*1 470 Serv., 142 F.3d Postal
v. United States BACON, Jr., Petitioner— Cir.1998). Further, (4th Robert sover- 208, 210 Appellee, only by an waived immunity can be eign Congress. act of express unequivocal and v. Pena, 116 Lane v. Prison, Warden, LEE, Central R.C. (1996). Rule 486 135 L.Ed.2d S.Ct. Carolina, Raleigh, North 41(e) of sover- a waiver not contain does Respondent Appellant. — 41(e). immunity. See Fed.R.Crim.P. eign the Third and agree therefore We Bacon, Jr., Petitioner— Robert jurisdiction lack courts that Fifth Circuits Appellant, 41(e).3 See Rule under damages to award v. Pena, 412-16; F.3d Bein, 214 F.3d at Prison, Warden, Lee, we hold that Accordingly, Central at 986. R.C. Carolina, correctly Raleigh, concluded that district North court un- damages Respondent Appellee. jurisdiction award lacked — 41(e) destroyed for the property Rule der 99-21, 99-23. Nos. by the Government. Appeals, States Court
United Circuit. Fourth III. 3,May 2000. Argued the district the order of We affirm 30, 2000. Aug. Decided for the return motion granting Jones’ currency personal papers and $266 his destroyed denying relief as
property.4
AFFIRMED portion of the order affirm by 4. also that expressed of the concern We mindful are We return government denying Jones' should motion Circuit that the the Ninth $1,180 seized in currency was not jurisdiction unilat able to defeat not be sought prop- property destroying other act to the same offense eral relation 41(e) Mar States v. motion. See United erty. Rule (9th Cir.1987). tinson, F.2d Minor, States v. F.3d In United however, bound, govern to honor the We are case, Cir.2000), day as this argued same immunity damages in sovereign from ment's equitable jurisdiction we we held 41(e) express as to We no view action. a Rule forfeited the return of Minor’s suit for over may legal avenues afford whether alternative eventually suc- currency. claim If Minor's relief. his situation some others in Jones and cessful, money as his relief. will receive Real Good States Jаmes Daniel See United However, holding bar the here does not our Property, 510 Minor, remedy is sought because relief (1993) (noting that the Pro Due L.Ed.2d 490 government obvi- legal: “the fact government generally requires the cess Clause specific Minor the ously cannot restore to be opportunity provide and an notice not transform currency does that was seized depriving an individual of heard before law." into action motion property). *3 Welch, Spe- Edwin William
ARGUED: General, Teresa Attorney Deputy cial Attorney Harris, Deputy Special Lynn General, Department North Carolina Carolina, Ap- for Justice, North Raleigh, Engel, Center Marie Gretchen pellant. Inc., Dur- Penalty Litigation, Death for Carolina, ham, Appellee. for ON North Greenwald, Audrey R. BRIEF: Stephen York, York, College, New New Cohen Appellee. TRAXLER, NIEMEYER, and
Before KING, Judges. Circuit part and reversed part Affirmed in Judge NIEMEYER published opinion. Judge opinion, in which wrote the a wrote joined. Judge KING TRAXLER concurring in separate opinion dissenting part. judgment part OPINION NIEMEYER, Judge. Circuit Robert jury convicted A North Carolina Clark of Glennie Bacon of the murder appeal, death. On sentenced him vacated North Carolina sentence, there was ruling that the death statutory support sufficient evidence trial court that the mitigating circumstance Follow- jury. failed to submit sentencing hearing, second ing a second penalty. the death jury again imposed “ exhausting his appeals After direct by telephone, Bonnie Sue and ‘the worse remedies, post-conviction peti- things got’ husband, between her and her tioned the district court federal writ the closer she drew emotionally and ro- corpus, raising of habeas claims error mantically to Bacon.” Id. justified that he contended issuanсe of the Bonnie Sue confided Bacon about her
writ under 28 U.S.C. The district difficulties with Glennie and “at point some summary judgment entered in favor ... told [Bacon] she wished her hus- on all except State of the claims one. was dead band and did he of anyone know respect With to the one claim—that Bacon I, who would kill him.” Bacon was denied effective assistance of counsel at 330. Bacon “finally agreed to kill [Glen- by the attorneys failure at the resen- nie],” and Bonnie Sue and Bacon planned tencing hearing to introduce evidence that *4 31, the January murder for 1987. Id. Bon- apprehension he aided in the of his accom- nie Sue was the beneficiary of Glennie’s plice district court ordered an eviden- —the life policies $130,000, insurance totaling tiary hearing. conducting After this hear- and Bacon reportedly told acquaintances ing, the court determined Bacon had expected he large to receive a inheri- counsel, received ineffective assistance of Bacon, tance. State 66, 337 N.C. rendering the result of 542, (1994) (hereinafter 446 S.E.2d unfair, hearing “fundamentally or at the II”). “Bacon least, very Accordingly, unreliable.” granted the writ on this claim. plan, Under the Bonnie Sue was to ac- company theater, Glennie to movie North Carolina filed appeal to chal- him, where Bacon kill but Bacon lenge the district granting court’s order “ ‘chickened out’ when it came time to writ, and Bacon cross-appeal filed a execute the plan.” Id. The following night, challenging the rulings rejecting court’s six 1, 1987, February again pursuant plan, of his other claims for relief. For the Clark, 58, see 377 S.E.2d at Bonnie Sue follow, reasons we reverse the district and Bacon drove to Glennie’s pick house to grant court’s of the writ based up. him Glennie reacted angrily when he ineffective assistance of counsel affirm and saw Bacon in the back seat of Bonnie Sue’s rulings its rejecting Bacon’s other claims car, and a heated discussion ensued about for relief.
Bonnie
relationship
Sue’s
with Bacon. See
I,
I
Bacon
390 S.E.2d at
At
329-30.
some
point, Glennie called
“nigger,”
Bacon a
see
Bacon
Robert
was convicted and sen-
id., prompting Bacon
grab
a knife that
tenced to death
February
for the
he had
placed
earlier
on the floor of the
Clark,
murder of Glennie
estranged
times,
car
fatally
and
stab Glennie 16
see
lover,
husband of Bacon’s
Bonnie Sue
II,
Bacon
446 S.E.2d
565. Bonnie Sue
Clark.
lot,
then
to a
drove
movie theater parking
Bonnie Sue and Glennie Clark were
where Bacon’s car
parked.
Bacon and
married in 1982 and had two children.
Bonnie
robbery
Sue decided to fake a
Because Glennie became an alcoholic and
murder,
up
pursuant
cover
and
to this
abusive,
Clark,
physically
see State v.
ploy, Bacon knocked Bonnie Sue uncon-
(1989);
N.C.
377 S.E.2d
57-58
scious and went
home
his car. See id.
Bacon,
State v.
326 N.C.
390 S.E.2d
(1990) (hereinafter
I”),
“Bacon
Shortly
p.m.
after 11:00
on the same
Bonnie Sue moved out of the
day,
police
house
found
slumped
Bonnie Sue
up
Bacon,
and took
residence with
who
steering
over the
wheel of her car next to
coworker,
friend,
was a
and another
see
body.
Glennie’s dead
See Bacon
Clark,
Despite
dicating
unlikely
that he is
to commit
a second Motion
Appropri-
crime;
another violent
had committed
ate Relief since there
pending
was no
murder as
result of circum-
Appropriate
Motion for
Relief to amend.
recur;
unlikely
stances
had estab-
20,1995,
Court’s order of November
co-defendant,
lished
Bonnie Sue
was,
is,
a final order. For this
Clark,
sentence;
had
a life
received
reason,
allegations
[Bacon’s]
as set out
arrest;
shown remorse since his
and had
in [the claims made in the amended
him,
family
who loved
continued to
are procedurally
MAR]
barred.
him
incarcerated,
visit
while he [was]
sought
and was denied certiorari
and would
continue to do so
he were
review
the North Carolina Supreme
sentenced to life in prison.
the United
States
S.E.2d at 565. This
*6
Bacon,
Court.
348,
See State v.
345 N.C.
death,
also recommended the sentence of
(1997);
On Bacon initiated § 2254. U.S.C. The district court post-conviction proceedings filing a mo- granted the State’s motion for summary (“MAR”) tion appropriate relief in the judgment claims; as to all but one of the (“the Superior of County Onslow with respect to the court”). remaining claim—that date, state MAR On the same he attorneys at his Amend,” filed a “Notice of Intention to in hearing had him rendered ineffective which assis- he outlined various claims that were tance of by failing present counsel to not evi- they addressed the MAR because (f)(8) dence of the circum- required investigation additional and re- stance—the district search. court conducted a Pursuant to a motion State, hearing ultimately the state MAR court determined that summarily de- Bacon had nied Bacon’s MAR on received ineffective November assistance counsel, later, of Almost three months which rendered the February result of his resentencing hearing “fundamentally Bacon filed a motion to reconsid- un- fair, least, er the denial of his or at very MAR and for leave to unreliable.” amend it. The granted upon state MAR court Based finding, the district court Bacon’s motions for reconsideration granted of the the writ on this claim. These court’s November 1995 order appeals dismiss- followed. 1419(a) North Carolina Criminal of the
II Act, perti- provides, which Procedure that Ba- first contends Nоrth Carolina part: nent (f)(8) ef- denied claim—that was con’s coun- because of counsel fective assistance for the denial grounds are following The that Bacon evidence present sel failed to relief, includ- appropriate a motion for of capi- another apprehension in the aided ing capital motions cases: filed Ba- defaulted. procedurally tal felon—was pur- previous motion made Upon a raise this con, did not argues, the State wa,s Motion [Article suant though he even in his first MAR claim and Other Relief Appropriate so, he did first and when position in a to do Relief], MAR, proce- it defendant was Post-Trial it in his amended raise durally adequately position defaulted. in a was underly- or ground raise the issue rejected the State’s district court did not present motion but proce- was that Bacon’s claim argument does do so. This subdivision the court ac- Although durally defaulted. previous motion apply when statute North Carolina’s knowledged that days after en- within made upon relied procedural bar imposing try judgment previous or the “generally” court state MAR by the adequate during pen- State-law independent was made motion procedural give rise ground that appeal. dency direct federal habe- claims on same default 15A-1419(a)(l). have We N.C. Gen.Stat. few review, there were found provision consti consistently that this held ap- being incidences bar reported adequate state independent tutes an pres- in circumstances similar plied may give procedural rise to ground that Consequently, it concluded ent case. habeas claims. See default of federal proce- “apply doctrine it could not French, 147 F.3d Boyd v. “as cirсumstances dural default” Cir.1998); Styles, 87- Ashe v. 39 F.3d this court.” they are before (4th Cir.1994); also O’Dell v. Neth see may not A habeas court federal (4th Cir.1996) erland, 1214, 1241 has a claim when review banc) (en unambiguous pro (holding *7 on the basis its merits declined consider from statutes cedural rules state derived pro adequate state independent necessarily “firmly es are or court rules Thompson, v. cedural rule. See Coleman tablished”). 2546, 722, 731-32, 115 111 S.Ct. 501 U.S. Reed, (1991); Harris v. 489 L.Ed.2d 640 15A-1419(a)(l) § that Bacon concedes 1038, 255, 262, 103 L.Ed.2d 109 S.Ct. a valid provides a basis for “generally” (1989). rule is procedural A 308 state that But he contends procedural default. on a “depend[ it not independent ] does case, novel and application in is ruling,” Ake v. Okla constitutional federal v. See McCarver firmly established. 1087, homa, 84 105 470 U.S. S.Ct. (“The (4th Cir.2000) Lee, 583, 221 589 F.3d if it (1985), adequate is and is L.Ed.2d 53 ask ... question we must whether by the consistently applied regularly and consis procedural applied bar is particular court, Mississippi, see Johnson v. procedurally are analo tently to cases that 1981, 587, 578, 100 108 486 U.S. gous”). (1988). L.Ed.2d 575 MAR that the state Bacon contends cite MAR court did not the state While reconsideration order granting court’s Bacon’s authority its treatment MAR “resurrected” his dismissed barred, appears procedurally claim as judg- final delayed the date of § 15A- MAR relying the court was that
477 Basden, 579, ment. State v. rules, N.C. 515 of its procedural state-law we must 220, (1999) (holding S.E.2d nevertheless assure ourselves that the rule court’s decision to reconsider an earlier applied is a “firmly regu- established and dismissing order a MAR caused the MAR larly practice.” followed state Ford v. pending “to be [that] before court until it Georgia, 411, 423-24, denied”). again argues He thus 850, (1991). 112 L.Ed.2d case, In this 15, February MAR, 1996 amended that assurance is elusive. Because we ulti- arguably while a second or successive mately conclude that assertedly de- 15A-1419(a)(l), § MAR under revived the merit, faulted claims are without we will original MAR with amendments when the exercise our prerogative to decide Bacon’s granted court his motion for reconsidera- claims on the merits rather than on tion. grounds procedural default. Royal Taylor, Cir.1999).
The argues State the state MAR deprived court authority of its to re-
open original MAR because the motion Ill untimely. reconsideration was It ar- contends, The State on the merits of gues that the common-law rule that a (f)(8) claim, that the state MAR judgment cannot be altered after the end ruling court’s rejecting claim was not of the term of which it issued “contrary to” or “an applica- unreasonable Godwin, applied in this case. See State v. tion of’ the federal law governing the ef- 210 N.C. 187 S.E. (“Until fective assistance of argues counsel. It expiration of the term the or- that the district court erred in concluding judgments ders and of the court are in fieri, otherwise. judge and the power, has his dis- cretion, to make changes such and modifi- The district court found that Bacon’s in them may cations as he deem wise and counsel at the hearing appropriate jus- for the administration put failed to forth available evidence tice”). But there is some basis for doubt- support circum- ing whether this applies common-law rule stance that Bacon apprehen- aided in the MAR context. See N.C. Gen.Stat. felon, sion of another capital recognized 7A-47.1; Burton, § In re 257 N.C. 15A-2000(f)(8).2 N.C. Gen.Stat. Moreover, Ba- court found this “startling failure consider- pointed con has to a number of reported the virtual out roadmap laid unreported cases which a MAR North Carolina Supreme Court.” The dis- granted court has reconsideration after the trict court concluded that this failure was term of expired. court had constitutionally deficient and also that
Because the state reopened that, MAR court probability there was a reasonable *8 MAR, the original question the evidence, of whether for the present but failure to the a governing state rule regularly was and a life might sentence have resulted. Ac- consistently applied to treat a motion to cordingly, the district court ruled that Ba- amend thereafter aas second MAR inis con had “not receive[d] effective assistance some doubt. While it guaranteed by is not our role to of counsel as him the Sixth resolve the issue or to review the correct- Amendment” and that the state MAR of (f)(8) ness the state MAR application court’s court’s rejecting decision ef- provides pertinent Section 15A-2000 in ‡ H: part: apprehen- The defendant aided in the (f) Mitigating Mitigating capital sion of another felon or testified Circumstances.— may circumstances which be considered truthfully prosecution on behalf of the in include, to, shall but not be limited the prosecution felony. another of a following: 478 that, “a “contrary probability claim thus to or reasonable but
fectiveness errors, application unprofessional an of the the result involved unreasonable counsel’s law as clearly proceeding established Federal deter- of the would have differ- Strickland, 694, in by Supreme mined the Court Strickland 466 104 ent.” U.S. 668, Washington, 104 v. S.Ct. S.Ct. 2052. (1984).”
2052, L.Ed.2d
674
Bacon contends that
the North
of
addressing
the merits Bacon’s
gave
Carolina
his attor
deprived
that he
effective
claim
neys
roadmap”
a “virtual
of the evidence
their failure to
assistance
counsel
(f)(8)
аn
support
mitigating-
that would
(f)(8)
supporting
evidence
miti
present
instruction,
in
circumstance
when the court
circumstance,
gating
apply
we
the stan
I
Bacon stated:
by the
dard of review established
Antiter-
Penalty
night
Death
Act of
record reveals that on
rorism
Effective
1996. Because the state MAR court dis
of murder Bonnie Sue
told the
Clark
(as
police
mysterious
Bacon’s claim on the
missed
merits
assailants
procedural
opened
on the
the state
car door
her
well as
basis of
her
and slammed
bar),
confíne
against
steering
we
our review whether the
head
wheel thus
rendering
“resulted
a deci
her
was un
court’s determination
unconscious. She
to,
contrary
provide
sion that was
or involved an
able to
further information as to
of, clearly
application
her
After
examined at
being
unreasonable
estab
assailants.
law,
hospital,
exculpa
lished Federal
determined
she reiterated her
as
tory
Supreme Court of the United States.” 28
statements and reduced them to
2254(d)(1). Where,
here,
§
writing
police
U.S.C.
at the
station. See State
Clark,
rejects a
v.
summarily
state court
claim with
324 N.C.
The court’s decision in Bacon howev- con had been confronted with additional er, clearly attorney did not deal with error evidence that Bacon admitted that with the trial he and but court’s instructional er- Bonnie Sue had attorneys “planned get ror. The conduct of Bacon’s rid of’ resentencing the Glennie hearing, accordingly, Clark. The aid gave before judged light must be not in police the circum- suspicion was trained on Bonnie Sue by stances reviewed the North Carolina came from the fact that he confessed to his I, Supremе Court but on the own gave involvement and an account of particular circumstances of the resentenc- the murder that was inconsistent with the ing hearing. Supreme As the has Court story upon cover which he and Bonnie Sue emphasized, particular “no set of detailed agreed. attorneys could rea- rules for can counsel’s conduct satisfacto- sonably have jury concluded that rily variety take account of the of circum- give weight would little to this inadvertent Rather, by stances faced defense counsel. form of assistance in apprehending Bonnie judge courts must reasonableness Sue. conduct par- counsel’s on the facts of the In view of the tactical considerations case, ticular viewed as of the time of coun- counsel, by confronted we cannot conclude conduct, judicial sel’s scrutiny of that their failure to present evidence of the performance highly counsel’s must be def- (f)(8) mitigating circumstance at Bacon’s erential.” Roe v. Flores-Ortega, 528 U.S. 1029, 1034-35, hearing fell “outside the wide 145 L.Ed.2d (2000) (internal range professionally competent quotation citations and assis- omitted). Strickland, tance.” marks 466 U.S. at S.Ct. 2052. Accordingly, the state MAR The evidence that the North Carolina court’s denial of this claim was not con- Supreme supporting Court viewed as to, trary or an application unreasonable (f)(8) instruction had been introduced Strickland, 2254(d)(1), see 28 U.S.C. the first sentencing hearing by prose- the district court’s order denying summary through cution testimony police of the judgment on this claim and granting Bacon who investigated officers the murder. At the writ of corpus habeas must re- be however, resentencing, prosecution versed. tack, took a different choosing not to call
the officers as witnesses. This altered the
strategic landscape, attorneys and Bacon’s IV officers, could have considered that the stand, called to the would provide testimo- cross-appeal, On his Bacon contends ny damaging that was more to Bacon’s first reject- that the district court erred in helpful. cause than ing claims that counsel his were ineffective (1) by failing fully investigate mitigating Weighing danger damaging testi- present evidence and it to the 1991 sen- mony officers, by police Bacon’s attor- (2) tencing jury; by presenting videotaped neys also had to consider that the evidence testimony (f)(8) possible pa- that referred supporting circum- (3) role imprisonment; if sentenced to life might provide only slight stance benefit. by informing jury that he had been While the North Carolina sentenced to death at the sentencing held that the form of first “aid” that Bacon provided instruction, hearing; by support reading into the rec- it was no ord unequivocal excerpts transcript means an demon- of Bacon’s purposive stration of a testimony effort Bacon to from the first hear- police investigation. assist ing. Bacon at *10 counsel, with a mem- trial, together tal his rejected some of MAR court
The state team, traveled to prosecution they procedur- were ber claims these because Massachusetts, grew on where rejected Ayer, all of them ally defaulted and life, a spent all of and court denied most of his up district and lived the merits. The these Bacon’s interviewing Because on the merits. there claims weekend these de- procedurally either not neighbors. were Sixteen claims friends and former ques- default was procedural or the videotaped, por- faulted and were these interviews in Part given reasons for the tionable were videotaped interviews tions of the on the mer- each claim supra, we address sentencing presented both its. hearing. resentencing hearing and hearing, jury also resentencing At the
A psy- Billy Royal, defense Dr. a heard from ineffective-assistance-of- chiatrist, Bacon’s first information about related who his contention counsel claim based gleaned had background, which he Bacon’s a should have conducted that his counsel sister, and with Bacon his from discussions into investigation his back- thorough more records, testimony given from prison from Bacon, coun- According “[h]ad to ground. sentencing hear- first trial and Bacon’s investigation of proper a conducted sel taken psychological tests ing, and from pre- case, testimony could have been [his] Bacon. family large number of from a sented Supreme Court The North Carolina teachers, members, friends. These and testimony thus as follows summarized poi- personally have and witnesses could at the resen- by Bacon’s counsel presented shaped [his] events gnantly described tencing hearing: Bon- explain why helped to character manipulate Robert able to nie Clark was testimony presented further [Bacon] Similarly, Ba- killing into her husband.” nu- proceeding from resentencing at the diligent investigation con asserts that family friends and members merous produced evi- attorneys would have his affable, a person; pleasant incar- adaptation to positive of his dence any trou- gave never good student who ceration. leader; always ble; there giving and a popu- anybody; to hurt help; Ba- to not one court determined that The district sports-relat- lar in and involved in ineffeсtive assistance school claim of con’s activities; and a fine a clean-cut Md ed and that the was meritless counsel man; trustworthy young very a young rejection of the summary MAR court’s ability to excel man had the not an who was therefore claim on merits far as that he wanted to start of “Strickland anything application unreasonable business; and an at school or case. as life the facts of progeny” and its char- unquestionable citizen with upright After North Carolina acter. first death vacated Bacon’s sentence psychiatrist, de- Billy Royal, Dr. hearing, his sentencing ordered a new “pleasant,” of “aver- [Bacon] scribed not conduct an additional attorneys did relatively unemo- age intelligence,” background or investigation into view of tional, very “a limited instead on but relied prison record3 image very good self and not a himself they gathered prep information very successful being hearing. in terms first aration for the mur- Royal opined that life.” Dr. capi- prior Bacon’s two months evidence. Counsel should sentencing, derance considered 3. At the first deciding adaptability prison second-guessed life not to raise be evidence Bacon’s unanimously jury. find that it had subject and did not before by prepon- mitigating factor proven to be
481
Strickland,
meshing
judgments.”
of the
counsel’s
466
resulted from the
der
691,
Thus,
and co-
[Bacon]
needs of
U.S. at
Williams’ counsel did offer witness, think if one “You Robert asked in had “turned himself was Williams prison in and whatev- given was life served actions, expressing ... remorse for his years er number of he served cooperating police with the after that.” released, in he would be welcomed back Id. at 1515. community?” responded, this The witness him. I think his friends hardly noting that the omitted “I would welcome It bears him.” A second witness (Terry), in unlike the would welcome evidence Williams asked, case, cu- “If the does sentence Rob- evidence omitted was not a num- prison that had ert to life serves mulative of the evidence paroled, years, and he’s released or and would have been more like- ber of presented, family, who were absent from the him back the com- you welcome would closing convicted knowing resentencing proceeding. During that he’s been munity, murder?” This witness first-degree arguments, sought Bacon’s counsel to ex- Two absence, in the affirmative. responded saying: also plain asked, without ex- were other witnesses they But mean don’t care. doesn’t Ba- possibility plicit reference original Robert’s mother testified paroled, they could be con whether trial.1 She was here. And Robert’s Both Bacon into their homes. welcome mother had to herd in the courtroom sit *13 they would. witnesses stated a death judge impose listen to claim, the North Disposing of Bacon’s penalty suggest on her son. And so I found that Supreme Court surprise you Carolina that it shouldn’t that she’s again. not here questions posed of the to the thrust witnesses, upon [Bacon’s] dwelt these Bacon contends that this mention of his and how out purported good character previous prejudicial sentence was killing the was. The refer- of character jury’s argues tainted the decision. He parole to all occurred the con- ences jury likely the was much more to former friends and [Bacon’s] text of knowing impose a sentence of death that a of him unchanged their favorable view jury had death. previous recommended do not be- following his conviction. We Disposing appeal, of this claim on direct unreasonably lieve defense counsel acted Supreme stated: the North Carolina Court testimony. eliciting this favorable closing] counsel’s [defense We deem II, at 554. The court Bacon 446 S.E.2d explain argument a trial tactic to the performance the of Ba thus found that absence of mother. See State [Bacon’s] testimony this presenting con’s counsel Richards, 474, 500, 242 294 N.C. objective standard of not fall below an did (1978). addition, In S.E.2d reasonableness. We cannot conclude jurors knowledge by mere the of the to, contrary or in this determination was prior death sentence does not necessari- of, the application volved an unreasonable ly prejudice demonstrate to the defen- prong of the Strickland test. See first Simpson, dant. State v. 331 N.C. 688, 104 2052. at 353-54 415 S.E.2d failed to We conclude that defendant has C performed below show that his counsel Bacon contends that his counsel’s objective an standard of reasonableness be performance similarly deficient prejudice or that actual resulted. jury that they cause informed the II, The district 446 S.E.2d by been sentenced to death previously that the North Carolina Su- court found jury. Again, argu another because preme application Court’s Strick- presented rejected to and by ment was unreasonable, even Court, land test was not Supreme see Bacon North Carolina expressed con- though district court we determine any attor- competence “the cerns about “con whether that court’s decision was prior death ney who would mention to, trary ap or involved an unreasonable any context.” We penalty of his client of, clearly established Federal plication court’s conclusion. law, agree with the district as determined States,” 28 U.S.C. United miti- submitted to the Counsel 2254(d)(1). the defendant’s gating “[t]hat circumstance him, to visit family loved has continued cross-examining psychia- defense While incarcerated, and will him while he Billy Royal, prosecutor [was] Dr. the state trist if he sentenced to life presence continue to do so testimony regarding elicited have con- might Counsel imprisonment.” members of at Bacon’s first trial of several type of eluded that the absence of Bacon’s mother tactical decision which severely under- requires from the courtroom would deference.” Strickland By alluding mine this contention. Although Bacon testified at the first sen- a mother anguish emotional would feel tencing hearing in not to elected deаth, upon seeing her son sentenced to resentencing hearing. do so at the 1991 provided explanation for the counsel Nonetheless, much of Bacon’s 1987 testi- appealed absence of Bacon’s mother mony pre- was read into the record. indeed, jury’s sympathies. And testimony, senting this Bacon’s counsel jury ultimately cir- found questions read aloud the he had asked have mitigating cumstance to exist and to Bacon on direct examination in the first value.4 hearing, well as Bacon’s re- “highly deferential” form of review sponses, prosecutor and the read aloud prescribed requires Strickland us to questions asked on cross-examination and “indulge strong presumption Bacon, coun- According Bacon’s answers. *14 range sel’s conduct falls within the wide testimony “extremely damaging,” was professional assistance.” reasonable particularly Bacon’s statements that he Strickland, 466 104 U.S. S.Ct. not in was love with Bonnie Sue Clark and Accordingly, her,” we conclude that the North “would have never been love Carolina Court’s determination which tended to undermine Bacon’s efforts provide that Bacon’s counsel did not con- theory to rebut the State’s that the mur- stitutionally deficient assistance when he pecuniary der committed for gain. jury prior that, informed the death sen- by participating Bacon now contends an contrary evidence, tence was not to or unreason- presentation in the of this his application able of Strickland. counsel abandoned role as an his advocate adjunct prosecu-
and “acted as an D tion.”
Finally,
agree
Bacon claims that he was We cannot
with Bacon’s charac
recog
rendered ineffective assistance of counsel
terization. As thе district court
nized,
attorney
his
into the
prior testimony
because
read
record
would have
at the resentencing hearing damaging por
been admissible at the
hear
testimony
ing
any
tions of Bacon’s
from the first
of a party-
event as admissions
801(d)(A).
sentencing hearing, which he contends
R. Evid.
opponent. See N.C.
“helping
present
reasonably
amounted to
the State
its Bacon’s counsel could
de
have
MAR
by reading
testimony
case for death.” The state
court
termined that
claim,
himself,
summarily
stating only
sting”
denied the
he could “remove the
better
entirely by
prose
“[t]he
that
affidavits and the record do not
than if it were read
- —
States,
support
the claim that
the defendant’s
cutor.
Ohler
United
-,
-,
1851, 1854,
...
that
counsel were deficient
or
he was
S.Ct.
(2000)
prejudiced thereby.” The district court
(discussing
L.Ed.2d 826
defense
strategy
preemptively
also concluded on the merits that “coun
im
introducing
evidence).
entirety
peachment
agree
sel’s decision to read the
of his
We
with the
testimony
client’s trial
into the record was
district court that this decision was “hard-
really
proceeding
4. The statement
Bacon's counsel
did
the current
was a second
jury anything
already
not tell the
that was not
hearing
and one that would have
jurors
obvious to them. The
during
had been told
unnecessary if
the first sentence had
proceedings
the course of
four
seeking.
been the life sentence Bacon was
years earlier there had been a trial and that
facts,
substantially
Given these
we
discount
during
guilty
it Bacon had been
found
any
harm to have been caused
defense
jury
murder. The
also knew that Bacon had
argument mentioning
previous
counsel’s
given testimony
previous penalty phase
at a
sentencing.
Thus,
hearing.
jurors
would have known
juror
Even
evidence
delibera
tactic” and
ly
unreasonable
admissible,
tions were
we believe
claim
dismissal of this
MAR court’s
allegedly made would not indi
statements
was therefore a reasonable
the merits
injurious
effect or
cate
“substantial
application of Strickland.
determining
jury’s
influence in
ver
Abrahamson,
Brecht v.
507 U.S.
dict.”
V
619, 637,
VII ly, I must dissent.2 reasons, foregoing For the we reverse I. grant
the district court’s of the writ of corpus habeas based ineffective assis- discussing request Before for a tance of counsel and affirm its rulings hearing, I majority’s must address the rejecting Bacon’s other claims for habeas suggestion proce- that these claims were *16 corpus relief. durally suggestion defaulted —a relied upon in large part the North Carolina PART, AFFIRMED IN REVERSED deny courts to Bacon’s claims. IN PART The state of North courts Carolina con- KING, Judge, dissenting part: Circuit in procedurally cluded that Bacon defaulted right It has been said “The to be on the three aforementioned Amend- Sixth right heard does not ... the to be include Although majority ment claims. the has sense, seriously.”1 In very taken real conclusion, suggested this to correct be the opposite penalty the is true in death cases. it also has exercised its discretion to ad- only A defendant must not be allowed dispose dress—and of—Bacon’s claims on opportunities ap- to be heard —on direct merits. For the the reasons set forth relief, in peal, appropriate a motion for and below, I agree proce- cannot that Bacon in corpus petition, a federal habeas but durally defaulted these claims in state pro- claims made in the course of those court.
ceedings given must be consid- serious they A.
eration
are due.
case,
timely
In this
there is
doubt that
filed
Appro-
no
Rob-
his Motion for
(“MAR”)
25,
proceedings
priate
September
ert Bacon has been afforded
Relief
on
Quotations,
Harper
judgment
respect
1. The
Book of
at 255
2.
I concur
ed.,
(Robert
1993) (Hu-
Fitzheniy
majority’s disposition
I.
3d ed.
of Bacon’s other claims
Humphrey).
appeal.
bert
and the State's
Amended
MAR,
on each of- the claims
Bacon filed a
Along with his
1995.
n
of Intention
captioned “Notice
MAR.
pleading
Appropriate Relief’
Motion for
Amend
B.
(1)
(“Notice MAR”),
numer-
which
outlined
explained
claims
ous other
a state’s
generally
We
do not review
funding
capital
resource
for
cutbacks
procedural
of a claim based on
dismissal
center,
of his mo-
coupled with the denial
however,
default;
declaring
the basis for
time,
him
precluded
for extension' of
tion
independent
an
procedural default must be
at that
time.
exception
each
filing
from
adequate
ground.
state
See Wain
20, 1995, the state MAR
On November
72, 81,
might
Sykes,
v.
433 U.S.
97 S.Ct.
without a hear-
denied Bacon’s MAR
court
(1977);
2497,
L.Ed.2d 594
see also
the Notice MAR.
ing and took no action on
Davis,
445,
F.3d
Thomas v.
15, 1996,
filed his
February
On
Cir.1999).
ground
In order
to be
for
the State
response,
MAR.”
“Amended
court must have
independent,
court had no
that the state MAR
argued
procedural
based its decision on a state
MAR,
authority
this Amended
to consider
Reed,
489 U.S.
bar. See Harris
already dis-
the court had
inasmuch as
489
n
circumstances. At
under certain
petitio
is com-
holding of
lished,
Green
when the
2254(e)(2)
McHone,
outset,
prohib
28 U.S.C.
Basden and
that of
pared with
its,
evidentiary
exceptions,
not
an
rule is
with certain
default
procedural
that
applicant
if the
hearing in district court
regularly.
being applied
basis of a
develop
fаctual
“failed to
default
short,
procedural
the rule of
“
However,
develop’
to
im
‘failed
claim.”
the state MAN
in this case—that
applied
,
diligence,”
lack
Williams
some
of
plies
its
authority to reconsider
lacked the
court
— U.S.-,-,
(Michael)
Taylor,
v.
it al-
MAR
deny the
because
decision
1487,
summarily dismissed
Certainly,
jury.
there were several
apparent-
grounds
procedural
court
explain his
ways to
appropriate
more
the merits. J.A.
ly also on
mother’s absence.
claim,
district
the
reviewing this
In
impli-
its
with
clearly concerned
was
claim,
Also,
court
the district
resolving
in
this
concluded:
but
cations
applied a “reasonableness”
may
court
have
questions
specifically
that has been
over-
grave
inquiry
has
this court
While
is,
attorney
it
any
by the
That
Supreme
turned
Court.
competence
the
about
ap-
pen-
death
the distriсt court
prior
the
is unclear whether
would mention
who
context, especial-
claim. The
any
subjective
in
test to this
plied
his client
alty of
the state court
challenges
having exercised
court ascertained whether
ly after
“in a manner that
prior death
this claim
disposed
of the
any jurors who knew
is
sentence,
apply
jurists
agree
the
all
unrea-
must
reasonable
would
the court
Green,
870; see
as set out
143 F.3d at
of review
sonable.” See
AEDPA’s standards
French,
(Terry),
among things, other Bacon could have manipulated by Clark —also a woman 2. who had confessed marital problems to Second, Bacon maintains that his resen- Bacon9 sought help. and his tencing counsel failing was ineffective in properly investigate and submit evidence Bacon maintains that his counsel at his about family history Bacon’s and charac- resentencing hearing conducted no re- ter. Bacon avers—in statements that are search to supplement the work in done (1) supported by affidavit Bacon’s preparation for the first sentencing hear- MAR lawyer, who summarizes her conver- Indeed, ing. that, alleges at his psychologist sations with a an affi- resentencing hearing, his counsel simply davit of investigator Bacon’s —that used the same character interviews that family history troubling. is Among other were submitted in his first sentencing things, specify the affidavits numerous thus, hearing; there was no additional evi- allegedly facts that were not submitted dence submitted at his sentencing second during sentencing either proceeding. Tak- turn, hearing. In Bacon argues, prep- ing true, those allegations to be Bacon’s aration for his sentencing first hearing was rarely father was around when Bacon was deeply flawed. Among other Ba- things, young,6 and finally when his father began con asserts that when his lawyer pre- participate in family, Bacon’s proved paring for his first hearing, the to be an alcoholic. Bacon’s father also lawyer only cursory conducted interviews engaged affairs, numerous adulterous with witnesses who were going to attest to although very Bacon was still young, good addition, Bacon’s character. In dur- sought his mother his advice on the fami- interviews, each perfunctory of these ly’s problems, including his father’s adul- lawyer Bacon’s was accompanied by the tery and other subjects.7 sensitive As a is, attorney. State’s That during result, Bacon signs showed of stress at a trip to Bacon’s hometown to interview wit- young age, including bed-wetting until the nesses, lawyer Bacon’s prosecutor took the age of 14. Bacon also witnessed various along, and all of the incidents which his interviews —which physically father abused his mother.8 Bacon constituted all of contends that the evidence submitted at family history background mother each of the sentencing hearings —a —were may well have drawn very alternative conclusions little age contact with him until the procedural history about the of Bacon's case. nine. however, importantly, Most majority's hy- Among things, 7. other Bacon’s mother en- pothesis fails to realize one crucial fact: the couraged eavesdrop him to on his father's
potential prejudice jurors of one or more ar- phone her-plan calls informed Bacon of riving through conjecture surmise and — —at investigate his father’s adulterous activities. regarding an uncertain conclusion Bacon’s pales comparison earlier fate to the actual occasion, example, 8. For on one when Ba- surely harm that juror’s accrued when each father, con's mother confronted his Bacon’s pointedly attention prior drawn to the father driveway, drag- drove his car down the death sentence. ging Bacon's mother behind. explains 6.One affidavit was, Robert Bacon’s 9. example, aware of numer- eight-years father first saw him when he was ous incidents between Glenniе and Bonnie Further, Clark, old. J.A. 508. the affidavit claims "including a time when he smashed that because Bacon's father was in the mili- against her head a cabinet and held a knife to abroad, tary assigned and often Bacon had her throat." J.A. presented at resen- un- character evidence fashion. When this in this conducted hearing. See ante at 482. tencing witnesses is interviewing manner of usual addi- to conduct the failure coupled with sum, I that the record on believe for the preparation investigation tional any sparse to draw simply too issue Bacon claims hearing, lawyers conclusions on whether *22 fell below lawyer’s performance his Indeed, the district were ineffective. in Strickland. provided standards support in of its not cite to the record does short, lawyer conclusions, incomplete ex- that Bacon’s and the counters The State record, 658-90, sentencing do Bacon’s from the see J.A. cerpts both of presented —at sixteen friends district court’s conclu- testimony of not hearings substantiate —the members, family history of whom testi- evidence family each sions. The new and and closely paral- character relies good upon which Bacon now fied to his otherwise Clark, relationship with and Bacon lels Bacon’s dependability. light submit- in the most (summarizing allegations evidence take the we at 549-50 Thus, the State must at this ted); at 480. to Bacon—as we also ante favorable see contends, history lawyers’ evidence family stage has established his the new —he stage charac- of this penalty in the performance cumulative would have been a crucial char- during the sentenc- was deficient on capital submitted case ter evidence this “culmulative” Based on acter issuе. ing hearings. Ba- dismissed district court
argument, the 3. claim, “A review of the concluding: con’s ample evidence admitted shows record Third, that his counsel Bacon claims concerning peti- hearing of Ba- failing to submit evidence erred background and and tioner’s childhood There is no prison. to adaptability con’s allegedly abu- relationship with his how his relating to this in the record evidence relationship.” J.A. his father sive affected claim, summarily as it has been inasmuch 41. at both the hearing dismissed without court. MAR the district level majority or agree with the I cannot obviously majority has concluded a The There is on this issue. district court relating to evidence the failure to submit the charac- between substantive difference itself, never, in factor will mitigating submitted at both ter evidence counsel; assistance history constitute ineffective family evi- and the new hearings cir- I, however, mitigating This cannot. Bacon now relies. upon which dence by several has been endorsed support cumstance history family evidence new Carolina, 476 courts, Skipper v. South history see family that Bacon’s proposition L.Ed.2d sur- U.S. mirrors the circumstances uniquely (1986); Washington, 106 F.3d Hall v. now for which Bacon rounding the crime (7th Cir.1997), accorded it must be In both instances penalty: the death faces mitigating fac- independent (in respect as an relationship family and his vein, petition asserts Bacon’s subjected tor. Clark), apparently woman adapta- of his evidence husband; that considerable Bacon served by her to abuse existed, including evidence woman, bility prison Bacon was a confidant to the disciplinary significant had no that Bacon steps he otherwise to take manipulated 1987 to incarcerated from infractions while This evidence not have taken. might prove If assertions February these general from the distinguishable plainly true, then, on the other depending child- be about Bacon’s evidence character circumstances, to submit the failure sentencing hear- at both hood submitted per- ineffective constitute event, family evidence would the new any and in ings, sense. While in the Strickland formance be char- certainly cannot history evidence circum- failure to submit general “cumulative” of the acterized as not, alone, might standing Among stance consti- things, jury unanimously other (1) trial, new tute basis for a we should be determined that: signifi- Bacon had no claim, (2) in a position particu- history prior to review this cant activity; criminal larly in the context of the other two Sixth acted under the domination of (3) Clark; Again, Amendment claims.10 the record history had no of violent (4) behavior; “character, habits, must be developed order to do so. mentality, propensities and activities ... B. unlikely indicate that he is to commit an- (5) crime”; That brings us to the other violent prejudice prong Bacon’s criminal Strickland. under I will conduct was the linger on this result of circumstances recur; unlikely element because I Strick- believe that the the initial idea for *23 (7) Clark’s; land standard is the plan satisfied here. In other Clark was con- words, victed of the Bacon has demonstrated a reason- same crime and had received that, sentence; (8) probability able but a life for counsel’s un- Bacon had shown re- (9) morse; errors, professional him, and pro- “family the result of the Bacon’s loved ceeding has would have been continued to visit him different. while he has — (Terry), Williams at-, incarcerated, U.S. and will continue to do Strickland, (quoting S.Ct. at 1511-12 so he is sentenced to life imрrisonment.” 2052). at J.A. U.S. 534-35.
In Significantly, moreover, terms of aggravating circumstances the resentenc- supporting imposition rejected the ing jury the death the mitigating factor that penalty, resentencing jury the only background, life, found “his educational home present: sobriety one such circumstance to be and value.” mitigating that II, “this murder was committed for pecuniary S.E.2d 549. This fact impor- is ante gain.” Moreover, tant because if the underlying facts Ba- single aggravating circumstance claim could be con’s were true and had been sub- characterized as a jury, “weak” one under mitted to the highly probable is North jury Carolina law: of the that the fourteen re- also would have found this ported prior mitigating decisions issued factor in to Bacon’s Bacon’s favor. appeal involving only aggravating cir- mitigating When these nine factors are “pecuniary gain,” jury cumstance of compared to the single aggravating cir- impose them, declined to death twelve of cumstance, it becomes that clear the three Supreme and the Court of North Carolina alleged Sixth Amendment violations-—ei- held penalty the death disproportion- be or, collectively ther in the instance of the ate in the two. other revelation, prior death sentence individual- words, at 565-66. In other at the time ly have affected the outcome of Ba- —could resentencing hearing, Bacon’s his was the Indeed, con’s resentencing. only reported case which the death pen- that, Court of North Carolina determined alty imposed had been single based on the context, in this failure to submit the miti- pecuniary gain. factor of gating factor that Bacon aided in ap-
On the other equation, prehension side of the co-conspirator of his required a resentencing jury myriad found mitigating sentencing new hearing. Although that present factors to be in Bacon’s place case. decision took with respect to Bacon’s contrast, majority 10. The prison. undertakes to Ba- exonerate months in In stark the re- (1) lawyers by pointing con's sentencing jury out that the first years had almost five of Ba- factor, sentencing jury rejected mitigating prison experience con's to consider. Particu- larly light thus counsel's decision not to raise the of the existence of additional factors, subject resentencing jury before the mitigating permitted was rea- Bacon should be important, present sonable. See ante at however, n. 3. It is evidence this failure on the part that the first lawyers had before it evi- of his constituted or contributed dence of adaptability after part. four to ineffective assistance on their III. rea- hearing, the court’s first compelling: there is soning legal realm of delving into the We are Bacon received assert that fiction when we proper to submit Failing with procedure of fair full measure a “risk great too created circumstance assis- claims of ineffective respect to these imposed will be penalty that the death MAR court tance counsel. call for a less may factors which spite of first invok- them on two bases: dismissed be- choice is penalty. When severe procedural a rule of default death, unac- risk is life and tween regularly established nor firmly neither the com- incompatible ceptable measure, followed, then, dismiss- good Fourteenth Eighth mands of no hear- on the merits with ing the claims Ohio, 438 Lockett Amendments.” fact, state MAR explanation. ing or L.Ed.2d addrеssing Bacon’s claims opinion court’s that it is diffi- perfunctory is so terse reviewing court for the impossible It is it even ad- whether cult to determine the extent conclusively determine of some the merits claims. dressed defendant; suffered prejudice lack of compounded the have now We however, shown defendant has *24 affirming the dismissal procedure fair that had possibility a reasonable there is claims, with no evi- again of these three been sub- circumstance mitigating this permit we dentiary hearing. Before result jury, different mitted to life, we take North Carolina at the sentenc- reached have been would in a to ascertain position be should 15A-1443(a) N.C.G.S. ing hearing. a case such arguments. of these merits (1988). hangs in the bal- a life this —where ; n { than ever that important more ‡ ance—it is s{j ijs }¡: sfi done, justice but be justice phase of sentencing in the For error be done. be seen to also is trial, sentence the death defendant’s dissent. I therefore remanded the cause vacated and Court, County, for a Onslow Superior sentencing hearing.
new Bacon, S.E.2d 326 N.C.
State v.
327, 336 case—with Thus, MOORE, context this Patrick Michael myriad mitigat- Petitioner-Appellant, factor and aggravating one of North factors —the prejudice the Strickland Carolina found Director, De- JOHNSON, Texas Gary L. failure to by the satisfied factor to be Justice, Institu- partment of Criminal one first submit Division, Respondent-Appellee. tional in the aiding factor: additional co-conspirator. With of a apprehension No. 99-50927. that these I am convinced background, Appeals, Court of United States claims, collectively three Sixth Amendment Fifth Circuit. revela- penalty the case of death or—in individually, allege facts sufficient tion— Aug. in the Strickland prejudice demonstrate reason, I remand For this sense. hearing proper, fair case issues.
these
