APPENDIX D: EXAMPLE OF SERIOUS ERROR WARRANTING FEDERAL
HABEAS CORPUS RELIEF2
- Amadeo v. Zant, 486 U.S. 214 (1988) (Georgia) (prosecutor
unconstitutionally instructed jury commissioner to under-represent African-Americans
on the jury venire).
- Banks v. Reynolds, 54 F.3d 1508 (10th Cir. 1995) (Oklahoma)
(prosecution suppressed evidence that at least three other men were
previously arrested for the crime with which petitioner was charged,
that two of them had been positively identified by eyewitnesses, and
that the cell-mate of one of the previously arrested suspects claimed
that THE suspect had confessed to the crime).
- Beam v. Paskett, 3 F.3d 1301 (9th Cir. 1993), cert denied,
511 U.S. 1060 (1994) (Idaho) (death sentence premised in part
on trial judge's distaste for petitioner's prior history of nonviolent
"abnormal sexual relationships," including homosexuality and
relationships with women substantially younger and older than petitioner).
- Bowen v. Maynard, 799 F.2d 593 (10th Cir.), cert denied,
479 U.S. 962 (1986) (Oklahoma) (prosecutors suppressed a sheaf
of investigative reports that a suspect other than the capitally sentenced
petitioner had murdered the victim and that an investigating officer
with a grudge against the petitioner had maliciously framed him; Bowen
was subsequently released from prison for lack of any evidence of his
guilt).
- Brown v. Wainwright, 785 F.2d 1457 (11th Cir. 1986) (Florida)
(state deliberately withheld fact that chief witness against Brown lied
on the stand about not having been granted leniency in return for testifying
against Brown; on retrial, Brown was released from prison after the
charges against him were dropped).
- Buttrum v. Black, 908 F.2d 965 (11th Cir. 1990) and 721 F.
Supp. 1261 (N.D. Ga. 1989) (Georgia) (prosecutor unconstitutionally
secured death sentence based on a plethora of errors, including (1)
insisting on going to trial before a jury saturated with prejudicial
pretrial publicity; (2) employing a private psychiatrist to testify
against Buttrum but insisting that she be limited to the services of
a psychiatrist employed by and beholden to the state, rather than the
independent expert the Constitution requires; (3) blatantly and unconstitutionally
inviting the jurors to use against Buttrum the fact that she had exercised
her right not to testify; (4) urging the jury, whatever its qualms about
a death sentence might be, to impose that punishment because the decision
would later be reviewed by appellate courts that would bear the real
responsibility for Buttrum' fate; (5) urging the jury to ignore factors
warranting mercy, notwithstanding that the Constitution makes those
very factors the crux of the sentencing decision; (6) relying on a vague
and overbroad aggravating circumstance as a basis for a death sentence)
- Carriger v. Stewart, 132 F.3d 463 (9th Cir. 1997) (en banc),
cert. denied, 118 S. Ct. 1827 (1998) (Arizona) (prosecutor
failed to disclose information in state' files showing that prosecution'
central witnessCwho later confessed to the murder he theretofore had
successfully pinned on petitioner at trialChad a Along history"
of prior crimes and assaultive acts and "of lying to the police
and blaming others to cover up his own guilt"; Carriger subsequently
pled guilty to a lesser offense in return for the state' agreement that
he be immediately released, see generally Samuel R. Gross, Lost
Lives: Miscarriages of Justice in Capital Cases, 61 L. & Contemp.
Prob. 125, 139-40 (1998)(providing additional details on Carriger
case)).
- Cervi v. Kemp, 855 F.2d 702 (11th Cir. 1988), cert. denied,
489 U.S. 1033 (1989) (Georgia) (after Cervi informed the judge
at an initial hearing that he wanted a lawyer, thus giving him a constitutional
right to the assistance of counsel before and while being questioned
by policeCand during the very period when Cervi's lawyer was in the
police station repeatedly demanding to see his client, but was denied
the opportunitypolice interrogated Cervi until he confessed; Cervi
was resentenced to life).
- Chambers v. Armontrout, 907 F.2d 825 (8th Cir.), cert. denied,
498 U.S. 950 (1990) (Missouri) (counsel incompetently failed
to interview and call witness who would have supported petitioner's
claim that he did not deserve the death penalty because he acted in
self-defense).
- Clemons v. Bowersox, 124 F.3d 944 (8th Cir. 1997) (Missouri)
(on rehearing after relief initially had been denied, conviction
and death sentence were overturned due to the state' suppression of
an eye-witness report identifying as the actual killer another man whom
Clemons had all along claimed was the culprit; on retrial in February
2000, Clemons was acquitted)
- Christy v. Horn, 28 F. Supp. 2d 307 (W.D. Pa. 1998) (Pennsylvania)
(prosecutor violated due process by disparaging petitioner's mental
illness defense despite the prosecutor's awareness of inadmissible evidence
substantiating the defense and by implicitly encouraging the jury to
believe, erroneously, that petitioner might be eligible for parole if
sentenced to life imprisonment; in addition, the trial court unconstitutionally
denied a defense request for an independent psychiatrist at guilt and
penalty stages and instead limited the accused to a court-appointed
psychiatrists who was not competent to marshal the necessary facts;
in addition, Christy's attorneys provided prejudicially incompetent
representation at the penalty phase by "fail[ing] to investigate
the mountain of mitigating evidence readily available to them,"
failing to seek psychiatric testimony, failing to object to the prosecutor'
improper closing argument, and incorrectly advising the jury about Pennsylvania
law in a manner that was highly prejudicial to Christy).
- United States ex rel. Collins v. Wellborn and United States
ex rel. Bracy v. Gramley, 79 F. Supp. 898 (N.D. Ill. 1999) (Illinois)
(death sentences overturned based on proof that trial judge, who
repeatedly took bribes to acquit in other cases, exhibited compensatory
pro-prosecution bias against Collins and Bracy and other defendants
who did not bribe him).
- Crivens v. Roth, 172 F.3d 991 (7th Cir. 1999) (Illinois)
(prosecutor failed to disclose that its key eyewitness had a criminal
history and had used an alias in past, thereby "demonstrat[ing]
a propensity to lie to police officers, prosecutors, and even judges").
- Davis v. Zant, 36 F.3d 1538 (11th Cir. 1994) (Georgia)
(conviction and death sentence overturned due to blatant prosecutorial
misrepresentations to the jury in the course of objections and closing
argument: having successfully objected to Davis' effort to inform the
jury that another person had confessed to the killing for which Davis
was convicted and sentenced to die, and having known that Davis for
months before trial had hinged his defense on his claim that the other
person was the killer, the prosecutor repeatedly vouched to the jury
that there was no evidence that the other person had committed the crime
and that Davis had "fabricated" the defense at the last minute,
during the course of the trial).
- Felder v. McCotter, 765 F.2d 1245 (5th Cir. 1985), cert.
denied, 484 U.S. 1077 (1986) (Texas) (after Felder was appointed
counsel, giving him a constitutional right to have his lawyer present
when the police questioned him, and after the appointed lawyer told
the police he wanted to be present at any interrogation, the police
proceeded to interrogate Felder (a man of low intelligence) outside
the presence of counsel, using a variety of strategems designed to make
Felder believe the police knew he was guilty, until Felder confessed).
- Ford v. Norris, 67 F.3d 162 (8th Cir. 1995) (Arkansas)
(conviction and death sentence overturned because of "overwhelming
record evidence . . . that the prosecutor routinely attempted to pervert
the peremptory challenge system by using it to exclude black venirepersons
for reasons wholly unrelated to the trial" and did so at Ford's
trial, striking every potential black juror, and giving an explanation
in each case that was blatantly pretextual because it was either a false
statement of the facts regarding the prospective juror or, if true,
would have required the prosecutor to strike white jurors whom he left
on the jury; district judge also found ineffective assistance of trial
counsel at the sentencing phase).
10. Francis v. Franklin, 471 U.S. 307 (1985) (Georgia)
(trial judge instructed jury to Apresume" that defendant was guilty
of murder unless defendant proved otherwise).
11. Groseclose v. Bell, 130 F.3d 1161 (6th Cir. 1997), cert.
denied, 118 S. Ct. 1826 (1998) (Tennessee) (counsel failed
to develop defense theory and "to conduct any meaningful adversarial
challenge, as shown by his failure to cross-examine more than half of
the prosecutions' witnesses, to object to any evidence, to put on any
defense witnesses, to make a closing argument, and, at sentencing, to
put only any meaningful mitigation evidence"; instead, counsel abdicated
client's case to counsel for codefendant who presented a defense that
was antagonistic to Groseclose).
- Guerra v. Johnson, 916 F. Supp. 620 (S.D. Tex. 1995), aff'd,
90 F.3d 1075 (5th Cir. 1996) (Texas) (police and prosecutors,
among other things, "intimidated" numerous eyewitnesses, who
initially said that petitioner's companion fired the fatal shots, into
corroborating the prosecution's theory that Guerra had fired the shotsCin
the process coercing witnesses into giving testimony and into signing
affidavits that the police and witnesses knew were false; police told
one witness that her common-law husband was at risk of parole revocation
if she did not cooperate and told another witness that her infant daughter
could be taken from her if she refused to cooperate; district judge
concluded that the defendant would surely have been acquitted if he
had received a fair trial; on retrial, the D.A. demanded that the state
trial judge reconsider all of the federal courts' findings about prosecutorial
misconduct, which the trial judge did, concluding that the findings
were accurate in all respects; in April 1997, the D.A. dropped all charges
against Guerra, and he was released).
- Harris v. Wood, 64 F.3d 1432 (9th Cir. 1995) (Washington)
(counsel incompetently failed to interview a majority of the witnesses,
advised the defendant to confess to the prosecutor without receiving
any promise of reduced charges in return, and failed to file potentially
meritorious suppression motions, to propose or object to improper jury
instructions, and to raise and preserve meritorious issues for appeal).
- Houston v. Dutton, 50 F.3d 381 (6th Cir.), cert. denied,
516 U.S. 905 (1995) (Tennessee) (capital conviction overturned
becausein a trial at which the single, decisive issue was whether
the defendant deliberately killed the victim or whether the killing
was an accident, and at which the state's evidence on that decisive
issue was so weak that it raised a substantial question whether it was
even barely sufficient to avoid a directed verdict in favor of the defensethe
trial judge instructed the jury that it was required to "presume"
that the killing was intentional).
- Jones v. Thigpen, 788 F.2d 1101 (5th Cir. 1986), cert. denied,
479 U.S. 1087 (1987) (Mississippi) (counsel conducted no
investigation in mitigation of death penalty and did not realize, nor
inform jury, that his client had an I.Q. below 41).
- Jurek v. Estelle, 623 F.2d 929 (5th Cir. 1980) (en banc),
cert. denied, 450 U.S. 1001 (1981) (Texas) (habeas decision
overturning a capital conviction after police obtained two very different
confessions from the mentally deficient petitioner during a 42-hour
period of interrogation without counsel; the exculpatory version of
the confession, not admitted at trial, appeared to be in the defendant'
words; the inculpatory version, used at trial, had prose beyond defendant's
ken).
- Kordenbrock v. Scroggy, 919 F.2d 1091 (6th Cir. 1990) (en
banc), cert. denied, 499 U.S. 970 (1991) (Kentucky)
(police obtained confession after (1) ignoring petitioner's statements
that he wanted the interrogation to stop, (2) threatening to arrest
petitioner's girlfriend (against whom they had no evidence) and (3)
threatening to send petitioner to Ohio, where, police said, he could
be held incommunicado and put through "an ordeal [he] may not forget
for a long time," then (4) suppressed the tape-recorded version
of the confession and pieced together a written statement giving a far
more inculpatory account than the actual confession).
- Kyles v. Whitley, 514 U.S. 419 (1995) (Louisiana) (in
investigating robbery-murder of supermarket customer in store's parking
lot, New Orleans police (1) accepted the word of a long-time criminal
and police informant Beanie, whom police found in possession of the
victim's car, that Curtis Kyles had sold him the car, while suppressing
a variety of statements by Beanie that (a) were inculpatory, self-contradictory
and inconsistent with Beanie's trial testimony, (b) suggested that Beanie
(in his own words) had "'set up'" Kyles, and (c) revealed
a course of dealings between Beanie and the police that strongly impugned
the investigation, then (2) manipulated eyewitnesses into identifying
Kyles at trial, inconsistently with their initial but thereafter suppressed
descriptions that much more closely matched Beanie; a majority of jurors
in three successive retrials voted to acquit Kyles, whom prosecutors
finally released from custody).
- Martinez-Macias v. Collins, 810 F. Supp. 782 (W.D. Tex. 1991),
aff'd, 979 F.2d 1067 (5th Cir. 1992) (Texas) (conviction
and death sentence overturned due to egregious, comprehensive, prejudicial
incompetence by trial lawyer who (1) failed to call disinterested alibi
witness who was available at time of trial and whose testimony would
have established that Macias could not have committed the offense; (2)
failed to impeach a crucial prosecution witness with her contradictory
statements before trial to a private investigator and by calling witnesses
who were with the witness at the critical time and did not see what
she saw; (3) failed to investigate and present evidence from defendant's
family members regarding Macias' good character traits, failed to prepare
defendant's wife for testimony, and failed to utilize records from a
California rehabilitation center to demonstrate the defendant's good
behavior and attempts to rehabilitate while in custody; (4) failed to
utilize an expert witness to introduce important mitigating informationall
of which, taken together, left the federal court of appeals Awith the
firm conviction that Macias was denied his constitutional right to adequate
counsel in a capital case in which actual innocence was a close question"
and that the "state [having] paid defense counsel $11.84 per hour[,]
[u]nfortunately . . . got only what it paid for"; on remand, Macias
was released after a grand jury determined that there was not even enough
evidence of guilt to justify indicting him).
- United States ex rel. Maxwell v. Gilmore, 37 F. Supp. 2d 1078
(N.D. Ill. 1999) (Illinois) (granting evidentiary hearing to
capitally sentenced habeas petitioner and denying presumption of correctness
to state court's voluntary-confession finding because the state suppression-hearing
judge "did not have access to the voluminous [subsequently disclosed]
information about the systematic . . . [physical] abuse [of suspects
by the police unit that interrogated and secured a confession from Maxwell],
. . . and Maxwell's attorney never had the opportunity to use that information
to cross-examine the officers who testified at the suppression hearing").
In regard to the police unit that took the confession in Maxwell' case,
see Sasha Abramsky, Trial by Torture, Mother Jones, March 3,
2000 ("Dozens of other prisoners [including 10 death row inmates]
have come forward saying they were tortured into confessing by police
officers from . . . Area Two" and presenting "hair-raising
and remarkably consistent [claims] . . . of alligator clips attached
to their ears, noses, mouths, penises, and testicles; of electric shocks
to the genitals; of being burned atop radiators" and of "mock
executions" and "bags put over their heads for minutes at
a time, a technique known as the 'Dry Submarino'").
- McDowell v. Dixon, 858 F.2d 945 (4th Cir. 1988), cert. denied,
489 U.S. 1033 (1989) (North Carolina) (police withheld the fact
that before petitioner's arrest for the offense, the chief prosecution
witnesswho at trial identified petitioner, a dark-skinned African
American man sentenced to die for the offense, as the assailanthad
told police that the assailant was white).
- Miller and Jent v. Wainwright, Nos. 86-98-Vic.-T-13 and 85-1910-Civ.-T-13
(M.D. Fla. Nov. 13, 1987) (Florida) (prosecutor exhibited "callous
and deliberate disregard for ... truth" by suppressing police reports
identifying numerous witnesses who were fishing at the location where
the victim's body was found at the only time the two capitally sentenced
petitioners (who otherwise had an airtight alibi defense) could have
deposited the victim' body and who saw nothing amiss; Jent and Miller
pled to a lesser offense and were immediately released on time served).
- Monroe v. Blackburn, 748 F.2d 958 (5th Cir. 1984), cert.
denied, 476 U.S. 1145 (1985) (Louisiana) (state failed to
disclose that police obtained information after trial that someone other
than petitioner may have committed the murder).
- Orndorff v. Lockhart, 998 F.2d 1426 (8th Cir. 1993), cert.
denied, 511 U.S. 1063 (1994) (Arkansas) (prosecutor failed
to inform defense that key witness in favor of death penalty was hypnotized
prior to trial, preventing fair cross-examination concerning discrepancies
between witness's prehypnotic and posthypnotic statements to police).
- Parker v. Bowersox, 188 F.3d 923 (8th Cir. 1999) (Missouri)
(defense counsel failed to respond to state' argument in aggravationthat
defendant killed his girlfriend to eliminate her as a witness against
him in a criminal proceedingby presenting accessible evidence
proving that petitioner knew for certain prior to the murder that the
victim could and would not testify against him).
- Parker v. Dugger, 498 U.S. 308 (1991) (Florida) and
Richmond v. Lewis, 506 U.S. 40, 48 (1992) (Arizona) and
Stringer v. Black, 503 U.S. 222 (1992) (Mississippi) (state
appellate court struck down an aggravating circumstance on which a death
sentence was based without determining whether a death sentence remained
appropriate absent the faulty aggravating circumstance).
- Paxton v. Ward, 199 F.3d 1197 (10th Cir. 1999) (Oklahoma)
(overturning judgment because D.A. "clearly and deliberately made
two critical misrepresentations to the jury" as an "an integral
part of the deprivation of Mr. Paxton's constitutional rights to present
mitigating evidence, to rebut evidence and argument used against him,
and to confront and cross-examine the state's witnesses")
- Rickman v. Bell, 131 F.3d 1150 (6th Cir. 1997), cert. denied
, 118 S. Ct. 1827 (1998) (Tennessee) (counsel' "total failure
to actively advocate his client's cause" and Arepeated expressions
of contempt for his client for his alleged actions" had the effect
of "provid[ing] [petitioner] not with a defense counsel, but with
a second prosecutor").
- Shillinger v. Haworth, 70 F.3d 1132 (10th Cir. 1995) (Wyoming)
(deputy sheriff's listening in on and reporting to prosecutor substance
of defense counsel's jailhouse conversations with client violated Sixth
Amendment right to counsel).
- Estelle v. Smith, 451 U.S. 454 (1981) (Texas) (state-employed
psychiatrist was permitted to testify at death penalty phase based on
petitioner's pretrial statements that were not freely and voluntarily
given and that were made without counsel or waiver of counsel).
- Smith v. McCormick, 914 F.2d 1153 (9th Cir. 1990) (Montana)
(state unconstitutionally secured a death sentence against an indigent
defendant with mental disorders when the trial judge (1) forced the
defense to rely on the psychiatric evaluation of a doctor acting under
the direction of the judge (who had previously sentenced Smith to die),
rather than appointing the independent psychiatrist required by law
in a case in which doing so would have generated substantial mitigating
evidence; (2) refused to consider most of the mitigating circumstances
that Smith did manage to present; and, (3) as to the limited set of
mitigating factors the judge did take into consideration, he refused
to assess their overall effect in mitigation, instead insisting that
each individual factor be sufficient in itself to warrant a life sentence).
- Stockton v. Virginia, 852 F.2d 740 (4th Cir. 1988), cert.
denied, 489 U.S. 1071 (1989) (Virginia) (in lunch break during
jury's death sentencing deliberations, courtroom deputies allowed owner
of restaurant in which jurors were eating to tell jurors "they
ought to fry the son of a bitch").
- Strickland v. Francis, 738 F.2d 1542 (11th Cir. 1984) (Georgia)
(state court violated Strickland's due process rights by forcing him
to trial despite mental disorders so severe and unequivocal that he
had no idea what the proceedings were about and could not assist his
attorney).
- Troedel v. Dugger, 828 F.2d 670 (11th Cir. 1987), aff'g
667 F. Supp. 1426 (S.D. Fla. 1986) (Florida) (prosecutor
suborned testimony of expert witness at separate trials of two codefendants
that each codefendant had to have been sole triggerman in single killing
with which both were charged and for which Troedel was sentenced to
death).
- Turner v. Murray, 476 U.S. 28 (1986) (Virginia) (trial
court forbade capital defendant charged with interracial crime to question
prospective jurors in order to discover possible racial biases)
- Wade v. Calderon, 29 F.3d 1312 (9th Cir. 1994) (California)
(sentence of death based on unconstitutionally vague special circumstance
of torture-murder and based on prejudicially ineffective representation
at penalty phase due to counsel's failure to present any significant
evidence of defendant's child abuse and his argument to the jury that
executing defendant would benefit him by freeing him of his mental illness).
- Wallace v. Kemp, 757 F.2d 1102 (11th Cir. 1985) (Georgia)
(capitally sentenced petitioner found to have been incompetent to assist
attorney at trial; on retrial, after being restored to sanity, Wallace
was acquitted).
- Wheat v. Thigpen, 793 F.2d 621 (5th Cir. 1986), cert. denied,
480 U.S. 930 (1987) (Mississippi) (prosecutor encouraged jurors
to exercise less than full responsibility for death sentence by telling
jurors that any mistake they made in sentencing the defendant to die
would be corrected by an appellate court).
- Wilkins v. Bowersox, 145 F.3d 1006 (8th Cir. 1998), cert.
denied 119 S. Ct. 852 (1999) (Missouri) (conviction and death
sentence overturned because the trial court permitted the 16-year old
defendantwho "from infancy through his teenage years [had]
suffered severe physical and emotional abuse at the hands of his mother
and other adults in his life," who "began abusing drugs as
a kindergartner on his way to school," who was diagnosed at age
10 "as a severely depressed boy with homicidal and suicidal tendencies,"
who "was transferred in and out of mental health facilities"
between ages 10 and 16, and who court-appointed psychiatrists at trial,
on direct appeal and during state post-conviction proceedings had unanimously
and consistently concluded could not make voluntary, knowing and intelligent
decisions about important matters in his case, and who was never advised
by the court or counsel about Ahis possible defenses to the charges
against him . . . or the full range of punishments that he might receive"to
fire his lawyer, represent himself at trial (as a 16-year-old), waive
all his rights and plead guilty, and then waive his right to present
any evidence in mitigation of the death penalty).
- Williams v. Taylor, 120 S. Ct. 1495 (2000) (Virginia) (death
sentence overturned due to incompetence of Williams' trial attorneys
who Adid not begin to prepare for [the penalty trial] until a week before"
it took place, "failed to conduct an investigation that would have
uncovered extensive records graphically describing Williams' nightmarish
childhood, not because of any strategic calculation but because they
incorrectly thought that state law barred access to such records,"
thereby kept "the jury [from] learn[ing] that Williams' parents
had been imprisoned for the criminal neglect of Williams and his siblings,
that Williams had been severely and repeatedly beaten by his father,
that he had been committed to the custody of the social services bureau
for two years during his parents' incarceration (including one stint
in an abusive foster home), and then, after his parents were released
from prison, had been returned to his parents' custody"; concluding
that "there existed 'a reasonable probability that the result of
the sentencing phase would have been different" if the jury had
heard that evidence").
- Williamson v. Ward, 904 F. Supp. 1529 (E.D. Okla. 1995) (Oklahoma)
(overturning capital conviction based on faulty hair analysis which
was so "scientifically unreliable" that it should not have
been be permitted as evidence of guilt and based on claims that hairs
found at the crime scene "matched" the defendant', although
hair analysis can never support that categorical a claim), aff=d,
110 F.3d 1508 (10th Cir. 1997) (affirming reversal of capital conviction
on habeas because appointed counsel, who received no funding for expert
or investigative services and was paid the statutory maximum of $3200,
failed to investigate a videotaped statement by another person confessing
to the crime and extensive evidence of petitioner's mental illness and
likely incompetence to stand trial) ( DNA testing subsequently established
that Williamson was innocent, and he was released from prison, see
Bill Dedman, DNA Evidence Frees Two in Murder Case, Milwaukee
J. Sentinel, Apr. 25, 1999, at 20; Barry Scheck, Peter Neufeld &
Jim Dwyer, Actual Innocence: Five Days to Execution, and Other Dispatches
from the Wrongly Convicted 126-27, 130-57, 251-54 (2000)).
2
For other examples of serious error requiring judicial reversal of capital
judgments, see cases collected in Appendix C, supra.
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