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A Vietnam veteran diagnosed with post-traumatic stress disorder was
executed tonight in the electric chair for the 1979 shotgun murder
of a gasoline station owner.
The veteran, Larry Joe Johnson, was pronounced
dead at 10:07 P.M., said Jo Miglino, a spokeswoman for Gov. Lawton
Chiles.
Earlier today, the United States Supreme Court
denied two separate petitions to review Mr. Johnson's case and the
accompanying applications for a stay of execution.
Veterans' groups had called for state officials
to spare Mr. Johnson's life. The effort succeeded in winning at
least one delay.
Mr. Johnson, 49, was condemned for killing James
Hadden, 67, who was killed with a sawed-off shotgun during a robbery.
Delay in February
Mr. Johnson came within days of execution in
February, but Governor Chiles delayed it to review a State Supreme
Court suggestion that Mr. Johnson had been psychologically damaged
by his military service.
But after his review, Mr. Chiles issued another
death warrant.
"I recognize the Vietnam veteran syndrome," Mr.
Chiles said last week. "I do not think it applies in this case."
During the war, Mr. Johnson was in a Navy
construction unit in Vietnam. After he received an honorable
discharge, he joined the Kentucky National Guard. His military
career ended in 1974, when he was hit by a smoke grenade during a
training exercise.
That accident caused brain damage and Mr. Johnson
spent years in a military psychiatric ward.
The war stress argument had failed to avert an
execution before in Florida. Another Vietnam veteran, David Funchess,
who was convicted of a double murder in Jacksonville, was put to
death in 1986, four years after the state rejected his appeal based
on post-traumatic stress.
Mr. Johnson was the 201st person executed
nationwide since the Supreme Court allowed states to resume capital
punishment in 1976. He became the 31st inmate executed since Florida
reinstated the death penalty in 1979.
United States Court of Appeals for the Eleventh
Circuit
778 F.2d 623
Larry J. JOHNSON, Petitioner-Appellant,
v.
Louie L. WAINWRIGHT, Secretary, Florida Department
of Corrections,
Respondent- Appellee.
December 2, 1985
Appeal from the United States
District Court for the Northern
District of Florida.
Before VANCE, HENDERSON and CLARK,
Circuit Judges.
VANCE, Circuit Judge:
The petitioner,
Larry Joe Johnson, is a Florida inmate who was
sentenced to death and to a consecutive life
sentence for robbing and murdering a service station
operator. He now appeals the district court's denial
of his motion for habeas corpus relief, contending
that his conviction and/or sentence were invalid on
six constitutional grounds. We affirm.
* Johnson was
charged with robbing and fatally shooting James
Maxwell Hadden on March 16, 1979. The state's case
in the guilt phase1
was based primarily on the testimony of Patty Burks,
a seventeen year old girl who had accompanied
Johnson for two weeks on a trip from Kentucky to
Florida.
According to her
testimony, she and Johnson had decided earlier in
the day to leave Florida and go to Minnesota where
she had relatives. As they drove west on Interstate
10, Johnson stopped at a Shell service station in
Lee, Florida, and told Burks to go inside to buy
some cigarettes. While she was inside, Johnson
entered carrying a sawed-off 12 gauge shotgun and
told Hadden, the attendant, to open the cash
register. At Johnson's direction Burks removed the
money and started out the door. As she looked back
she saw Johnson shoot Hadden. In the car afterward,
Johnson told Burks that the attendant had a gun, and
"it was us or him." He also told Burks that "dead
witnesses don't talk."
After the shooting,
Johnson and Burks drove to Burks' hometown of Beaver
Dam, Kentucky. While Johnson waited down the road in
his car, Burks telephoned her mother from a friend's
home and told her about the shooting. Police arrived,
arrested Johnson, and confiscated the gun and shells
from his car. Fingerprints taken from the service
station and testimony by a firearms expert were
consistent with Burks' testimony. Based on this and
other evidence, the jury found Johnson guilty of
first degree murder and robbery with a firearm.
In the penalty
phase, the state supported its request for the death
penalty with evidence that Johnson was on parole for
second degree assault at the time of the killing.
Johnson introduced mitigating evidence in the form
of testimony by family members, along with testimony
and documentary evidence from psychologists that
Johnson's actions were the result of "post-traumatic
stress disorder" (PTSD), an emotional disorder
resulting from his experiences in Vietnam. The state
countered the psychological evidence with its own
psychiatric testimony that Johnson was not suffering
from PTSD.
At the conclusion
of the penalty proceeding, the jury recommended
death for the murder and a consecutive life sentence
for the robbery. The trial court then issued an
opinion in which it adopted the jury's
recommendation and set out findings that the crime
was committed under three statutory aggravating
circumstances and no mitigating circumstances.2
On November 17,
1983 the Florida Supreme Court affirmed both of the
convictions and sentences, and on January 16, 1984
it denied rehearing. Johnson v. State, 442 So.2d 185
(Fla.1983). The United States Supreme Court denied
Johnson's petition for certiorari. Johnson v.
Florida, 466 U.S. 963, 104 S.Ct. 2182, 80 L.Ed.2d
563 (1984). On January 23, 1985 the Circuit Court of
the Third Judicial Circuit of Florida denied
Johnson's Rule 3.850 motion for post-conviction
relief without hearing. The Florida Supreme Court
affirmed the denial on January 28, also denying
Johnson's petition for a writ of habeas corpus.
Johnson v. Wainwright, 463 So.2d 207 (Fla.1985). The
same day, Johnson filed a federal habeas corpus
petition and a motion for stay of execution in the
United States District Court for the Northern
District of Florida. On January 29, the district
court denied the writ but granted a certificate of
probable cause. This court stayed the execution
pending further order.
II
A. DUAL ROLE OF THE SHERIFF
Johnson's first
argument for reversal is that he was denied his
right to a fair trial and reliable sentence when the
Madison County Sheriff both acted as bailiff and
assisted the prosecution by investigating the crimes
and aiding counsel during jury selection. According
to petitioner, a number of Supreme Court cases
establish that such a dual role violated his due
process rights by improperly blending the neutral
and adversarial functions of the criminal justice
system. Johnson argues further that a showing of
actual prejudice need not be made because the
sheriff's dual role constituted a per se
constitutional violation under Turner v. Louisiana,
379 U.S. 466, 85 S.Ct. 546, 13 L.Ed.2d 424 (1965).
In Turner, two
deputy sheriffs served dual roles as principal
prosecution witnesses and jury custodians.
Concluding that "it would be blinking reality not to
recognize the extreme prejudice inherent in this
continual association throughout the trial between
the jurors and these two key witnesses for the
prosecution," 379 U.S. at 473, 85 S.Ct. at 550, the
Court reversed judgment without requiring a showing
of actual prejudice.
The Court was
concerned that the witnesses' roles as officers of
the court was so likely to make the jury give
particular credence to their testimony that the
defendant was deprived of his right to a fair
weighing of the evidence. Similarly, in Gonzales v.
Beto, 405 U.S. 1052, 92 S.Ct. 1503, 31 L.Ed.2d 787
(1972), the Court found inherent prejudice when the
county sheriff served both as key prosecution
witness and as bailiff.
We agree that the
concerns that motivated the Court to find
constitutional violations in Turner and Gonzales are
relevant here. Because a bailiff's exercise of his
official duties is likely to give him added
legitimacy in the eyes of a jury, see Parker v.
Gladden, 385 U.S. 363, 365, 87 S.Ct. 468, 470, 17
L.Ed.2d 420 (1966), any participation he may have in
the prosecution of the case carries at least the
potential for prejudice. Whether that potential is
so great as to warrant a per se rule of reversal
depends, however, on how central a role he plays in
the proceedings. See Gonzales, 405 U.S. at 1056, 92
S.Ct. at 1505 (Stewart, J., joined by Marshall &
Douglas, JJ., concurring in the judgment).
When either the
individual's official contact with the jury or his
participation in the prosecution is so minimal in
the jurors' eyes as to have a de minimis impact on
the jury's deliberations for all apparent purposes,
some showing of actual prejudice must be made. See
id. at 1054-55, 92 S.Ct. at 1504-05.
This, we believe,
was such a case. Petitioner points out that the
sheriff directly participated in the pretrial
investigation, that his name came up during the
testimony of several prosecution witnesses, and that
he aided in the process of selecting the jury. Yet
the sheriff never took the witness stand, and there
has been no allegation that the jury even knew of
his participation in the jury selection process.
Given that the
sheriff's participation in the state's actual
presentation of its case was at most peripheral as
far as the jury could tell, petitioner presents no
more than a speculative possibility that the
sheriff's dual role influenced its deliberations.
Since a per se rule of reversal is therefore
inapposite, and since the petitioner has made no
showing of actual prejudice, we reject his first
argument.
B. PETITIONER'S ABSENCE DURING
SENTENCING PHASE
Petitioner's
second ground for reversal has to do with his
absence from the courtroom during a portion of the
sentencing phase of the trial. Petitioner's absence
occurred at the request of his own lawyer because
one of the psychologists called by the defense asked
that he not be present while she testified as to the
results of her evaluation.3
Johnson now alleges that his removal amounted to a
violation of his fifth, sixth, eighth and fourteenth
amendment rights.
We refrain from
considering this issue because the petitioner waived
his right to assert it on habeas corpus by failing
to comply with Florida's procedural rule requiring
assertion of such a claim on direct appeal. See
Engle v. Isaac, 456 U.S. 107, 102 S.Ct. 1558, 71
L.Ed.2d 783 (1982); Wainwright v. Sykes, 433 U.S.
72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977).
Johnson offers two
rationales for holding that procedural default
should not be found in this case. First, he asserts
that the Florida Supreme Court waived the procedural
bar by ruling on the merits of the issue in his
state habeas corpus proceeding. Second, he claims
that he has demonstrated cause for and prejudice
from the failure to press his claim in the state
proceeding, thereby excepting this claim from the
Sykes/Isaac procedural default rules. We cannot find
merit in either of these contentions.
According to our
reading of the Florida Supreme Court's opinion, that
court made clear that it was not considering
petitioner's claim on its merits, but rather was
only considering whether his appellate counsel's
failure to assert it on direct appeal amounted to
ineffective assistance under Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 2066, 80
L.Ed.2d 674 (1984).
The court noted,
for example, that "although the petitioner argues
that relief should be granted because the omitted
point of appeal, had it been argued, would have been
found meritorious ..., the merits of that legal
point" were not before the court. Johnson v.
Wainwright, 463 So.2d 207, 209-10 (Fla.1985). Later,
the court reiterated that it would "not reach the
question of whether petitioner's absence from the
courtroom was fundamental error or even simple legal
error." Id. at 211.
When Johnson
reasserted his claim in his contemporaneous appeal
of its denial of his motion to vacate judgment and
sentence under Florida's collateral appeal
proceeding, the court further stated that the claim
was one of a number of "matters that should have
been and ... could have been raised by the initial
appeal and therefore are not proper grounds for
relief by motion to vacate under Rule 3.850." Id. at
212. Given this language, we cannot adopt the
petitioner's position that the Florida Supreme Court
waived its procedural default rule by passing on the
merits of this claim.4
Petitioner's
second ground for avoiding the procedural bar rule
is that he has demonstrated both cause for and
prejudice from his failure to preserve the claim for
collateral review. We agree that petitioner has a
persuasive argument that he had good cause for his
failure to comply with the Florida rule requiring a
contemporaneous objection at trial.
That rule is
designed to encourage counsel to bring out
objections in the proceedings at the point where
they are best understood and most efficiently
considered. It would be anomalous, however, to apply
the rule to bar habeas corpus review where the
constitutional inquiry relates to the defendant's,
as opposed to his lawyer's, failure to exercise his
rights knowingly. We cannot fault the defendant for
failing to assert an objection when his attorney--the
individual on whom he depended to preserve his
rights--arranged for him to be removed from the
courtroom.
The same cannot be
said, however, of petitioner's failure to assert the
claim while represented by new counsel on direct
appeal. We agree that the failure to afford the
state courts the opportunity to consider the claim
at that stage must constitute a waiver.5
We therefore find that the petitioner fails to meet
the first prong of the Sykes/Isaac cause and
prejudice test.
C. TRIAL JUDGE'S FAILURE TO
CONSIDER NON-STATUTORY MITIGATING FACTORS
Johnson's third
claim is that the trial judge erroneously assumed
that he could not consider non-statutory mitigating
circumstances in deciding whether to impose the
death penalty. He points out that the trial judge
made no specific reference to the non-statutory
mitigating factors introduced by the defendant,
instead limiting the sentencing order to three of
the mitigating circumstances enumerated in Florida's
death penalty statute.
Petitioner is
correct that consideration of non-statutory
mitigating factors is required under Eddings v.
Oklahoma, 455 U.S. 104, 102 S.Ct. 869, 71 L.Ed.2d 1
(1982) and Lockett v. Ohio, 438 U.S. 586, 98 S.Ct.
2954, 57 L.Ed.2d 973 (1978) (plurality opinion).
Neither of those cases establishes the weight which
must be given to such evidence, however; "they
simply condemn any procedure in which such evidence
has no weight at all." Barclay v. Florida, 463 U.S.
939, 961 n. 2, 103 S.Ct. 3418, 3430 n. 2, 77 L.Ed.2d
1134 (1983) (Stevens, J., concurring in the judgment).
We agree with the district court that the sentencing
order read in its entirety, combined with the
court's instructions to the jury, indicates that the
trial court gave adequate consideration to the
evidence presented. In the words of the district
court:
First, "[t]he fact that the
sentencing order does not refer to the specific
types of non-statutory 'mitigating' evidence
petitioner introduced indicates only the trial
court's finding the evidence was not mitigating, not
that such evidence was not considered." Dobbert [v.
Strickland ], 718 F.2d [1518,] at 1524 [ [11th Cir.]
(1983), cert. denied, --- U.S. ----, 104 S.Ct. 3591
[82 L.Ed.2d 887] (1984) ]. Second, the petitioner
lists "evidence of mental or emotional disturbance
which may not have met the statutory standard,
Defendant's service to his country during two tours
in Vietnam ..." as non-statutory mitigating
circumstances adduced at trial. The trial judge
referred expressly to the testimony concerning
mental disturbance and the asserted causal link to
defendant's Vietnam service in the sentencing order.
Finally, the trial judge
correctly instructed the jury that they were to
consider all evidence of mitigating circumstances,
including but not limited to the statutory
circumstances. In view of all this, no inference may
be drawn from the trial judge's use of the statutory
list of mitigating circumstances as a format for
writing the sentencing order that he failed to
consider non-statutory mitigating circumstances.
Like the district
court, we believe that these aspects of the record
establish that the trial judge knew he could, and
did, consider any non-statutory mitigating factors
introduced by the petitioner. See also Palmes v.
Wainwright, 725 F.2d 1511, 1523 (11th Cir.) ("we
cannot conclude that because the sentencing order
discusses only the statutorily mandated factors that
the other evidence was not considered"), cert.
denied, --- U.S. ----, 105 S.Ct. 227, 83 L.Ed.2d 156
(1984).
D. IMPROPER PROSECUTORIAL ARGUMENT
Johnson's fourth
ground for reversal relates to the prosecutor's
closing arguments during the sentencing proceeding.
He asserts that three comments made by the
prosecutor were so improperly prejudicial as to
require a new sentencing proceeding.6
This court has
recently given exhaustive consideration to similar
claims in its en banc opinions in Brooks v. Kemp,
762 F.2d 1383 (11th Cir.1985), Drake v. Kemp, 762
F.2d 1449 (11th Cir.1985), Tucker (William) v. Kemp,
762 F.2d 1480 (11th Cir.1985) and Tucker (Richard)
v. Kemp, 762 F.2d 1496 (11th Cir.1985).7
As we pointed out,
prosecutorial arguments will not warrant habeas
corpus relief unless they meet two requirements.
First, they must have encouraged the jury to take
into account matters that are not legitimate
sentencing considerations. Brooks, 762 F.2d at 1403.8
Second, they must have been so prejudicial, when
viewed in the context of the entire sentencing
proceeding, as to have rendered that proceeding "fundamentally
unfair." Id. at 1400 (quoting Donnelly v.
DeChristoforo, 416 U.S. 637, 645, 94 S.Ct. 1868,
1872, 40 L.Ed.2d 431 (1974)). The test for
fundamental unfairness is whether "there is a
reasonable probability that [the errors] changed the
outcome of a case." Brooks, 762 F.2d at 1402; see
also Drake, 762 F.2d at 1460.
The first
statement criticized by the petitioner is the
prosecutor's reference to the loss experienced by
the victim's family. The prosecutor stated that:
You have heard some evidence
presented by the defense here designed to tug at
your heart strings, to show you that the defendant
was a living, breathing human being with feelings
possessed by an ordinary person. You have become
acquainted with his family here today. Another
family, perhaps you haven't become closely
associated with, that is the Hadden family, will be
facing this holiday season one short. [Tr. 938]
This court found
an almost identical argument permissible in Brooks.
We held that a reference to the loss suffered by the
victim's family "is no more than a compelling
statement of the victim's death and its significance,"
a matter relevant to the valid consideration of
retribution in sentencing. We likewise conclude that
the argument as made in this case was proper.
The petitioner
next criticizes the portion of the prosecutor's
argument which stated that his office seeks the
death penalty in only a limited number of cases. The
substance of the argument was as follows:
I find myself doing something
that I have not been previously called upon to do
since being elected State Attorney. That is to stand
before a jury of twelve persons and ask that jury to
render an advisory opinion or advisory
recommendation of the imposition of the supreme
penalty provided for by the laws of our state and
nation, the penalty of death. The fact that I have
not yet, in the one year or almost one year I have
served as State Attorney, been required to do that
is a recognition I think that there are few cases
that call for imposition of the death penalty. [Tr.
932]
These remarks were
improper. Brooks, 762 F.2d at 1410; Tucker
(William), 762 F.2d at 1484; Tucker (Richard), 762
F.2d at 1505. A prosecutor's exercise of the
discretion necessary to his office typically carries
great legitimacy because of the public's belief that
he is carrying out his duties with expertise and in
the interest of justice. While the prosecutor's
reliance on this public trust is surely proper in
many instances, it is not appropriate in a death
penalty proceeding where the choice of life or death
has been purposely left in the first instance not
with him but with the defendant's peers. By
suggesting that his office had already carefully
selected Johnson as one who was particularly
deserving of the death penalty, the prosecutor
tended to undermine the jury's perception that it
had unfettered discretion to decline to impose the
death penalty. See Brooks, 762 F.2d at 1410.
The last
prosecutorial remark criticized by the petitioner is
the prosecutor's assertion that, in his opinion, the
death penalty was appropriate in this case.
I know not what your views are on
the death penalty, only on the basis of what you
represented them to be. I want to stress to you, in
as strong terms as I am able of generating, the
death penalty is appropriate under certain
circumstances. I believe these are appropriate
circumstances. [Tr. 941]
An attorney's
personal opinions are irrelevant to a sentencing
jury's consideration. Brooks, 762 F.2d at 1408;
Drake, 762 F.2d at 1459. To the extent that the
prosecutor's arguments reflected such personal
beliefs, they were improper.
Although two of
the three arguments criticized by the petitioner
were improper, we conclude that they were not so
prejudicial in the context of the entire sentencing
proceeding as to render the proceeding fundamentally
unfair. Viewed as part of the prosecutor's entire
speech, which otherwise related to legitimate
sentencing concerns such as the defendant's past
criminal history, his mental competence, and the
nature of the crime, the remarks were relatively
brief.9
Furthermore, the
rest of the prosecutor's speech, like the comments
made later by the defense and the trial judge,
tended to minimize the prejudicial impact of the few
improper comments. All repeatedly referred to the
list of aggravating and mitigating circumstances
listed in Florida's death penalty statute, thereby
channelling the jury's discretion in the direction
of appropriate considerations. Furthermore, the
trial judge emphasized that the jury had a weighty
choice before it and that it should exercise the
utmost care in reaching its decision.
Finally, the
evidence of aggravating circumstances was
overwhelming. Given these aspects of the sentencing
proceeding, we see no reasonable probability that
the prosecutor's few transgressions during oral
argument caused the jury to recommend death when it
would not otherwise have done so. The proceeding was
not, therefore, rendered fundamentally unfair.
E. TRIAL COURT'S FAILURE TO
FIND MENTAL DISTURBANCE A MITIGATING CIRCUMSTANCE
Johnson next
claims that the trial court erred in failing to find
that he suffered from an extreme mental or emotional
disturbance, a mitigating circumstance under
Fla.Stat. Sec. 921.141(6)(b), when he committed the
murder. According to the petitioner, the court
failed to give this testimony its proper weight
because the emotional disturbance described, PTSD,
had not at that time reached a stage of significant
acceptance within the medical community. Now that it
has, his argument goes, and now that it has also
been recognized by the courts as a legitimate mental
defect, see Moody v. State, 418 So.2d 989, 995 (Fla.1982),
cert. denied, 459 U.S. 1214, 103 S.Ct. 1213, 75 L.Ed.2d
451 (1983), Johnson should be given the opportunity
to present it in a new sentencing hearing where it
will be given the weight that it merits.
Had the trial
court concluded that it could not consider the
evidence of PTSD as a matter of law, its conclusion
would have been error requiring reversal on habeas
corpus. Eddings v. Oklahoma, 455 U.S. 104, 113-14,
102 S.Ct. 869, 876-77, 71 L.Ed.2d 1 (1982). Where
the issue is one of fact, however, we accept the
state courts' decisions about the weight of
mitigating evidence absent fundamental error. See id.
at 117, 102 S.Ct. at 878. No such error has been
shown on this record.
Indeed, the state
introduced substantial testimony by two
psychiatrists rebutting the defense's claim that
Johnson suffered from PTSD. Given the evidence
before the trial court, we cannot conclude that it
committed reversible error in refusing to find that
the petitioner suffered from a mental disturbance
sufficient to constitute a mitigating factor.
F. TRIAL COURT'S RELIANCE ON
ITS OBSERVATIONS OF THE PETITIONER
Finally, Johnson
contends that the trial judge erred in taking into
account his demeanor during trial, along with his
testimony in a pretrial hearing on a motion to
suppress, in deciding on death as the appropriate
sentence. See APPENDIX at 635. Johnson points out
that he chose to exercise his fifth amendment right
not to testify, and argues that the use of such
observations violates that right under Simmons v.
United States, 390 U.S. 377, 88 S.Ct. 967, 19 L.Ed.2d
1247 (1968). Alternatively, he argues that even if
the court could have taken his demeanor into
consideration, it could only do so after giving him
notice and the opportunity to explain or deny his
behavior under Gardner v. Florida, 430 U.S. 349, 97
S.Ct. 1197, 51 L.Ed.2d 393 (1977).
We believe that
more recent Supreme Court decisions establish that
there was no reversible error in either the trial
judge's reliance on his observations of the
petitioner or his failure to inform defense counsel
beforehand. The Court has stated that as long as the
final sentencer's discretion is "suitably directed
and limited so as to minimize the risk of wholly
arbitrary and capricious action," Zant v. Stephens,
462 U.S. 862, 874, 103 S.Ct. 2733, 2741, 77 L.Ed.2d
235 (1983) (quoting Gregg v. Georgia, 428 U.S. 153,
189, 96 S.Ct. 2909, 2932, 49 L.Ed.2d 859 (1976) (opinion
of Stewart, Powell & Stevens, JJ.)), it "is free to
consider a myriad of factors to determine whether
death is the appropriate punishment." California v.
Ramos, 463 U.S. 992, 1008, 103 S.Ct. 3446, 3456, 77
L.Ed.2d 1171 (1983). Unlike a trial, which is
focused on the single issue of guilt, the sentencing
phase is a multifaceted inquiry in which "there is
no single determinative issue apart from the general
concern that the penalty be tailored to the
individual and the offense." Id. at 1009, 103 S.Ct.
at 3457; see also Stephens, 462 U.S. at 878, 103
S.Ct. at 2743.
Thus, it is
constitutionally permissible to consider the
defendant's criminal record, see Barclay, 463 U.S.
at 951 n. 8, 103 S.Ct. at 3425 n. 8 (plurality
opinion), the possibility of commutation, see Ramos,
463 U.S. at 998-1009, 103 S.Ct. at 3451-57, and the
contents of presentence reports, see Williams v. New
York, 337 U.S. 241, 69 S.Ct. 1079, 93 L.Ed. 1337
(1949), in determining the appropriateness of the
death penalty, even though such matters would be
inappropriate at the guilt phase. We do not believe
that the petitioner's demeanor is any less relevant
to the individualized sentencing proceeding than the
matters so far found permissible by the Court.
We also do not
believe that the trial court erred in failing to
give advance notice that it planned to take
petitioner's demeanor into account. In so concluding,
we distinguish this case from Gardner, in which the
Supreme Court vacated a death sentence because the
sentencing judge relied in part on information in a
presentence investigation report without disclosing
confidential portions to defense counsel. In
Gardner, the Court was concerned that by relying on
unrevealed information in such a report, the trial
court might base its decision on "confidences which
may bear no closer relation to fact than the average
rumor or item of gossip." 430 U.S. at 359, 97 S.Ct.
at 1205.
The Court thought
it essential to due process to ensure the
reliability of such a source of information by
giving defense counsel the opportunity to evaluate
its contents and dispute them. A court's evaluation
of the defendant's demeanor presents no such danger
of factual inaccuracy. Indeed, a trial judge's
evaluation of demeanor evidence is generally given
great weight because he has directly perceived the
evidence. Given this, we see no need for the judge
to give advance notice of his intent to rely on
demeanor evidence in making his sentencing decision.
AFFIRMED.
*****
APPENDIX A
TRIAL COURT'S WRITTEN FINDINGS
IN SUPPORT OF DEATH SENTENCE
On the 13th day of
December, 1979, in the Madison County Courtroom at
Madison, Florida, the Defendant was found guilty of
murder in the first degree for the death of JAMES
MAXWELL HADDEN under Count I of the indictment
charging premediated [sic] murder. He was also found
guilty of robbery with a firearm of JAMES MAXWELL
HADDEN under Count II of the indictment.
The undersigned
Judge heard all of the evidence in this case and
observed all of the witnesses as each testified.
Following receipt
of the jury's verdict finding the Defendant guilty
of murder in the first degree, a separate sentencing
proceeding was held to determine whether the
Defendant should be sentenced to death or life
imprisonment. This proceeding was held four (4) days
later on December 17, 1979.
FACTS:
The Defendant and
his seventeen year-old female companion, both
residents of the State of Kentucky, left that state
approximately two weeks before the date of the
homicide, which occurred on March 16, 1979, and
traveled by automobile to Orange Park, Florida. The
Defendant took with him a "sawed-off pump shotgun",
the stock of which had been replaced by a pistol
grip. The Defendant and his companion stayed at
Orange Park for approximately two weeks and decided
to travel to the State of Minnesota via Kentucky.
During this trip
they traveled westwardly on Interstate 10 through
Madison County, Florida. They stopped at a rest area
sometime before reaching the intersection of I-10
and State Road 255, at which time the "sawed-off
shotgun" was removed from a suitcase in the vehicle
in which they were traveling. Upon reaching the SR-255
exit, the Defendant stopped at a Shell service
station located just off of I-10 and according to
the girl's testimony, she was instructed to go in
and buy some cigarettes. The Defendant followed her
into the service station with the shotgun.
The service
station operator, JAMES MAXWELL HADDEN, was the only
other person on the premises. After a brief
conversation between the girl and the station
operator concerning cigarettes, the Defendant
demanded money from the station operator. The female
companion was directed to remove all of the cash,
approximately $135.00, from the cash register and
she complied. She then proceeded to leave the
station, but before reaching the exit door, she
turned to see the Defendant fire a single shot which
hit the station operator in the head and apparently
killed him instantly. She further testified that the
service station operator had no weapon of any type.
The Defendant and
his companion then proceeded to travel in his motor
vehicle, ultimately arriving in the State of
Kentucky. When outside of the Defendant's presence,
the young girl reported the murder to her mother and
ultimately the police were called. The Defendant was
subsequently arrested the same day (two days after
the murder) and he had in his possession the same "sawed-off
shotgun" as well as other incriminating evidence.
Shortly after the
homicide took place, the Defendant remarked to his
companion that "dead witnesses don't talk".
The jury rendered
an advisory sentence of death.
The death sentence
was imposed.
AGGRAVATING CIRCUMSTANCES:
This Court has
considered all of the aggravating circumstances
enumerated under Section 921.141(5), Subsections (a)
thru (h), Florida Statutes 1978. At the urging of
defense counsel, the Court has not considered
Subsection (i), Florida Statutes: 1979, for the
reason that the later statute was effective after
the date of the commission of the crime, although
before the date of the commencement of the trial.
The same circumstances were submitted to the jury
for an advisory sentence.
As to Aggravating
Circumstance (5)(a), the Court finds that the
capital felony was committed while the Defendant was
under sentence of imprisonment. The evidence
produced at the sentencing stage showed that the
Defendant had previously been convicted of assault
in the second degree, had served part of a five year
sentence, and was at all material times on parole
for that offense.
As to Aggravating
Circumstance (5)(b), the Court finds that the
Defendant was previously convicted of a felony
involving the use of or threat of violence to the
person of another. The evidence showed that the
Defendant had previously been convicted of assault
in the second degree, the specific facts of which
showed that the Defendant had shot his wife with a
firearm.
Both of the above
circumstances arose out of the same factual
situation, and are therefore probably duplicative.
Consequently, Aggravating Circumstances (5)(a) and
(5)(b) are considered by the Court as constituting
only one aggravating circumstance.
As to Aggravating
Circumstance (5)(a), the Court finds that there is
no basis for finding that the Defendant knowingly
created a great risk to many persons.
With respect to
Aggravating Circumstance (5)(d), the Court finds
that the capital felony was committed while the
Defendant was engaged in the commission of a robbery.
The evidence was overwhelming in this respect and
there was virtually no contradiction or lack of
credibility on this issue.
With respect to
Aggravating Circumstance (5)(f), the Court finds
that the capital felony was committed for pecuniary
gain. Pecuniary gain arose from the facts which
showed that the Defendant took a sum of money during
the course of the robbery. Because the same
underlying facts give rise to support for both
Aggravating Circumstances (5)(d) and (5)(f), the
Court considers them to be duplicative and thus
considers both as one aggravating circumstance.
With respect to
Aggravating Circumstances (5)(e) and (5)(g), the
Court finds that the capital felony was committed
for the purpose of avoiding or preventing a lawful
arrest and to hinder the enforcement of laws. The
evidence showed that this robbery was committed at a
service station in a rural area; that the decedent
operator of the service station was the only person
on the premises other than the Defendant and his
companion, and that there could have been no other
reason for killing the decedent other than to leave
no witnesses to the crime. Direct sworn testimony
from the Defendant's companion, who was an eye-witness
to the robbery and murder, reflected that the
Defendant told her he killed the service station
operator because "dead witnesses don't talk". The
Court finds that the facts giving rise to
Aggravating Circumstances (5)(e) and (5)(g), are
duplicative, and are therefore considered as one
aggravating circumstance.
With respect to
Aggravating Circumstance (5)(h), the Court finds
that the capital felony does not fit within the
definition of "especially heinous, atrocious, or
cruel", as defined by the Supreme Court of Florida.
MITIGATING CIRCUMSTANCES:
With respect to
Mitigating Circumstance (6)(a), the Court finds that
the facts of this case are not applicable because of
the evidence supporting Aggravating Circumstances
(5)(a) and (5)(b).
With respect to
Mitigating Circumstance (6)(b), the Court does not
find any credible evidence which would qualify in
that respect. The reasons will be more fully
discussed in connection with Mitigating Circumstance
(6)(f).
With respect to
Mitigating Circumstance (6)(c), there is absolutely
no credible evidence to support any contention that
the victim was a participant in the Defendant's
conduct or consented to the act.
With respect to
Mitigating Circumstance (6)(d), there was no
credible evidence to support any contention that the
Defendant was an accomplice in a capital felony
committed by another person or that his
participation was relatively minor. To the contrary,
although the Defendant never took the stand either
during the guilt phase or the sentencing phase, it
was apparent from the testimony that the Defendant
admitted in out of court statements that he was the
one who pulled the trigger and killed the decedent.
This was consistent with the eye-witness testimony
of the Defendant's companion and the testimony of
the two psychiatrists and the two psychologists who
interviewed the Defendant.
With respect to
Mitigating Circumstance (6)(e), there was no
credible evidence to support any contention that the
Defendant acted under extreme duress or under
substantial domination of another person. The
Defendant apparently contended in psychological and
psychiatric evaluations that it was not his idea to
rob the place, but there was never any contention
that he was an unwilling participant. His
willingness was further corroborated by the fact
that he was a male of the age of 33 years and his
companion was a 17 year old girl.
With respect to
Mitigating Circumstance (6)(g), the age of the
Defendant at the time of the crime was 33 years and
is not found to be a mitigating factor.
With respect to
Mitigating Circumstance (6)(f), the Court finds that
the Defendant was able to appreciate the criminality
of his conduct and that there is no basis for
concluding that the capacity of the Defendant to
conform his conduct to the requirements of law was
substantially impaired. There was some conflicting
testimony on this point. The Defendant was examined
by two psychiatrists and two clinical psychologists.
All of the evidence from the experts indicated that
the Defendant was able to distinguish that which is
"right" from that which is "wrong" and that he was
legally sane at all material times. However, the
testimony from one clinical psychologist, Dr.
Charles R. Figley, advanced the theory that the
Defendant, at the time he actually pulled the
trigger, did so from implusive [sic] behavior which
had a direct casual [sic] relationship to his
experience in Vietnam. This particular witness had
written a book consistent with this theory, but
readily admitted that he was one of the few people
who have even done any work in this area. The theory
or opinion was to some extent also supported by the
testimony of another clinical psychologist, Dr.
McMahon. Her opinion suggested that the Defendant
suffered from organic brain damage and that he was
of border-line intelligence. The testimony of the
two clinical psychologists was disputed by the two
psychiatrists. Taken as a whole, together with the
Court's own observations of the Defendant during the
trial, as well as his testimony in pretrial
proceedings, this Court concludes that there were no
mental or psychological factors sufficiently
significant to support a conclusion as to any
mitigating circumstance. The evidence clearly showed
that the Defendant planned the robbery of the
service station, executed the plan, and killed the
service station operator because "dead witnesses
don't talk". The State introduced into evidence the
shotgun with which the Defendant killed the service
station operator. The shotgun was owned by the
Defendant for a substantial period of time prior to
the homicide and was found in his possession two
days after the homicide was committed. A visual
examination of the shotgun plainly shows that the
barrel had been sawed off and the stock had been
replaced with a pistol grip. Such a shotgun had only
one practical purpose--the use for which it was in
fact made. This leads the Court in part to the
conclusion that the Defendant fully appreciated the
criminality of his conduct and had no intention of
conforming his conduct to the requirements of law.
It further supports this Court's conclusion that the
Defendant was not acting under extreme duress or
under the substantial domination of another person.
Thus this Court
concluded, in reaching its decision to impose the
death penalty, that there were:A. No mitigating
circumstances.
B. Three
aggravating circumstances consisting of:
(1). A combination
of statutory Aggravating Circumstances (5)(a) and
(5)(b);
(2). A combination
of the statutory Aggravating Circumstances (5)(d)
and (5)(f);
(3). A combination
of the statutory Aggravating Circumstances (5)(e)
and (5)(g).
The aggravating
circumstances warrant the imposition of the death
sentence and there are no mitigating circumstances
to outweigh the aggravating circumstances.
This Court placed
the greatest weight upon the facts supporting
Aggravating Circumstance (5)(d). Had this been the
only aggravating circumstance and even if the
evidence adduced had as a matter of law supported
Mitigating Circumstances (6)(b), (6)(e), and (6)(f),
this Court would have concluded that the death
sentence would have nevertheless been appropriate in
this case.
This was a
senseless killing, and when considered in the light
of the statutory circumstances with respect to both
aggravation and mitigation, this Court feels that
this sentence is clearly warranted.
As Justice Stevens recently
explained, Florida has adopted a "trifurcated"
procedure for identifying the persons convicted
of a capital felony who shall be sentenced to
death. It consists of a trial followed by a
determination of guilt or innocence by the jury,
then a separate sentencing hearing after which
the same jury renders an advisory sentence, and
finally an actual sentence imposed by the trial
judge. Barclay v. Florida, 463 U.S. 939, 960,
103 S.Ct. 3418, 3429, 77 L.Ed.2d 1134 (1983) (Stevens,
J., concurring in the judgment)
According to the record, the
following events occurred:
MR. HUNT [defense]: Your
Honor, at this time I would like to allow the
defendant to wait outside of the courtroom while
this witness is testifying. By a prior
arrangement, it was agreed he will not be
present at the time she is discussing her
findings.
THE COURT: At the request of
the defendant and his counsel, it will be
permitted.
MR. HUNT: We are so
requesting.
THE COURT: Mr. Hunt, I will
leave it up to you when you wish him to come
back in.
(DEFENDANT SHOWN OUT OF THE
COURTROOM).
BY MR. WEISS:
Q Doctor McMahon, there may
be some interest among the jurors as to why we
asked Mr. Johnson to leave the courtroom. Can
you explain your reasons for not wanting him
here?
A I always ask an individual
be removed for several reasons. One, I don't
think it is to his advantage to hear anyone sit
and discuss his psychological functions.
Secondly, the average individual who comes into
these sorts of assessments comes in cold, has no
way of knowing how to falsify them in any way.
If he sits through it, this would really
prejudice any future evaluation that might be
done with him or if he is to receive any
treatment, this could certainly prejudice this
in a sense, what I say may become a
self-fulfilling prophesy. [TR. 901-02]
Petitioner also attempts to
avoid procedural default by arguing that the
Florida Supreme Court applies no consistent
default rules in this area and that therefore we
should not be deterred by its decision to be
unduly harsh in this one instance. See Francois
v. Wainwright, 741 F.2d 1275, 1281 (11th
Cir.1984). Our reading of the case cited by
petitioner, Hall v. State, 420 So.2d 872 (Fla.1982),
does not, however, support his assertion that
the Florida Supreme Court is applying its
procedural default rule in a sporadic and
surprisingly harsh manner. In that case, the
court squarely held that the petitioner's
assertion was not cognizable due to procedural
default, and made clear that its further
discussion of his claim was a secondary ground
for denial. This circuit has held that "where a
state court clearly and correctly applies a
procedural default rule, Sykes requires the
federal court to abide by the state court's
decision even though the state court discusses
the merits as an alternate ground for rejecting
the claim." Dobbert v. Strickland, 718 F.2d
1518, 1524 (11th Cir.1983), cert. denied, ---
U.S. ----, 104 S.Ct. 3591, 82 L.Ed.2d 887 (1984)
Attached to the petitioner's
state habeas petition was the affidavit of one
of the lawyers who represented him on direct
appeal. That lawyer stated that he omitted the
point in question because he "did not spot it."
Whether this omission amounted to inadequate
representation is an issue not before us. It is
clear, however, that such a reason cannot amount
to "cause" under the Sykes/Isaac test
Of the three arguments
criticized by the petitioner, only one
precipitated any objection on the part of the
defense lawyer. This court has concluded that
the failure to object to improper prosecutorial
arguments does not necessarily preclude review,
but should be weighed as part of our evaluation
of the claim on the merits because of its
suggestion that the defense did not consider the
comments in question to be particularly harmful.
See Brooks, 762 F.2d at 1397 n. 19; Drake, 762
F.2d at 1461 n. 16; Tucker (William), 762 F.2d
at 1484 n. 5; Tucker (Richard), 762 F.2d at 1505
n. 13. Because we conclude that the arguments
being criticized here, when viewed in the
context of the entire proceeding, failed to
render the trial fundamentally unfair, we find
it unnecessary to consider how the lack of an
objection should be assessed
Brooks and its companion
cases arose in Georgia. That state's death
penalty statute reposes final sentencing
authority with the jury, whereas Florida's
scheme gives such authority to the judge.
Compare Fla.Stat. Sec. 921.141(3) with Ga.Code
Sec. 17-10-31. Because we find no error under
the Brooks standard we need not decide whether
Florida's scheme, given its diminished reliance
on the jury, requires a less stringent test for
evaluating prosecutorial misconduct
In Brooks and its companion
cases we identified a number of matters which
have been recognized as legitimate sentencing
considerations. These include the character and
background of the defendant (including future
dangerousness and possible rehabilitation), the
circumstances of his offense, and accepted
penological justifications such as deterrence
and retribution. See Brooks, 762 F.2d at
1406-08; Drake, 762 F.2d at 1458
The prosecutor's argument in
its entirety took up approximately eight
transcript pages
Larry Joe JOHNSON, Petitioner-Appellee, Cross-Appellant, v.
Harry K. SINGLETARY, Jr., Secretary of the Florida
Department of Corrections, Respondent-Appellant,
Cross-Appellee.
No. 93-2497.
United States Court of Appeals, Eleventh Circuit.
May 7, 1993.
Certiorari Denied May 8, 1993.
113 S.Ct. 2049.
Appeals from the United States
District Court for the Northern District of Florida.
Before FAY, HATCHETT and BLACK,
Circuit Judges.
PER CURIAM:
Petitioner, Larry Joe Johnson,
a Florida death row inmate, filed a third federal petition for a
writ of habeas corpus after the Governor of the State of Florida
had signed a fourth death warrant. The district court granted
the writ and stayed Johnson's execution. Respondent, Harry K.
Singletary, filed a Notice of Appeal and a Motion to Vacate Stay
of Execution and Writ of Habeas Corpus. In his motion the
Respondent asserts that Petitioner's third petition for habeas
corpus should not have been granted by the district court
because all of the claims are procedurally barred and constitute
either an abuse of the writ or an improper successive petition.
The district court granted the writ because it found that a
claim, which had been brought previously, should be redetermined
based upon an intervening change in the law. For the reasons
stated below, we reverse.
I. PROCEDURAL HISTORY
The petitioner, Larry Joe
Johnson, was convicted of first-degree murder and robbery with a
firearm for the robbery of a convenience store and the murder of
the store clerk. On November 17, 1983, the Florida Supreme Court
affirmed both convictions and sentences, and on January 16,
1984, it denied rehearing. Johnson v. State, 442 So.2d 185 (Fla.1983).
The United States Supreme Court denied Johnson's petition for
certiorari. Johnson v. Florida, 466 U.S. 963, 104 S.Ct. 2181, 80
L.Ed.2d 563 (1984).
On January 23, 1985, the
Circuit Court for the Third Judicial Circuit of Florida denied
without hearing Johnson's Rule 3.850 motion for post-conviction
relief. The Florida Supreme Court affirmed the denial on January
28, 1985, also denying Johnson's petition for a writ of habeas
corpus. Johnson v. Wainwright, 463 So.2d 207 (Fla.1985).
The same day, Johnson filed a
federal habeas corpus petition and a motion for stay of
execution in the United States District Court for the Northern
District of Florida. On January 29, 1985, the district court
denied the writ but granted a certificate of probable cause.
This Court affirmed the district court's denial of the petition.
Johnson v. Wainwright, 778 F.2d 623 (11th Cir.1985), cert.
denied, 484 U.S. 872, 108 S.Ct. 201, 98 L.Ed.2d 152 (1987).
After the Governor signed a
second death warrant on January 29, 1988, Johnson filed a
petition to the Florida Supreme Court for relief pursuant to
Hitchcock v. Dugger, 481 U.S. 393, 107 S.Ct. 1821, 95 L.Ed.2d
347 (1987). The Florida Supreme Court denied relief and refused
to grant a stay of execution. Johnson v. Dugger, 520 So.2d 565 (Fla.1988).
On March 3, 1988, Johnson filed his second Rule 3.850 motion,
which was summarily denied. The Florida Supreme Court affirmed,
holding that all of the claims were procedurally barred. Johnson
v. State, 522 So.2d 356 (Fla.1988).
Johnson then filed his second
federal habeas corpus petition; the district court denied relief
on all counts and found an abuse of the writ. This Court
affirmed the district court's denial of the writ. Johnson v.
Dugger, 932 F.2d 1360 (11th Cir.), cert. denied, Johnson v.
Singletary, --- U.S. ----, 112 S.Ct. 427, 116 L.Ed.2d 446
(1991).
The mandate was returned on
November 18, 1991. Governor Chiles signed a third death warrant
on January 7, 1993. The warrant period began at noon, Tuesday,
February 2, 1993, and was to expire at noon, Tuesday, February
9, 1993; the execution was scheduled for 7:00 a.m. on Wednesday,
February 3, 1993. On Thursday, January 21, 1993, Johnson filed
an Application for Stay of Execution and a Rule 60(b)
Motion for Relief from
Judgment in the United States District Court for the Northern
District of Florida. He filed a Petition for Extraordinary
Relief and for a Writ of Habeas Corpus with the Florida Supreme
Court on Monday, January 25, 1993. On Friday, January 29, 1993,
the Florida Supreme Court denied Johnson's petition, but the
next day the Governor issued a stay of execution of indefinite
duration.
On April 15, 1993, the
Governor signed Johnson's fourth death warrant, to run from noon,
Tuesday, May 4, 1993, until noon, Tuesday, May 11, 1993. The
execution was scheduled for 7:00 a.m. on Wednesday, May 5, 1993.
On April 28, 1993, Johnson filed a petition for writ of
certiorari in the United States Supreme Court.
On April 28, 1993, he also
filed, in the Florida Supreme Court, a Motion to Recall the
Mandate and for Stay of Execution and an Emergency Application
for Stay of Execution Pending the Filing and Disposition of a
Petition for Writ of Certiorari. On April 30, 1993, the Florida
Supreme Court denied all relief. On May 3, 1993, the United
States Supreme Court denied Johnson's petition for a writ of
certiorari and his application for a stay of execution.
On April 29, 1993, Johnson
filed his third federal habeas corpus petition. On May 4, 1993,
the district court granted Johnson's third petition, vacated his
death sentence, and stayed the execution. Respondent filed a
Notice of Appeal and a Motion to Vacate Stay of Execution and
Writ of Habeas Corpus on May 5, 1993. On May 6, 1993 the
Petitioner filed a Motion to Dismiss Respondent-Appellant's
Motion to Vacate Stay of Execution and Writ of Habeas Corpus and
a Notice of Cross-Appeal.
II. DISCUSSION
Petitioner, Larry Joe Johnson,
raised three issues in his third petition for federal habeas
corpus relief, pursuant to 28 U.S.C. § 2254. All of the grounds
were based on the alleged invalidity of various aggravating
factors, either considered by the jury or found by the
sentencing judge. First, Johnson argued that because he was
convicted of first-degree felony murder, the use of the
statutory aggravating factors: "in the course of a felony" and "for
pecuniary gain," did not channel the jury's discretion as
required by the Eighth Amendment.1
Second, he contended that the statutory aggravating
circumstances were facially vague and overbroad, and that
vagueness was not cured by adequate narrowing instructions in
this case. Finally, Johnson asserted that the recommendation of
a death sentence by the sentencing jury was tainted by the
consideration of invalid aggravating circumstances.
The district court granted the
writ on the first ground raised and stayed Johnson's execution.
The district court held that the second and third claims, which
were never raised on the previous petitions, were procedurally
barred. The district court further held that the Petitioner had
not shown cause for the procedural default and that there was no
other justification to reach the merits of those claims. We
agree and affirm the denial of the writ on those two grounds
based upon the reasoning in the district court's opinion.
On the Petitioner's first
claim, the district court found that it was not barred by state
procedural rules but that it was raised on a previous federal
petition and determined on the merits. The district court held
that because the claim was a successive petition, it need not
reach the merits of the claim unless the Petitioner showed cause
and prejudice or the ends of justice required redetermination of
the previously decided issue. The district court further found
that the Petitioner had failed to show cause for his repetitious
claim and that he could not satisfy the "actual innocence"
standard of Sawyer v. Whitley, --- U.S. ----, 112 S.Ct. 2514,
120 L.Ed.2d 269 (1992). See also, Johnson v. Singletary, 938
F.2d 1166 (11th Cir.1991) (en banc).
Pursuant to this Court's
holding in Martin v. Dugger, 891 F.2d 807 (11th Cir.1989),
however, the district court held that the ends of justice
standard could be met even where there was no colorable showing
of actual innocence. In this case, the district court held that
the ends of justice required it to reach the merits of the
successive claim because there was an "intervening change in the
law." 891 F.2d at 809 (quoting Sanders v. United States, 373
U.S. 1, 17, 83 S.Ct. 1068, 1078, 10 L.Ed.2d 148 (1963)).
In particular, the district
court summarily concluded that the Supreme Court's holding in
Stringer v. Black, --- U.S. ----, 112 S.Ct. 1130, 117 L.Ed.2d
367 (1992), rendered the prior holding in Lowenfield v. Phelps,
484 U.S. 231, 108 S.Ct. 546, 98 L.Ed.2d 568 (1988), inapplicable
to a weighing state, such as Florida. According to the district
court, the previous disposition of Johnson's claim by this Court2
that applied Lowenfield to a weighing state is not consistent
with Stringer.3
Accordingly, the district court concluded that Stringer is the
type of intervening change in the law that the ends of justice
require the court to reach the merits of this repetitious claim.
A. ENDS OF JUSTICE
The district court reached the
merits of the Petitioner's first claim notwithstanding the fact
that the same claim had been raised in the previous petition and
had been rejected on the merits, notwithstanding the fact that
the district court found that the Petitioner could not show
cause for the repetitious filing, and notwithstanding the fact
that this claim did not amount to a colorable showing that the
Petitioner was "actually innocent" of the death penalty. Relying
on Martin v. Dugger, 891 F.2d 807 (11th Cir.1989), the district
court held that the "ends of justice" required that it reach the
merits of the claim because of an intervening change in the law.
To the extent that Martin
defined the "ends of justice" exception in the context of
abusive petitions to allow a court to reach the merits of an
abusive or successive petition without cause and prejudice or a
colorable showing of actual innocence, that decision was clearly
overruled by the Supreme Court's decision in Sawyer v. Whitley,
505 U.S. ----, 112 S.Ct. 2514, 120 L.Ed.2d 269 (1992), and this
Court's en banc decision in Johnson (Marvin) v. Singletary, 938
F.2d 1166 (11th Cir.1991), which was cited with approval in
Sawyer.
In Sawyer v. Whitley, the
Supreme Court held that
[u]nless a habeas petitioner shows cause and
prejudice, a court may not reach the merits of: (a) successive
claims which raise grounds identical to grounds heard and
decided on the merits in a previous petition; (b) new claims,
not previously raised which constitute an abuse of the writ; or
(c) procedurally defaulted claims in which the petitioner failed
to follow applicable state procedural rules in raising the
claims.
505 U.S. at ----, 112 S.Ct. at
2518, 120 L.Ed.2d at 279 (citations omitted). The only exception
to this rule is that "a federal court may hear the merits of the
successive claims if the failure to hear the claims would
constitute a 'miscarriage of justice.' " Id.
Similarly, this Court in
Johnson (Marvin) clearly stated that there are only two
exceptions to procedural default bars. Those two exceptions are
"cause and prejudice" and "a narrow second exception: 'in an
extraordinary case, where a constitutional violation has
probably resulted in the conviction of one who is actually
innocent.' " 938 F.2d at 1174 (quoting Murray v. Carrier, 477
U.S. 478, 496, 106 S.Ct. 2639, 2649, 91 L.Ed.2d 397 (1986).
The "miscarriage of justice
exception would allow successive claims to be heard if the
petitioner 'establish[es] that under the probative evidence he
has a colorable claim of factual innocence.' " 505 U.S. at ----,
112 S.Ct. at 2519, 120 L.Ed.2d at 280. Although the Court went
on to state that it is possible to show a colorable claim of
factual innocence of the death penalty, the Petitioner in this
case has failed to make that showing.
As explained in Smith v.
Murray, 477 U.S. 527, 537, 106 S.Ct. 2661, 2667, 91 L.Ed.2d 434
(1986), the "concept of 'actual,' as distinct from 'legal,'
innocence does not translate easily into the context of an
alleged error at the sentencing phase of a trial on a capital
offense."4 "The
phrase 'innocent of death' is not a natural usage of those words."
Sawyer, 505 U.S. at ----, 112 S.Ct. at 2520, 120 L.Ed.2d at 281.
The Sawyer Court held that the
test for actual innocence of the death penalty must "focus on
those elements which render a defendant eligible for the death
penalty." 505 U.S. at ----, 112 S.Ct. at 2523, 120 L.Ed.2d at
285. The petitioner must show "by clear and convincing evidence
that but for constitutional error at his sentencing hearing, no
reasonable juror would have found him eligible for the death
penalty" under state law. 505 U.S. at ----, 112 S.Ct. at 2525,
120 L.Ed.2d at 287.
To understand this rule in the
context of Florida's death penalty statute we turn to the "eligibility"
rule enunciated by this Court in Johnson (Marvin) v. Singletary,
938 F.2d 1166 (11th Cir.1991) (en banc), and specifically
endorsed by the Sawyer Court. 505 U.S. at ----, 112 S.Ct. at
2523, 120 L.Ed.2d at 285. Under Florida law, the jury must find
at least one statutory aggravating circumstance in order to
recommend a death sentence.
In Johnson, the Court held,
that in order to make a showing of actual innocence of the death
penalty, the petitioner must demonstrate that "an alleged
constitutional error implicates all of the aggravating factors
found to be present by the sentencing body. That is, but for the
alleged constitutional error, the sentencing body could not have
found any aggravating factors and thus the petitioner was
ineligible for the death penalty." 938 F.2d at 1183 (emphasis in
original). In other words, even if the petitioner can show that
but for the constitutional error the weighing of the factors
might have been different, this is not enough to make a
colorable showing of actual innocence.
In this case, Johnson's
petition challenges two of the three aggravating factors found
by the sentencing judge, and another factor considered by the
jury but explicitly not found by the sentencing judge. Since
Johnson is not challenging all of the aggravating factors and
since he would still be eligible for the death sentence even if
his challenge were upheld, we hold that Johnson has not made a
colorable showing of actual innocence of the death penalty
pursuant to the rule announced in Johnson and endorsed in
Sawyer. Accordingly, we hold that the district court erred in
reaching the merits of Petitioner's claim.
B. APPLICABILITY OF LOWENFIELD
Although our decision is not
based upon the merits of whether an intervening change in the
law occurred, in the interest of completeness we address the
Lowenfield issue. The district court held that the Supreme
Court's decision in Stringer v. Black, 503 U.S. ----, 112 S.Ct.
1130, 117 L.Ed.2d 367 (1992), undermines this Court's analysis
of Petitioner's first claim when it was raised in his previous
habeas corpus petition. The district court's Order does not
explain how Stringer undermines the applicability of Lowenfield
to this case. We, therefore, begin this discussion with a
summary of Lowenfield.
In Lowenfield, the petitioner
had been convicted of, inter alia, three counts of first degree
murder. An essential element of those convictions was that the
petitioner intended " 'to kill or inflict great bodily harm upon
more than one person.' " 484 U.S. at 233, 108 S.Ct. at 548 (quoting
La.Rev.Stat.Ann. § 14:30 A(3) (West 1986)). After a separate
sentencing hearing, the jury returned death sentences on all
three first-degree murder verdicts. The jury found the statutory
aggravating circumstance of " 'knowingly creat[ing] a risk of
death or great bodily harm to more than one person.' " Id. at
235, 108 S.Ct. at 549 (quoting La.Code Crim.Proc.Ann. art.
905.4(d) (West 1984)).
The Supreme Court held that
the duplicative nature of an element of the underlying
conviction and the sole aggravating circumstance did not violate
the Eighth Amendment. "To pass constitutional muster, a capital
sentencing scheme must 'genuinely narrow the class of persons
eligible for the death penalty and must reasonably justify the
imposition of a more severe sentence on the defendant compared
to others found guilty of murder.' " Id. at 244, 108 S.Ct. at
554 (quoting Zant v. Stephens, 462 U.S. 862, 103 S.Ct. 2733, 77
L.Ed.2d 235 (1983)).
In Johnson's previous appeal,
we held that "[t]he Florida sentencing scheme as applied in
Johnson's case 'genuinely narrows the class of persons eligible
for the death penalty.' The sentencing court's individualized 'consideration
of mitigating circumstances and ... exercise of discretion' were
sufficient to satisfy the requirements of the Eighth and
Fourteenth Amendments." 932 F.2d at 1369-70 (footnotes omitted).
We rejected Johnson's argument holding that the fact that an
element of the underlying conviction and one of the aggravating
factors was duplicative did not invalidate that aggravating
factor. The district court's Order granting the writ is based
upon its belief that Stringer somehow undermines this analysis.
In Stringer v. Black, 503 U.S.
----, 112 S.Ct. 1130, 117 L.Ed.2d 367 (1992), the Supreme Court
held that when a sentencing jury, in a weighing state, considers
a constitutionally invalid aggravating factor, the appellate
courts "may not assume it would have made no difference if the
thumb had been removed from death's side of the scale." 503 U.S.
at ----, 112 S.Ct. at 1137, 117 L.Ed.2d at 379.
The issue in Stringer was the
jury's consideration of the "heinous, atrocious, and cruel"
aggravating factor. Nothing in Stringer indicates that there is
any constitutional infirmity in the Florida statute which
permits a defendant to be death eligible based upon a felony
murder conviction, and to be sentenced to death based upon an
aggravating circumstance that duplicates an element of the
underlying conviction.
Stringer stands for the
proposition that if Johnson's jury had considered an invalid
aggravating factor, we must assume that that factor affected
their weighing process. It does not hold that the consideration
of the felony murder aggravating factor in this case is invalid.
We hold that Stringer v. Black is not an intervening change in
the law, which undermines the previous decision in this case,
and that Johnson's successive claim constitutes an abuse of the
writ.
Accordingly, we REVERSE the
district court's Order granting the writ of habeas corpus,
DISMISS the cross-appeal, VACATE the stay of execution, and
instruct the district court to dismiss Johnson's petition. The
Clerk is instructed to issue the mandate in this matter at 4:00
p.m. on Friday, May 7, 1993.
The Petitioner also contends that the
Supreme Court's grant of certiorari in the case of Tennessee
v. Middlebrooks, 840 S.W.2d 317 (Tenn.1992), cert. granted,
--- U.S. ----, 113 S.Ct. 1840, 123 L.Ed.2d 466 (1993),
supports his claim that the duplication of an element of the
offense and an aggravating factor violates the Eighth and
Fourteenth Amendments. The grant of certiorari is not an
intervening change in the law
[The] standard for determining actual
innocence was articulated in Kuhlmann as: "[T]he prisoner
must 'show a fair probability that, in light of all the
evidence, including that alleged to have been illegally
admitted (but with due regard to any unreliability of it)
and evidence tenably claimed to have been wrongly excluded
or to have become available only after the trial, the trier
of facts would have entertained a reasonable doubt of his
guilt.' "
Sawyer v. Whitley, 505 U.S. ----, ---- n.
5, 112 S.Ct. 2514, 2519 n. 5, 120 L.Ed.2d 269, 280 n. 5
(1992) (quoting Kuhlmann v. Wilson, 477 U.S. 436, 455, 106
S.Ct. 2616, 2627, 91 L.Ed.2d 364 (1986) (quoting Friendly,
Is Innocence Irrelevant? Collateral Attack on Criminal
Judgments, 38 U.Chi.L.Rev. 142, 160 (1970))).