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John Hardy ROSE
Classification: Murderer
Characteristics: Argument
Number of victims: 1
Date of murder:
January 3,
1991
Date
of arrest: January 15, 1991
Date of birth: January 26,
1958
Victim profile: Patricia Stewart
(female, 24)
Method of murder: Stabbing
with knife
Location: Haywood County, North Carolina, USA
Status:
Executed
by lethal injection in North Carolina on November 30,
2001
Summary:
After receiving a report that Patricia Stewart was missing and
finding small drops of blood in her apartment, the police conducted
several interviews with Rose, who lived in a nearby apartment.
On January 13, 1991, the State Bureau of Investigation (SBI)
performed a consent search of vehicles owned by Rose and his sister,
recovering a pair of numchucks, a tire tool, jumper cables, a black
sleeveless jacket, and a thermos, all of which tested positive for
blood.
Bloodstains were found that were consistent with Patricia's
blood type and inconsistent with Rose's.
On January 15, agents spoke again with Rose, this time in the
presence of his mother. Rose's mother told Rose that he needed to
reveal any information he had regarding Patricia's disappearance.
Rose informed the agents that her body was located at his
grandmother's farm. A detailed confession followed.
ProDeathPenalty.com
John Rose, 43, was sentenced to death in Haywood
County on May 12, 1992 for the murder of Patricia Stewart.
After receiving a report that Patricia Stewart
was missing and finding small drops of blood in and around her
apartment, the Graham County, North Carolina, police department
conducted several interviews with Rose, who lived with his sister
and her boyfriend in the apartment above Patricia's.
On January 13, 1991, the State Bureau of
Investigation (SBI) performed a consent search of a blue Pontiac
owned by Rose and a yellow Ford owned by his sister. In the two cars,
investigators found a pair of numchucks, a tire tool, jumper cables,
a black sleeveless jacket, and a thermos, all of which tested
positive for blood.
The thermos and the trunk of the Ford contained
bloodstains that were consistent with Patricia's blood type and
inconsistent with Rose's.
On January 14, SBI agents met with Rose to
discuss the results of the searches of the two automobiles. Rose
told them that he did not want to discuss Patricia's disappearance "because
the situation surrounding it was too bad to talk about, and he was
concerned about what his family would think of him."
Rose told the
officers, however, that "the disposition of Patricia Stewart was so
bad" that they would not be able to find any of her remains.
On January 15, agents spoke again with Rose, this
time in the presence of his mother. Rose's mother told Rose that he
needed to reveal any information he had regarding Patricia's
disappearance.
Rose informed the agents that her body was located at
his grandmother's farm. Agents radioed this information to officers
searching for the victim's body, who in turn informed the agents
that the body had already been uncovered.
Rose then was arrested.
Rose waived his rights and gave an additional statement in which he
claimed he had been involved in a relationship with Patricia, which
she had been keeping secret.
According to Rose's statement, he was in
Patricia's apartment after midnight on Wednesday, January 2. While
he was there, a friend came to visit Patricia, and Patricia asked
Rose to leave and come back later, which he did. Rose smoked
marijuana and drank a quart of whiskey before going to Patricia's
apartment.
There, Rose claims that he told Patricia that he
was going back to his girlfriend in Alabama; Patricia retorted that
she would have him arrested for rape if he tried to leave her. In
response to this threat, Rose said that he "just went crazy,"
stabbing, beating, and choking Patricia to death.
Rose then wrapped Patricia's body in her bed
linen and put it in the trunk of his Pontiac, but the car would not
start. Rose stated that he then went back inside and tried to clean
up, leaving the body in the trunk. He took the knife that he used to
kill Patricia to his apartment, cleaned it, and placed it in a box
in his bedroom.
The next evening, Rose borrowed his sister's Ford
automobile and transferred the body to the trunk of the Ford. He
drove the Ford to his grandmother's farm, took the body behind the
house, used his grandmother's hoe to dig a shallow grave, poured
gasoline on the body, set it afire, and walked away. When the fire
went out, Rose returned and covered the body with rocks, leaves, and
tree branches.
Rose's testimony during the guilt phase of the
trial was similar to his confession, with a few deviations. Rose
testified that after he told Patricia he was going to Alabama,
Patricia reached over and picked up a pocket knife that she had
lying on her nightstand beside her bed.
Rose claimed that Patricia
shook the knife and said, "You ain't going nowhere." Rose testified
that he jumped up and hit Patricia arm, causing the knife to hit her
in the head, and immediately jumped on top of her.
Rose testified that he then "heard something pop,
backed up and saw blood coming out of Patricia's head." Rose
testified that "he did not remember choking Patricia that morning
and that he did not intend to harm her and did not think anything
like that would happen."
A medical examiner testified that Rose
stabbed Patricia five times, with four knife wounds to her body and
one knife wound to her head that was inflicted with enough force to
pierce her skull.
UPDATE:
The state executed John Hardy Rose, 43,
early today for the 1991 murder of a young woman who was his
neighbor in the Graham County seat of Robbinsville. Gov. Mike Easley
refused to grant clemency despite an appeal last week from Pope John
Paul II.
Rose died at 2:18 a.m. from a lethal injection administered
in the death chamber at Central Prison. Among the witnesses were his
mother and 2 sisters plus the mother, 2 aunts and sister of Rose's
victim, Patricia Stewart.
Rose's court appeals were exhausted 2
months ago, and he directed his lawyer not to pursue clemency.
Rose's family, from Robbinsville and Bryson City, spent Thursday
with him at the prison. This week, Stewart's family said she was
rebuilding her life after a divorce and "wanted to prove to the
world that she could live by herself," said her aunt, Lee Vonda
Riddle.
Upon his mother's urging that he confess, Rose led police to
Stewart's body, which he had set on fire before he buried it in a
shallow grave on a mountain. Stewart's family, also in Robbinsville,
drove to Raleigh on Monday to speak with Easley at Rose's clemency
hearing Tuesday.
They said they considered the death penalty a just
punishment for Rose, but they expressed compassion for his family.
North Carolina: John Hardy Rose Executed Despite Appeal From Pope John Paul II
News & Observer
November 30, 2001
The state executed John Hardy Rose, 43, early
today for the 1991 murder of a young woman who was his neighbor in
the Graham County seat of Robbinsville. Gov. Mike Easley refused to
grant clemency despite an appeal last week from Pope John Paul II.
Rose died at 2:18 a.m. from a lethal injection administered in the
death chamber at Central Prison. Among the witnesses were his mother
and 2 sisters plus the mother, 2 aunts and sister of Rose's victim,
Patricia Stewart.
Rose's court appeals were exhausted 2 months ago,
and he directed his lawyer not to pursue clemency. Rose's family,
from Robbinsville and Bryson City, spent Thursday with him at the
prison.
As regularly occurs on evenings of executions, a group of
people opposed to capital punishment marched from a local church to
the gates of the massive prison on Western Boulevard for a peaceful
candlelit protest.
Rose received the death penalty for killing
Stewart, 24, on Jan. 3, 1991, in her Robbinsville apartment, which
was directly below the one in which Rose was living. This week,
Stewart's family said she was rebuilding her life after a divorce
and "wanted to prove to the world that she could live by herself,"
said her aunt, Lee Vonda Riddle.
Eloise Pace visited her son this
week for the 3rd time since he was sent to death row, and she said
he was at peace with his fate. In his 10 years at Central Prison,
she said, her son repeatedly had tried to write to Stewart's family
of his remorse, but he could not put his feelings on paper. "Then he
finally prayed about it, and the words just come to him," Pace said.
Pope John Paul II made his appeal to Easley, a
Roman Catholic, last week. It was the 1st time the pontiff had
spoken up in a North Carolina case, although he has asked for mercy
for death-row inmates elsewhere. Rose's upbringing was poverty-stricken
and brutal.
His alcoholic father beat his mother routinely and
forced an 11-year-old Rose to have sex with his mistresses. As an
adult, Rose married and had 3 sons, but he took up a drug and
alcohol habit and served a prison sentence in Mississippi for
attempted rape. In his court appeals, Rose argued that he had been
badly defended at his trial.
One lawyer was fresh out of law school,
and the other had been retired for several years after a career in
the district attorney's office. Neither learned that a doctor had
diagnosed Rose with severe mental illness while he was imprisoned in
Mississippi.
Rose becomes the 5th condemned inmate to be put
to death in North Carolina this year and the 21st overall since the
state resumed capital punishment in 1984. Rose becomes the 62nd
condemned inmate to be put to death this year in the USA and the
745th overall since America resumed executions on January 17, 1977.
National Coalition to Abolish
the Death Penalty
John Hardy Rose - Scheduled Execution Date and
Time: 11/30/01 2:00 AM EDT
John Hardy Rose is scheduled to be executed in
North Carolina on Nov. 30, 2001. His execution would be the 5th in
North Carolina this year and the 21st since reinstatement.
Rose was convicted of murdering Patricia Stewart
in 1991. At the time of the investigation, he waived his Miranda
rights and admitted to beating and murdering Ms. Stewart. Rose’s
appeals have focused on an investigator’s promise that he would
avoid the death penalty if he confessed to the crime.
While a
federal district judge agreed with this claim, it was overturned by
the conservative, Richmond-based Fourth Circuit Court of Appeals.
The appeals court also refused to consider Rose’s claim of economic
discrimination in the imposition of the death penalty. This claim
was not addressed by the federal court because of a procedural bar
against admitting evidence not raised in state courts.
During sentencing, many witnesses testified to
Rose’s troubled upbringing: a physically abusive, alcoholic father
and his record as an otherwise model citizen. A crime committed in
the heat of the moment and under the influence of alcohol and drugs
is deserving of a long prison sentence, but not the death penalty.
Let the State of North Carolina know that you support it’s growing
abolition movement and ask the Governor to institute the moratorium
that 14 cities in his state have voted in favor of.
Office of the North Carolina
Apellate Defender
NO CLEMENCY APPEAL FOR DEATH ROW INMATE
RALEIGH, NC (November 27, 2001) -- In the first
case in which the Pope has asked a North Carolina Governor to spare
the life of a condemned inmate, Governor Mike Easley - who is
Catholic - will not be hearing from informed legal advocates on
behalf on that inmate.
Charlotte attorney Michael Minsker represents
John Hardy Rose, who is scheduled to be executed early Friday
morning. Minsker will not be presenting a case for clemency on
behalf of his client.
Attorneys in the Office of the Appellate Defender
and the Center for Death Penalty Litigation, upon learning yesterday
that Minsker would not be asking for clemency, asked Governor Easley
for the opportunity to present a clemency case, and asked for
sufficient time to do so.
Until yesterday, they had been told that
Minsker would, in fact, be asking for clemency from the Governor. "On
the basis of a superficial review, we've learned that as a child
John Hardy Rose was forced to have sex with his father's mistresses,
and that he suffers from mental illness," said Appellate Defender
Staples Hughes. "This is a case that cries out for closer
examination and clemency consideration."
Governor Easley refused to give the lawyers time
to make a competent presentation. "The Governors in North Carolina
have a history of hearing from advocates for clemency," said Hughes.
"For the first time, the Governor is saying that he will not hear
from anyone with knowledge of the case. He has said 'no' to a
temporary stay, and declined to give us adequate time to prepare a
clemency presentation."
In 1999, death row inmate Wendell Flowers'
attorneys chose not to present a clemency case on Flowers' behalf.
The attorneys informed the Office of the Appellate Defender of their
decision well in advance of Flowers' scheduled execution.
Governor
Hunt allowed Appellate Defender Tye Hunter to make a clemency
presentation, even though Hunter was not Flowers' attorney. Hunter
spent weeks preparing his presentation. Governor Hunt reviewed the
case and ultimately commuted Flowers' sentence to life without
parole.
People of Faith Against the Death Penalty has
been allotted only ten minutes in which to make their plea for mercy
to Governor Easley. "We are disturbed that Governor Easley is not
giving this grave life and death matter the full attention it
deserves," said PFADP Director, Steve Dear.
Father David McBriar,
the Durham priest who wrote to the Pope about Rose's case, will
attempt to relate the power of the Pope's message in that brief
meeting today. Reverend Robert Seymour of Chapel Hill will also join
the PFADP delegation.
North Carolina Death Row Inmate Executed
By
John Zawadzinski - Holy Name Province Today
RALEIGH, N.C., Despite pleas from Pope John Paul
II and David McBriar, North Carolina Gov. Mike Easley decided
against granting clemency to a death row inmate found guilty of
murder.
John Hardy Rose was put to death by lethal
injection at 2 a.m. on Nov. 30 at Central Prison here for the 1991
stabbing death of Patricia Stewart, 24. Rose, 43, of Graham County,
became the fifth person to be executed in North Carolina this year -
the highest number in the state since resuming executions 17 years
ago.
Prior to Rose’s execution, those opposing the
death penalty gathered at Sacred Heart Cathedral here, before
participating in a candlelight procession to Central Prison, the
oldest correctional facility in the state. "Governor Easley is
Catholic, but he supports the death penalty, something our pope and
bishops say is immoral," said David, pastor of Immaculate Conception
Church in Durham. "Easley supports the death penalty and I think
that’s wrong."
Last month, David wrote a letter to the pope on
behalf of Immaculate Conception’s Social Concerns Committee asking
him to intervene in Rose’s execution because it is "contrary to
statements (the pope made) about the value of life, church teaching
and generally accepted worldwide moral values."
IN HIS LETTER, David also informed the pontiff
that within the past 10 months, the state, under Gov. Easley, had
four men executed in Central Prison, located a few miles from the
governor’s mansion. "The pace of executions in North Carolina has
quickened," David wrote. "We beseech you to write Governor Easley to
try to soften his heart, to choose life and ask him to follow the
Catholic teaching and your words supporting life from concep-tion to
natural death."
A short time after receiving David’s letter,
Archbishop Gabriel Montalvo of the Apostolic Nuncio to the United
States sent a six-paragraph letter to Gov. Easley on behalf of the
pope. The request for clemency in a specific case was the first from
any pope to a North Carolina governor and was not intended to ignore
or condone Rose’s crimes or deny the sufferings caused by them.
Instead, it was an appeal for life.
"COMMITTED TO UPHOLDING the sacredness and
dignity of each human life, our Holy Father prays that the life of
Mr. Rose may be saved through your compassion and dig-nity,"
Archbishop Montalvo wrote. "He trusts in your authority to have a
life spared by commuting this sentence with a gesture of mercy."
Although Rose exhausted all his appeals two months ago, Gov. Easley
held a clemency hearing on Nov. 27.
During the meeting, David,
Stephen Dear, executive director of North Carolina-based People of
Faith Against the Death Penalty and Rev. Robert Seymour, pastor
emeritus of Binkley Memorial Baptist Church in Chapel Hill, spoke on
Rose’s behalf.
Stewart’s family was also in attendance during
the hearing. They said they considered the death penalty a just
punishment for Rose, but also expressed compassion for his family.
Despite being discouraged by Gov. Easley’s decision, David vowed to
continue to fight against the death penalty. "We’re not going to
fold up our tent because of this," he said. "We have been working
hard to overturn the death penalty in this state and the country and
the people who oppose the death penalty won’t give up and I won’t
give up either."
North Carolina Inmate Executed for 1991 Slaying,
Despite Pleas From Catholic Church
By Estes Thompson - The-burning-question.com
Associated Press - Nov 30, 2001
RALEIGH, N.C. (AP) - A man whose death sentence
prompted a call for mercy from Pope John Paul II was executed early
Friday for killing his neighbor and burying her body on his
grandmother's farm. John Hardy Rose, 43, was sentenced to die by
injection for his confessed killing of Patricia Stewart on Jan. 3,
1991.
He refused to ask Gov. Mike Easley for clemency,
but the Pope and local church leaders asked that the death sentence
be changed to life in prison. Rose was pronounced dead at 2:18 a.m.
in the Central Prison death chamber.
He was convicted of first-degree murder in the
death of Stewart, who lived below him in his Robbinsville apartment
building. Rose told investigators Stewart was a girlfriend who
threatened to file rape charges if he left her, but the woman's
family and prosecutors said Rose was a stalker.
When Rose's legal appeals were exhausted, he told
his lawyer not to ask Easley for clemency. But the case took a turn
when Pope John Paul II asked Easley - who is a Roman Catholic - to
spare Rose's life via a letter written by the Vatican ambassador to
the United States. On Thursday night, the governor said he saw no
convincing reason to grant clemency for Rose.
Rose was the 10th inmate executed this year. Four
men have been put to death and four executions were stopped by court
appeals. Easley commuted one death sentence.
252 F.3d 676
JohnHardyRose,
Petitioner-appellant, v.
R. C. Lee, Warden, Central Prison, Raleigh, North
Carolina, Respondent-appellee.
JohnHardyRose,
Petitioner-appellee, v.
R. C. Lee, Warden, Central Prison, Raleigh, North
Carolina, Respondent-appellant
UNITED STATES COURT OF APPEALS FOR
THE FOURTH CIRCUIT
Argued: April 5, 2001
Decided: May 24, 2001
Before Williams, Michael, and
Traxler, Circuit Judges.
Affirmed in part and reversed in
part by published opinion. Judge Williams wrote the
opinion, in which Judge Michael and Judge Traxler
joined.
OPINION
Williams, Circuit Judge
A North Carolina
jury convicted John Hardy Rose of capital murder for
the murder of Patricia Stewart. Following a capital
sentencing proceeding, the jury recommended, and the
trial court imposed, a sentence of death. After
exhausting all available state remedies, Rose
petitioned the United States District Court for the
Western District of North Carolina for a writ of
habeas corpus. See 28 U.S.C.A. § 2254 (West Supp.
2000). The district court ordered that the writ be
granted on the ground that the State habeas court
applied the wrong legal standard to Rose's
ineffective assistance of counsel claim. The
remaining allegations in Rose's habeas petition were
dismissed.
Rose seeks a
certificate of appealability granting permission to
appeal the portion of the district court's order
denying Rose's habeas relief. The State cross-appeals
the portion of the district court's judgment in
which the district court granted the writ and
remanded to the State habeas court for its
application of the proper legal standard to Rose's
ineffective assistance of counsel claim.1
For the reasons that follow, we reverse the portion
of the district court's judgment granting the writ,
affirm the district court's entry of summary
judgment in favor of the State as to Rose's claims,
and decline to grant Rose a certificate of
appealability.
I.
A.
After receiving a
report that Patricia Stewart was missing and finding
small drops of blood in and around her apartment,
the Graham County, North Carolina, police department
conducted several interviews with Rose, who lived
with his sister and her boyfriend in the apartment
above Stewart.2
On January 13,
1991, State Bureau of Investigation (SBI) Agent Mark
Nelson performed a consent search of a blue Pontiac
owned by Rose and a yellow Ford owned by his sister.
In the two cars, investigators found a pair of
numchucks, a tire tool, jumper cables, a black
sleeveless jacket, and a thermos, all of which
tested positive for blood. The thermos and the trunk
of the Ford contained bloodstains that were
consistent with Stewart's blood type and
inconsistent with Rose's.
On January 14, SBI
Agent Frye met with Rose to discuss the results of
the searches of the two automobiles. Rose told Frye
that he did not want to discuss Stewart's
disappearance "because the situation surrounding it
was too bad to talk about, and he was concerned
about what his family would think of him." State v.
Rose, 439 S.E.2d 518, 525 (N.C. 1994). Rose told the
officers, however, that "the disposition of Patricia
Stewart was so bad" that they would not be able to
find any of her remains. Id.
On January 15,
agents spoke again with Rose, this time in the
presence of his mother. Rose's mother told Rose that
he needed to reveal any information he had regarding
Stewart's disappearance. Rose informed the agents
that Stewart's body was located at his grandmother's
farm. Agents radioed this information to officers
searching for the victim's body, who in turn
informed the agents that the body had already been
uncovered.
Rose then was
arrested and given Miranda warnings for the first
time. Miranda v. Arizona, 384 U.S. 436 (1966). Rose
waived his Miranda rights and gave an additional
statement in which he said he had been involved in a
relationship with Stewart, which Stewart had been
keeping secret.
According to
Rose's statement, he was in Stewart's apartment
after midnight on Wednesday, January 2. While he was
there, a friend came to visit Stewart, and Stewart
asked Rose to leave and come back later, which he
did. Rose smoked marijuana and drank a quart of
whiskey before going to Stewart's apartment. There,
Rose claims that he told Stewart that he was going
back to his girlfriend in Alabama; Stewart retorted
that she would have him arrested for rape if he
tried to leave her. In response to this threat, Rose
said that he "just went crazy," stabbing, beating,
and choking Stewart to death. Rose, 439 S.E.2d at
525.
Rose then wrapped
Stewart's body in her bed linen and put it in the
trunk of his Pontiac, but the car would not start.
Rose stated that he then went back inside and tried
to clean up, leaving Stewart in the trunk. He took
the knife that he used to kill Stewart to his
apartment, cleaned it, and placed it in a box in his
bedroom.
The next evening,
Rose borrowed his sister's Ford automobile and
transferred the body to the trunk of the Ford. He
drove the Ford to his grandmother's farm, took the
body behind the house, used his grandmother's hoe to
dig a shallow grave, poured gasoline on the body,
set it afire, and walked away. When the fire went
out, Rose returned and covered the body with rocks,
leaves, and tree branches.
Rose's testimony
during the guilt phase of the trial was similar to
his confession, with a few deviations. Rose
testified that after he told Stewart he was going to
Alabama, Stewart reached over and picked up a pocket
knife that she had lying on her nightstand beside
her bed. Rose claimed that Stewart shook the knife
and said,"You ain't going nowhere." Id. at 526.
Rose testified
that he jumped up and hit Stewart's arm, causing the
knife to hit her in the head, and immediately jumped
on top of her. Rose testified that he then "heard
something pop, backed up and saw blood coming out of
Stewart's head." Id. Rose testified that "he did not
remember choking Stewart that morning and that he
did not intend to harm her and did not think
anything like that would happen." Id.
A medical examiner
testified that Rose stabbed Stewart five times, with
four knife wounds to her body and one knife wound to
her head that was inflicted with enough force to
pierce her skull. Id. at 532.
B.
The jury returned
a verdict finding Rose guilty of first-degree murder.
Following the return of the guilty verdict, a
capital sentencing proceeding was held pursuant to
N.C. Gen. Stat.§ 15A-2000 (1999). At sentencing, the
State introduced as aggravating evidence exhibits
related to Rose's conviction in Mississippi for
attempted rape. See Rose, 439 S.E.2d at 526.
As mitigating
evidence, Rose testified about his troubled
childhood and upbringing. See id. He testified that
his father was an alcoholic and was abusive to
Rose's mother and siblings. See id. At the age of
twelve, Rose and his sister were taken to live with
a relative and told that they were going to be given
away. See id.
Rose also
described his military service in the United States
Marine Corps and the Army, from which he received
honorable discharges. See id. Rose's mother and
sisters also testified, verifying Rose's troubled
upbringing. See id. at 527. Sheriff's Department
employees testified that Rose had been a good
prisoner, and Rose's employer testified that he was
a good employee. See id. Based upon a weighing of
these various mitigating and aggravating factors,
the jury recommended, and the trial court imposed, a
sentence of death. See N.C. Gen. Stat. § 15A-2000(b)
(2000).
On May 12, 1992,
Rose appealed to the North Carolina Supreme Court,
which unanimously found no error in Rose's
conviction or death sentence. On June 27, 1994, the
United States Supreme Court denied Rose's petition
for a writ of certiorari. Rose filed a petition for
state habeas corpus relief, which is termed a Motion
for Appropriate Relief ("MAR") in North Carolina.
After holding an evidentiary hearing, the state
habeas court denied Rose's requested relief.
Rose then
petitioned the federal district court for habeas
relief, challenging his conviction and sentence on
numerous grounds. The petition was referred to a
United States Magistrate Judge, who recommended that
the district court dismiss on summary judgment the
majority of Rose's claims but grant the writ with
respect to Rose's ineffective assistance of counsel
claim.
After a de novo
review, the district court agreed with the
magistrate judge's recommendation and issued a writ
of habeas corpus with respect to Rose's ineffective
assistance of counsel claim but dismissed Rose's
habeas petition with respect to Rose's remaining
claims. The district court remanded the ineffective
assistance of counsel claim to the state habeas
court to determine whether Rose can establish his
claim under the governing legal standard set forth
in Strickland v. Washington, 466 U.S. 668 (1984).
Rose seeks to
appeal three issues upon which the district court
entered summary judgment in favor of the State: (1)
whether his confession was illegally obtained; (2)
whether the imposition of the death penalty in North
Carolina unconstitutionally discriminates against
the impoverished; and (3) whether the ex post facto
clause bars the application of N.C. Gen. Stat. §
15A-1419 to his habeas petition. We will address
each of Rose's arguments and then turn to the
State's argument that the district court erred by
remanding the ineffective assistance claim to the
state habeas court for application of the proper
legal standard.3
II.
To be entitled to
a certificate of appealability, Rose must make "a
substantial showing of the denial of a
constitutional right." 28 U.S.C.A. § 2253(c)(2) (West
Supp. 2000). In Slack v. McDaniel, 529 U.S. 473
(2000), the United States Supreme Court clarified §
2253's requirements. To make the required showing, a
petitioner must demonstrate that "reasonable jurists
could debate whether (or, for that matter, agree
that) the petition should have been resolved in a
different manner or that the issues presented were `adequate
to deserve encouragement to proceed further.'" Id.
at 483-84 (quoting Barefoot v. Estelle, 463 U.S.
880, 893 & n.4 (1983)).
A. ROSE'S EX POST
FACTO CLAIM
Rose filed his MAR
on October 4, 1995. On June 21, 1996, the North
Carolina legislature amended N.C. Gen. Stat.§
15A-1419 (1999 & Supp. 2000), which addresses
default of claims on state collateral review. Prior
to this amendment, the procedural bars established
under § 15A-1419 were discretionary. The amendment
makes the procedural bars found therein mandatory
rather than discretionary, unless the petitioner can
establish good cause or that the failure to consider
the claim will result in a fundamental miscarriage
of justice. N.C. Gen. Stat. § 15A-1419(b).4
The State habeas
court applied the amended version of § 15A-1419 to
several of Rose's claims and held the claims
procedurally barred. Rose argues that the
application of § 15A-1419 as amended violates the Ex
Post Facto Clause of the United States Constitution.
U.S. Const. art. 1, § 9, cl. 3. The district court
rejected this claim on the merits. Because the
district court rejected the Ex Post Facto claim on
its merits, Rose must demonstrate that reasonable
jurists would find the district court's assessment
of the constitutional claims debatable or wrong. See
Slack, 529 U.S. at 484.
The Supreme Court
has recognized four categories of Ex Post Facto
criminal laws. Carmell v. Texas, 529 U.S. 513, 552
(2000). A law violates the Ex Post Facto Clause when
it "punishes as a crime an act previously committed,
which was innocent when done; which makes more
burdensome the punishment for a crime, after its
commission; or which deprives one charged with crime
of any defense available according to law at the
time when the act was committed," Collins v.
Youngblood, 497 U.S. 37, 42 (1990) (internal
quotation marks omitted), or "alter[s] the legal
rules of evidence, and receive[s] less, or different,
testimony, than the law required at the time of the
commission of the offence, in order to convict the
offender," Carmell, 529 U.S. at 551 (internal
quotation marks omitted).
Retroactive
application of a procedural law such as § 15A-1419
can violate the Ex Post Facto Clause, but only when
the procedural law falls within one of the above
four categories. See Collins, 497 U.S. at 46
(holding that "by simply labeling a law `procedural,'
a legislature does not thereby immunize it from
scrutiny under the Ex Post Facto Clause."); Carmell,
529 U.S. at 537 (noting that Collins "eliminated a
doctrinal hitch that had developed in our cases,
which purported to define the scope of the Clause
along an axis distinguishing between laws involving
`substantial protections' and those that are merely
`procedural.'").
The amendment to §
15A-1419 making the procedural bars mandatory rather
than discretionary does not alter the definition of
the crime of first degree murder, of which Rose was
convicted, nor does it change his available defenses
to the crime of murder or otherwise increase the
punishment for which he is eligible as a result of
that conviction. Similarly, the amendment does not
alter a legal rule of evidence in a manner that
requires less evidence to support a conviction.
While it is true
that the amendment to the procedural bar provision
worked to Rose's disadvantage, the Supreme Court
explicitly has held that a law does not violate the
Ex Post Facto Clause simply because it "alters the
situation of a party to his disadvantage." Collins,
497 U.S. at 48-49 (emphasis omitted). Instead, the
Supreme Court has emphasized that the Ex Post Facto
Clause only prohibits changes in the law that affect
the "scope of a criminal prohibition after the [unlawful]
act is done." Id. at 49.
The 1996 amendment
to § 15A1419 does not affect the scope of Rose's
criminal offense in any of the ways enumerated by
the Court in Carmell. Accordingly, reasonable
jurists could not disagree with the district court's
determination that the retroactive application of
the 1996 version of § 15A-1419 does not violate the
Ex Post Facto Clause. Therefore, we deny Rose's
request for a certificate of appealability as to
this issue.
B. PROCEDURALLY DEFAULTED CLAIMS
Rose seeks to
appeal the district court's denial of several claims
pursuant to the district court's finding that the
claims were procedurally defaulted. As established
in Slack, to secure a certificate of appealability
on claims that the district court denied pursuant to
procedural grounds, Rose must demonstrate both (1)"that
jurists of reason would find it debatable whether
the petition states a valid claim of the denial of a
constitutional right" and (2)"that jurists of reason
would find it debatable whether the district court
was correct in its procedural ruling." Slack, 529
U.S. at 484. In conducting our analysis under this
two-prong test, we may proceed first"to resolve the
issue whose answer is more apparent from the record
and arguments." Id. at 485.
1. Rose's
Confession
Rose first seeks
to appeal the district court's denial of his claim
that his confession was unconstitutionally compelled
with a promise of life imprisonment and then used to
secure his death sentence. The district court found
that Rose's illegally obtained confession claim was
procedurally defaulted for purposes of federal
habeas review because the State habeas court
determined that it was procedurally barred pursuant
to N.C. Gen. Stat. § 15A-1419(a)(2) (1996).5
To determine whether Rose is entitled to a
certificate of appealability on his confession claim,
we first address "whether jurists of reason would
find it debatable whether the petition states a
valid claim of the denial of a constitutional right."
Slack, 529 U.S. at 484.
Before the State
habeas court, Rose submitted affidavits from his
mother and sister, both dated January 6, 1998,
averring that on January 15, 1991, an agent told
them and Rose directly that "things would go easier
on [Rose] if he told them where the body was."6
(J.A. at 769.)
The State habeas
court noted that the allegations contained in the
affidavits were presented and considered on direct
appeal. As Rose's counsel acknowledged at oral
argument, Rose's claim is not one premised upon an
alleged violation of Miranda v. Arizona, 384 U.S.
436 (1966), but is instead premised upon a promise
having been made in exchange for Rose's confession.
We measure whether
a confession was unconstitutionally coerced by the
totality of the circumstances. See Arizona v.
Fulminante, 499 U.S. 279, 285-86 (1991). At one
time, the Supreme Court had held that a confession
could not constitutionally be obtained by "any
direct or implied promises, however slight, nor by
the exertion of any improper influence." Bram v.
United States, 168 U.S. 532, 542-43 (1897) (internal
quotation marks omitted). As the Court in Fulminante
stated, however, "this passage from Bram... under
current precedent does not state the standard for
determining the voluntariness of a confession."
Fulminante, 499 U.S. at 285.
Thus, the
existence of a promise in connection with a
confession does not render a confession per se
involuntary. See id.; United States v. Braxton, 112
F.3d 777, 780 (4th Cir. 1997) (en banc) ("The mere
existence of threats, violence, implied promises,
improper influence, or other coercive police
activity... does not automatically render a
confession involuntary.").
Here, the
investigating agent's promise that "things would go
easier on Rose" if he confessed did not involve
actual physical violence or "a credible threat of
physical violence." Fulminante, 499 U.S. at 288
(holding that a confession was unconstitutionally
coerced based upon the totality of the circumstances
and placing special emphasis on the fact that the
interrogating agent promised to protect the suspect
from physical violence from other inmates in
exchange for his confession); see also Payne v.
Arkansas, 356 U.S. 560, 564-67 (1958) (holding that
a confession was unconstitutionally coerced because
the interrogating police officer had promised that
if the accused confessed, the officer would protect
the accused from an angry mob outside the jailhouse
door). Nor is there any indication that the
investigating agent's statement "critically impaired"
Rose's "capacity for self determination," Braxton,
112 F.3d at 780 (internal quotation marks omitted),
or that Rose's will "was overborne in such a way as
to render his confession the product of coercion,"
Fulminante, 499 U.S. at 288; cf. Braxton, 112 F.3d
at 782 (noting that "[a]dmonishing a suspect to tell
the truth during an investigatory interview" by
advising him of potential consequences of failing to
tell the truth "does not constitute coercive police
conduct rendering a statement involuntary."). Thus,
we decline to hold that the cryptic promise that "things
would go easier" on Rose if he confessed amounts to
unconstitutional coercion.
Moreover, the
circumstances surrounding the confession are replete
with indicia of voluntariness. As the State court
noted on direct appeal, the evidence shows that Rose
voluntarily agreed to talk with law enforcement
officers at every juncture leading up to his
confession. State v. Rose, 439 S.E.2d 518, 536 (N.C.
1994).
Rose was
repeatedly told he was not under arrest and was free
to leave at any time. See id. At no time was Rose
handcuffed, nor was his freedom of movement
otherwise restrained. See id. Additionally, the
questioning immediately preceeding Rose's confession,
which took place at the apartment where Rose was
staying, occurred in a non-custodial setting. See
Braxton, 112 F.3d at 783 (holding that an
investigatory interview was clearly non-custodial
and that the confession was voluntary when the
interview took place in the suspect's mother's home,
the suspect freely consented to answer the officers'
questions, and the suspect was at liberty to
terminate the discussion at any time).
Accordingly, the
totality of the circumstances does not support a
finding that Rose's confession was obtained in
violation of the Constitution. Because we cannot
conclude that "reasonable jurists" would find the
question of whether Rose has established a valid
constitutional claim "debatable," Slack, 529 U.S. at
484, we deny Rose's request for a certificate of
appealability.7
2. Discrimination
Claim
Rose next seeks to
appeal the district court's denial of Rose's claim
that North Carolina unconstitutionally discriminates
based upon economics in its imposition of the death
penalty. Rose argues that North Carolina imposes the
death penalty only upon poor people, in violation of
the Fifth and Fourteenth Amendments of the United
States Constitution. The district court declined to
address the merits of Rose's economic discrimination
claim because Rose failed to "fairly present" the
issue to the State courts; thus, the district court
held the claim procedurally barred. (J.A. at 18-19.)
In his Reply Brief,
Rose admits that his economic discrimination claim
was not presented to the State courts, although he
did present a racial discrimination claim.8
Because Rose concedes that he did not present his
economic discrimination claim to the North Carolina
courts, we are precluded from addressing the merits
of this claim unless Rose demonstrates cause for his
state-court default and prejudice resulting
therefrom. Edwards v. Carpenter, 529 U.S. 446, 451
(2000).9
On appeal, Rose
argues that he has established sufficient cause to
overcome the procedural default of his claim,
claiming that the facts underlying the economic
discrimination claim were not readily available to
Rose's counsel during the State proceedings.
Initially, we note that the record does not reflect
that Rose presented any argument with respect to
cause before the district court. (J.A. at 19) (stating
that "[n]owhere does Petitioner show cause as to why
he did not raise his economic discrimination claim
in State court"). Thus, Rose's cause argument is
deemed waived for purposes of this appeal. See
Skipper v. French, 130 F.3d 603, 610 (4th Cir. 1997)
(noting the general rule that theories presented for
the first time on appeal will not be considered).
Assuming, however,
that Rose raised his cause argument below, we find
it inadequate to overcome the procedural default. It
is true that a petitioner can establish cause by
showing"that the factual basis for [the] claim was
unavailable to him at the time he filed his state
habeas petition." Breard v. Pruett, 134 F.3d 615,
620 (4th Cir. 1998); see McCleskey v. Zant, 499 U.S.
467, 493-94 (1991). We made clear in Murphy v.
Netherland, 116 F.3d 97 (4th Cir. 1997), however,
that a petitioner cannot establish cause when the
facts underlying the claim were in existence and
were available upon a reasonably diligent search. Id.
at 100.
The statistics
underlying the economic discrimination claim were
available to Rose's counsel upon a reasonably
diligent search.10
Counsel's failure to consider the argument is
insufficient to constitute cause. See Murray v.
Carrier, 477 U.S. 478, 488 (1986) (holding that
cause must turn on "whether the prisoner can show
that some objective factor external to the defense
impeded counsel's efforts to comply with the State's
procedural rule").
No appeal is
warranted when "a plain procedural bar is present
and the district court is correct to invoke it" to
dispose of a claim. Slack, 529 U.S. at 484. Thus, we
deny a certificate of appealability on this issue.
III.
Having determined
that Rose is not entitled to a certificate of
appealability on the issues raised in his appeal, we
next address the State's argument that the district
court erred by granting a writ of habeas corpus with
respect to Rose's ineffective assistance of counsel
claim. The parties agree that the Antiterrorism and
Effective Death Penalty Act of 1996 (AEDPA), Pub. L.
No. 104-132, 110 Stat. 1214, governs our review of
this issue.
Pursuant to that
statute, a federal court may not grant a writ of
habeas corpus with respect to a claim adjudicated on
the merits in a state court proceeding unless the
state court's adjudication: (1) "resulted in a
decision that was contrary to, or involved an
unreasonable application of, clearly established
Federal law, as determined by the Supreme Court of
the United States," 28 U.S.C.A § 2254(d)(1) (West
Supp. 2000); or (2) "resulted in a decision that was
based on an unreasonable determination of the facts
in light of the evidence presented in the State
court proceeding." Id. at § 2254(d)(2).
The district court
held that the State habeas court rendered its
decision in a manner contrary to clearly established
law when it denied Rose's ineffective assistance of
counsel claim pursuant to the wrong burden of proof.
Although the
district court noted that Rose's ineffective
assistance of counsel claim is meritless, the
district court held that it could not independently
reassess Rose's ineffective assistance of counsel
claim according to the proper standard; instead, the
district court "remanded"11
the claim to the State habeas court. While we agree
that the State habeas court applied the wrong burden
of proof to Rose's ineffective assistance claim, we
disagree with the district court's conclusion that a
federal court lacks authority to conduct an
independent review of the claim.
A.
Initially, we note
that "clearly established" Supreme Court precedent
governs Rose's ineffective assistance of counsel
claim. Williams v. Taylor, 529 U.S. 362, 390 (2000)
(Terry Williams) (holding that an ineffective
assistance of counsel claim is clearly established
Supreme Court precedent within the meaning of §
2254(d)(1)). The Sixth Amendment, as incorporated by
the Fourteenth Amendment, entitles a criminal
defendant to effective assistance of counsel on
direct appeal. See Evitts v. Lucey, 469 U.S. 387,
396 (1985).
In Strickland v.
Washington, 466 U.S. 668 (1984), the United States
Supreme Court held that an ineffective assistance of
counsel claim has two components:First, the
defendant must show that counsel's performance was
deficient. This requires showing that counsel made
errors so serious that counsel was not functioning
as the "counsel" guaranteed the defendant by the
Sixth Amend ment. Second, the defendant must show
that the deficient performance prejudiced the
defense. This requires showing that counsel's errors
were so serious as to deprive the defen dant of a
fair trial, a trial whose result is reliable.
Id. at 687. To
establish ineffectiveness, a"defendant must show
that counsel's representation fell below an
objective standard of reasonableness." Id. at 688.
To establish prejudice he "must show that there is a
reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding
would have been different. A reasonable probability
is a probability sufficient to undermine confidence
in the outcome." Id. at 694.
B.
We next address
whether the State habeas court's ruling was "contrary
to" the Strickland test. Williams, 529 U.S. at 412.
As the State concedes, the State habeas court's
adjudication of Rose's ineffective assistance of
counsel claim was "contrary to" the Strickland test
because the State court applied the wrong burden of
proof with respect to the prejudice prong. In its
Memorandum Order and Final Opinion, the State habeas
court denied Rose's ineffective assistance of
counsel claim because the "defendant... failed to
carry his burden of proof to show [that the result
of the proceeding would have been different] by the
preponderance of the evidence." (J.A. at 285.) In
Williams, Justice O'Connor used as an example this
precise error to define the "contrary to" prong:
If a state court
were to reject a prisoner's claim of ineffec tive
assistance of counsel on the grounds that the
prisoner had not established by a preponderance of
the evidence that the result of his criminal
proceeding would have been differ ent, that decision
would be "diametrically different," "opposite in
character or nature," and "mutually opposed" to our
clearly established precedent because we held in
Strickland that the prisoner need only demonstrate a
"reasonable proba bility that... the result of the
proceeding would have been different."
Williams, 529 U.S.
at 405-06. Thus, we agree with the district court
that the decision-making process by which the State
habeas court adjudicated Rose's ineffective
assistance of counsel claim is contrary to clearly
established Supreme Court law.
C.
Upon recognizing
that the State habeas court's adjudication of Rose's
ineffective assistance claim was contrary to clearly
established law, the district court held that it
lacked the authority to conduct a de novo review of
Rose's ineffective assistance claim using the proper
legal standard under Strickland. In coming to this
conclusion, the district court relied upon the
magistrate judge's recommendation that Williams bars
harmless error review of ineffective assistance
claims.
Of course, we
agree with the district court that, if Rose was
denied the effective assistance of counsel, the
error would not be subject to harmless error review.
Williams, 529 U.S. at 375 (reiterating the
wellsettled rule that "[t]he deprivation of the
right to the effective assistance of counsel" is a
structural error to which harmless error review does
not apply). We do not interpret Williams, however,
as barring our de novo review of whether Rose was,
in fact, denied effective assistance of counsel. To
the contrary, when we find that a state court
decision is contrary to clearly established federal
law, we interpret Williams as reaffirming the
federal habeas corpus courts' obligation to review
state court judgments independently to determine
whether issuance of a writ is warranted.
In Williams, as in
this case, the state court erred in its framing of
the applicable legal standard under the controlling
Supreme Court precedent of Strickland. See Williams,
529 U.S. at 391. After concluding that the state
court applied the incorrect standard, each of the
Court's three separate opinions embarked upon a de
novo review of the underlying ineffective assistance
of counsel claim. See id. at 395-399 (opinion of
Stevens, J.); id. at 415 (opinion of O'Connor, J.);
id. at 418-19 (Rehnquist, J., concurring in part and
dissenting in part). Thus, rather than call into
doubt our authority to conduct a de novo review of
Rose's ineffective assistance of counsel claim,
Williams conclusively affirms our authority to
conduct such a review.
Our authority and
obligation to conduct an independent review of the
substantive constitutional claim is firmly rooted in
the underlying purpose of the writ of habeas corpus,
which is to ensure that prisoners are not held in
custody "in violation of the Constitution or laws or
treaties of the United States." 28 U.S.C.A. §
2254(a).
As the Williams
Court noted, the writ of habeas corpus is not
designed to correct all constitutional errors, much
less all errors of any kind. See Williams, 529 U.S.
at 375 ("It is, of course, well settled that the
fact that constitutional error occurred in the
proceedings that led to a state-court conviction may
not alone be sufficient reason for concluding that a
prisoner is entitled to the remedy of habeas."); see
also id. at 386 (stating that a federal court must "attend
with the utmost care to statecourt decisions,
including all of the reasons supporting their
decisions, before concluding that those proceedings
were infected by constitutional error sufficiently
serious to warrant the issuance of the writ.") (opinion
of Stevens, J.) (emphasis added). Additionally, in
analyzing § 2254, we must be cognizant of§ 2254's
incorporation of concerns for comity, federalism,
and finality. See Williams v. Taylor, 529 U.S. 420,
436 (2000) (Michael Williams) ("There is no doubt
Congress intended AEDPA to advance these [comity,
finality, and federalism] doctrines.").
As Rose concedes,
the facts related to his ineffective assistance of
counsel claim have been fully developed by the State
habeas court pursuant to a four-day evidentiary
hearing, during which five witnesses testified and
several affidavits were introduced, and the State
habeas court resolved all credibility determinations
related to Rose's ineffective assistance of counsel
claim.
Despite Rose's
concession, he contends that issuance of a
conditional writ is warranted because the State
court is better suited to apply the Strickland
standard to his claim, insofar as the application of
the standard is a fact-intensive inquiry that
depends on the subtleties between varying burdens of
proof.
The evidence
introduced before the State habeas court, as well as
the court's factual findings and conclusions
therefrom, are fully set forth in that court's
Memorandum Order and Final Opinion and, therefore,
are easily accessible to this Court on review, as is
the full record of Rose's prior state proceedings.
Inasmuch as the only task remaining is application
of a legal standard crafted pursuant to federal law
to facts that are readily available to this Court,
we consider ourselves well-equipped to evaluate the
merits of Rose's ineffective assistance claim.
If, after applying
the Strickland standard to the facts developed by
the State habeas court, we determine that Rose
actually received effective assistance of counsel,
Rose will have failed to demonstrate that
constitutional error infected his trial or
conviction in any way. Neither Williams nor §
2254(d)(1) requires issuance of a writ before
determining the critical question of whether a
prisoner is being held in violation of the
Constitution or laws of the United States.
Thus, the proper
interpretation of the role of § 2254(d)(1) in habeas
corpus review is that it establishes a threshold by
which we determine whether we are authorized to
issue a writ, but it does not compel the issuance of
a writ once the standard set forth therein has been
satisfied. See id. at 412 (deeming § 2254(d)(1) a "new
constraint" on federal courts' power to issue writs
and stating that a federal court "may" issue the
writ upon determining that the standards found in §
2254(d)(1) are satisfied); see also Weeks v.
Angelone, 528 U.S. 225, 237 (2000) (referring to the
issue under § 2254(d)(1) as whether habeas relief is
"preclude[d]" or "prohibit[ed]," rather than whether
such relief is mandated).
Rather, §
2254(d)(1) must be read in conjunction with the
purpose of the writ, as outlined in § 2254(a), which
is to protect a prisoner from being held in
violation of federal law. Accordingly, following the
Supreme Court's approach in Williams, we will
conduct a de novo review of Rose's claim to
determine whether Rose is being held in custody in
violation of his constitutional right to effective
assistance of counsel, using the extensive facts
that the State habeas court has developed.
IV.
Turning to the
merits of Rose's ineffective assistance of counsel
claim, Rose contends that he was denied the
effective assistance of counsel at his death penalty
proceeding because his attorneys did not adequately
investigate the events surrounding his prior violent
felony attempted rape conviction that was used by
the State as an aggravating factor. Had his counsel
investigated the events surrounding the attempted
rape conviction, Rose argues, counsel would have
discovered significant mitigating evidence relating
to Rose's mental health.
Specifically, Rose
argues that his counsel should have requested his
prison records from his prior attempted rape
conviction, which contained information indicating
that the prison doctors had diagnosed Rose as
suffering from sexual and social disorders. Properly
applying Strickland, the record supports the State
habeas court's ultimate rejection of Rose's
ineffective assistance of counsel claim.
During the
evidentiary hearing before the State habeas court,
Rose introduced testimony pertinent to the
mitigating evidence of mental disorders that he
currently says should have been introduced to the
jury. Dr. Brown and Dr. Berlin, both psychiatrists,
testified separately that Rose relayed to them a
dramatically different story regarding Stewart's
death than Rose had relayed to his trial counsel,
law enforcement officers, and the jury.
Dr. Berlin
testified that Rose told him that he did not have a
relationship with Stewart, but he had instead been
spying on her through her window on the night of the
murder. On this account, Rose waited until Stewart
was asleep before entering her apartment through a
window. Rose went to Stewart's bed and stabbed
Stewart, wounding but not killing her.
Stewart told Rose
that if he left without killing her, Rose would
escape punishment because she would not be able to
identify him. Rose placed Stewart's head in his lap
and strangled her with a nylon strap until he heard
several "pops" and "snaps." (J.A. at 76.) Rose then
put her body in the trunk of his car and violated
her by inserting numchucks into her vagina. Rose
then masturbated by the car's back bumper. Rose told
Dr. Berlin that he had, prior to trial, told one of
his trial attorneys the truth about Stewart's death,
but the attorney dismissed it.
In addition to
relaying this version of Stewart's murder, Rose told
Dr. Berlin that he had entered as many as 20 homes
and stood fantasizing over the bed of the occupants,
while holding a knife and having thoughts of
injuring them, and on more than 100 occasions he
also had entered other homes and masturbated over
people's beds.
Based upon Rose's
statements and his prior conviction for attempted
rape, Dr. Berlin opined that Rose had sexual
disorders, voyeurism and sexual sadism, and was
mentally impaired respecting his ability to conform
his conduct to the requirements of law. Rose told
Dr. Brown a similar story about Stewart's murder,
adding that before he assaulted Stewart's vagina
with the handles of the numchucks, he burned her
vaginal area with a "pencil torch." (J.A. at 259.)
Other evidence of
Rose's disorders included an evaluation from
Dorothea Dix Hospital. Prior to trial, the trial
court had ordered that Rose undergo a psychiatric
evaluation at Dorothea Dix Hospital to gauge Rose's
competence to stand trial. The report issued in
conjunction with that evaluation concluded that Rose
suffered from a provisional sexual disorder and a
mixed personality disorder, but that Rose was
otherwise competent to stand trial. Rose argues that,
in light of this preliminary evidence of mental
disorders, his trial counsel should have further
investigated and presented evidence of his disorders
to the jury to support a statutory mitigating
factor.
As the State
habeas court noted, however, Mr. J.K. Coward, Jr.,
Rose's lead trial counsel, testified that Coward and
his co-counsel, Marcellus Buchanan, were fully aware
of the diagnosis of the disorders in the Dorothea
Dix report, but they had decided not to pursue a
defense that included Rose's sexual disorders
because they felt that introducing "further bad
elements into the case" would mean that they "would
have no chance whatsoever with the jury." (J.A. at
248.)
Coward testified
that introducing any testimony regarding Rose's
sexual disorders during the sentencing phase "would
eliminate the chance for any kind of leniency." (J.A.
at 248.) Additionally, Coward and Buchanan felt
constrained not to introduce evidence of Rose's
sexual disorders because Rose explicitly had
instructed them not to present any evidence that
would expose Rose's children to adverse publicity.
Instead of
pursuing Rose's mental disorders as a defense or a
mitigating factor, counsel attempted to avoid any of
the sexual content of Stewart's murder, which they
succeeded in doing. Additionally, counsel attempted
to engender sympathy for Rose by focusing on his
troubled upbringing, good character, and strong work
habits.
Our review of
relevant excerpts from the transcript of the
evidentiary hearing and the findings of the State
habeas court conclusively establishes that Rose's
trial counsel acted in an objectively reasonable
fashion by declining to pursue a defense based upon
Rose's sexual disorders.
Rose's trial
counsel made a strategic decision to keep any
evidence of Rose's sexual disorders out of the trial
because they determined that any such evidence was
contrary to the express order of their client to
protect his children and would decrease their
chances of success. See Turner v. Williams, 35 F.3d
872, 904 (4th Cir. 1994) (holding that where there
is a conceivable strategic advantage to the decision
not to introduce certain evidence, that choice is
virtually unassailable on collateral review),
overruled on other grounds by O'Dell v. Netherland,
95 F.3d 1214 (4th Cir. 1996).
When counsel make
a reasonable strategic choice based upon an
investigation of the facts, this Court must defer to
that strategic choice. Bunch v. Thompson, 949 F.2d
1354, 1364 (4th Cir. 1991) ("Trial counsel is too
frequently placed in a no-win situation with respect
to possible mitigating evidence at the sentencing
phase of a capital case. The failure to put on such
evidence, or the presentation of evidence which then
backfires, may equally expose counsel to collateral
charges of ineffectiveness. The best course for a
federal habeas court is to credit plausible
strategic judgments in the trial of a state case.").
In light of their
strategic choice to keep sexual content out of the
trial, Rose's counsel was entirely justified to
decline to further investigate Rose's prison records
related to his Mississipi conviction for attempted
rape in an attempt to uncover additional information
about Rose's sexual disorders. Thus, Rose has failed
to overcome the"strong presumption that counsel's
conduct [fell] within the wide range of reasonable
professional assistance." Strickland v. Washington,
446 U.S. 668, 689 (1984).
Nor has Rose
established that any alleged constitutional
deficiency in the performance of his counsel was
prejudicial, that is, that there is a "reasonable
probability" that Rose would have been spared the
death penalty if his counsel had conducted more
extensive investigation into his mental health. "A
reasonable probability is a probability sufficient
to undermine confidence in the outcome." Id. at 694.
Assuming arguendo
that Rose's counsel should have further investigated
Rose's sexual disorders, Coward testified that full
knowledge of the disorders only would have bolstered
his strategic decision to veer away from evidence
related to Rose's sexual disorders.
Additionally,
Coward testified that the additional evidence of
Rose's sexual disorders, including Rose's alternate
version of Stewart's murder, would only have further
impaired Rose's likelihood of obtaining an acquittal
because the evidence would convince the jury "that
Rose was a sexual predator as well as a murderer." (J.A.
at 79, 250.)
Coward further
pointed out that Rose's original version of
Stewart's murder allowed Coward to obtain jury
instructions on second degree murder, voluntary
manslaughter, self defense, and accident -- none of
which would have been available had he presented
Rose's second version of the murder.
Nevertheless, Rose
argues that but for his counsel's failure to uncover
additional evidence about his sexual disorders,
there is a reasonable probabilty he would have been
spared the death penalty.
In support of his
argument, Rose points to an affidavit of Samuel Kent
Chapman, one of the jurors from Rose's trial, which
stated that, if Chapman had found that "Rose
suffered from some mental health problem or disorder,
[Chapman] would have voted to give him a life
sentence rather than a death sentence because [he]
do[es] not believe that a person who doesn't
appreciate or understand what he is doing needs to
be executed."12
(J.A. at 477-78.)
Chapman's
affidavit is too vague to undermine our confidence
in the outcome of the death penalty phase of the
proceeding. Chapman's affidavit does not indicate
that he was aware of Rose's proffered disorders when
he averred that a certain type of mental disorders
would have influenced his decision to impose the
death penalty.
Rather, Chapman
indicates that when a person has a mental disorder
rendering him incapable of appreciating the nature
of his conduct, he would be inclined to vote against
the imposition of the death penalty. Rose's evidence
regarding his mental disorders does not establish
that Rose was incapable of appreciating the nature
of his conduct.
To the contrary,
Dr. Berlin opined that Rose was capable of
appreciating the criminal nature of his conduct but
was incapable of conforming his conduct to the
requirements of the law. Similarly, Dr. Brown opined
that Rose was fully able to premeditate and
deliberate at the time he murdered Stewart; "he knew
what he was doing and he knew it was wrong." (J.A.
at 262.)
Thus, Chapman's
affidavit simply does not address whether Chapman
would have voted against the death penalty if
Chapman possessed full knowledge of Rose's
particular mental disorders and the alternate
version of the events surrounding Stewart's murder.
Accordingly, we do not believe that Chapman's
affidavit is probative of whether Rose has
demonstrated a reasonable probability that he would
have received life imprisonment had the jury been
presented with evidence of Rose's particular mental
disorders.
Mr. Alexander
McCoy, who attempted to be certified as a "mitigation
specialist," also testified during the evidentiary
hearing. The State habeas court declined to accept
McCoy as an expert but accepted his testimony and
opinions relating to capital trials. McCoy opined
that Rose's trial counsel erred by failing to
introduce evidence to support a mental health
instruction. McCoy admitted, however, that if
counsel had introduced Rose's alternative version of
Stewart's murder to the jury, it would not have been
helpful and would have further supported the
statutory aggravating factor.
Additionally, he
admitted that he knew of no case in which evidence
presented to the jury that the defendant suffered
from a mental illness that caused him to want to
murder, rape, and torture women was found to be
persuasive in choosing life over death. (J.A. at
245.) As McCoy admits, his opinion that introduction
of such evidence would have been beneficial to Rose
amounts to pure speculation.
The only other
evidence offered to support a finding of prejudice
is that of Mr. David Belser, an attorney who
testified as to the proper standard of care. Belser
testified that Coward should have ignored his
client's wishes and introduced evidence of the
sexual disorders. Belser further testified that
there was a reasonable probability that introducing
such evidence would have changed the jury's verdict.
Belser also
admitted, however, that he had never tried a capital
case in Haywood County, had never put on a defense
such as the one proposed by Rose's post-conviction
counsel, and knew of no instance where such a
defense actually had averted a death sentence. Thus,
Belser's opinion is wholly speculative and is
unsupported by the evidence in the record.
Far from
undermining confidence in either phase of the State
trial, after considering all of the evidence
introduced related to Rose's ineffective assistance
of counsel claim, the State habeas court determined
that the evidence adduced at the evidentiary hearing
constituted a "considerably more shocking version of
events" that "would virtually have assured
conviction of first degree murder" if offered at
trial. (J.A. at 266-67.)
Additionally, the
State habeas court noted that introduction of Rose's
second version of Stewart's murder, along with
Rose's testimony that he had entered over one
hundred other homes and masturbated over people's
beds, would have supported the submission of the
aggravating factor in N.C. Gen. Stat.§
15A2000(e)(11), that applies when the murder is part
of a course of conduct.
Moreover, the
State habeas court concluded that, if the jury had
been presented with this "repellent" type of sexual
disorder evidence, "including as it does rape,
torture and murder," the jury "would have been even
more likely to recommend a death sentence." (J.A. at
275-76).
We agree that
introducing evidence of Rose's sexual disorders
would have contributed equally, if not more, to the
statutory aggravating factors than it would have
contributed to any statutory or non-statutory
mitigating factors.13
The alleged
mitigation value of introducing Rose's voyeurism and
sexual sadism could not possibly outweigh the
detrimental effect that would accompany such
evidence because the evidence necessarily introduces
components of rape and torture into Stewart's murder.
Thus, we cannot
say that a reasonable probability exists that the
unpresented evidence would have resulted in a
different sentencing decision or that Rose's
counsel's failure to investigate further into Rose's
sexual disorders constitutes ineffective assistance
of counsel. See Satcher v. Pruett, 126 F.3d 561,
572-73 (4th Cir. 1997) (holding that petitioner did
not establish ineffective assistance of counsel
based upon counsel's failure to further investigate
defendant's mental disorders when counsel introduced
other types of mitigating evidence and further
investigation into mental health would have produced
damaging evidence). Accordingly, we reverse the
district court's issuance of a writ of habeas corpus
on Rose's ineffective assistance of counsel claim.
V.
Because Rose has
failed to make a substantial showing of a denial of
a constitutional right, we deny his request for a
certificate of appealability on the claims rejected
by the district court. Moreover, because we hold
that Rose has failed to establish that he was denied
his Sixth Amendment right to effective assistance of
counsel, we reverse the portion of the district
court's judgment granting a writ of habeas corpus
with respect to Rose's ineffective assistance of
counsel claim.
No certificate of
appealability is necessary with respect to the
portion of the district court's judgment from
which the State appeals. Fed. R. App. P.
22(b)(3).
These facts are derived from
the statement of facts in the Supreme Court of
North Carolina's published opinion affirming
Rose's conviction on direct appeal. See State v.
Rose, 439 S.E.2d 518 (N.C. 1994).
Rose also argues that the
district court made several factual errors
regarding the contents of the record. Without
deciding whether the district court erred, we
hold that the alleged errors are without
substantive effect.
North Carolina General
Statute§ 15A-1419(a)(2) provides that issues
raised in a MAR that were previously decided on
appeal are barred from further consideration in
State habeas review. "In the absence of any
proffered reason why relitigation of these
claims would have been proper, the superior
court is precluded from relitigating issues
decided by the Supreme Court of North Carolina."
Smith v. Dixon, 14 F.3d 956, 968 (4th Cir. 1994)
(citing Sprague v. Ticonic Nat'l Bank, 307 U.S.
161, 168 (1939) (holding that the decision of a
higher court forecloses relitigation of issues
the mandate lays to rest)).
At oral argument, Rose's
counsel also argued that Rose was told that he
would not get the death penalty if he confessed.
In support of this contention, Rose's counsel
points to Rose's mother's affidavit, in which
she states, "I asked Special Agent Frye whether
the police would seek the death penalty in the
case and [Frye] told Diana and me that the
police would not seek the death penalty." (J.A.
at 769.) Nowhere in the affidavit does Rose's
mother aver that she relayed this promise to
Rose or that the promise was repeated in front
of Rose. (J.A. at 769.) Thus, we need not
address the coerciveness of this alleged promise.
Having concluded that Rose
has failed to establish the first prong of the
Slack test, we need not address whether the
district court was correct in its procedural
default ruling. See Slack v. McDaniel, 529 U.S.
473, 484 (2000) (noting that when the district
court denies a claim pursuant to procedural
grounds, the petitioner must demonstrate both
the viability of the constitutional claim and
the correctness of the district court's
procuedural ruling to be entitled to a
certificate of appealability).
Before the district court,
Rose argued that a claim of economic
discrimination is not fundamentally different
from a claim of racial discrimination for
purposes of determining whether his economic
discrimination claim was presented to the State
courts. On appeal, Rose concedes that his "new"
economic discrimination claim was never
presented to the State courts. (Appellant's
Reply Br. at 13) ("Although this claim was never
raised in the original state proceedings or in
the State Habeas Court....").
The one exception to the rule
requiring cause and prejudice is where the
petitioner is able to demonstrate that the
habeas court's failure to review his federal
claim will result in a fundamental miscarriage
of justice. Edwards v. Carpenter, 529 U.S. 446,
451 (2000). Rose does not argue the
applicability of the fundamental miscarriage of
justice exception to his discrimination claim.
At oral argument, counsel
expressed no difficulty in having obtained the
statistics underlying Rose's racial
discrimination claim. Similar to statistics
regarding capital defendants' race, courts
maintain records indicating which capital
defendants were represented by court-appointed
counsel and are, therefore, indigent.
While federal habeas courts
often use the language of "remand," as a
technical matter, we do not believe that a
federal habeas court can "remand" a case to a
state habeas court. See Billiot v. Puckett, 135
F.3d 311, 316 n.5 (5th Cir. 1998) (noting that
federal habeas courts cannot remand cases to
state courts).
The State did not object
pursuant to Federal Rule of Evidence 606(b) to
our consideration of the Chapman affidavit. Thus,
to the extent Rule 606(b) is applicable, the
State has waived the argument that the affidavit
fits within the prohibition of Rule 606(b).
In evaluating whether to
recommend death, the jury was instructed that
although the jury must unanimously agree that
the government established the existence of an
aggravating factor beyond a reasonable doubt,
the jury could consider a mitigating factor in
its weighing process so long as one juror found
that Rose established its existence by a
preponderance of the evidence.
The following statutory
mitigating factors were submitted at sentencing
and were not found by any members of the jury:
(i) Rose has no significant history of prior
criminal activity; (ii) the murder was committed
while Rose was under the influence of mental or
emotional disturbance; (iii) the capacity of
Rose to appreciate the criminality of his
conduct or to conform his conduct to the
requirements of the law was impaired; and (iv)
any other circumstances arising from the
evidence.
The following non-statutory
mitigating factors were submitted and were found
by one or more member of the jury: (i) Rose was
reared until at least his twelfth birthday in
the home of his father and mother, the father
being a chronic alcoholic who was abusive both
physically and mentally to Rose's mother in the
presence of Rose; (ii) Rose is the product of a
broken home; (iii) Rose received an honorable
discharge from the United States Army; (iv) Rose
received an honorable discharge from the United
States Marine Corps; (v) Rose was a good and
obedient prisoner in the Graham County jail for
15 months, and at no time caused any problem
with the jailer or other personnel of the
Sheriff's Department or with any other inmates
confined there; (vi) Rose was a good and
obedient prisoner in Haywood County jail for 12
days; (vii) Rose cooperated with agents of the
SBI and members of the Graham County Sheriff's
Departments when he, at their request, agreed to
take and did take a polygraph test at a time
when he was not in custody and was free to come
and go as he pleased; (viiii) Rose had been a
good and reliable employee of Tuckaseegee Mills
for a substantial period of time prior to
January 1, 1991; and (ix) Rose had a good
character and reputation for truth and veracity
in the work community of his place of employment.
The following statutory
aggravating factors were presented to the jury
and were found unanimously to be applicable
beyond a reasonable doubt: (i) Rose has been
previously convicted of a felony involving the
use or threat of violence to another person; and
(ii) the facts surrounding Stewart's murder were
particularly heinous, atrocious, or cruel.