testimony that Jones drove Tipton and Roane to Stevens's
house immediately after Talley's murder. As the district court
found, however, there was no evidence that Tipton had advised his
counsel that Stevens could contradict Jones's description. Id.
at 58; see Lackey v. Johnson, 116 F.3d 149, 152 (5th Cir.
1997) (explaining lawyer not ineffective for failing to discover
evidence that client knew but withheld). And as the court
explained, Tipton's counsel had no reason to believe that it would
be fruitful to interview Stevens, considering the fact that the
evidence indicated that Stevens was simply another member of the
CCE. Opinion at 58. Accordingly, we affirm the court's
determination that counsel were not ineffective in defending
Tipton on the Talley murder counts.
b.
Tipton also contends that his
counsel failed to mount an adequate defense to the Stoney Run
murder counts. In particular, Tipton contends that counsel should
have called John Knight and Stoodie Green as alibi witnesses.
Again, we agree with the district court's denial of this IAC claim.
As the court explained, "[c]onspicuously absent from the record is
any evidence from Tipton that he told counsel that Stoodie Green
or Knight could exonerate him from involvement in the Stoney Run
murders." Opinion at 64. We agree with the court that Tipton's
counsel was not constitutionally ineffective in his defense of the
Stoney Run murders.
Tipton claims that his attorney
failed to present an adequate case-in-mitigation at the penalty
phase of his trial. In particular, Tipton relies on the absence of
evidence from his mother, his paternal grand-mother, and an older
woman in whose home he resided in early 1992 — specifically
contending that these witnesses could have testified to Tipton's
unfortunate childhood. Again, we agree with the district court
that "[t]he record refutes such a claim," in that counsel
presented extensive evidence through both lay and expert witnesses,
and succeeded in convincing the jurors to find twelve mitigating
factors, a number of which pertained to Tipton's difficult
childhood and his mental deficiencies. Opinion at 77-80. Indeed,
the mitigating evidence in the trial's penalty phase was
sufficiently compelling to convince the jury to return non-death
verdicts on three of the six capital counts against Tipton,
despite the existence of numerous and weighty aggravating factors.
In light of the compelling mitigation case presented by Tipton's
counsel in the trial's penalty phase, the court correctly
concluded that their performance was not constitutionally
deficient and that Tipton was not prejudiced by the absence of
additional witnesses.
Roane maintains that his trial
counsel rendered ineffective assistance at the trial's penalty
phase in failing to contest — and indeed, in effectively
conceding — the sufficiency of the Government's proof of
the aggravating factor that the murder of Moody involved
substantial planning and premeditation. According to Roane, this
concession was error because there was no evidence that he
manifested a premeditated intent to kill Moody or that there was
substantial planning, or any planning at all. The district court
disagreed, and we agree with the district court. The court found
that the evidence of substantial planning and premeditation was
ample and that, in light of that evidence, "[t]he best hope for
Roane was to emphasize the evidence in mitigation rather than
challenge the prosecution's solid case on the substantial planning
aggravating factor." Opinion at 71; see Carter v. Johnson,
131 F.3d 452, 466 (5th Cir.1997) (concluding that it was
reasonable for counsel to concede client's culpability in order to
establish credibility with jury); Bell v. Evatt, 72 F.3d
421, 429 (4th Cir.1995) (concluding counsel reasonably conceded
defendant's guilt of kidnapping to retain credibility for penalty
phase). Because the performance of Roane's counsel was not
constitutionally deficient, we affirm the district court.
Relying on Near v. Cunningham,
313 F.2d 929, 931 (4th Cir.1963), Roane maintains that a capital
defendant may not waive his presence at trial and that his trial
attorney was necessarily deficient when, after consulting with
Roane, he waived Roane's right to be present during portions of
the jury selection process. Roane contends that he was prejudiced
as a result because, had he been present throughout voir dire, he
would have insisted on using peremptory strikes to remove three
jurors who ultimately served on the jury. He maintains that, had
those strikes been utilized, the outcome of the trial's penalty
phase would likely have been different.
Again, our decision on direct
review forecloses this contention. In applying plain error review
to Roane's waiver-of-presence claim, we observed that Roane did
not offer anything to suggest that he was prejudiced by his
intermittent absences from jury voir dire beyond the conclusory
assertion that he was presumptively prejudiced. Tipton, 90
F.3d at 875-76. Accordingly, Roane is unable to satisfy the second
prong of Strickland, and we need not consider this issue
further.
Johnson maintains that he is
mentally retarded and that, under federal law, he cannot be
executed. He further contends that his counsel were ineffective
for failing to argue this point during sentencing. The district
court rejected these contentions, see Opinion at 80-84, and
we agree.
Under federal law, "[a] sentence
of death shall not be carried out upon a person who is mentally
retarded." 21 U.S.C. § 848(l); see also Atkins v.
Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002)
(holding that execution of mentally retarded defendant constitutes
cruel and unusual punishment under Eighth Amendment). The district
court found, based on data of the American Association on
Retardation, that an IQ of 75 or below places a person in the
retarded category. Id. at 80. At the penalty phase of
Johnson's trial, Dr. Dewey Cornell, a psychologist, testified that,
on October 10, 1992, he had administered a Wechsler Adult
Intelligence Scale Test ("WAIS Test"). Johnson exhibited an IQ of
77, which indicated a "generally impaired intelligence," placing
him "just above the level of mental retardation." Importantly, Dr.
Cornell testified that he knew the significance of finding
Johnson's IQ to be above 75 (i.e., this finding would render
Johnson death-eligible), and that he double-checked his numbers
and consulted colleagues before reaching this conclusion.
Despite Dr. Cornell's evidence,
Johnson asserts that he is in fact mentally retarded. In support
of this proposition, Johnson points to evidence offered during the
penalty phase that his IQ was somewhere between 69 and 74 in 1985,
and he relies on a 1996 publication concluding that the WAIS test
tends to inflate IQ scores over the years:
Individuals appear to gain 3-5
IQ points over a ten year period. Since the WAIS-R was published
in 1981, this inflation factor could mean that the average IQ
could be as high as 105-107 points rather than the accepted value
of 100.
Id. at 81 (quoting The
Psychological Corporation, An Introduction to the Wechsler
Adult Intelligence Scale, (3d ed.1996)). Based on these
authorities, Johnson maintains that his actual IQ is below 75 and
that his score of 77 is a product of score inflation. As the
district court explained, however, Dr. Cornell's evidence that he
double-checked his findings and consulted with colleagues before
concluding that Johnson was not mentally retarded "belies the
suggestion that Dr. Cornell's analysis did not account for
possible variations in his testing instrument." Id. at
81-82. Accordingly, Johnson is not barred from execution due to
mental retardation.
Johnson next contends that his
counsel was ineffective for failing to assert possible IQ-score
inflation at sentencing. We agree with the district court that
Johnson's trial attorney was not ineffective for failing to raise
this issue. Under Strickland, "counsel has a duty to make
reasonable investigations or to make a reasonable decision that
makes particular investigations unnecessary." Strickland,
466 U.S. at 691, 104 S.Ct. 2052. And "a particular decision not to
investigate must be directly assessed for reasonableness in all
the circumstances, applying a heavy measure of deference to
counsel's judgments." Id. In this instance, Johnson's
lawyer was presented with a mental health report, and he was under
no mandate to second-guess that report. See Wilson v. Greene,
155 F.3d 396, 403 (4th Cir.1998) (rejecting inmate's claim that
counsel should have pursued mental health defenses where
psychological report indicated inmate was competent to stand trial).
In these circumstances, Johnson's counsel was not constitutionally
ineffective in this respect.
Finally, we turn to the
Government's appeal in No. 03-13, challenging the district court's
ruling that Roane's counsel, David Baugh, was constitutionally
ineffective for failing to properly investigate Roane's alibi
defense for the Moody murder. See Roane Opinion at 2-11.
The court found that Mr. Baugh's investigation into Roane's
potential alibi failed both prongs of Strickland, i.e., (1)
his performance was deficient, and (2) his deficient performance
prejudiced the defense. See Strickland, 466 U.S. at 687,
104 S.Ct. 2052. Because the district court erred in concluding
that Mr. Baugh's representation of Roane was deficient under the
first prong of Strickland, we reverse its vacatur of
Roane's convictions and sentences on Counts Five, Six, and Seven.15
The district court concluded
that Mr. Baugh had a duty to investigate Roane's potential alibi.
As the court explained, Mr. Baugh possessed information suggesting
that Roane might be telling the truth about staying at the Howard
Johnson hotel the night of Moody's murder — (1) Gina
Taylor, an eyewitness, claimed that Roane did not commit the
murder; (2) Mr. Baugh had received a detailed account of the alibi
from Roane, who had been candid about his participation in other
crimes; and (3) Carmella Cooley acknowledged that she had visited
a hotel with Roane. See Roane Opinion at 9. Armed with this
information, we agree that Mr. Baugh had reason to believe that
the hotel records could generate an alibi for Roane, and Mr. Baugh
was therefore obliged to make a reasonable investigation of them.
See Strickland, 466 U.S. at 690-91, 104 S.Ct. 2052 (explaining
that attorney has duty to make reasonable investigation or to make
reasonable decision not to investigate). We part company with the
district court, however, on its conclusion that Mr. Baugh failed
to fulfill this duty.
We review de novo the district
court's conclusion that Mr. Baugh was constitutionally ineffective,
Smith v. Angelone, 111 F.3d 1126, 1131 (4th Cir.1997), and
we defer to its findings of fact unless they are clearly erroneous.
As the district court found, Mr. Baugh, in keeping with his
obligation to investigate: (1) interviewed Cooley, who stated that
she once accompanied Roane and Reavis to the Howard Johnson but
could not verify the date; (2) concluded that Cooley's ignorance
of the date and apparent hostility would make her a poor witness;
(3) thereafter contacted the Howard Johnson and asked for records
of Linwood Chiles renting a room on the evening of January 12,
1992; (4) went to the hotel himself and attempted to locate the
records; (5) limited his search to the name "Linwood Chiles," and
searched only for records from January 12, 1992; and (6) found no
record of Linwood Chiles being registered at the hotel on the
evening of January 12, 1992. Roane Opinion at 5. At this point, Mr.
Baugh made the strategic choice to focus on Roane's
misidentification defense, with Gina Taylor as his lead witness.
The district court concluded
that Mr. Baugh's investigation of the alibi was constitutionally
insufficient because he "did not follow through and seek the
records with the vigor demanded by the situation." Id. at
9. According to the court, "reasonably competent counsel would
have filed a subpoena demanding all records held by the hotel
pertaining to a Mr. Chiles for January of 1992 or spent a few
hours going through all the records at the hotel to assure himself
that no records corroborative of his client's alibi existed."
Id. With all respect to the district court, we disagree.
As the Supreme Court has
explained, a criminal defense lawyer possesses a duty to conduct a
pretrial investigation that is "reasonable [ ] under prevailing
professional norms." Strickland, 466 U.S. at 688, 104 S.Ct.
2052; see also Wiggins v. Smith, 539 U.S. 510, 523, 123
S.Ct. 2527, 156 L.Ed.2d 471 (2003). And the strategic decision of
Roane's lawyer on the extent of his investigation into the alibi
defense "must be directly assessed for reasonableness in all the
circumstances, applying a heavy measure of deference to counsel's
judgments." Strickland, 466 U.S. at 691, 104 S.Ct. 2052;
see also Byram v. Ozmint, 339 F.3d 203, 209 (4th Cir.2003) (same);
Tucker v. Ozmint, 350 F.3d 433, 441-42 (4th Cir.2003) (same).
We are obligated by law to make "every effort to avoid the
distorting effects of hindsight," Strickland, 466 U.S. at
689, 104 S.Ct. 2052, and we should evaluate Mr. Baugh's
performance "from counsel's perspective at the time of the alleged
error and in light of all the circumstances...." Kimmelman v.
Morrison, 477 U.S. 365, 381, 106 S.Ct. 2574, 91 L.Ed.2d 305
(1986).
Applying these principles to
this situation, Mr. Baugh's performance was constitutionally
reasonable and thorough. He interviewed Carmella Cooley, who could
not remember when she stayed at a hotel with Roane. He called the
hotel and requested records of Linwood Chiles from the only
relevant night — the night of the murder. And when that
search was not fruitful, he went to the hotel and searched for the
records himself. Only after this final step in his investigation
did Mr. Baugh turn to and focus on Roane's misidentification
defense. In these circumstances, we decline to act as a Monday-morning
quarterback and second-guess Mr. Baugh's efforts, simply because
we are now armed with more information and the benefit of
hindsight.
Furthermore, the authorities
relied upon by the district court miss the mark, involving
situations in which a lawyer has failed to investigate a defense
at all or has performed an investigation so minimal that no
strategic reason could be given for the failure to investigate
further. See, e.g., United States v. Russell, 221 F.3d 615,
621 (4th Cir.2000) (finding ineffective representation when lawyer
failed to investigate defendant's criminal record after defendant
advised counsel that his convictions had been overturned);
Hooper v. Garraghty, 845 F.2d 471, 474-75 (4th Cir.1988) (explaining
counsel deficient in failing to investigate insanity defense,
after learning from client, client's family, and prison
psychologist of client's insanity); Hoots v. Allsbrook, 785
F.2d 1214, 1219-20 (4th Cir.1986) (finding lawyer's decision not
to interview eyewitnesses unreasonable); Nealy v. Cabana,
764 F.2d 1173, 1174 (5th Cir.1985) (finding counsel ineffective in
failing to seek evidence from witnesses when client claimed those
witnesses committed crime). Unlike the circumstances underlying
those decisions, this case does not involve a situation where
counsel neglected to investigate, or where his investigation was
so cursory that we can now — eleven years on and with the
benefit of hindsight — declare it constitutionally
unreasonable.
As the Sixth Circuit aptly
explained in Coe v. Bell, 161 F.3d 320 (6th Cir.1998), what
the lawyer did not miss is "just as (or more) important as what
the lawyer missed." Id. at 342. Here, Mr. Baugh was
diligent and highly effective in his representation of Roane
during this litigation — he conferred with Roane, he
investigated the crime scene, he located an eyewitness to the
Moody murder who pro-vided a physical description of a murderer
dissimilar to Roane, he learned that Moody's mother had advised
the police that another man had been searching for Moody hours
before his murder, and he aggressively and professionally cross-examined
the Government's witnesses. Mr. Baugh investigated the possible
Moody alibi — a weak one at that — but when the
investigation proved unfruitful, he put on a strong
misidentification defense. According a "heavy measure of deference"
to Mr. Baugh, as we must, his representation of Roane was not
constitutionally ineffective. We therefore reverse the vacatur of
Roane's convictions and sentences on Counts Five, Six, and Seven.
Pursuant to the foregoing, we
affirm the award of summary judgment to the Government in Nos.
03-25, 03-26, and 03-27, and we reverse the district court's award
of relief to Roane in No. 03-13.
Pursuant to § 2255 of Title 28, a federal
prisoner claiming his "sentence was imposed in violation of the
Constitution or laws of the United States ... may move the court
which imposed the sentence to vacate, set aside or correct the
sentence."
On Count Five, Roane was convicted of killing
Moody while engaged in or working in furtherance of a CCE, in
violation of 21 U.S.C. § 848(e)(1)(A). On Count Six, Roane was
convicted of using a firearm in relation to the killing of Moody,
in violation of 18 U.S.C. § 924(c). And on Count Seven, Roane was
convicted of killing Moody in order to maintain or increase his
position in a racketeering enterprise, in violation of 18 U.S.C. §
1959
In Part III of this opinion, we spell out and
address those issues raised by the Defendants in Nos. 03-25,
03-26, and 03-27. In Part IV, we address the Government's appeal
(No. 03-13) from the award of relief to Roane on his IAC claim
When all three Defendants have raised the same
issue on appeal, we refer to "the Defendants." Otherwise, we
identify by name the defendant raising a particular issue
In the Talley murder, Tipton and Roane had
driven Douglas Talley to Richmond's southside in January 1992,
where Tipton stabbed Talley eighty-four times in the head, neck,
and upper body. In the Stoney Run murders, Cory Johnson and Tipton,
in February 1992, shot into Linwood Chiles's stationwagon, killing
Chiles and Curtis Thorne, and seriously wounding the Greene
sisters, Priscilla ("Pepsi") and Gwen
The Defendants raise four other claims that
were already addressed and rejected on direct appeal. Those claims
are: (1) Defendants' contention that they were denied their rights
to "justice without discrimination," in violation of 21 U.S.C. §
848(o) and the Fifth and Eighth Amendments, see Tipton,
90 F.3d at 891 n. 16; (2) Johnson and Tipton's contention that §
848(h) constitutes an unconstitutional delegation of legislative
authority to prosecutors by allowing them to allege non-statutory
aggravating factors, see id. at 895; (3) Johnson and
Tipton's claim that the evidence at trial was insufficient to show
that they supervised five or more persons, as required by § 848,
see id. at 890; and (4) Johnson and Tipton's claim of
misconduct by juror Cooke due to mid-trial publicity, id.
at 891 n. 16. Because the Defendants have not pointed to any
change in the law that warrants our reconsideration of these
claims, we agree with the district court that they cannot
relitigate these issues. See Opinion at 2-3; see
Boeckenhaupt v. United States, 537 F.2d 1182, 1183 (4th
Cir.1976) (explaining that defendant cannot relitigate issues
previously rejected on direct appeal).
The Defendants also maintain that, pursuant toRing
v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556
(2002), their death sentences are constitutionally invalid under
the Fifth Amendment because the Indictment failed to allege the
statutory aggravating factors under 21 U.S.C. § 848(n)(1)-(12)
that define eligibility for the death penalty. See Ring,
536 U.S. at 589, 122 S.Ct. 2428 (explaining that a capital
defendant is entitled, under the Sixth Amendment, to a jury
determination of any fact that increases the maximum penalty from
life imprisonment to death); United States v. Higgs, 353
F.3d 281, 297 (4th Cir.2003) (explaining that Ring dictates
that any factor required to be submitted to the jury must be
included in the indictment pursuant to the Fifth Amendment
Indictment Clause). After oral argument in this case, the Court
held that "Ring announced a new procedural rule that does
not apply retroactively to cases already final on direct review."
Schriro v. Summerlin, ___ U.S. ___, ___, 124 S.Ct. 2519,
2526, 159 L.Ed.2d 442 (2004). And although Schriro involved
the Sixth Amendment aspect of Ring, its reasoning —
that Ring is procedural and does not classify as a rule
worthy of retroactive effect — applies equally here.
Because we have already considered Defendants'J.E.B.
claim on direct appeal and therefore will not reconsider it, we do
not reach the district court's conclusion that the claim was
defaulted by Defendants' failure to raise it at trial. See
Opinion at 12.
InRichardson v. United States, 526 U.S.
813, 818, 119 S.Ct. 1707, 143 L.Ed.2d 985 (1999), the Court
assumed, without deciding, that the necessary number to make up a
"continuing series" is three. The parties do not dispute this
number here.
Johnson and Tipton also maintain that the trial
court erred in failing to instruct, and that counsel were
ineffective in failing to request an instruction, that the
Government must prove "management" in order to satisfy the CCE
statute's "organizer" or "supervisor" element. This contention
ignores our precedent that proof that a CCE defendant exercised
some degree of control over others is not required to show that he
acted as an organizerSee Butler, 885 F.2d at 201. Even if
proof of control were required, the trial court properly
instructed the jury that supervision constitutes the "exercise of
power and authority by a person who occupies some position of
management." Accordingly, this contention is without merit.
Johnson and Tipton also submitted affidavits
that Greg Scott lied when he: (1) said that he grew up at 155th
and Amsterdam in New York; and (2) described the New York Boyz as
a gang. The district court found that these statements simply
constitute differences of opinion, rather than statements of factSee
Opinion at 33. Johnson and Tipton do not contest this finding on
appeal.
The district court alternatively held that the
Defendants were precluded from further discovery by their failure
to comply with Federal Rule of Civil Procedure 56(f), which
requires a civil litigant opposing summary judgment to attest in
an affidavit that he cannot oppose summary judgment without
conducting discovery. We need not reach this basis for denial of
discovery because the court did not abuse its discretion in
finding that the Defendants had failed to demonstrate good cause
See Witherspoon v. Illinois, 391 U.S.
510, 88 S.Ct. 1770, 20 L.Ed.2d 776 (1968). Witherspoon
authorized a voir dire inquiry to determine whether a potential
juror would always refuse to impose the death penalty. Conversely,
a "reverse-Witherspoon" voir dire inquiry is utilized to
determine the existence of pro-death-penalty bias on the part of a
prospective juror. See Morgan v. Illinois, 504 U.S. 719,
729-34, 112 S.Ct. 2222, 119 L.Ed.2d 492 (1992).
Because Mr. Baugh's performance was not
deficient underStrickland, we need not decide whether his
performance prejudiced the defense. See Williams v. Kelly,
816 F.2d 939, 946-47 (4th Cir.1987). We express our considerable
doubt, however, on whether prejudice could have ensued here. The
court found the testimony of all three witnesses who implicated
Roane in the Moody murder — Berkley, Davis, and Pepsi
Greene — to be credible and corroborated by physical
evidence. And Greene's testimony was deemed to be "particularly
compelling." Roane Opinion at 4. Conversely, the court found the
testimony of the potential alibi witnesses to be much less
credible — Reavis's testimony was "flat and unpersuasive,"
and she would not have testified at trial anyway; Roane's
testimony was "tenable" but "not compelling"; Rowe's testimony was
"not credible" and "would carry no weight with a jury"; and Cooley
could not remember the date on which she went to a hotel with
Roane. Id. at 5-7. It would be difficult for this testimony
(not to mention the fact that Roane would have been subject to
cross-examination about the other murders and his extensive
criminal record), plus one motel receipt, in someone else's name,
placing Roane a mere two miles away from the murder scene, to
create a reasonable probability that, but for the lack of such
evidence, "the result of the proceeding would have been different."
Strickland, 466 U.S. at 689, 104 S.Ct. 2052.