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Luther
Jerome WILLIAMS
Classification: Murderer
Characteristics:
Robbery
Number of victims: 1
Date of murder:
January 23,
1988
Date of birth:
November 15,
1959
Victim profile: John Robert Kirk
(male, 63)
Method of murder:
Shooting (.22 caliber pistol)
Location: Tuscaloosa County, Alabama, USA
Status:
Executed
by lethal injection in Alabama on August 23, 2007
The United States Court
of Appeals For the Eleventh Circuit
John Robert Kirk was on his way home from work and stopped his
vehicle, a red 1984 Chevrolet pickup truck with a camper, because of
mechanical problems near the West Blocton exit on Interstate 59.
Williams and two men were
traveling south on Interstate 59 in a vehicle stolen the day before.
They stopped and confronted Kirk, leading him to a nearby wooded
area and shot him once in the left side of the head with a .22
caliber pistol which had been in the trunk of the stolen vehicle.
The victim’s body was left at the
site of the shooting, and his money and vehicle were taken. Later
that same morning, several witnesses identified Williams as the
driver of a red ‘camper truck’ which was parked at the Smithfield
housing project.
The gun used in the shooting was
recovered from his girlfriend's home where Williams was arrested.
Kirk was a veteran of the Omaha Beach landing during World War II.
The two men who were with Williams
when they stopped to rob Kirk pleaded guilty to lesser charges.
Trosky Eric Gregory, now 43, is incarcerated at Staton Correctional
Facility in Elmore. Albert Charmichael Jr., now 45, was paroled in
2004.
Citations:
Williams v. Allen, 458 F.3d 1233 (11th Cir. Ala. 2001)
(Habeas). Williams v. State, 601 So.2d 1062 (Ala.Cr.App. 1991) (Direct
Appeal).
Final/Special Meal:
Hot dogs, a garden salad with French dressing, and orange juice.
Final Words:
“They told the other two guys to put it on me. I think it’s wrong. I
swear to God I did not kill him." After blaming prosecutors and law
enforcement, he called out his original defense attorney, "You
provided no defense. I didn’t have no defense, and that’s why I’m
here.” Williams went on to say he was never going to give up the
other two men. “My name is Luther Jerome Williams. I ain’t no black,
little rat,” he said.
ClarkProsecutor.org
Alabama
Department of Corrections
Inmate: Williams, Luther B.
DOC#: 00Z513
Race: Black
Gender: Male
Date of Birth: 11-15-59
Location: Holman CF (Death Row)
Assigned to Death Row: 02-12-90
County of Conviction: Tuscaloosa County
Alabama executes man for 1988 murder
B
y Peggy Gargis
-
Reuters News
Aug 23, 2007
BIRMINGHAM, Alabama (Reuters) - A man convicted
of shooting a World War Two veteran to death during a 1988 robbery
was executed by lethal injection on Thursday in Alabama.
The execution of Luther Jerome Williams, 47, for
the slaying of John Robert Kirk, who participated in the 1944 Omaha
Beach landing in France, was the state's third of 2007 and the 38th
since capital punishment was reinstated in 1976.
Williams was pronounced dead at 6:21 p.m. CDT at
Holman Correctional Facility in southern Alabama. He ate a hot dog,
a green salad and orange juice as a last meal, said Alabama
Department of Corrections spokesman Brian Corbett.
Williams spoke through the glass partition in the
execution chamber separating him from two members of the victim's
family, who came to witness his death, and proclaimed his innocence,
Corbett said.
He was sentenced in 1989 for the murder of Kirk,
who was shot in the back of the head. He had exhausted all his
appeals and the U.S. Supreme Court voted 5-4 on Thursday to deny a
stay of execution.
Attorneys Christopher Little and Joel Sogol also
wrote to Gov. Bob Riley on Monday asking for a stay until after a
federal judge rules in October whether Alabama's lethal injection
method of execution constitutes cruel and unusual punishment.
Williams' attorneys and Project Hope to Abolish the Death Penalty
said his mental status was never thoroughly evaluated, noting that
Williams, who had been arrested 15 times before his murder
conviction, lagged years behind his age group in school.
Riley issued a statement on Thursday rejecting
their request.
Luther Jerome
Williams executed
B
y Adam Jones
-
Tuscaloosa News
Friday, August 24, 2007
ATMORE | Minutes before his execution, Luther
Jerome Williams raised his head to look at the family of the man
Williams is convicted of killing 19 years ago. “I didn’t do it,”
Williams said to Peggy Guy, sister of victim John Robert Kirk.
Williams maintained his innocence until his last breath, which at
6:21 p.m. at Holman Correctional Facility in Atmore.
The 47-year-old was convicted in 1989 of shooting
Kirk, of Gordo, not far from Interstate 20/59 near West Blockton Jan.
22, 1988. Prosecutors said Williams was one of three men who saw the
63-year-old World War II veteran stopped on the side of the exit
ramp, shot him execution-style not far from the road and robbed him
of his wallet and truck. The then-28-year-old Williams was on the
run from a prison work release program.
After being read the death sentence by Warden
Grantt Culliver, Williams began speaking into the microphone
provided for his last words. Strapped to a gurney with his arms
outstretched, Williams said that the Tuscaloosa County district
attorney and chief of homicide told the two men with him that
Saturday of the murder to blame him. “They told the other two guys
to put it on me,” said Williams, who grew up in Birmingham. “I think
it’s wrong.”
The other men accused of Kirk’s murder pleaded
guilty and received life sentences. Trosky Gregory, now 43, is
serving his sentence at Staton Correctional Facility in Elmore, with
the possibility of parole. Albert Carmichael Jr., now 45, was
paroled May 3, 2004.
Williams has said in appeals to his conviction
that he was passed out drunk in the back seat of the car while the
other men shot Kirk.
After blaming prosecutors and law enforcement, he
called out his original defense attorney by name as another reason
he lay flat with tubes ready to deliver the lethal injection. “You
provided no defense,” Williams said passionately. “I didn’t have no
defense, and that’s why I’m here.”
Williams went on to say he was never going to
give up the other two men. “My name is Luther Jerome Williams. I
ain’t no black, little rat,” he said.
The stark white death chamber sits between two
rooms with windows. The room to Williams’ left is reserved for his
family, friends and media. On his right sat Kirk’s sister, Peggy Guy,
and her son, Lewis Kirk Guy. When the curtain to both rooms opened,
Williams peered into the windows. None of his family sat behind the
glass. Don Blocker, a volunteer minister at Holman, was the lone
familiar face.
After the microphone was removed and prison
officials began exiting, Williams looked to his left. Blocker raised
his hand, palm open, to the window, and Williams winced as if to
begin weeping. He quickly gathered himself and turned his head to
the Guys. With microphone gone, it was difficult to make out all
Williams said in his lengthy diatribe. He looked both in the eyes,
and swore to God he didn’t kill Kirk.
Wearing a green dress and black-framed glasses,
Peggy Guy chewed gum nearly emotionless most of the execution, but
always looking at her man convicted of killing her brother and,
occasionally, her wristwatch. When Williams spoke to her, her jaws
paused. She didn’t turn away and looked him square in the eye. Her
son grabbed her hand. The two declined to comment after the
execution, as did Blocker. Kirk’s widow, Norma, died a few years
ago, and his daughter in Florida did not come.
After the guards left. all that remained was
Chris Summers, prison chaplain. He asked Williams if he’d like to
pray, and then knelt beside the bed, holding his hand. He closed his
eyes and prayed along with the chaplain. Not long after, he breathed
deeply and readjusted his head on the pillow. A few seconds later
his hand lost the grip of Summers, who prayed a moment more before
stepping back at 6:07 p.m. His head tilted to the left, and his
mouth slightly open. Williams lay there until breathing ceased. The
curtain’s closed so the medical examiner could declare a time of
death.
And so prisoner 00Z513 died after nearly 18 years
on death row. His last appeal was denied 2-1 by the 11th Circuit
Court of Appeals Tuesday, and Gov. Bob Riley refused to stay his
execution.
“Mr. Williams committed a random, cold-blooded
crime that took the life of an innocent man almost 20 years ago,”
Riley said in a statement Thursday. “I see no reason to overturn the
sentence imposed by the jury and judge, and barring a decision by
the U.S. Supreme Court, I will not intervene in this scheduled
execution because there is no justifiable reason to delay it.”
Though Williams did not know of Riley’s decision till Thursday, his
last week was spent on deathwatch.
His post-conviction attorney, Joel Sogol, and a
law student visited Williams Monday. On Tuesday, he was moved to a
larger, isolated cell. He spent much of his time writing a couple of
letters, watching television and talking with officers, said Brian
Corbett, spokesman for the Alabama Department of Corrections.
Corbett did not know whom the letters were for. No visitors came
Tuesday, but on Wednesday he met his youngest son for the first
time.
Koreen Bush, 18, and his foster parents came.
Father and son talked for the first time two weeks ago. To his son,
Williams left all his possessions: a 13-inch black-and-white
television, one box of legal paper and a check for all that remained
in his prison account, $38.97. “He was very happy to get the
opportunity to visit with his youngest son,” Corbett said. Two
cousins also visited Wednesday. Williams also has three sisters, one
brother and another son, Dwight Bush, 23. None visited. Thursday,
Blocker, a spiritual advisor to Williams, and Summers were the only
visitors.
His last day began with a breakfast of grits,
eggs, biscuit, prunes, two cartons of milk and sausage and gravy.
For lunch, he requested a Coca-Cola and a hamburger from the vending
machine. Soft drinks are somewhat of a luxury since the kitchen does
not serve them. His last meal was hot dogs, a garden salad with
French dressing and orange juice.
“His mood is as good as can be expected
considering he’s about to die,” Corbett said Thursday afternoon. He
appeared agitated by his IV line before the warden read the death
sentence. “Calm down. It’s going to be OK,” Culliver said.
Williams wished to be cremated, and a couple in
Rhode Island accepted the body. They will pay for the cremation, and
give his remains to Koreen Bush, Corbett said.
Man who killed
stopped motorist executed
B
y Stan Diehl
-
Birmingham News
Friday, Aug 24, 2007
ATMORE - Luther Jerome Williams was put to death
by lethal injection Thursday for the 1988 killing of a Pickens
County man who had stopped on the shoulder of Interstate 20/59
because of trouble with his pickup.
Williams, 47, of Birmingham was pronounced dead
at 6:21 p.m. in the execution chamber at Holman Correctional
Facility. In the moments before the cocktail of lethal chemicals was
administered, he raised his head and spoke to the family of his
victim, professing his innocence.
Next, he prayed with prison chaplain Chris
Summers, who knelt to hold his hand. Williams then laid his head
down and drifted into unconsciousness.
Williams was convicted in 1989 for the Jan. 23,
1988, killing of John Kirk. Kirk, 63 and a veteran of the Omaha
Beach landing during World War II, had stopped his truck on the
shoulder of the interstate in eastern Tuscaloosa County because of
mechanical problems.
Williams and two other men stopped and then
robbed him. Williams led Kirk to the nearby woods where he forced
him to kneel and shot him in the head, execution style,
investigators said.
Williams maintained his innocence to the end. In
his final statement, Williams said the Tuscaloosa County district
attorney and police convinced his two accomplices to pin Kirk's
murder on him. "They told the other guys to put it on me, ... and I
think it's wrong," he said.
He implied he would not have turned against his
accomplices. "I ain't a black little rat," he said. Williams also
said he was being executed because of a faulty defense. "I did not
have no defense," he said during his final statement.
One of the earlier appeals Williams lost claimed
his defense lawyer made too little effort to point out his troubled
history. At sentencing in 1989, the judge considered several factors,
including Williams' unstable childhood, his "anti-social personality
disorder" and his extensive drug and alcohol abuse. But the judge
described these mitigating factors as "weak,"
Williams had twice unsuccessfully appealed to the
U.S. Supreme Court, and also lost an 11th-hour appeal to a federal
district court, where his lawyer argued that lethal injection is a
violation of the constitutional ban on cruel and unusual punishment.
The 11th U.S. Circuit Court of Appeals ruled
Tuesday that Williams waited too long to challenge lethal injection.
His real goal was to delay his execution, the court found. Williams
also unsuccessfully appealed to state courts, arguing that his trial
lawyer was deficient. He claimed in that appeal that his lawyer
didn't thoroughly review information about the time Williams spent
in a mental health facility. Gov. Bob Riley refused to intervene,
saying there was no reason to delay the execution of a man convicted
in a "random, cold-blooded crime" almost 20 years ago.
Williams, who had spent 17 years on Death Row,
met his 18-year-old son Koreem Bush for the first time on Wednesday,
and spoke to him over the telephone for the first time two weeks
ago. His son did not witness the execution. Witnessing the execution
on Williams' behalf was a prison volunteer.
For his last meal, Williams requested hot dogs, a
green salad with French dressing and orange juice. He left his
possessions, consisting of legal papers, a television and $38.97, to
his son.
Two of Kirk's family members, his sister Peggy
Guy and nephew Lewis Kirk Guy witnessed the execution. Both declined
to comment. They sat silently in the witness room holding hands as
the execution took place.
The two men who were with Williams when they
stopped to rob Kirk pleaded guilty to lesser charges. Trosky Eric
Gregory, now 43, is incarcerated at Staton Correctional Facility in
Elmore. Albert Charmichael Jr., now 45, was paroled in 2004.
ProDeathPenalty.Com
On January 22, 1988, a 1981 dark blue Oldsmobile
Regency automobile was stolen from a motel parking lot in
Birmingham, Alabama. In the trunk of this vehicle was, among other
items, a .22 caliber pistol. A dark blue car arrived at the
Smithfield housing project in Birmingham later that same evening and
Luther Jerome Williams was identified as the sole occupant.
On the morning of January 23, 1988, John Robert
Kirk was on his way home from work. He stopped his vehicle – a red
1984 Chevrolet pickup truck with a camper on the back – near the
West Blocton exit on Interstate 59 South in Tuscaloosa County.
Williams and two men were traveling south on Interstate 59 in the
stolen Oldsmobile.
After noticing the victim’s vehicle beside the
road, they stopped and confronted him. Williams led the victim to a
nearby wooded area and shot him once in the left side of the head,
‘execution style,’ with the .22 caliber pistol which had been in the
trunk of the stolen Oldsmobile. The victim’s body was left at the
site of the shooting, and his money and vehicle were taken.
Later that same morning, several witnesses
identified Williams as the driver of a red ‘camper truck’ which was
parked at the Smithfield housing project. One of these witnesses,
Priscilla Jones, a relative of Williams', testified that Williams
had visited her on the day of the murder. She stated that Williams
told her that ‘he had killed a white man and stole his truck,’ and
that he proceeded to show her the weapon, which she described as
having a white handle.
On the night of January 24, 1988, after
responding to a call placed by a Rosie Mims, members of the
Birmingham Police Department interviewed Priscilla Jones regarding
Williams. During this interview, the Birmingham police learned of
Williams' statement to Ms. Jones concerning the shooting of a white
man. They were also informed that he was staying at an apartment in
the housing project, and that he was an escapee from the supervised
intensive restitution (SIR) program.
During the very early morning hours of January
25, 1988, after verifying that Williams had indeed escaped from the
SIR program and that a warrant was still outstanding, the Birmingham
police went to the apartment in the Smithfield housing project where
Williams was reportedly staying.
The officers talked with the lessee of the
apartment, Margie Bush. They inquired as to the whereabouts of
Williams and his girlfriend, Debra “Bootsie” Bush. Margie Bush
turned toward a curtain which separated the front of the apartment
from the back bedroom and shouted for Bootsie, who then appeared
from behind the curtain. Bootsie stated that she did not know where
Williams was at that time. However, one of the officers happened to
look behind the curtain and saw Williams lying in the bed. After a
struggle, Williams was taken into custody.
The supervising officer then informed Margie Bush
that Williams was thought to have a gun and requested permission to
search the apartment for it. Margie Bush gave her permission. During
the search, Bootsie stated that Williams had hidden the gun in the
bedroom. The murder weapon was found inside a black purse located on
top of a dresser in the room in which Williams was apprehended.
Williams was indicted on April 29, 1988, for the
murder of John Robert Kirk during a robbery. After his indictment,
Williams was sent at his own request to the Taylor Hardin Secure
Medical Facility for an evaluation of his mental competency to stand
trial.
Evidence was presented at trial that while at
Taylor Hardin, Williams made the statement ‘I have killed one white
m___ f____; I’ll kill another one.’ However, there was some conflict
regarding the person to whom the statement was directed. Williams
was found to be competent to stand trial and was discharged from the
facility on December 23, 1988.
Luther Jerome Williams's final
moment nears
By Stephanie Taylor - TuscaloosaNews.com
Sunday, August 12, 2007
Not many people know the exact date and time they
will die.
Luther Jerome Williams does. He has 11 days.
John Robert Kirk didn’t. Williams decided that for
him.
As a 20-year-old sailor in the Navy, Kirk had
survived World War II and its bloody allied invasion of Omaha Beach in
1944.
But in 1988, at the age of 63, he was gunned down
by a stranger for his wallet and truck.
Williams was sentenced to death in 1989 for
shooting Kirk as he tried to repair his truck on the side of the
interstate on Jan. 23, 1988.
Williams and two other young men were accused of
robbing Kirk and shooting him execution-style near the West Blocton
exit of Interstate 20/59 and leaving him for dead.
Williams, now 48, was 28 at the time and an escaped
convict. He is scheduled to die by lethal injection at 6 p.m. on Aug.
23.
Williams’ post-conviction attorneys say he deserves
to live because he has mental problems and may not have pulled the
trigger.
But the Tuscaloosa attorney who prosecuted the case
says that Williams is a perfect example of why the death penalty
exists.
“John Robert Kirk was an absolutely innocent victim,"
said Danny Lemley, a former assistant district attorney now in private
practice. “Luther is why they have the death penalty. That could have
been anybody that he killed."
The other men accused of Kirk’s murder pleaded
guilty to less serious charges of felony murder and received life
sentences.
Trosky Gregory, now 43, is serving his sentence at
Staton Correctional Facility in Elmore, with the possibility of parole.
Albert Carmichael Jr., now 45, was paroled May 3, 2004.
Williams’ attorneys have filed a federal suit
challenging the state’s method of lethal injection. The case is before
the 11th Circuit Court of Appeals with a request for a stay of
execution.
Tuscaloosa attorney Joel Sogol said that Williams
had inadequate representation during his trial, partly because the
state provided little money for the defense and not enough for a
comprehensive psychiatric evaluation.
A troubled past
After Williams’ conviction, psychiatrists at
Taylor-Hardin concluded that “the only diagnosis for Williams would be
that of antisocial personality disorder. They noted no other evidence
of mental illness and stated that Williams was within normal ranges of
intelligence," according to an investigation report from the Alabama
Board of Pardons and Paroles.
Sogol said he doesn’t buy that.
Instead of an in-depth evaluation, a social worker
spoke with Williams briefly a week before the trial, he said. Sogol
and Rhode Island attorney Chris Little were unable to get money from
the state for post-conviction tests, which could cost several thousand
dollars.
“It’s very likely he has mental problems," Sogol
said. He says Williams is probably borderline mentally retarded and
has other mental illnesses. Sogol said the state should provide money
to conduct the tests.
“If you’re going to kill somebody, why not make
sure that everything’s right?" he asked.
Williams has been very quiet during Sogol’s visits,
he said, and has never been aggressive.
“He had a horrendous childhood," Sogol said.
But the jury didn’t have a chance to hear about
that. Williams’ defense counsel did not call any witnesses to testify
about his troubled childhood, Sogol said. He said if jurors had gotten
a better picture of Williams’ life and mental issues, he might have
received a less harsh punishment.
According to court documents, Williams was first
arrested at 16 for burglarizing a coin-operated machine. He was
arrested 15 more times before he killed Kirk and was convicted five
times, not including the murder conviction.
The charges included burglary, receiving stolen
property, armed robbery and drug charges. He served years in prison on
some of the charges and had escaped from a work release program a week
before Kirk was killed.
Court files indicate that Williams was abandoned by
his parents and lived with his grandmother in Birmingham until she
died when he was 7. He then lived with his sister’s grandmother, who
adopted the children before she died in 1989.
His attorneys wrote in an appeal that he was often
locked out of his home as a teenager and at age 16 was only 4 feet, 10
inches tall and 65 pounds.
Williams was expelled from school after a fight,
when he was a 20-year-old ninth-grader. He told a parole officer in
1990 that he had been seeing two girls, and he “popped" one of them
because he thought she was going to stab him.
Williams told officials that he began shoplifting
at about age 9 or 10 but was never arrested for a crime until he was
16.
Records from Taylor-Hardin Secure Medical Facility
that were referenced in court documents note several scars Williams
bore. Two were from an operation on his left jaw after he was struck
by “a flying object" in 1981, and another was for back surgery after
he was stabbed that same year. He has a scar from a fight at a
football game and another from a fight with a girlfriend.
He reported an extensive history of alcohol and
marijuana use and said he had drunk a half-gallon of whiskey and
smoked a “dime bag" of marijuana the night before Kirk’s murder.
Williams told the parole officer that he had worked
for a property management company doing masonry, but the company was
unable to verify his employment.
The victim
John Robert Kirk was heading home to Gordo from his
job in Helena on that cold January night in 1988.
Some nights, he stayed in a travel trailer near the
Plantation Pipeline Co. Other nights, he made the drive down Alabama
Highway 25, got on Interstate 20/59 at Exit 97 and drove the rest of
the way home to Gordo.
It was on one of these nights that Kirk decided to
make the 80-mile trip. For some reason, he stopped alongside the
interstate ramp. Homicide investigators believe he was having trouble
with the brakes on his Chevrolet pickup.
His body was found in the woods 200 feet from the
ramp. Autopsy results indicated that Kirk had probably been forced to
his knees before he was killed with a single bullet to the back of the
head.
“This is a straightforward, clean case all around
-- a no-brainer," said Lemley, who is now in private practice in
Tuscaloosa. “What they did is horrible, and there need to be
consequences.
“John Robert Kirk was a veteran. He was a hard-working
man. He worked all his life. These were just good people."
Kirk’s wife, Norma, died several years ago, Lemley
said. He said Williams should have been put to death during Norma
Kirk’s lifetime. The couple’s only child, Karen, is married and lives
in Florida.
Norma Kirk spoke to The Tuscaloosa News after her
husband’s murder.
She said her husband was an active 63-year-old who
enjoyed his work. He worked for Plantation Pipe Line Co. for 37 years,
and he was eligible for retirement with full benefits two years before
his death.
“He often spoke of 'when I retire,’ but anyone who
heard him knew that he was not talking about tomorrow," Norma Kirk
told reporter Harry Satterwhite for a story on Feb. 1, 1988. “He
enjoyed his job, and his fellow employees."
She said her husband loved being outdoors and had
sought a postsecondary degree in biology from the University of
Alabama, but stopped just before his dissertation. He graduated from
Livingston University in 1951.
“He fed the birds daily," she said. “He did not
hunt, but he enjoyed watching the birds and other wildlife. His most-used
books were those on birds."
The Kirks lived in the Kirk community in Pickens
County, which at the time of his death no longer had a post office,
but still appeared on state maps. The Kirks lived on 185 acres that
had been in his family for four generations. He is buried in the
family cemetery in Mount Olivet.
Running out of time
Williams’ murder conviction has been upheld at
every step of the appeals process. His last chance to live is the
lawsuit his attorneys filed in U.S. District Court that challenges
Alabama’s method of execution.
It claims the state does not use medically approved
procedures or properly trained staff and that Williams will suffer
excruciating pain during the execution.
A federal judge dismissed the case, but Williams
has appealed to the 11th Circuit Court of Appeals. His attorneys have
asked for a stay of the execution pending the outcome. Similar suits
filed by death row inmates have been unsuccessful.
Williams v. State,
601 So.2d 1062 (Ala.Cr.App. 1991) (Direct Appeal).
Defendant was convicted in the Circuit Court,
Tuscaloosa County, Joseph A. Colquitt, J., of intentional murder
during course of robbery, and he was sentenced to death. Appeal was
taken. The Court of Criminal Appeals, Taylor, J., held that: (1) 22-month
delay between date of arrest and date of trial did not violate
defendant's speedy trial rights; (2) defendant had no expectation of
privacy in purse in which murder weapon was found where purse was in
area of apartment to which all occupants had access; and (3)
sentence of death was not excessive. Affirmed.
TAYLOR, Judge.
The appellant, Luther Jerome Williams, was convicted of intentional
murder during the course of a robbery, made a capital offense by §
13A-5-40(a)(2), Code of Alabama 1975. The jury recommended that the
appellant be sentenced to death. The trial court accepted its
recommendation and sentenced the appellant to death by electrocution.
A brief chronology of the events leading to the
appellant's conviction and this appeal is necessary to understand
the issues raised in this appeal. The evidence tended to show the
following:
On January 22, 1988, a 1981 dark blue Oldsmobile
Regency automobile was stolen from a motel parking lot in
Birmingham, Alabama. In the trunk of this vehicle was, among other
items, a .22 caliber pistol. A dark blue car arrived at the
Smithfield housing project in Birmingham later that same evening and
the appellant was identified as the sole occupant.
On the morning of January 23, 1988, John Robert
Kirk was on his way home from work. He stopped his vehicle-a red
1984 Chevrolet pickup truck with a camper on the back-near the West
Blocton exit on Interstate 59 South in Tuscaloosa County. The
appellant and two men were traveling south on Interstate 59 in the
stolen Oldsmobile.
After noticing the victim's vehicle beside the
road, they stopped and confronted him. The appellant led the victim
to a nearby wooded area and shot him once in the left side of the
head, “execution style,” with the .22 caliber pistol which had been
in the trunk of the stolen Oldsmobile. The victim's body was left at
the site of the shooting, and his money and vehicle were taken.
Later that same morning, several witnesses
identified the appellant as the driver of a red “camper truck” which
was parked at the Smithfield housing project. One of these witnesses,
Priscilla Jones, a relative of the appellant's, testified that the
appellant had visited her on the day of the murder. She stated that
the appellant told her that “he had killed a white man and stole his
truck,” and that he proceeded to show her the weapon, which she
described as having a white handle.
On the night of January 24, 1988, after
responding to a call placed by a Rosie Mims, members of the
Birmingham Police Department interviewed Priscilla Jones regarding
the appellant. During this interview, the Birmingham police learned
of the appellant's statement to Ms. Jones concerning the shooting of
a white man. They were also informed that he was staying at an
apartment in the housing project, and that he was an escapee from
the supervised intensive restitution (SIR) program.
During the very early morning hours of January
25, 1988, after verifying that the appellant had indeed escaped from
the SIR program and that a warrant was still outstanding, the
Birmingham police went to the apartment in the Smithfield housing
project where the appellant was reportedly staying.
The officers talked with the lessee of the
apartment, Margie Bush. They inquired as to the whereabouts of the
appellant and his girlfriend, Debra “Bootsie” Bush. Margie Bush
turned toward a curtain which separated the front of the apartment
from the back bedroom and shouted for Bootsie, who then appeared
from behind the curtain. Bootsie stated that she did not know where
the appellant was at that time. However, one of the officers
happened to look behind the curtain and saw the appellant lying in
the bed. After a struggle, the appellant was taken into custody.
The supervising officer then informed Margie Bush
that the appellant was thought to have a gun and requested
permission to search the apartment for it. Margie Bush gave her
permission. During the search, Bootsie stated that the appellant had
hidden the gun in the bedroom. The murder weapon was found inside a
black purse located on top of a dresser in the room in which the
appellant was apprehended.
The appellant was indicted on April 29, 1988, for
the murder of John Robert Kirk during a robbery. After his
indictment, the appellant was sent at his own request to the Taylor
Hardin Secure Medical Facility for an evaluation of his mental
competency to stand trial. Evidence was presented at trial that
while at Taylor Hardin, the appellant made the statement “I have
killed one white m____ f____; I'll kill another one.”
However, there was some conflict regarding the
person to whom the statement was directed. The appellant was found
to be competent to stand trial and was discharged from the facility
on December 23, 1988.
After numerous continuances, the appellant's
trial began on November 27, 1989. The jury returned a verdict of
guilty on November 30, 1989. The sentencing phase of the appellant's
trial began on December 1, 1989, and that same day, the jury
returned its recommendation that the appellant be sentenced to death.
Initially, we observe that many of the issues
that the appellant raises in his supplemental brief are issues as to
which no objections were made during the course of the trial. While
this will not bar our review in a case involving the death penalty,
it will weigh against any claim of prejudice. “Rule 45A requires
this court to ‘notice any plain error or defect ..., whether or not
brought to the attention of the trial court, and [to] take
appropriate appellate action by reason thereof, whenever such error
has or probably has adversely affected the substantial right of the
appellant.’ ” Arthur v. State, 575 So.2d 1165 (Ala.Cr.App.1990),
cert. denied, 575 So.2d 1191 (Ala.1991).
* * *
The appellant next argues that the prosecutor
impermissibly stated during his rebuttal closing argument in the
guilt phase of the trial that the appellant would kill again. No
objection was made to this comment. While the fact that no objection
was made will not preclude review in a case where the appellant has
been sentenced to death, it will weigh against any claim of
prejudice. See Dill v. State, 600 So.2d 343 (Ala.Cr.App.1991);
Kuenzel v. State, 577 So.2d 474 (Ala.Cr.App.1990), aff'd, 577 So.2d
531 (Ala.1991). “ ‘This court has concluded that the failure to
object to improper prosecutorial arguments ... should be weighed as
part of our evaluation of the claim on the merits because of its
suggestion that the defense did not consider the comments in
question to be particularly harmful.’ ” Dill, 600 So.2d at 356,
quoting Kuenzel, 577 So.2d at 489.
The prosecutor made the following statement
during his rebuttal closing argument:
“Circumstantial evidence is kind of like a big
rat and a little rat in a box. Circumstantial evidence is when you
put that lid on that box at night and make sure there are no holes.
And you open up the box the next day. The big rat ... is still there
but the little mouse is gone. You look down there and you say,
‘Well, that big rat ate that little mouse’ which is what you have in
this case. But then what happens is that you look at that big rat
and what does the big rat say? This is not circumstantial evidence.
He says, ‘I ate the mouse.’ He says that to some of the first people
that saw him. He also has in his possession some of the fur of the
little mouse that the little mouse had. And also at a later time he
says ‘I ate the little mouse and I will eat another little mouse if
you give me a chance.’ ”
The appellant maintains that the underlined
portion of the argument was a comment that the appellant would kill
again. (The analogy is similar to statements made by the trial court
in its instructions to the prospective jurors during voir dire and
statements made by defense counsel in his closing argument.) The
prosecutor's statement was a comment on the statement made by the
appellant, which was received into evidence at trial. See part V of
this opinion. “ ‘The test of legitimate argument is that whatever is
based on a fact or facts in evidence is within the scope of proper
comment in argument to the jury.’ ” White v. State, 587 So.2d 1218,
1229 (Ala.Cr.App.1990). “Whatever is in evidence is considered
subject to legitimate comment by counsel.” Bankhead v. State, 585
So.2d 97 (Ala.Cr.App.1989), aff'd, 585 So.2d 112 (Ala.1991). See
also Ward v. State, 440 So.2d 1227 (Ala.Cr.App.1983). “The
prosecutor has the right to present his impressions from the
evidence. He may argue every matter of legitimate inference and may
examine, collate, sift, and treat the evidence in his own way.” (Citations
omitted.) Donahoo v. State, 505 So.2d 1067, 1072 (Ala.Cr.App.1986).
Furthermore, “ ‘[s]tatements of counsel in
argument to the jury must be viewed as having been made in the heat
of the debate, and such statements are usually valued by the jury at
their true worth.’ ” Stephens v. State, 580 So.2d 11 (Ala.Cr.App.1990),
aff'd, 580 So.2d 26 (Ala.1991), quoting Harris v. State, 539 So.2d
1117, 1123 (Ala.Cr.App.1988). No plain error occurred here.
The appellant also argues that the prosecutor
emphasized the race of the appellant to urge the jury to return a
verdict of death. No objections were made to any evidence received
at trial that may have emphasized the race of the appellant. We must
apply the plain error analysis, i.e., is the error so egregious that
it seriously affected the fairness and integrity of the proceeding?
See Dill and Kuenzel.
The following statement made by the appellant
while he was at Taylor Hardin, was received into evidence. “I killed
one white m____ f____; I'll kill another one.” (See part V of this
opinion.) Priscilla Jones also testified that the appellant said
that he had killed a white man. These statements were not brought
out to emphasize race. These were statements made by the appellant
himself. There is absolutely no evidence in the record that the
prosecuting attorney tried to prejudice the minds of the jurors by
emphasizing the difference in race between the appellant and the
victim.
Furthermore, the trial court made the following
admonition to the jury concerning race:
“The fact that the deceased was a white man or
that the defendant was a black man is irrelevant insofar as your
determination and duty in this case is concerned. Whether or not
race played any part in the death of John Robert Kirk and regardless
of the presence, if any, of any racial epithets or statements,
considerations of race simply do not enter into this courtroom or
inject themselves into your consideration of the evidence in the
case.” No plain error exists here.
The appellant further argues that he was
prejudiced by the following remarks made by the prosecutor in his
closing argument in the guilt phase of the trial:
“You heard his comment about ‘Well, it's just as
possible that Trosky and Carmichael were the ones that shot Mr. Kirk
as anybody else,’ and I submit to you: What fathom of evidence at
all indicates that they were involved in the execution of John
Robert Kirk? What fathom of evidence at all indicates that this
weapon hidden in a purse in that very room-if you are going to use
this as an item to pawn, you don't hide it in the room that you are
staying in; you hide it somewhere else or you get rid of this quick.
If you are going to use it as a tool of the trade, you keep it handy.”
“The last thing I will submit to you is that, you
know, when you talk about circumstantial evidence, one thing
everybody says is when some parts of the case are circumstantial,
circumstantial evidence is just as good as regular evidence. You
notice he didn't comment on this part at all. In this case, first
you have the circumstance that he is found with the murder weapon.
That in and of itself is sufficient circumstances unless something
else is shown as to why that person had that gun other than they did
the killing. There is no evidence of that whatsoever.”
Defense counsel had, prior to the above comments
made by the prosecutor, argued the following in his closing argument:
“Reasonable doubt is a doubt for which you have a reason. If you can
tell me, ladies and gentlemen, that based on the facts in this case
that you can exclude Trosky Gregory and Albert Carmichael as the
persons that pulled the trigger in this case based on the evidence
that is before you like going out to the scene.... “....
“I want to talk to you about the gun. To the
person who shot Mr. Kirk, this is a weapon, but to a thief who
steals and pawns things, this is money; this is money. To the person
who shot Mr. Kirk, you take this with the knowledge that Mr. Kirk
has been shot and you get rid of this evidence. To the person who
has stolen that and has not used it as a murder weapon, you keep it
until you sell it. Which did Luther Williams do? He kept it in a
purse at the house. He didn't get rid of it.”
Initially, we observe that no objections were
made to the complained-of portions of the prosecutor's argument.
While this does not bar review in a case involving the death penalty,
it will weigh against any prejudice that the appellant may have
suffered. See Kuenzel.
It is clearly impermissible for a prosecutor to
directly comment on a defendant's failure to testify at trial. See
Griffin v. California, 380 U.S. 609, 85 S.Ct. 1229, 14 L.Ed.2d 106
(1965). However, the above comments made by the prosecutor in his
rebuttal were replies to the comments made by defense counsel in his
closing argument. “When the door is opened by defense counsel's
argument, it swings wide, and a number of areas barred to
prosecutorial comment will suddenly be subject to reply.” Davis v.
State, 494 So.2d 851, 855 (Ala.Cr.App.1986). Recently this court, in
Stephens, supra, stated the following regarding prosecutor's
statements in arguments:
“ ‘... “[I]t must be examined in its context and
in light of what had transpired, that is, in light of preceding
argument of defense counsel, to which the prosecutor's argument was
an answer.” Washington v. State, 259 Ala. 104, 65 So.2d 704 (1953);
Gibson v. State, 347 So.2d 576 (Ala.Crim.App.1977); Rutledge v.
State [482 So.2d 1250] [Ms. 5 Div. 610, August 16, 1983] (Ala.Crim.App.1983).
The rule in Alabama is that “remarks or comments of the prosecuting
attorney, including those which might otherwise be improper, are not
grounds for reversal when they are invited, provoked, or occasioned
by accused's counsel and are in reply to or retaliation for his acts
and statements.” Shewbart v. State, 33 Ala.App. 195, 32 So.2d 241,
cert. denied, 249 Ala. 572, 32 So.2d 244 (1947); Camper v. State,
384 So.2d 637 (Ala.Cr.App.1980); Wilder v. State, 401 So.2d 167
(Ala.1981), cert. denied, 454 U.S. 1057, 102 S.Ct. 606, 70 L.Ed.2d
595 (1981); Miller v. State, 431 So.2d 586 (Ala.Crim.App.1983);
Rutledge, supra.’ ”Stephens, 580 So.2d at 21, quoting Henderson v.
State, 460 So.2d 331, 333 (Ala.Cr.App.1984). The United States
Supreme Court in United States v. Robinson, 485 U.S. 25, 108 S.Ct.
864, 99 L.Ed.2d 23 (1988), narrowed the Court's holding in Griffin
concerning a prosecutor's comment on the defendant's failure to
testify and stated the following:
“ ‘[T]he protective shield of the Fifth Amendment
should [not] be converted into a sword that cuts back on the area of
legitimate comment by the prosecutor on the weaknesses in the
defense case.’... “.... “ ‘[T]he central purpose of a criminal trial
is to decide the factual question of the defendant's guilt or
innocence.... To this end it is important that both the defendant
and the prosecutor have the opportunity to meet fairly the evidence
and arguments of one another.’ ” Robinson, 108 S.Ct. at 869. (Citations
omitted.)
After evaluating the prosecutor's comments in
relation to the whole case, we cannot say that this comment, which
was a reply in kind to a statement made by defense counsel in his
closing argument, amounted to plain error. See Dill. To constitute
plain error the error must be so “egregious as to ‘seriously affect
the fairness or integrity of the judicial proceedings.’ ” Dill, 600
So.2d at 355; quoting, Ex parte Womack, 435 So.2d 766 (Ala.), cert.
denied, 464 U.S. 986, 104 S.Ct. 436, 78 L.Ed.2d 367 (1983).
Furthermore, there is some question whether the
comment was intended to be a reference to the appellant's failure to
testify. See Duncan v. Stynchcombe, 704 F.2d 1213 (11th Cir.1983).
* * *
The appellant also contends in his supplemental
brief that there was insufficient evidence to find him guilty of
murder committed during the course of a robbery. We do not agree.
The evidence was clearly sufficient for the jury to find beyond a
reasonable doubt that the appellant was guilty of capital murder.
The state's evidence tended to show that on
January 23, 1988, the victim was shot, execution style, with one
bullet to the head. The appellant and two other individuals were on
Interstate 59, South, when they saw the victim's car on the side of
the road. They took the victim to a wooded area and shot him once in
the head at very close range. The victim's money and truck were
taken from the site.
Later that same day, the appellant was seen
driving the victim's truck. The appellant went to visit a relative
and showed her a gun and bullets and said that he had killed a white
man and stole his truck. A statement was also admitted which was
made by appellant in which he said, “I have killed one white m____
f____; I'll kill another one.” This evidence was clearly sufficient
to present the issue of appellant's guilt to the jury for their
determination. There is no reason to disturb their verdict on
appeal. “We will not substitute our judgment for that of the jury.”
Neal v. State, 460 So.2d 257, 260 (Ala.Cr.App.1984).
* * *
The appellant next argues that the trial court
erred in its written findings as to mitigation. Specifically, he
argues that the trial court erred in finding that the mitigating
circumstance of the defendant's having no significant history of
prior criminal activity under § 13A-5-51(1), Code of Alabama 1975,
was not applicable. The trial court made the following findings:
“ The mitigating circumstances. The defense
asserted the presence of mitigating circumstances. Although the
defense did not rely on all of the statutory mitigating
circumstances, the court reviews all of the statutory mitigating
circumstances in this sentencing order.
“1. The defendant has no significant history of
prior criminal activity. See Ala.Code § 13A-5-51(1) (1982 repl.
vol.). The court finds that this mitigating circumstance is
inapplicable.
“The defense argued that the defendant has no
significant history of prior criminal activity. According to the
defense this mitigating circumstance should be deemed established by
the absence of previous convictions for crimes of violence. Although
the defendant does not have a record of prior convictions for
violent felonies, he does have a history of prior criminal activity,
and that history is significant.
In 1979 he was convicted of grand larceny. By his
own account, he was sent to the Frank Lee Youth Center, but after
only four months he was transferred to Draper prison. Then he was
placed in a work-release program in Mobile, but was ‘busted’ for
shoplifting and returned to prison, this time at Atmore.
In 1981 he was convicted of burglary in the third
degree. He served the two-year sentence. Obviously, though, he did
not serve the entire sentence, for in 1982 he was convicted of
possessing burglar's tools.
In 1983 he was convicted of two counts of
breaking and entering a motor vehicle and one count of burglary in
the third degree. He served a split sentence on the burglary
conviction.
In 1984 he was convicted of receiving stolen
property, burglary in the third degree, and violation of the Alabama
Controlled Substances Act. He was given two fifteen year sentences
to run concurrently on the first two convictions. He was on escape
from these sentences when he committed this capital offense. He also
has been convicted of giving false information and disorderly
conduct.
Moreover, in 1978 the defendant was adjudicated a
youthful offender in 1978 based on a charge of grand larceny. The
court can consider that adjudication. See Ala.Code § 15-19-7(a)
(1982 repl. vol.) (‘[I]f he is subsequently convicted of crime, the
prior adjudication as youthful offender shall be considered.’).
This mitigating circumstance refers to no
significant history of prior criminal ‘activity,’ not convictions.
Even if that adjudication were not considered by the court though,
the defendant nevertheless has an extensive criminal record.
“Additionally, the defendant has served at least
portions of six separate sentences. He has had at least one
probation sentence revoked. He has violated the conditions in two
separate work release programs. Thus, disregarding the youthful
offender adjudication and the misdemeanor convictions, the defendant
has five prior felony convictions.
“The defense proffered the opinion of a witness
that ‘the defendant does not have a significant history of violent
or assaultive behavior in his prior criminal activity.’ That is true,
but does not establish this mitigating circumstance. The statutory
definition never refers to violent or assaultive conduct. The court
discussed this circumstance to this degree only in deference to the
defense's argument that it was present. The defendant's long and
substantial history of criminal behavior requires the court to
reject this mitigating circumstance.”
We agree with the trial court. The appellant did
have a significant history of prior criminal conduct. It was
sufficient enough not to invoke the mitigating provision of §
13A-5-51(1), Code of Alabama 1975. This section states that,
“Mitigating circumstances shall include ... (1) The defendant has no
significant history of prior criminal activity.”
The appellant argues that § 13A-5-51(1) should
apply since he has no prior convictions which involve violent
behavior. We do not agree. “Unlike the aggravating circumstance
related to prior criminal acts, this mitigating circumstance is not
restricted to prior convictions of capital felonies or felonies in
which violence was used.” Colquitt, Death Penalty Laws, 33 Ala.L.Rev.
213, 300 (1982). We have upheld the practice of not applying this
mitigating provision when the significant history was based on prior
misdemeanor convictions. See Richardson v. State, 376 So.2d 205 (Ala.Cr.App.1978),
aff'd, 376 So.2d 228 (Ala.1979).
Section 13A-5-51, Code of Alabama 1975, which
lists mitigating circumstances, does not specifically state that the
history of criminal activity referred to therein refers only to
convictions for violent crimes. However, § 13A-5-49(2), Code of
Alabama 1975, which lists aggravating circumstances, specifically
provides that a conviction for a violent crime is an aggravating
circumstance. Had the legislature intended that convictions for
nonviolent crimes not be considered in determining whether there has
been “no significant history of prior criminal activity” for
purposes of determining the existence of mitigating circumstances,
it would have specifically so stated in the statutes. The trial
court committed no error in not finding as a mitigating circumstance
that the appellant lacked a significant history of prior criminal
activity.
The appellant also argues that the court erred in
finding as a prior conviction the crime of escape from the SIR
program. It is clear from the record that this escape was not
considered in the trial court's review of mitigating circumstances.
The trial judge referred to the fact that the appellant had escaped
from the SIR program, but he does not cite that escape as a prior
conviction.
It is clear from the record that the trial court
allowed the appellant to introduce “any matter” which would point
towards mitigation. No error occurred here. Clisby v. State, 456
So.2d 99 (Ala.Cr.App.1983), aff'd, 456 So.2d 105 (Ala.1984).
Last, the appellant argues that the trial court
erred in considering a presentence report, which contained
nonstatutory aggravating circumstances, a recommendation by the
preparer, statements made by the appellant while counsel was not
present, and hearsay. Initially, we observe that the appellant made
no objection to this in the court below. Thus, we must apply the
plain error doctrine. Is the error so egregious that the fairness of
the proceedings were affected? See Dill and Kuenzel.
Initially, we recognize the important function
that the presentence report serves. Section 13A-5-47(b) specifically
provides for the preparation of presentence reports. “A presentence
report is recognized as a valuable sentencing aid.” Colquitt, Death
Penalty Laws, 33 Ala.L.Rev. 213, 330 (1982).
Regarding the recommendation by the parole
officer, this court has recently addressed this issue on several
occasions. See Dill; Kuenzel; and Lawhorn v. State, 581 So.2d 1159,
1171 (Ala.Cr.App.1990). We stated in Lawhorn: “ ‘Although we do not
approve or condone such a recommendation, we find that even if such
recommendation constitutes error, we would find that error harmless
in this case. Rule 45, A.R.A.P. “[T]he mere presence of information
in the pre-sentence report which should not be considered for the
purpose of enhancing punishment is not, per se, prejudicial.”
Johnson v. State, 521 So.2d 1006, 1031 (Ala.Cr..App.1986), affirmed,
521 So.2d 1018 (Ala.), cert. denied, 488 U.S. 876, 109 S.Ct. 193
[102 L.Ed.2d 162] ... (1988).’ ” Lawhorn, 581 So.2d at 1171, quoting
Kuenzel, 577 So.2d at 527.
In both Lawhorn and Kuenzel this court noted that
it was apparent from the trial court's findings that the court
independently weighed the aggravating and mitigating circumstances
and found that the aggravating circumstances outweighed the
mitigating circumstances. It is apparent from a review of the trial
court's findings in the instant case that the trial court
independently weighed the evidence. The trial court's order complies
with § 13A-5-47(d), Code of Alabama 1975. See Lawhorn.
The appellant further argues that the presentence
report was improper since it contained hearsay statements. Judge
Bowen recently addressed this issue in Kuenzel: “ ‘Courts are
permitted to consider hearsay testimony at sentencing.... While
hearsay evidence may be considered in sentencing, due process
requires both that the defendant be given an opportunity to refute
it and that it bear minimal indicia of reliability.... These
protections apply not just to hearsay testimony but also to any
information presented at sentencing.... When, as in this case, the
defendant claims that his due process rights were violated by the
sentencing court's reliance on materially false information, the
defendant must establish not only that the disputed information is
materially false or unreliable, but also that the sentencing judge
relied on the information.’ “ United States v. Giltner, 889 F.2d
1004, 1007 (11th Cir.1989). A sentencing judge may consider hearsay
evidence so long as the defendant had a fair opportunity at rebuttal.
Smiley v. State, 435 So.2d 202, 206 (Ala.Cr.App.1983), Johnson v.
State, 399 So.2d 859, 864 (Ala.Cr.App.), affirmed in part, reversed
in part on other grounds, 399 So.2d 873 (Ala.1979).
“In Thompson [ v. State], 503 So.2d [871,] at 880
[1986], this Court rejected the argument that the presentence report
was inadmissible at the sentence hearing because, among other things,
it ‘included hearsay ... [and] the summary of the crime was
prejudicial’:
“ ‘It is clear to this court that the report is
entirely consistent with Alabama's capital murder statute regarding
evidence to be considered in sentencing. Section 13A-5-45(d), Code
states, “[a]ny evidence which has probative value and is relevant to
sentence shall be received at the sentence hearing regardless of its
admissibility under the exclusionary rules of evidence, provided the
defendant is accorded a fair opportunity to rebut any hearsay
statements.’ Further, the report itself is an out-of-court statement
and is entirely hearsay. However, it is admissible under § 13A-5-47
Code of Alabama, being specifically called for consideration by the
trial court.
“ ‘It is equally clear to this court that the
summary of the offense contained in the pre-sentence report was not
prejudicial to this appellant. He argues that this summary contained
an opinion [by the parole officer] as to his culpability in the
crime in question. This argument is without merit. The appellant's
culpability was established by the jury's verdict of guilt. Further,
the summary of the offense is consistent with the evidence presented
by the State and with the appellant's own statement which was
admitted into evidence at trial. The appellant was not prejudiced by
this information.’ “ Thompson, 503 So.2d at 880.
“The exclusion of hearsay evidence that is highly
relevant to a critical issue in the penalty phase of a trial may
constitute reversible error. Green v. Georgia, 442 U.S. 95, 97, 99
S.Ct. 2150, 2151, 60 L.Ed.2d 738 (1979).” Kuenzel, 577 So.2d at
528-29. See also Dill, supra. The hearsay in the instant case is
similar to that which the court ruled was not error to include in a
presentence report in Thompson. The appellant had every opportunity
to refute the statements contained in the presentence report. No
plain error exists here.
The appellant also contends that the inclusion in
the presentence report of comments made by the appellant in an
interview with his parole officer deprived him of his constitutional
right against self-incrimination.FN2 Initially, we note that no
objection was made to this in the trial court. While this will not
bar review in a case involving the death penalty it will weigh
against any claim of prejudice. See Dill and Kuenzel.
We apply the same harmless error analysis that
this court applied in Kuenzel and Dill. Like the statements in
Kuenzel and Dill, the statements in the report which were credited
to the appellant were insignificant. (For a thorough discussion of
this issue, see Kuenzel, supra.) We can conceive of no possible
reason why these statements would have affected the trial court's
imposition of the death sentence. No plain error exists here.
FN2. We note that some federal courts have ruled
that Miranda warnings are not needed in the above situation. For a
discussion of this see Kuenzel.
As required by § 13A-5-53, Code of Alabama 1975,
we address the propriety of the appellant's conviction and the
sentence of death. The appellant was indicted and convicted of
capital murder as defined in § 13A-5-40(a)(2), Code of Alabama 1975,
i.e., murder during the course of a robbery.
The record reflects that the appellant's sentence
was not imposed under the influence of passion, prejudice, or any
other arbitrary factor. See § 13A-5-53(b)(1), Code of Alabama 1975.
A review of the record shows that the trial court
correctly found that the aggravating circumstances outweighed the
mitigating circumstances. The trial court carefully reviewed the
evidence presented in mitigation and found that no mitigating
circumstances were present. The trial court found that the offense
was committed while the appellant was under sentence of imprisonment
for a previous offense, § 13A-5-49(1), Code of Alabama 1975, and
that it was committed during the course of a robbery, §
13A-5-40(a)(2), Code of Alabama 1975. The court weighed the
mitigating and the aggravating circumstances and sentenced him to
death. We agree with the trial court's findings in the present case.
As required by § 13A-5-53(b)(2), Code of Alabama
1975, this court must independently weigh the aggravating and the
mitigating circumstances to determine the propriety of the
appellant's death sentence. After an independent weighing this court
is convinced that the appellant's sentence of death is the
appropriate sentence in the instant case.
As section 13A-5-53(b)(3), Code of Alabama 1975,
provides, we must also address whether the appellant's sentence was
disproportionate or excessive to the penalties imposed in similar
cases. The appellant's sentence was neither. See Kuenzel, supra;
Henderson, supra; Bradley v. State, 494 So.2d 750 (Ala.Cr.App.1985),
aff'd 494 So.2d 772 (Ala.1986), cert. denied, 480 U.S. 923, 107 S.Ct.
1385, 94 L.Ed.2d 699 (1987). Two-thirds of all death sentences in
Alabama are imposed for murders which occurred during the course of
a robbery. See Dill; Kuenzel; Brownlee v. State, 545 So.2d 151 (Ala.Cr.App.1988),
aff'd, 545 So.2d 166 (Ala.), cert. denied, 493 U.S. 874, 110 S.Ct.
208, 107 L.Ed.2d 161 (1989).
Last, we have searched the entire record for any
error which may have adversely affected the appellant's substantial
rights and have found none. See Rule 45A, Ala.R.App.P. The appellant
received a fair trial. Therefore, the judgment of the circuit court
is due to be, and it is hereby, affirmed. AFFIRMED.
Williams v. Allen,
458 F.3d 1233 (11th Cir. Ala. 2001) (Habeas).
Background: Following affirmance on direct appeal
of petitioner's conviction for intentional murder during a robbery
and his death sentence, 601 So.2d 1062, he filed petition for writ
of habeas corpus. The United States District Court for the Northern
District of Alabama, No. 01-00780-CV-J-W, Inge P. Johnson, J.,
denied petition. Petitioner appealed.
Holdings: The Court of Appeals, Dubina, Circuit
Judge, held that:
(1) habeas review of ineffective assistance of counsel claim related
to counsel's failure to review secured mental facility file was
barred;
(2) petitioner's statement to the effect that he had killed one
white man and would kill another was relevant;
(3) petitioner was not deprived of effective assistance of counsel,
in connection with preparation and presentation of mitigating
evidence in penalty phase; and
(4) petitioner was not deprived of effective assistance of counsel
during guilt phase. Affirmed.
DUBINA, Circuit Judge:
Petitioner, Luther Jerome Williams (“Williams”),
a death row inmate, appeals the district court's order denying him
federal habeas relief pursuant to 28 U.S.C. § 2254. For the reasons
that follow, we affirm the district court's order.
I. BACKGROUND
A. Facts
The facts are taken verbatim from the opinion of
the Alabama Court of Criminal Appeals on Williams's direct appeal.
On January 22, 1988, a 1981 dark blue Oldsmobile
Regency automobile was stolen from a motel parking lot in
Birmingham, Alabama. In the trunk of this vehicle was, among other
items, a .22 caliber pistol. A dark blue car arrived at the
Smithfield housing project in Birmingham later that same evening and
the appellant was identified as the sole occupant.
On the morning of January 23, 1988, John Robert
Kirk was on his way home from work. He stopped his vehicle-a red
1984 Chevrolet pickup truck with a camper on the back-near the West
Blocton exit on Interstate 59 South in Tuscaloosa County. The
appellant and two men were traveling south on Interstate 59 in the
stolen Oldsmobile.
After noticing the victim's vehicle beside the
road, they stopped and confronted him. The appellant led the victim
to a nearby wooded area and shot him once in the left side of the
head, “execution style,” with the .22 caliber pistol which had been
in the trunk of the stolen Oldsmobile. The victim's body was left at
the site of the shooting, and his money and vehicle were taken.
Later that same morning, several witnesses
identified the appellant as the driver of a red “camper truck” which
was parked at the Smithfield housing project. One of these witnesses,
Priscilla Jones, a relative of the appellant's, testified that the
appellant had visited her on the day of the murder. She stated that
the appellant told her that “he had killed a white man and stole his
truck,” and that he proceeded to show her the weapon, which she
described as having a white handle.
On the night of January 24, 1988, after
responding to a call placed by a Rosie Mims, members of the
Birmingham Police Department interviewed Priscilla Jones regarding
the appellant. During this interview, the Birmingham police learned
of the appellant's statement to Ms. Jones concerning the shooting of
a white man. They were also informed that he was staying at an
apartment in the housing project, and that he was an escapee from
the supervised intensive restitution (SIR) program.
During the very early morning hours of January
25, 1988, after verifying that the appellant had indeed escaped from
the SIR program and that a warrant was still outstanding, the
Birmingham police went to the apartment in the Smithfield housing
project where the appellant was reportedly staying.
The officers talked with the lessee of the
apartment, Margie Bush. They inquired as to the whereabouts of the
appellant and his girlfriend, Debra “Bootsie” Bush. Margie Bush
turned toward a curtain which separated the front of the apartment
from the back bedroom and shouted for Bootsie, who then appeared
from behind the curtain. Bootsie stated that she did not know where
the appellant was at that time. However, one of the officers
happened to look behind the curtain and saw the appellant lying in
the bed. After a struggle, the appellant was taken into custody.
The supervising officer then informed Margie Bush
that the appellant was thought to have a gun and requested
permission to search the apartment for it. Margie Bush gave her
permission. During the search, Bootsie stated that the appellant had
hidden the gun in the bedroom. The murder weapon was found inside a
black purse located on top of a dresser in the room in which the
appellant was apprehended.
The appellant was indicted on April 29, 1988, for
the murder of John Robert Kirk during a robbery. After his
indictment, the appellant was sent at his own request to the Taylor
Hardin Secure Medical Facility for an evaluation of his mental
competency to stand trial. Evidence was presented at trial that
while at Taylor Hardin, the appellant made the statement “I have
killed one white m____ f____; I'll kill another one.” However, there
was some conflict regarding the person to whom the statement was
directed. The appellant was found to be competent to stand trial and
was discharged from the facility on December 23, 1988. Williams v.
State, 601 So.2d 1062, 1065-66 (Ala.Crim.App.1991).
B. Procedural History
A Tuscaloosa County, Alabama, grand jury indicted
Williams for capital murder on April 29, 1988. The Honorable Joseph
Colquitt appointed Al Vreeland and Bobby Cockrell Jr. to represent
Williams; however, these attorneys withdrew in March 1989, and the
trial court appointed John Bivens (“Bivens”) to represent Williams.
Bivens retained Dr. William A. Formby (“Dr. Formby”) as his guilt
phase investigator and hired Dr. Ray Sumrall (“Dr. Sumrall”), a
licensed social worker and partner at Veritas, Inc., a firm that
provides investigatory and analytical services to lawyers who
represent defendants in capital cases, to conduct his mitigation
investigation.
Williams's trial commenced on November 27, 1989,
and three days later, the jury returned a guilty verdict on the
charge of capital murder. After the sentencing phase of Williams's
trial, the jury recommended, by a 10-2 vote, that the trial court
impose the death penalty. After weighing the aggravating FN1 and
mitigating circumstances,FN2 the trial court followed the jury's
recommendation and sentenced Williams to death.
FN1. The trial court found in aggravation that
the offense was committed while Williams was under sentence of
imprisonment for a previous offense, § 13A-5-49(1), Code of Alabama
1975, and that it was committed during the course of a robbery, §
13A-5-49(4), Code of Alabama 1975. [R. Vol. 7 p. 1430.]
FN2. The trial court found, as nonstatutory
mitigating circumstances, that Williams had an antisocial
personality, that he did not have a significant prior history of
assaultive or violent conduct, that he had not had a stable family
environment during his formative years, and that he had extensively
abused alcohol and drugs since he was about 16 years old. [R. Vol. 7
p. 1433.]
The Alabama Court of Criminal Appeals affirmed
Williams's conviction and death sentence on direct appeal. See
Williams, 601 So.2d at 1087. The Supreme Court of Alabama denied
Williams's petition for a writ of certiorari. See Ex parte Williams,
662 So.2d 929 (Ala.1992). The United States Supreme Court denied
Williams's petition for a writ of certiorari on November 2, 1992.
See Williams v. Alabama, 506 U.S. 957, 113 S.Ct. 417, 121 L.Ed.2d
340 (1992).
Williams then filed a Rule 32 post-conviction
petition with the Tuscaloosa circuit court, raising numerous claims
for relief. See Ala. R.Crim. P. 32. Following an evidentiary hearing
on the Rule 32 petition, then Tuscaloosa Circuit Judge Robert
Harwood Jr.FN3 denied Williams's petition for post-conviction relief.
The Alabama Court of Criminal Appeals affirmed the trial court's
order denying Williams's Rule 32 petition. See Williams v. State,
783 So.2d 108 (Ala.Crim.App.2000). The Alabama Supreme Court denied
Williams's petition for a writ of certiorari. FN3. Today, Judge
Harwood is an associate justice on the Alabama Supreme Court.
Williams filed the present federal habeas
petition on March 29, 2001, and amended his petition on June 7,
2001. The district court denied Williams's request for an
evidentiary hearing and denied Williams's petition for habeas relief.
Williams filed an application for a certificate of appealability (“COA”)
which this court initially denied. Upon reconsideration, this court
granted a COA on three grounds of ineffective assistance of counsel.
II. ISSUES
1. Whether Williams received ineffective
assistance of counsel because counsel allegedly failed to review the
Taylor Hardin file before trial.
2. Whether Williams received ineffective
assistance of counsel at the penalty phase because his counsel
allegedly failed to investigate adequately Williams's background for
potential mitigation evidence.
3. Whether Williams received ineffective
assistance of counsel at the guilt phase because his counsel
allegedly failed to investigate adequately and present substantial
evidence to support Williams's reasonable doubt defense.
* * *
B. Failure to investigate and present
sufficient mitigation evidence
Williams contends that the Supreme Court's
decision in Wiggins v. Smith, 539 U.S. 510, 123 S.Ct. 2527, 156 L.Ed.2d
471 (2003), requires that this court grant him habeas relief because
his defense team insufficiently investigated potential mitigation
evidence to present at sentencing. Both the state trial court and
the state appellate court rejected this claim on both prongs of
Strickland. The state courts found as follows:
First, the appellant contends that his attorneys
rendered ineffective assistance because they allegedly did not
investigate and present sufficient mitigating evidence during the
penalty phase of his trial. Specifically, he contends that counsel
should have called witnesses who could have testified about his
background and upbringing, including the “personal hardships and
severe deprivations” he suffered. ...
The record from the appellant's direct appeal
shows that Dr. Raymond O. Sumrall testified before the jury during
the penalty-phase proceedings. Dr. Sumrall, who was a professor at
the School of Social Work at the University of Alabama and an
associate professor with the University's Department of Criminal
Justice, testified that he spent ten hours interviewing the
appellant and that he had reviewed the appellant's background.
He testified that the appellant's mother deserted
him when he was very young; that he lived with his maternal
grandmother; that, at age seven, when his maternal grandmother died,
he moved in with his aunt; that he did not have a stable home
environment; that he had not had any relationships with significant
adult and stable women in his life; that he did not have a
relationship with his father because his father left when the
appellant was two years old; that, from the ages of nine to twelve,
“he was pretty much a street kid who came and went without very much
supervision from anybody” (Trial R. 1026); that he could not
discipline himself; and that he had been extensively involved in the
use of drugs and other substances since he was sixteen.
Dr. Sumrall also testified that he had not
observed any pattern of behavior in the appellant that was
assaultive or violent and that committing murder was not consistent
with the appellant's prior behavior, which involved only property
offenses.
There was also testimony that the appellant had
been evaluated at the Taylor Hardin Secure Medical Facility (“Taylor
Hardin”) by several doctors. Using that evaluation, Dr. Bernard E.
Bryant, a psychiatrist, testified that the appellant had an
antisocial personality and that he showed remorse about the offense.
Finally, the trial court held a separate bench
sentencing hearing after the jury had returned its recommendation
and after the presentence investigation had been completed. At this
hearing, Reverend Charles Hunter testified that he had known the
appellant since the appellant was a child and that he was not a
violent person. The appellant also testified at the hearing that he
was the type of person who liked to help people and “look out” for
people. He further testified that he did not have a history of
violence and that he had never previously been convicted of a
violent crime.
When addressing this claim, the circuit court
made the following findings: In his Post-Hearing Brief, Williams
contends that testimony could have been adduced by defense counsel
through Herbert Echols, Debra Grenshaw (spelled “Grinshaw” in the
transcript of the evidentiary hearing), Jesse Hill [the appellant's
stepfather] and/or Laura Williams to paint a picture of Luther
Williams' deprived and impoverished childhood.
There is some question as to Mr. Echols'
accessibility and availability during the period of [trial counsel's]
representation of Williams, inasmuch as Mr. Echols testified at the
evidentiary hearing that he was living in Detroit from 1988 to 1990,
and even his brother did not really know how to find him, because at
one point in time he was homeless. (EH 145). Nonetheless, the
testimony elicited from him and from the other aforementioned
witnesses at the evidentiary hearing related to information
essentially cumulative to that provided the jury by Dr. Sumrall.
Williams argues in his Post-Hearing Brief that
those witnesses could have acquainted the jury with the fact that
his mother had deserted him and his siblings when he was still very
young; that his father likewise had abandoned him; that he
thereafter was raised by Laura Wilkins; and that he was often locked
out of her house and forced to fend for himself. In his testimony at
the evidentiary hearing, Luther Williams explained that when Ms.
Wilkins would lock him out, for two to three days at a time, he
would live “over [at] other friends' houses.” (EH 189-90).
The contention is made in the Post-Hearing Brief
that testimony could have been presented through Mr. Echols that
Luther, along with Mr. Echols, was regularly whipped by Mr. Hill
with switches, belts, and extension cords. Williams himself
testified at the evidentiary hearing that he had a good relationship
with Mr. Hill when he didn't whip him, and Luther still loved him.
(EH 190).
Dr. Sumrall put before the jury that Luther
Williams' “mother deserted him at a very young age” and that he
lived with a maternal grandmother for a while but that she died when
he was seven, leaving Luther with an aunt who apparently adopted him
when he was about nine; that “from his birth to age nine he had no
stable environment”; that he had “no relationship with significant
adult and stable women in his life”; that he had no relationship
with a significant father figure in his life[ ]; that his father had
left him when he was only two years old; and that from about nine to
twelve years of age “he was pretty much a street kid who came and
went without very much supervision from anybody.” (R. 1025-26).
When Williams' present counsel called Jesse Hill
to the stand at the evidentiary hearing, he was not asked any
questions concerning any alleged mistreatment of Luther by him.
Further, Mr. Hill was asked virtually no questions at that hearing
concerning Luther Williams' impoverished or deprived background,
other than concerning the undisputed fact that Luther's mother and
father were not involved in his life after his early years. (EH
163).
With respect to the argument made in the post-hearing
brief that use of a psychologist, such as Dr. Barbara Tarkin, could
have paved the way for presentation of significant non-statutory
mitigation evidence, the testimony she presented was not in
disagreement with that of Dr. Sumrall or the State's penalty-phase
expert, Dr. Bernard E. Bryant. The contention is made in the post-hearing
brief that “Dr. Tarkin, or another qualified psychologist, could
have offered an opinion, consistent with that of Taylor Hardin's
psychiatrist, that Mr. Williams' condition was a condition that
developed in all probability by virtue of his very early childhood
deprivation.” (PHB, p. 17).
Dr. Bryant, who testified that he was employed at
Taylor Hardin from April 1 of 1986 through August 31 of 1989, opined
that Williams had an antisocial personality (R. 108). He explained
that it is a “characterological or personality” disorder developed
during a person's formative years, of ages “2, 3, 6, 7, 8 years old,”
whereby “the person has ended up with this personality.” (R. 1082).
Dr. Bryant acknowledged during cross-examination by [trial counsel]
that an unstable family could, if there were not a proper male or
female role model, contribute to a person having antisocial
characteristics. (R. 1097). He further acknowledged that “substance
abuse does exacerbate[.]” (R. 1098).
The court does not find that the failure to
utilize the witnesses now suggested by Williams constituted
ineffective assistance of counsel .... The pertinent information was
presented to the jury through Dr. Sumrall, without the risk being
run of possibly harmful information being elicited from those
witnesses on cross-examination.
Furthermore, even if [trial counsel's]
preparation and presentation were deficient in this regard, Williams
has failed to show the requisite second prong of prejudice. He has
not met the Strickland test of showing a reasonable probability that,
absent the error in question, the sentencer would have concluded
that the balance of aggravating and mitigating circumstances did not
warrant death; he has not shown a probability sufficient to
undermine confidence in the outcome.
We agree with the circuit court's findings and
adopt them as part of this opinion. In addition, we note that the
trial court found, as nonstatutory mitigating circumstances, that
the appellant had an antisocial personality, that he did not have a
significant prior history of assaultive or violent conduct, that he
had not had a stable family environment during his formative years,
and that he had extensively abused alcohol and drugs since he was
about 16 years old. (Trial R. 1433)[.] For the above-stated reasons,
the appellant has not shown that counsel rendered ineffective
assistance in the preparation and presentation of mitigating
evidence. See Strickland, supra. Williams v. State, 783 So.2d at
115-121.
Our review of this claim is limited to whether
the state courts unreasonably applied Strickland to the facts of
this case. Although Williams urges us to apply Wiggins to his case,
the controlling Supreme Court precedent with regard to claims of
ineffective assistance of counsel is Strickland. See Marquard, 429
F.3d at 1304 (noting that Strickland is “the ‘controlling legal
authority’ to be applied to ineffective assistance of counsel claims”).
As the district court found, the state courts did
not unreasonably apply the Strickland standard to Williams's claim
of ineffective assistance for failing to investigate and present
sufficient mitigation evidence at the sentencing phase.
Bivens hired Dr. Sumrall to investigate and
conduct his mitigation defense. Dr. Sumrall presented evidence to
the jury that assisted Bivens in his mitigation strategy. Dr.
Sumrall testified that Williams came from a disadvantaged background
that led to his alcohol and drug abuse and property crimes, which
were not violent in nature. This testimony allowed Bivens to argue
to the jury that Williams was not a violent person, and a sentence
of life in prison would be more appropriate for him.
Also, Dr. Sumrall stated that he spent ten hours
with Williams, recounting his family history, educational history,
and criminal history. Dr. Sumrall also reviewed Williams's mental
health, police, probation, and parole records. Dr. Sumrall's
testimony led the trial court to find as mitigation that Williams
had a poor family history, a history of non-violent crimes, an
extensive history of drug and alcohol abuse, and an anti-social
personality disorder.
Assuming this investigation was deficient,
Williams cannot show how the alleged deficient investigation
prejudiced him at sentencing. At the Rule 32 hearing, Williams's
expert psychologist, Dr. Barbara Tarkin (“Dr. Tarkin”), testified
that she spent approximately nine hours meeting with Williams. She
stated that she read virtually the same files as Dr. Sumrall; she
talked to only one family member over the phone; and she was not
“intimately familiar” with the facts of the case. [R. Vol. VI, Rule
32 hearing p. 284-91, 299, 315-17.] In her expert opinion, Dr.
Tarkin found that Williams suffered from an anti-social disorder and
Bivens should have argued in mitigation that Williams was suffering
from a mental disturbance; that Williams was too passive to be
anything but an accomplice; and that Williams was shaped by the poor
environment in which he was raised. Dr. Tarkin's conclusions are
essentially the same as Dr. Sumrall's conclusions, to which he
testified at sentencing.
In addition to Dr. Tarkin, Williams presented
several other witnesses at the Rule 32 evidentiary hearing to
testify to mitigation evidence not previously presented at trial.
Herbert Echols (“Echols”) testified that Williams's mother was an
alcoholic, and that Williams did not know his biological father. He
also stated that Williams's step-father, Jesse Hill, whipped
Williams if he did something wrong, but that these whippings never
required medical attention. [R. Vol. V, Rule 32 hearing p. 140-151.]
Deborah Greenshaw (“Greenshaw”) testified that
she had known Williams since he was 16 years old. Greenshaw stated
that Williams's aunt would often lock him out of her house for
several days when Williams did not do what she asked. [ Id. at 155,
160.] Jesse Hill (“Hill”) testified that Williams's mother moved to
New York when Williams was about ten years old, and that he only met
Williams's father once or twice. No attorney asked Hill about his
alleged whippings of Williams. [ Id. at 161-68.] Laura Williams
(“Laura”), Williams's sister, testified that their mother left them
at an early age, and they lived with their aunt, Laura Wilkins (“Ms.
Wilkins”). Laura stated that Ms. Wilkins was “always good.” [ Id. at
169-70.]
Under the prejudice prong of Strickland, “the
question is whether there is a reasonable probability that, absent
the errors, the sentencer ... would have concluded that the balance
of aggravating and mitigating circumstances did not warrant death.”
Strickland, 466 U.S. at 695, 104 S.Ct. at 2068-69. Under this
standard, it is apparent that “[a] petitioner cannot establish
ineffective assistance by identifying additional evidence that could
have been presented when that evidence is merely cumulative.” Van
Poyck v. Fla. Dep't of Corrs., 290 F.3d 1318, 1324 n. 7 (11th
Cir.2002).
This is exactly what happened at Williams's Rule
32 hearing. He presented evidence that was cumulative. The witnesses
may have elaborated on prior mitigation evidence, but no witness
testified to any new mitigating factors. Each witness presented
cumulative evidence that merely re-established the mitigating
circumstances previously argued by Bivens at trial and considered by
the trial court at sentencing: (1) an anti-social personality
disorder, (2) a non-violent criminal history, (3) an unstable family
life, and (4) an extensive alcohol and drug abuse problem. There can
be no reasonable probability that this cumulative testimony of
mitigating factors already presented to and considered by the trial
court to be “weak and unpersuasive” would have tipped the sentencing
scales, especially when the trial court noted that the statutory
aggravators far outweighed the mitigating factors. [R. Vol. 7 p.
1427.] Thus, Williams cannot demonstrate that the state courts'
determination that he failed to prove prejudice under Strickland was
objectively unreasonable. Accordingly, Williams is not entitled to
relief on this claim of ineffective assistance of counsel at
sentencing.
C. Failure to investigate adequately the guilt
phase defenses
Williams argues that his counsel rendered
ineffective assistance because he did not reasonably investigate
Williams's guilt phase defenses that he was incapacitated at the
time of the murder, and that there was “reasonable doubt” that
Williams committed the murder because there were two other
individuals involved. Both the state trial court and appellate court
rejected Williams's claim under Strickland. See Williams, 783 So.2d
at 123-26.
Specifically, both courts found that Dr. Formby
was a well qualified investigator who reasonably investigated
Williams's guilt phase case, and that Williams presented no evidence
at the Rule 32 hearing that would have affected the outcome of the
trial. Id.
The Alabama Court of Criminal Appeals stated the
following: First, the appellant contends that his attorneys rendered
ineffective assistance because they allegedly did not properly
investigate the case and interview potential witnesses. The circuit
court made the following findings concerning this contention:
[Trial counsel] principally relied on Dr. Formby,
who had been engaged by his predecessor counsel, to conduct the case
investigation and witness interviews. Dr. Formby was well qualified
for that role by virtue of many background attributes, as detailed
by his testimony at the evidentiary hearing and his “vitae”
introduced as State's Exhibit 6 to the same. During the time of his
engagement on the case, he was also a co-principal with Dr. Sumrall
in the forensic services firm of Veritas, Inc....
Dr. Formby testified that he “probably put in
easily 200 hours” on the investigation, having commenced it in the
service of [Williams's] predecessor attorneys and therefore having
been on the case “essentially longer than anybody else.” (EH 398).
Dr. Formby “spent a good bit of time talking with Luther [Williams]”
and spent a good bit of time talking to potential witnesses in the
Smithfield Apartments area of Birmingham. (EH 378). He visited with
some of Williams' family members in the Titusville projects and
Debra Bush in the Avondale projects. (EH 378). He went to see Margie
Bush, the grandmother of Debra Bush and she admitted him to her
apartment where Luther had been apprehended, showing him the bedroom.
Dr. Formby spent many hours “just walking around that area talking
to people.” (EH 380).
For various reasons adequately explained in his
testimony, he did not keep detailed records of everyone he
interviewed or of all the time he devoted to the case. He
interviewed Priscilla Jones and DeWayne Pierce. (EH 382-83). A lot
of his investigation and interviewing was devoted to trying to
develop connections between Williams' co-defendants and the property
stolen from Mr. Kirk, and other evidence against the co-defendants.
(EH 381, 384). He went to the Titusville projects and spent
approximately two hours interviewing Williams' grandmother and one
of his sisters. (EH 384).... As the District Attorney's office
provided the defense with more and more discovery materials, Dr.
Formby “would go back to Luther and talk to him again to see if he
could push me or give me leads in other directions.” He talked to
Williams a lot. (EH 388).
Dr. Formby went to the crime scene on a couple of
occasions. (EH 388-89). He attempted to follow the route that
Williams and his two co-defendants had traversed at different points
during the incidents in question. (EH 389). He and [trial counsel]
routinely “would have meetings probably twice a week up until the
last few weeks before trial, and then we met virtually every day.”
(EH 389-90).
Dr. Formby would brief [trial counsel] on all
that he had developed, and [trial counsel] would provide guidance in
terms of things that he felt were important that Dr. Formby needed
to follow up on. (EH 390).... For his part, [trial counsel]
personally tried to locate witnesses who could corroborate Mr.
Williams' claim that he was incapacitated by intoxication on the
night of the murder[.] (EH 79-80).
The appellant also contends that his attorneys
rendered ineffective assistance because they did not interview and
present witnesses who he alleges could have rebutted most of the
circumstantial evidence presented in the case. Specifically, he
asserts that there were witnesses who could have placed his
codefendant in the victim's truck on the day of the murder and who
could have impeached Priscilla Jones, the appellant's sister, who
testified that the appellant told her that he had killed a white man.
In regard to this issue, the circuit court made the following
findings:
Williams argues in his Post-Hearing Brief that [t]o
counter the damaging evidence that Mr. Williams was seen driving Mr.
Kirk's truck, trial counsel could have offered testimony through
Laura Williams or Sandra King that Albert Carmichael had been seen
driving the red truck, that he smelled of gasoline and that Mr.
Carmichael had white man's cigarettes on him Saturday evening, just
hours after Mr. Kirk was murdered. (PHB, p. 12).
Ms. Williams and Ms. King testified at the
evidentiary hearing that they were at Ms. King's apartment house on
a Saturday night when they observed Albert Carmichael in a red truck
parked in the parking lot by Priscilla Jones' house. As far as the
date on which that occurred, Ms. Williams was only asked if she
remembered being at Ms. Kings' “a few days before the time that
Luther was arrested for the murder,” and she identified it as a
Saturday night, and Ms. King was asked if she could remember being
at home with Laura visiting her “January 23, I believe a Saturday
night, Saturday afternoon or Saturday night. I may be wrong on the
day, but I think that is the date, January 23. Do you remember being
home on that date?”, to which she answered in the affirmative. (EH
181).
Both testified that Carmichael came into King's
apartment and they were then able to notice the smell of gasoline on
him. Ms. Williams testified that he “had some cigarettes that he
didn't smoke,” which were “a white man's kind of cigarettes.” Asked
what brand they were, she testified that they were “Merit or
something like that. I can't really remember what kind they were,”
whereas Carmichael usually smoked Kools. Ms. King testified that
Carmichael usually smoked “Kools or either Newport 100s” and that
the cigarettes he had with him on the occasion in question were not
“the same kind” but she could not state what brand they were. (EH
175-76, 183-84). ....
Considering all of the interviewing of Williams
and his family members conducted by Dr. Formby, and considering all
of the evidence showing the involvement of Albert Carmichael and
Trosky Gregory in various critical events of the weekend in question,
the court does not find that Williams has carried his burden of
proving that a failure to use Laura Williams or Sandra King as
defense witnesses constituted ineffective assistance of counsel; or
that the omission of their testimony prejudiced the defense in the
way required by the Strickland test. Under Strickland, it is not
enough to show that trial errors “had some conceivable effect on the
outcome of the proceeding,” rather the defendant “must show that
there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding would have been
different.” ( Strickland, 466 U.S. at 693-94, 104 S.Ct. 2052.... (Emphasis
added)).
That Albert Carmichael was observed in the red
camper truck at the apartment complex during the night of Saturday,
January 23rd, after Luther Williams had been observed to have been
involved with it at earlier points in time that day, would not have
altered the impact or implication of any of the State's critical
evidence. There is no indication that either Laura Williams or
Sandra King ever told anyone before Williams' trial that they had
seen Albert Carmichael in the red truck ....
Williams asserts in his post-hearing brief that
defense counsel should have countered the damaging testimony of
Priscilla Jones by eliciting testimony from her father, Jesse Hill,
that she was “a big liar.” Under Rule 608(a) of the Alabama Rules of
Evidence ..., a witness may impeach the credibility of a witness who
has testified by offering the second witness's opinion regarding the
first witness's untruthfulness.
The Alabama Rules of Evidence did not become
effective until January 1, 1996, however, and the law of evidence
existing at the time of Williams' trial restricted the testimony of
an impeaching witness to the limited fact of the other witness'
general reputation in the community for untruthfulness. Before a
witness can testify concerning the reputation in the community for
the truthfulness or untruthfulness of another witness, a predicate
must be laid establishing that the impeaching witness actually has
knowledge of the other witness's reputation for truthfulness or
untruthfulness in the first witness's community. That was the
evidentiary point addressed by the court in its comments to counsel
during Mr. Hill's testimony. (EH 164-66). Although the question put
to Mr. Hill was rephrased so as to properly inquire as to “reputation,”
Mr. Hill persisted in expressing the matter in terms of his own
personal knowledge of her lack of veracity.
His testimony as ultimately offered related to
his own personal assessment or opinion of her history of
untruthfulness, rather than relating it to her reputation in the
community. He expressed his opinion that Priscilla “had come down
here and told the people out here a bunch of-to me, it is a bunch of
fairy tales.” (EH 166).
Mr. Hill conceded, however, that he [had] no
knowledge about the evidence in the case and that it was his
testimony that Priscilla was telling the people in Tuscaloosa “fairy
tales” because “that is my daughter, and I know what she is capable
of doing. My daughter would do anything, say anything to anybody.”
(EH 167). When asked how, if he did not know anything about the
facts of the case, he could attack the credibility of her testimony,
he answered that Priscilla was “a big liar,” and that she “never
tells the truth about a lot of things.” (EH 168).
Accordingly, as the record stands, there is no
affirmative showing that Mr. Hill could have offered testimony that
would meet the foundational requirement of showing that it related
to Priscilla Jones' reputation for truthfulness/untruthfulness in
her community in 1989 .... [Trial counsel] impeached Priscilla Jones
with respect to the inconsistencies between her trial testimony and
her preliminary hearing testimony, and her testimony on several
important points was corroborated by that of Teresa Ann Evans.
One of the critical features of Priscilla Jones'
testimony was that Luther Williams told her, on the occasion that he
came to her apartment building the morning of Saturday, January
23rd, in the “red and white camper truck,” that he had killed a
white man (R.479), that “I just killed a white man.” (R.502). She
did not believe him at the time. (R.480, 502). Immediately prior to
making that statement, he had hugged her and apologized to her for
the altercation between them the preceding night. (R.476, 502). He
had the odor of gas on him. (R.480).
When she returned to her apartment, he followed
her and showed her “a pistol and some bullets,” with the pistol
having “a clear handle,” meaning that it was “white.” (R.480). As
the only other participant to that conversation, Williams was the
only person who could have contradicted Jones' testimony about it,
but he did not testify and the trial strategy decision in that
regard is not challenged in this proceeding.
The court does not consider the fact that Mr.
Hill might have testified that he had knowledge of his daughter's
reputation for truthfulness, and that her reputation was bad in that
regard and she had a reputation for untruthfulness, would have been
of such import as to impeach her as a witness to the extent that the
outcome of the trial would have been different.
We agree with the circuit court's findings as to
these claims and adopt them as part of this opinion. Because the
appellant has not established that his attorneys rendered
ineffective assistance in these instances, he is not entitled to
relief on these claims. See Strickland, supra. Williams, 783 So.2d
at 123-26.
As the state courts found and the record reflects,
Bivens and Formby reasonably investigated both theories of defense.
Bivens testified at the Rule 32 hearing that the incapacitation
theory of defense “probably” came from Williams. [R. Vol. IV, Rule
32 hearing p. 63-64.] Bivens attempted to find information that
could prove or support the incapacitation theory, but was unable to
do so. [ Id. at 30, 80-81.]
Once he could not find anything to support the
incapacitation theory, Bivens was left with a “reasonable doubt
defense”-attacking the State's case that Williams committed the
murder through “innuendos and assumptions.” [ Id. at 62-63.]
Dr. Formby testified that his primary goal was to
find any evidence that would develop stronger connections between
the other individuals involved in the murder and the actual murder.
Like Bivens, Dr. Formby twice traveled to the murder scene to see if
any argument could be made concerning the trajectory of the bullet.
[R. Vol. VI, Rule 32 hearing p. 25-26, 388.]
He also followed the same route Williams and the
other individuals took the day of the murder, and he viewed the
videotaped statements of the other individuals to search for
anything exculpatory to Williams. [ Id. at 389, 416-17.] Dr. Formby
also visited the Smithfield project several times to talk with
people in the area and to interview Williams's family members. [ Id.
at 382-84.] He also viewed the scene of the arrest and interviewed
the women who were present at the time of Williams's arrest. [ Id.
at 384.]
Moreover, when Williams's initial trial attorneys
received a letter from a former client claiming that one of the
other individuals involved admitted to committing the murder, Dr.
Formby investigated that lead and found the letter to be false. [ Id.
at 379.] When Wallace Gaskin testified concerning Williams's
inculpatory statement to Danny Hubbard, Dr. Formby traveled to
Taylor Hardin to search for Danny Hubbard. [ Id. at 392.] In
addition, Bivens testified that he reviewed the entire State's file,
viewed the State's physical evidence, and reviewed the Taylor Hardin
reports to determine whether some type of mental health defense was
possible. [R. Vol. IV, Rule 32 hearing p. 14-16, 19, 20, 37-39, 66.]
Based on the record, the state courts correctly
found that Bivens and Dr. Formby performed a reasonable
investigation of Williams's case and possible defenses. These
findings are entitled to a presumption of correctness by our court.
See 28 U.S.C. § 2254(e)(1). Williams presents nothing to rebut these
findings. Therefore, Williams cannot show that the state courts
unreasonably applied Strickland's performance prong to this issue.
Assuming arguendo that Williams could show that
his counsel was deficient for not thoroughly investigating his
potential defenses for trial, he cannot show that any deficient
performance prejudiced his defense. At the Rule 32 hearing, Williams
presented the testimonies of Sandra King (“King”) and Laura Williams,
both of whom testified to seeing another individual involved in the
case driving Mr. Kirk's red truck on the night of the murder and
smoking a “white man's” cigarette. [R. Vol. V, Rule 32 hearing p.
168-185.]
As the state court noted, this testimony “would
not have altered the impact or implication of any of the State's
critical evidence.” Williams, 783 So.2d at 125. Nothing in these
testimonies refutes the fact that Williams was seen driving the
truck alone shortly after the murder and leaving in the truck later
that same day. [R. Vol. 3, Trial transcript p. 457-61.]
Williams also presented the testimony of Jesse
Hill who testified that Priscilla Jones, a trial witness, was a “big
liar” and told “fairy tales” during the trial. [R. Vol. V, Rule 32
hearing, p. 166-68.] However, Hill could not testify that he had
knowledge of Jones's general reputation for truthfulness in the
community, which was the standard of admissibility in Alabama at the
time of Williams's trial. See Williams, 783 So.2d at 125-26. Rather,
Hill's testimony was based on his personal opinion. Moreover, Hill
admitted that he had no knowledge of the circumstances of the case.
[ Id. at 167.]
Williams cannot show that “there is a reasonable
probability that the outcome of the proceeding would have been
different,” Callahan v. Campbell, 427 F.3d 897, 936 (11th Cir.2005),
pet. for cert. filed, (No. 05-10404) (Apr. 13, 2006), by adding two
witnesses who corroborate the State's theory and another witness who
has no knowledge of the circumstances of the case and can only
present inadmissible opinion testimony. Thus, Williams cannot
demonstrate prejudice under Strickland. Accordingly, Williams cannot
show that the state courts unreasonably applied Strickland's
prejudice prong in his case, and, therefore, he is not entitled to
habeas relief.
V. CONCLUSION
Because Williams fails to demonstrate that the
state courts unreasonably applied the Strickland standard to his
claims of ineffective assistance of counsel, we affirm the district
court's judgment denying Williams habeas relief. AFFIRMED.
BARKETT, Circuit Judge, concurring:
I concur because the majority opinion correctly resolves the legal
issues before us. Williams argues that his trial counsel was
ineffective by failing to read the Taylor Hardin file, in which he
would have discovered the basis for Gaskin's unequivocally damaging
testimony- viz., that Williams told Gaskin that he killed a white
man-and would have been able to object to the testimony on relevancy
grounds. Given the proceedings in the Alabama state courts, Williams
cannot satisfy the prejudice prong of Strickland on the strength of
the relevancy objection alone, see Ante at 1241 n. 5, and that is
the only issue, with respect to the guilt-phase, for our review.
I write separately only to note that Williams has
not argued in the state courts that counsel should have been better
prepared to mount an adequate defense notwithstanding the success
vel non of the objection to Gaskin's testimony. For example, had
counsel known of Williams' inculpatory statement, he most certainly
would have discussed it with Williams and attempted to ascertain the
circumstances under which the statement was made, the purposes for
which it was made, and any other information that might have
mitigated the statement. See Rompilla v. Beard, 545 U.S. 374, 125
S.Ct. 2456, 162 L.Ed.2d 360 (2005).FN1 Because our review is limited,
however, to the grounds identified by the majority, I must concur.
FN1. Contrary to the state's argument on appeal,
Rompilla and Wiggins v. Smith, 539 U.S. 510, 123 S.Ct. 2527, 156
L.Ed.2d 471 (2003), although they post-dated the relevant state-court
proceedings, are relevant to our consideration of Williams's
Strickland claim, for they both clarify Strickland's applicability.
See, e.g., Wiggins, 539 U.S. at 521, 123 S.Ct. 2527 (“While Williams
[ v. Taylor, 529 U.S. 362, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000)]
had not yet been decided at the time the Maryland Court of Appeals
rendered the decision at issue in this case, Williams' case was
before us on habeas review. Contrary to the dissent's contention, we
therefore made no new law in resolving Williams' ineffectiveness
claim. In highlighting counsel's duty to investigate, and in
referring to the ABA Standards for Criminal Justice as guides, we
applied the same ‘clearly established’ precedent of Strickland we
apply today.”). I do not take our decision in this case as holding
to the contrary.
458 F.3d 1233
Luther Jerome WILLIAMS, Petitioner-Appellant, v.
Richard F. ALLEN, Commissioner, Alabama Department of Corrections,
Respondent-Appellee.
No. 05-12691.
United States Court of Appeals, Eleventh Circuit.
August 2, 2006.
Appeal from the United States
District Court for the Northern District of Alabama.
Before BIRCH, DUBINA and BARKETT,
Circuit Judges.
DUBINA, Circuit Judge:
Petitioner, Luther Jerome Williams
("Williams"), a death row inmate, appeals the district court's order
denying him federal habeas relief pursuant to 28 U.S.C. § 2254. For
the reasons that follow, we affirm the district court's order.
I. BACKGROUND
A. Facts
The facts are taken verbatim from
the opinion of the Alabama Court of Criminal Appeals on Williams's
direct appeal.
On January 22, 1988, a 1981 dark
blue Oldsmobile Regency automobile was stolen from a motel parking
lot in Birmingham, Alabama. In the trunk of this vehicle was, among
other items, a .22 caliber pistol. A dark blue car arrived at the
Smithfield housing project in Birmingham later that same evening and
the appellant was identified as the sole occupant. On the morning of
January 23, 1988, John Robert Kirk was on his way home from work. He
stopped his vehicle — a red 1984 Chevrolet pickup truck with a
camper on the back — near the West Blocton exit on Interstate 59
South in Tuscaloosa County. The appellant and two men were traveling
south on Interstate 59 in the stolen Oldsmobile. After noticing the
victim's vehicle beside the road, they stopped and confronted him.
The appellant led the victim to a nearby wooded area and shot him
once in the left side of the head, "execution style," with the .22
caliber pistol which had been in the trunk of the stolen Oldsmobile.
The victim's body was left at the site of the shooting, and his
money and vehicle were taken.
Later that same morning, several
witnesses identified the appellant as the driver of a red "camper
truck" which was parked at the Smithfield housing project. One of
these witnesses, Priscilla Jones, a relative of the appellant's,
testified that the appellant had visited her on the day of the
murder. She stated that the appellant told her that "he had killed a
white man and stole his truck," and that he proceeded to show her
the weapon, which she described as having a white handle.
On the night of January 24, 1988,
after responding to a call placed by a Rosie Mims, members of the
Birmingham Police Department interviewed Priscilla Jones regarding
the appellant. During this interview, the Birmingham police learned
of the appellant's statement to Ms. Jones concerning the shooting of
a white man. They were also informed that he was staying at an
apartment in the housing project, and that he was an escapee from
the supervised intensive restitution (SIR) program.
During the very early morning
hours of January 25, 1988, after verifying that the appellant had
indeed escaped from the SIR program and that a warrant was still
outstanding, the Birmingham police went to the apartment in the
Smithfield housing project where the appellant was reportedly
staying. The officers talked with the lessee of the apartment,
Margie Bush. They inquired as to the whereabouts of the appellant
and his girlfriend, Debra "Bootsie" Bush. Margie Bush turned toward
a curtain which separated the front of the apartment from the back
bedroom and shouted for Bootsie, who then appeared from behind the
curtain. Bootsie stated that she did not know where the appellant
was at that time. However, one of the officers happened to look
behind the curtain and saw the appellant lying in the bed. After a
struggle, the appellant was taken into custody.
The supervising officer then
informed Margie Bush that the appellant was thought to have a gun
and requested permission to search the apartment for it. Margie Bush
gave her permission. During the search, Bootsie stated that the
appellant had hidden the gun in the bedroom. The murder weapon was
found inside a black purse located on top of a dresser in the room
in which the appellant was apprehended.
The appellant was indicted on
April 29, 1988, for the murder of John Robert Kirk during a robbery.
After his indictment, the appellant was sent at his own request to
the Taylor Hardin Secure Medical Facility for an evaluation of his
mental competency to stand trial. Evidence was presented at trial
that while at Taylor Hardin, the appellant made the statement "I
have killed one white m____ f____; I'll kill another one." However,
there was some conflict regarding the person to whom the statement
was directed. The appellant was found to be competent to stand trial
and was discharged from the facility on December 23, 1988.
Williams v. State, 601
So.2d 1062, 1065-66 (Ala.Crim.App.1991).
B. Procedural History
A Tuscaloosa County, Alabama,
grand jury indicted Williams for capital murder on April 29, 1988.
The Honorable Joseph Colquitt appointed Al Vreeland and Bobby
Cockrell Jr. to represent Williams; however, these attorneys
withdrew in March 1989, and the trial court appointed John Bivens ("Bivens")
to represent Williams. Bivens retained Dr. William A. Formby ("Dr.
Formby") as his guilt phase investigator and hired Dr. Ray Sumrall
("Dr. Sumrall"), a licensed social worker and partner at Veritas,
Inc., a firm that provides investigatory and analytical services to
lawyers who represent defendants in capital cases, to conduct his
mitigation investigation.
Williams's trial commenced on
November 27, 1989, and three days later, the jury returned a guilty
verdict on the charge of capital murder. After the sentencing phase
of Williams's trial, the jury recommended, by a 10-2 vote, that the
trial court impose the death penalty. After weighing the aggravating1
and mitigating circumstances,2
the trial court followed the jury's recommendation and sentenced
Williams to death.
The Alabama Court of Criminal
Appeals affirmed Williams's conviction and death sentence on direct
appeal. See Williams, 601 So.2d at 1087. The Supreme Court of
Alabama denied Williams's petition for a writ of certiorari. See
Ex parte Williams, 662 So.2d 929 (Ala.1992). The United States
Supreme Court denied Williams's petition for a writ of certiorari on
November 2, 1992. See Williams v. Alabama, 506 U.S. 957, 113
S.Ct. 417, 121 L.Ed.2d 340 (1992). Williams then filed a Rule 32
post-conviction petition with the Tuscaloosa circuit court, raising
numerous claims for relief. See Ala. R.Crim. P. 32. Following
an evidentiary hearing on the Rule 32 petition, then Tuscaloosa
Circuit Judge Robert Harwood Jr.3
denied Williams's petition for post-conviction relief. The Alabama
Court of Criminal Appeals affirmed the trial court's order denying
Williams's Rule 32 petition. See Williams v. State, 783 So.2d
108 (Ala.Crim.App.2000). The Alabama Supreme Court denied Williams's
petition for a writ of certiorari.
Williams filed the present federal
habeas petition on March 29, 2001, and amended his petition on June
7, 2001. The district court denied Williams's request for an
evidentiary hearing and denied Williams's petition for habeas relief.
Williams filed an application for a certificate of appealability ("COA")
which this court initially denied. Upon reconsideration, this court
granted a COA on three grounds of ineffective assistance of counsel.
II. ISSUES
1. Whether Williams received
ineffective assistance of counsel because counsel allegedly failed
to review the Taylor Hardin file before trial.
2. Whether Williams received
ineffective assistance of counsel at the penalty phase because his
counsel allegedly failed to investigate adequately Williams's
background for potential mitigation evidence.
3. Whether Williams received
ineffective assistance of counsel at the guilt phase because his
counsel allegedly failed to investigate adequately and present
substantial evidence to support Williams's reasonable doubt defense.
III. STANDARDS OF REVIEW
We review for clear error the
district court's findings of fact and review de novo both
questions of law and mixed questions of law and fact. Nyland v.
Moore, 216 F.3d 1264, 1266 (11th Cir. 2000). An ineffective
assistance of counsel claim is a mixed question of law and fact that
the court reviews de novo. See Rolling v. Crosby, 438 F.3d
1296, 1299 (11th Cir.2006), cert. denied, ___ U.S. ___, 126
S.Ct. 2943, ___ L.Ed.2d ___ (2006). Since Williams's petition was
filed after the effective date of the Antiterrorism and Effective
Death Penalty Act (" AEDPA"), we, in essence, review the decisions
of the state courts. Pursuant to the AEDPA:
An application for a writ of
habeas corpus on behalf of a person in custody pursuant to the
judgment of a State court shall not be granted with respect to any
claim that was adjudicated on the merits in State court proceedings
unless the adjudication of the claim —
(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; 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.
28 U.S.C. § 2254(d). Furthermore,
a state court's factual findings are presumed correct, unless
rebutted by the petitioner with clear and convincing evidence. Id.
at § 2254(e)(1).
Under the contrary to clause, a
federal habeas court may grant the writ if the state court arrives
at a conclusion opposite to that reached by the Supreme Court on a
question of law or if the state court decides a case differently
than the Court has on a set of materially indistinguishable facts.
Under the unreasonable application clause, a federal habeas court
may grant the writ if the state court identifies the correct
governing legal principle from the Supreme Court's decisions but
unreasonably applies that principle to the facts of the prisoner's
case. Under either standard the appropriate measuring stick is
clearly established federal law, which means the holdings, as
opposed to the dicta, of the Supreme Court's decisions as of the
time of the relevant state court decision.
Schwab v. Crosby, 451 F.3d
1308, 1310 (11th Cir.2006) (internal quotations, citations, and
brackets omitted).
IV. DISCUSSION
"It is well established that the
Supreme Court's decision in Strickland [v. Washington,
466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984)] is the `controlling
legal authority' to be applied to ineffective assistance of counsel
claims." Marquard v. Sec'y for Dep't of Corrs., 429 F.3d
1278, 1304 (11th Cir.2005), cert. denied, ___ U.S. ___, 126
S.Ct. 2356, 165 L.Ed.2d 283 (2006). Under this standard, in order to
show deficient performance, the petitioner must show that, in light
of all the circumstances, counsel's performance was outside the wide
range of professional competence. See Strickland, 466 U.S. at
690, 104 S.Ct. at 2066. The court's review of counsel's performance
should focus on "not what is possible or what is prudent or
appropriate, but only [on] what is constitutionally compelled."
Chandler v. United States, 218 F.3d 1305, 1313 (11th Cir.2000)
(en banc) (internal quotations omitted). The court's review of
counsel's performance must be highly deferential, and the court must
avoid second-guessing counsel's performance. Strickland, 466
U.S. at 689, 104 S.Ct. at 2065. Further, the courts must make an
objective inquiry into the reasonableness of counsel's performance.
Chandler, 218 F.3d at 1315. There are no absolute rules
dictating what is reasonable performance because absolute rules
would restrict the wide latitude counsel have in making tactical
decisions. Id. at 1317.
Williams asserts two claims of
ineffective assistance regarding his counsel's alleged review of his
Taylor Hardin file. First, Williams claims that at the guilt phase,
Bivens failed to read or review the file, and that this prejudiced
Williams because Bivens (1) did not raise all the appropriate
objections to Williams's inculpatory statement to Danny Hubbard, (2)
did not introduce extenuating evidence to place Williams's words in
context, and (3) failed to locate and introduce substantive evidence
of chronic alcohol and drug use noted in the file that would have
supported the defense theory that Williams was incapacitated at the
time of the crime. Second, Williams raises a penalty phase
ineffectiveness claim, arguing that Biven's failure to read and
review the file prejudiced him because the file contained
information that would have been useful during his presentation of
mitigation evidence.
We turn first to the claim of
ineffectiveness at the penalty phase. In state court, Williams did
not raise a penalty phase ineffectiveness claim regarding counsel's
failure to read and review the Taylor Hardin report. Rather,
Williams's claim of ineffectiveness at sentencing related to
counsel's failure to investigate and present sufficient mitigation
evidence, albeit information Bivens allegedly could have gleaned
from his reading of the Taylor Hardin report. However, the specific
issue raised here was never fairly presented to the state courts. As
such, the claim is precluded from federal review. See Henry v.
Dep't of Corrs., 197 F.3d 1361, 1366 (11th Cir.1999) ("a
petitioner's constitutional claims [must] be `fairly presented' to
the state courts such that they have `an opportunity to apply
controlling legal principles to the facts bearing upon them'") (quoting
Picard v. Connor, 404 U.S. 270, 275, 92 S.Ct. 509, 512, 513,
30 L.Ed.2d 438 (1971)).
In state court, Williams did raise
at the guilt phase his claim of ineffective assistance of counsel
for failure to read the report. The Alabama Court of Criminal
Appeals found as follows with regard to this claim:
Fifth, the appellant contends that
his attorneys rendered ineffective assistance because they allegedly
did not examine the records furnished by the State and therefore did
not discover that he had made a statement to an employee at Taylor
Hardin to the effect that he had killed one white man and would kill
another. He also argues that counsel should have objected to the
admission of the statement on the ground that it was not relevant.
In addressing these contentions, the circuit court made the
following findings: The thrust of Williams' treatment of this
contention in his post-hearing brief is that [trial counsel] erred
by not interposing a relevancy objection to this testimony of Mr.
Gaskin . . . . Indisputably, [trial counsel] was surprised by Mr.
Gaskin's testimony concerning the statement made in his presence by
Williams, because neither Dr. Sumrall nor Dr. Formby had noted it or
called it to his attention. Dr. Formby testified that he had gone
through the records in question but "just simply didn't pick up on
it." (EH 414).
The Court of Criminal Appeals
analyzed the content and context of the statement attributed to
Williams by Gaskin in its opinion, although it did so in connection
with responding to Williams' contention that the statement should
have been excluded because he had not been read his Miranda
rights prior to making the statement.
Nonetheless, at the end of the
entire opinion, after having addressed all issues which had been
specifically raised, the court declared, "We have searched the
entire record for any error which may have adversely affected the
appellant's substantial rights and have found none." 601 So.2d at
1087. As previously noted, "[a] finding of no plain error is one
factor to consider when assessing the performance of trial counsel."
Hallford v. State, 629 So.2d 6, 10 (Ala.Crim. App.1992).
. . .
. . . Likewise, this court finds
in this case that any deficiency in the records review, or
investigation otherwise, by Dr. Formby, Dr. Sumrall, and/or [trial
counsel] did not result in the requisite degree of prejudice. Unless
a defendant satisfies both the deficient performance prong and the
prejudice prong of Strickland, "it cannot be said that the
conviction or death sentence resulted from a breakdown in the
adversary process that renders the result unreliable." Strickland,
466 U.S. at 687[, 104 S.Ct. 2052]. . . . [T]he court finds that
there is no reasonable probability that a relevancy objection would
have been sustained, nor that overruling it would have constituted
reversible error. The testimony of Mr. Gaskin followed immediately
after the testimony of Priscilla Jones. She had testified that when
she encountered Williams at her apartment project the morning of
Saturday, January 23, 1988, he had made the statement to her in the
course of their conversation that he had killed a white man. (R.
479-80). When questioned further as to whether Mr. Williams had told
her: "I just killed a white man," she confirmed that as his
statement to her. (R. 502). On the heels of that testimony, Mr.
Gaskin testified that Williams had stated in the course of an
argument with another patient at Taylor Hardin Secure Medical
Facility, in Mr. Gaskin's presence and hearing, on December 12,
1988, "I have killed one white m____ f____; I'll kill another one."
(R. 515-17, 537-38). The patient with whom Williams was arguing was
white and Mr. Gaskin is black. (R. 549). Mr. Gaskin recorded that
statement in the "SOAP notes" portion of Mr. Williams' record at
Taylor Hardin (R. 539-43; State's Exhibit 3 at the evidentiary
hearing). Williams had been arrested during the early morning hours
of January 25, 1988, and had been incarcerated at various locations
at all times between then and the date of the statement overheard by
Mr. Gaskin. Presumably there would have been no opportunity to kill
undetected a white person, or any other person, during that time
frame. Accordingly, the statement made by Williams in the hearing of
Gaskin would have related to an event preceding January 25, 1988.
Consequently, it is not "remote" to the January 23, 1988, incident,
and statements that date to Priscilla Jones. The court finds the
testimony was relevant. "The rule is stated to be that the acts,
declarations and demeanor of an accused before or after the offense
whether a part of the res gestae or not are admissible against him,
but unless a part of the res gestae are not admissible for him." . .
.
Accordingly, the court concludes
that the statement was not objectionable on grounds of relevancy,
and also concludes that the Court of Criminal Appeals would have
noted it to have been thus objectionable, under the "search the
record for error" rule of review attending capital murder appeals,
were that not so.
783 So.2d at 127-29. The Alabama
Court of Criminal Appeals agreed with the circuit court's findings
and adopted them as part of the appellate decision. Id. at
129.
Assuming arguendo that
Williams's counsel was deficient for failing to thoroughly review
the Taylor Hardin file in order to prepare for a response to Mr.
Gaskins's testimony, Williams cannot satisfy the prejudice prong of
Strickland. The state trial court found that Williams could
not prove prejudice because "there is no reasonable probability that
a relevancy objection would have been sustained, nor that overruling
it would have constituted reversible error." Williams, 783
So.2d at 128-29. Under AEDPA, these findings are entitled to a
presumption of correctness. See 28 U.S.C. § 2254(e)(1).
Williams cannot demonstrate that the state courts' decisions were
either contrary to, or involved an unreasonable application of,
federal law. Therefore, Williams is entitled to no relief on this
claim.5
B. Failure to investigate
and present sufficient mitigation evidence
Williams contends that the Supreme
Court's decision in Wiggins v. Smith, 539 U.S. 510, 123 S.Ct.
2527, 156 L.Ed.2d 471 (2003), requires that this court grant him
habeas relief because his defense team insufficiently investigated
potential mitigation evidence to present at sentencing. Both the
state trial court and the state appellate court rejected this claim
on both prongs of Strickland. The state courts found as
follows:
First, the appellant contends that
his attorneys rendered ineffective assistance because they allegedly
did not investigate and present sufficient mitigating evidence
during the penalty phase of his trial. Specifically, he contends
that counsel should have called witnesses who could have testified
about his background and upbringing, including the "personal
hardships and severe deprivations" he suffered.
. . .
The record from the appellant's
direct appeal shows that Dr. Raymond O. Sumrall testified before the
jury during the penalty-phase proceedings. Dr. Sumrall, who was a
professor at the School of Social Work at the University of Alabama
and an associate professor with the University's Department of
Criminal Justice, testified that he spent ten hours interviewing the
appellant and that he had reviewed the appellant's background. He
testified that the appellant's mother deserted him when he was very
young; that he lived with his maternal grandmother; that, at age
seven, when his maternal grandmother died, he moved in with his aunt;
that he did not have a stable home environment; that he had not had
any relationships with significant adult and stable women in his
life; that he did not have a relationship with his father because
his father left when the appellant was two years old; that, from the
ages of nine to twelve, "he was pretty much a street kid who came
and went without very much supervision from anybody" (Trial R.
1026); that he could not discipline himself; and that he had been
extensively involved in the use of drugs and other substances since
he was sixteen. Dr. Sumrall also testified that he had not observed
any pattern of behavior in the appellant that was assaultive or
violent and that committing murder was not consistent with the
appellant's prior behavior, which involved only property offenses.
There was also testimony that the
appellant had been evaluated at the Taylor Hardin Secure Medical
Facility ("Taylor Hardin") by several doctors. Using that evaluation,
Dr. Bernard E. Bryant, a psychiatrist, testified that the appellant
had an antisocial personality and that he showed remorse about the
offense.
Finally, the trial court held a
separate bench sentencing hearing after the jury had returned its
recommendation and after the presentence investigation had been
completed. At this hearing, Reverend Charles Hunter testified that
he had known the appellant since the appellant was a child and that
he was not a violent person. The appellant also testified at the
hearing that he was the type of person who liked to help people and
"look out" for people. He further testified that he did not have a
history of violence and that he had never previously been convicted
of a violent crime. When addressing this claim, the circuit court
made the following findings:
In his Post-Hearing Brief,
Williams contends that testimony could have been adduced by defense
counsel through Herbert Echols, Debra Grenshaw (spelled "Grinshaw"
in the transcript of the evidentiary hearing), Jesse Hill [the
appellant's stepfather] and/or Laura Williams to paint a picture of
Luther Williams' deprived and impoverished childhood. There is some
question as to Mr. Echols' accessibility and availability during the
period of [trial counsel's] representation of Williams, inasmuch as
Mr. Echols testified at the evidentiary hearing that he was living
in Detroit from 1988 to 1990, and even his brother did not really
know how to find him, because at one point in time he was homeless.
(EH 145). Nonetheless, the testimony elicited from him and from the
other aforementioned witnesses at the evidentiary hearing related to
information essentially cumulative to that provided the jury by Dr.
Sumrall. Williams argues in his Post-Hearing Brief that those
witnesses could have acquainted the jury with the fact that his
mother had deserted him and his siblings when he was still very
young; that his father likewise had abandoned him; that he
thereafter was raised by Laura Wilkins; and that he was often locked
out of her house and forced to fend for himself. In his testimony at
the evidentiary hearing, Luther Williams explained that when Ms.
Wilkins would lock him out, for two to three days at a time, he
would live "over [at] other friends' houses." (EH 189-90). The
contention is made in the Post-Hearing Brief that testimony could
have been presented through Mr. Echols that Luther, along with Mr.
Echols, was regularly whipped by Mr. Hill with switches, belts, and
extension cords. Williams himself testified at the evidentiary
hearing that he had a good relationship with Mr. Hill when he didn't
whip him, and Luther still loved him. (EH 190). Dr. Sumrall put
before the jury that Luther Williams' "mother deserted him at a very
young age" and that he lived with a maternal grandmother for a while
but that she died when he was seven, leaving Luther with an aunt who
apparently adopted him when he was about nine; that "from his birth
to age nine he had no stable environment"; that he had "no
relationship with significant adult and stable women in his life";
that he had no relationship with a significant father figure in his
life[]; that his father had left him when he was only two years old;
and that from about nine to twelve years of age "he was pretty much
a street kid who came and went without very much supervision from
anybody." (R. 1025-26). When Williams' present counsel called Jesse
Hill to the stand at the evidentiary hearing, he was not asked any
questions concerning any alleged mistreatment of Luther by him.
Further, Mr. Hill was asked virtually no questions at that hearing
concerning Luther Williams' impoverished or deprived background,
other than concerning the undisputed fact that Luther's mother and
father were not involved in his life after his early years. (EH
163). With respect to the argument made in the post-hearing brief
that use of a psychologist, such as Dr. Barbara Tarkin, could have
paved the way for presentation of significant non-statutory
mitigation evidence, the testimony she presented was not in
disagreement with that of Dr. Sumrall or the State's penalty-phase
expert, Dr. Bernard E. Bryant. The contention is made in the post-hearing
brief that "Dr. Tarkin, or another qualified psychologist, could
have offered an opinion, consistent with that of Taylor Hardin's
psychiatrist, that Mr. Williams' condition was a condition that
developed in all probability by virtue of his very early childhood
deprivation." (PHB, p. 17). Dr. Bryant, who testified that he was
employed at Taylor Hardin from April 1 of 1986 through August 31 of
1989, opined that Williams had an antisocial personality (R. 108).
He explained that it is a "characterological or personality"
disorder developed during a person's formative years, of ages "2, 3,
6, 7, 8 years old," whereby "the person has ended up with this
personality." (R. 1082). Dr. Bryant acknowledged during cross-examination
by [trial counsel] that an unstable family could, if there were not
a proper male or female role model, contribute to a person having
antisocial characteristics. (R. 1097). He further acknowledged that
"substance abuse does exacerbate[.]" (R. 1098).
The court does not find that the
failure to utilize the witnesses now suggested by Williams
constituted ineffective assistance of counsel . . . . The pertinent
information was presented to the jury through Dr. Sumrall, without
the risk being run of possibly harmful information being elicited
from those witnesses on cross-examination. Furthermore, even if [trial
counsel's] preparation and presentation were deficient in this
regard, Williams has failed to show the requisite second prong of
prejudice. He has not met the Strickland test of showing a
reasonable probability that, absent the error in question, the
sentencer would have concluded that the balance of aggravating and
mitigating circumstances did not warrant death; he has not shown a
probability sufficient to undermine confidence in the outcome.
We agree with the circuit court's
findings and adopt them as part of this opinion. In addition, we
note that the trial court found, as nonstatutory mitigating
circumstances, that the appellant had an antisocial personality,
that he did not have a significant prior history of assaultive or
violent conduct, that he had not had a stable family environment
during his formative years, and that he had extensively abused
alcohol and drugs since he was about 16 years old. (Trial R.
1433)[.] For the above-stated reasons, the appellant has not shown
that counsel rendered ineffective assistance in the preparation and
presentation of mitigating evidence. See Strickland, supra.
Williams v. State, 783
So.2d at 115-121.
Our review of this claim is
limited to whether the state courts unreasonably applied
Strickland to the facts of this case. Although Williams urges us
to apply Wiggins to his case, the controlling Supreme Court
precedent with regard to claims of ineffective assistance of counsel
is Strickland. See Marquard, 429 F.3d at 1304 (noting that
Strickland is "the `controlling legal authority' to be applied
to ineffective assistance of counsel claims"). As the district court
found, the state courts did not unreasonably apply the Strickland
standard to Williams's claim of ineffective assistance for failing
to investigate and present sufficient mitigation evidence at the
sentencing phase.
Bivens hired Dr. Sumrall to
investigate and conduct his mitigation defense. Dr. Sumrall
presented evidence to the jury that assisted Bivens in his
mitigation strategy. Dr. Sumrall testified that Williams came from a
disadvantaged background that led to his alcohol and drug abuse and
property crimes, which were not violent in nature. This testimony
allowed Bivens to argue to the jury that Williams was not a violent
person, and a sentence of life in prison would be more appropriate
for him. Also, Dr. Sumrall stated that he spent ten hours with
Williams, recounting his family history, educational history, and
criminal history. Dr. Sumrall also reviewed Williams's mental health,
police, probation, and parole records. Dr. Sumrall's testimony led
the trial court to find as mitigation that Williams had a poor
family history, a history of non-violent crimes, an extensive
history of drug and alcohol abuse, and an anti-social personality
disorder.
Assuming this investigation was
deficient, Williams cannot show how the alleged deficient
investigation prejudiced him at sentencing. At the Rule 32 hearing,
Williams's expert psychologist, Dr. Barbara Tarkin ("Dr. Tarkin"),
testified that she spent approximately nine hours meeting with
Williams. She stated that she read virtually the same files as Dr.
Sumrall; she talked to only one family member over the phone; and
she was not "intimately familiar" with the facts of the case. [R.
Vol. VI, Rule 32 hearing p. 284-91, 299, 315-17.] In her expert
opinion, Dr. Tarkin found that Williams suffered from an anti-social
disorder and Bivens should have argued in mitigation that Williams
was suffering from a mental disturbance; that Williams was too
passive to be anything but an accomplice; and that Williams was
shaped by the poor environment in which he was raised. Dr. Tarkin's
conclusions are essentially the same as Dr. Sumrall's conclusions,
to which he testified at sentencing.
In addition to Dr. Tarkin,
Williams presented several other witnesses at the Rule 32
evidentiary hearing to testify to mitigation evidence not previously
presented at trial. Herbert Echols ("Echols") testified that
Williams's mother was an alcoholic, and that Williams did not know
his biological father. He also stated that Williams's step-father,
Jesse Hill, whipped Williams if he did something wrong, but that
these whippings never required medical attention. [R. Vol. V, Rule
32 hearing p. 140-151.] Deborah Greenshaw ("Greenshaw") testified
that she had known Williams since he was 16 years old. Greenshaw
stated that Williams's aunt would often lock him out of her house
for several days when Williams did not do what she asked. [Id.
at 155, 160.] Jesse Hill ("Hill") testified that Williams's mother
moved to New York when Williams was about ten years old, and that he
only met Williams's father once or twice. No attorney asked Hill
about his alleged whippings of Williams. [Id. at 161-68.]
Laura Williams ("Laura"), Williams's sister, testified that their
mother left them at an early age, and they lived with their aunt,
Laura Wilkins ("Ms. Wilkins"). Laura stated that Ms. Wilkins was "always
good." [Id. at 169-70.]
Under the prejudice prong of
Strickland, "the question is whether there is a reasonable
probability that, absent the errors, the sentencer . . . would have
concluded that the balance of aggravating and mitigating
circumstances did not warrant death." Strickland, 466 U.S. at
695, 104 S.Ct. at 2068-69. Under this standard, it is apparent that
"[a] petitioner cannot establish ineffective assistance by
identifying additional evidence that could have been presented when
that evidence is merely cumulative." Van Poyck v. Fla. Dep't of
Corrs., 290 F.3d 1318, 1324 n. 7 (11th Cir.2002). This is
exactly what happened at Williams's Rule 32 hearing. He presented
evidence that was cumulative. The witnesses may have elaborated on
prior mitigation evidence, but no witness testified to any new
mitigating factors.
Each witness presented cumulative
evidence that merely re-established the mitigating circumstances
previously argued by Bivens at trial and considered by the trial
court at sentencing: (1) an anti-social personality disorder, (2) a
non-violent criminal history, (3) an unstable family life, and (4)
an extensive alcohol and drug abuse problem. There can be no
reasonable probability that this cumulative testimony of mitigating
factors already presented to and considered by the trial court to be
"weak and unpersuasive" would have tipped the sentencing scales,
especially when the trial court noted that the statutory aggravators
far outweighed the mitigating factors. [R. Vol. 7 p. 1427.] Thus,
Williams cannot demonstrate that the state courts' determination
that he failed to prove prejudice under Strickland was
objectively unreasonable. Accordingly, Williams is not entitled to
relief on this claim of ineffective assistance of counsel at
sentencing.
C. Failure to investigate
adequately the guilt phase defenses
Williams argues that his counsel
rendered ineffective assistance because he did not reasonably
investigate Williams's guilt phase defenses that he was
incapacitated at the time of the murder, and that there was "reasonable
doubt" that Williams committed the murder because there were two
other individuals involved. Both the state trial court and appellate
court rejected Williams's claim under Strickland. See Williams,
783 So.2d at 123-26. Specifically, both courts found that Dr. Formby
was a well qualified investigator who reasonably investigated
Williams's guilt phase case, and that Williams presented no evidence
at the Rule 32 hearing that would have affected the outcome of the
trial. Id.
The Alabama Court of Criminal
Appeals stated the following:
First, the appellant contends that
his attorneys rendered ineffective assistance because they allegedly
did not properly investigate the case and interview potential
witnesses. The circuit court made the following findings concerning
this contention:
[Trial counsel] principally relied
on Dr. Formby, who had been engaged by his predecessor counsel, to
conduct the case investigation and witness interviews. Dr. Formby
was well qualified for that role by virtue of many background
attributes, as detailed by his testimony at the evidentiary hearing
and his "vitae" introduced as State's Exhibit 6 to the same. During
the time of his engagement on the case, he was also a co-principal
with Dr. Sumrall in the forensic services firm of Veritas, Inc. . .
. Dr. Formby testified that he "probably put in easily 200 hours" on
the investigation, having commenced it in the service of [Williams's]
predecessor attorneys and therefore having been on the case "essentially
longer than anybody else." (EH 398). Dr. Formby "spent a good bit of
time talking with Luther [Williams]" and spent a good bit of time
talking to potential witnesses in the Smithfield Apartments area of
Birmingham. (EH 378). He visited with some of Williams' family
members in the Titusville projects and Debra Bush in the Avondale
projects. (EH 378). He went to see Margie Bush, the grandmother of
Debra Bush and she admitted him to her apartment where Luther had
been apprehended, showing him the bedroom. Dr. Formby spent many
hours "just walking around that area talking to people." (EH 380).
For various reasons adequately explained in his testimony, he did
not keep detailed records of everyone he interviewed or of all the
time he devoted to the case. He interviewed Priscilla Jones and
DeWayne Pierce. (EH 382-83). A lot of his investigation and
interviewing was devoted to trying to develop connections between
Williams' co-defendants and the property stolen from Mr. Kirk, and
other evidence against the co-defendants. (EH 381, 384). He went to
the Titusville projects and spent approximately two hours
interviewing Williams' grandmother and one of his sisters. (EH 384).
. . . As the District Attorney's office provided the defense with
more and more discovery materials, Dr. Formby "would go back to
Luther and talk to him again to see if he could push me or give me
leads in other directions." He talked to Williams a lot. (EH 388).
Dr. Formby went to the crime scene on a couple of occasions. (EH
388-89). He attempted to follow the route that Williams and his two
codefendants had traversed at different points during the incidents
in question. (EH 389). He and [trial counsel] routinely "would have
meetings probably twice a week up until the last few weeks before
trial, and then we met virtually every day." (EH 389-90). Dr. Formby
would brief [trial counsel] on all that he had developed, and [trial
counsel] would provide guidance in terms of things that he felt were
important that Dr. Formby needed to follow up on. (EH 390). . . .
For his part, [trial counsel] personally tried to locate witnesses
who could corroborate Mr. Williams' claim that he was incapacitated
by intoxication on the night of the murder[.] (EH 79-80).
The appellant also contends that
his attorneys rendered ineffective assistance because they did not
interview and present witnesses who he alleges could have rebutted
most of the circumstantial evidence presented in the case.
Specifically, he asserts that there were witnesses who could have
placed his codefendant in the victim's truck on the day of the
murder and who could have impeached Priscilla Jones, the appellant's
sister, who testified that the appellant told her that he had killed
a white man. In regard to this issue, the circuit court made the
following findings:
Williams argues in his Post-Hearing
Brief that [t]o counter the damaging evidence that Mr. Williams was
seen driving Mr. Kirk's truck, trial counsel could have offered
testimony through Laura Williams or Sandra King that Albert
Carmichael had been seen driving the red truck, that he smelled of
gasoline and that Mr. Carmichael had white man's cigarettes on him
Saturday evening, just hours after Mr. Kirk was murdered. (PHB, p.
12). Ms. Williams and Ms. King testified at the evidentiary hearing
that they were at Ms. King's apartment house on a Saturday night
when they observed Albert Carmichael in a red truck parked in the
parking lot by Priscilla Jones' house. As far as the date on which
that occurred, Ms. Williams was only asked if she remembered being
at Ms. Kings' "a few days before the time that Luther was arrested
for the murder," and she identified it as a Saturday night, and Ms.
King was asked if she could remember being at home with Laura
visiting her "January 23, I believe a Saturday night, Saturday
afternoon or Saturday night. I may be wrong on the day, but I think
that is the date, January 23. Do you remember being home on that
date?", to which she answered in the affirmative. (EH 181). Both
testified that Carmichael came into King's apartment and they were
then able to notice the smell of gasoline on him. Ms. Williams
testified that he "had some cigarettes that he didn't smoke," which
were "a white man's kind of cigarettes." Asked what brand they were,
she testified that they were "Merit or something like that. I can't
really remember what kind they were," whereas Carmichael usually
smoked Kools. Ms. King testified that Carmichael usually smoked "Kools
or either Newport 100s" and that the cigarettes he had with him on
the occasion in question were not "the same kind" but she could not
state what brand they were. (EH 175-76, 183-84).
. . . .
Considering all of the
interviewing of Williams and his family members conducted by Dr.
Formby, and considering all of the evidence showing the involvement
of Albert Carmichael and Trosky Gregory in various critical events
of the weekend in question, the court does not find that Williams
has carried his burden of proving that a failure to use Laura
Williams or Sandra King as defense witnesses constituted ineffective
assistance of counsel; or that the omission of their testimony
prejudiced the defense in the way required by the Strickland
test. Under Strickland, it is not enough to show that trial
errors "had some conceivable effect on the outcome of the proceeding,"
rather the defendant "must show that there is a reasonable
probability that, but for counsel's unprofessional errors,
the result of the proceeding would have been different." (Strickland,
466 U.S. at 693-94, 104 S.Ct. 2052 . . . . (Emphasis added)). That
Albert Carmichael was observed in the red camper truck at the
apartment complex during the night of Saturday, January 23rd, after
Luther Williams had been observed to have been involved with it at
earlier points in time that day, would not have altered the impact
or implication of any of the State's critical evidence. There is no
indication that either Laura Williams or Sandra King ever told
anyone before Williams' trial that they had seen Albert Carmichael
in the red truck. . . .
Williams asserts in his post-hearing
brief that defense counsel should have countered the damaging
testimony of Priscilla Jones by eliciting testimony from her father,
Jesse Hill, that she was "a big liar." Under Rule 608(a) of the
Alabama Rules of Evidence . . ., a witness may impeach the
credibility of a witness who has testified by offering the second
witness's opinion regarding the first witness's untruthfulness. The
Alabama Rules of Evidence did not become effective until January 1,
1996, however, and the law of evidence existing at the time of
Williams' trial restricted the testimony of an impeaching witness to
the limited fact of the other witness' general reputation in the
community for untruthfulness. Before a witness can testify
concerning the reputation in the community for the truthfulness or
untruthfulness of another witness, a predicate must be laid
establishing that the impeaching witness actually has knowledge of
the other witness's reputation for truthfulness or untruthfulness in
the first witness's community. That was the evidentiary point
addressed by the court in its comments to counsel during Mr. Hill's
testimony. (EH 164-66). Although the question put to Mr. Hill was
rephrased so as to properly inquire as to "reputation," Mr. Hill
persisted in expressing the matter in terms of his own personal
knowledge of her lack of veracity. His testimony as ultimately
offered related to his own personal assessment or opinion of her
history of untruthfulness, rather than relating it to her reputation
in the community. He expressed his opinion that Priscilla "had come
down here and told the people out here a bunch of — to me, it is a
bunch of fairy tales." (EH 166). Mr. Hill conceded, however, that he
[had] no knowledge about the evidence in the case and that it was
his testimony that Priscilla was telling the people in Tuscaloosa "fairy
tales" because "that is my daughter, and I know what she is capable
of doing. My daughter would do anything, say anything to anybody."
(EH 167). When asked how, if he did not know anything about the
facts of the case, he could attack the credibility of her testimony,
he answered that Priscilla was "a big liar," and that she "never
tells the truth about a lot of things." (EH 168). Accordingly, as
the record stands, there is no affirmative showing that Mr. Hill
could have offered testimony that would meet the foundational
requirement of showing that it related to Priscilla Jones'
reputation for truthfulness/untruthfulness in her community in 1989
. . . . [Trial counsel] impeached Priscilla Jones with respect to
the inconsistencies between her trial testimony and her preliminary
hearing testimony, and her testimony on several important points was
corroborated by that of Teresa Ann Evans. One of the critical
features of Priscilla Jones' testimony was that Luther Williams told
her, on the occasion that he came to her apartment building the
morning of Saturday, January 23rd, in the "red and white camper
truck," that he had killed a white man (R.479), that "I just killed
a white man." (R.502). She did not believe him at the time. (R.480,
502). Immediately prior to making that statement, he had hugged her
and apologized to her for the altercation between them the preceding
night. (R.476, 502). He had the odor of gas on him. (R.480). When
she returned to her apartment, he followed her and showed her "a
pistol and some bullets," with the pistol having "a clear handle,"
meaning that it was "white." (R.480). As the only other participant
to that conversation, Williams was the only person who could have
contradicted Jones' testimony about it, but he did not testify and
the trial strategy decision in that regard is not challenged in this
proceeding. The court does not consider the fact that Mr. Hill might
have testified that he had knowledge of his daughter's reputation
for truthfulness, and that her reputation was bad in that regard and
she had a reputation for untruthfulness, would have been of such
import as to impeach her as a witness to the extent that the outcome
of the trial would have been different.
We agree with the circuit court's
findings as to these claims and adopt them as part of this opinion.
Because the appellant has not established that his attorneys
rendered ineffective assistance in these instances, he is not
entitled to relief on these claims. See Strickland, supra.
Williams, 783 So.2d at
123-26.
As the state courts found and the
record reflects, Bivens and Formby reasonably investigated both
theories of defense. Bivens testified at the Rule 32 hearing that
the incapacitation theory of defense "probably" came from Williams.
[R. Vol. IV, Rule 32 hearing p. 63-64.] Bivens attempted to find
information that could prove or support the incapacitation theory,
but was unable to do so. [Id. at 30, 80-81.] Once he could
not find anything to support the incapacitation theory, Bivens was
left with a "reasonable doubt defense" — attacking the State's case
that Williams committed the murder through "innuendos and
assumptions." [Id. at 62-63.]
Dr. Formby testified that his
primary goal was to find any evidence that would develop stronger
connections between the other individuals involved in the murder and
the actual murder. Like Bivens, Dr. Formby twice traveled to the
murder scene to see if any argument could be made concerning the
trajectory of the bullet. [R. Vol. VI, Rule 32 hearing p. 25-26,
388.] He also followed the same route Williams and the other
individuals took the day of the murder, and he viewed the videotaped
statements of the other individuals to search for anything
exculpatory to Williams. [Id. at 389, 416-17.] Dr. Formby
also visited the Smithfield project several times to talk with
people in the area and to interview Williams's family members. [Id.
at 382-84.] He also viewed the scene of the arrest and interviewed
the women who were present at the time of Williams's arrest. [Id.
at 384.] Moreover, when Williams's initial trial attorneys received
a letter from a former client claiming that one of the other
individuals involved admitted to committing the murder, Dr. Formby
investigated that lead and found the letter to be false. [Id.
at 379.] When Wallace Gaskin testified concerning Williams's
inculpatory statement to Danny Hubbard, Dr. Formby traveled to
Taylor Hardin to search for Danny Hubbard. [Id. at 392.] In
addition, Bivens testified that he reviewed the entire State's file,
viewed the State's physical evidence, and reviewed the Taylor Hardin
reports to determine whether some type of mental health defense was
possible. [R. Vol. IV, Rule 32 hearing p. 14-16, 19, 20, 37-39, 66.]
Based on the record, the state
courts correctly found that Bivens and Dr. Formby performed a
reasonable investigation of Williams's case and possible defenses.
These findings are entitled to a presumption of correctness by our
court. See 28 U.S.C. § 2254(e)(1). Williams presents nothing
to rebut these findings. Therefore, Williams cannot show that the
state courts unreasonably applied Strickland's performance
prong to this issue.
Assuming arguendo that
Williams could show that his counsel was deficient for not
thoroughly investigating his potential defenses for trial, he cannot
show that any deficient performance prejudiced his defense. At the
Rule 32 hearing, Williams presented the testimonies of Sandra King
("King") and Laura Williams, both of whom testified to seeing
another individual involved in the case driving Mr. Kirk's red truck
on the night of the murder and smoking a "white man's" cigarette.
[R. Vol. V, Rule 32 hearing p. 168-185.] As the state court noted,
this testimony "would not have altered the impact or implication of
any of the State's critical evidence." Williams, 783 So.2d at
125. Nothing in these testimonies refutes the fact that Williams was
seen driving the truck alone shortly after the murder and leaving in
the truck later that same day. [R. Vol. 3, Trial transcript p.
457-61.] Williams also presented the testimony of Jesse Hill who
testified that Priscilla Jones, a trial witness, was a "big liar"
and told "fairy tales" during the trial. [R. Vol. V, Rule 32 hearing,
p. 166-68.] However, Hill could not testify that he had knowledge of
Jones's general reputation for truthfulness in the community, which
was the standard of admissibility in Alabama at the time of
Williams's trial. See Williams, 783 So.2d at 125-26. Rather,
Hill's testimony was based on his personal opinion. Moreover, Hill
admitted that he had no knowledge of the circumstances of the case.
[Id. at 167.]
Williams cannot show that "there
is a reasonable probability that the outcome of the proceeding would
have been different," Callahan v. Campbell, 427 F.3d 897, 936
(11th Cir.2005), pet. for cert. filed, (No. 05-10404) (Apr.
13, 2006), by adding two witnesses who corroborate the State's
theory and another witness who has no knowledge of the circumstances
of the case and can only present inadmissible opinion testimony.
Thus, Williams cannot demonstrate prejudice under Strickland.
Accordingly, Williams cannot show that the state courts unreasonably
applied Strickland's prejudice prong in his case, and,
therefore, he is not entitled to habeas relief.
V. CONCLUSION
Because Williams fails to
demonstrate that the state courts unreasonably applied the
Strickland standard to his claims of ineffective assistance of
counsel, we affirm the district court's judgment denying Williams
habeas relief.
The trial court found in aggravation that the
offense was committed while Williams was under sentence of
imprisonment for a previous offense, § 13A-5-49(1), Code of
Alabama 1975, and that it was committed during the course of a
robbery, § 13A-5-49(4), Code of Alabama 1975. [R. Vol. 7 p. 1430.]
The trial court found, as nonstatutory
mitigating circumstances, that Williams had an antisocial
personality, that he did not have a significant prior history of
assaultive or violent conduct, that he had not had a stable family
environment during his formative years, and that he had
extensively abused alcohol and drugs since he was about 16 years
old. [R. Vol. 7 p. 1433.]
Taylor Hardin Secure Medical Facility is a
psychiatric facility located in Tuscaloosa, Alabama, that
primarily evaluates individuals in a trial status and provides
treatment for the mentally ill defendant
Furthermore, Williams is not entitled to relief
on his other prejudice arguments that were not raised and
addressed in the state courts: (1) that Bivens was ineffective
because he did not place Williams's statement "in context" at
trial; and (2) that Bivens was ineffective for failing to use
evidence of Williams's chronic alcohol and drug abuse to prove
that Williams was incapacitated at the time of the murderSee
Henry, 197 F.3d at 1366.
*****
BARKETT, Circuit Judge, concurring:
I concur because the majority
opinion correctly resolves the legal issues before us. Williams
argues that his trial counsel was ineffective by failing to read the
Taylor Hardin file, in which he would have discovered the basis for
Gaskin's unequivocally damaging testimony — viz., that
Williams told Gaskin that he killed a white man — and would have
been able to object to the testimony on relevancy grounds. Given the
proceedings in the Alabama state courts, Williams cannot satisfy the
prejudice prong of Strickland on the strength of the
relevancy objection alone, see Ante at 1241 n. 5, and that is
the only issue, with respect to the guilt-phase, for our review.
I write separately only to note
that Williams has not argued in the state courts that counsel should
have been better prepared to mount an adequate defense
notwithstanding the success vel non of the objection to
Gaskin's testimony. For example, had counsel known of Williams'
inculpatory statement, he most certainly would have discussed it
with Williams and attempted to ascertain the circumstances under
which the statement was made, the purposes for which it was
made, and any other information that might have mitigated the
statement. See Rompilla v. Beard, 545 U.S. 374, 125 S.Ct.
2456, 162 L.Ed.2d 360 (2005).1
Because our review is limited, however, to the grounds identified by
the majority, I must concur.
Contrary to the state's argument on appeal,Rompilla
and Wiggins v. Smith, 539 U.S. 510, 123 S.Ct. 2527, 156
L.Ed.2d 471 (2003), although they post-dated the relevant state-court
proceedings, are relevant to our consideration of
Williams's Strickland claim, for they both clarify
Strickland's applicability. See, e.g., Wiggins, 539
U.S. at 521, 123 S.Ct. 2527 ("While Williams [v. Taylor,
529 U.S. 362, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000)] had not yet
been decided at the time the Maryland Court of Appeals rendered
the decision at issue in this case, Williams' case was before us
on habeas review. Contrary to the dissent's contention, we
therefore made no new law in resolving Williams' ineffectiveness
claim. In highlighting counsel's duty to investigate, and in
referring to the ABA Standards for Criminal Justice as guides, we
applied the same `clearly established' precedent of Strickland
we apply today."). I do not take our decision in this case as
holding to the contrary.