Michael LINDSEY, Petitioner-Appellant,
v.
Fred SMITH, Commissioner, Alabama Department of Corrections,
J.D. White, Warden Holman Unit, Respondents-Appellees.
No. 86-7162.
United States Court of Appeals,
Eleventh Circuit.
June 12, 1987.
Before TJOFLAT, VANCE and
KRAVITCH, Circuit Judges.
KRAVITCH, Circuit Judge:
I. BACKGROUND
Appellant was convicted in
1982 for the December 1981 murder of Rosemary Rutland, a 63-year-old
widow. Mrs. Rutland was killed in her home by stabbing and a
pistol shot. She had been gagged and her hands bound behind her;
her house was ransacked. Appellant, a neighbor of Mrs. Rutland,
was arrested the morning following the murder after he attempted
to use credit cards belonging to the victim.
Appellant's first trial was
declared a mistrial after the jury twice informed the judge that
it could not reach a verdict. On retrial, appellant's wife and
other members of his household testified that on the evening of
the murder appellant made a series of trips to bring household
items into their home, but that he refused to state where he had
obtained the merchandise.
These items were identified at
trial as belonging to the victim. An eleven-year-old boy who
lived in appellant's house testified also that he saw appellant
driving the victim's car on the night of the murder and that he
saw a pistol stuffed into appellant's pants. The only evidence
discovered inside the victim's home to link appellant to the
crime was his palm print on an air pump found in an open
suitcase in a bedroom.
The most significant evidence
against appellant at the second trial was testimony by Officer
Hubert Bell that appellant had given an unrecorded statement in
which he admitted killing Mrs. Rutland. Bell stated that
appellant confessed to him immediately following a recorded
session during which appellant was questioned by several
officers. He testified that he and appellant were awaiting the
arrival of guards to transfer appellant back to the jail when
appellant admitted that he had killed the victim because she
recognized him when she discovered him robbing the house.
In the recorded statement
given only minutes before, appellant told the officers that
"Bob," a man who had given him a ride the day before, had
burglarized Mrs. Rutland's home. He said that "Bob" had given
him the victim's credit cards and had handed him stolen goods
across the fence that separated the victim's yard from
appellant's. In the recorded statement, appellant denied any
knowledge of the murder. At appellant's first trial, the
recorded statement was admitted into evidence, but Bell did not
testify and the unrecorded murder confession was not otherwise
introduced.
At the second trial the jury
found appellant guilty of capital murder and recommended by a
vote of eleven to one that the judge sentence him to life in
prison. The judge, however, found that "aggravating factors far
outweigh[ed] any mitigating factors," and imposed the death
penalty. The
verdict and sentence were upheld on appeal. Lindsey v. State,
456 So.2d 383 (Ala.Crim.App.1983), aff'd sub nom. Ex parte
Lindsey, 456 So.2d 393 (Ala.1984), cert. denied, 470 U.S. 1023,
105 S.Ct. 1384, 84 L.Ed.2d 403 (1985).
After the Alabama Supreme
Court set an execution date, appellant's state court trial
counsel filed a petition for writ of error coram nobis in
Alabama circuit court. The court denied the petition without a
hearing and without opinion. The Alabama Supreme Court denied a
stay of execution pending appeal to that court, and appellant
immediately filed his petition for habeas corpus in federal
district court. Only hours before the scheduled execution, the
district court entered a stay.
In his petition for federal
habeas corpus, appellant asserts numerous claims challenging the
constitutionality of various aspects of the guilt phase of his
trial, his sentencing, and the Alabama capital punishment
statute. After
accepting the state's waiver of exhaustion,
see Granberry v. Greer, --- U.S. ----, 107 S.Ct. 1671, 95 L.Ed.2d
119 (1987); Thompson v. Wainwright, 714 F.2d 1495 (11th
Cir.1983), cert. denied, 466 U.S. 962, 104 S.Ct. 2180, 80 L.Ed.2d
562 (1984), the district court determined that appellant was
procedurally barred from asserting several claims that had not
been raised at trial or on direct appeal as required by Alabama
law. The court
dismissed either for failure to state a claim or on the merits
all the remaining claims
except one alleging ineffective assistance of counsel.
The court subsequently held an
evidentiary hearing to determine whether appellant could
establish cause under Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct.
2497, 53 L.Ed.2d 594 (1977), to justify federal habeas review of
the claims barred by state procedural rules.
The court also considered whether appellant's trial counsel was
ineffective under the standards established in Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
Based on facts developed at the hearing, the court concluded
that cause did not exist to excuse appellant's procedural bar
and that the efforts of appellant's trial attorneys did not
deprive appellant of his constitutional right to effective
assistance of counsel. The court consequently denied the
petition.
II. PROCEDURAL BAR
On appeal, appellant contends
that the district court erred in finding him procedurally barred
from raising several of his claims and in denying his remaining
claims on the merits. On the issue of procedural bar, appellant
notes that the state court that denied his coram nobis petition
did not clearly indicate that it relied on procedural grounds,
but instead simply marked the petition "denied." Thus, he
asserts, the claims must be presumed to have been resolved on
the merits and therefore properly before the federal habeas
court. See Oliver v. Wainwright, 795 F.2d 1524, 1528-29 (11th
Cir.1986).
The state argues that the
district court properly found the claims to be procedurally
barred despite the failure of the coram nobis court to indicate
its reliance on state procedural rules. The state contends that
because the Alabama courts have consistently applied their rules
of procedural default, the coram nobis court could not have
reached the merits of appellant's claims. See Preston v. Maggio,
705 F.2d 113, 116-17 (5th Cir.1983), cert. denied, 471 U.S.
1104, 105 S.Ct. 2334, 85 L.Ed.2d 850 (1985).
Whether a state court's denial
without opinion of a petitioner's claims should be construed by
a federal habeas court as a decision on the merits is a question
that this court has agreed to consider en banc. See Hargrave v.
Wainwright, 804 F.2d 1182 (11th Cir.1986), reh'g en banc granted,
809 F.2d 1486 (11th Cir.1987); see also Reed v. Ross, 468 U.S.
1, 8 n. 5, 104 S.Ct. 2901, 2906 n. 5, 82 L.Ed.2d 1 (1984) (declining
to consider effect of state court's failure to rely explicitly
on procedural bar). We need not await resolution of this issue,
however, to reach a decision in this case.
One of the federal habeas
claims asserted by appellant was not raised in the state coram
nobis proceedings, and thus properly was found by the district
court to be procedurally barred. In his fourth amended habeas
petition, appellant, who is black, contended that the exclusion
of blacks from his jury by the use of peremptory strikes by the
prosecutor was part of a broader, consistent pattern of racially
based exclusions and therefore constituted an equal protection
violation under the standards set forth in Swain v. Alabama, 380
U.S. 202, 85 S.Ct. 824, 13 L.Ed.2d 759 (1965).
In his state coram nobis
petition, however, appellant alleged only that the prosecutor
used peremptory strikes to exclude blacks from the jury at his
own trial. By failing to allege a systematic exclusion of blacks
from juries in trials other than his own, appellant did not
state a facially sufficient Swain claim. See id. at 221-22, 85
S.Ct. at 836; cf. Batson v. Kentucky, 476 U.S. 79, 106 S.Ct.
1712, 90 L.Ed.2d 69 (1986) (recognizing equal protection
violation based upon racially discriminatory strikes only in
defendant's own trial); Griffith v. Kentucky, --- U.S. ----, 107
S.Ct. 708, 710-11, 93 L.Ed.2d 649 (1987) (discussing
distinctions between prima facie claims under Batson and Swain);
Allen v. Hardy, --- U.S. ----, 106 S.Ct. 2878, 2879, 92 L.Ed.2d
199 (1986) (same).
The state court's summary
denial of the peremptory strike claim contained in the coram
nobis petition thus cannot be construed as a decision on the
merits of the Swain claim that appellant now attempts to assert.
See Allen v. Hardy, 106 S.Ct. at 2881 n. 4, aff'g 577 F.Supp.
984, 987 (N.D.Ill.1984).
Moreover, appellant never
raised a facially sufficient Swain claim before any state court.
At trial, appellant's attorney cited Swain in objecting to the
prosecutor's peremptory strikes of black venire members, but he
did not allege the systematic discriminatory exclusions
necessary to establish a Swain violation.
On direct appeal, appellant
did not assert any claim alleging the racially based exclusion
of jurors. Under Alabama law, such a failure to raise an
available claim either at trial or on direct appeal constitutes
a procedural bar to the assertion of the claim in a subsequent
collateral proceeding. E.g., Ex parte Ellison, 410 So.2d 130,
132 (Ala.1982).
This court has suggested in
dicta that a federal habeas court will not consider a particular
claim to be procedurally barred on state law grounds unless a
state court, either explicitly or implicitly, previously has
made that determination. See Nichols v. Wainwright, 783 F.2d
1540, 1542 (11th Cir.1986); Campbell v. Wainwright, 738 F.2d
1573, 1578 n. 3 (11th Cir.1984), cert. denied, --- U.S. ----,
106 S.Ct. 1652, 90 L.Ed.2d 195 (1986). Such an approach, however,
is inconsistent with the practice of the Supreme Court. In Engle
v. Isaac, 456 U.S. 107, 102 S.Ct. 1558, 71 L.Ed.2d 783 (1982),
the Court held that a claim asserted by a habeas petitioner was
procedurally barred on state law grounds although the claim
previously had not been presented in the state courts. See id.
at 117, 102 S.Ct. at 1566, rev'g Bell v. Perini, 635 F.2d 575
(6th Cir.1980); see also Jenkins v. Anderson, 447 U.S. 231, 235
n. 1, 100 S.Ct. 2124, 2127 n. 1, 65 L.Ed.2d 86 (1980) ("The
applicability of the Sykes 'cause'-and-'prejudice' test may turn
on an interpretation of state law."); Rummel v. Estelle, 445
U.S. 263, 267 n. 7, 100 S.Ct. 1133, 1135 n. 7, 63 L.Ed.2d 382
(1980). Isaac thus demonstrates that the considerations of
comity that underlie the procedural bar doctrine require federal
habeas courts to honor state procedural rules, and not only
state courts' procedural rulings. See Wainwright v. Sykes, 433
U.S. at 90-91, 97 S.Ct. at 2508; Murray v. Carrier, --- U.S.
----, 106 S.Ct. 2639, 2647, 91 L.Ed.2d 397 (1986); cf. Thompson
v. Wainwright, 714 F.2d at 1503-07 (discussing, in context of
states' waiver of the exhaustion requirement in federal habeas
proceedings, distinctions between the interests of the states as
sovereigns and those of the states' courts). Consequently,
because the summary denial of the state coram nobis petition
cannot be construed as a decision on the merits of the Swain
claim, the district court correctly found that appellant was
procedurally barred under Alabama law from asserting the claim
in his federal habeas proceeding.
Furthermore, we conclude that
the district court properly found that appellant not establish
cause to excuse his failure to raise the Swain claim in the
state courts. See, e.g., Sykes, supra. At an evidentiary hearing,
appellant attempted to show cause for his procedural default by
demonstrating that his representation at trial and on appeal was
so defective as to violate his constitutional right to effective
assistance of counsel. See Murray v. Carrier, 106 S.Ct. at 2646.
In support of this contention,
an experienced capital defense attorney testified in appellant's
behalf that effective assistance of counsel in a capital case
requires raising and preserving every colorable claim at trial
and on appeal. Thus, according to this attorney, the failure of
appellant's counsel to raise and preserve all colorable claims
constituted ineffective assistance of counsel. We conclude,
however, that the district court properly rejected the
attorney's conclusion as inconsistent with the first prong of
the two-step test of ineffectiveness established by the Supreme
Court in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052,
80 L.Ed.2d 674 (1984).
Under Strickland, convicted
defendants may succeed on a claim of ineffective assistance of
counsel only if they establish both that their representation "fell
below an objective standard of reasonableness" and that they
were prejudiced by this deficient performance. Id. at 687-88,
104 S.Ct. at 2064. Contrary to appellant's contention, the
failure by counsel in a capital case to raise any particular
claim or claims does not per se fall below an objective standard
of reasonableness. See Smith v. Murray, --- U.S. ----, 106 S.Ct.
2661, 91 L.Ed.2d 434 (1986). In Strickland, a capital case, the
Court emphasized that in evaluating a claim of ineffective
assistance a federal habeas court "must indulge a strong
presumption that counsel's conduct falls within the wide range
of reasonable professional assistance." 466 U.S. at 689, 104
S.Ct. at 2065.
Thus, in either a capital or a
non-capital case, a habeas petitioner may succeed on a claim of
ineffective assistance of counsel only after making a threshold
showing that the challenged conduct of the attorney fell below
an objective standard of reasonableness judged in light of "the
facts of the particular case." Id. at 690, 106 S.Ct. at 2066.
Here, however, when given the
opportunity to present evidence that his counsels' failure to
assert the Swain claim was unreasonable in light of the
particular facts of the case, appellant offered nothing but the
legally unsupportable contention that a decision not to raise
any claim constitutes ineffective assistance. Indeed, the only
evidence presented in the district court that even touched on
the merits of the Swain claim consisted of testimony by one of
appellant's counsel that he did not include the Swain claim on
direct appeal because he considered it a "loser" that would
detract from the claims that he believed were more viable. See
Smith v. Murray, 106 S.Ct. at 2666-67.
Because a Swain claim is based
primarily upon evidence outside a defendant's own trial, the
absence of any evidence concerning the merits of the claim
leaves us with no basis upon which to conclude that appellant
has overcome the presumption that his counsel acted reasonably
in not raising the Swain claim. Cf. Matire v. Wainwright, 811
F.2d 1430 (11th Cir.1987) (finding on basis of trial record that
counsel was ineffective for failure to raise on appeal claim of
prosecution's improper use at trial of post-arrest silence).
Consequently, appellant has not established cause necessary to
excuse the procedural bar resulting from his counsels' failure
to raise the Swain claim at trial or on direct appeal.
In contrast to the Swain claim,
the other claims found by the district court to be procedurally
barred were properly asserted in appellant's state coram nobis
petition. We need not now determine, however, whether the state
coram nobis court's summary denial of the petition should be
construed as a decision on the merits of these claims. For,
assuming arguendo that appellant is not procedurally barred from
asserting these claims, see Smith v. Wainwright, 41 F.2d 1248,
1258 (11th Cir.1984), cert. denied, 470 U.S. 1087, 105 S.Ct.
1853, 85 L.Ed.2d 150 (1985), we conclude that appellant has not
demonstrated on the merits of these or any of his claims that he
is entitled to habeas relief.
III. JURY COMPOSITION
In addition to the
procedurally barred Swain claim, appellant raises two other
challenges to the composition of the trial jury: he contends
that in his own trial the prosecution unconstitutionally used
peremptory challenges along racial lines and that the trial
court improperly dismissed one juror who expressed feelings in
principle against the death penalty.
A. Batson Claim
To the extent that appellant
challenges on equal protection grounds the exclusion of black
jurors in his own particular trial, see Batson v. Kentucky,
supra, the claim is precluded by Allen v. Hardy, supra, which
held that Batson is not retroactive to cases in federal habeas
corpus proceedings. Appellant's challenge to the exclusion of
black jurors in his own trial similarly fails to state a sixth
amendment claim that would entitle him to habeas relief.
Although the sixth amendment
requires that jury panels or venires be drawn from a source "fairly
representative of the community," it does not demand "that petit
juries actually chosen must mirror the community and reflect the
various distinctive groups in the population." Taylor v.
Louisiana, 419 U.S. 522, 538, 95 S.Ct. 692, 702, 42 L.Ed.2d 690
(1975). In Lockhart v. McCree, 476 U.S. 162, 106 S.Ct. 1758,
1764-65, 90 L.Ed.2d 137 (1986), the Supreme Court refused to
extend the fair cross-section requirement to petit juries, and
we decline to do so here.
In McCree, the Supreme Court
did not foreclose the possibility that the sixth amendment
offers some protection against the exclusion of blacks from
petit juries by use of peremptory challenges. As an alternative
rationale for its holding that death-qualified juries do not
violate the fair cross-section requirement, the Court noted that
"groups defined solely in terms of shared attitudes" are not
among those "distinctive groups in the community" upon which the
fair cross-section requirement traditionally has focused. 106
S.Ct. at 1765. Blacks, of course, do constitute such a "distinctive
group." Id.
Yet, we need not decide here
when, if ever, the sixth amendment's fair cross-section
requirement prohibits the use of peremptory strikes to eliminate
blacks from a petit jury, but see United States v. Dennis, 804
F.2d 1208, 1209 n. 21 (11th Cir.) (indicating that sixth
amendment challenge to petit jury composition is foreclosed by
Willis v. Zant, 720 F.2d 1212, 1219 n. 14 (11th Cir.1983)),
modifying 786 F.2d 1029 (11th Cir.1986), cert. denied, --- U.S.
----, 107 S.Ct. 1973, 95 L.Ed.2d 814 (1987), for appellant could
not prevail on such a claim in this case. If the sixth amendment
offered appellant any protection against the exclusion of blacks
from his petit jury, it did so in a way that was inseparable
from the corresponding protection accorded him by the equal
protection clause. The claim, therefore, is precluded by Allen
v. Hardy, supra, regardless of its characterization.
Admittedly, a jury composition
claim brought under the equal protection clause differs in some
respects from one brought under the sixth amendment. Compare
Batson, 106 S.Ct. at 1722 (equal protection claim requires
showing that defendant was member of a cognizable racial group
excluded from the jury and that exclusion was result of
purposeful discrimination), with Duren v. Missouri, 439 U.S.
357, 359 n. 1, 368 n. 26, 99 S.Ct. 664, 666 n. 1, 670 n. 26, 58
L.Ed.2d 579 (1979) (fair cross-section claim does not require
showing that defendant was member of the excluded class or that
exclusion was result of purposeful discrimination).
These differences, however,
are of no consequence here, where appellant alleges the same
facts in an attempt to establish prima facie claims under both
the sixth amendment and the equal protection clause,
and where the state's rebuttal to both claims would depend upon
the same facts.
Moreover, both claims are
based upon the notion that "[t]he exclusion of [blacks] from
jury service, like the arbitrary exclusion of any well-defined
class of citizens, offends a number of related constitutional
values." Peters v. Kiff, 407 U.S. 493, 498, 92 S.Ct. 2163, 2166,
33 L.Ed.2d 83 (1972).
Indeed, both claims serve
identical purposes: "guard[ing] against the exercise of
arbitrary power," preserving "public confidence in the fairness
of the criminal justice system," and ensuring that historically
disadvantaged groups are not prevented from " 'sharing in the
administration of justice [as] a phase of civic responsibility.'
" Taylor v. Louisiana, 419 U.S. 522, 530-31, 95 S.Ct. 692, 698,
42 L.Ed.2d 690 (1975) (quoting in part Thiel v. Southern Pacific
Co., 328 U.S. 217, 227, 66 S.Ct. 984, 989, 90 L.Ed. 1181 (1946)
(Frankfurter, J., dissenting)) (fair cross-section); see Batson,
106 S.Ct. at 1717-18 (listing same purposes in equal protection
context).
Thus, because appellant's
sixth amendment claim and his equal protection claim are
dependent upon the same factual circumstances,
and because the claims serve virtually identical purposes,
appellant cannot escape the preclusive effect of Allen v. Hardy,
supra, merely by labeling the claim with the sixth amendment.
B. Witt Claim
Appellant's second challenge
to the composition of the jury that tried him is his claim that
one potential juror was improperly dismissed for cause after
expressing "feelings in principle against the death penalty." A
review of the voir dire demonstrates, however, that this
potential juror did not express mere "feelings in principle
against the death penalty," but rather an unequivocal conviction
that she could not vote to impose the death penalty under any
circumstances.
Where a potential juror
maintains opinions regarding capital punishment that "would 'prevent
or substantially impair the performance of [her] duties as a
juror in accordance with [her] instructions and [her] oath,' "
Wainwright v. Witt, 469 U.S. 412, 105 S.Ct. 844, 852, 83 L.Ed.2d
841 (1985) (quoting Adams v. Texas, 448 U.S. 38, 45, 100 S.Ct.
2521, 2526, 65 L.Ed.2d 581 (1980)), the excusal of that juror
for cause violates neither a defendant's sixth amendment right
to an impartial jury, Witt, supra, nor the right to a jury
chosen from a fair cross-section of the community, Lockhart v.
McCree, supra.
IV. TRANSCRIPT OF PRIOR TRIAL
Appellant next asserts that he
is entitled to habeas relief because the state refused to
provide him with a free transcript of his first trial. In Britt
v. North Carolina, 404 U.S. 226, 227, 92 S.Ct. 431, 433, 30 L.Ed.2d
400 (1971), the Supreme Court held that as a matter of equal
protection a state "must provide an indigent defendant with a
transcript of a prior proceeding when that transcript is needed
for an effective defense." See also Roberts v. LaVallee, 389
U.S. 40, 88 S.Ct. 194, 19 L.Ed.2d 41 (1967) (granting habeas
relief for refusal of state to provide indigent defendant with
free transcript of preliminary hearing).
The Court concluded in Britt,
however, that because the defendant had available alternatives
that were "substantially equivalent" to a transcript, no
constitutional rights were violated. 404 U.S. at 230, 92 S.Ct.
at 435; see Jefferies v. Wainwright, 794 F.2d 1516 (11th
Cir.1986) (upholding denial of habeas relief where petitioner
had functional alternatives to transcript of preliminary hearing).
Similarly, in this case, both
the Alabama Criminal Court of Appeals and the Alabama Supreme
Court determined on direct appeal that the transcript of
appellant's second trial demonstrated that appellant had
available adequate substitutes that permitted him to engage in
an effective defense.
These determinations by the state appellate courts are factual
findings entitled to a presumption of correctness in a federal
habeas corpus proceeding. Sumner v. Mata, 449 U.S. 539, 101 S.Ct.
764, 66 L.Ed.2d 722 (1981); see Jackson v. Estelle, 672 F.2d
505, 508 (5th Cir.1982) (state appellate court finding regarding
denial of transcript presumed correct under Sumner v. Mata ).
Appellant, moreover, has
failed to establish the applicability of any of the statutory
exceptions to this presumptive correctness. See 28 U.S.C. Sec.
2254(d)(1)-(8). Despite appellant's contention that the state
court has not held an evidentiary hearing on the claim, the
appellate process itself constitutes a "hearing" within the
meaning of the federal habeas corpus statute. Sumner v. Mata,
supra. And although appellant claims that the trial court record
"is replete with difficulties encountered by his attorneys in
the inability to retrieve testimony from the first trial," we
conclude that the Alabama appellate court findings are fairly
supported by the transcript of the second trial. See 28 U.S.C.
Sec. 2254(d)(3).
As noted by the district court
below, the alternatives available to appellant's trial counsel
compare favorably to those held adequate in Britt. As in Britt,
the same attorneys represented appellant at both trials and the
same court reporter recorded the testimony. Moreover, in
contrast to Britt, appellant's attorneys had access to portions
of the actual transcripts of the first trial. Accordingly, based
upon the factual findings of the Alabama appellate courts, we
conclude that appellant's claim concerning the denial of a
transcript of his first trial was properly denied.
V. THE CONFESSIONS
Appellant presents two claims
challenging the admission into evidence of his recorded robbery
confession and his unrecorded murder confession to Officer Bell.
He contends that the manner in which the police officers
elicited the statements violated both his fifth amendment right
against self-incrimination and his sixth amendment right to
counsel. Additionally, he claims that his trial was rendered
fundamentally unfair by the failure of the prosecution to
disclose prior to trial the existence of his confession to
Officer Bell. We conclude that neither claim has merit.
A. Voluntariness
In contending that the
statements were improperly obtained in violation of his fifth
and sixth amendment rights, appellant alleges that an attorney
that his wife retained for him had instructed both the police
and appellant not to engage in questioning unless the attorney
was present. Thus, he urges, the statements were improperly
elicited unless he both initiated the subsequent discussions
with the police and knowingly and voluntarily waived his fifth
and sixth amendment rights. See Oregon v. Bradshaw, 462 U.S.
1039, 103 S.Ct. 2830, 77 L.Ed.2d 405 (1983) (two-pronged fifth
amendment inquiry); Edwards v. Arizona, 451 U.S. 477, 101 S.Ct.
1880, 68 L.Ed.2d 378 (1981) (same); Brewer v. Williams, 430 U.S.
387, 97 S.Ct. 1232, 51 L.Ed.2d 424 (1977) (standard for waiver
of sixth amendment right).
We may assume, without
deciding, that the factual circumstances alleged by appellant
fully implicated the fifth and sixth amendment rights he asserts,
for the record clearly demonstrates that appellant both
initiated the conversation and knowingly and voluntarily waived
his fifth and sixth amendment rights.
At a hearing conducted by the
trial court to consider appellant's objections to the admission
of the confessions, Officer Bell testified that he and another
officer were searching appellant's house pursuant to a warrant
when appellant attempted to place a collect telephone call from
jail to his wife. Bell answered the phone and informed the
operator that appellant's wife was not in but that he would
accept the call. He then advised appellant that his wife was out
and, in response to appellant's questions, explained his own
presence at the house. Bell testified that at that point
appellant said: " '[W]ell I'll talk to you.' " Bell asked
whether appellant wanted to talk on the telephone or at
headquarters, and appellant responded: " 'I'll talk to you when
you come to headquarters.' "When Bell returned to police
headquarters, he and three other officers took appellant into a
room for questioning.
A transcribed tape of that
session shows that before questioning began an officer read
appellant his Miranda rights and that appellant stated that he
understood the rights. The transcript further shows that
appellant fully concurred with Bell's description of the
telephone conversation that led to the interrogation session.
Moreover, appellant has never
since attempted to refute Bell's account of the telephone
conversation. Although appellant testified at a hearing in trial
court that he was coerced during the interrogation, he did not
then and does not now claim that prior to his telephone contact
with Bell the police attempted to coerce him into giving a
statement. Hence, in light of the clear and unrefuted evidence
in the record, we conclude that appellant initiated the
questioning.
We conclude similarly that in
giving the statements appellant validly waived both his fifth
amendment right against self-incrimination and his sixth
amendment right to counsel. For a waiver of these rights to be
effective, the prosecution at trial must meet a "heavy burden of
establishing 'an intentional relinquishment or abandonment of a
known right or privilege.' " Martin v. Wainwright, 770 F.2d 918,
931 (11th Cir.1985) (quoting Johnson v. Zerbst, 304 U.S. 458,
464, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461 (1938)), modified, 781
F.2d 185 (11th Cir.1986); see Tinsley v. Purvis, 731 F.2d 791,
794 (11th Cir.1984) (analysis identical for determining
effectiveness of waiver of both fifth and sixth amendment rights).
On habeas review, however,
although courts will "indulge every reasonable presumption
against waiver," Brewer, 430 U.S. at 404, 97 S.Ct. at 1242;
Tinsley, 731 F.2d at 795, the burden falls on the petitioner to
establish that a waiver was ineffective. See Martin, 770 F.2d at
918; Jurek v. Estelle, 623 F.2d 929, 937 (5th Cir.1980) (en banc).
This burden may be met by demonstrating that the appellant
either did not comprehend the right or relinquished the right
involuntarily. See, e.g., Moran v. Burbine, 475 U.S. 412, 106
S.Ct. 1135, 1141, 89 L.Ed.2d 410 (1986); Smith v. Wainwright,
777 F.2d 609, 619 (11th Cir.1985), cert. denied, --- U.S. ----,
106 S.Ct. 3275, 91 L.Ed.2d 565 (1986); cf. Colorado v. Connelly,
--- U.S. ----, 107 S.Ct. 515, 93 L.Ed.2d 473 (1986) (exclusion
of confession for "involuntary" waiver proper only when caused
by "coercive police activity"). The effectiveness of a waiver of
fifth or sixth amendment rights is a "legal question requiring
an independent federal determination," Miller v. Fenton, 474
U.S. 104, 106 S.Ct. 445, 450, 88 L.Ed.2d 405 (1985), based upon
the " 'particular facts and circumstances surrounding the case,
including the background, experience, and conduct of the accused.'
" Edwards v. Arizona, 451 U.S. at 482-83, 101 S.Ct. at 1884 (quoting
Johnson v. Zerbst, 304 U.S. at 464, 58 S.Ct. at 1023 (1938)).
Applying this standard, we
conclude that appellant gave the statements voluntarily. As
previously noted, appellant himself initiated the conversation
with the police. Prior to giving the statements, he was informed
of his Miranda rights and indicated verbally both that he
understood the rights and that he was willing to relinquish them.
He also signed a written waiver of those rights. Appellant's
prior experience with the judicial system and his attorney's
explicit instructions not to talk to the police further indicate
that he fully understood the rights he waived. Moreover, his
attempt to blame "Bob" for the murder demonstrates that
appellant's decision to give the statements was a strategic
choice voluntarily made.
Appellant's contention that
his will was overborne by police coercion during the course of
the questioning similarly is unavailing. Appellant testified at
the trial court hearing that officers told him that he would be
charged with capital murder unless he gave a statement. This was
the only factual assertion that appellant raised to support his
motion to suppress the confessions, and it was denied by police
officers. The trial court's determination that the statements
were given voluntarily thus contains an implicit factual finding
against appellant's credibility. See LaVallee v. Delle Rose, 410
U.S. 690, 93 S.Ct. 1203, 35 L.Ed.2d 637 (1973).
Because this finding is
supported by an adequate state record, we must presume that it
is correct. Id. Indeed, the transcript of the interrogation
session demonstrates that the officers told appellant that he
would be charged with capital murder, and that he might as well
confess. Informing a suspect "in a noncoercive manner of the
realistically expected penalties and encouraging [him] to tell
the truth" does not render a confession involuntary. Martin v.
Wainwright, 770 F.2d at 926 (quoting United States v. Ballard,
586 F.2d 1060, 1063 (5th Cir.1978)). We thus conclude, in light
of all the circumstances, that appellant's confessions were
knowingly and voluntarily given.
B. Late Disclosure of the Unrecorded
Confession
In addition to challenging the
voluntariness of his statements to police, appellant claims that
his trial was rendered fundamentally unfair by the late
disclosure of his unrecorded murder confession to Officer Bell.
Pursuant to Alabama rules of criminal discovery, appellant made
a request prior to his first trial for all prosecution
information regarding statements made by him. In response, the
prosecution produced only a transcript of the recorded statement
in which appellant admitted participating in the robbery of the
victim's home but denied killing the victim. Prosecution counsel
had assured appellant that they had produced all statements of
appellant and had offered no other statements at the first trial.
Only when Officer Bell was
called to testify at the second trial did the prosecution
indicate the existence of the murder confession. Appellant's
counsel moved for a mistrial on grounds that admission of the
undisclosed confession constituted undue "surprise." The
prosecutor told the court that he had not intentionally failed
to disclose the confession, but rather had simply overlooked in
his files the notation regarding the conversation between Bell
and appellant. He said that another officer informed him of the
confession that morning. The court granted defense counsel an
opportunity to question Bell, but subsequently denied the motion
for a mistrial and allowed Bell's testimony to be admitted into
evidence.
Appellant claims that because
of the late disclosure of the statement he was unable either to
challenge Bell's testimony at trial or to structure his defense
to counter its effects. He argues that an evidentiary hearing is
necessary so that he can demonstrate that he was thereby
prejudiced by the late disclosure.
Although due process requires
that prosecutors disclose "evidence favorable to the accused,"
Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215
(1963), defendants have "no general constitutional right to
discovery in a criminal case." Weatherford v. Bursey, 429 U.S.
545, 559, 97 S.Ct. 837, 846, 51 L.Ed.2d 30 (1977). Nevertheless,
under certain circumstances the late disclosure even of
inculpatory evidence could render a trial so fundamentally
unfair as to violate due process. See Machin v. Wainwright, 758
F.2d 1431 (11th Cir.1985).
For example, a trial could be
rendered fundamentally unfair if a defendant justifiably relies
on a prosecutor's assurances that certain inculpatory evidence
does not exist and, as a consequence, is unable to effectively
counter that evidence upon its subsequent introduction at trial.
Cf. United States v. Bagley, 473 U.S. 667, 105 S.Ct. 3375, 3384,
87 L.Ed.2d 481 (1985) (discussing possible detrimental effects
to defense resulting from nondisclosure of exculpatory evidence);
Machin, 758 F.2d at 1434 (trial not fundamentally unfair where
defense counsel could have taken steps to lessen effect of late
disclosure).
A trial is not so
fundamentally unfair as to warrant habeas relief, however,
merely because the defense is impaired by improper actions of
the prosecution. Rather, habeas relief is justified only upon a
showing that the impairment to the defense affected the outcome
of the trial. Cf. Bagley, supra; Caldwell v. Mississippi, 472
U.S. 320, 105 S.Ct. 2633, 2646, 86 L.Ed.2d 231 (1985);
Strickland v. Washington, supra.
Here, there is little question
that the unrecorded murder confession played a significant role
in the appellant's conviction. Appellant, however, has not
alleged that the trial outcome would have been different if the
prosecution had disclosed the confession earlier, nor has he
alleged any facts to suggest that an earlier disclosure would
have yielded a different result.
Appellant contends only that
he was unable either to challenge the statement or to structure
his defense with the knowledge that the statement would be part
of the prosecutor's case. He fails to suggest, however, in what
way prior knowledge of the statement could have enabled his
attorney to challenge the testimony more effectively, or how a
different defense could have militated against its effects.
Moreover, appellant's counsel requested and received a recess to
question Officer Bell. After this recess, counsel vehemently
cross-examined Bell concerning his failure to testify at the
first trial. Appellant does not now suggest how Bell's testimony
could have been impeached more effectively.
Indeed, although appellant
argues that the confession had a "devastating effect" on his
defense, he fails to show how advance knowledge that it would be
introduced could have made the evidence any less devastating.
Appellant, consequently, has failed to allege facts which, if
true, would warrant habeas relief, and thus is not entitled to
an evidentiary hearing on this claim. See Townsend v. Sain, 372
U.S. 293, 83 S.Ct. 745, 9 L.Ed.2d 770 (1963).
VI. INEFFECTIVE ASSISTANCE OF COUNSEL
Appellant contends that by
failing to call alibi witnesses to testify in his defense, his
trial counsel was so ineffective as to violate appellant's right
to counsel protected by the sixth and fourteenth amendments.
After conducting an evidentiary hearing on this claim, the
district court concluded that the representation of appellant by
his trial counsel did not fall below an objective standard of
reasonableness, and thus did not meet the threshold requirement
of Strickland v. Washington, 104 S.Ct. at 2064.
We conclude that the record
clearly supports the district court's finding. As the court
observed, appellant's trial counsel would have engaged in "poor
strategy" had they attempted "[t]o pursue the alibi defense when
the petitioner had given a twenty-nine page statement to the
police that was materially inconsistent with the alibi story and
when at least one of the alibi witnesses placed the petitioner
in an automobile which fit the description of the one owned by
the victim." A habeas petitioner who proposes alternative trial
strategy that would itself have proved futile has failed to
demonstrate that the representation at trial fell below an
objective standard of reasonableness. See Strickland, supra.
VII. SENTENCING
Appellant raises several
claims challenging the imposition of the death penalty by the
trial judge. He urges that three aggravating circumstances found
by the trial judge either were absent in this case or are
constitutionally insufficient to warrant the death penalty. He
also claims that during the sentencing hearing the trial judge
improperly considered prior uncounseled convictions, non-convictions,
and nonstatutory aggravating factors. He further contends that
the resulting death sentence is disproportionate to the facts of
this case.
Moreover, he claims that
neither the trial judge nor the Alabama appellate court
sufficiently compared the proportionality of the penalty as
applied in this case with those of similar cases. Based on these
alleged errors in his own sentencing, appellant challenges the
constitutionality of the Alabama capital punishment statute on
grounds that it lacks adequate procedures at sentencing and that
it is generally unreliable. We conclude that appellant cannot
prevail on these claims.
A. Aggravating Circumstances
After the sentencing hearing
in appellant's trial, the jury, by a vote of eleven to one,
recommended a sentence of life in prison. The judge, however,
imposed a sentence of death.
The judge found the presence of four statutory aggravating
circumstances: (1) that the capital offense was committed by a
person under sentence of imprisonment; (2) that the defendant
was previously convicted of a felony involving the use or threat
of violence; (3) that the offense was committed during the
commission of a burglary; and (4) that the offense was
especially heinous, atrocious or cruel compared to other capital
offenses. Appellant now contends that three of these aggravating
circumstances either were not present in this case or are
insufficient to warrant the imposition of the death penalty. We
disagree.
Appellant's assertion that
murder during the course of a burglary is invalid as an
aggravating factor is based upon a misconstruction of Proffitt
v. Wainwright, 685 F.2d 1227, 1268 (11th Cir.1982), cert. denied,
464 U.S. 1002, 104 S.Ct. 508, 78 L.Ed.2d 697 (1983). In Proffitt,
this court held only that the habeas petitioner was entitled to
resentencing after several of the aggravating circumstances
relied upon by the trial court were found invalid as applied in
that case.
Of the four aggravating
circumstances relied upon by the trial court, the only one found
valid by this court was that the defendant had committed a
murder during the course of a burglary. This court concluded,
however, that because the sole purpose of the burglary was to
commit the murder, that circumstance might not have been
sufficiently aggravating, in itself, for the trial court to have
imposed the death penalty. See 685 F.2d at 1268.
In finding that the habeas
petitioner was entitled to resentencing, this court clearly did
not conclude either that the aggravating circumstance of murder
committed during the course of a burglary was constitutionally
invalid or that this circumstance alone could not justify the
imposition of the death penalty.
To the contrary, this court
gave full recognition to the Supreme Court's earlier
determination that this and other aggravating circumstances
contained in the Florida capital punishment statute were
facially sufficient to prevent the imposition of the death
penalty in an arbitrary or capricious manner. Proffitt v.
Florida, 428 U.S. 242, 96 S.Ct. 2960, 49 L.Ed.2d 913 (1976); see
also Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d
859 (1976) (upholding as facially valid Georgia capital
punishment statute also containing aggravating circumstance of
murder committed during the course of a burglary). Moreover,
here, in contrast to Proffitt, appellant burglarized the
victim's house to commit a robbery, which resulted also in a
murder. The act of burglary accordingly constituted a valid
aggravating circumstance.
Appellant's claim that the
crime was not "heinous, atrocious or cruel" similarly is without
foundation. The victim was bound and gagged prior to being both
stabbed and shot. Bruises on the victim's body indicated that
she otherwise had been abused. The evident physical and mental
torture is sufficient for the trial court validly to have
concluded that the heinousness of the murder was an aggravating
circumstance. See, e.g., Francois v. Wainwright, 741 F.2d 1275,
1286-87 (11th Cir.1984) (heinousness finding valid where victims
bound and gagged).
Moreover, in view of our
determination that the facts of this case support a
constitutionally valid finding of heinousness as an aggravating
factor, we reject appellant's contention that "heinousness" is
an unconstitutionally vague standard. Appellant's conclusory
assertion is unsupported by any allegation of fact beyond the
circumstances of this particular case, and thus fails to state a
claim for which habeas relief can be granted.
We also reject appellant's
challenge to the aggravating circumstance of being under
sentence of imprisonment at the time of the capital offense. He
contends that this circumstance is insufficient to support a
sentence of death because he in fact was on parole when the
murder was committed. Although the Supreme Court has
characterized the fact of being out on parole as a "relatively
weak aggravating circumstance," Barclay v. Florida, 463 U.S.
939, 955, 103 S.Ct. 3418, 3427, 77 L.Ed.2d 1134 (1983) (plurality
opinion), we need not consider in this case whether the
Constitution would permit an individual to qualify for the death
penalty solely because of the circumstance of being on parole
during the commission of a capital crime. The trial court here
found at least two other aggravating circumstances
constitutionally sufficient to place appellant within the "narrow
class of persons eligible for the death penalty." Zant v.
Stephens, 462 U.S. 862, 877, 103 S.Ct. 2733, 2742, 77 L.Ed.2d
235 (1983).
In determining whether the
death penalty was an appropriate sentence, the trial court was
not forbidden by the Constitution from considering that
appellant was on parole when the murder was committed. See id.
at 887-88, 103 S.Ct. at 2746-47. Consequently, the sentence is
not invalid merely because the court considered the factor of
parole as a statutory aggravating circumstance. Id.
We reject for similar reasons
the challenge to the trial court's considerations of appellant's
uncounseled juvenile convictions, non-convictions, and other
nonstatutory aggravating factors. Both the Alabama capital
punishment statute and the United States Constitution permit
sentencing judges to consider a defendant's prior criminal
record and other nonstatutory aggravating factors in deciding
whether to impose the death penalty. Ala.Code Secs. 13A-5-45(d),
-47(a); Stephens, 462 U.S. at 887-88, 103 S.Ct. at 2746-47.
Appellant contends, however, that United States v. Tucker, 404
U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972), prohibits a
sentencing judge from considering uncounseled convictions.
Thus, he argues, because
several of his juvenile convictions were uncounseled, his death
sentence is invalid. We need not decide whether appellant's
construction of Tucker is correct, for it is clear that the
counseled convictions on appellant's criminal record were
sufficient to render harmless any possible invalid consideration
of the uncounseled convictions. Indeed, one of the four
statutory aggravating factors found by the court--against no
statutory mitigating circumstances--was that appellant
previously had been convicted of a crime involving violence or
the threat of violence.
B. Proportionality Review
Appellant raises two claims
challenging the proportionality of the death penalty as applied
to the crime for which he was convicted. One claim, which
apparently seeks to have a federal habeas court conduct a de
novo proportionality review, is precluded by Moore v. Balkcom,
716 F.2d 1511, 1518 (11th Cir.1983), cert. denied, 465 U.S.
1084, 104 S.Ct. 1456, 79 L.Ed.2d 773 (1984), and Tucker v. Zant,
724 F.2d 882, 895 (11th Cir.1984), rev'd in part on other
grounds on rehearing sub nom. Tucker v. Kemp, 762 F.2d 1480
(11th Cir.) (en banc ), vacated, --- U.S. ----, 106 S.Ct. 517,
88 L.Ed.2d 452 (1985), on remand, 802 F.2d 1293 (11th Cir.1986)
(en banc ), cert. denied, --- U.S. ----, 107 S.Ct. 1359, 94 L.Ed.2d
529 (1987). Furthermore, we agree with the district court that
the application of the death penalty under the facts of this
case does not "shock the conscience." See, e.g., Tucker v. Zant,
724 F.2d at 895.
We also reject appellant's
claim that the trial court and the Alabama appellate courts
violated his constitutional rights by not conducting a detailed
determination of the proportionality and appropriateness of his
death sentence in comparison with other capital murders. The
Constitution does not require a proportionality review. Pulley
v. Harris, 465 U.S. 37, 104 S.Ct. 871, 79 L.Ed.2d 29 (1984).
And we refuse to mandate as a
matter of federal constitutional law that where, as here, state
law requires such review, courts must make an explicit, detailed
account of their comparisons. Based on their own past experience
in reviewing capital punishment cases, state appellate courts
"can rationally distinguish between those individuals for whom
the death penalty is an appropriate sanction and those for whom
it is not," Spaziano v. Florida, 468 U.S. 447, 104 S.Ct. 3154,
3163, 82 L.Ed.2d 340 (1984), without listing in their opinions
the facts that did or did not justify the imposition of the
death penalty in prior cases.
C. The Alabama Capital Punishment Statute
Having determined that the
Alabama capital punishment statute was constitutionally applied
in appellant's case, we reject appellant's conclusory facial
attacks on the statute. His contention that the statute lacks
standards for determining the burdens of proof and persuasion in
the sentencing phase is refuted by the language of the statute
itself. In support of this claim, appellant asserts only that
the statute permits the court to consider a pre-sentence report
but does not permit the defendant either to rebut the
information in the report or to present further mitigating
circumstances to offset the information.
The statute, however,
expressly provides that the pre-sentence report be made
available to the defendant and that the defendant be permitted
to "respond to it and to present evidence to the court about any
part of the report which is the subject of factual dispute."
Ala.Code Sec. 13A-5-47(b); see also Gardner v. Florida, 430 U.S.
349, 97 S.Ct. 1197, 31 L.Ed.2d 393 (1977) (Constitution requires
that capital defendants be allowed to respond to all evidence
used in sentencing determination).
In the absence of any
allegation that appellant attempted to respond to information in
the pre-sentence report but was denied the opportunity, we
decline to declare the statute's sentencing procedure facially
invalid. Likewise, in view of appellant's conclusory and
nonspecific attack on the general reliability of the Alabama
capital punishment statute, we conclude that this claim was
properly dismissed by the district court.
VIII. OTHER CLAIMS
Appellant's remaining claims
also are without merit. His assertion that the declaration of a
mistrial in his first trial violated his right against double
jeopardy is unfounded. A "trial judge's belief that the jury is
unable to reach a verdict" is a "classic basis for a proper
mistrial." Arizona v. Washington, 434 U.S. 497, 509, 98 S.Ct.
824, 833, 54 L.Ed.2d 717 (1978). Because the trial court is in
the best position to determine whether the jury will be able to
reach a just verdict, the decision to declare a mistrial in such
event is accorded great deference. Id. at 510 & n. 28, 98 S.Ct.
at 832 & n. 28.
Where, as here, the jury twice
returned to tell the trial court that it could not reach a
verdict, the court did not abuse its discretion by declaring a
mistrial, even though the jury had deliberated only three hours.
See id. This is especially so in light of the jury foreman's
inadvertent disclosure that only one juror was causing the
deadlock. Under such conditions, there arose a "significant risk
that a verdict may result from pressures inherent in the
situation rather than the considered judgment of all the jurors."
Id. at 509, 98 S.Ct. at 832; see Holt v. Wyrick, 649 F.2d 543
(8th Cir.1981), cert. denied, 454 U.S. 1143, 102 S.Ct. 1002, 71
L.Ed.2d 295 (1982).
Similarly unfounded is
appellant's claim of unconstitutional prosecutorial misconduct.
Although calling a defendant "scum" during the course of a
closing argument might be a breach of propriety, the statement
did not " 'so infect[ ] the trial with unfairness as to make the
resulting conviction a denial of due process.' " Darden v.
Wainwright, --- U.S. ----, 106 S.Ct. 2464, 2472, 91 L.Ed.2d 144
(1986) (quoting Donnelly v. DeChristoforo, 416 U.S. 637, 94 S.Ct.
1868, 40 L.Ed.2d 431 (1974)).
Finally, appellant's claim
that electrocution as a method of execution is cruel and unusual
is precluded by Johnson v. Kemp, 781 F.2d 1570 (11th Cir.1985) (per
curiam), and his claim asserting that the Alabama courts have
unconstitutionally usurped legislative authority is frivolous.
For the foregoing reasons, the
judgment of the district court denying habeas relief is AFFIRMED.
Although I agree that our
circuit precedent permits the majority to entertain the merits
of petitioner's claims, I write to object to our decisional law
that permits the majority to entertain a district court order
that does not dispose of all of the petitioner's claims. The
district court never ruled on one of petitioner's claims. Ante
at 1142 n. 7. The trial court thus erroneously entered a "final
judgment," which, by definition, purported to terminate the
litigation in full. In my view, Supreme Court precedent, see
Andrews v. United States, 373 U.S. 334, 340, 83 S.Ct. 1236,
1240, 10 L.Ed.2d 383 (1963); Collins v. Miller, 252 U.S. 364,
365, 40 S.Ct. 347, 347, 64 L.Ed. 616 (1920), renders a court of
appeals powerless to review an order denying a writ of habeas
corpus that does not dispose of all the claims that the
petitioner presented. See Blake v. Kemp, 758 F.2d 523, 535-43
(11th Cir.) (Tjoflat, J., dissenting), cert. denied, --- U.S.
----, 106 S.Ct. 374, 88 L.Ed.2d 367 (1985). Being bound, however,
to follow our circuit precedent, I reach the merits of this
appeal and concur in the majority's disposition.
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