Lead Opinion
On March 17, 1997, security guard Richard Heflin was killed during an armed robbery of the Lindell Bank & Trust in St. Louis (Forest Park), Missouri. Billie Jerome Allen and Norris G. Holder were charged and convicted in separate jury trials for violating 18 U.S.C. §§ 2, 2113(a) and (e) (1994) (armed robbery by force or violence in which a killing occurs) (Count I) and 18 U.S.C. §§ 2, 924(c)(1) and (j)(l) (1994 and Supp. II 1996) (carrying or using a firearm during a crime of violence and committing murder) (Count II). Allen was sentenced to life in prison on Count I and received a sentence of death on Count II. Holder received sentences of death for both Counts I and II. In these direct appeals, Allen and Holder raise numerous challenges to the constitutionality of the Federal Death Penalty Act of 1994, they allege that the district court
I. Background
Holder was a regular customer of the Lindell Bank & Trust. Five hundred dollars was automatically deposited to his account each month from a legal settlement Holder obtained after losing the lower portion of one leg in a train accident, and every month Holder withdrew that five hundred dollars. On March 13, 1997, four days before the date of the armed robbery, Holder brought Allen along with him for his monthly withdrawal of funds. Allen and Holder were also seen together on several other occasions during the ten days leading up to the armed robbery. Together they watched the movies “Heat” and “Set It Off’ which depicted assault-style takeover armed bank robberies similar in many details to the manner in which they later robbed the Lindell Bank & Trust. In preparation for the armed robbery, Holder supplied or obtained a Russian SKS semiautomatic assault rifle, a Chinese SKS semiautomatic assault rifle, a twelve-gauge shotgun, approximately two hundred rounds of ammunition consisting mostly of military style hollow point ammunition for the two SKS rifles, and a bulletproof vest which he wore. The night before the armed robbery two vans were stolen for use as the first two getaway vehicles after the robbery (Holder’s mother’s car was to be used as the third, and last, getaway vehicle).
On the day of the armed robbery, March 17,1997, Allen and Holder parked the first getaway van on the street just outside the bank. Wearing dark ski masks and armed with the semiautomatic rifles — Allen with the Chinese SKS loaded with 11 rounds, and Holder with the Russian SKS loaded with 37 rounds and each carrying extra rounds of the hollow point ammunition— they rushed into the bank. The first man to enter immediately began firing shots at security guard Heflin, and during the course of the robbery Holder jumped over the tellers’ counter and retrieved money from the tellers’ drawers. The ballistics evidence showed that both rifles were discharged during the robbery and a total of sixteen shots were fired inside the bank, at least eight of which hit security guard Heflin who died shortly thereafter. Eleven of the shots came from the Chinese SKS rifle, three came from the Russian SKS rifle, and the remaining two could have come from either rifle. After the armed robbery, which lasted only a few minutes, Allen and Holder returned to the getaway van and sped off down the highway.
Several witnesses spotted the two men exiting the bank and returning to the van. Bank customer William Green, after hearing gunshots while at the drive-up teller window, dialed 911 and followed the van onto the highway. He continued following the van as it sped down the highway and into Forest Park. As the van entered the park, Green saw it burst into flames. Pri- or to the armed robbery, the suspects had soaked the van with gasoline so that it would be easier to destroy the evidence once they reached their second getaway vehicle. The van apparently started on fire when one of the suspects flicked a cigarette lighter. After the van started on fire, the van’s passenger-^Allen — jumped out and ran into a wooded area. The other occupant, Holder, was on fire and two park workers helped to extinguish the flames. A police officer arrived on the scene simultaneously and arrested Holder.
II. Analysis
Allen and Holder allege numerous constitutional, statutory, and procedural violations as grounds for relief from each of their respective convictions and sentences. We separately address each defendant’s claims.
A. Billie Jerome Allen
1. Facial Constitutional Challenges
Allen raises a host of facial constitutional challenges, based on the Eighth Amendment and Article I of the Constitution, to the Federal Death Penalty Act of 1994 (hereinafter “FDPA”). See 18 U.S.C. §§ 3591-3598 (1994). We review claims of constitutional error and issues of statutory construction de novo. See Hamilton v. Schriro,
a. Nonstatutory Aggravating Factors
Allen argues that the use of non-statutory aggravating factors, which the FDPA explicitly allows,
The primary purpose of the non-statutory aggravating factors, as opposed to the listed statutory aggravating factors which do fulfill the role of limiting and guiding a jury’s discretion in making the eligibility decision, is to allow for the individualized determination of whether a death sentence is justified for a particular defendant; that is, they help to inform the selection decision. As the Supreme Court has explained,
[o]ur capital punishment cases under the Eighth Amendment address two differ*758 ent aspects of the capital decision-making process: the eligibility decision and the selection decision.... To render a defendant eligible ... the trier of fact must ... find one ‘aggravating circumstance’ .... We have imposed a separate requirement for the selection decision, where the sentencer determines whether a defendant eligible for the death penalty should in fact receive that sentence. What is important at the selection stage is an individualized determination on the basis of the character of the individual and the circumstances of the crime.
Tuilaepa v. California,
Our cases indicate, then, that statutory aggravating circumstances play a constitutionally necessary function at the stage of legislative definition: they circumscribe the class of persons eligible for the death penalty. But the Constitution does not require the jury to ignore other possible aggravating factors in the process of selecting, from among that class, those defendants who will actually be sentenced to death.
Zant v. Stephens,
The jury ... shall return special findings identifying any aggravating factor or factors set forth in section 3592 found to exist and any other aggravating factor for which notice has been provided under subsection (a) found to exist.... If no aggravating factor set forth in section 3592 is found to exist, the court shall impose a sentence other than death
18 U.S.C. § 3593(d). If no listed statutory aggravator is unanimously found by the jury, no sentence of death can be imposed. We therefore find no constitutional infirmity with the FDPA’s permitting the prosecution to. propose nonstatutory aggravating factors to fit the particular circumstances of a crime and to assist the jury in determining whether the death penalty should be imposed upon a defendant already determined to be eligible for that ultimate punishment.
Allen also argues that the FDPA impermissibly delegates legislative power to government prosecutors by allowing them the discretion to propose nonstatutory aggravating factors to a capital sentencing jury. Congress may not delegate its legislative power to another Branch, but it may seek assistance from another Branch so long as Congress legislates “an intelligible principle to which the person or body authorized to exercise the delegated authority is directed to conform.” Mistretta v. United States, 488 U.S, 361, 372,
Finally, Allen argues that the FDPA’s allowance of nonstatutory aggravating factors violates the constitutional prohibition against ex post facto laws.
b. Use of “Information”
Allen argues that because the FDPA allows the introduction during the sentencing phase of “information” rather than only “evidence,” a jury’s sentencing decision under the FDPA is inherently unreliable in violation of the Eighth Amendment. We reject this claim. The FDPA allows either party to introduce any “information” relevant to an aggravating or mitigating factor, regardless of its admissibility under the federal rules of evidence, but provides that the information “may be excluded if its probative value is outweighed by the danger of creating unfair prejudice, confusing the issues, or misleading the jury.” 18 U.S.C. § 3593(c). Thus, not only does the statute protect a defendant from both irrelevant information and overly prejudicial information, the relaxed evidentiary standard also works to a defendant’s advantage in helping to prove mitigating factors and to disprove aggravating factors. Allen’s reliance on California
c. Appellate Review
Allen claims that the FDPA is unconstitutional because it lacks proportionality review. Allen argues that the Supreme Court’s decision in Gregg mandates proportionality review whenever a death penalty statute allows the consideration of nonstatutory aggravating factors in the final sentencing decision. We disagree with Allen’s reading of the Supreme Court’s holding in Gregg. See Pulley v. Harris,
We also reject Allen’s argument that the absence of mandatory, automatic appellate review somehow violates the Eighth Amendment because it is incompatible with the evolving standards of decency of a maturing society. Even if this challenge to the FDPA is a valid argument under the Eighth Amendment, which we highly doubt, Allen lacks standing to raise this challenge because he has taken advantage of appellate review and thus can show no actual harm in the FDPA’s requirement that a defendant must initiate appellate review.
d. Scope of FDPA
Allen argues that the “remarkable breadth” of the FDPA fails to narrow genuinely the class of persons eligible for execution and fails to channel adequately a sentencing jury’s discretion. See Zant,
2. Fifth Amendment Challenges
a. Indictment Clause
The FDPA requires the government to file with the court, and to serve on the defendant, a notice of intent to seek the death penalty “a reasonable time before the trial or before acceptance by the court of a plea of guilty.” 18 U.S.C. § 3593(a). This notice of intent must include a statement that the government believes the circumstances of the case justify imposing a sentence of death and that if the jury finds the defendant guilty the government will seek a sentence of death. Id. The notice must also set forth any aggravating factors the government intends to use as justification for a sentence of death. Id. There is no allegation that the government’s properly and timely filed notice of intent in this case has failed to meet the FDPA’s statutory notice requirements. Instead, Allen directly challenges the adequacy of the FDPA under the Constitution.
Allen specifically argues that his sentence was imposed in violation of the Fifth Amendment’s Indictment Clause
First, we reject Allen’s argument that his case did not become a capital case (as referred to in the Fifth Amendment) until the notice of intent was actually filed. We hold that the original indictment re
Congress is free to pass, and may even be required to pass under the Eighth Amendment, additional protections for a capital defendant prior to the actual imposition of a death sentence, as it did by requiring notice of intent to seek the death penalty along with notice of any proposed aggravating factors a reasonable time before trial. But these protections do not increase the maximum sentence set forth in each of the statutes for the specific offenses alleged in the indictment and thus do not amount to separate elements that must be alleged in the indictment. See Apprendi
For similar reasons, we also reject Allen’s contention that aggravating factors and mental culpability factors must be alleged in an indictment in order to satisfy the Fifth -Amendment. A defendant is entitled to “ ‘a jury determination that he is guilty of every element of the crime with which he is charged, beyond a reasonable doubt.’” Apprendi,
We begin by determining whether the mental culpability factors and- statutory aggravating factors are elements of the underlying offense, because as already noted, every element of an offense must be charged in an indictment to satisfy the Fifth Amendment. The structure of the two statutes indicates that neither factor is an element of the offense of conviction. The two factors are listed in entirely dif
The next question, then, is whether the mental culpability factors and statutory aggravating factors are deemed elements of the crime by virtue of being facts which are the basis for increasing the maximum punishment. See Apprendi,
Allen argues that each of the above jury determinations should be viewed as elements that increase the maximum penalty by assuming that a life sentence is the initial baseline from which the jury’s sentencing determinations under the FDPA are viewed. We reject this interpretation because the statutes at issue expressly authorize a maximum penalty of death and the sentencing factors of mental culpability and aggravating circumstances do not increase the sentencing range but rather provide the particularized standards for choosing which of the alternative available sentences should be imposed. Making a defendant automatically eligible for the death penalty absent these types of protective requirements is prohibited by Eighth Amendment jurisprudence. See Apprendi
b. Refusal To Suppress Confession
Allen argues that the district court erred in refusing to suppress the confession he gave to police on the morning of his arrest. Allen’s primary assertion is that officers made no effort to comply with his request for counsel, and thus any statements made to the police after his request, including his confession, should have been suppressed because they were coerced in violation of the Fifth Amendment.
Allen was arrested at approximately 2:00 a.m. on the morning following the day of the bank robbery and was read his Miranda rights. See Miranda v. Arizona,
On appeal, Allen does not challenge the district court’s factual findings but rather the legal conclusion to be drawn from the facts, which we review de novo. See United States v. Looking,
Waivers of counsel must be voluntary and must constitute a knowing and intelligent relinquishment of a known right. See Edwards v. Arizona,
We turn now to the particular circumstances surrounding Allen’s request for counsel, alleged waiver, and confession. First, although Allen had earlier invoked his right to counsel, we hold that informing Allen of the results of the lineup did not amount to the functional equivalent of interrogation for purposes of the Fifth Amendment. It was a simple description of the status of the ongoing investigation which, according to the government, is a routine practice for suspects in custody in this particular jurisdiction. More importantly, it was not designed to, nor was it reasonably likely to, elicit an incriminating response from Allen. This was a statement of fact and not a plea to conscience. See Innis,
After resolving the interrogation issue, we have little difficulty determining that Allen’s subsequent self-initiated request to speak to Lieutenant Henderson amounted to a valid waiver of his right to counsel. Allen clearly initiated the request to speak with Lieutenant Henderson and knew full well his right to counsel and the consequences of foregoing that right. He had been informed of his right on prior, unrelated occasions and had indicated that he understood them. In addition to being given Miranda warnings four times earlier that morning and actually invoking his right to counsel after one of the warnings (which is strong evidence that Allen understood his rights), Allen was reminded of his request for counsel and given another explanation of his Fifth Amendment rights just prior to his confession. Moreover, Allen even set up the ground rules for his confession. We therefore conclude that Allen’s waiver of his right to counsel was valid because it was knowing and intelligent, voluntarily given, and initiated by Allen, and therefore the district court did not err in denying Allen’s motion to suppress the confession. See Holman v. Kemna,
Finally, the fact that officers did not find counsel for Allen immediately after his request does not automatically result in a violation of his right to counsel. The officers scrupulously honored his right to remain silent and his invocation of the right to counsel by not interrogating him after he invoked these rights until Allen volunteered his confession. Miranda condemns the use of psychological ploys and staged lineups as attempts to elicit a confession, but not all statements obtained by the police are the product of interrogations. See Innis,
Men argues that Ms multiple sentences of life in prison and the death penalty for the same underlying offense violate his right to be free from double jeopardy.
In a single trial where separate and consecutive sentences are imposed for the same underlying circumstances, the Double Jeopardy Clause does no more than prevent a sentencing court from prescribing greater punishment than a legislature intended. See Missouri v. Hunter,
The Supreme Court has consistently used the test from Blockburger v. United States,
Examining the two statutes at issue, it is clear from the face of 18 U.S.C. §§ 2113(a) and (e) (Count I) and 18 U.S.C. §§ 924(c)(1) and (j)(l) (Count II) that Count II requires proof of two facts which Count I does not — namely, that a firearm was used or carried during the commission of a violent crime and that a murder occurred by use of the firearm. The more difficult question is whether Count I requires proof of a different fact than Count II. It is not exactly clear how predicate offenses are to be treated for purposes of
On the other hand, the Supreme Court has applied Blockburger by considering the nature of the underlying felony in a felony-murder indictment rather than based only on the elements of the statutes at issue. See Whalen v. United States,
In light of these conflicting views of how to apply the Blockburger test to two statutes where one can be a predicate offense for the other, we think it best to err on the side of leniency by finding that the Block-burger test has not been satisfied. However, we still must consider the ultimately dispositive question of whether Congress clearly intended to impose cumulative sentences for simultaneous violations of each of the statutes. See Hunter,
We have repeatedly held that multiple prosecutions and cumulative sentences for bank robbery under § 2113 and for using a firearm pursuant to § 924(c) are clearly intended by Congress and thus permissible. See, e.g., United States v. McQuiston,
Allen argues that § 924(j) should be construed independently of § 924(c) because it does not contain the same “in addition to” language, the legislative history suggests Congress only intended to authorize the death penalty for violation of § 924(j) if the death penalty was not already authorized for the underlying violent offense, and any ambiguity must be resolved in favor of a defendant based on the rule of lenity. We respectfully reject Allen’s contentions. First, § 924(j) expressly incorporates § 924(c) and requires a violation of § 924(c) prior to imposition of the penalties set forth in § 9240'). Thus, § 9240) cannot be read independently from the context of the punishment scheme set out in § 924(c). Although § 9240) does not explicitly contain the same express mandatory cumulative punishment language as found in § 924(c), it incorporates § 924(c) by reference without disclaiming the cumulative punishment scheme which is so clearly set out in § 924(c).
Second, when read in context of the criminal scheme set forth in § 924(c), we think § 9240) is fairly interpreted as an additional aggravating punishment for the scheme already set out in § 924(c). We reach this conclusion because of § 9240')’s explicit reference to § 924(c) and because each subsection of the statute is designed for the same purpose — to impose steeper penalties on those criminals who use firearms when engaging in crimes of violence. Moreover, Allen’s proposed interpretation of § 924(j) would lead to the odd result that a defendant convicted under § 924(c) is subject to an additional consecutive sentence only in situations that do not result in a death caused by use of the firearm. We think it unlikely that Congress, which clearly intended to impose additional cumulative punishments for using firearms during violent crimes in cases where no murder occurs, would turn around and not intend to impose cumulative punishments in cases where there are actual murder victims.
Third, §§ 2113(a) and (e) and §§ 924(c) and (j) were clearly designed for different purposes: the armed robbery statute was designed to punish those who take money from banks by force or violence, whatever the means, and the firearm statute was designed to punish those who use or carry firearms during violent crimes, whatever the underlying crime.
We therefore conclude, notwithstanding our assumption of the likely failure of the two statutes to pass the Blockburger test, that Congress fully and clearly intended to permit cumulative punishments for violations of § 2113 and § 924(j). See United States v. Kragness,
Allen also argues that his double exposure to a sentence of death for one underlying crime unduly emphasized the death penalty to the jury and impermissi-
3. Alleged Trial and Sentencing Errors
Allen asserts that the district court committed numerous errors during the trial, each of which allegedly warrants this court granting him a new trial or a new sentencing. We address each of his contentions in order, and as explained below, conclude that none of the asserted district court errors entitle Allen to a new trial or a new sentencing.
a. Denial of Continuance
Allen asserts that the district court abused its discretion in denying Allen’s motion for a continuance of the trial after Allen’s mitigation expert quit ten days pri- or to trial with little of his work done. The facts are as follows. The government filed its notice of intent to seek the death penalty on August 8, 1997. Defense counsel hired a mitigation expert in early September. On October 15, Allen’s case was set for trial on February 9, 1998. On January 12, 1998, the original mitigation expert informed defense counsel that he could not fulfill his obligations. Defense counsel hired a new mitigation expert on January 15 who started working on Allen’s mitigation defense on January 16. Allen filed his motion for continuance on January 29, requesting that the trial be delayed for 120 days in order to prepare adequately the mitigation evidence for use during sentencing. The district court denied the motion for a continuance on the grounds that substantial work had been completed on Allen’s mitigation defense and that sufficient time remained to finish preparations. Jury selection began on February 9, trial commenced on February 17, the sentencing began on March 2, and Allen
We review rulings on requests for continuances under the following standard:
District courts are afforded broad discretion when ruling on requests for continuances. Continuances generally are not favored and should be granted only when the party requesting one has shown a compelling reason. We will reverse a district court’s decision to deny a motion for continuance only if the court abused its discretion and the moving party was prejudiced by the denial.
United States v. Cotroneo,
The replacement mitigation expert had worked on Allen’s case for two weeks prior to the continuance request, and at the time the motion for the continuance was filed he had over four weeks left to prepare Allen’s sentencing defense. In addition, the defense never renewed its motion for a continuance at the start of the penalty phase. Thus, the evidence supports the district court’s finding that the defense had sufficient time to prepare an adequate mitiga: tion defense.
Furthermore, the defendant has failed to show any specific prejudice resulting from the denial of his request for a continuance. Allen’s mitigation evidence consisted of three days of testimony, totaling over nine hundred pages of transcript, and involved thirty-six witnesses testifying on Allen’s behalf in support of four statutory mitigating factors and twenty-two non-statutory mitigating factors. Allen does not point to any specific mitigation evidence that he was deprived of presenting to the jury due to the district court’s denial of his request for a continuance. See Walls v. Bowersox,
Allen argues general prejudice on the basis that there was not overwhelming evidence in support of the jury’s decision to sentence Allen to death on Count II, given the jury’s decision not to impose a sentence of death on Count I. We disagree. There was overwhelming evidence that Allen was responsible for firing all or at least most of the shots that killed the security guard, which is more than enough to support the jury’s finding that the aggravating factors outweighed the mitigating factors thus warranting a sentence of death. We therefore need not address the question of whether Allen had a compelling reason for requesting a continuance of the trial (no explanation was ever given for the delay in discovering the nonperformance of the original mitigation expert), because we find neither an abuse of discretion by the district court nor any prejudice as a result.
b. Failure to Disclose Upcoming Inconsistent Testimony
Allen argues, based on Brady v. Maryland,
Evidence is material under Brady if there is a reasonable probability that, had the evidence been disclosed to the defense, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome. However, materiality is not established through the mere possibility that the suppressed evidence might have influenced the jury.
Id. at 712 (internal quotations and citations omitted).
We agree with the district court that there has been no Brady violation. First, the witnesses’ expected trial testimony was not Brady evidence because the witnesses testified at trial and the defense was provided with the necessary impeachment evidence (in this case the FBI reports). See United States v. Gonzales,
Nor do we find any clear prejudice. The prosecutor expressly stated during opening argument that witness Green was going to testify that the driver was carrying the bag, which was contrary to Green’s statement to the FBI. {See Trial Tr., Yol. VI at 52 (“A few moments later [Mr. Green] saw two men run to the van, the driver carrying a bag, both men carrying what looked to him to be long-barreled weapons.”).) Given that there is little doubt that Holder was the driver of the van, the prosecutor’s remarks during his opening statement alerted defense counsel to the inconsistency between witness Green’s prior statements and his expected trial testimony. Moreover, defense counsel had the necessary impeachment material — the FBI reports — and we agree with
c. Court-Ordered Psychiatric Examination
Allen asserts that the district court erred in ordering him to undergo a psychiatric examination by a government-selected psychiatrist without a full protective order and in allowing a prosecutor to violate the terms of the court’s partial protective order. We find no constitutional error and therefore reject both claims.
There is no doubt that a district court has the authority to order a defendant who states that he will use evidence from his own psychiatric examination in the penalty phase of a trial to undergo a psychiatric examination by a government-selected psychiatrist before the start of the penalty phase. See United States v. Webster,
As for Allen’s allegations of prosecutorial misconduct, after a careful review of the record we find neither a breach of the district court’s protective order nor any prejudice to Allen during the guilt phase had the prosecutor’s comments been a breach. The government requested that the entire prosecution team be allowed to review the results of the court-ordered psychiatrist’s interview with Allen before the end of the trial so that they could begin researching possible defenses Allen might raise. The Assistant United States Attorney (AUSA) designated to receive the results of the court-ordered psychiatrist’s interview with Allen made the following statement in open court, without the jury present, in response to Allen’s assertion that the results should continue to be excluded from the entire prosecution team because they might be used against him during the guilt phase of the trial:
There really isn’t anything in any of these reports that would prejudice the defendant if the prosecution team was made aware of them prior to the begin- ‘ ning of the penalty phase. In fact, Mr. Allen does not seem to discuss the offense or wasn’t even asked about the offense with either one of the physicians that were chosen by the defense and there was no discussion of it with the court-appointed psychiatrist beyond Mr. Allen’s maintaining that he wasn’t there, so there isn’t anything in these reports that could be exploited in the guilt phase of any type that I can see.
(Trial Tr., Vol. X at 2-3.)
Allen argues that the AUSA’s disclosure, in the presence of other members of the prosecution team, of Allen’s statement to the government psychiatrist that Allen was not present at the armed bank robbery is a' violation of the court’s protective order and a structural defect in the trial. We disagree. While the defense did express the view that the Chinese wall had been breached, it did not raise a formal objection at the time the comment was made, and the district court’s failure to take any action sua sponte in response to the comment or to the allegation that its order had been violated, makes clear that it did not consider it to be a violation of the order. We see no violation either because the defendant had denied being present at the armed robbery as early as July 25, 1997, in his Notice of Intent to Rely Upon Defense of Alibis, so the prosecution team was already on notice from Allen himself that Allen might argue an “I wasn’t there” defense. Thus, the AUSA’s disclosure had little, if any, impact on the prosecution’s presentation of evidence, and for that reason, even if the AUSA’s disclosure was a technical violation of the court’s protective order, Allen was certainly not prejudiced by the disclosure.
We also reject Allen’s assertion that the disclosure effectively precluded or “chilled” him from exercising his right to testify at trial because he was afraid that all of the examination results had been
d. Improper Prosecutorial Statements
Allen argues that government prosecutors made improper and prejudicial statements during the penalty phase which rendered the jury’s sentencing decision fundamentally unfair. Specifically, Allen points to three allegedly improper statements: (1) a direct reference to Allen as a “murderous dog” during closing arguments; (2) a statement saying “don’t let him down there dribbling basketballs on Richard Heflin’s grave” during closing arguments; and (3) a question to one of Allen’s witnesses about whether the blue color of his clothing signified his association with any gang. Allen argues that, given the fact that he is an African-American, each of these statements was' designed to appeal to racial fears and prejudices of jury members in order to secure a death sentence, and that it did have this improper effect.
Our standard of review is as follows:
We afford the district court broad discretion in controlling closing arguments, overturning the lower court only when it clearly abuses its discretion. We examine prosecutorial remarks to determine, first, whether the remarks were in fact improper, and if so, whether, in the context of the entire trial, the remarks prej-udicially affected [the defendant’s] substantial rights, so as to deprive' [him] of a fair trial.
United States v. Cannon,
We first address whether the prosecutor’s statements were in fact improper. Given the context surrounding the statements, we are convinced that neither the basketball comment nor the gang reference was improper. The basketball reference was made after several of Allen’s own mitigation witnesses, such as his middle school basketball coach and relatives, testified that Allen enjoyed playing basketball, and therefore later reference to it by the prosecution was not improper. (See, e.g., Trial Tr., Vol. XV at 130, 167.) The gang affiliation question came up during cross-examination of one of Allen’s witnesses in the context of determining, as alleged in one of the mitigating factors, whether Allen was a “follower.” The prosecutor’s questions were directed at discovering whether either Allen or the witness or both were ever involved in gang activity, and we find nothing wrong with the questions because they were relevant to
The characterization of Allen as a “murderous dog” presents a closer question. The comment was made in response to one of Allen’s proposed nonstatutory mitigating factors, which portrayed Allen as a “likeable, gentle, lighthearted person” who “was not considered aggressive or violent.”
How about the mitigator that you’re going to see on that verdict form that this defendant is a gentle, lighthearted, likable person? He’s “considered” those things, okay? That’s important. It says he’s considered kind, gentle, and lighthearted. He’s not considered violent or aggressive. Richard Heflin didn’t think this guy with the mask, armed for war, armed to kill, was kind, lighthearted, or gentle. He thought he was a murderous dog coming in there to kill people for money. That’s what Richard Heflin thought. And remember when you are back there deliberating, the last thing Richard Heflin ever saw was these two come in and start blazing at him, blow him down—and the terrible irony is he survived Vietnam, survived Vietnam, managed to five through having to fight people with guns just like that, and he’s killed at High Point in St. Louis City on St. Patrick’s day, that is a terrible irony.
(Trial Tr., Vol. XIX at 105-06.) Although we find no improper appeal to racial fears or prejudice in the above statement, we do find that the reference to Allen as being a “murderous dog” is inappropriate and improper. See Darden,
We will not, however, reverse a sentence on the basis of improper prose-cutorial statements unless those statements are prejudicial enough to deprive a defendant of his constitutional rights to a fair penalty phase hearing. At the outset, we reject Allen’s contention that in a capital case there is greater protection under the Fifth Amendment’s Due Process Clause
Although we find that the prosecutor’s reference to Allen as a “murderous dog” was improper, we have little difficulty in deciding that in this case Allen was not deprived of his constitutional light to a fair sentencing. First, the comment was made only once and did not manipulate or misstate the evidence. See Mack v. Caspari,
We also reject Allen’s argument that the murderous dog reference, in combination with telling the story through the eyes of the victim, makes the statement unduly prejudicial. No undue prejudice arises from reminding the jury to consider the murder victim’s perspective where the defendant has asserted a gentle spirit and accused the government of being unable to produce any witness to testify that the defendant was violent. For these reasons, we conclude that Allen’s penalty phase was not unfairly prejudiced by the prosecutor’s “murderous dog” reference, and therefore he was not denied his due process right to a fair sentencing. See Darden,
e. Victim Impact Evidence
Allen argues that the district court erred in overruling his motion to limit the quantity of victim impact evidence introduced by the government during the sentencing phase, and that this decision ultimately led to a violation of his Eighth Amendment rights because the government was allowed to present too much victim impact evidence. We normally review evidentiary decisions under an abuse of discretion standard. See United States v. Martin,
The parties will note that motions in limine are advisory only, that is orders in limine are advisory only. The parties will be required to make appropriate objections or offers of proof at the proper time during the trial to protect their respective positions.... The Court will consider victim impact [testimony] as it is presented. I have no way of knowing at this time precisely what it will be. Parties understand the statutory scheme which provides for the impact testimony and also the body of concept of cases dealing on that subject and neither — and the government should not go beyond the bounds of either the statute or the case law.
(Trial Tr„ Vol. XIV at 34-36.)
Due to Allen’s failure to raise any objections during the sentencing phase to the victim impact testimony, we review Allen’s claim for plain error. Thus, Allen
must therefore show that the error was plain, meaning clear or obvious; and [that] the error affected [his] substantial rights, which requires a showing that the error was prejudicial and affected the trial’s outcome. Even clear errors will only matter if a miscarriage of justice would otherwise result that might seriously affect the fairness, integrity or public reputation of the judicial proceedings.
United States v. Tulk,
First, it is clear from both the FDPA and Supreme Court precedent that the government is allowed to present and a jury is allowed to consider victim impact evidence in reaching its sentencing decision in a capital case. The FDPA provides for the submission of aggravating factors that may concern “the effect of the offense on the victim and the victim’s family, and may include oral testimony, a victim impact statement” identifying the victim and the loss suffered by the victim and the victim’s family, “and any other relevant information.” 18 U.S.C. § 3593(a)(2). Likewise, the Supreme Court has ruled that the Eighth Amendment “permits capital sentencing juries to consider evidence relating to the victim’s personal characteristics and the emotional impact of the murder on the victim’s family in deciding whether an eligible defendant should receive a death sentence.” Jones v. United States,
Second, there is little, if any, danger of undue prejudice due to victim impact evidence under the FDPA if a jury, as in this case, fails to even find the existence of the victim-impact aggravating factor. (See Trial Tr., Vol. XIX at 123, 132.) This is because the FDPA prohibits a jury from considering, in the final weighing of aggravating and mitigating circumstances, any aggravating factor which the jury did not find unanimously beyond a reasonable doubt. See 18 U.S.C. § 3593(d), (e). The instructions to the jury were clear on this point, and unless a jury disregards its instructions, which we do not and cannot presume, there can be no prejudice. See Francis v. Franklin,
Third, although the jury did not find the existence of the victim-impact aggravating factor, which is strong evidence of and in most cases will be sufficient to make a ruling of no undue prejudice, we will nevertheless consider the possibility that the evidence may have been so prejudicial as to violate the Due Process Clause. Our review of the record, however, convinces us that no such violation occurred. The government’s evidence of victim impact consisted of testimony from eleven witnesses, including Richard Heflin’s mother, one sister, one brother, two bank coworkers, one former coworker, his former wife (and mother of his three sons), each of his three sons, and his widow (who had married Heflin approximately seven months prior to his death). The testimony from these witnesses lasted less than a day and took up only eighty-eight pages of transcript. In comparison, the entire penalty phase transcript takes up over seventeen hundred pages, and the testimony from Allen’s penalty phase witnesses took up over nine hundred pages. Furthermore, Allen could have objected to any specific testimony that he thought was unduly prejudicial, and he could have raised an objection if he believed the amount of testimony had become unduly prejudicial. For tactical reasons, such objections could have been lodged at' a side bar conference outside of the jury’s hearing. No objections were raised, however, and on appeal Allen makes no allegations that any specific testimony was unduly prejudicial. Our own review of the record convinces us that neither the amount nor the scope and nature of the victim-impact testimony was unduly prejudicial.
For all of the above stated reasons, we find that the district court did not commit any error, much less plain error, in its decision to deny Allen’s motion in limine at the outset of the sentencing hearing and later to permit all of the government’s victim impact evidence to come into the record without objection.
f. Death Penalty Selection Instructions
Allen argues that the district court erred in failing to submit to the jury
Our review of the instructions given to the jury convinces us that the district court committed no error in fairly and adequately presenting the applicable law. The relevant portions of the district court’s instructions to the jury were as follows:
Again, whether or not the circumstances in this case justify a sentence of death is a decision that the law leaves entirely to you.... If you unanimously conclude that the aggravating factor or factors found to exist sufficiently outweigh all the mitigating factor or factors found to exist to justify a sentence of death ... you shall record your determination that death is justified in Section 6A of the special verdict form for each count of the indictment.
(Instr. No. 8, Trial Tr., Vol. XIX at 37-38.) The district court also instructed the jury that, “[a]t the end of your deliberations, if you determine that Billie Jerome Allen should be sentenced to death or to life imprisonment without possibility of release, the Court is required to impose that sentence.” (Instr. No. 9, id. at 39.)
We think these instructions accurately explain the jury’s role in sentencing under the FDPA, which reads as follows:
[T]he defendant ... shall be sentenced to death if, after consideration of the factors set forth in section 3592 [delineating possible aggravating and mitigating circumstances] in the course of a hearing held pursuant to section 3593, it is determined that imposition of a sentence of death is justified ....
18 U.S.C. § 3591(a)(2) (emphasis added). In § 3593, entitled “Special hearing to determine whether a sentence of death is justified,” the FDPA states the following:
[T]he jury ... shall consider whether all the aggravating factor or factors found to exist sufficiently outweigh all the mitigating factor or factors found to exist to justify a sentence of death .... Based upon this consideration, the jury by unanimous vote ... shall recommend whether the defendant should be sentenced to death, to life imprisonment without possibility of release or some other lesser sentence.
18 U.S.C. § 3593(e) (emphasis added). Based upon the plain language of the statute, once a jury makes a final, unanimous determination that a sentence of death is justified, then the FDPA requires its imposition. See 18 U.S.C. § 3594 (requiring that once a recommendation of death or life imprisonment is made, “the court shall sentence the defendant accordingly”).
Allen argues that the language in § 3593(e) requires a jury to make two decisions — first, whether a sentence of death is justified and second, whether a sentence of death should actually be imposed. Although § 3593(e) could lend itself to this interpretation when read in isolation, we reject this interpretation as inconsistent with the Act as a whole.
Thus, we read the requirement .in § 3593(e) that the jury recommend by unanimous vote the sentence to be imposed to be a procedural mechanism to record the jury’s findings, first on the question of whether a death sentence is justified, and if not, then on whether the sentence should be life in prison or some other sentence imposed by the court. We do not read § 3593(e) as requiring from the jury a second, substantive determination regarding a sentence of death once it decides that a sentence of death is indeed justified.
In another context, the Controlled Substances Act, Congress clearly has provided that the jury “regardless of its findings with respect to aggravating and mitigating factors, is never required to impose a death sentence.” 21 U.S.C. § 848(k) (requiring the jury to be instructed in this manner). This language would explicitly allow the jury to make the second, substantive determination that Allen seeks. No similar language exists in the FDPA, however, and we are not permitted to legislate this language into the Act ourselves, particularly in light of the contrary language explained above which already exists in the FDPA.
Under the FDPA, the jury exercises complete discretion in its determination of whether the aggravating factors outweigh the mitigating factors. The jury was informed that whether or not the circumstances justify a sentence of death was a decision left entirely to them. Mercy is not precluded from entering into the balance of whether the aggravating circumstances outweigh the mitigating circumstances. The FDPA merely precludes the jurors from arbitrarily disregarding its unanimous determination that a sentence of death is justified. See Johnson v. Texas,
There will be no ruling by the Court that mercy is a factor that cannot be considered. Certainly jury nullification cannot be argued nor any argument permitted beyond a statutory scheme. So there’s no doubt about it, the defense will not be precluded from arguing that the jury may be merciful in its deliberations.
(Trial Tr., Vol. XIX at 22-23.) For these reasons, we conclude that the instructions given in this case adequately state the law and that the district court did not abuse its discretion by rejecting Allen’s proposed mercy instruction.
Pursuant to 18 U.S.C. § 3595(c)(1), we have addressed all of the substantive and procedural issues raised by Billie Jerome Allen’s appeal from the sentence of death. We have also considered whether his sentence of death was imposed under the influence of passion, prejudice, or any other arbitrary factor and conclude that it was not so imposed. We further have carefully considered whether the evidence supports the jury’s special findings of the existence of the aggravating factors, both statutory and nonstatutory, which the jury found to exist, and we conclude that the evidence is more than sufficient to support the jury’s special findings.
B. Norris G. Holder
1. Jury Instructions'and Specific Intent
Holder argues that jury instructions No. 15 and No. 19 failed to require a finding by the jury that Holder had a specific intent, or mens rea, to kill, and therefore each of his convictions is invalid. We apply the same standard of review to Holder’s instructional error claims as we just applied to Allen’s death penalty selection instruction error claim. See Phelps,
We turn first to Holder’s conviction for bank robbery in which a killing occurs.
Holder’s reliance on this court’s decision in United States v. Delay,
Next, we turn to Holder’s conviction for using a firearm to cause another person’s death during a crime of violence.
First and foremost, the requirement of “malice aforethought” has been satisfied. We agree with the Tenth Circuit’s interpretation of § 1111(a) in a case such as this one that “[fjirst degree murder is defined as including any murder which is either premeditated or committed
Even assuming the felony murder rationale is inadequate by itself to support a conviction under § 924(j), we think the requirement in the instructions that the jury find beyond a reasonable doubt that Holder was aware of a serious risk of death attending the armed robbery is sufficient to uphold the conviction.
We have addressed the issue as follows:
Malice does not require proof of a subjective intent to kill. Malice may be established by evidence of conduct which is reckless and wanton, and a gross deviation from a reasonable standard of care, of such a nature that a jury is warranted in inferring that defendant was aware of a serious risk of death or serious bodily harm.
United States v. Black Elk,
Finally, assuming specific intent is required for a conviction under either § 2113(e) or § 924(j) or both, we find that any error in the district court's instructions was harmless. See Neder v. United States, 527 U.s. 1, 8-15,
Thus, even if, as Holder argues, the aiding and abetting instructions improperly failed to require a finding that Holder intended to aid and abet each element of the offense, including the fact that a killing took place, we find that the aiding and abetting instructions were adequate. See Nguyen,
To be convicted as an aider and abettor, the defendant must have knowingly and intentionally aided and abetted the principals in each essential element of the crime-To sustain a § 2113(d) conviction for an aider and abettor in this circuit, the government must show that the defendant aided and abetted the principal both in the act of bank robbery and in the principal’s use of a dangerous weapon or device during the act.
United States v. Dinkane,
2. Aggravating Factors
Holder challenges the district court’s interpretation of, and the constitutionality of, one statutory aggravating factor—“grave risk of death”—and three non-statutory aggravating factors—“conduct
As we have previously explained, there are two different inquiries in the capital decision-making process under the FDPA and the Eighth Amendment: the eligibility decision and the selection decision. See Tuilaepa,
We begin with Holder’s claim that the “grave risk of death” statutory aggravating factor
We also reject Holder’s claims that there is insufficient evidence to support a finding of this factor and that the jury impermissibly relied on an aiding and abetting principle based on Allen’s conduct rather than only Holder’s conduct to find the existence of this factor. Our review of the record convinces us that there is sufficient evidence, independent of Allen’s actions, for a rational juror to find Holder guilty beyond a reasonable doubt of creating a grave risk of death to one or more persons. Holder was primarily responsible for planning the robbery and was solely responsible for procuring the two semiautomatic rifles, bulletproof vest, and the hollow-point ammunition actually used during the robbery, not to mention the shotgun for use during the getaway. Even more importantly, the evidence, when viewed in the light most favorable to the government, supports a finding that Holder actually discharged the Russian SKS rifle five times inside the bank during the robbery with numerous bank employees and customers present. (See Trial Tr., Vol. V at 127-47.) Thus, we find sufficient evidence of Holder’s conduct to support the jury’s finding of this statutory aggravating factor.
We turn then to the first of Holder’s challenges to his nonstatutory aggravating factors.
As for the sufficiency of the evidence in support of this factor, our review of the record convinces us that the circumstances of the killing in this case were enough for a jury to find that the conduct of Holder (and his aider and abettor Allen) was substantially greater in degree than
Finally we turn to the two remaining nonstatutory aggravating factors — future dangerousness and other criminal acts— challenged by Holder. He asserts that each factor is independently at odds with the FDPA and the Constitution, and that there was insufficient evidence to support a finding of either factor. Holder also argues that, taken together, the factors are duplicative and therefore impermissi-bly skewed the jury’s decision to impose a death sentence.
We begin with the future dangerousness nonstatutory aggravating factor. First, there is little danger of duplication with the statutory aggravating factors because future dangerousness is nowhere mentioned in the list of sixteen statutory aggravating factors for homicide. See FDPA, 18 U.S.C. § 3592(c) (1994 and Supp. II 1996). Second, given the broad language of the FDPA as to the allowance of nonstatutory aggravating factors, there is no reason under the FDPA why future dangerousness cannot be presented to the jury. See id. § 3592(c) (“the jury ... may consider whether any other aggravating factor for which notice has been given exists”). Furthermore, we have little doubt that future dangerousness to society and to prison officials and other inmates during incarceration is relevant to the jury’s final determination of whether a death sentence should be imposed. See California v. Ramos,
Holder’s reliance on the Supreme Court’s decision in Simmons v. South Carolina is misplaced. See
We turn next to Holder’s challenges to the “other criminal acts” nonstatutory aggravating factor. Holder first contends that because six of the sixteen statutory aggravating factors listed in § 3592(c) of the FDPA are based on prior criminal acts, the FDPA precludes using prior criminal acts as a nonstatutory aggravating factor. We disagree. As noted previously, the FDPA specifically allows “any other aggravating factor for which notice has been given.” 18 U.S.C. § 3592(c). In addition, the use of criminal history in sentencing has long been an accepted practice, even in the death penalty context. See, e.g., Tuilaepa,
We disagree with Holder’s assertion that the Supreme Court’s decision in Johnson v. Mississippi,
Holder also argues that the other criminal acts factor improperly duplicates the future dangerousness factor. As a general legal proposition, there is strong support for Holder’s argument that aggravating factors that duplicate each other can impermissibly skew a jury in favor of
3. Jury Voir Dire
The Sixth Amendment right to a jury trial includes the right to trial by an impartial jury. See Pruett v. Norris,
On the day the district court began jury selection for Holder’s trial, the Allen jury reached a decision as to Allen’s sentence. During the lunch recess for Holder’s jury selection, the district court received the Allen jury’s sentencing decision. Audience members in the Allen courtroom reacted to the verdict with a loud, emotional outburst which included screams and crying. Several members of the Holder venire panel, some of whom were in the hallway outside the Allen courtroom and others of whom were in the nearby Holder courtroom, heard this emotional reaction. The district court was immediately informed of the exposure and took several • remedial actions, including general voir dire questions, a general instruction reminding jurors to avoid and disregard anything seen or heard outside the courtroom, and specific individual voir dire questioning about the emotional outbursts. Three jurors and two alternates were ultimately selected from this subpa-nel. Holder argues that the district court abused its discretion in failing to strike for
We find no abuse of discretion in the district court’s handling- of voir dire with respect to the emotional outburst from the Allen courtroom.
Whenever it appears during the course of a trial that the members of the jury-may have been exposed - to publicity which is adverse to the defendant, the trial judge must make an initial determination as to whether the publicity creates a danger of substantial prejudice to the accused. If the trial judge determines that it does, the jurors should then be polled individually to determine whether they have in fact been exposed to the prejudicial information. If any jurors have been so exposed, the trial judge must ascertain the extent and effect of the infection, and what measures, including the possible declaration of a mistrial, must be taken to protect the rights of the accused.
United States v. Dixon,
We are also convinced that the district court’s individual voir dire questioning and procedures were sufficient to uncover any prejudice from the incident. Every subpanel member who was seated as a juror in this case was specifically questioned about the incident out of the presence of the other members. Defense counsel agreed to the questions asked of the subpanel members and had the opportunity to ask follow-up questions, and the district judge excused every juror who knew that Allen had been given a sentence of death. Holder has also fallen short of proving sufficient prejudice or even a sufficient likelihood that the district court’s voir dire questioning and procedures were inadequate to discover possible prejudice. Furthermore, even if some of the jurors assumed, based on the emotional outburst, that the death penalty had been imposed on Allen, they are not necessarily automatically disqualified for cause as long as they can lay aside any impressions or opinions and render a verdict based on the evidence presented in court. See Murphy v. Florida,
Holder also argues that the district court abused its discretion in failing to strike for cause a subpanel of twenty jurors who were exposed to Juror 310’s comments regarding the inadequacy of life in prison as punishment. The following exchange occurred during voir dire:
Defense Counsel: Are there any of you who do not believe that a life imprisonment without the possibility of release sentence is punishment? You probably all heard people say, “Prison’s too good for him. It’s not punishment.” Anyone feel that way? Sending someone to prison for the rest of his life is not punishment? Yes, sir. 310?
Juror 310: 310. Having been in many of these institutions for work-
Defense Counsel: Clarify that.
Juror [310]: I talked to the guards. And the guards say, ["]You know, these guys got it made. They've got paid cable TV, and the wors[t] that they can do-["]
(Trial Tr„ Mar. 13, 1998, at 101-02.) Juror 310 was cut off at that point by the district judge and a sidebar conference was held. The district judge denied defense counsel’s motion that the entire sub-panel be discharged, and suggested that any further questions for Juror 310 on this issue be asked outside the presence of the other jurors. Defense counsel insisted that further questioning in front of the entire subpanel was necessary to minimize possible prejudice to the other jurors by discrediting the basis for Juz-or 310’s statement. The following exchange then occurred:
Defense Counsel: You told us, sir, that, as part of your employment ... sometimes you’re called to go into penitentiaries and assist inmates with their health concerns?
Juror 310: About three times a month and in several prisons and jails throughout the United States, yes.
Defense Counsel: And you said about three times a month?
Juror 310: Three times, yeah. I travel about two, three days a week; three times a month.
Defense Counsel: Okay. Let me just ask-
Juror 310: We provide health care to those inmates. Yes.
Defense Counsel: Have you been in every prison across the United States? Juror 310: No. Just probably about 100 or so.
Defense Counsel: Have you had an opportunity yourself to observe the conditions and day-to-day living in the cells and modules of the inmates?
Juror 310: Yes, I have.
Defense Counsel: And your conclusions on what you have heard has been from other g-uards that you’ve talked to at the prison?
Juror 310: Oh, no. There's things that I see. And I realize that somebody who is, let's say-
Court: Wait a minute. Let’s end it there. If you want to talk privately, we will [take] it up.
(Id. at 103-04.) Of the twenty potential jurors on the subpanel who heard these comments, eight ultimately sat on Holder’s jury. Juror 310 was later struck for cause and did not sit on the jury. Holder argues that all twenty of the potential jurors should have been dismissed for cause.
We find no abuse of discretion in the district court’s refusal to strike the entire subpanel of jurors after hearing the above comments by Juror 310. Initially, the district court properly cut short Juror 310’s
4. Autopsy Photographs
Holder challenges the admissibility of four graphic autopsy photographs. With respect to autopsy photographs under Federal Rule of Evidence 403,
[a] trial court has discretion to admit a relevant photograph unless it is so gruesome or inflammatory that its prejudicial impact substantially outweighs its probative value. A district court has broad discretion when ruling on the admissibility of evidence. We will not reverse the district court’s decision regarding the admissibility of evidence absent a clear abuse of discretion.
United States v. Hester,
As required by Rule 403, the district court weighed the probative value of the victim autopsy photographs against the possibility of unfair prejudice to Holder. The district court performed a separate Rule 403 analysis for each of the four challenged photographs as they were entered into evidence and found that the probative value of each photograph outweighed any danger of unfair prejudice. The district court specifically found that the photographs were needed to refresh the recollection of the medical examiner as he testified; that the one-dimensional diagram was not adequate to show the trajectory of the bullets, the exact location of entry and exit wounds, or the extent of the injuries; that not admitting the photographs would confuse the jury; and that the photographs were not a waste of time or a needless presentation of cumulative evidence.
Having examined the photographs, we agree with the district court that the autopsy photographs had substantial probative value because they showed the entry angles of the bullets, the locations of each wound, and the extent of the injuries caused by the hollow point bullets. The photographs were therefore an important aid to the witness and the jury in determining the relative positions of the victim and the shooters as each shot was fired, which was a key issue during the trial directly impacting on the culpability of each defendant. The photographs were also probative of intent — another aspect of each defendant’s culpability — by showing the extent of damage caused by the choice of using hollow point ammunition during the robbery. The probative value of these photographs is confirmed by the fact that the jury specifically requested the photographs during its sentencing deliberations. Moreover, the autopsy photographs, which depict each individual wound rather than
5. Restitution
Finally, Holder argues that the district court erred as a matter of law by holding that proceeds from his settlement from a past lawsuit could be garnished in order to satisfy the court’s judgment that restitution be paid to the family of Mr. Heflin, Lindell Bank & Trust, and other victims. Holder asserts that state law, not federal law, determines whether property can be attached, and that Missouri law is clear that the terms of a settlement contract determine whether that settlement can be attached by creditors. The government counters that this court is without jurisdiction to hear Holder’s challenges to the restitution order because Holder waived his right to appeal by fading to participate in the restitution phase of his sentencing, by fading to file a separate notice of appeal from the restitution order, and because the restitution order is an independent civd matter that is not part of the criminal proceedings against Holder. The government also argues that the district court’s decision was correct on the merits because although state law determines whether a property interest exists, federal law determines whether and how that property interest can be attached.
First, we agree with Holder that this court has jurisdiction to hear this challenge to the district court’s restitution order. The restitution order is a criminal monetary penalty which is part of the criminal proceeding against Holder, and thus is not a parallel civil action. See 18 U.S.C. §§ 3556, 3663, 3663A, and 3664 (Supp. II 1996). Second, the notice of appeal challenging Holder’s conviction and sentence did not divest the district court of jurisdiction to clarify its restitution order as additional information was discovered, and thus Holder need not file a separate appeal from the clarified restitution order. Third, the government does not cite any persuasive authority in support of its claim that Holder’s failure to participate in the restitution phase of his sentencing amounts to a waiver of his right to contest the legality of the court’s final restitution judgment. For these reasons, we have jurisdiction to address the merits of Holder’s challenge to the court’s restitution order.
In these circumstances, we think the legal principles are clear that state law determines whether a property interest exists in the first instance, but federal law determines whether and how that property may be attached. “Once it has been determined that state law creates sufficient interests in the taxpayer to satisfy the requirements of the federal tax lien provision, state law is inoperative to prevent the attachment of liens created by federal statutes in favor of the United States.” Drye v. United States,
Pursuant to 18 U.S.C. § 3595(c)(1), we have addressed all of the substantive and procedural issues raised by Norris G. Holder’s appeal from the sentences of death. We have also considered whether his sentences of death were imposed under the influence of passion, prejudice, or any other arbitrary factor and conclude that they were not so imposed. We further have carefully considered whether the evidence supports the jury’s special findings of the existence of the aggravating factors, both statutory and nonstatutory, which the jury found to exist, and we conclude that the evidence is more than sufficient to support the jury’s special findings.
III. Conclusion
For the foregoing reasons, Billie Jerome Allen’s conviction and life sentence for violating 18 U.S.C. § 2113(e) and his conviction and sentence of death for violating 18 U.S.C. § 924(j)(l) are hereby affirmed, and Norris G. Holder’s convictions and sentences of death for violating both 18 U.S.C. § 2113(e) and 18 U.S.C. § 924(j)(l), as well as the district court’s order requiring Holder to pay restitution to the victims, are also affirmed.
The judgments of the district court are affirmed.
Notes
. The Honorable E. Richard Webber, United States District Judge for the Eastern District of Missouri.
. In addition to sixteen explicit statutory aggravating factors for homicide, the FDPA also allows the presentation to the jury of nonstat-utory aggravating factors. See 18 U.S.C. § 3592(c) (Supp. II 1996) (“The juiy ... may consider whether any other aggravating factor for which notice has been given exists.”).
. See U.S. Const, art. I, § 9, cl. 3 ("No ... ex post facto Law shall be passed.”).
. Although the Supreme Court's recent decision in Apprendi v. New Jersey,
. See, e.g., 18 U.S.C. § 3595(c)(1) (“The court of appeals shall address all substantive and procedural issues raised on the appeal of a sentence of death, and shall consider whether the sentence of death was imposed under the influence of passion, prejudice, or any other arbitrary factor and whether the evidence supports the special finding of the existence of an aggravating factor required to be considered under section 3592.”); § 3593(f) (requiring each juror, if the death penalty is imposed, to sign a statement saying that consideration of “race, color, religious beliefs, national origin, or sex of the defendant or any victim was not involved in reaching his or her individual decision”).
. See U.S. Const., amend. V ("No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury .... ”).
. See U.S. Const., amend. V ("No person ... shall be compelled in any criminal case to be a witness against himself .... ”).
. See U.S. Const., amend. V ("nor shall any person be subject for the same offence to be twice put in jeopardy of life or limb”).
. The ' government argues that because Count I requires proof of a killing and Count II requires proof of murder pursuant to § 1111(a), each offense really does require proof of an additional fact that the other does not. We reject the argument, however, because proof of a murder under Count II necessarily requires proof of a killing as required by Count I.
. The procedure is described by all counsel in the record as erecting "a Chinese wall'' between the prosecution’s guilt phase trial team and the Assistant United States Attorney who was designated to receive the psychiatric reports.
. The mitigator submitted by Allen to the jury read as follows: "Despite growing up in a neighborhood that was surrounded by gang factions, and losing several close friends to gang violence, Billie Allen was known as a likeable, gentle, lighthearted person. The offenses for which he has been convicted are inconsistent with his prior behavior. He was not considered aggressive or violent.” (Allen's App. at 405.)
. See U.S. Const., amend. V ("No person shall ... be deprived of life, liberty, or property, without due process of law ....").
. We also note, and reject, Allen's assertion that the legislative history supports his interpretation of the statute. At most, the legislative history shows that language both express
. See 18 U.S.C. § 2113(e) (1994) ("Whoever, in committing any offense defined in this section [bank robbery by force or violence] or in avoiding or attempting to avoid apprehension ... kills any person ... shall ... be punished by death or life imprisonment.”).
. Instruction No. 15 required a showing that (1) the defendant took money from the bank, (2) by force and violence or intimidation, (3) that the money was federally insured, and (4) that "in committing this offense, the defendant, or a person aided and abetted by the defendant, killed Richard Heflin.” (Holder's App. at 63).
. See 18 U.S.C. § 924(j) (Supp. II 1996) (stating "[a] person who, in the course of a violation of subsection (c) [crime of violence], causes the death of a person through use of a firearm, shall (1) if the killing is a murder (as defined in section 1111), be punished by death or by imprisonment for any term of years or for life”).
.See Instruction No. 19, Holder's App. at 65 ("Four, the killing of Richard Heflin was murder in the perpetration of a robbery. Murder is the unlawful killing of a human being with malice aforethought .... Killing is done with 'malice aforethought' if it results from the perpetration of a bank robbery in which the defendant was aware of a serious risk of death attending his conduct.”).
. Instructions No. 16 and No. 20 provided as follows:
Defendant may also be found guilty of the crime of bank robbery in which a killing*785 occurs as charged in Count I even if he personally did not do every act constituting the offense charged, if he aided and abetted the commission of the hank robbery in which a killing occurred. In order to have aided and abetted the commission of this crime defendant must: (1) have known the bank robbery was being committed or going to be committed; and (2) have knowingly and intentionally acted in some way for the purpose of causing, encouraging, or aiding the commission of the bank robbery and in the course of such bank robbery, Richard Heflin was killed; and (3) have been aware of a serious risk of death attending his conduct.
In order to have aided and abetted the commission of this crime defendant must: (1) have known that the offense of using or carrying a firearm during and in relation to a bank robbery was being committed or going to be committed; and (2) have intentionally acted in some way for the purpose of causing, encouraging, or aiding the commission of using or carrying of a firearm during and in relation to a bank robbery and that Richard Heflin was murdered in the perpetration of that robbery; and (3) have been aware of a serious risk of death attending his conduct.
(Holder's App. at 64 and 66, respectively.)
. See 18 U.S.C. § 3592(c)(5) ("Grave Risk of Death To Additional Persons.—The defendant, in the commission of the offense, or in escaping apprehension for the violation of the offense, knowingly created a grave risk of death to 1 or more persons in addition to the victim of the offense.”).
. Holder challenges two of the nonstatutoiy aggravating circumstances as being over-broad. Because we have already established the existence of a valid statutory aggravator, making Holder eligible for the death penalty, the nonstatutoiy aggravators bear only on the individualized selection process. The non-statutoiy aggravating factors here clearly directed the jury to the individual circumstances of the case and they therefore do not offend the Constitution on the basis of being overbroad. See Jones,
Dissenting Opinion
dissenting.
I respectfully dissent.
A.
I believe Mr. Allen’s confession is inadmissible. The facts are undisputed. Mr. Allen was arrested at approximately 2:00 a.m. on a Tuesday and brought to a police interrogation room. At approximately 4:00 a.m., he requested the appointment of counsel. Questioning stopped, but no attempts were made at that point to secure counsel. Given the hour, I cannot say that this was unreasonable.
Mr. Allen was kept in the interrogation room handcuffed to a table for the remainder of the early morning. At approximately 8:00 a.m., the police asked Mr. Allen if, in light of his request for counsel, he was still willing to provide blood, hair, and saliva samples, as he had previously indicated he would, and he agreed. By 9:00 a.m., or certainly by 10:00 a.m., it should have been feasible to take the steps necessary to honor Mr. Allen’s request for counsel. This was not done.
Instead, at approximately 10:10 a.m., the police approached Mr. Allen again and asked him to participate in a lineup. The police reminded Mr. Allen of his previous
These facts can lead to only one conclusion: Mr. Allen’s request for counsel was not honored. As the Court explains, once an individual expresses a desire to deal with the police only through counsel, the police may not further interrogate the defendant “until counsel has been made available to him, unless the accused himself initiates further communication, exchanges, or conversation with the police.” Edwards v. Arizona,
Interrogation in this context includes “any words or actions ... (other than those normally attendant to arrest and custody) that the police should know are reasonably likely to elicit an incriminating response from the defendant.” Rhode Island v. Innis,
I agree with the proposition for which the Court cites United States v. Payne,
The situation in the present case is different. Mr. Allen’s request for counsel was ignored beyond the time of day when it was feasible to secure counsel for him. The police reinitiated contact with Mr. Allen several times before any attempt was made to honor his request for counsel. The request that he participate in a lineup and the statement that three out of four witnesses had identified him occurred after Mr. Allen had been chained to a table in the interrogation room for seven hours— and five hours after he asked for counsel. It seems apparent that the police were
The Court focuses its inquiry on whether the statement by the police to Mr. Allen that witnesses had identified him in the lineup constituted an “interrogation.” The Court makes no mention in its analysis of the request by the police that Mr. Allen participate in a lineup without the presence of counsel. As stated above, this request was initiated by the police hours after Mr. Allen had requested counsel. I believe it is clear that this request was impermissible under Edwards. Cf. Oregon v. Bradshaw,
The two cases from our Circuit relied upon by the Court, United States v. Williams,
In Holman, we also assumed that a police officer’s visit to the defendant’s cell without contacting the defendant’s attorney, to inform the defendant that his girlfriend had confessed, would be an improper custodial interrogation. The defendant’s confession obtained the next day, however, was held to be admissible because of the lapse in time from the impermissible interrogation to the confession. During this time, the defendant had a chance to speak to his stepfather who urged him to wait until his attorney could be contacted and to sleep on it.
Mr. Allen’s right to counsel was not “scrupulously honored.” His confession was tainted by unconstitutional conduct and was inadmissible. Although other evidence linked Mr. Allen to the crime, the admission of his confession was not harmless beyond a reasonable doubt. Accordingly, he is entitled to a new trial. I would reverse.
B.
I also dissent with regard to Mr. Holder’s convictions and sentences. I believe that the Court errs in its conclusion with regard to the jury instructions on Count I, charging a violation of 18 U.S.C. § 2113(e). This section provides, “[w]hoever, in committing [a bank robbery] ... kills a person ... shall ... be punished by death or life imprisonment.” Under the instructions in Mr. Holder’s case, the jury was permitted to find him guilty not just as a principal, but also as an aider and abettor. The Court holds that a conviction as an aider and abettor under this statute does not require a finding of specific intent to aid and abet the killing, but only of specific intent to aid and abet the robbery. Ante at 783.
This position is strengthened by Jones v. United States,
Because this is a death-penalty case, other, even more compelling, principles mandate that Mr. Holder’s sentences on both Counts I and II must be reversed. Before a defendant can be sentenced to death, the Eighth Amendment requires that he be guilty of a certain degree of culpable conduct. Fairchild v. Norris,
The jury instructions in Mr. Holder’s case fall short of this standard. The instructions on Count I did not require the finding of any mental state with regard to the killing. With regard to Count II, the jury was instructed that “[k]illing is done with ‘malice aforethought’ if it results from the perpetration of a bank robbery in which the defendant was aware of the serious risk of death attending his conduct.” “Aware of serious risk of death” is a less stringent standard than “reckless indifference to human life.” Being aware of a serious risk attending one’s conduct is gross negligence at best. We know that gross negligence does not rise to the level of reckless disregard or indifference in tort law. See Hunter v. Namanny
