Lead Opinion
Gеrardo Acevedo, on behalf of the State of Iowa (the State), appeals the district court’s grant of habeas corpus relief under 28 U.S.C. § 2254 to Bryan Kirby Barrett. We reverse.
I. BACKGROUND
Barrett has been twice tried for, and twice convicted of, the murders of two young women. The Iowa Supreme Court set aside his first conviction and granted him a new trial on the ground that certain evidence had been improperly admitted. See State v. Barrett,
The evidence adduced at Barrett’s second trial showed that the bodies of two young women, Cynthia Kay Walker and Carol Ann Willits, were found several miles apart in rural Iowa on the morning of February 23, 1979. Both had been shot with a .38 caliber weapon. Cynthia Walker had been shot three times and was found dead on a gravel road. Carol Ann Willits had been shot once through the temple and was found in the front seat of her car on a nearby blacktop road. She was blindfolded and was wearing men’s work gloves. The gun was found in her lap.
Bryan Kirby Barrett had been acquainted with both women. Cynthia Walker was Barrett’s girlfriend at the time of her death, and Carol Ann Willits may also have been dating him, although her friends testified that the two were only friends. A note in Carol Ann Willits’s handwriting, tom from a spiral steno notebook, was found in the car near her body. The note was addressed to Barrett and stated in part, “I’m 'sorry I’ve caused you so much trouble,” and “I hope you find your peace/I found mine.” A torn-up rough draft of the note, also from a spiral steno notebook, was found in the trash at Carol Willits’s apartment. Several crossed-out notations appear in the margins of the reconstructed rough draft. These include several misspellings of Carol’s name, i.e., “Kayrol,” “Caryl.” Curiously, a post script added to the rough draft was also added to the final draft as a post script, not incorporated into the body of the letter. The remnant of yet another draft of the letter was also found in the car — a torn corner, still attached to the spiral notebook. The rest of that draft was never found.
Aso found in the car was a three-page postmarked letter from Barrett to Willits. The letter informed her that he did not reciprocate her romantic feеlings for him. The pages of the letter, however, had no cancellation impressions on them, as if they were put in the envelope after it had been mailed. A valentine card in an envelope addressed to Barrett from Cynthia Walker was also found in the car, as were strands of Walker’s hair.
The defense theory was that Willits was romantically involved with Barrett and had caught him in a compromising situation with Walker. In a jealous rage, Willits was to have killed Walker and then committed suicide. The State’s theory, on the other hand, was that Barrett had killed Walker to obtain life insurance proceeds from a policy he had purchased on Walker’s life. The State further contended that Barrett had left false clues to give the impression of murder/suicide by Willits.
The evidence showed that Barrett had taken out a life insurance policy on Cynthia Walker shortly before her death. He was the beneficiary on the $50,000 policy, which had a double indemnity clause in the case of a nonnatural death. The State also produced evidence that Barrett had once forged his ex-wife’s signature on an application for life insurance and had then plotted to kill her with money as his motive. This scheme was shown through a 143-page journal that was received into evidence at the second trial.
The State also produced evidence that, although Willits had purchased the gun, she had done so at Barrett’s behest and with his money. Significantly, the State showed that Willits had applied for a permit for the weapon before she had any motive to kill Cynthia Walker, that is, before she ostensibly found Barrett with Walker.
The evidence also portrayed Carol Ann Willits as an unlikely murderer. On the night of the murder, she had prepared a spaghetti dinner for some former coworkers. The women testified that she was in a good mood, showed them family Christmas pictures and spoke excitedly of a trip to Ireland she was planning with Mends. Her friends testified that she was a helpful, cheerful woman who regarded Barrett as a friend. Evidence showed that Willits had received a phone call from Barrett that night.
Expert testimony was presented on the issue of whether Willits’s death was a suicide or a homicide. Dr. Vincent DiMaio, a physician and forensic pathologist, testified that, in his opinion, Willits had been murdered. He based his opinion on six factors: (1) the presence of a blindfold, which he found highly unusual in a suicide; (2) the knot on the blindfold was tied on the left by a right-handed person; (3) Willits was wearing large cotton work gloves, which would have made it difficult for her to tie the knot and which would have become bunched in the trigger of the gun; (4) Willits’s hand was found in her lap with the gun on top of her hand when the recoil of the gun should have sent the hand and the gun to the right; (5) the path of the bullet was straight, when in most suicides the path of the bullet is at an angle; and (6) there was an intact paper bag on the seat which should have been flattened by the gun. He emphasized that each of these factors, standing alone, could be discredited, but that his opinion was based on the presence of all six factors.
On cross-examination, Dr. DiMaio conceded that he had formed his opinion on the first day he was contacted by authorities. This exchange followed:
Q. And you reached that judgment on the 29th day of November and you haven’t changed it, have you?
A. Nothing has been presented to me since then to change the opinion.
Q. Then you’re not about to. You’re 99 percent right and you’re not about to change your оpinion, are you, Doc?
A. I change my opinions when you present material to me to show that I am wrong and then I’ll change my opinion.
Trial Transcript at 617.
To counter the implication that Dr. DiMaio was “so inflexible or dogmatic that [he] would never change [his] opinion if presented with contrary evidence,” Dr. DiMaio was asked, on redirect examination, whether it was common practice for forensic pathologists to discuss cases "with colleagues when coming to a professional conclusion. Id. at 619. He answered in the affirmative, noting that such discussions helped avoid a “God complex.” Id. Dr. DiMaio was then asked if any of his colleagues “[had] given [him] persuasive reason to disregard [DiMaio’s] opinion.” Id. at 622. Over Barrett’s hearsay objection, Dr. DiMaio was allowed to answer and stated, “No, sir.”
II. DISCUSSION
A. Applicability of the Antiterrorism and Effective Death Penalty Act
First, the parties dispute the applicability of a provision of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA) to Barrett’s habeas petition. The State contends that the Act’s amended- standard for granting habeas relief applies here, see 28 U.S.C. § 2254(d)(1), while Barrett takes an opposing view. In the district court’s order certifying probable cause for appeal, the district court held that the Act did not apply to this pending case. We review the district court’s legal conclusion de novo. See Hendrix v. Norris,
The Act was signed into law on April 24, 1996, and, among other things, it: (1) amended certain sections of chapter 153 of Title 28 of the United States Code, which govern all federal habeas corpus proceedings; and (2) created a new chapter 154 which applies only to habeas proceedings in capital cases. As to capital cases, the Act expressly provides that “[c]hapter 154 ... shall аpply to cases pending on or after the date of enactment of this Act.” Pub.L. No. 104-132, § 107(e), 110 Stat. 1226 (1996). In contrast, the Act is silent as to whether the amendments to chapter 153 apply to pending cases.
We may summarily dispose of this issue because the Supreme Court has resolved it. In Lindh v. Murphy,
Based on the Supreme Court’s decision in Lindh, and the fact that Barrett’s habeas petition was filed on February 5, 1991, we conclude that 28 U.S.C. § 2254(d), as amended by the Act, does not apply to Barrett’s pending habeas corpus petition. Accordingly, we cannot apply the amended standard to Barrett’s habeas petition and need not address Barrett’s argument that the Act is unconstitutional.
B. Confrontation Clause
1. Procedural Bar
As a threshold matter, the State argues that Barrett’s Confrontation Clause claim is procedurally barred. Before a state prisoner is entitled to federal habeas corpus relief, he must first exhaust his state rеmedies and present the habeas claim to the state court. See Abdullah v. Groose,
Although we are inclined to believe that Barrett’s claim was not so “fairly presented” to the state court, and thus is procedurally defaulted, we need not decide the difficult question of whether Barrett’s various state court filings would meet our standards. Since we find Barrett cannot prevail on the merits, we see no reason to belabor this issue. Although the procedural bar issue, should ordinarily be resolved first, judicial economy sometimes dictates reaching the merits if the merits are easily resolvable against a petitioner while the procedural bar issues are complicated. See Lambrix v. Singletary,
2. Merits
Barrett’s Sixth Amendment claim centers on Dr. DiMaio’s answer, “No, sir,” to the question whether any colleagues had given DiMaio persuasive reason to disregard his own opinion.
The court conceded that the declaration would not be hearsay if offered in federal court or in most, if not'all, other state courts. See id. (rejecting the positions of other state and federal courts and relying on its pre-Rule 703 doctrine of “obscured” hearsay). The State of Iowa is, of course, free to construct such evidentiary rules as it deems proper and it has apparently formulated an unusual hearsay rule with respect to Rule 703 evidence .
When the outcome of federal ha-beas litigation involves a matter of state law, a federal court is bound by a legal interpretation made by the state’s highest court. See Clark v. Groose,
We accord a presumption of correctness to state court factual findings in a habeas corpus action. See 28 U.S.C. § 2254(d). That presumption does not extend, however, to a mixed question of law and fact. See Blair v. Armontrout,
We find that the statement in question, whether or not characterized as hearsay under Iowa law, is not the type of. utterance that violates the Confrontation Clause. Hearsay is ordinarily an out-of-court statement offered to prove the truth of the matter asserted. Fed.R.Evid. 801(c). Therefore, by definition an out-of-court statement is not hearsay if it is not offered to prove the facts asserted. See Roberts v. Newville,
In this case, the evidentiary value of any colleagues’ statements that were made to Dr. DiMaio did not arise from the truth of the statements, but rather from their effect on Dr. DiMaio. Dr. DiMaio did not, as Barrett claims, recite opinions of his colleagues without providing Barrett the opportunity to con
Accordingly, we find Dr. DiMaio’s answer did not constitute evidence that triggers a Sixth Amendment confrontation issue.
Most importantly, we find that, even if the statement were hearsay and it were to violate the Confrontation Clause, any error would be harmless. A violation of the Confrontation Clause is subject to harmless error analysis. See Harrington v. Iowa,
In a habeas corpus case, we аpply the more deferential harmless error review standard of Brecht v. Abrahamson,
In the context of a Confrontation Clause violation, to determine whether error is harmless beyond a reasonable doubt, we must examine the other evidence adduced at trial and determine whether it appears beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained. See Lufkins v. Leapley,
This was not a close case. Our review of the record shows that this case was much more than a “battle of the experts,” with Dr. DiMaio’s testimony being pivotal. The prosecution assembled a solid case based on compelling circumstantial evidencе. Barrett had purchased a $50,000 life insurance policy on Cynthia Walker. The policy contained a double indemnity clause in case of nonnatural death. The State offered proof that Carol Willits purchased the murder (and ostensible suicide) weapon at Barrett’s request. The State further presented evidence that a car with rectangular taillights, similar to Barrett’s parents’ Buick, had been seen on the road where Willits died. There was also evidence that the blindfold used on Carol Willits was made of fabric that matched a pillowcase found in Barrett’s parents’ home.
The most damaging evidence, the admission of which the court affirms today, was contained in Barrett’s earlier journal. The 143-page handwritten journal details numerous plans and schemes to kill or maim his ex-wife, including plans to burn her face with
In fact, however, the expert testimony, favors the prosecution. The prosecution presented Dr. DiMaio, who testified that, in his opinion, Carol Willits was murdered. He based his decision on a combination of six factors. None of the other expert witnesses could discredit the combined factors: We find that Dr. DiMaio’s testimony is more persuasive. It simply makes more sense than the testimony of the other experts. We have no difficulty finding that the jury believed Dr. DiMaio over the others, without regard to any asserted bolstering of his testimony by unnamed supporters. Having reviewed the record of this case, we find any error to be harmless beyond a reasonable doubt.
C. The Journal
1. First Amendment
As explained above, Barrett wrote a 143-page journal that had its last entry dated July 1977, which was approximately two years before the deaths of Willits and Walker. In July 1977, Barrett inadvertently left this journal in a restaurant in Iowa City. See Barrett I,
At Barrett’s second trial, this journal was again admitted into evidence over his objection. On appeal, Barrett argued that evidence surrounding his purchase of life insurance ori his wife, including his journal, was erroneously admitted because he did not purchase the insurance for a sinister purpose. Barrett contended that he obtained the insurance because his wife lost her job and therefore lost the life insurance provided by her employer. See Barrett II,
The federal district court held that admitting Barrett’s journal into evidence violated his rights under both the First Amendment and the Fifth Amendment. We review the district court’s legal conclusions de novo. See Hendrix,
The district court held that under Fisher v. United States,
The State argues that to the extent that Fisher held that the First Amendment protects personal papers, only those documents raising freedom of association, and not freedom of speech, concerns are protected. The State emphasizes that the case cited by the Supreme Court in connection with the First Amendment, NAACP v. Alabama,
Public disclosure of membership identities may, in some circumstances, pose a very real threat to freedom of association. Accordingly, “[i]nviolability of privacy in group association may in many circumstances be indispensable to preservation of freedom of association, particularly where a group espouses dissident beliefs.” Id. at 462,
We need not, and do not, decide whether Fisher’s suggestion that the First Amendment may protect certain private papers applies not only to papers implicating freedom of association interests, but also to those implicating freedom of speech interests. Even assuming that the First Amendment does protect private papers raising certain types of speech interests, we do not believe that Barrett’s journal is the type of speech that would, or should, be constitutionally protected. The risk that Barrett’s speech would be curtailed through public disclosure was created by Barrett himself when he left his journal in a public place. In fact, one type of harm that could arise from public disclosure — that Barrett would stop making entries in his journal because he no longer felt free to express himself — may have already occurred since he ceased writing in this journal soon after the police discovered it. But it was Barrett’s own action, and not government action, that caused such speech to cease. See United States v. Apker,
Moreover, we believe that more recent Supreme Court cases reflect less willingness to recognize First Amendment interests in criminal cases. In Wisconsin v. Mitchell,
The First Amendment, moreover, does not prohibit the evidentiary use of speech to establish the elements of a crime or to prove motive or intent. Evidence of a defendant’s previous declarations or statements is commonly admitted in criminal trials subject to evidentiary rules dealing with relevancy, reliability, and the like.
Id. at 488,
We conclude that the State did not violate Barrett’s First Amendment right when it obtained his journal by subpoena duces te-cum, and we reverse the district court on this issue.
2. Fifth Amendment
The district court also held that Barrett’s Fifth Amendment right not to incriminate himself was violated through a subpoena duces tecum requiring him to produce his journal.
The Fifth Amendment provides that “no person ... shall be сompelled in any criminal ease to be a witness against himself.” U.S. Const, amend. V. The Fifth Amendment’s protection applies only when the accused is compelled to make a testimonial communication that is incriminating. See Fisher,
Barrett’s argument is premised on the Supreme Court’s broad pronouncement that there was no difference between compelling a witness to testify against himself and using a person’s private papers against him. See Boyd v. United States,
It is now clear, at least with respect to business records, that “if the party asserting the Fifth Amendment privilege has voluntarily compiled the document, no compulsion is present and the contents of the document are not privileged.” Doe,
This court has indicated that if contents of personal papers are protected at all, it is only in rare situations, where compelled disclosure would break the hеart of our sense of privacy. See United States v. Mason,
Whatever the extent of Fifth Amendment protection for intensely personal and intimate documents in a defendant’s possession, Barrett’s journal is not entitled to such protеction. Under the facts presented in this case, we find that no Fifth Amendment claim can prevail where, as here, there exists “no legitimate expectation of privacy and no semblance of governmental compulsion against the person of the accused.” Couch v. United States,
We further find no violation of the Fifth Amendment in Barrett’s compelled production of the journal. The existence, possession, and authenticity of the journal were already known to law enforcement officers and were foregone conclusions in this case. Barrеtt left the journal in the restaurant almost two years before the deaths of Willits and Walker. It was turned over to the police and copied. At that time Barrett admitted that he had written the journal. The police officer to whom he had made the admission identified and authenticated the journal at trial. Given that the State already had a copy of the journal in its possession and that Barrett had admitted ownership and authorship, there is no support in the record for the conclusion that Barrett incriminated himself through the act of producing the journal. In sum, Barrett’s act of producing the journal “add[ed] little or nothing to the sum total of the Government’s information by conceding that he in fact [had] the papers.” Fisher,
We reverse the district court’s finding that Barrett’s Fifth Amendment privilege against self-incrimination was violated by his compelled production of the journal.
After discussing harmless error in Barrett’s appeal of his second conviction, the Iowa Supreme Court stated, “[t]his was a second trial. Two juries have unаnimously agreed on defendant’s guilt.” Barrett II,
Although we are inclined, once again, to doubt that the claim was fairly presented to state court, we again decline to rule on the procedural bar. issue, since we find that Barrett cannot prevail on the merits. See Lambrix,
III. CONCLUSION
The judgment of the district court granting Barrett’s petition for a writ of habeas corpus is reversed and this action is remanded with directions to dismiss Barrett’s petition for a writ of habeas corpus.
Notes
. Because we agree with the panel's holdings on the applicability of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA) and Barrett’s First and Fifth Amendment claims, those portions of the panel's vacated opinion are essentially restated herein in Parts 11(A) and (C).
. An additional, undated journal that outlined a scheme to kill a paperboy, had been admitted into evidence at Barrett’s first trial. On appeal, the Iowa Supreme Court found that the journal's admission was error because it had been admitted for the improper purpose оf showing Barrett’s alleged propensity to commit the crimes. The court reversed and remanded for a new trial. See Barrett I,
. The State further showed that it was doubtful that Willits could have found Walker and Barrett together on the night it was supposed to have occurred. Her car was being repaired on that day and she would have had to walk twenty blocks in sub-zero temperatures.
. That answer is the subject of Barrett's Sixth Amendment Confrontation Clause claim.
. Barrett’s theory is that the statement implies that the unnamed colleagues agreed with Dr. DiMaio. That is not a necessary implication of the statement. DiMaio’s answer could also be understood to mean either that: (1) his colleagues had not stated any opinions; or (2) his colleagues disagreed with him but were unable to persuade him with their reasoning.
. The trial court overruled Barrett’s hearsay objection and admitted the statement as the type of comment relied on by people in Dr. DiMaio's field to form opinions. Trial Transcript at 620. Evidence relied on by experts in fоrming their opinions is Rule 703 evidence. See Fed.R.Evid. 703; Iowa R.Evid. 703. We are not fully convinced that Dr. DiMaio's statement qualifies as this type of evidence, but note that Rule 703 evidence is not generally regarded as hearsay. See Boone v. Moore,
Even if the Rule 703 statement were regarded as hearsay, it would not violate the Confrontation Clause. The Confrontation Clause and the hearsay rule are not coextensive. See Ohio v. Roberts,
In the context of Rule 703 evidence, such trustworthiness is shown by the testifying expert’s reliance on the material in forming his opinion. See, e.g., United States v. Abbas,
. It is not surprising that Barrett's "innocent" explanation did not sway the jury. His explanation for the purchase of insurance on his girlfriend’s life was that he planned to take her on a trip to California with him and was afraid her parents would sue him if something happened to her.
.In a footnote, the Court further explained that "[s]pecial problems of privacy which might be presented by subpoena of a personal diary, United States v. Bennett,
. In United States v. Apker, we rejected a First Amendment challenge to a warrant seeking, among other things, disclosure of the membership list of a Hell’s Angels group. We notеd that the group members publicly identified themselves as Hell’s Angels by their dress; therefore, any additional harm from disclosing their membership list was unlikely. See Apker,
.Barrett argues that Wisconsin v. Mitchell's
. To the extent the Fifth Amendment shielded the journal from compulsory production, that protection was not lost by Barrett transferring the journal to his counsel. "When material has been transferred from a client to an attorney for the purpose of seeking legal advice and the subpoena is directed to the attorney, the proper inquiry is whether the subpoena, if directed to the client himself, would require compelled testimonial self-incrimination.” In re Grand Jury Proceedings,
. In Fisher, the Supreme Court expressly declined to reach the issue. See Fisher,
. A different question might be presented if a personal diary had been kept in a person’s secure possession since it had been written and the State attempted to obtain it via a subpoena duces tecum.
Dissenting Opinion
with whom McMILLIAN, Circuit Judge, joins dissenting.
I dissent from the court’s holding in Part IIB that the admission of DiMaio’s testimony did not violate the Confrontation Clause.
The record demonstrates that Barrett’s confrontation claim was fairly presented to the state court and that there was no procеdural default. Cross-examination is essential to Barrett’s Sixth Amendment right of confrontation. See, e.g., Kentucky v. Stincer,
DiMaio’s testimony constituted hearsay in violation of Barrett’s Sixth Amendment right to confrontation. When the court today reaches the claim of the confrontation clause violation, it engages in what can most charitably be described as a circular analysis. The court first assumes that the Iowa Supreme Court determined DiMaio’s answer to be a recitation of hearsay. It then recognizes that in Iowa, hearsay is ordinarily an out-of-court statement offered to prove the truth of the matter asserted. It then concludes that the statement was offered to reveal DiMaio’s state of mind which would not be hearsay, and thus raises no confrontation clause concerns. The court’s reading of DiMaio’s testimony is contrary to that of the Iowa Supreme Court and the arguments asserted by the Attorney General of Iowa. In order to develop its reasoning, the court dissects DiMaio’s statement into three possible meanings, which is two more meanings than have been asserted before either by the Iowa court or the Attorney General. When it must engage in such a creative enterprise it deals a fatal blow to its holding.
When the Iowa court reached the question of prejudicial error, the court again referred to the hearsay evidence rule and considered the defense argument that DiMaio’s testimony amounted to testimony that his conclusion was endorsed by his unnamed colleagues, allowing the State, by the challenged testimony, to counter Barrеtt’s array of expert witnesses before the jury without producing their experts for cross-examination.
Thus, it is evident that the Iowa Supreme Court was considering an issue entirely different from the hair split by the court today. The justices of the Iowa Supreme Court, both in the majority and the dissent, found only one meaning springing from the testimony in question. Nevertheless, to reach its conclusion, the court dissects the testimony into two additional slices, neither of which has occurred to anyone dealing with this case in the state courts, or even to counsel aрpearing before this court. The court simply blinks semantic reality in reaching out for the conclusion it rationalizes today. I think we must consider the testimony as it was considered by the Iowa Supreme Court. DiMaio’s answer “no” to the question of whether any of his colleagues had given him persuasive reason to disregard his opinion that Willits’s death was a homicide, as opposed to a suicide, carried the evident meaning that other experts, who were not produced for cross-examination, agreed with and bolstered DiMaio’s opinion and constituted inadmissible hearsay.
DiMaio’s testimony was not harmless. See O’Neal v. McAninch,
Without the opportunity to confront and cross-examine DiMaio’s colleagues, Barrett was unable to examine and challenge their theories, assumptions, tests, qualifications,
Of course, we cannot know how much weight the jury assigned to this evidence. But given the importance of this issue to the verdict, the importance of expert testimony to this issue, Barrett’s complete lack of opportunity to confront and cross-examine these unidentified accusers, and the State’s failure to demonstrate that this evidence had any particularized guarantee of trustworthiness, I conclude that this error was not harmless. I note that both the district court and three dissenting judges of the Supreme Court of Iowa took the view that “such unchallenged opinions on a critical issue served to tip the scales in favor of the State in a case that was obviously close.”
I would hold that the admission of DiMaio’s hearsay testimony violated Barrett’s Sixth Amendment right of confrontation, and I would grant the writ of habeas corpus.
. The court today decides that DiMaio's testimony does not violate the Confrontation Clause because the statement is inherently reliable. The court reaches this conclusion by relying on Rule 703. Nevertheless, the court does not identify the "particularized guarantees of trust-worthiness," or explain the foundation for the testimony. Instead, the court boldly assumes the statement was reliable because DiMaio relied on it, in a seething "I know it when I see it” approach.
