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William
Kenny STEPHENS
STEVENS v. THE STATE.
36943.
(247 Ga. 698)
(278 SE2d 398)
(1981)
JORDAN, Chief Justice.
Murder, etc. Richmond Superior Court. Before Judge Pickett.
The defendant was indicted on one count of murder
and three counts of aggravated assault: the victim in each count
being a police officer. He was found guilty on all charges and
sentenced to death for the murder and to twenty years on each count
of aggravated assault to be served consecutively.
The record establishes that on January 22, 1979,
the police stopped the defendant for questioning regarding the
burglary of a department store in which several weapons had been
taken. It was discovered that he was driving under the influence and
without a license, whereupon he was arrested.
After being questioned at the police station, the
defendant agreed to ask around and find out who was involved in the
burglary in exchange for his release upon his own recognizance. As a
condition to his release, he was to report back by a certain time.
When he did not contact the officer at the appointed time, nor for
two days thereafter, the police began to look for him.
On January 24, investigator Larry Stevens of the
Richmond County Sheriff's Department located the defendant, followed
him a short way and then stopped him. When the officer stopped the
defendant, he radioed this fact and his location to fellow officers.
After the investigator stopped his automobile, he
opened his car door and apparently leaned back to do something with
his radio. The defendant fired into the car through the windshield
striking investigator Stevens in the right forearm and rendering his
right arm below the elbow useless.
The police officer managed to get his gun out and
fired wild shots through his automobile at the defendant. The
defendant fired a second shot striking the officer in the right side.
Then the defendant walked to the rear of the investigator's
automobile, turned, raised the weapon up to shoulder height, and
fired in a very calm, deliberate manner through the rear window. The
round hit the officer in the chest and was almost immediately fatal.
The defendant then went to his car and drove off
at a high rate of speed. He intended to go to his mother's house,
but stopped on the way at a store to purchase more ammunition. When
he approached his mother's house, authorities were waiting for him,
and a high speed pursuit then occurred. This occurred approximately
twenty-five minutes after the murder. Officers finally trapped the
defendant in a cul-de-sac, and a gun battle with the police then
ensued.
The defendant maintained that when investigator
Stevens stopped him, he exited his automobile with a loaded rifle in
order to show the officer that he had recovered some of the guns
from the burglary and that as he approached the officer's car, the
officer, for no reason, shot at him at which instance the defendant
then opened fire shooting the officer in self-defense.
Enumerations of Error
1. In enumeration of error 1, the appellant
contends the trial court erred in overruling his motion to sever the
murder count from the aggravated assault counts for trial. The
defendant relies on Dingler v. State, 233 Ga.
462 (211 SE2d 752) (1975) in support of his argument. In
Dingler, supra, p. 463, the court held: "The ABA Standards on
Joinder of Offenses provides: 'Two or more offenses may be joined in
one charge, with each offense stated in a separate count, when the
offenses . . . (b) are based on the same conduct or on a series of
acts connected together or constituting parts of a single scheme or
plan.'
All the present charges against the defendant
arise out of a continuous course of conduct and therefore come
within the above quoted standard for joinder of offenses, escape
being necessarily a part of the crime. See Collier v. State,
244 Ga. 553 (261 SE2d 364) (1979).
There is no merit in this enumeration of error. Jarrell v. State,
234 Ga. 410 (216 SE2d 258) (1975).
From the nature of the entire transaction, it
would be almost impossible to present to a jury evidence of one of
the crimes without also permitting evidence of the other crimes to
be introduced, as the murder of the police officer was the probable
cause for the chase and the stopping of the defendant which resulted
in the shootout. Owens v. State, 233 Ga. 869
(214 SE2d 173) (1975). Cf. Padgett v. State,
239 Ga. 556 (238 SE2d 92) (1977);
Hiasman v. State, 242 Ga. 896 (252 SE2d 397)
(1979).
2. In enumerations of error 2 and 6, the
appellant contends the trial court erred in overruling defendant's
motion for sequestration of the jury panel during individual voir
dire and his renewed motion for the same. The defendant argues that
presence of peer pressure, when jurors are questioned in the
presence of each other, could result in bias or prejudice, although
he cites no incident of actual bias or prejudice.
In Whitlock v. State, 230
Ga. 700 (5) (198 SE2d 865) (1973), this court held that the
right to individual examination of jurors given by Code Ann. 59-705,
". . . does not encompass isolated examination." The court affirmed
its holding in Finney v. State, 242 Ga. 582
(4) (250 SE2d 388) (1978) and held: ". . . that whether or
not this individual questioning of the jurors is to take place
outside of the presence of the other jurors is one of those matters
lying within the sound discretion of the trial court. Cf. Arnold v.
State, 236 Ga. 534 (6) (224 SE2d 386) (1976)."
The defendant does not show an abuse of
discretion or any prejudice resulting from the failure to allow
individual examination of the jurors; there is no merit in these
enumerations of error. Messer v. State, 247
Ga. 316 (276 SE2d 15) (1981); High v. State,
247 Ga. 289 (276 SE2d 5) (1981).
3. In enumeration of error 3, the defendant
argues that the trial court erred in overruling his motion to quash
the indictment which was premised on the indictment's listing of
three other names for the defendant under "also known as." The
defendant argues that this was done in a deliberate attempt to
prejudice the jury into thinking that before them stood, not just a
man accused of a serious crime, but a desperado, i.e. one with many
aliases. All but one of the listed names were different spellings or
abbreviations of the appellant's names.
A motion to quash is not a proper remedy for
striking an alias from an indictment. The defendant should have
filed a special plea of misnomer averring that he had never been
known by any of the names set out in the indictment. Andrews v.
State, 196 Ga. 84, 110 (26
SE2d 263) (1943). Where an accused is known by different
names, however, it is lawful for the indictment to identify the
accused by such names as aliases. Allen v. State,
231 Ga. 17 (200 SE2d 106) (1973).
In the present case, two of the former
convictions introduced at the sentencing phase of the defendant's
trial were in the names of two of the aliases listed in the
indictment. There is no merit in this enumeration of error.
4. In enumeration of error 4, the appellant
contends the trial court erred in overruling his motion for change
of venue. In the present case, there were some four articles about
the shooting and two editorials and four letters from the public
concerning the death penalty as related to the killing of police
officers. All of these appeared within a three-week span after the
death of the officer, and defendant's trial was not until one year
later. Additionally, there were several news reports on radio and
television stations at the time of the occurrence.
Although thirty-four of the forty-six jurors
stated that they had either read or heard a news broadcast of the
occurrence, none of them thought it would influence their decision
in the case.
In Mooney v. State, 243 Ga.
373, 385 (254 SE2d 337) (1979),
in a very lengthy analysis of pre-voir dire motions for change of
venue, this court reiterated the holding set out in Murphy v.
Florida, 421 U. S. 794 (95 SC 2031, 44 LE2d 589) (1975) that a
defendant is entitled to a panel of impartial jurors, but that this
does not require that they be totally ignorant of the facts and
issues involved. Review of the voir dire reveals that most of the
jurors had very little recollection of any articles appearing over a
year ago. Most of the prospective jurors answered that they vaguely
remembered reading something about a deputy being killed. All of the
jurors answered upon careful examination by the court that they were
not influenced in any way by listening to recent radio broadcasts. "The
test as to whether pretrial publicity has so prejudiced a case that
an accused can not receive a fair trial is whether the jurors
summoned to try the case have formed fixed opinions as to guilt or
innocence of the accused from reading such publicity." Dampier v.
State, 245 Ga. 427, 431 (265
SE2d 565) (1980). No juror was excused by the court for
prejudice arising out of pre-trial publicity. See Messer v. State,
supra.
The defendant has failed to show a " 'pattern of
deep and bitter prejudice' [created by pre-trial publicity] present
throughout the community." Irvin v. Dowd, 366 U. S. 717, 727 (81 SC
1639, 6 LE2d 751) (1961). This enumeration of error is without merit.
See Coleman v. State, 237 Ga. 84 (226 SE2d
911) (1976); Collier v. State, 244 Ga.
553, supra; Green v. State, 246 Ga.
598 (272 SE2d 475) (1980); Dick v. State,
246 Ga. 697 (273 SE2d 124) (1980).
5. In Enumeration of error 5, the defendant
contends the trial court erred in overruling his motion for the
appointment of an expert witness to examine the State's evidence.
The defendant's only argument on this issue is that the State's
expert witnesses, being employees of the State Crime Laboratory are
under the direction of prosecution.
The defendant has not alleged that he was harmed
by the failure to appoint an expert witness nor has he shown how his
defense would have been aided by such a witness. The appointment of
expert witnesses lies within the sound discretion of the trial court
and absent a showing of an abuse of that discretion, this court will
not interfere. Patterson v. State, 239 Ga.
409 (3) (238 SE2d 2) (1977); Dampier v. State, supra. See
Messer v. State, supra. There is no merit in this enumeration of
error.
6. Defendant, in enumerations of error 7 and 8,
contends that the trial court erred in allowing the widow of the
victim, following her testimony at trial, to remain in the courtroom.
Both the prosecution and the defense sequestered all witnesses.
After the widow of the victim testified, the
district attorney requested that she be allowed to remain in the
courtroom. Defense counsel objected; upon questioning by the court,
however, defense counsel admitted that his objection was not for the
purpose of eliciting future testimony from the witness, but to keep
her from being seen by the jury. The trial court allowed her to
remain in the courtroom but required her to sit in the area furthest
from the jury and out of their direct view.
The trial court is vested with broad discretion
in the enforcement of the sequestration rule. Dampier v. State,
supra, and cites. The rule of sequestration does not prohibit
persons from remaining in the courtroom during the proceedings, but
merely gives a right to either party to have the witnesses for the
other party examined out of the hearing of each other. Code Ann.
38-1703. Therefore, the trial court did not abuse its discretion in
allowing the widow of the victim to remain in the courtroom as she
was no longer a witness.
The victim's wife, on direct examination by the
State, was asked the usual preliminary questions as to marriage,
children and employment. The appellant argues that the testimony of
the witness was elicited for the sole purpose of playing on the
sympathy and prejudice of the jury. We do not agree. The witness
identified the coat and shirt of the victim and testified that the
victim was righthanded, a crucial part of the State's case. Her
testimony was relevant and admissible. Solomon v. State,
247 Ga. 27 (277 SE2d 1) (1980). The
identity and general background of the victim are relevant issues in
a trial of one accused of his murder, and the trial court did not
err in allowing the widow of the victim to testify.
7. Defendant's ninth and tenth enumerations of
error contend the trial court erred in admitting two statements
given by the defendant. The first statement of the defendant was
made to the officer who was transporting him to the Sheriff's
office. The defendant told the officer that the victim was a "no
good son-of-a-bitch and should have had it happen to him a long time
ago." After a hearing, the court found that the officer had not
initiated any interrogation of the defendant, but that the
incriminating statement was spontaneous and therefore admissible. "The
prosecution may not use statements, whether exculpatory or
inculpatory, stemming from custodial interrogation of the defendant
unless it demonstrates the use of procedural safeguards effective to
secure the privilege against self-incrimination. By custodial
interrogation, we mean questioning initiated by law enforcement
officers after a person has been taken into custody or otherwise
deprived of his freedom of action in any significant way." Miranda
v. Arizona, 384 U. S. 436, 444 (86 SC 1602, 16 LE2d 694) (1966). The
trial court found the defendant's statement to be voluntary. We must
accept this factual determination unless that finding is shown to be
clearly erroneous. Pierce v. State, 235 Ga.
237 (219 SE2d 158) (1975). As the statement seemed to be a
purely spontaneous remark, the trial court's finding cannot be said
to be clearly erroneous.
The second statement was made after being given
his Miranda warnings, and defendant acknowledged that he understood
these rights. The defendant argues that even though this is true,
the statement is inadmissible because his mother had retained an
attorney; the attorney had called the jail looking for the defendant,
and the jailer informed the attorney that the defendant had not been
logged into the jail. There is no evidence that the jailer knew the
whereabouts of the defendant who was being interrogated at the
Sheriff's office. The attorney then told the jailer to inform the
defendant not to make any statements until he had consulted with him.
By virtue of these events, the appellant contends that the statement
was inadmissible although the interrogating officers had no
knowledge of these events.
The rights guaranteed under the Fifth and Sixth
Amendments are personal. The defendant having chosen to waive his
rights (and there being no misconduct on the part of the
investigating officers), the trial court did not err in admitting
these statements. Hance v. State, 245 Ga. 856
(2) (268 SE2d 339) (1980).
8. In enumeration of error 11, the defendant
contends the trial court erred in failing to give his request to
Charge No. 2. Defendant requested a charge that the aggravated
assaults on the three police officers were justified if the officers
placed him in reasonable apprehension of immediately receiving a
violent injury.
The charge is to be considered as a whole, and
where the charge covers the subject matter of the request, it is not
error although not in the exact language of the request. Hawes v.
State, 240 Ga. 327 (3, 8) (240
SE2d 833) (1977); Moses v. State, 245
Ga. 180 (2a) (263 SE2d 916)
(1980). Looking at the charge as a whole, this general principle of
law was covered in the charge on self-defense and need not be
repeated again with specific reference to the aggravated assault
charges. See Cape v. State, 246 Ga. 520 (272
SE2d 487) (1980); Strickland v. State,
247 Ga. 219 (275 SE2d 29) (1981).
This court considered this same contention in
Terry v. State, 243 Ga. 11 (1) (252 SE2d 429)
(1979) and concluded: "Thus we have one rule, Harrell v.
State, supra, which appears to say that under the limited
circumstances stated there, the defendant's explanation of the
homicide must be accepted, and another rule, Jenkins v. State, [241
Ga. 212 (244 SE2d 868) (1978)], which appears to say that the
defendant's explanation may be rejected. The difference between
these two rules is that the former is applicable where the
defendant's statement is consistent with the physical facts shown,
but the latter rule may be relied upon by the State where the
defendant's statement is not consistent with and does not explain
the other direct and circumstantial evidence. [cits.]"
In the instant case, the defendant's
incriminating statements are not consistent with the physical facts.
The victim was shot three times with a high-powered rifle, and
therefore, his claim of self-defense could be rejected. Jenkins v.
State, supra; Smith v. State, 202 Ga. 851
(45 SE2d 267) (1947). Furthermore, a postman testified at
trial that he had witnessed the defendant move to the rear of the
victim's car and shoot the victim after a period of deliberation.
The State's evidence, direct and circumstantial, contradicted the
defendant's self-defense theory and authorized the jury to find the
defendant guilty of murder. There is no merit in this enumeration of
error.
10. In enumerations of error 13 and 14, the
defendant contends the trial court erred in failing to give two
requested charges on involuntary manslaughter. The defendant argues
that he used excessive force in the act of self-defense and thus was
entitled to a charge on a lawful act performed in an unlawful manner.
This argument was raised and rejected in Crawford v. State,
245 Ga. 89 (3) (263 SE2d 131) (1980).
There is no merit in these enumerations of error.
11. In enumeration of error 15, the defendant
contends the trial court erred in failing to give his request to
charge on simple assault as a lesser included offense of aggravated
assault. There is no evidence in this case that would require a
charge on the lesser included offense of simple assault. There is no
merit in this enumeration of error.
This same argument was made in Tucker v. State,
245 Ga. 68 (5) (263 SE2d 109) (1980),
and this court ruled as follows: "The inference in the present case
does not 'undermine the factfinder's responsibility at trial, based
on evidence adduced by the State, to find the ultimate facts beyond
a reasonable doubt.' Rather it leaves the trier of fact 'free to
credit or reject the inference and does not shift the burden of
proof . . .' County Court of Ulster County, New York v. Allen, [442]
U. S. [140] (99 SC 2213, 60 LE2d 777) (1979)." There is no merit in
this enumeration of error.
13. The defendant, in his seventeenth enumeration
of error, argues that the trial court erred in charging Code Ann.
26-902 (b). This Code section involves self-defense and subsection
(b) contains the negative or exception to the self-defense theory.
"It is not usually cause for a new trial that an
entire Code section is given. Ford v. State,
232 Ga. 511, 517 (12) (207 SE2d 494)
(1944). Accord, Highland v. State, 127 Ga.
App. 518 (1) (194 SE2d 332) (1972). This is so even though a
part of the charge may be inapplicable under the facts in evidence.
Highland, supra, at p. 519. Rowles v. State,
143 Ga. App. 553, 557 (239 SE2d 164)
(1977) cert. den. Accord, Pippin v. State,
205 Ga. 316 (9), 323 (53 SE2d 482)
(1949)." Keller v. State, 245 Ga. 522 (1)
(265 SE2d 813) (1980).
14. In enumeration of error 19, the defendant
contends the trial court erred in allowing evidence of prior
non-capital convictions at the sentencing phase of his trial. The
defendant argues that although this court has consistently held that
prior convictions can be admitted at the sentencing phase of a
murder trial, these cases should be overruled.
If the defendant had no prior criminal record, he
would certainly want this fact in evidence, and the State should be
allowed the same consideration in presenting its case. See, Hughes
v. State, 239 Ga. 393 (4) (236 SE2d 829)
(1977); Davis v. State, 241 Ga. 376
(6) (247 SE2d 45) (1978). There is no merit in this
enumeration of error. Fair v. State, 245
Ga 868 (268 SE2d 316) (1980).
15. In enumerations of error 20, 21, 22 and 23,
the defendant contends the trial court erred in its charges on
aggravating circumstances and in recharging a portion after
objection by defendant. The court charged three aggravating
circumstances: that the murder was committed to prevent a lawful
arrest; that the murder was committed against a police officer
engaged in the performance of his duties; and, that the murder was
outrageously and wantonly vile, horrible and inhuman, in that it
involved torture and depravity of mind.
The defense counsel objected to the use of the
word torture, and the trial court recharged omitting this word;
therefore, counsel cannot now complain. Nor was the recharge an
impermissible expression of the trial court's opinion as to the
evidence. Finney v. State, supra. The aggravating circumstances
contended by the State form the issue to be tried during the
punishment phase of the trial of a capital felony. Code Ann.
27-2534.1 (b) (1-10). The court properly charged the contentions of
the State, and there is no merit in these enumerations of error.
16. In enumerations of error 25 and 27, the
defendant contends the trial court expressed an opinion in ruling on
an objection to a question asked defendant on cross examination and
in questioning witnesses. "It was not error for the trial judge to
refer to the testimony in deciding the objections raised in this
case and it was clear that the trial judge was not expressing an
opinion but ruling on the objections made. [Cits.]" Wright v. State,
223 Ga. 849 (159 SE2d 76) (1968). See
Tucker v. State, supra. Nor is it error for the trial judge to
propound questions to any witness for the purpose of fully
developing the truth of the case. This court has examined each
instance cited by appellant where the trial court examined a witness,
and we find no improper expression of opinion. Thomas v. State,
240 Ga. 393, 400 (242
SE2d 1) (1977); Cape v. State, supra. There is no merit in
these enumerations of error.
17. This court and the Supreme Court of the
United States have upheld the constitutionality of the Georgia death
penalty statute in a number of cases, and the appellant has advanced
no new reason for us to reconsider our position. Gregg v. Georgia,
428 U. S. 153 (96 SC 2909, 49 LE2d 859) (1976); Legare v. State,
243 Ga. 744 (257 SE2d 247) (1979) and
cites.
18. In enumerations of error 28, 29, 30, 31, 32
and 33, the defendant contends the trial court erred in failing to
charge seven requests to charge at the sentencing phase of
defendant's trial. Each request to charge contained some fact or
circumstance in evidence and instructed the jury that it could be
considered in mitigation.
19. In enumerations of error 34, 35, 36, 37, 38
and 39, the defendant contends the trial court erred in excusing six
prospective jurors for cause under Witherspoon. Each juror answered
unequivocally that he or she was opposed to capital punishment and
could not vote for the death penalty regardless of the evidence
presented in the case. Although counsel for defendant attempted to
rehabilitate these jurors by informing them that they were not
required to return a verdict of death, in the final analysis, each
said that he or she could not impose a sentence of death. We find no
merit in these enumerations of error. See, Ruffin v. State,
243 Ga. 95 (3) (252 SE2d 472) (1979);
Legare v. State, supra, and Thomas v. State,
245 Ga. 688 (2) (266 SE2d 499) (1980).
20. In enumerations of error 40, 41 and 42,
defendant raises general grounds. We have reviewed the entire record
in this case and find the evidence sufficient to support the finding
of the jury beyond a reasonable doubt. Jackson v. Virginia, 443 U.
S. 307 (99 SC 2781, 61 LE2d 560) (1979). There is no merit in these
enumerations of error.
Sentence Review
As required by Georgia law (1973) p. 159 et. seq.,
(Code Ann. 27-2537 (c) (1-3)) we have reviewed the death sentence in
this case. We have considered the aggravating circumstances found by
the jury, and the evidence concerning the crime and the defendant.
We conclude that the sentence of death in this case was not imposed
under the influence of passion, prejudice or any arbitrary factor.
The jury found the following aggravating
circumstances to exist beyond a reasonable doubt: (1) 27-2534.1 (b)
(7) The offense of murder was outrageously and wantonly vile,
horrible and inhuman, in that it involved depravity of mind; (2)
27-2534.1 (b) (10)-The murder was committed for the purpose of
preventing the lawful arrest of the offender; (3) 27-2534.1 (b) (8)-The
offense of murder was committed against a peace officer while he was
engaged in the performance of his official duties.
Although, for reasons noted below, we reverse the
first and second aggravating circumstances found by the jury, we
find that the evidence factually supports a finding beyond a
reasonable doubt that the offense of murder was committed against a
peace officer while he was engaged in the performance of his
official duties. Jackson v. Virginia, 443 U. S. 307, supra.
The State introduced evidence that the officer
was on duty at the time of the murder, that he was investigating a
burglary, and that he was stopping the defendant based upon the
defendant's agreement that he would provide information as to the
burglary and the arms taken therein as a condition for his release
upon his own recognizance.
"Where two or more statutory aggravating
circumstances are found by the jury, the failure of one circumstance,
or in this case two, does not taint the proceedings so as to
invalidate the other aggravating circumstance found and the sentence
of death based thereon." Burger v. State, 245
Ga. 458, 462 (265 SE2d 296)
(1980).
Accordingly, we affirm the imposition of the
death penalty in the present case.
21. The trial court in its charge to the jury
during the sentencing phase of the trial instructed the jury as to
Code Ann. 27-2534.1 (b) (7) in the following manner: "The offense of
murder was outrageously and wantonly vile, horrible and inhuman in
that it involved depravity of mind." The jury, after a time of
deliberation, requested the court to define "depravity." The trial
court answered the jury's question by instructing them that the
charge was complete in itself.
Appellant argues that the trial court erred in
failing to define "depravity" when requested to do so by the jury,
citing Godfrey v. Georgia, 446 U. S. 420 (100 SC 1759, 64 LE2d 398)
(1980). Under the facts and circumstances of this case, we agree.
Obviously, the jury was confused as to the definition of depravity
of mind, a word of common meaning and understanding. In the cases of
Hance v. State, 245 Ga. 856 (268 SE2d 339)
(1980) and Strickland v. State, 247 Ga.
219 (275 SE2d 29) (1981), decided since this case was tried,
we defined depravity of mind. The jury should have been instructed
in response to their request and not allowed to continue
deliberations with this confusion unresolved. Hance v. State, supra;
Harris v. State, 237 Ga. 718 (230 SE2d 1)
(1976); Lamb v. State, 241 Ga. 10 (243
SE2d 59) (1978).
22. The State did not prove a technically lawful
arrest of the offender beyond a reasonable doubt.
23. The charge of court complied with standards
set forth in Spivey v. State, 241 Ga. 477
(246 SE2d 288) (1978); Fleming v. State,
240 Ga. 142 (240 SE2d 37) (1978); and
Hawes v. State, 240 Ga. 327 (240 SE2d 833)
(1978).
24. Finally, defendant argues the trial court
erred in refusing to allow Dr. Phillip Reichel to testify as an
expert witness on the subject of the nondeterrent effect of capital
punishment on crime. This issue has been raised before and decided
adversely to defendant's position. Franklin v. State,
245 Ga. 141 (263 SE2d 666) (1980). See,
Collier v. State, supra; Fair v. State,
245 Ga. 868 (268 SE2d 316) (1980).
The murder was an execution-style slaying of a
police officer engaged in the performance of his official duties.
The fatal shot was deliberate and inflicted only after the officer
was lying helplessly in his automobile, seriously wounded. In
reviewing the death penalty in this case, we have considered the
cases appealed to this court since January 1, 1970, in which a death
or life sentence was imposed.
We find the following similar cases listed in the
appendix support the affirmance of the death penalty. Defendant's
sentence to death for murder is not excessive or disproportionate to
the penalty imposed in similar cases considering the crime and the
defendant.
The twelve cases in which the death penalty was
imposed supports the death penalty in the instant case. All of these
cases except Jones (it involved the killing of a security guard)
involved the deliberate killing of a police officer thus showing a
jury's willingness to give the death penalty under these
circumstances.
APPENDIX.
Richard E. Allen, District Attorney, Arthur
K. Bolton, Attorney General, Harrison Kohler, Assistant Attorney
General, for appellee.
Charles L. Wilkinson III, for appellant.
DECIDED JUNE 2, 1981 -- REHEARING DENIED JUNE 23,
1981.
STEPHENS v. THE STATE.
S98P1142.
(270 Ga. 354)
(509 SE2d 605)
(1998)
SEARS, Justice.
Murder. Richmond Superior Court. Before Judge Pickett.
Viewed in the light most favorable to the
prosecution, the evidence showed that Stephens was arrested for DUI
and driving without a license in January 1979. The police suspected
that Stephens had been involved in the burglary of a store where
several guns had been stolen, and they released Stephens when he
promised to return with information about who had committed the
burglary. After two days, Stephens had failed to return as promised,
and the police began looking for him.
On January 24, 1979, Investigator Larry Stevens
of the Richmond County Sheriff's Department, the officer who was
investigating the burglary, stopped Stephens's car. While
Investigator Stevens was sitting in his police car, Stephens got out
of his vehicle with a high-powered rifle and fired through the
windshield of the police car, shattering Investigator Stevens's
right forearm.
The officer, who was right-handed, managed to
retrieve his revolver and fired several wild left-handed shots
through his car at Stephens. Stephens fired a second time and hit
the officer in the right side, seriously wounding him. Stephens then
walked around to the rear of the police car, raised his rifle to
shoulder height, and fired a third shot through the rear window. The
officer was hit in the chest and killed.
A postal worker saw Stephens walk to the rear of
the police car and fire the last shot. Stephens then led several
other officers on a high-speed chase, and was arrested after a
shootout. While in custody, Stephens made several incriminating
statements.
1. We find that the evidence adduced at
Stephens's sentencing trial was sufficient to enable any rational
trier of fact to find the existence of the statutory aggravating
circumstances beyond a reasonable doubt.
2. OCGA 17-7-131
(j) prohibits the execution of a defendant who proves that he or she
is mentally retarded. Mental retardation was one of Stephens's
defenses at his 1989 sentencing trial. His counsel presented expert
testimony that Stephens was mentally retarded, as well as evidence
that Stephens's IQ ranged from 62-72 on several tests, and that he
had failed three grades before leaving school in the fifth grade. A
dispute arose over the proper burden of proof with regard to
Stephens's mental retardation because OCGA
17-7-131 (c) (3) specifies that a defendant must prove that
he or she is mentally retarded beyond a reasonable doubt in the
guilt-innocence phase.
Since the Eleventh Circuit upheld Stephens's
convictions, no guilt/innocence phase was to be held in 1989;
Stephens faced a sentencing trial only. Furthermore, because OCGA
17-7-131 (j) was not enacted until
1988, Stephens did not have the benefit of the statutory prohibition
against executing the mentally retarded available to him in 1980 at
his first trial. In the 1989 sentencing trial, the trial court
charged the jury that Stephens had the burden of proving his mental
retardation beyond a reasonable doubt. Stephens objected, claiming
that the burden of proof for his mental retardation claim should
have been a preponderance of the evidence.
It is the public policy of Georgia, as evidenced
by OCGA 17-7-131 (j), that it is cruel
and unusual punishment to execute "those defendants who have met the
burden of proving their mental retardation beyond a reasonable doubt
at the guilt-innocence phase in accordance with OCGA
17-7-131 (c) (3)." A jury finding that
a capital defendant is "guilty but mentally retarded" requires that
the trial court sentence the defendant to life imprisonment. If a
defendant fails to prove in the guilt-innocence phase that he is
guilty but mentally retarded, the issue of the defendant's mental
retardation is no longer conclusive to his sentence, but becomes
merely one of the mitigating factors that the jury can consider in
the penalty phase. The defendant who fails to prove mental
retardation in the guilt-innocence phase is not entitled to a charge
in the penalty phase on any burden of proof with regard to mental
retardation.
In Fleming v. Zant, this Court held that the
statutory prohibition against executing those defendants who can
prove their mental retardation applies to capital defendants who
were tried before the enactment of OCGA
17-7-131 (j). The Court established a procedure where, once a
habeas Court has determined that there has been a prima facie
showing of mental retardation, a jury trial is held to determine
whether the petitioner is mentally retarded so as to preclude his
execution. At this trial, the petitioner bears the burden of proving
his mental retardation by a preponderance of the evidence. This
procedure is designed to ensure that a defendant has "essentially
the same opportunity to litigate the issue of his mental retardation
as he would have had if the case were tried today, with the benefit
of the OCGA 17-7-131 (j) death-penalty
exclusion." Fleming specifies that this procedure is remedial only
and does not apply to capital defendants who are tried after the
effective date of OCGA 17-7-131 (j).
The question of what burden applies, beyond a
reasonable doubt or preponderance of the evidence, therefore depends
on when the trial was held. If Stephens was tried after the
enactment of OCGA 17-7-131 (j), he
would be required to prove mental retardation beyond a reasonable
doubt. If Stephens was tried before the enactment of OCGA
17-7-131 (j), he would be permitted to
prove mental retardation by a preponderance of the evidence. With
regard to this issue, Stephens's situation is unusual: the guilt-innocence
phase of his trial occurred before the enactment of OCGA
17-7-131 (j), and the sentencing phase
occurred afterwards.
We conclude that the timing of the guilt-innocence
phase determines which burden of proof applies. This must be so,
because the statutory scheme established by our legislature to
effectuate the public policy against execution of the mentally
retarded requires that the defendant's claim of mental retardation
be decided in the guilt-innocence phase. Like the petitioners in
Fleming and Foster, Stephens was unable to avail himself of this
statutory scheme. Therefore, like the petitioners in Fleming and
Foster, Stephens should have only been required at his 1989
sentencing trial to prove his mental retardation by a preponderance
of the evidence. Accordingly, we reverse Stephens's death sentence,
and remand for a sentencing trial where Stephens bears the burden of
proving his alleged mental retardation by a preponderance of the
evidence.
3. The trial court was not required to vacate
Stephens's convictions due to Stephens's purported mental
retardation. This Court affirmed Stephens's convictions in 1981 on
direct appeal, and the Eleventh Circuit Court of Appeals upheld
Stephens's convictions on federal habeas corpus.
4. At the 1989 sentencing trial, Stephens
presented psychiatric evidence in support of his claim of mental
retardation and mental illness. In order to rebut that evidence, the
State presented several doctors who had previously performed
physical and psychological examinations on Stephens. Stephens
objected, claiming that the use of these examinations violated his
Fifth Amendment right against self-incrimination, and his Sixth
Amendment right to have counsel be informed of the examinations and
their possible uses against Stephens at trial.
In rebuttal of Stephens's evidence of mental
retardation and illness, the State relied upon five previously
conducted physical and mental examinations. Stephens's examinations
in 1978 and 1979 had been ordered by trial courts, at the request of
Stephens's defense counsel at the time, in order to determine
competency and criminal responsibility. Stephens's examinations in
1981 and 1984 were conducted pursuant to a consent order entered in
an unrelated class-action lawsuit while Stephens was imprisoned,
which required the Department of Corrections to provide
psychological testing and treatment to all death-row inmates. A 1988
examination of Stephens was also conducted while he was in prison,
although (as explained below) the record is inconclusive as to who
requested that examination.
Because Stephens presented evidence of his
alleged mental retardation and mental illness through expert
witnesses, there is no Fifth Amendment error caused by the State
countering that evidence with psychiatric evidence of its own. When,
in support of a claim of mental retardation or illness, a capital
defendant
presents [expert] psychiatric evidence, then, at
the very least, the prosecution may rebut this presentation with
evidence from the reports of the examination that the defendant [relied
upon]. The defendant [has] no Fifth Amendment privilege against the
introduction of this psychiatric testimony by the prosecution . . .
[for] such a limited rebuttal purpose.
The reason for this is quite simple -- in
prosecutions such as this one, where the defendant does not testify
and asserts a defense of mental retardation through expert testimony,
the State could not respond unless it could present other,
countervailing, psychiatric evidence. Accordingly, we reject
Stephens's Fifth Amendment claim.
We also reject Stephens's Sixth Amendment claim
of insufficient notice of the examinations and the possibility that
they could be used against him at trial. The 1978 and 1979
examinations were requested by Stephens's trial counsel at the time,
so notice of these examinations was obviously provided to Stephens's
counsel. Stephens also claims that those two examinations were
conducted solely to determine competency and criminal responsibility,
and that counsel had no notice that they could be used to undermine
a mitigation defense of mental retardation and mental illness.
However, Stephens's counsel does not complain that the examinations
exceeded the scope of the notice, and Stephens's attorneys were
presumed to have understood that, if they "intended to put on a
'mental status' defense . . . [they] would have to anticipate the
use of psychological evidence by the prosecution in rebuttal." With
regard to the examinations conducted in 1981 and 1984, Stephens had
already been convicted and sentenced, and his direct appeal had been
exhausted. Therefore, his Sixth Amendment right to counsel had ended
with regard to those two examinations, which were conducted in the
normal course of prison administration, with no trial pending.
Finally Stephens has waived any objection to the
admission of the 1988 examination. The Eleventh Circuit issued its
opinion vacating Stephens's death sentence on April 22, 1988, and
shortly thereafter, a physical and neurological examination of
Stephens, to "rule out any significant disease," was conducted in
prison by Dr. Slade. A notation on Dr. Slade's report states that
the examination was "requested by AG's office." It is undisputed
that none of the lawyers representing Stephens were notified about
this examination. At trial, the results of Dr. Slade's examination
were elicited by the State from a defense expert on cross-examination.
The defense expert testified that he had reviewed Dr. Slade's report
while analyzing Stephens, and the jury heard part of Dr. Slade's
report read to the expert, who denied that it affected his diagnoses
of mental retardation and mental illness. Stephens did not object to
the State's questions of the defense witness with regard to the 1988
examination. Stephens later objected on Sixth Amendment grounds when
the State called Dr. Slade to testify in rebuttal to evidence
regarding the 1988 examination.
We are not persuaded by the State's argument that
Stephens had no Sixth Amendment right at the 1988 examination
because, even though the United States Supreme Court had not yet
denied the petition for certiorari, a new sentencing trial was
virtually assured in April 1988 when Stephens's death sentence was
vacated by the Eleventh Circuit. Stephens was in custody and the
State knew that Stephens almost certainly faced a second sentencing
trial where his mental status would be an issue. Further, the State
knew that Stephens was represented by counsel. However, " 'it is
necessary to object to evidence at the time it is actually offered,
and failure to do so amounts to a waiver of any objection which [the
party] might have had. [Cits.]' "
Stephens's claim that the 1988 examination
results should not have been admitted is therefore waived because
the jury had already heard, without objection, the part of Dr.
Slade's report that dealt with Stephens's mental state.
Stephens also complains about prosecutorial
misconduct because the Attorney General's office, by allegedly
ordering the 1988 examination without notice to Stephens's counsel,
engaged in an ex parte communication with a party it knew to be
represented by counsel.
The Attorney General requested a remand so that a
hearing could be held on this issue. At the hearing, members of the
Attorney General's office testified that they did not request the
examination, and Dr. Slade's supervisor, who wrote "requested by
AG's office" on the consultation request portion of the report, did
not remember why he made that notation. The trial court examined the
Attorney General's file and discovered no documents pertaining to an
examination request. Therefore, while we are concerned about the
unusual circumstances of the 1988 examination, we are constrained to
conclude that there is insufficient evidence to find prosecutorial
misconduct by the Attorney General's office associated with the
examination.
5. Because we have reversed Stephens's death
sentence, we need not address Stephens's remaining enumerations of
error.
THOMPSON, Justice, dissenting.
Although the guilt-innocence trial was held prior
to the effective date of OCGA 17-7-131,
it was determined by the Eleventh Circuit Court of Appeals that
Stephens was not denied effective assistance of counsel during that
proceeding. That Court took into consideration the results of a 1979
court-ordered psychiatric evaluation showing "no evidence of a
mental disability or disorder." Stephens v. Kemp, 846 F2d 642, 655
(11th Cir. 1988). The Court concluded that trial counsel's reliance
on that evaluation "was reasonable insofar as the guilt phase of the
proceeding, and [there was] no failure of counsel in that regard."
Id. Thus, Stephens neither had a viable mental retardation defense
at the time of his 1980 trial, nor was counsel deficient in failing
to inquire into the matter further.
Almost 20 years later, the majority would reverse
Stephens' second sentencing trial because the trial court failed to
instruct the jury on a preponderance of the evidence standard of
proof on the question of his mental retardation raised in mitigation
of imposition of the death penalty. The majority premises its
conclusion on the rationale of Zant v. Foster,
261 Ga. 450 (406 SE2d 74) (1991) and
Fleming v. Zant, 259 Ga. 687 (386 SE2d 339)
(1989). Those habeas corpus cases gave relief to capital
defendants who were tried before enactment of OCGA
17-7-131 (c) (3) and (j), the
statutory procedure preventing execution of mentally retarded
defendants. In my opinion, Fleming, Foster, and their progeny were
erroneously decided and should be overruled. The intent of those
cases was to provide for those defendants
essentially the same opportunity to litigate the
issue of [their] mental retardation as [they] would have had if the
case[s] were tried today, with the benefit of the OCGA
17-7-131 (j) death-penalty exclusion.
Zant v. Foster, supra at 451 (4). However, the
plain language of OCGA 17-7-131 (c)
(3), requires that a defendant prove his mental retardation "beyond
a reasonable doubt" in order to be found guilty but mentally
retarded. See Burgess v. State, 264 Ga. 777
(36) (450 SE2d 680) (1994). Thus, instead of providing a
capital defendant with the "same opportunity" as that defendant
would have with the benefit of the statutory procedure against the
execution of mentally retarded defendants, Fleming and Foster allow
such defendants the lesser burden of proving their retardation by a
preponderance of the evidence. Therein lies the fallacy. Because I
believe the trial court applied the correct standard of proof, I
would affirm Stephens' sentencing trial on this ground.
I am authorized to state that Justice Hunstein
and Justice Carley join in this dissent.
Notes
1 The crimes occurred on January 24, 1979. Stephens was indicted for
malice murder and three counts of aggravated assault on January 30,
1979. He was convicted of all counts by a jury on February 15, 1980. In
addition to the death sentence for the murder, Stephens received three
consecutive twenty-year sentences for the aggravated assaults. After
Stephens's death sentence was vacated by the Eleventh Circuit, the State
filed a notice of intent to seek the death penalty on October 10, 1989.
Stephens's sentencing trial was held November 14-22, 1989, and the jury
recommended a death sentence for the murder on November 22, 1989.
Stephens filed a motion for new trial on November 29, 1989, and a
supplemented motion for new trial on June 29, 1990, which was denied on
November 6, 1990. Stephens filed a notice of appeal to this Court on
November 26, 1990. The case was remanded back to the trial court at the
State's request for a hearing to determine the Attorney General's role
in ordering a state physical and neurological examination of the
defendant. The hearing was held on February 10, 1998, and the case was
re-docketed by this Court on April 16, 1998. The case was orally argued
on July 13, 1998.
Daniel J. Craig, District Attorney, Thurbert
E. Baker, Attorney General, Mary Beth Westmoreland, Deputy
Attorney General, Paula K. Smith, Senior Assistant Attorney
General, for appellee.
Peter D. Johnson, John R. Carroll, for
appellant.
DECIDED DECEMBER 4, 1998 -- RECONSIDERATION
DENIED DECEMBER 17, 1998.
Jury considers
death penalty
After two appeals, death
penalty will again be decided in case of 1979 killing of Richmond County
investigator
May 18, 2000
By Sandy HodsonStaff Writer - The Augusta Chronicle
William Kenny Stephens is going back to
prison for murder, but a jury's verdict today determines whether he
returns to death row or a regular prison cell.
The fact that Mr. Stephens, now 52, murdered Richmond
County sheriff's Investigator Larry D. Stevens Sr., 38, on Jan. 24,
1979, has never changed, but a third jury is faced with setting his
punishment, because two previous death sentences were vacated on appeal.
"I'm going to be very blunt . . . William Kenny
Stephens has only two paths to take out of this courtroom,'' defense
attorney Peter Johnson told the jury, referring to death or life in
prison. "The fact that Kenny Stephens was convicted of murder doesn't
mean that you have to impose the death penalty.''
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After three days of testimony, the jury received its legal instructions
and began deliberations late Wednesday afternoon. Within 10 to 15
minutes, the jurors sent a note to Judge Albert M. Pickett, asking
whether they could go home for the evening and whether life in prison
meant life without parole.
Judge Pickett sent the jury home for the night with
instructions to return this morning to continue deliberations. As to the
question of parole, he could tell the jury only what the law says about
that particular question: The jury is to consider ``life'' to mean the
remainder of a person's natural life, and parole isn't a subject for
jury consideration.
If the jury chooses life, or if all 12 jurors cannot
agree to impose a death sentence, Mr. Stephens will serve a sentence of
life, with the possibility of parole.
"This is not an athletic competition; this is a
search for the truth,'' District Attorney Danny Craig told the jury in
his closing argument. ``Your verdict will speak for the residents of
Richmond County . . . and no one will speak for them again.
"You will say . . . what we as a people feel about
the risks a police officer takes on by serving us every day. I do ask
that your verdict send a message. If they (police officers) are willing
to protect us, we should be willing to protect them,'' Mr. Craig argued.
Mr. Stephens didn't just shoot Investigator Stevens
once, the prosecutor argued. Mr. Stephens - whose prior criminal record
includes a number of automobile thefts, burglary and aggravated assault
- ambushed Investigator Stevens with a .30-caliber rifle.
The first shot rendered Investigator Stevens helpless
as the high-velocity bullet tore through the right arm of the right-handed
detective, Mr. Craig continued. Mr. Stephens then circled the officer's
vehicle, firing twice more.
In broad daylight, on a city street, Mr. Stephens
gunned down the investigator. Speak for the community, Mr. Craig said,
speak for the widow and three young children of Investigator Stevens and
tell them, ``Your husband and your father did not die in vain.''
No one can change what happened to Investigator
Stevens or the suffering it has caused his family, the defense countered,
but the jury can consider not only the crime but also who Mr. Stephens
is.
"The death penalty is reserved for the worst of the
worse . . . someone who is not human, has no humanity,'' Mr. Johnson
argued. "This is a man who actually has compassion. He's not beyond
redemption.''
Mr. Johnson and co-counsel Paul David presented Mr.
Stephens' family and other witnesses, who testified about the kind of
man Mr. Stephens was and continues to be behind prison walls, and a
clinical psychologist who had examined Mr. Stephens.
"Please understand the situation that William Kenny
Stephens was in and the limitations he had. I just want you to
understand it wasn't an ambush,'' Mr. Johnson said.
For 21 years, Mr. Stephens has lived behind bars,
mostly in a 6-by-9 cell for all but 32 hours a week, his attorney
reminded the jury. Every day he has to remember why he is in that cell,
Mr. Johnson said.
"Let Kenny Stephens continue walking down the road he
started on in March 1980. Let Kenny Stephens live,'' Mr. Johnson said in
closing.
Mr. Stephens was convicted in March 1980 and
sentenced to death. In 1989, a federal appeals court reversed his death
sentence, ruling it might have been imposed unfairly because no evidence
of Mr. Stephens' mental condition had been presented by his defense
attorney.
Later in 1989, a Richmond County Superior Court jury
sentenced Mr. Stephens to death for a second time. Mr. Stephens' case
stalled on appeal for six years as the Georgia Supreme Court waited for
the local court to conduct a hearing.
In December
1998, the state's high court reversed Mr. Stephens' sentence again,
ruling the jury had been given the wrong instructions by which to
consider certain evidence. Back in 1989, however, there was no
standardized set of legal instructions regarding mental condition and
possible mental retardation.