California Supreme Court Declares Capital Punishment Unconstitutional
Press Release
February 18, 1972
Cite this item
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Brief Collection, LDF Court Filings. Barefoot v. Estelle Brief of Amicus Curiae NAACP Legal Defense & Educational Fund, 1983. f3d6167e-be9a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/06907439-ddc6-4bb8-aa0b-fea224ed7299/barefoot-v-estelle-brief-of-amicus-curiae-naacp-legal-defense-educational-fund. Accessed August 19, 2025.
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No. 82-6080
I n t h e
Ih tp n w (Emtrt of tlj* $mt£& ^tatro
O c t o b e r T e r m , 1982
T homas A. B arefoot,
Petitioner,
v.
W. J. E stelle;, J r,, Director,
Texas Department of Corrections,
Respondent.
ON W R IT O F CERTIO RA RI TO T H E U N IT E D STATES
COU RT OF A PPEA L S FO R T H E F IF T H C IR C U IT
BRIEF OF AMICUS CURIAE NAACP LEGAL DEFENSE
AND EDUCATIONAL FUND, INC.
J ack Greenberg
J ames M. N abr.it, III
J oel B erger*
J m ix C harles B oger.
D eborah P ins
J ames 8. L iebman
Suite 2030
10 Columbus Circle
New York, New York 10019
[212] 586-8397
A nthony G. A msterdam
New York University School
of Law
40 Washington Square South
New York, New York 10012
[212] 598-2638
Attorneys for the NAACP Legal Defense
and Educational Fund, Inc.
* Counsel of Record
QUESTIONS PRESENTED
(1) W h e t h e r t h e F i f t h C i r c u i t a p p l i e d an
i n a p p r o p r i a t e s t a n d a r d i n d e n y i n g a
s t a y o f e x e c u t i o n , n e c e s s i t a t i n g
r e v e r s a l by t h i s C o u r t .
(2) W h e t h e r t h i s C o u r t s h o u l d a d o p t a
s t a n d a r d w h i c h r e q u i r e s t h e g r a n t i n g
o f a s t a y i n a l l c a s e s i n w h i c h a
d e a t h - s e n t e n c e d p r i s o n e r ' s c o n s t i t u
t i o n a l c l a i m s u p o n a f i r s t f e d e r a l
h a b e a s c o r p u s a p p e a l a r e n o t l e g a l l y
f r i v o l o u s .
(3) W h e t h e r t h e i n t r o d u c t i o n o f t h e
" h y p o t h e t i c a l " t e s t i m o n y o f D o c t o r s
G r i g s o n and H o l b r o o k s e v e r e l y u n d e r
m i n e d t h e r e l i a b i l i t y o f t h e f a c t
f i n d i n g p r o c e s s a t p e t i t i o n e r ' s
p e n a l t y t r i a l , i n v i o l a t i o n o f h i s
r i g h t s u n d e r t h e E i g h t h and F o u r t e e n t h
Ame n dm e n t s .
l
TABLE OF CONTENTS
P a g e
QUESTIONS PRESENTED ........................................... i
TABLE OF AUTHORITIES ................ ...................... v
STATEMENT OF INTEREST OF AMICUS
CURIAE NAACP LEGAL DEFENSE
AND EDUCATIONAL FUND, INC. . . . . . 1
STATEMENT OF THE CASE ..................................... 3
I . P r o c e e d i n g s I n The S t a t e
C o u r t s ............................................................. 3
A. The T r i a l ........................................... 3
B. The A p p e a l ........................ .. 8
C. The S t a t e H a b e a s
C o r p u s P r o c e e d i n g ...................... 8
I I . P r o c e e d i n g s I n The F e d e r a l
C o u r t s ................................ ............................ 9
A. P r o c e e d i n g s I n The
D i s t r i c t C o u r t .............................. 9
B. P r o c e e d i n g s I n The
F i f t h C i r c u i t ................................ 12
SUMMARY OF ARGUMENT .................................... .. . 16
ARGUMENT ........................................................................ 19
I . B E C A U S E THE F I F T H C I R C U I T
A P P L I E D AN I N A P P R O P R I A T E
STANDARD IN DENYING A STAY
OF E X E C U T I O N , T H I S COURT
SHOULD REVERSE AND ADOPT A
STANDARD WHICH REQUIRES THE
G R A N T I N G OF A STAY I N ALL
CASES IN WHICH A DEATH-SEN
TENCED P R I S O N E R ' S CONSTITU
T I ONAL CLAIMS UPON A F I R S T
FEDERAL HABEAS CORPUS APPEAL
ARE NOT LEGALLY FRIVOLOUS ........... 19
ll
P a ge
A. T h e D e n i a l Of A S t a y
I n T h i s C a s e R e p r e
s e n t s A D e p a r t u r e From
T h e A p p r o a c h To S t a y
A p p l i c a t i o n s F o l l o w e d
I n P r i o r C a s e s By ^ h e
F i f t h C i r c u i t I t s e l f ,
By A l l O t h e r C i r c u i t s ,
And By T h i s C o u r t ................ 19
B. The F i f t h C i r c u i t ' s New
A p p r o a c h T o S t a y
A p p l i c a t i o n s P r e s e n t s A
D i s t i n c t R i s k T h a t
S o me D e a t h - S e n t e n c e d
P r i s o n e r s W h o s e
H a b e a s C o r p u s A p p e a l s
On T h e M e r i t s W o u l d
H a v e S u c c e e d e d W i l l
N o n e t h e l e s s Be E x e c u -
t e d , A n d P l a c e s
U n n e c e s s a r y B u r d e n s
U p o n T h e C o u r t s o f
A p p e a l s and Upon T h i s
C o u r t , E v e n T h o u g h
T h e S t a t e s S u f f e r No
I r r e p a r a b l e H a r m I n
A l l o w i n g S u c h A p p e a l s
T o B e H e a r d On T h e
M e r i t s ............................................. 26
C. The A p p r o p r i a t e S t a n d
a r d F o r The G r a n t i n g Of
A S t a y Of E x e c u t i o n I n
A D e a t h C a s e S h o u l d Be
A D e t e r m i n a t i o n T h a t
T h e D e a t h - S e n t e n c e d
P r i s o n e r ' s C l a i m s Are
No t L e g a l l y F r i v o l o u s . . . 42
i i i
P a g e
I I . THE I N T R O D U C T I O N OF THE
"HYPOTHETICAL" TESTIMONY OF
DOCTORS GRIGSON AND HOLBROOK
S E V E R E L Y UND ER MI N E D THE
RELIABILITY OF THE FACTFIND
ING PROCESS AT PETITIONER'S
PENALTY TRIAL, IN VIOLATION
OF H I S R I G H T S UNDER THE
EIGHTH AND FOURTEENTH AMEND-
MENTS ................................................................... 48
CONCLUSION ................................................................... 62
APPENDIX A ( T e s t i m o n y o f D o c t o r s
H o l b r o o k a n d G r i g s o n
a t t h e P e n a l t y P h a s e
o f P e t i t i o n e r ' s
T r i a l )
APPENDIX B ( P r i o r A p p e a r a n c e s o f
D o c t o r s J a m e s P .
G r i g s o n a n d J o h n T .
H o l b r o o k a s W i t n e s s e s
f o r t h e P r o s e c u t i o n i n
T e x a s C a p i t a l C a s e s )
APPENDIX C ( T e s t i m o n y o f t h e
E x p e r t W i t n e s s e s a t
t h e H e a r i n g i n t h e
D i s t r i c t C o u r t )
APPENDIX D ( C a p t i a l C a s e s Known
t o A m i c u s i n W h i c h
U n i t e d S t a t e s C o u r t s
o f A p p e a l s a n d U n i t e d
S t a t e s D i s t r i c t C o u r t s
H a v e G r a n t e d S t a y s o f
E x e c u t i o n )
APPENDIX E ( C a p i t a l C a s e D e c i
s i o n s b y t h e U n i t e d
S t a t e s C o u r t s o f
A p p e a l s : 1 9 7 6 - F e b .
1 983)
IV
TABLE OF AUTHORITIES
CASES PAGE
Adams v . T e x a s , 448 U . S . 38 ( 1 9 8 0 ) . . 2
A d d i n g t o n v . T e x a s , 441 U . S . 418
(1 979) 5 9 , 6 0
B a l d w i n v . B l a c k b u r n , 653 F . 2 d 942
( 5 t h C i r . 1 9 8 1 ) ................................................ 28
B a l d w i n v . M a g g i o , No. 8 2 - 3 3 1 8
( 5 t h C i r . May 1 982) ..................................... 28
B a r e f o o t v . S t a t e , 596 S . W . 2 d 875
( T e x . C r i m . App. 1 980) ............................. 6, 8
Ex P a r t e B a r e f o o t , No. 2 6 , 8 1 2 - A , O r
d e r o f O c t . 6 , 1981 ( 2 7 t h D i s t r i c t
C o u r t o f B e l l C o u n t y , T e x a s ) ................ 9
Beck v . A l a b a m a , 447 U . S . 625
( 1 980) .......................................................................... 4 7 , 5 2
B l a c k b u r n v . A l a b a m a , 361 U . S .
199 ( 1 960) ............................................................. 53
B r e w e r v . W i l l i a m s , 430 U . S . 387
(1 977) ........................... ............................................ 54
B r o o k s v . E s t e l l e , No. 8 2 - 1 6 1 3 ( 5 t h
C i r . Nov. 2 6 , 1 9 8 2 , r e h e a r i n g
d e n i e d , De c . 6 , 1 9 8 2 ) , s t a y and
c e r t , d e n i e d , U . S . , 51
U . S . L . W . 3469 ( D e c . 6 , 1982) ------ 2 1 , 3 2 , 3 4
Brown v . M i s s i s s i p p i , 297 U . S . 278
( 1 9 3 6 ) ....................................................................... 53
B u l l i n g t o n v . M i s s o u r i , 451 U . S .
430 (1 981) ............................................................... 4 4 , 5 7
v
CASES PAGE
B u r w e l l v . T e e t s , 350 U . S . 808
( 1 9 5 5 ) ........................................................................ 2 5 , 4 8
Co l e ma n v . B a l k c o m , 451 U . S . 949
( 1 98 1 ) ................................................ 42
D o b b e r t v . F l o r i d a , 432 U . S . 282
(1 977) ........................................ .. ............................. 45
D o b b e r t v . S t r i c k l a n d , 670 F . 2 d 938
(1 1 t h C i r . 1 982) .............................................. 21
D o y l e v . O h i o , 426 U . S . 610 ( 1 9 7 6 ) . . 55
E d d i n g s v . O k l a h o m a , 455 U . S . 104
(1 982) ................... .. .......................... .. ........... . . . 4 7 , 5 2
Enmund v . F l o r i d a , U . S . , 73
L . E d . 2d 1 140 ( 1 9 8 2 ) ...........777 ............. 2
E s t e l l e v . S m i t h , 451 U . S . 454 ( 1 9 8 1 )
( 1 9 8 1 ) ..................................................................... .. . p a s s i m
E v a n s v . B e n n e t t , 440 U . S . 1301 ( 1 9 7 9 )
( R e h n q u i s t , C i r c u i t J u s t i c e ) .............. 24
F o s t e r v . C a l i f o r n i a , 394 U . S . 440
( 1 9 6 9 ) ........................................................................ 55
F o u q u e t t e v . B e r n a r d , 198 F . 2 d 96
( 9 t h C i r . 1 952) ................ 33
F r y e v . U n i t e d S t a t e s , 293 F. 1013
( D . C . C i r . 1923) ............................................. 56
Fur man v . G e o r g i a , 408 U . S . 238
( 1 9 7 2 ) ....................................................................... 2
G a r d n e r v . F l o r i d a , 430 U . S . 349
( 1 9 7 7 ) ........................................................................ 3 6 , 4 4 , 4 7 , 5 2
G h o l s o n and R o s s v . E s t e l l e , C i v i l
A c t i o n No. W-78-CA-68 (W.D. T e x .
O c t . 3 1 , 1 9 7 9 ) , a f f ' d , 675 F . 2 d 734
( 5 t h C i r . 1 982) ................................................ 5 7 , 5 8
- v i -
CASES PAGE
G o d f r e y v . G e o r g i a , 446 U . S . 420
M 9 8 0 ) ...................................................................... 2 8 , 4 4
G o i n s v . A l l g o o d , 391 F . 2 d 692 ( 5 t h
C i r . 1968) ............................................................ 33
Goode v . W a i n w r i g h t , 670 F . 2d 941
( 1 1 t h C i r . 1982) ............................................. 2 2 , 2 3 , 4 3
G r e e n v . G e o r g i a , 442 U . S . 95
( 1 9 79 ) ................................................................. 52
Gr egg v . G e o r g i a , 428 U . S . 153
( 1 9 76 ) ...................................................................... 2 , 1 9 , 2 0 , 4 4 , 5 6
Gregg v . G e o r g i a , 429 U . S . 1301
(1976) ( P o w e l l , C i r c u i t J u s t i c e ) . . 24
Hance v . Z a n t , No. 8 2 - 8 3 4 2 ( 1 1 t h
C i r . J u n e 9 , 1982) ....................................... 2 2 , 4 3
J u r e k v . T e x a s , 428 U . S . 262 ( 1 9 7 6 ) . p a s s i m
Kaufman v . U n i t e d S t a t e s , 394 U . S .
217 ( 1 9 6 9 ) ............................................................ 54
L e n h a r d v . W o l f f , 443 U . S . 1306
(1 97 9 ) ( R e h n q u i s t , C i r c u i t
J u s t i c e ) ................................................................ 24
L i n k l e t t e r v . W a l k e r , 381 U . S . 618
( 1 96 9) .............................................................. 55
L o c k e t t v . O h i o , 438 U . S . 586
( 1 97 8) .................................................... .. 3 9 , 4 7 , 5 2
M a l l o y v . Hogan , 378 U . S . 1 ( 1 9 6 4 ) . . 53
Maxwel l v . B i s h o p , 385 U . S . 650
( 1 9 6 7 ) , s u b s e q u e n t h i s t o r y i n 398
U . S . 262 ( 1 9 7 0 ) ............................................... 2 5 , 4 8
- v i i -
CASES PAGE
O ' B r y a n v . E s t e l l e , 691 F . 2 d 706
( 5 t h C i r . 1 9 8 2 ) , m o t i o n t o v a c a t e
d e n i e d , ____ U . S . ___ _, No. A-396
( O c t . 2 9 , 1 982) ............................................... 38
P a l m e r v . P e y t o n , 359 F . 2 d 199
( 4 t h C i r . 1 966) ( e n b a n c ) ........................ 55
P e o p l e v . L e o n e , 25 N . Y . 2 d 511 ,
255 N. E . 2d 6 9 6 , 307 N . Y . S . 2 d
430 (1 969) ............................................................ 56
P e o p l e v . M u r t i s h a w , 175 C a l . R p t r .
7 3 8 , 631 P . 2d 446 (1 981) ........................ 57
P r o f f i t t v . W a i n w r i g h t , 685 F . 2 d 1227
( 1 1 t h C i r . 1 982) .......................................... .. 28
R u i z v . E s t e l l e , 666 F . 2 d 854 ( 5 t h
C i r . 1 982) .............................................................. 2 5 , 3 4
R u i z v . E s t e l l e , 650 F . 2 d 555 ( 5 t h
C i r . 1981) ............................................................ 25
S c h n e c k l o t h v . B u s t a m o n t e , 412 U . S .
218 ( 1973) ............................................................ 54
Shaw v . M a r t i n , 613 F . 2 d 467 ( 4 t h
C i r . 1 980) .............................................................. 2 2 , 2 3
S m i t h v . E s t e l l e , 445 F . S u p p . 647
(W.D. Te x . 1 9 7 7 ) , a f f ' d , 602 F . 2 d
694 ( 5 t h C i r . 1 9 7 9 ) , a f f ' d s u b .
nom. E s t e l l e v . S m i t h , 451 U . S .
454 (1 981) ............................................................ 49
S p e n k e l i n k v . W a i n w r i g h t , No.
79 - 8 21 1 ( 5 t h C i r . May 2 2 , 1979) . . . 20
S p e n k e l i n k v . W a i n w r i g h t , No.
7 9 - 8 2 1 5 ( 5 t h C i r . May 2 4 , 1 9 7 9 ) ,
s t a y d e n i e d , 442 U . S . 906 ( 1 97 9 ) . . 21
- v i i i -
CASES PAGE
S p i n k e l l i n k v . W a i n w r i g h t , 578 F 2d
582 ( 5 t h C i r . 1978 ) ........................28
S t e i n v . New Y o r k , 346 U . S . 156
H 9 5 2 ) .......................................................................... 54
S t o n e v . P o w e l l , 428 U . S . 465
<1 9 7 6 > .......................................................................... 54
S t o v a l l v . D enno , 388 U . S . 293
<1 9 6 7 > .......................................................................... 55
S t r o u d v . U n i t e d S t a t e s , 251 U . S . 15
H 9 1 9 ) ...................................................................... 44
U n i t e d S t a t e s ex r e l . D e V i t a v .
M c C o r k l e , 214 F . 2 d 823 ( 3 r d C i r .
1 9 5 4 ) ......................................................................... 33
U n i t e d S t a t e s ex r e l . G o i n s v.
S i g l e r , 250 F . 2 d 128 ( 5 t h C i r .
1957) ......................................................................... 3 3 , 3 4
U n i t e d S t a t e s v . R o d r i g u e z , 585 F . 2 d
1234 ( 5 t h C i r . 1 978) ........................................ 34
V a n d e r b i l t v . S t a t e , 629 S .W.2d 709
( T ex . C r i m . App. 1981) ................................. 50
W a t k i n s v . S o w d e r s , 449 U . S . 341
H 9 8 1 ) ...................................................................... 55
W hi t e v . E s t e l l e , ___ F . S u p p .
C i v i l A c t i o n No. H—8 1 —1661 ( sT d .
Tex . Dec . 3 0 , 1 982) ....................................... 5 0 , 6 1
W i l l i a m s v . B l a c k b u r n , 649 F . 2 d 1019
( 5 t h C i r . 1981) ............................................ 28
W i l l i a m s v . G e o r g i a , 349 U . S . 375
( 1955) ...................................................................... 25
IX
CASES PAGE
W i l l i a m s v- M ag g i o , 679 F . 2 d 381
( 5 t h C i r . 1 982) ( e n b a n c ) ............. .. 28
W i l l i a m s v . New Y o r k , 337 U . S . 241
( 1 949) ....................................... ............................... 44
W i t h e r s p o o n v . I l l i n o i s , 391 U . S .
51 0 ( 1 968) ............................. .............................. 2 , 4 5
Woodson v . N o r t h C a r o l i n a , 428 U . S .
280 (1 976 ) .......................... .............................. 4 7 , 5 2
STATUTES PAGE
Ga. Code Ann. § 2 7 - 2 5 3 4 . 1 ( b ) ( 7 ) ............. 44
T e x . Code C r i m . P r o . A r t . 3 7 . 0 7 1 . . . . 4 , 5
28 U . S . C . §2241 ................................................... 1 9 , 2 0 , 4 1
28 U . S . C . §2253 .................................................. 12
28 U . S . C . §2254 ...................... ........................... 41
R u l e s
F . R . A . P . R u l e 8 ( a ) ............................................. 12
F . R . A . P . R u l e 2 2 ( b ) ......................... 12
F i f t h C i r c u i t L o c a l R u l e 20 ..................... 46
R u l e s G o v e r n i n g S e c t i o n 2254 C a s e s
i n t h e U n i t e d S t a t e s D i s t r i c t
C o u r t s , R u l e 9 .................................................. 41
OTHER AUTHORITIES
D i x , The D e a t h P e n a l t y , " D a n g e r o u s
n e s s , " P s y c h i a t r i c T e s t i m o n y , and
P r o f e s s i o n a l E t h i c s , 5 Am. J .
C r i m . L. 151 (1 977) ..................................... 51
NAACP L e g a l D e f e n s e F u n d , D e a t h Row;
USA ( F e b . 2 0 , 1 983) ..................................... 35
x
NO. 8 2 - 6 0 8 0
IN THE
SUPREME COURT OF THE UNITED STATES
O c t o b e r Te rm, 1982
THOMAS A. BAREFOOT,
P e t i t i o n e r ,
v .
W. J . ESTELLE, J R . , D i r e c t o r ,
T e x a s D e p a r t m e n t o f C o r r e c t i o n s ,
R e s p o n d e n t .
ON WRIT OF CERTIORARI TO THE UNITED STATES
COURT OF APPEALS FOR THE FIFTH CIRCUIT
BRIEF OF AMICUS CURIAE NAACP LEGAL DEFENSE
AND EDUCATIONAL FUND, INC.
STATEMENT OF INTEREST OF AMICUS CURIAE
The NAACP L e g a l D e f e n s e and E d u c a t i o n a l
F u n d , I n c . , i s a n o n - p r o f i t c o r p o r a t i o n
e s t a b l i s h e d t o a s s i s t b l a c k c i t i z e n s i n
s e c u r i n g t h e i r c o n s t i t u t i o n a l r i g h t s . I n
1 9 6 7 , i t u n d e r t o o k t o r e p r e s e n t i n d i g e n t
d e a t h - s e n t e n c e d p r i s o n e r s f o r whom a d e q u a t e
r e p r e s e n t a t i o n c o u l d n o t o t h e r w i s e b e
f o u n d . I t h a s f r e q u e n t l y r e p r e s e n t e d s u c h
p r i s o n e r s b e f o r e t h i s C o u r t . E . g . , Furman
v . G e o r g i a , 408 U . S . 238 ( 1 9 7 2 ) ; E s t e l l e
v . S m i t h , 451 U . S . 454 ( 1 9 8 1 ) ; Enmund v .
F l o r i d a , ____ U . S . ____, 73 L . E d . 2 d 1 1 4 0
( 1 9 8 2 ) . The Fund h a s a l s o a p p e a r e d b e f o r e
t h i s C o u r t a s a m i c u s c u r i a e i n c a p i t a l
c a s e s . E ■g . , W i t h e r s p o o n v . I l l i n o i s , 391
U . S . 510 ( 1 9 6 8 ) ; Gr egg v . G e o r g i a , 428 U . S .
15 3 ( 1 9 7 6 ) ; Adams v . T e x a s , 448 U . S . 38
( 1 9 8 0 ) .
T h e L e g a l D e f e n s e F u n d c u r r e n t l y
r e p r e s e n t s a s u b s t a n t i a l number o f i n d i g e n t
condemned p r i s o n e r s i n t h e s t a t e s o f t h e
F i f t h C i r c u i t a n d e l s e w h e r e , i n c l u d i n g
s e v e r a l who a r e a t v a r i o u s s t a g e s o f
2 -
f e d e r a l h a b e a s c o r p u s p r o c e e d i n g s . I t
i s f r e q u e n t l y c a l l e d u p o n , and i t t r i e s t o
t h e e x t e n t o f i t s c a p a c i t i e s , t o p r o v i d e
c o n s u l t a t i v e a s s i s t a n c e t o a t t o r n e y s r e p
r e s e n t i n g o t h e r c a p i t a l d e f e n d a n t s i n t h e
F i f t h C i r c u i t a n d a c r o s s t h e n a t i o n .
T h e i s s u e s p r e s e n t e d by t h i s c a s e
a r e o f t h e u t m o s t c o n c e r n t o a l l d e a t h -
s e n t e n c e d p r i s o n e r s t h r o u g h o u t t h e c o u n t r y ,
i n c l u d i n g ma ny r e p r e s e n t e d b y t h e F u n d .
C o n s e n t h a s b e e n g r a n t e d by b o t h p e t i t i o n e r
a n d r e s p o n d e n t f o r t h e f i l i n g o f t h i s
a m i c u s c u r i a e b r i e f .
STATEMENT OF THE CASE
I . P r o c e e d i n g s I n The S t a t e C o u r t s
A. The T r i a l
On N o v e m b e r 1 7 , 1 9 7 8 , a f t e r a j u r y
t r i a l i n t h e 2 7 t h J u d i c i a l D i s t r i c t C o u r t
o f B e l l C o u n t y , T e x a s , p e t i t i o n e r Thomas A.
3
B a r e f o o t was c o n v i c t e d o f c a p i t a l m u r d e r
f o r t h e A u g u s t 7 , 1 9 7 8 h o m i c i d e o f C a r l
L e V i n , a H a r k e r H e i g h t s , T e x a s , p o l i c e
o f f i c e r .
On M o n d a y , N o v e m b e r 2 0 , 1 9 7 8 , a
p e n a l t y t r i a l c o m m e n c e d b e f o r e t h e s a m e
j u r y p u r s u a n t t o T e x . C o d e C r i m . P r o .
A r t . 3 7 . 0 7 1—/ / . A t t h i s p r o c e e d i n g i t
was e s t a b l i s h e d t h a t p e t i t i o n e r had t h e
f o l l o w i n g p r e v i o u s c r i m i n a l c o n v i c t i o n s :
( i ) p o s s e s s i o n o f m a r i j u a n a and u n l a w f u l l y
c a r r y i n g a w e a p o n ( N o v e m b e r 2 6 , 1 9 7 4 ,
F i f t e e n t h D i s t r i c t C o u r t o f L a f a y e t t e
P a r i s h , L o u i s i a n a ) ( s e n t e n c e : s i x mo n th s
i m p r i s o n m e n t ) ; ( i i ) p o s s e s s i o n o f a m p h e t a
m i n e s and d i s t r i b u t i o n o f m a r i j u a n a (Decem-
_1_/ In such a proceeding th e S ta te has th e burden o f
proving beyond a reaso n ab le doubt th a t th e answer
to each o f th e fo llow ing q u e s tio n s i s "yes":
(1 ) w hether th e conduct o f th e defendan t th a t
cau sed th e d e a th o f th e d e c e a se d was
c o m m i t t e d d e l i b e r a t e l y and w i t h t h e
1 /
[ f o o t n o t e — c o n t i n u e s on n e x t p a g e ]
- 4 -
b e r 2 , 1 9 7 4 , F i f t e e n t h D i s t r i c t C o u r t o f
L a f a y e t t e P a r i s h , L o u i s i a n a ) ( s e n t e n c e :
f i v e y e a r s i n p r i s o n , p r o b a t e d ; o n e y e a r
i n t h e p a r i s h j a i l ) ; and ( i i i ) p o s s e s s i o n
o f a n u n r e g i s t e r e d f i r e a r m ( a s a w e d - o f f
s h o t g u n ) ( O c t o b e r 2 4 , 1 9 7 5 , U n i t e d S t a t e s
D i s t r i c t C o u r t f o r t h e W e s t e r n D i s t r i c t
o f Ok lahoma) ( s e n t e n c e : o ne y e a r i m p r i s o n
m e n t ) . S e e SF 2 1 1 2 - 1 3 . At t h e g u i l t
s t a g e t h e p r o s e c u t i o n a l s o p r e s e n t e d e v i
d e n c e t h a t on J a n u a r y 9 , 1 9 7 8 , p e t i t i o n e r
J_/ continued
reaso n ab le ex p ec ta tio n th a t th e death o f
th e d e c e a se d o r a n o th e r would r e s u l t ;
(2 ) w hether th e re i s a p ro b a b il i ty th a t the
defendan t would commit c rim in a l a c ts o f
v io len ce th a t would c o n s t i tu te a con tinu
ing th r e a t to s o c ie ty ; and
( 3) i f r a i s e d by th e e v i d e n c e , w h e th er th e
conduct o f th e defendant in k i l l i n g the
deceased was unreasonable in response to
th e p ro v o ca tio n , i f any, by th e deceased .
A "yes" answer to a l l th re e q u e s tio n s r e s u l t s in a
mandatory sen tence o f d ea th .
2/ Numbers preceded by "SF" r e f e r to pages o f th e
Statem ent o f F ac ts o f p e t i t i o n e r 's t r i a l .
- 5 -
had e s c a p e d f r o m a j a i l i n V a l e n c i a C o u n t y ,
New M e x i c o , w h e r e h e w as b e i n g h e l d on
c h a r g e s o f s t a t u t o r y r a p e a n d u n l a w f u l
r e s t r a i n t o f a m i n o r c h i l d b y f o r c e o r
d e c e p t i o n w i t h i n t e n t t o commi t c r i m i n a l
s e x u a l p e n e t r a t i o n a g a i n s t t h e c h i l d ' s
w i l l . S e e SF 2 1 2 0 - 2 1 .
The p r o s e c u t i o n c a l l e d s e v e r a l r e p u t a
t i o n w i t n e s s e s a t t h e p e n a l t y t r i a l , f r om
s i t e s i n K a n s a s , L o u i s i a n a , O k l a h o m a , New
M e x i c o , a n d T e x a s . T h e y t e s t i f i e d t h a t
p e t i t i o n e r ' s r e p u t a t i o n f o r b e i n g a p e a c e
f u l a n d l a w a b i d i n g c i t i z e n was b a d i n
t h e i r r e s p e c t i v e c o m m u n i t i e s . S e e B a r e f o o t
v . S t a t e , 596 S . W. 2d 8 7 5 , 888 ( T e x . C r i m .
App. 1 9 8 0 ) .
3 / Hie in tro d u c tio n in to ev idence o f th e se ex
tran eo u s a lle g ed o f fe n s e s , never ad ju d ic a te d in th e
New Mexico c o u r ts , le d two judges o f th e Texas Court
o f C rim inal Appeals to v o te fo r r e v e r s a l o f p e t i
t i o n e r 's c o n v ic tio n and sen ten ce . They argued th a t
th e a l le g a t io n s had on ly a " s l ig h t p ro b a tiv e value"
w hich was " f a r o u tw e ig h ed by heav y p r e j u d i c e . "
B arefoo t v . S ta te , 596 S.W.2d 875, 889 (Tex. Crim.
App. 1980).
- 6 -
F i n a l l y , t h e p r o s e c u t i o n c a l l e d t w o
p s y c h i a t r i s t s a t t h e p e n a l t y p h a s e , D o c t o r s
J o h n T . H o l b r o o k a n d J a m e s P . G r i g s o n .
T h e i r t e s t i m o n y i s s u m m a r i z e d i n A p p e n d i x A
t o t h i s b r i e f . I t s u f f i c e s t o n o t e h e r e
t h a t b o t h d o c t o r s d i a g n o s e d p e t i t i o n e r ,
w i t h o u t h a v i n g e x a m i n e d h i m , a s a s e v e r e
s o c i o p a t h who woul d commi t f u t u r e v i o l e n t
a c t s w h e t h e r i n p r i s o n o r o u t , and t h a t Dr .
G r i g s o n d e s c r i b e d t h e l i k e l i h o o d o f p e t i
t i o n e r c o m m i t t i n g s u c h f u t u r e v i o l e n t a c t s
a s " o n e h u n d r e d p e r c e n t and a b s o l u t e . " SF
2 1 3 1 . - /
On N o v e m b e r 2 2 , 1 9 7 8 , t h e j u r y
a n s w e r e d " y e s " t o t h e s t a t u t o r y s p e c i a l
i s s u e s w h i c h d e t e r m i n e t h e s e n t e n c e i n
T e x a s c a p i t a l c a s e s , and Thom as B a r e f o o t
was s e n t e n c e d t o d i e .
4 / Both Dr. G rigson and Dr. Holbrook had t e s t i f i e d
fo r th e p ro se c u tio n in numerous o th e r Texas death
p e n a lty c a se s , re p e a te d ly p re d ic tin g fu tu re danger
ousness o f c a p i ta l d e fen d an ts . A summary o f t h e i r
known a p p e a ra n c e s i s s e t f o r t h i n A ppendix B to
t h i s b r i e f .
- 7 -
B . The A p p e a l
On p e t i t i o n e r ' s a p p e a l t o t h e T e x a s
C o u r t o f C r i m i n a l A p p e a l s , h i s c h a l l e n g e t o
t h e a d m i s s i b i l i t y o f t h e t e s t i m o n y o f
D o c t o r s G r i g s o n and H o l b r o o k was r e j e c t e d ,
B a r e f o o t v . S t a t e , 59 6 S . W . 2 d 8 7 5 , 8 8 7
( T e x . C r i m . App. 1 9 8 1 ) . On J u n e 2 9 , 1981 ,
t h i s C o u r t d e n i e d c e r t i o r a r i . 453 U . S . 913
( 1 9 8 1 ) ( J u s t i c e s B r e n n a n a n d M a r s h a l l
d i s s e n t i n g ) .
C. The S t a t e H a b e a s C o r p u s P r o c e e d i n g
On O c t o b e r 6 , 1 9 8 1 , t h e s t a t e j u d g e
t h a t p r e s i d e d o v e r p e t i t i o n e r ' s t r i a l
i s s u e d a s e v e n - p a g e o p i n i o n r e c o m m e n d i n g
t h e d e n i a l o f s t a t e h a b e a s c o r p u s r e l i e f
w i t h o u t an e v i d e n t i a r y h e a r i n g . Among t h e
c l a i m s s p e c i f i c a l l y r e j e c t e d on t h e m e r i t s
was an a t t a c k upon t h e h y p o t h e t i c a l t e s t i
mony o f D o c t o r s G r i g s o n and H o l b r o o k a s a
v i o l a t i o n o f p e t i t i o n e r ' s r i g h t s u n d e r t h e
E i g h t h and F o u r t e e n t h Amendmen t s :
8
The u s e o f p s y c h i a t r i c t e s t i m o n y
on t h e i s s u e o f d a n g e r o u s n e s s h a s
b e e n a p p r o v e d b y t h e S u p r e m e
C o u r t i n J u r e k v s . T e x a s , 428
U . S . 262 ( 1 9 7 6 ) and E s t e l l e v s .
S m i t h , _____ U . S . ____ ( 1 9 8 1 ) b y
n e c e s s a r y i m p l i c a t i o n . The f a c t
t h a t t h e p s y c h i a t r i s t s d i d n o t
p e r s o n a l l y e x a m i n e t h e P e t i t i o n e r
b u t r a t h e r t e s t i f i e d on t h e b a s i s
o f h y p o t h e t i c a l q u e s t i o n s g o e s t o
t h e w e i g h t and n o t t h e a d m i s s i
b i l i t y o f t h e e x p e r t o p i n i o n .
B a r e f o o t v s . S t a t e , 596 S.W. 2nd
875 ( T e x . C r . App. 1 9 8 0 ) .
Ex P a r t e B a r e f o o t , No. 2 6 , 8 1 2 - A , o r d e r o f
O c t . 6 , 1 9 8 1 , p . 6 ( 2 7 t h D i s t r i c t C o u r t o f
5 /B e l l C o u n t y , T e x a s ) . — The f o l l o w i n g d a y ,
t h e T e x a s C o u r t o f C r i m i n a l A p p e a l s s ummar
i l y d e n i e d s t a t e h a b e a s c o r p u s r e l i e f
w i t h o u t o p i n i o n .
I I . P r o c e e d i n g s I n t h e F e d e r a l C o u r t s
A. P r o c e e d i n g s I n t h e D i s t r i c t C o u r t
T h e i n s t a n t f e d e r a l h a b e a s c o r p u s
p r o c e e d i n g com m enced on O c t o b e r 1 4 , 1 9 8 1 ,
i n t h e U n i t e d S t a t e s D i s t r i c t C o u r t f o r
5 / This o rd e r appears in th e reco rd as E x h ib it B
to r e s p o n d e n t 's answ er to p e t i t i o n e r ' s f e d e r a l
habeas corpus p e t i t i o n , d i s t r i c t c o u rt docket reco rd
e n try 20.
- 9 -
t h e W e s t e r n D i s t r i c t o f T e x a s . An e v i d e n
t i a r y h e a r i n g was h e l d on J u l y 2 8 , 1 9 8 2 ,
b e f o r e Hon. L u c i u s D. B u n t o n .
A summary o f t h a t h e a r i n g a p p e a r s as
A p p e n d i x C t o t h i s b r i e f . F o r p r e s e n t
p u r p o s e s we n o t e o n l y t h a t t h e o p i n i o n s
b e l o w d o n o t a c c u r a t e l y d e s c r i b e t h e
t e s t i m o n y a d d u c e d . S p e c i f i c a l l y , p e t i
t i o n e r ' s two e x p e r t s r e p e a t e d l y d e c l i n e d
t o o f f e r a n y d i a g n o s i s o f p e t i t i o n e r ,
a n d b o t h s t a t e d t h a t no s u c h d i a g n o s i s
c o u l d b e m a d e t o a r e a s o n a b l e m e d i c a l
c e r t a i n t y w i t h o u t e x a m i n i n g t h e p a t i e n t .
Th ey a l s o t e s t i f i e d t h a t i t i s i m p o s s i b l e
f o r d o c t o r s t o p r e d i c t l o n g - t e r m f u t u r e
d a n g e r o u s n e s s a s a m a t t e r o f s c i e n t i f i c
e x p e r t i s e .
F o l l o w i n g t h e s u b m i s s i o n o f p r o p o s e d
f i n d i n g s o f f a c t and c o n c l u s i o n s o f l a w by
b o t h s i d e s , J u d g e B u n t o n e n t e r e d a 1 3 - p a g e
o p i n i o n d e n y i n g h a b e a s c o r p u s r e l i e f o n
10
N o v e m b e r 1 2 , 1 9 8 2 . W i t h r e s p e c t t o t h e
i s s u e c o n c e r n i n g p s y c h i a t r i c t e s t i m o n y ,
J u d g e B u n t o n f o u n d — t r a c k i n g t h e l a n g u a g e
o f t h e S t a t e ' s p o s t - h e a r i n g s u b m i s s i o n
v e r b a t i m —̂ — t h a t
[ B i a s e d upon t h e f a c t s s t a t e d i n
t h e h y p o t h e t i c a l q u e s t i o n p o s e d
by t h e p r o s e c u t o r a t t r i a l , a l l
m e d i c a l e x p e r t s a t t h e e v i d e n t
i a r y h e a r i n g a g r e e d w i t h [ t h e
G r i g s o n - H o l b r o o k ] . . . d i a g n o s i s .
D r . F r e d F a s o n , a p s y c h i a t r i s t
w h o t e s t i f i e d o n b e h a l f o f
P e t i t i o n e r , t e s t i f i e d t h a t h e was
90% s u r e t h a t P e t i t i o n e r was a
s e v e r e a n t i s o c i a l s o c i o p a t h who
w o u l d c o m m i t f u t u r e a c t s o f
v i o l e n c e d a n g e r o u s t o s o c i e t y .
D r . W e n d e l l D i c k e r s o n , a p s y c h o l
o g i s t , t e s t i f i e d t h a t h e w a s
a l m o s t 90% s u r e o f t h e s a m e
d e c i s i o n . D r . R i c h a r d K oons and
D r . P a r k e r t e s t i f i e d t h a t t h e y
w e r e e x t r e m e l y s u r e o f t h e sam e
c o n c l u s i o n .
S l i p o p . a t 1 1 . J u d g e B u n t o n f u r t h e r h e l d
t h a t t h i s C o u r t had " s p e c i f i c a l l y u p h e l d
t h e u s e o f p s y c h i a t r i c t e s t i m o n y o n t h e
i s s u e o f f u t u r e d a n g e r o u s n e s s a s a m a t t e r
6/ See R espondent's Proposed F indings o f F ac t and
C onclusions o f Law, d i s t r i c t c o u rt docket reco rd
e n try 40, p . 10.
11
t h a t may b e c o n s i d e r e d by t h e j u r y " i n
J u r e k v . T e x a s , 428 U . S . 262 ( 1 9 7 6 ) , and
E s t e l l e v . S m i t h , 451 U.S . , 454 ( 1 9 8 1 ) . I d .
a t 1 0 .
On D e c e m b e r 3 , 1 9 8 2 , t h e d i s t r i c t
c o u r t o r d e r e d t h a t a c e r t i f i c a t e o f p r o b a
b l e c a u s e be i s s u e d p u r s u a n t t o 28 U . S . C . §
2253 and F . R . A . P . R u l e 2 2 ( b ) . On De c e mb e r
1 3 , 1 9 8 2 , t h e c o u r t f o r m a l l y i s s u e d t h e
c e r t i f i c a t e a n d f u r t h e r c e r t i f i e d t h a t
p e t i t i o n e r was a p a u p e r and t h a t h i s a p p e a l
was b e i n g t a k e n i n good f a i t h . H o w e v e r , on
D e c e m b e r 4 , 1 9 8 2 , J u d g e B u n t o n g r a n t e d
r e s p o n d e n t ' s m o t i o n t o v a c a t e t h e s t a y o f
e x e c u t i o n e n t e r e d a t t h e commencement o f
t h e f e d e r a l h a b e a s c o r p u s p r o c e e d i n g
B . P r o c e e d i n g s I n The F i f t h C i r c u i t
F o l l o w i n g t h e d e n i a l o f f e d e r a l h a b e a s
7 / P e t i t i o n e r ’s counsel never s p e c i f i c a l ly asked
th e d i s t r i c t co u rt fo r a s ta y pending a p p ea l, as
re q u ire d by F.R .A .P. Rule 8( a ) , and the reco rd i s
th e re fo re s i l e n t as to how th e d i s t r i c t c o u rt would
have ru le d upon such a re q u e s t.
12 -
c o r p u s r e l i e f , t h e s t a t e t r i a l c o u r t s e t an
e x e c u t i o n d a t e f o r J a n u a r y 2 5 , 1 9 8 3 .
P e t i t i o n e r ' s a p p l i c a t i o n t o t h e F i f t h
C i r c u i t f o r a s t a y p e n d i n g a p p e a l was f i l e d
8 /o n F r i d a y , J a n u a r y 1 4 , 1 9 8 3 . — T h e
a p p l i c a t i o n s t r e s s s e d t h e E i g h t h Amendment
i s s u e r a i s e d by t h e h y p o t h e t i c a l p r e d i c
t i o n s o f f u t u r e d a n g e r o u s n e s s r e n d e r e d by
D o c t o r s G r i g s o n a n d H o l b r o o k ; i t c i t e d
d e c i s i o n s o f o t h e r c o u r t s s u p p o r t i n g
p e t i t i o n e r ' s c h a l l e n g e t o t h i s k i n d o f
e v i d e n c e ; and i t i n f o r m e d t h e c o u r t t h a t
t h e A m e r i c a n P s y c h i a t r i c A s s o c i a t i o n was
p r e p a r e d t o f i l e an a m i c u s c u r i a e b r i e f on
t h e q u e s t i o n i n p e t i t i o n e r ' s a p p e a l . ( See
S t a y A p p l i c a t i o n , E x h i b i t H, l e t t e r o f
J a n u a r y 1 4 , 1 9 8 3 , f r om t h e A s s o c i a t i o n ' s
8/ The chronology o f ev en ts between th e s e t t in g o f
th e e x e c u t io n d a t e and t h e f i l i n g o f t h e F i f t h
C irc u i t s ta y a p p lic a t io n i s summarized in th e F if th
C irc u it a p p lic a tio n a t pp. 1 -4 . That a p p lic a tio n
was subm itted to t h i s Court as p a r t o f p e t i t i o n e r 's
a p p lic a t io n fo r a s ta y h e re in .
13 -
c o u n s e l t o p e t i t i o n e r ' s c o u n s e l . )
At a p p r o x i m a t e l y 3 p . m . o n M o n d a y ,
J a n u a r y 1 7 , 1 9 8 3 , t h e c o u r t o f a p p e a l s
s c h e d u l e d o r a l a r g u m e n t o n t h e s t a y
a p p l i c a t i o n f o r W e d n e s d a y , J a n u a r y 19 a t
9 : 0 0 a . m . i n H o u s t o n , T e x a s , b e f o r e a p a n e l
o f J u d g e s J o h n R. Brown, Thom as M. R e a v l e y ,
and E. G r a d y J o l l y . On T u e s d a y , J a n u a r y
1 8 , t h e S t a t e ' s p a p e r s i n o p p o s i t i o n t o t h e
s t a y w e r e f i l e d .
On t h e m o r n i n g o f W e d n e s d a y , J a n u a r y
1 9 , J u d g e B r o w n w a s u n a v a i l a b l e d u e t o
i l l n e s s a n d w a s r e p l a c e d o n t h e p a n e l
by J u d g e C a r o l y n D. R a n d a l l . J u d g e R e a v l e y
a d v i s e d c o u n s e l f o r b o t h s i d e s i n o p e n
c o u r t t h a t J u d g e R a n d a l l h a d n o t y e t s e e n
a n y o f t h e p a p e r s f i l e d . O r a l a r g u m e n t
to o k p l a c e on J a n u a r y 19 b e t w e e n a p p r o x i
m a t e l y 9 : 3 0 a . m . and 1 1 : 0 0 a . m .
At o r a l a r g u m e n t , c o u n s e l f o r r e s p o n d
e n t s u b m i t t e d a c o p y o f t h e t r a n s c r i p t o f
t h e h a b e a s c o r p u s h e a r i n g c o n d u c t e d i n t h e
14
d i s t r i c t c o u r t , — a n d c o u n s e l f o r p e t i
t i o n e r s u b m i t t e d f o u r a d d i t i o n a l e x h i b i t s
i n s u p p o r t o f t h e a p p l i c a t i o n f o r a s t a y .
A f t e r o r a l a r g u m e n t , a t a p p r o x i m a t e l y
1 2 : 1 0 p . m . o n J a n u a r y 1 9 , t h e c o u r t was
p r o v i d e d w i t h a co p y o f t h e s t e n o g r a p h i c
r e c o r d o f p e t i t i o n e r ' s s t a t e c o u r t t r i a l
a n d s e n t e n c i n g h e a r i n g . T h a t r e c o r d i s
a p p r o x i m a t e l y 1400 p a g e s l o n g .
A t a b o u t 1 p . m . t h e f o l l o w i n g d a y ,
T h u r s d a y , J a n u a r y 2 0 , t h e F i f t h C i r c u i t
i s s u e d a 1 6 - p a g e o p i n i o n d e n y i n g a s t a y o f
e x e c u t i o n . On t h e q u e s t i o n o f t h e a d m i s s i
b i l i t y o f t h e p s y c h i a t r i c t e s t i m o n y , t h e
c o u r t f o u n d t h a t
A l l o f t h e e x p e r t s h a v e t e s t i f i e d
t h a t t h e c o n d u c t o f t h e p e t i -
9 / The s te n o g ra p h e r 's c e r t i f i c a t i o n in d ic a te s th a t
t h i s 258-page t r a n s c r ip t was n o t com pleted u n t i l
January 14, 1983. I t had no t been made a v a ila b le to
p e t i t i o n e r 's counsel p r io r to o ra l argument on th e
s ta y a p p lic a t io n . A re p re s e n ta t iv e o f p e t i t i o n e r 's
counsel in A u stin , Texas o b ta in ed a copy from th e
Texas A tto rney G e n e ra l 's o f f ic e on th e a fte rn o o n o f
January 20, a f t e r th e c o u rt o f appeals had denied
th e s ta y .
15 -
t i o n e r , t o w h i c h t h e a s s u m e d
f a c t s a d h e r e d i n t h e h y p o t h e t i c a l
q u e s t i o n p u t t o t h e p s y c h i a t r i s t s
a t t h e o r i g i n a l t r i a l , w as t h e
c o n d u c t o f a s e v e r e s o c i o p a t h .
The y d i s a g r e e d o v e r t h e d e g r e e o f
c e r t a i n t y w i t h w h i c h f u t u r e c o n
d u c t c o u l d be p r e d i c t e d , b u t t h i s
o n l y s ho ws a d i f f e r e n c e o f o p i n
i o n among p r o f e s s i o n a l s - - no
r a r i t y t o t h e c o u r t s o r t o c i t i
z e n s who s e r v e a s j u r o r s .
S l i p o p . a t 7. The c o u r t b e l i e v e d t h a t t h e
a d m i s s i b i l i t y o f s u c h h y p o t h e t i c a l t e s t i
m o n y h a d " b y i m p l i c a t i o n " b e e n u p h e l d
i n J u r e k v . T e x a s , s u p r a , and E s t e l l e v .
S m i t h , s u p r a ( i d . a t 9 ) , c o m m e n t i n g t h a t
i f t e s t i m o n y by a m e n t a l h e a l t h
p r o f e s s i o n a l , t r a i n e d t o d e t e c t
m e n t a l i l l n e s s a n d p e r s o n a l i t y
t y p e s , i s i n h e r e n t l y u n r e l i a b l e
on t h e i s s u e o f f u t u r e d a n g e r o u s
n e s s , t h e n w o u l d n o t t e s t i m o n y
and a d e c i s i o n by u n t u t o r e d l a y
p e r s o n s on t h i s i s s u e b e e v e n
m ore u n r e l i a b l e ?
I d . a t 1 0 .
SUMMARY OF ARGUMENT
I . The F i f t h C i r c u i t ' s d e n i a l o f a s t a y
o f e x e c u t i o n p e n d i n g a p p e a l i n t h i s c a s e
was c o m p l e t e l y o u t o f l i n e w i t h t h e a p p r o a c h
16
t o s t a y a p p l i c a t i o n s f o l l o w e d i n p r i o r
c a s e s by t h e F i f t h C i r c u i t i t s e l f , by a l l
o t h e r C i r c u i t s , a n d b y t h i s C o u r t . The
a p p r o a c h t a k e n i n t h i s c a s e w o u l d , i f
a p p r o v e d by t h i s C o u r t , t h r u s t u n n e c e s s a r y
and i n o r d i n a t e b u r d e n s upon t h e c o u r t s o f
a p p e a l s and t h i s C o u r t e v e r y s i n g l e t i m e an
e x e c u t i o n d a t e i s s e t f o l l o w i n g t h e d e n i a l
o f f e d e r a l h a b e a s c o r p u s r e l i e f b y a
d i s t r i c t c o u r t i n a c a p i t a l c a s e . W orse
y e t , i t w ou l d v i r t u a l l y g u a r a n t e e t h a t some
m i s t a k e s w i l l b e m a d e i n t h e f r e n z i e d
e l e v e n t h - h o u r p r o c e e d i n g s w h i c h i n e v i t a b l y
a c c o m p a n y s t a y a p p l i c a t i o n s , w i t h t h e
r e s u l t t h a t some d e a t h - s e n t e n c e d p r i s o n e r s
w h o s e h a b e a s c o r p u s a p p e a l s w o u l d h a v e
s u c c e e d e d w i l l n o n e t h e l e s s b e e x e c u t e d
w i t h o u t an a p p e a l . The S t a t e s s u f f e r no
i r r e p a r a b l e ha rm i n a l l o w i n g a d e a t h - s e n
t e n c e d p r i s o n e r ' s f i r s t f e d e r a l h a b e a s
c o r p u s a p p e a l t o be h e a r d on t h e m e r i t s ;
y e t t h e h a r m t o t h e p r i s o n e r i s b o t h
- 17 -
i r r e p a r a b l e and o f t h e g r e a t e s t m a g n i t u d e .
A s t a y p e n d i n g a p p e a l s h o u l d b e g r a n t e d
u n l e s s t h e c ondemned p r i s o n e r ' s c o n s t i t u
t i o n a l c l a i m s a r e l e g a l l y f r i v o l o u s .
I I . The p r o s e c u t i o n ' s u s e o f t h e " h y p o
t h e t i c a l " t e s t i m o n y o f D o c t o r s G r i g s o n and
H o l b r o o k a t t h e p e n a l t y p h a s e o f p e t i t i o n e r ' s
c a p i t a l t r i a l s e v e r e l y u n d e r m i n e d t h e r e l i a
b i l i t y o f t h a t p r o c e e d i n g . T h i s t e s t i m o n y
h a d no s c i e n t i f i c b a s i s w h a t s o e v e r , y e t t h e
p r o s e c u t i o n w a s a l l o w e d t o p a r a d e i t i n
f r o n t o f a l a y j u r y a s a l e g i t i m a t e e x p e r t
o p i n i o n a d d r e s s i n g t h e v e r y s t a t u t o r y
q u e s t i o n w h i c h t h e j u r y w as r e q u i r e d t o
a n s w e r i n d e c i d i n g w h e t h e r p e t i t i o n e r wou l d
l i v e o r d i e . No p r i o r d e c i s i o n o f t h i s
C o u r t s u p p o r t s t h e u s e o f s u c h t e s t i m o n y .
To t h e c o n t r a r y , t h e C o u r t ' s r e p e a t e d
e m p h a s i s i n r e c e n t y e a r s on t h e n e e d f o r
r e l i a b i l i t y i n d e a t h - s e n t e n c i n g d e t e r m i n a
t i o n s r e q u i r e s t h a t s u c h t e s t i m o n y n o t be
18
p e r m i t t e d i n t o e v i d e n c e .
ARGUMENT
I
BECAUSE THE FIFTH CIRCUI T APPLIED
AN INAPPROPRIATE STANDARD IN DENYING A
STAY OF EXECUTION, THIS COURT SHOULD
REVERSE AND ADOPT A STANDARD WHICH
REQUIRES THE GRANTING OF A STAY IN ALL
CASES IN WHICH A DEATH- SENTENCED
PRISONER'S CONSTITUTIONAL CLAIMS UPON
A FIRST FEDERAL HABEAS CORPUS APPEAL
ARE NOT LEGALLY FRIVOLOUS
A. T h e D e n i a l Of A S t a y I n T h i s C a s e
R e p r e s e n t s A D e p a r t u r e From The A p p r o a c h To
S t a y A p p l i c a t i o n s F o l l o w e d I n P r i o r C a s e s
By The F i f t h C i r c u i t I t s e l f , By A l l O t h e r
C i r c u i t s , And By T h i s C o u r t _____________________
F o l l o w i n g t h i s C o u r t ' s d e c i s i o n s i n
G regg v . G e o r g i a , 428 U . S . 153 ( 1 9 7 6 ) , and
c o m p a n i o n c a s e s , i n d i v i d u a l s s e n t e n c e d t o
d e a t h u n d e r t h e s o r t s o f c a p i t a l p u n i s h m e n t
s t a t u t e s u p h e l d t h e r e i n b e g a n t o e n t e r t h e
f e d e r a l d i s t r i c t c o u r t s s e e k i n g r e d r e s s o f
a s s e r t e d c o n s t i t u t i o n a l d e f e c t s i n t h e i r
c o n v i c t i o n s a n d s e n t e n c e s , a s i s t h e i r
r i g h t u n d e r t h e f e d e r a l h a b e a s c o r p u s
j u r i s d i c t i o n c o n f e r r e d b y 28 U . S . C .
19
§ 2 2 4 1 e t . s e q . I n e v i t a b l y , t h e s e c a s e s
m a d e t h e i r way t o t h e f e d e r a l c o u r t s o f
a p p e a l s . By o u r c o u n t , t h e c o u r t s o f
a p p e a l s h a v e d e c i d e d 41 p o s t - G r e gg c a p i t a l
h a b e a s c o r p u s c a s e s t o d a t e , and a p p r o x i
m a t e l y 60 more a r e now p e n d i n g .
I n s o m e o f t h e s e c a s e s , s t a y s o f
e x e c u t i o n p e n d i n g a p p e a l w e r e g r a n t e d by
t h e d i s t r i c t c o u r t s ; i n a g r e a t many c a s e s ,
s t a y s w e r e g r a n t e d b y t h e c o u r t s o f
a p p e a l s .
P r i o r t o t h i s c a s e , t h e F i f t h C i r c u i t
h ad g r a n t e d s u c h s t a y s i n a t l e a s t e l e v e n
10 /c a s e s — ' and d e n i e d s t a y s i n o n l y two i n
s t a n c e s : a s u c c e s s i v e h a b e a s c o r p u s
p r o c e e d i n g i n S p e n k e l i n k v . W a i n w r i g h t , No.
7 9 - 8 2 1 1 (May 2 2 , 1 9 7 9 ) , — ^ a n d t h e c a s e
10/ See Appendix D to t h i s b r i e f .
11/ S p e n k e lin k 's subsequent s ta y a p p lic a t io n to
t h i s C o u rt was d e n ie d by J u s t i c e s R e h n q u is t and
S tev en s, g ran ted by J u s t ic e M arsh a ll, and denied by
th e f u l l C ourt. 442 U.S. 901, 1301, 1308 (1979).
[fo o tn o te 11/ co n tin u es on nex t page]
- 20 -
o f B r o o k s v . E s t e l l e , No. 8 2 - 1 6 1 3 (Nov. 2 6 ,
1982 , r e h e a r i n g d e n i e d , De c . 6 , 1 9 8 2 ) , s t a y
and c e r t , d e n i e d , ____ U . S . ____, 51 U . S . L . W.
3469 ( De c . 6 , 1 9 8 2 ) . E v e r y o t h e r c o u r t o f
a p p e a l s f a c e d w i t h a s t a y a p p l i c a t i o n s i n c e
1 2/1 976 h a s g r a n t e d t h e s t a y . — M ost o f t h e
o r d e r s g r a n t i n g s t a y s c o n t a i n no d e t a i l e d
d i s c u s s i o n o f t h e a p p r o p r i a t e s t a n d a r d t o
be a p p l i e d , d e c i d i n g s i m p l y t h a t — i n v i e w
o f t h e i r r e p a r a b i l i t y o f t h e ha rm f a c i n g
t h e a p p e l l a n t i f a s t a y w e r e n o t g r a n t e d —
t h e a p p r o p r i a t e n e s s o f a s t a y was o b v i o u s .
As t h e E l e v e n t h C i r c u i t o b s e r v e d i n D o b b e r t
v . S t r i c k l a n d , 670 F . 2 d 9 3 8 , 940 ( 1 1 t h C i r .
1 9 8 2 ) :
U n l e s s t h e e x e c u t i o n o f s e n t e n c e
i s s t a y e d i n t h i s c a s e , t h e i s s u e s on
11/ continued
See a ls o Spenkelink v . W ainw right, No. 79-8215 (5 th
C i r . May 24, 1979) (v a c a t in g s t a y g ra n te d by a
C i r c u i t Jud g e on o r i g i n a l h a b ea s c o r p u s ) , s t a y
d e n ie d , 442 U.S. 906 (1979).
12/ See Appendix D to t h i s b r i e f .
- 21
a p p e a l w o u l d b e c o m e m o o t , a n d t h e
d e f e n d a n t wo u l d n e v e r h a v e h i s d a y i n
t h i s c o u r t on C o n s t i t u t i o n a l i s s u e s .
B e c a u s e t h e b r i e f p e r i o d o f t i m e b e
t w e e n t h e f i l i n g o f t h i s a p p e a l a n d
t h e s c h e d u l e d e x e c u t i o n i s i n s u f f i c i
e n t t o c o n s i d e r p r o p e r l y t h e m e r i t s o f
t h e i s s u e s r a i s e d , t h i s C o u r t m u s t
s t a y t h e e x e c u t i o n o f t h e d e a t h
s e n t e n c e . Where t h e m e r i t s c a n n o t b e
s a t i s f a c t o r i l y c o n s i d e r e d p r i o r t o
e x e c u t i o n o f a s c h e d u l e d d e a t h s e n
t e n c e , a s i n t h i s i n s t a n c e , a s t a y
s h o u l d be g r a n t e d .
Where t h e s t a n d a r d h a s b e e n d i s c u s s e d ,
t h e i n q u i r y m o s t o f t e n h a s b e g u n and e n d e d
w i t h t h e o b s e r v a t i o n t h a t t h e a p p e l l a n t ' s
c l a i m s c o u l d n o t be deemed f r i v o l o u s . S e e ,
e . g . , Hance v . Z a n t , No. 8 2 - 8 3 4 2 ( 1 1 t h C i r .
J u n e 9 , 1 9 8 2 ) ( n o t " p a t e n t l y f r i v o l o u s " ) ;
G o o d e v . W a i n w r i g h t , 6 7 0 F . 2 d 9 4 1 , 942
( 1 1 t h C i r . 1 9 8 2 ) ( " n o t f r i v o l o u s ; " " n o n -
f r i v o l o u s i s s u e s t h a t a r e n o t f o r e c l o s e d by
t h e s t a t e c o u r t p r o c e s s e s " ) . As t h e F o u r t h
C i r c u i t n o t e d i n Shaw v . M a r t i n , 613 F . 2 d
4 8 7 , 4 9 2 ( 4 t h C i r . 1 9 8 0 ) ( P h i l l i p s , J . ) :
[ I ] t may be a p p r o p r i a t e t o r e q u i r e
a f a c i a l s h o w i n g o f s u b s t a n c e t o j u s t
i f y a s t a y [ c i t a t i o n o m i t t e d ] . B u t
. . . t h e i n q u i r y i n t o s u b s t a n c e p r o p -
22
e r l y s t o p s w i t h i d e n t i f i c a t i o n o f t h e
n a t u r e o f t h e i s s u e , and w i t h c o n s i d
e r a t i o n a s t o w h e t h e r i t h a s b e e n
a l r e a d y f a i r l y l i t i g a t e d on t h e m e r i t s
u n d e r p r o c e d u r e s d e s i g n e d f o r t h e
p u r p o s e . I n t h e v e r y n a t u r e o f
p r o c e e d i n g s o n a m o t i o n f o r a s t a y
o f e x e c u t i o n , t h e l i m i t e d r e c o r d
c o u p l e d w i t h t h e t i m e c o n s t r a i n t s
i m p o s e d by i m m i n e n c e o f e x e c u t i o n
p r e c l u d e any f i n e - t u n e d i n q u i r y i n t o
t h e a c t u a l m e r i t s .
The p r i n c i p l e u n d e r l y i n g t h i s a p p r o a c h
was p e r h a p s b e s t s u m m a r i z e d by C h i e f J u d g e
G o d b o l d o f t h e E l e v e n t h C i r c u i t i n Goode v .
W a i n w r i g h t , s u p r a , 670 F . 2 d a t 941 ( e m p h a
s i s i n o r i g i n a l ) :
U n d e r t h e l a w s o f o u r c o u n t r y
p e t i t i o n e r i s g i v e n t h e r i g h t t o
s e e k r e v i e w i n t h e f e d e r a l c o u r t s o f
c l a i m s b a s e d upon o u r n a t i o n a l C o n s t i
t u t i o n a n d a r i s i n g f r o m h i s S t a t e
c o u r t c o n v i c t i o n . I f h e i s d e n i e d
r e l i e f i n t h e f e d e r a l d i s t r i c t c o u r t
t h e n t h e l a w g i v e s h i m t h e r i g h t t o
a p p e a l .
T h e r e a r e s h a r p l y d i f f e r i n g v i e w s
o v e r w h e t h e r o u r l a w o u g h t t o p r o v i d e
t h a t o n e c o n v i c t e d o f c r i m e i n S t a t e
c o u r t may o b t a i n a s e c o n d " c o l l a t e r a l "
r e v i e w i n f e d e r a l c o u r t s o f c o n s t i t u
t i o n a l i s s u e s a r i s i n g f r o m h i s c o n v i c
t i o n . B u t t h e l a w o f o u r c o u n t r y d o e s
p r o v i d e f o r i t , a n d f e d e r a l c o u r t
j u d g e s t a k e an o a t h t o c a r r y o u t t h a t
law.
23
T h i s c o n s i s t e n t a p p r o a c h o f a l l c o u r t s
o f a p p e a l s ( i n c l u d i n g , u n t i l r e c e n t l y , t h e
F i f t h C i r c u i t ) t o s t a y a p p l i c a t i o n s i n
d e a t h c a s e s a d h e r e s t o t h i s C o u r t ' s r e i t e r
a t e d c o n c e r n t h a t c o nd emn e d p r i s o n e r s n o t
b e p u t t o d e a t h w i t h o u t f u l l c o n s i d e r a t i o n
o f t h e c o n s t i t u t i o n a l i t y o f t h e p r o c e e d i n g s
w h i c h h a v e b r o u g h t t h e m t o t h e b r i n k o f
e x e c u t i o n . S e e , e . g . , L e n h a r d v . W o l f f ,
443 U . S . 1 3 06 ( 1 9 7 9 ) ( R e h n q u i s t , C i r c u i t
J u s t i c e ) ; Ev a ns v . B e n n e t t , 440 U . S . 1301 ,
1306 ( 1 9 7 9 ) ( R e h n q u i s t , C i r c u i t J u s t i c e )
( n o t i n g t h e " o b v i o u s l y i r r e v e r s i b l e n a t u r e
o f t h e d e a t h p e n a l t y " ) ; G re gg v . G e o r g i a ,
4 2 9 U . S . 1 30 1 ( 1 9 7 6 ) ( P o w e l l , C i r c u i t
J u s t i c e ) ( " I f t h e e x e c u t i o n s i n t h e s e c a s e s
w e r e c a r r i e d o u t b e f o r e t h e p e t i t i o n f o r
r e h e a r i n g c o u l d be a c t e d on by t h e C o u r t ,
t h e h a rm t o p e t i t i o n e r s o b v i o u s l y wo ul d be
i r r e p a r a b l e . I n a d d i t i o n , t h e c a s e s wou l d
t h e n be m o o t . Nor i s t h e r e a ny r e a s o n t o
b e l i e v e t h a t t h e g r a n t i n g o f a s t a y . . .
24
w i l l p r e j u d i c e t h e i n t e r e s t s o f t h e r e s p o n d
e n t s t a t e s " ) ; Max we l l v . B i s h o p , 385 U . S .
650 ( 1 9 6 7 ) , s u b s e q u e n t h i s t o r y i n 398 U . S .
262 ( 1 9 7 0 ) ; B u r w e l l v . T e e t s , 350 U . S . 808
( 1 9 5 5 ) ; c f . W i l l i a m s v . G e o r g i a , 349 U . S .
3 7 5 , 390 -91 ( 1 9 5 5 ) .
N o n e t h e l e s s , t h e F i f t h C i r c u i t h a s
h e l d i n t h i s c a s e t h a t i t w i l l t r e a t s t a y
a p p l i c a t i o n s i n d e a t h c a s e s no d i f f e r e n t l y
t h a n s t a y a p p l i c a t i o n s i n c i v i l l i t i g a t i o n .
R e l y i n g upon two s t a y o p i n i o n s i n a p r i s
o n e r s ' r i g h t s c l a s s a c t i o n w h i c h h a s
d r a g g e d on f o r more t h a n d e c a d e and w h i c h
o b v i o u s l y wou l d n o t h a v e become moot r e
g a r d l e s s o f t h e d i s p o s i t i o n o f t h e s t a y
1 3 /a p p l i c a t i o n s , — t h e c o u r t o f a p p e a l s
b e l o w r e q u i r e d p e t i t i o n e r B a r e f o o t t o
e s t a b l i s h a " l i k e l i h o o d o f s u c c e s s on t h e
m e r i t s " a n d " a s u b s t a n t i a l c a s e on t h e
m e r i t s o f . . . [a] s e r i o u s l e g a l q u e s t i o n . "
13/ Ruiz v. E s t e l l e , 666 F.2d 854, 857 (5th C i r .
1982) ; Ruiz v . E s t e l l e , 650 F .2d 555 ( 5 t h C i r .
1981).
25
S l i p o p . a t 3. We h a v e d e m o n s t r a t e d a b o v e
t h a t t h i s n o v e l a p p r o a c h t o s t a y a p p l i c a -
t i o n s i n d e a t h c a s e s i s e n t i r e l y o
1 i n e w i t h t h e a p p r o a c h o f a l l o t h e r
c u i t s a n d o f t h i s C o u r t . We s h a l l
e x a m i n e w h e t h e r i t h a s a n y p l a c e i n a
c i v i l i z e d and s e n s i b l y a d m i n i s t e r e d s y s t e m
o f j u s t i c e .
B . T h e F i f t h C i r c u i t ' s New A p p r o a c h
To S t a y A p p l i c a t i o n s P r e s e n t s A D i s t i n c t
R i s k T h a t Some D e a t h - S e n t e n c e d P r i s o n e r s
Whose H a b e a s C o r p u s A p p e a l s On The M e r i t s
Would Have S u c c e e d e d W i l l N o n e t h e l e s s Be
E x e c u t e d , And P l a c e s U n n e c e s s a r y B u r d e n s
Upon The C o u r t s o f A p p e a l s and Upon T h i s
C o u r t , E v e n T h o u g h T h e S t a t e s S u f f e r No
I r r e p a r a b l e Harm I n A l l o w i n g Such A p p e a l s
To Be H e a r d On T h e M e r i t s
I n c o n s i d e r i n g w h e t h e r t h e r e i s a n y
j u s t i f i c a t i o n f o r t h e F i f t h C i r c u i t ' s
a p p r o a c h i n t h i s c a s e t o t h e p r o c e s s i n g o f
s t a y a p p l i c a t i o n s , i t i s i n s t r u c t i v e t o
e x a m i n e f r o m p a s t e x p e r i e n c e h o w m a n y
c a p i t a l f e d e r a l h a b e a s c o r p u s a p p e a l s a r e
l i k e l y t o be m e r i t o r i o u s . S i n c e 1976 t h e
f e d e r a l c o u r t s o f a p p e a l s n a t i o n a l l y
26 -
h a v e d e c i d e d 41 c a p i t a l c a s e s o n t h e
m e r i t s . ——^ A c c o r d i n g t o o u r r e c o r d s ,
30 ( 73 . 2%) o f t h e s e h a v e b e e n d e c i d e d i n
f a v o r o f t h e d e a t h - s e n t e n c e d i n d i v i d u a l .
I n t h e F i f t h C i r c u i t , 27 c a p i t a l c a s e s h a v e
b e e n de<s i d e d on t h e m e r i t s d u r i n g t h i s
p e r i o d . Of t h e 2 7 , 21 ( 7 7 . 7 %) h a v e b e e n
d e c i d e d i n f a v o r o f t h e d e a t h - s e n t e n c e d
i n d i v i d u a l . Even l o o k i n g s o l e l y a t c a s e s
i n w h i c h t h e d e a t h - s e n t e n c e d h a b e a s c o r p u s
p e t i t i o n e r was t h e a p p e l l a n t , t h e r a t i o o f
r u l i n g s i n t h e p e t i t i o n e r ' s f a v o r h a s b e e n
e x t r e m e l y h i g h : o f 21 s u c h c a p i t a l a p p e a l s
d e c i d e d by t h e F i f t h C i r c u i t s i n c e 1 9 76 , 15
( 7 1 . 4 % ) w e r e d e c i d e d f a v o r a b l y t o t h e
d e a t h - s e n t e n c e d i n d i v i d u a l ( a l t h o u g h o ne
w a s l a t e r r e v e r s e d b y t h i s C o u r t a n d
a n o t h e r i s p r e s e n t l y p e n d i n g on a g r a n t o f
1 5 /c e r t i o r a r i ) . — A d d i t i o n a l l y , t h e c a s e s
14/ A l i s t o f t h e 41 c a s e s a p p e a r s a s Appendix
E t o t h i s b r i e f .
15/ See Appendix E, c a s e s numbered 2 - 4 , 6- 8 ,
11-13, 16, 18, 20 and 24-26.
- 27 -
i n w h i c h a p e t i t i o n e r - a p p e l l a n t was d e n i e d
r e l i e f w e r e d i f f i c u l t c a s e s . One h a s b e e n
s u b s e q u e n t l y q u e s t i o n e d b y t h e E l e v e n t h
C i r c u i t i n t h e l i g h t o f a m o r e r e c e n t
1 6 /d e c i s i o n o f t h i s C o u r t ; — ' i n a n o t h e r ,
t h e p e t i t i o n e r w a s g r a n t e d a s t a y a n d
p l e n a r y r e v i e w o n a s u c c e s s i v e f e d e r a l
h a b e a s p r o c e e d i n g r a i s i n g s i g n i f i c a n t
i s s u e s m i s h a n d l e d b y p r i o r h a b e a s c o u n -
1 7 /s e l ; — ' a n d a t h i r d , i n i t i a l l y a f f i r m e d
by a p a n e l o n l y two d a y s a f t e r o r a l a r g u
m e n t , b e c a m e t h e s u b j e c t o f a n e n b a n c
p r o c e e d i n g i n w h i c h t h e F i f t h C i r c u i t
18/d i v i d e d by a 6 - 5 v o t e . — '
16/ See P r o f f i t t v . W a i n w r i g h t , 685 F .2d 1227,
1261-62 n . 52 (11th Ci r . 1982), ho ld in g th a t S p in k e l-
l in k v . W ainw right, 578 F.2d 582 (5 th C ir . 1978),
was o v e rru led in p a r t by Godfrey v . G eorg ia , 446
U.S. 420 (1980).
17/ Baldwin v . Maggio, No. 82-3318 (5 th C i r . , s ta y
g ran ted May 24, 1982; argued August 19, 1982); f o r
p r io r p roceed ings see Baldwin v . B lackburn, 653 F.2d
942 (5 th C ir . 1981).
18/ W illiam s v . Maggio, 679 F.2d 381 (5 th C ir . 1982)
(en b an c), rev iew ing th e panel d e c is io n in W illiam s
v . B lackburn, 649 F.2d 1019 (5 th C ir . 1981).
- 28 -
T h i s r e c o r d r a i s e s s e r i o u s d o u b t
w h e t h e r t h e r e i s any j u s t i f i c a t i o n a t a l l
f o r t h e F i f t h C i r c u i t t o be s c r u t i n i z i n g
t h e m e r i t s o f c o n s t i t u t i o n a l i s s u e s p r e
s e n t e d i n h a s t e and u n d e r p r e s s u r e on s t a y
a p p l i c a t i o n s , a s was d o n e i n p e t i t i o n e r ' s
c a s e , p r i o r t o b r i e f i n g , o r a l a r g u m e n t , and
d e l i b e r a t e c o n s i d e r a t i o n o f t h e w h o l e
a p p e a l . An e x t r a o r d i n a r y p r o p o r t i o n o f
c a p i t a l f e d e r a l h a b e a s c o r p u s a p p e a l s do
h a v e m e r i t , e v e n t h o u g h t h e y p r e s e n t c l a i m s
t h a t h a v e b e e n u n s u c c e s s f u l i n t h e s t a t e
c o u r t s , on c e r t i o r a r i , and i n t h e f e d e r a l
d i s t r i c t c o u r t s p r i o r t o r e a c h i n g t h e c o u r t
o f a p p e a l s . A c c o r d i n g l y , t h e s o r t o f
r u s h e d p r o c e d u r e w h i c h t o o k p l a c e i n
t h e p r e s e n t c a s e , a p p a r e n t l y d e s i g n e d t o
w eed o u t an o c c a s i o n a l m e r i t l e s s a p p e a l ,
s e e m s l a r g e l y u n n e c e s s a r y a n d e n t i r e l y
c o u n t e r - p r o d u c t i v e . T h i s i s p a r t i c u l a r l y
so s i n c e t h e S t a t e s s u f f e r no i r r e p a r a b l e
h a r m i f a n o c c a s i o n a l m e r i t l e s s a p p e a l
29
l a s t s f o u r o r s i x m o n t h s i n s t e a d o f b e i n g
c u t s h o r t on a s t a y a p p l i c a t i o n a f t e r f o u r
o r s i x w e e k s . On t h e o t h e r h a n d , t h e ha rm
t o t h e a p p e l l a n t who i s e x e c u t e d i s
o b v i o u s l y b o t h o f e n o r m o u s m a g n i t u d e and
i r r e p a r a b l e , e s p e c i a l l y i f h e o r s h e
h a p p e n s t o be o n e o f t h e l a r g e p r o p o r t i o n
— 71.4% t o d a t e i n t h e F i f t h C i r c u i t —
who p r e v a i l w he n a c c o r d e d t h e m e a s u r e d
a n d d e l i b e r a t e r e f l e c t i o n w h i c h a f u l l
a p p e a l on t h e m e r i t s p r o v i d e s .
Some may d o u b t w h e t h e r a n y d e a t h - s e n
t e n c e d p e r s o n w i t h a p o t e n t i a l l y m e r i t o r i
o u s c a s e c o u l d f a i l t o p e r s u a d e any p a n e l
o f f e d e r a l a p p e l l a t e j u d g e s t o g r a n t a
s t a y u n d e r t h e " s u b s t a n t i a l c a s e " s t a n d a r d
e m p l o y e d by t h e c o u r t o f a p p e a l s b e l o w .
We b e l i e v e , h o w e v e r , t h a t t h e r i s k i s v e r y
g r e a t , c o n s i d e r i n g t h e r u s h e d n a t u r e o f t h e
p r o c e e d i n g s i n w h i c h s t a y a p p l i c a t i o n s a r e
d e t e r m i n e d . As t h e n umber o f c a p i t a l c a s e s
t o r e a c h t h e f e d e r a l a p p e l l a t e l e v e l h a s
30
g r o w n , t h e a b i l i t y o f e x p e r i e n c e d o r g a n i z a
t i o n s s u c h a s t h e NAACP L e g a l D e f e n s e Fund
t o m o n i t o r s u c h c a s e s e f f e c t i v e l y h a s
d i m i n i s h e d r a p i d l y . T o d a y , a d i s t u r b i n g l y
l a r g e n umb er o f d e a t h row p r i s o n e r s a r e n o t
r e p r e s e n t e d o n f e d e r a l h a b e a s c o r p u s b y
a t t o r n e y s w i t h s p e c i a l i z e d c o m p e t e n c e i n
c a p i t a l l i t i g a t i o n . I n d e e d , many a r e now
r e p r e s e n t e d by c r i m i n a l l a w p r a c t i t i o n e r s
w i t h m i n i m a l p a s t e x p o s u r e t o c o n s t i t u
t i o n a l l a w , a p p e l l a t e p r a c t i c e a n d t h e
f e d e r a l c o u r t s . T h e s e a t t o r n e y s a r e o f t e n
s o l o p r a c t i t i o n e r s w i t h l i m i t e d r e s o u r c e s
and f a c i l i t i e s . They a r e s i m p l y i n c a p a b l e
o f t u r n i n g o u t e x t e n s i v e s t a y a p p l i c a t i o n s
on c o m p l e x c o n s t i t u t i o n a l i s s u e s o v e r n i g h t .
F r e q u e n t l y t h e y do n o t e v e n h a v e t h e x e r o x
f a c i l i t i e s n e e d e d t o r e p r o d u c e t h e e x t e n
s i v e d o c u m e n t a t i o n o f p r i o r p r o c e e d i n g s
w h i c h i d e a l l y s h o u l d a c c o m p a n y s t a y a p p l i
c a t i o n s . I n t h e n e a r f u t u r e , t h i s s i t u a
t i o n i s b o un d t o w o r s e n . D e m o n s t r a t i n g t h e
31
p o t e n t i a l m e r i t o f a p o t e n t i a l l y m e r i t o r
i o u s a p p e a l i s no s i m p l e m a t t e r f o r an
i n e x p e r i e n c e d l o n e p r a c t i t i o n e r , t r y i n g
t o m e e t t h e o b l i g a t i o n s o f a p a y i n g p r a c
t i c e w h i l e d e v o t i n g s u c h v o l u n t e e r t i m e a s
c a n be m u s t e r e d , w i t h l i m i t e d f a c i l i t i e s
and s u p p o r t s t a f f , t o t h e f r a n t i c p r e p a r a
t i o n o f s t a y p a p e r s i n an e f f o r t t o s a v e
t h e c l i e n t ' s l i f e .
T h e r u s h e d n a t u r e o f p r o c e e d i n g s o n
s t a y a p p l i c a t i o n s c a n c a u s e e v e n m o r e
e x p e r i e n c e d p r a c t i t i o n e r s t o o v e r l o o k
f a c t u a l o r l e g a l a u t h o r i t y w h i c h m i g h t s a v e
t h e l i f e o f a d e a t h - s e n t e n c e d p r i s o n e r .
F o r e x a m p l e i n Br o o k s v . E s t e l l e , N o .
8 2 - 1 6 1 3 ( 5 t h C i r '. No. 2 6 , 1 9 82 , r e c o n s i d -
e r a t i o n d e n i e d , D e c . 6 , 1 9 8 2 ) , c o u n s e l
o v e r l o o k e d a n i m p o r ' t a n t F i f t h C i r c u i t
p r e c e d e n t i n s u p p o r t o f o n e o f t h e p e t i
t i o n e r ' s p r i n c i p a l a r g u m e n t s on h i s m o t i o n
f o r a s t a y i n t h e c o u r t o f a p p e a l s — t h e
c l a i m t h a t t h e g r a n t i n g o f a c e r t i f i c a t e o f
- 32
p r o b a b l e c a u s e b y t h e d i s t r i c t c o u r t
r e q u i r e d t h e F i f t h C i r c u i t t o h e a r h i s
a p p e a l on t h e m e r i t s r a t h e r t h a n r e n d e r i n g
i t m oot by d e n y i n g a s t a y . R e l i a n c e was
p l a c e d p r i m a r i l y u p o n a d e c i s i o n o f t h e
N i n t h C i r c u i t , F o u q u e t t e v . B e r n a r d , 198
F . 2d 9 6 , 98 ( 9 t h C i r . 1 9 5 2 ) ( D e n m a n ,
C . J . ) , w h i c h o f c o u r s e was n o t b i n d i n g upon
t h e F i f t h , h o l d i n g t h a t " [ o ] b v i o u s l y , i f
t h e r e i s p r o b a b l e c a u s e f o r t h e a p p e a l i t
wou l d be a m o c k e ry o f f e d e r a l j u s t i c e t o
e x e c u t e . . . [ t h e p e t i t i o n e r ] p e n d i n g i t s
c o n s i d e r a t i o n . " B u t s u b s e q u e n t t o Mr .
B r o o k s ' e x e c u t i o n , a m i c u s h a s d i s c o v e r e d a
F i f t h C i r c u i t c a s e w h i c h c i t e d F o u q u e t t e
w i t h a p p r o v a l f o r t h e s a m e p r o p o s i t i o n .
U n i t e d S t a t e s ex r e l . G o i n s v . S i g l e r , 250
F . 2d 1 28 , 1 29 ( 5 t h C i r . 1 9 5 7 ) . — / S i n c e
19/ Goins c i t e s th e d e c is io n o f y e t an o th er C irc u i t
which has embraced F o u quette . United S ta te s ex r e l .
DeVita v . McCorkle, 214 F.2d 823 (3rd C ir . 1954).
For a f u l l h is to r y o f th e Goins c a se , document
in g a 13 y e a r s t r u g g le w hich c u lm in a te d in th e
g r a n t in g o f h a b ea s c o rp u s r e l i e f , s e e G oins v .
A llgood, 391 F.2d 692 (5 th C ir . 1968).
33 -
t h e F i f t h C i r c u i t s t r i c t l y a d h e r e s t o t h e
r u l e t h a t o n l y t h e en b a n c c o u r t may o v e r
r u l e t h e p r i o r d e c i s i o n o f a p a n e l , — ^ a
c i t a t i o n t o G o i n s i n Mr . B r o o k s ' F i f t h
C i r c u i t p a p e r s s h o u l d h a v e c a u s e d t h e
B r o o k s p a n e l t o s t a y h i s e x e c u t i o n .
Y e t i n t h e l a s t - m i n u t e f l u r r y o f a c t i v i t y
i n B r o o k s , t h e r e w as i n a d e q u a t e t i m e t o
u n c o v e r t h e c r u c i a l G o i n s p r e c e d e n t .
I n e v i t a b l y , a s t h e number o f p e r s o n s
on d e a t h row a c r o s s t h e n a t i o n r i s e s , and
a s t h e n u m b e r o f c a p i t a l f e d e r a l h a b e a s
c o r p u s a p p e a l s r i s e s , m i s t a k e s o f t h i s s o r t
a r e b ou nd t o o c c u r i f e v e r y s t a y a p p l i c a
t i o n b e c o m e s a f r e n z i e d " m i n i - a p p e a l "
i n w h i c h t h e c o u r t o f a p p e a l s c o n v e n e s i n
h a s t e t o j u d g e i n h a s t e w h e t h e r e a c h
20/ See, e . g . , Ruiz v . E s t e l l e , s u p ra , 666 F.2d a t
857 n .5 and c a s e s c i t e d t h e r e i n ( 5 t h C i r . 1982)
(p e r Rubin, J . , P re s id in g Judge o f th e Brooks p anel)
(" 'we cannot d is re g a rd th e p reced en t s e t by a p r io r
p a n e l, even though we p e rc e iv e e r r o r in th e p rece
d e n t ' " ) ; U nited S ta te s v . R odriguez, 585 F.2d 1234,
1247-48 (5 th C ir . 1978) (per Rubin, J . ) (even dictum
o f p r io r p an e ls should be adhered t o ).
- 34 -
p e t i t i o n e r ' s h a s t i l y d r a w n s t a y p a p e r s
d e m o n s t r a t e a l i k e l i h o o d o f s u c c e s s on t h e
m e r i t s . T h e r e a r e now 1 , 1 4 7 p e r s o n u n d e r
s e n t e n c e o f d e a t h n a t i o n a l l y , 221 o f them
i n t h e F i f t h C i r c u i t . — / A p p r o x i m a t e l y
60 c a s e s h a v e a l r e a d y r e a c h e d t h e f e d e r a l
c o u r t s o f a p p e a l s , and r o u g h l y 100 m ore a r e
p e n d i n g i n t h e f e d e r a l d i s t r i c t c o u r t s . As
more and more i n d i v i d u a l s a r e s e n t e n c e d t o
d e a t h , mo re and more c a s e s w i l l move i n t o
t h e f e d e r a l c o u r t s and u l t i m a t e l y t o t h e
c o u r t s o f a p p e a l s . I f t h e a p p r o a c h o f t h e
F i f t h C i r c u i t t o t h i s c a s e i s e m b r a c e d by
t h i s C o u r t , e v e r y f e d e r a l h a b e a s a p p e a l
w i l l becom e an o c c a s i o n f o r t h e c o u r t s o f
a p p e a l s - - a n d u l t i m a t e l y t h i s C o u r t a s
w e l l — t o i n t e r r u p t t h e i r r e g u l a r b u s i n e s s
and d i s l o c a t e t h e i r r e g u l a r s c h e d u l e s i n
o r d e r t o c o n d u c t a h a r r i e d i n q u i r y i n t o
w h e t h e r o r n o t t h e a p p e a l i s l i k e l y t o
s u c c e e d .
2 1 / NAACP L eg a l D efen se Fund, D eath Row: USA
(Feb. 20, 1983).
- 35 -
We r e s p e c t f u l l y s u b m i t t h a t t h i s i s no
way t o h a n d l e c a s e s i n w h i c h t h e s t a k e s a r e
h i g h e r t h a n i n a n y o t h e r l i t i g a t i o n .
" [ T ] h e a c t i o n o f t h e s o v e r e i g n i n t a k i n g
t h e l i f e o f o n e o f i t s c i t i z e n s . . . d i f f e r s
d r a m a t i c a l l y f r o m a n y o t h e r l e g i t i m a t e
s t a t e a c t i o n . " G a r d n e r v . F l o r i d a , 4 30
U . S . 3 49 , 358 ( 1 9 7 7 ) ( p l u r a l i t y o p i n i o n ) .
F a i r n e s s , and t h e a p p e a r a n c e o f f a i r n e s s
( i b i d . ) , m u s t a t a l l t i m e s g o v e r n t h e
c o n s i d e r a t i o n o f a p p l i c a t i o n s f o r s t a y s o f
e x e c u t i o n . Y e t t h e a p p r o a c h a d o p t e d b y
t h e F i f t h C i r c u i t i n t h i s c a s e p ro m o te s t h e
v e r y o p p o s i t e . I f t h i s h ad b e e n a n y n o n
d e a t h c a s e , c i v i l o r c r i m i n a l , p e t i t i o n e r
w o u l d h a v e h a d t h e o p p o r t u n i t y f o r f u l l
b r i e f i n g on t h e m e r i t s , and t h e c o u r t o f
a p p e a l s w o u ld h a v e h ad m ore t h a n a d a y t o
2 2/s t u d y t h e v o l u m i n o u s r e c o r d — and t o s t u d y
22/ N otab ly , th e c o u rt o f app ea ls r e je c te d one o f
p e t i t i o n e r 's c o n ten tio n s - - a c la im th a t th e p ro se
c u tio n had knowingly p re sen te d p e r ju re d ey ew itnesses
testim ony a t t r i a l — on th e ground th a t th e t e s t i -
[ f o o tn o te — ^ c o n t in u e s on n e x t page]
- 36 -
t h e i m p r e s s i v e body o f c a s e l a w and p s y
c h i a t r i c a u t h o r i t y r e l e v a n t t o h i s a p p e a l .
I t i s s e n s e l e s s t o a c c o r d h i m a n y l e s s
b e c a u s e h i s l i f e i s a t s t a k e .
O t h e r c o n c e r n s u n d e r s c o r e t h e i m p r o v i
d e n t n a t u r e o f t h e s t a y p r o c e d u r e e m p l o y e d
by t h e F i f t h C i r c u i t i n p e t i t i o n e r ' s c a s e ,
by w h i c h a p r e l i m i n a r y s c r e e n i n g o f m e r i t
com es t o b e c o n v e r t e d i n t o an a p p e a l - b e f o r e -
t h e - a p p e a l . T h e t i m e o f c i r c u i t j u d g e s
w h i c h i s d i v e r t e d f r o m t h e i r c o n d u c t o f
t h e i r r e g u l a r a p p e l l a t e b u s i n e s s , and t h e
d i s r u p t i o n o f t h e o r d e r l y p r o c e d u r e s
t h r o u g h w h i c h t h a t b u s i n e s s i s n e c e s s a r i l y
c a r r i e d o n , a r e d r a i n s u p o n t h e f e d e r a l
j u d i c i a r y t h a t c a n o n l y h am p er i t s a b i l i t y
22/ con tinued
mony in q u e s tio n "could no t a f f e c t th e determ ina
t io n o f B a re fo o t 's g u i l t , " s l i p op. a t 14, in view
o f th e s tre n g th o f th e p ro s e c u tio n 's o th e r ev idence .
This co n c lu sio n re q u ire d thorough f a m i l ia r i ty w ith
th e e n t i r e 1400 page t r i a l re c o rd , which th e c o u rt
o f app ea ls possessed fo r e x a c tly 24 hours b e fo re
d e l iv e r in g i t s 16-page o p in io n .
- 37 -
t o do a l l o f i t s i m p o r t a n t w ork w e l l . The
b u r d e n s t h a t a r e im p o se d upon t h i s C o u r t
when a s t a y i s d e n i e d — o r , i n d e e d , when a
s t a y i s g r a n t e d u n d e r s t a n d a r d s t h a t
i m p l i c a t e a d e c i s i o n o n t h e m e r i t s a n d
h e n c e i n v i t e t h e S t a t e t o s e e k i t s r e v i e w
h e r e — / - - a r e a f u r t h e r d r a i n u p o n t h e
c o u n t r y ' s s i n g l e m o s t l i m i t e d and p r e c i o u s
j u d i c i a l r e s o u r c e . T h e p r e s s u r e - c o o k e r
a t m o s p h e r e t h a t i n e s c a p a b l y b u i l d s u p
a r o u n d t h e s e f r e n e t i c e 1 e v e n t h - h o u r
p r o c e e d i n g s i s a l t o g e t h e r i n c o n s i s t e n t
w i t h t h e t o n e o f m e a s u r e d d e l i b e r a t i o n
t h a t s h o u l d m a r k t h e d u e a d m i n i s t r a t i o n
o f j u s t i c e i n t h e f e d e r a l c o u r t s , p a r t i c
u l a r l y i n m a t t e r s o f t h e g r a v e s t moment .
B u t , w i t h o u t d e n i g r a t i n g t h e s e c o n
c e r n s i n t h e s l i g h t e s t , we do n o t b e l i e v e
t h a t t h e y go t o t h e h e a r t o f t h e m a t t e r .
2 3 / S e e , e . g . , 0 1 B ryan v . E s t e l l e , 691 F.2d
706 ( 1 9 8 2) , m o tio n to v a c a te d e n ie d , U.S.
___ , No. A-396 (O ct. 29, 1982).
- 38 -
F a r m o r e b a s i c i s t h e q u e s t i o n h o w a
c o u r t s y s t e m w h i c h a c k n o w l e d g e s t h a t
" t h e i m p o s i t i o n o f d e a t h by p u b l i c a u t h o r
i t y i s s o p r o f o u n d l y d i f f e r e n t f r o m a l l
o t h e r p e n a l t i e s " b e c a u s e o f , i n t e r a l i a ,
t h e " n o n a v a i l a b i l i t y o f c o r r e c t i v e o r
m o d i f y i n g m e c h a n i s m s w i t h r e s p e c t t o a n
e x e c u t e d c a p i t a l s e n t e n c e , " L o c k e t t v .
O h i o , 438 U . S . 5 8 6 , 605 ( 1 9 78 ) ( p l u r a l i t y
o p i n i o n ) , c a n f a i r l y o r r a t i o n a l l y g i v e
d e a t h - s e n t e n c e d a p p e l l a n t s o n l y a d r a s t i c
a l l y a b b r e v i a t e d v e r s i o n o f t h e o r d i n a r y
p r o c e s s e s v o u c h s a f e d t o a l l o t h e r l i t i g a n t s
f o r r e v i e w o f t h e i r c o n t e n t i o n s on a p p e a l .
Why s h o u l d t h e c i r c u m s t a n c e t h a t t h e S t a t e
— t h e o p p o s i n g l i t i g a n t — h a s u n i l a t e r
a l l y c h o s e n t o s e t an e x e c u t i o n d a t e w h i c h
d e p r i v e s a f e d e r a l a p p e l l a t e c o u r t o f t h e
t i m e n e c e s s a r y f o r i t s u s u a l m e a s u r e o f
d e l i b e r a t e r e f l e c t i o n b e p e r m i t t e d t o
h a r r y i t i n t o g i v i n g t h e m o s t t r u n c a t e d
c o n s i d e r a t i o n t o t h e c a s e s w i t h t h e m o s t
39
mome nt ous c o n s e q u e n c e s ?
I f t h e S t a t e h a d a n y s u b s t a n t i a l
c o u n t e r v a i l i n g i n t e r e s t s a t s t a k e , p e r h a p s
t h e q u e s t i o n wou l d be a c l o s e r o n e . But
g i v e n t h e l a r g e n u m b e r s o f c a s e s n e a r i n g
t h e e n d o f t h e f e d e r a l h a b e a s c o r p u s
p r o c e s s , i t i s r e a d i l y a p p a r e n t t h a t t h e
S t a t e s ' i n t e r e s t i n h a v i n g som e e x e c u t i o n s
t a k e p l a c e w i l l n e c e s s a r i l y b e s a t i s f i e d
i n t h e n e a r f u t u r e i n any e v e n t . E x e c u
t i o n s , s o r a r e i n r e c e n t y e a r s , a r e
o b v i o u s l y l i k e l y t o becom e mo r e f r e q u e n t
o c c u r r e n c e s i n t h e f u t u r e . I t m a t t e r s
l i t t l e t o t h e S t a t e s w h e t h e r , i n any g i v e n
c a s e , a condem ned i n d i v i d u a l i s a l l o w e d t o
r e m a i n a l i v e - lo n g - e n o u g h f o r o n e f u l l
f e d e r a l h a b e a s c o r p u s p r o c e e d i n g i n c l u d i n g
a n a p p e a l .
S eco n d and s u c c e s s i v e f e d e r a l h a b e a s
c o r p u s p e t i t i o n s p r e s e n t a d i f f e r e n t i s s u e .
To t h e e x t e n t t h a t t h e s e i n v o l v e t h e d a n g e r
t h a t a condem ned i n m a t e m i g h t a t t e m p t t o
40
u s e r e p e a t e d p e t i t i o n s a n d a p p e a l s a s a
m e r e d e l a y i n g t a c t i c , t h e S t a t e h a s a
q u i t e l e g i t i m a t e i n t e r e s t i n p r e v e n t i n g
s u c h a b u s e s o f t h e w r i t . R u l e 9 o f t h e
R u l e s G o v e r n i n g S e c t i o n 2254 C a s e s i n t h e
U n i t e d S t a t e s D i s t r i c t C o u r t s am p ly p r o
t e c t s t h a t i n t e r e s t ; and w hen a r e p e a t e r
p e t i t i o n h a s b e e n d i s m i s s e d u n d e r R u l e 9 ,
a mo r e r e s t r i c t i v e s t a n d a r d may a p p r o p r i a t e
l y b e e m p l o y e d i n a s s e s s i n g w h e t h e r t h e
p e t i t i o n e r s h o u l d b e g r a n t e d a s t a y p e n d i n g
a p p e a l . But a f i r s t f e d e r a l h a b e a s c o r p u s
p e t i t i o n - - s u c h a s t h e o n e now b e f o r e
t h i s C o u r t - - i s n o t h i n g m o r e o r l e s s
t h a n t h e p r o c e s s n e c e s s a r y t o a s s u r e t h a t
a d e a t h - s e n t e n c e d i n m a t e h a s h i s o r h e r
p r o p e r l y p r e s e r v e d f e d e r a l c o n s t i t u t i o n a l
c l a i m s d e t e r m i n e d o n c e o n t h e m e r i t s
b y t h e f e d e r a l j u d i c i a r y , p u r s u a n t t o
28 U . S . C . §§ 2 2 4 1 ( c ) ( 3 ) and 2 2 5 4 . W h a t e v e r
ha rm t h e S t a t e e n c o u n t e r s by p o s tp o n e m e n t
o f a n e x e c u t i o n t o p e r m i t t h a t p r o c e s s
41
t o t a k e p l a c e i s by no means i r r e p a r a b l e .
Y e t t h e t r u i s m b e a r s r e p e a t i n g t h a t
t h e i n j u r y s u f f e r e d by t h e d e a t h - s e n t e n c e d
i n d i v i d u a l w h o s e a p p e a l i s c u t s h o r t
i s i r r e p a r a b l e . S e e , e . g ♦ , C o l e m a n v .
B a l k c o m , 451 U . S . 9 4 9 , 953 ( 1 9 8 1 ) ( o p i n i o n
o f J u s t i c e S t e v e n s ) . As we h a v e n o t e d
e a r l i e r , s e e p p . 2 6 - 2 8 s u p r a , a r e m a r k a b l e
n umber o f h a b e a s c o r p u s a p p e a l s i n d e a t h
c a s e s do h a v e m e r i t . U n d e r t h e a p p r o a c h
t a k e n by t h e c o u r t o f a p p e a l s i n t h i s c a s e ,
i t i s v i r t u a l l y i n e v i t a b l e t h a t a t l e a s t
some i n d i v i d u a l s w h o s e l i v e s w o u l d h a v e
b e e n s p a r e d by a f u l l a p p e a l on t h e m e r i t s
w i l l b e e x e c u t e d w i t h o u t e v e r b e i n g a c c o r d
ed s u c h an a p p e a l . T h a t p r i c e i s s i m p l y
t o o g r e a t f o r a c i v i l i z e d n a t i o n t o p a y .
C . T h e A p p r o p r i a t e S t a n d a r d F o r T h e
G r a n t i n g Of A S t a y Of E x e c u t i o n I n A D e a t h
C a s e S h o u l d Be A D e t e r m i n a t i o n T h a t T h e
D e a t h - S e n t e n c e d P r i s o n e r ' s C l a i m s Are Not
L e g a l l y F r i v o l o u s _________________________________
We b e l i e v e t h a t t h e c o r r e c t s t a n d a r d
f o r e v a l u a t i o n o f a f i r s t - t i m e f e d e r a l
42
h a b e a s a p p e l l a n t ' s a p p l i c a t i o n f o r a s t a y
o f e x e c u t i o n i s w h e t h e r h i s o r h e r a p p e a l
p r e s e n t s any n o n - f r i v o l o u s c o n s t i t u t i o n a l
i s s u e . T h i s s t a n d a r d , w h i c h h a s b e e n
a p p l i e d w i t h c o n s i s t e n c y i n r e c e n t E l e v e n t h
C i r c u i t c a s e s , s e e Hance v . Z a n t , s u p r a ,
( i s s u e s w h i c h a r e n o t " p a t e n t l y
f r i v o l o u s " ) ; G oode v . W a i n w r i g h t , s u p r a ,
670 F . 2 d a t 942 ( " n o n - f r i v o l o u s " i s s u e s ) ,
m i n i m i z e s t h e r i s k t h a t s t a y s w i l l b e
d e n i e d t o a p p e l l a n t s who m i g h t u l t i m a t e l y
p r e v a i l on t h e m e r i t s , and a l s o m i n i m i z e s
t h e amoun t o f t i m e t h a t j u d g e s a r e r e q u i r e d
t o s p e n d e v a l u a t i n g s t a y a p p l i c a t i o n s ,
w h i l e p r e s e r v i n g a c h e c k - - i f a c h e c k i s
deem ed n e c e s s a r y — a g a i n s t t h e d e l a y o f an
e x e c u t i o n by a t r u l y m e r i t l e s s a p p e a l .
We a l s o t h i n k t h a t a " l e g a l l y f r i v o l o u s "
s t a n d a r d p r o v i d e s t h e c l e a r e s t p o s s i b l e
g u i d e l i n e f o r j u d i c i a l a c t i o n , p a r t i c u l a r l y
u n d e r t h e c o n d i t i o n s o f h a s t e t h a t t y p i c a l
l y a t t e n d c o n s i d e r a t i o n o f s t a y a p p l i c a -
43
t i o n s , a n d i s t h u s l e a s t l i k e l y t o b e
m i s a p p l i e d i n p r a c t i c e , w h e t h e r by g r a n t i n g
o r d e n y i n g s t a y s e r r o n e o u s l y .
A " l e g a l l y f r i v o l o u s " i s s u e i s o n e
w h i c h i s e i t h e r ( a ) c l e a r l y f o r e c l o s e d
2 4 /by a s q u a r e l y c o n t r o l l i n g — r e c e n t h o l d -
2 5 / 2 6 /i n g — o f t h i s C o u r t , — o r ( b ) l a c k i n g
2 4 / A c la im c a n n o t be deemed l e g a l l y f r i v o l o u s
by e x tra p o la t io n o f th e language o f a p r io r op in io n
to r e s o lv e i s s u e s n o t p r e s e n te d in th e e a r l i e r
c a se . Thus, th e C o u r t 's r e f u s a l to fin d Ga. Code
Ann. § 27-2534 .1( b ) (7) f a c i a l l y u n c o n s ti tu t io n a l on
grounds o f e i th e r o v erb read th o r vagueness in Gregg
v . G eorgia , 428 U.S. 153, 201, 202 n .54 (1976), d id
no t ren d e r f r iv o lo u s a subsequent c o n te n tio n th a t
th e same s ta tu to r y s e c t io n was overbroad o r vague in
i t s a p p l i c a t i o n t o th e f a c t s o f a n o th e r c a s e .
See Godfrey v . G eorg ia , 446 U.S. 420 (1980).
2 5 / A c la im c a n n o t be deemed l e g a l l y f r i v o lo u s
on th e b a s is o f d e c is io n s th a t a re a rguab ly c a lle d
i n to q u e s t io n by s u b se q u e n t d e v e lo p m e n ts , even
though th e o ld e r d e c is io n s have no t y e t been reexam
ined by t h i s C ourt. Thus, th e c la im v in d ic a te d in
G ardner v . F lo r id a , 430 U.S. 349 (1977), was not
f r iv o lo u s in 1976 d e s p ite W illiam s v . New York, 337
U.S. 241 (1949); nor was th e c la im v in d ic a te d in
B u llin g to n v . M isso u ri, 451 U.S. 430 (1981), f r iv o
lo u s in 1980 d e s p ite S troud v . U nited S ta te s , 251
U.S. 15 (1919).
26 / A claim cannot be deemed le g a l ly f r iv o lo u s on
th e b a s is o f a p rev io u s d e c is io n by th e c o u rt o f
appeals which has gone unreviewed by t h i s C ourt.
Such d e c is io n s rem ain su b je c t to re p u d ia tio n e i th e r
by t h i s C o u rt o r — in th e e v e n t o f in te r v e n in g
d e c is io n s o f t h i s Court — by th e c o u rt o f appeals
i t s e l f . See n o te 16 su p ra .
- 44 -
a n y f a c t u a l b a s i s w h a t s o e v e r i n t h e
r e c o r d o f t h e c a s e . F o r e x a m p l e , a d e a t h -
s e n t e n c e d a p p e l l a n t a d v a n c i n g an ex p o s t
f a c t o a r g u m e n t i d e n t i c a l t o t h e o n e r e
j e c t e d i n Do b b e r t v . F l o r i d a , 4 3 2 U . S .
282 ( 1 9 7 7 ) , w ou ld h a v e a l e g a l l y f r i v o l o u s
c l a i m , a s w o u ld a d e a t h - s e n t e n c e d a p p e l l a n t
who c l a i m s a v i o l a t i o n o f W i t h e r s p o o n v .
I l l i n o i s , 391 U . S . 51 0 ( 1 9 6 8 ) , w he n t h e
r e c o r d show s w i t h i n d i s p u t a b l e c l a r i t y t h a t
t h e p r o s p e c t i v e j u r o r s a t i s s u e w e r e
e x c u s e d f o r r e a s o n s o t h e r t h a n t h e i r
a t t i t u d e s t o w a r d t h e d e a t h p e n a l t y . T h i s
s t a n d a r d wou l d a l l o w t h e c o u r t s o f a p p e a l s
t o w e e d o u t t h o s e r a r e c a p i t a l h a b e a s
c o r p u s a p p e a l s w h i c h h a v e no b a s i s i n l aw
o r f a c t , w i t h o u t p u t t i n g e v e r y condem ned
p r i s o n e r , h i s o r h e r a t t o r n e y a n d t h e
c o u r t s t h r o u g h a b r e a k n e c k , h i g h - p r e s s u r e
" m i n i - a p p e a l " i n w h i c h m i s t a k e s c a n — and
o v e r t h e c o u r s e o f t i m e i n e v i t a b l y w i l l —
be made .
45
We r e c o g n i z e t h a t s u c h a s t a n d a r d i s
r o u g h l y e q u i v a l e n t t o t h a t f o r d i s m i s s a l o f
an a p p e a l . S e e F i f t h C i r c u i t L o c a l R u l e
2 0 , p e r m i t t i n g d i s m i s s a l o f a p p e a l s t h a t
a r e " f r i v o l o u s and e n t i r e l y w i t h o u t m e r i t . "
Bu t t h a t i s a s i t s h o u l d b e . To e x e c u t e a
d e a t h - s e n t e n c e d i n d i v i d u a l w h i l e h i s a p p e a l
i s p e n d i n g i s c e r t a i n l y t h e f u n c t i o n a l
e q u i v a l e n t o f d i s m i s s i n g h i s a p p e a l . Y e t
t h e p a n e l w h i c h h a s t i l y r e v i e w e d p e t i
t i o n e r ' s c a s e c o n s i g n e d h im t o d i e w i t h o u t
a c c o r d i n g h i m a n y m o r e p r o c e s s t h a n a
d i s m i s s a l w o u l d , and w i t h o u t h o l d i n g t h e
S t a t e t o t h e s h o w i n g o f f r i v o l i t y r e q u i r e d
f o r a d i s m i s s a l . We r e s p e c t f u l l y s u b m i t
t h a t a c o n d e m n e d ma n o r w o m a n f a c i n g
i m m i n e n t e x e c u t i o n i s e n t i t l e d t o s o m e t h i n g
m o r e .
B e c a u s e o f t h e u n i q u e d i f f e r e n c e
b e tw e e n e x e c u t i o n and a l l o t h e r c r i m i n a l
s a n c t i o n s , t h i s C o u r t
h a s g o n e t o e x t r a o r d i n a r y m e a s u r e s
t o e n s u r e t h a t t h e p r i s o n e r s e n -
46
t e n c e d t o b e e x e c u t e d i s a f f o r d e d
p r o c e s s t h a t w i l l g u a r a n t e e , a s
much a s i s h u m a n l y p o s s i b l e , t h a t
t h e s e n t e n c e was n o t im p o se d o u t
o f w h i m , p a s s i o n , p r e j u d i c e o r
m i s t a k e .
E d d i n g s v . Ok l a h o m a , 4 5 5 U . S . 1 0 4 , 118
( 1 9 82 ) ( c o n c u r r i n g o p i n i o n o f J u s t i c e
O ' C o n n o r ) . I t s i n s i s t e n c e u p o n s u c h
" e x t r a o r d i n a r y m e a s u r e s " a p p l i e s b o t h t o
t h e d e t e r m i n a t i o n t h a t t h e d e f e n d a n t i s
g u i l t y a n d t o t h e d e t e r m i n a t i o n t h a t h e
d e s e r v e s t o d i e . B eck v . A l a b a m a , 447 U . S .
6 2 5 , 6 3 7 - 3 8 ( 1 9 8 0 ) ; L o c k e t t v . O h i o , 438
U . S . 5 8 6 , 604 (1 9 7 8 ) ( p l u r a l i t y o p i n i o n ) ;
G a r d n e r v . F l o r i d a , s u p r a , 4 3 0 U . S . a t
3 5 7 - 5 8 (1 9 7 7 ) ( p l u r a l i t y o p i n i o n ) ; i d .
a t 3 6 3 - 6 4 ( c o n c u r r i n g o p i n i o n o f J u s t i c e
W h i t e ) ; W oodson v . N o r t h C a r o l i n a , 428 U . S .
2 80 , 305 ( p l u r a l i t y o p i n i o n ) . The d e c i s i o n
b e l o w , d e n y i n g T h o m a s A. B a r e f o o t a
s t a y o f e x e c u t i o n t o p e r m i t o n e f u l l
o p p o r t u n i t y f o r f e d e r a l h a b e a s c o r p u s
r e v i e w o f c o n s t i t u t i o n a l c l a i m s w h i c h
m a n i f e s t l y a r e n o t l e g a l l y f r i v o l o u s ,
p l a i n l y v i o l a t e d t h e s e p r i n c i p l e s .
47
I I
THE INTRODUCTION OF THE "HYPO
THETICAL" TESTIMONY OF DOCTORS
GRIGSON AND HOLBROOK SEVERELY UN
DERMINED THE RELIABILITY OF THE
FACTFINDING PROCESS AT PETITION
ER'S PENALTY TRIAL, IN VIOLATION
OF HIS RIGHTS UNDER THE EIGHTH
AND FOURTEENTH AMENDMENTS 2 7 /____
A t t h e o u t s e t , i t i s r e l e v a n t t o n o t e
t h e c o n t e x t i n w h i c h t h e " h y p o t h e t i c a l "
t e s t i m o n y o f D o c t o r s G r i g s o n and H o l b r o o k
was o f f e r e d . B e t w e e n 1974 and 1 9 7 7 , T e x a s
p r o s e c u t o r s i n t r o d u c e d p s y c h i a t r i c t e s t i
mony a t t h e p e n a l t y p h a s e o f n u m e r o u s
c a p i t a l t r i a l s . T h i s t e s t i m o n y was common
l y d e r i v e d f r o m p r e t r i a l p s y c h i a t r i c
e x a m i n a t i o n s a t w h i c h t h e d e f e n d a n t h a d
27/ The F if th C i r c u i t 's f a i l u r e to g ra n t a s ta y o f
execu tion i s , in and o f i t s e l f , a s u f f i c i e n t ground
fo r r e v e r s a l o f i t s January 20 o rd e r . One ap p ro p ri
a te d is p o s i t io n would th e re fo re be sim ply to remand
t h i s case to th e c o u rt o f appea ls w ith in s t r u c t io n s
th a t i t e n te r a s ta y o f ex ecu tio n and co n s id e r th e
a p p e a l in th e o r d in a r y c o u rs e o f b u s in e s s . C f.
Maxwell v . B ishop, su p ra ; Burwell v . T e e ts , su p ra .
However, s in ce t h i s Court has d ire c te d th e p a r t i e s
to b r i e f no t on ly th e q u e s tio n o f th e s ta y b u t a lso
" th e is su e s on th e appeal b e fo re th e U nited S ta te s
Court o f Appeals fo r th e F if th C i r c u i t ," 51 U.S.L.W.
3563 (Jan . 24, 1983), and s in c e th e a b o v e - t i t le d
is su e i s o f p a r t i c u la r concern to am icus, we w i l l
d isc u ss i t b r i e f ly in th e pages th a t fo llo w .
- 48 -
n o t b e e n w a r n e d t h a t a n y t h i n g h e s a i d m i g h t
be u se d t o s e e k h i s e x e c u t i o n . H o w e v e r ,
e l e v e n m o n t h s p r i o r t o p e t i t i o n e r ' s t r i a l ,
t h i s p r a c t i c e was d e c l a r e d i n v i o l a t i o n o f
a c a p i t a l d e f e n d a n t ' s F i f t h A m e n d m e n t
r i g h t s i n S m i t h v . E s t e l l e , 445 F . S u p p .
647 ( N . D . T e x . 1 9 7 7 ) . I n T h o m a s B a r e
f o o t ' s c a s e t h e p r o s e c u t o r , f e a r i n g t h a t
2 8 /Smi_th m i g h t b e a f f i r m e d o n a p p e a l , —
c o n c e d e d l y s o u g h t t o c i r c u m v e n t t h e i m p a c t
o f S m i t h by u s i n g " h y p o t h e t i c a l " t e s t i m o n y
w i t h o u t a c t u a l p s y c h i a t r i c e x a m i n a t i o n s —
a s t r a t e g y h e d e s c r i b e d a t t h e f e d e r a l
h a b e a s c o r p u s h e a r i n g b e l o w a s " p r e t t y
2 9 /b r i l l i a n t . " T . 2 5 4 . — ' To a c c o m p l i s h
t h i s e n d , t h e p r o s e c u t o r r e l i e d upon tw o
T e x a s p s y c h i a t r i s t s , Jam es P . G r i g s o n and
J o h n T . H o l b r o o k , who had t e s t i f i e d f o r t h e
S t a t e on t h e b a s i s o f p r e t r i a l e x a m i n a t i o n s
i n t h e o v e r w h e l m i n g m a j o r i t y o f p r e - S m i t h
28/ I t was. Smith v . E s t e l l e , 602 F.2d 694 (5 th
C ir . 1979), a f f ' d sub , nom. E s te l le v . Sm ith, 451
U.S. 454 (1981).
29/ The p r a c t ic e o f using "h y p o th e tic a l" p sy c h ia -
[fo o tn o te co n tin u es on nex t page]
- 49 -
The p r o b l e m w i t h t h i s s o r t o f p s y c h i a
t r i c t e s t i m o n y i s t h a t i t h a s a b s o l u t e l y no
s c i e n t i f i c b a s i s . S i n c e t h e A m e r i c a n
P s y c h i a t r i c A s s o c i a t i o n i s a l s o a p p e a r i n g
a s a m i c u s c u r i a e i n t h i s c a s e , we w i l l n o t
b u r d e n t h e C o u r t w i t h r e p e t i t i o n o f t h e
n u m e r o u s r e p o r t s o f t h a t o r g a n i z a t i o n o r
w i t h c i t a t i o n o f t h e many s t u d i e s u p o n
w h i c h t h o s e r e p o r t s a r e b a s e d , d o c u m e n t i n g
t h e u t t e r u n r e l i a b i l i t y o f " h y p o t h e t i c a l "
p s y c h i a t r i c p r e d i c t i o n s o f f u t u r e d a n g e r o u s -
29/ con tinued
t r i e testim ony a t th e p e n a lty phase has su rfaced in
two o th e r c a s e s known to a m ic u s . In b o th , th e
p s y c h ia t r i s t had examined th e defendan t and th e ju ry
had been to ld o f th e exam ination , b u t th e p rosecu
t io n n o n e th e less sought as b e s t i t could to c a s t
th e testim ony p r im a r i ly in h y p o th e tic a l te rm s. In
one o f th e se cases fe d e ra l habeas corpus r e l i e f has
been g ran ted as a r e s u l t o f th e p s y c h ia t r ic t e s t i
mony. White v . E s t e l l e , ___ F. Supp. ___ , C iv il
A ction No. H-81-1661 (S.D. Tex. Dec. 30, 1982); in
th e o th e r , V an d erb ilt v . S t a t e , 629 S.W.2d 709 (Tex.
Crim. App. 1981), a fe d e ra l habeas corpus proceed ing
i s pending.
30/ A summary o f th o s e a p p e a ra n c e s o f D o c to rs
G rigson and Holbrook in Texas c a p i ta l cases which
a re known to amicus i s s e t fo r th in Appendix B to
t h i s b r i e f .
- 50
n e s s . Even i n c a s e s w h e r e t h e p s y c h i a t r i s t -
w i t n e s s h a s a c t u a l l y e x a m i n e d t h e d e f e n d a n t ,
t h e p s y c h i a t r i c c o m m u n i t y b e l i e v e s t h a t
p r o g n o s t i c a t i n g v i o l e n t c r i m i n a l a c t s i n
t h e i n d e t e r m i n a t e f u t u r e s t a n d s , " g e n e r o u s l y
a n a l y z e d — a t t h e f r i n g e s o f p r o f e s s i o n a l
r e s p o n s i b i l i t y " a nd b r i n g s t h e d o c t o r t o
" t h e b r i n k o f q u a c k e r y . " D i x , The D e a t h
P e n a l t y , " D a n g e r o u s n e s s , " P s y c h i a t r i c
T e s t i m o n y , and P r o f e s s i o n a l E t h i c s , 5 Am.
J . C r i m . L. 1 5 1 , 172 ( 1 9 7 7 ) . W h e r e t h e
p s y c h i a t r i s t h a s n o t e x a m i n e d t h e d e f e n d
a n t , t h e p r o f e s s i o n ' s c o n d e m n a t i o n i s
, 3 1 / u n r e s e r v e d . — /
T h i s C o u r t h a s h e l d t h a t
31/ N e ith e r o f p e t i t i o n e r 's e x p e r t w itn esses a t th e
hearin g in th e d i s t r i c t c o u rt voiced anyth ing bu t
condemnation o f th e testim ony o f D octors G rigson and
Holbrook. The su g g es tio n s to th e c o n tra ry in th e
o p in io n s below a re c l e a r l y u n su p p o rte d by th e
reco rd ; indeed , th ey a re c o n tra d ic te d by i t . See
Appendix C i n f r a . N e ith e r Dr. Fason nor Dr. D ick er-
son agreed th a t a bona f id e m edical d ia g n o s is o f
so c iopa thy could be made o f p e t i t io n e r based upon
a h y p o th e tic a l q u e s tio n , and n e i th e r Dr. Fason nor
Dr. D ickerson concurred in th e view th a t m edical
e x p e rts a re capab le o f p re d ic t in g long-term fu tu re
dangerousness.
- 51
[ T ] h e p e n a l t y o f d e a t h i s q u a l i t a t i v e
l y d i f f e r e n t f r o m a s e n t e n c e o f i m
p r i s o n m e n t , h o w e v e r l o n g . . . . B e c a u s e
o f t h a t q u a l i t a t i v e d i f f e r e n c e , t h e r e
i s a c o r r e s p o n d i n g d i f f e r e n c e i n t h e
n e e d f o r r e l i a b i l i t y i n t h e d e t e r m i n a
t i o n t h a t d e a t h i s t h e a p p r o p r i a t e
p u n i s h m e n t i n a s p e c i f i c c a s e .
W oodson v . N o r t h C a r o l i n a , 428 U . S . 2 8 0 , 305
( 1 9 7 6 ) . The p o i n t h a s b e e n r e p e a t e d by t h e
C o u r t t i m e and t i m e a g a i n , and s t a n d s a s t h e
s i n g l e m o s t p r e v a l e n t th em e i n i t s p o s t - 1 9 7 6
d e c i s i o n s i n d e a t h c a s e s . ^
T h e r e i s no c o n s t i t u t i o n a l n o v e l t y t o
t h e p r o p o s i t i o n t h a t some e v i d e n c e i s so
i n h e r e n t l y u n r e l i a b l e t h a t i t s h o u l d n o t
b e a l l o w e d t o b e s u b m i t t e d t o a j u r y .
I n d e e d , t h a t was t h e v e r y b a s i s o f t h i s
b e a l l o w e d t o b e s u b m i t t e d t o a j u r y .
I n d e e d , t h a t w as t h e v e r y b a s i s o f t h i s
C o u r t ' s e a r l i e s t d e c i s i o n s f o r b i d d i n g t h e
32/ G ardner v . F lo r id a , 430 U.S. 349, 359 (1977)
( p l u r a l i t y o p i n i o n ) ; i b . a t 363-64 ( c o n c u r r in g
o p in io n o f J u s t i c e W h i t e ) ; L o c k e tt v . O h io , 438
U.S. 586, 604 (1978)( p lu r a l i ty o p in io n ) ; Green v .
Georg ia , 442 U.S. 95, 97 (1979); Beck v . Alabama,
447 U.S. 625, 637-38 & n . 13 ( 1 9 8 0 ) ; E dd inqs v .
Oklahoma, 455 U.S. 104, 110-12 (1982); i d . a t 118-19
(concu rring o p in io n o f J u s t ic e O 'Connor).
- 52 -
u s e o f i n v o l u n t a r y c o n f e s s i o n s . I n Brown
v . M i s s i s s i p p i , 297 U . S . 278 (1 9 3 6 ) , t h e
q u e s t i o n b e f o r e t h e C o u r t was w h e t h e r , i n
a d d i t i o n t o t h e s t a t e - l a w p r i n c i p l e
t h a t c o e r c i o n m i g h t b e shown t o a f f e c t t h e
j u r y ' s c o n s i d e r a t i o n o f t h e w e i g h t o f a
c o n f e s s i o n (_id. a t 2 7 9 ) , t h e r e s h o u l d be a
f e d e r a l c o n s t i t u t i o n a l r u l e f o r b i d d i n g
a d m i s s i o n o f a c o e r c e d c o n f e s s i o n i n t o
e v i d e n c e . The C o u r t a d o p te d s u c h a r u l e ,
i n an o p i n i o n b e s p e a k i n g a s t r o n g c o n c e r n
t h a t t h e u n r e l i a b i l i t y o f t h e c o n f e s s i o n s o
o u t w e i g h e d i t s m e a g e r p r o b a t i v e v a l u e t h a t
i t w o u l d o f f e n d d u e p r o c e s s t o a l l o w i t t o
be h e a r d by t h e j u r y . P r i o r t o t h e i n c o r p
o r a t i o n o f t h e F i f t h A m e n d m e n t i n t o t h e
F o u r t e e n t h i n M a l l o y v . H o g a n , 378 U . S . 1
( 1 9 6 4 ) , t h i s c o n c e r n a p p e a r e d a s t h e b a s i s
f o r d e c i s i o n s o f t h e C o u r t i n o t h e r c o n f e s
s i o n c a s e s s u c h a s B l a c k b u r n v . A l a b a m a ,
361 U . S . 1 99 , 207 (1 960) ( " t h i s j u d g m e n t
c a n w i t h o u t d i f f i c u l t y b e a r t i c u l a t e d i n
t e r m s o f t h e u n r e l i a b i l i t y o f t h e c o n f e s -
53
s i o n " ) . The p r i n c i p l e was p e r h a p s b e s t
e x p r e s s e d i n Sj: e_jL n v . N e w _ Y o r k , 3 4 6
U . S . 1 56 , 192 ( 1 9 5 2 ) :
[ R ] e l i a n c e o n a c o e r c e d c o n f e s s i o n
v i t i a t e s a c o n v i c t i o n b e c a u s e s u c h a
c o n f e s s i o n c o m b i n e s t h e p e r s u a s i v e n e s s
o f a p p a r e n t c o n c l u s i v e n e s s w i t h w ha t
j u d i c i a l e x p e r i e n c e s h o w s t o b e
i l l u s o r y a n d d e c e p t i v e e v i d e n c e .
And a l t h o u g h i n c o r p o r a t i o n o f t h e F i f t h
Amendment b r o u g h t new p o l i c y c o n s i d e r a t i o n s
i n t o p l a y w h i c h e v e n t u a l l y o v e r s h a d o w e d
u n r e l i a b i l i t y a s t h e p r i n c i p a l b a s i s f o r
s u p p r e s s i o n , t h e u n r e l i a b i l i t y r a t i o n a l e
r e m a i n s a v i t a l f o r c e t h a t h a s n o t b e e n
l o s t upon members o f t h i s C o u r t i n m o d e r n
t i m e s . S ee B r e w e r v . W i l l i a m s , 430 U . S .
3 8 7 , 423 ( 1 9 7 7 ) ( d i s s e n t i n g o p i n i o n o f t h e
C h i e f J u s t i c e ) ( " [ i ] n v o l u n t a r y and c o e r c e d
a d m i s s i o n s a r e s u p p r e s s e d b e c a u s e o f . . .
i n h e r e n t u n r e l i a b i l i t y " ) ; S t o n e v . P o w e l l ,
428 U . S . 4 6 5 , 4 9 6 - 9 7 ( 1 9 7 6 ) ( c o n c u r r i n g
o p i n i o n o f t h e C h i e f J u s t i c e ) ; S c h n e c k l o t h
v . B u s t a m o n t e , 412 U . S . 2 1 8 , 242 ( 1 9 7 3 ) ;
K a u f m a n v . U n i t e d S t a t e s , 39 4 U . S . 2 1 7 ,
237 ( 1 9 6 9 ) ( d i s s e n t i n g o p i n i o n o f J u s t i c e
54
B l a c k ) ; L i n k l e t t e r v . W a l k e r , 381 U . S . 6 1 8 ,
638 ( 1 9 6 5 ) .
A g a i n , i n t h e c a s e o f s u g g e s t i v e
l i n e u p s and o t h e r i d e n t i f i c a t i o n p r o c e d u r e s ,
t h i s C o u r t h a s d e t e r m i n e d t h a t c e r t a i n
e v i d e n c e i s so u n r e l i a b l e y e t p r e j u d i c i a l
t h a t d u e p r o c e s s d o e s n o t p e r m i t t h e j u r y
t o e v e n be t o l d o f i t . F o s t e r v . C a l i f o r n i a ,
394 U . S . 440 ( 1 9 6 9 ) ; S t o v a l l v . D e n n o , 388
U . S . 2 9 3 , 3 0 1 - 0 2 ( 1 9 6 7 ) , a p p r o v i n g P a l m e r
v . P e y t o n , 359 F . 2 d 199 ( 4 t h C i r . 1 9 6 6 ) ( e n
b a n c ) . " I t i s t h e r e l i a b i l i t y o f i d e n t i f i
c a t i o n e v i d e n c e t h a t p r i m a r i l y d e t e r m i n e s
i t s a d m i s s i b i l i t y . " W a t k i n s v . S a w d e r s ,
449 U . S . 3 41 , 347 ( 1 9 8 1 ) . See a l s o D o y l e
v . O h i o , 426 U . S . 6 1 0 , 617 ( 1 9 7 6 ) .
P e r h a p s i n n o n - d e a t h c a s e s i t m i g h t
s e e m o v e r i n t r u s i v e f o r t h i s C o u r t t o
c l a s s i f y u n r e l i a b l e t e s t i m o n y a d d u c e d
t h r o u g h m e d i c a l q u a c k e r y t o g e t h e r w i t h
u n r e l i a b l e e y e w i t n e s s i d e n t i f i c a t i o n s
and u n r e l i a b l e a d m i s s i o n s o f g u i l t by t h e
d e f e n d a n t . W h e r e h u m a n l i f e w a s n o t a t
55
s t a k e , p e r h a p s we c o u l d r e s t a s s u r e d t h a t
c r o s s - e x a m i n a t i o n and r e b u t t a l t e s t i m o n y
wou l d s u f f i c e t o p e r s u a d e t h e j u r y t h a t t h e
d o c t o r ' s t e s t i m o n y i s a s s p e c i o u s and d e
c e p t i v e a s i t i s i n f a c t . — 7 B ut i n d e a t h
c a s e s "members o f t h e j u r y w i l l h a v e had
l i t t l e , i f a n y , p r e v i o u s e x p e r i e n c e i n
s e n t e n c i n g , . . . [ and] a r e u n l i k e l y t o be
s k i l l e d i n d e a l i n g w i t h t h e i n f o r m a t i o n
t h e y a r e g i v e n . " G r e g g v . G e o r g i a , 4 28
U . S . 1 53 , 1 92 ( 1 9 7 6 ) ( p l u r a l i t y o p i n i o n ) .
To a l l o w a n " e x p e r t " t o t e s t i f y a t t h e
p e n a l t y p h a s e o f a c a p i t a l c a s e , e x p r e s s i n g
a t o t a l l y b a s e l e s s o p i n i o n w h i c h a d d r e s s e s
t h e v e r y s t a t u t o r y q u e s t i o n t h a t t h e j u r y
m u s t a n s w e r i n d e t e r m i n i n g w h e t h e r a human
b e i n g w i l l l i v e o r d i e , i s s o f r a u g h t w i t h
33/ We n o t e , however , t h a t i n r o u t i n e c r i m i n a l
c a s e s t h e c o u r t s have a l m o s t u n i v e r s a l l y b a r r e d
ev idence d eriv ed from l i e d e te c to r t e s t s , a lb e i t
upon n o n -c o n s ti tu tio n a l g rounds, p r e c is e ly because
such e v id e n c e i s so i n h e r e n t l y p r e j u d i c a l y e t
s c i e n t i f i c a l l y u n re l ia b le . See, e . g . , People v .
Leone, 25 N.Y.2d 511, 255 N.E.2d 696, 307 N.Y.S.2d
430 ( 1 9 6 9 ) , and c a s e s c i t e d t h e r e i n ; F ry e v .
United S ta te s , 293 F. 1013 (D.C. C ir . 1923).
- 56 -
t h e d a n g e r o f d e l u s i o n a s t o u n d e r m i n e
t h e d e g r e e o f r e l i a b i l i t y w h i c h t h i s C o u r t
h a s i n s i s t e d upon i n c a p i t a l s e n t e n c i n g a s
a requirement of the Eighth and Fourteenth
Amendments.— ^ As the Supreme Court of
California has held, such testimony simply
h a s no p l a c e i n a f a i r and r a t i o n a l d e a t h
sentencing system. People v . Murt ishaw,
3 5 /175 C a l . R p t r . 7 3 8 , 631 P . 2 d 446 ( 1 9 8 1 ) . — 7
The c o u r t b e l o w was p l a i n l y w rong i n
b e l i e v i n g t h a t t h i s C o u r t ' s d e c i s i o n s i n
J u r e k v . T e x a s , 428 U . S . 262 (1 9 7 6 ) , and
E s t e l l e v . S m i t h , 451 U . S . 454 (1 98 1 ) ,
i m p l i e d l y a p p ro v e d t h e u s e o f h y p o t h e t i c a l
p r e d i c t i o n s o f l o n g - t e r m f u t u r e d a n g e r o u s
n e s s when o f f e r e d a t T e x a s c a p i t a l t r i a l s
by p s y c h i a t r i s t s who had n e v e r e x a m i n e d t h e
d e f e n d a n t . N e i t h e r c a s e , o f c o u r s e ,
34/ Cf. B u llin g to n v . M isso u ri, 451 U.S. 430, 446
(1981)( " in a c a p i t a l sen ten c in g proceed ing i t i s
th e S t a t e , n o t t h e d e f e n d a n t , t h a t sh o u ld b e a r
'a lm o st th e e n t i r e r i s k o f e r r o r '" ) .
3 5 / See a l s o G holson v . E s t e l l e , C i v i l A c tio n
[fo o tn o te — / co n tin u es on nex t page]
- 57 -
i n v o l v e d a n y q u e s t i o n o f t h e s o r t . I n
J jj r_e k t h e C o u r t m e r e l y n o t e d t h a t t h e
c r i m i n a l j u s t i c e s y s t e m f r e q u e n t l y makes
a s s e s s m e n t s o f d a n g e r o u s n e s s , and e x p r e s s e d
no v i e w a s t o w h a t k i n d o f e v i d e n c e s h o u l d
o r s h o u l d n o t be c o n s i d e r e d i n a r r i v i n g a t
t h o s e a s s e s s m e n t s . 428 U . S . a t 2 7 5 - 7 6 . I n
S m i t h t h e C o u r t i n t e r p r e t e d J u r e k a s n o t
n e c e s s a r i l y " d i s a p p r o v i n g t h e u s e o f p s y c h
i a t r i c t e s t i m o n y b e a r i n g on t h e i s s u e o f
f u t u r e d a n g e r o u s n e s s , " 451 U . S . a t 4 7 3 , b u t
n e i t h e r d i d t h e C o u r t e n d o r s e t h e u s e o f
s u c h t e s t i m o n y u n d e r a l l c i r c u m s t a n c e s . — 7
35/ continued
No. W-78-CA-68, s l i p op. a t 6 (W.D. Tex. O ct. 31,
1979)("Although n o t n ecessa ry to th e d is p o s i t io n o f
th e m a tte r b e fo re i t , th e C ourt w ishes to ex p ress
i t s re s e rv a tio n s about th e v a l id i t y o f th e conclu
s io n s reached by D rs. Holbrook and G rigson , as w ell
as th e re lev an cy o f t h e i r testim ony in d ec id in g th e
s p e c ia l v e rd ic t q u e s tio n s under [Tex. Code. Crim.
P ro .] A r t ic le 37 .0 7 1 "), a f f ' d on o th e r g rounds, 675
F.2d 734 (5 th C ir . 1982).
36/ The Court s a id on ly th a t i t s "hold ing based on
th e F if th and S ix th Amendments w il l no t p rev en t th e
S t a t e in c a p i t a l c a s e s from p ro v in g th e d e fe n d
a n t ' s fu tu re dangerousness as re q u ire d by s t a t u t e .
[ f o o tn o te — / c o n t in u e s on n e x t page]
- 58 -
The C o u r t t o o k n o t e o f t h e s t r o n g c o n c e r n s
e x p r e s s e d b y t h e A m e r i c a n P s y c h i a t r i c
A s s o c i a t i o n , 451 U . S . a t 4 7 2 , s t a t e d t h a t
" t h e i n q u i r y m a n d a t e d by T e x a s l a w d o e s n o t
r e q u i r e r e s o r t t o m e d i c a l e x p e r t s " (_id. a t
4 7 3 ) , and e x p r e s s e d no d i s s a t i s f a c t i o n w i t h
t h e n o t i o n t h a t t h e S t a t e o f T e x a s m i g h t
h a v e t o "make i t s c a s e on f u t u r e d a n g e r o u s
n e s s some o t h e r way" ( j id. a t 4 6 9 ) . T h i s
C o u r t i s w e l l a w a r e t h a t " [ g ] i v e n t h e l a c k
o f c e r t a i n t y and t h e f a l l i b i l i t y o f p s y c h
i a t r i c d i a g n o s i s , " t h e r e i s a " s e r i o u s
q u e s t i o n " a s t o w h e t h e r s u c h e x p e r t t e s t i
mony c a n e v e r e s t a b l i s h f u t u r e d a n g e r o u s
n e s s b e y o n d a r e a s o n a b l e d o u b t . A d d i n g t o n
36/ con tinued
A defendan t may re q u e s t o r consen t to a p s y c h ia tr ic
exam ination concerning fu tu re dangerousness in th e
hope o f escap ing th e d ea th p e n a lty . In a d d it io n , a
d i f f e r e n t s i tu a t io n a r i s e s where a defendan t in ten d s
to in tro d u ce p s y c h ia tr ic evidence a t th e p e n a lty
p h ase ." 451 U.S. a t 472. Both o f th e se c a re fu l
re s e rv a tio n s reg a rd in g th e scope o f th e F if th and
S i x t h Amendment p r o h i b i t i o n s announced in Sm ith
appear to contem plate a p s y c h ia tr ic exam ination o f
th e d e fen d an t. N e ith e r can conceivab ly be read as
a p p r o v i n g t h e a d m i s s i b i l i t y o f h y p o t h e t i c a l
p s y c h ia tr ic o p in io n s o f fu tu re dangerousness over
E ighth Amendment o b je c t io n .
- 59 -
v . T e x a s , 4 4 1 U . S . 4 1 8 , 4 2 9 ( 1 9 7 9 ) .
A p p a r e n t l y , t h e r e a s o n i n g b y w h i c h t h e
F i f t h C i r c u i t c o n c l u d e d t h a t J u r e k a n d
S m i t h h a d s p o k e n t o t h e i s s u e p r e s e n t e d
i n t h e i n s t a n t c a s e was t h a t by a p p r o v i n g
a l a y j u r y ' s d e c i s i o n r e g a r d i n g f u t u r e
d a n g e r o u s n e s s a s t h e b a s i s f o r a d e a t h
s e n t e n c e , t h e C o u r t had n e c e s s a r i l y com
m i t t e d i t s e l f t o a c c e p t a n c e o f t h e a d m i s s i
b i l i t y o f t e s t i m o n y t o t h e sam e c o n c l u s i o n
"by a m e n t a l h e a l t h p r o f e s s i o n a l , t r a i n e d
t o d e t e c t m e n t a l i l l n e s s and p e r s o n a l i t y
t y p e s . " S l i p o p . a t 1 0 . B u t t h i s i s a
c o m p l e t e n o n s e q u i t u r . F o r t h e E i g h t h
Amendment v i c e o f a d m i t t i n g h y p o t h e t i c a l
p s y c h i a t r i c t e s t i m o n y c o n j e c t u r i n g a t
f u t u r e d a n g e r o u s n e s s i s p r e c i s e l y t h a t i t
d o e s a p p e a r t o come f r o m a t r a i n e d m e n t a l
h e a l t h p r o f e s s i o n a l , a n d s o i s f a t a l l y
m i s l e a d i n g i n v i e w o f i t s t o t a l s c i e n t i f i c
g r o u n d l e s s n e s s . As t h e D i s t r i c t C o u r t f o r
t h e S o u t h e r n D i s t r i c t o f T e x a s p e r c e p t i v e l y
60
n o t e d i n W h i t e v . E s t e l l e , ____ F . S u p p . ____,
C i v i l A c t i o n No. H -8 1 -1 6 6 1 , s l i p o p . a t 17
( S . D . T e x . De c . 3 0 , 1 9 8 2 ) , s u c h h y p o t h e t i
c a l s p e c u l a t i o n w i t h o u t e x a m i n a t i o n o f t h e
d e f e n d a n t " i s n o t a p r o f e s s i o n a l , b u t a l a y
o p i n i o n [ f o o t n o t e o m i t t e d ] . H o w e v e r , when
t h i s l a y o p i n i o n i s p r o f e r r e d by a w i t n e s s
b e a r i n g t h e t i t l e ' D o c t o r , ' i t s i m p a c t on
t h e j u r y i s much g r e a t e r t h a t i f i t w ere
n o t m a s q u e r a d i n g a s s o m e t h i n g i t i s n o t . "
The m a s q u e r a d e i s w h a t c r e a t e s t h e u n r e l i a
b i l i t y , c a l l i n g t h e E i g h t h Amendment i n t o
p l a y .
G i v e n " t h e g r a v i t y o f t h e d e c i s i o n t o
b e m a d e a t t h e p e n a l t y p h a s e " o f T e x a s
c a p i t a l c a s e s , E s t e l l e v . S m i t h , s u p r a , 451
U . S . a t 4 6 3 , i t w o u l d m a k e a m o c k e r y o f
c a p i t a l s e n t e n c i n g t o t u r n e v e r y c a s e i n t o
a b a t t l e o f e x p e r t s i n w h i c h t h e p r o s e c u t i o n
f i r s t p r e s e n t s a p s y c h i a t r i s t s u c h a s Dr .
G r i g s o n t o t e s t i f y " h y p o t h e t i c a l l y , " and
d e f e n s e c o u n s e l t h e n c r o s s - e x a m i n e s w i t h
v o l u m e s o f p s y c h i a t r i c l i t e r a t u r e , c a l l s
61
r e p r e s e n t a t i v e s o f t h e A m e r i c a n P s y c h i a t r i c
A s s o c i a t i o n a s r e b u t t a l w i t n e s s e s , o r b o t h .
Y e t , g i v e n t h e p e r s i s t e n c e o f Dr . G r i g s o n
and o f T e x a s p r o s e c u t o r s ( s u c h a s t h e one
who t r i e d p e t i t i o n e r ' s c a s e ) who b e l i e v e
t h a t i t i s a " b r i l l i a n t " i d e a (T . 254) t o
u t i l i z e h i s s e r v i c e s i n t h i s f a s h i o n , t h a t
w o u l d b e t h e i n e v i t a b l e r e s u l t o f a n
a f f i r m a n c e h e r e . S u r e l y , t h i s C o u r t d i d
n o t , i n u p h o l d i n g t h e T e x a s c a p i t a l s e n t e n c
i n g s y s t e m i n J u r e k , i n t e n d t o p r o d u c e s u c h
a f a r c e . The C o u r t c a n and s h o u l d c o n s e
q u e n t l y h o l d t h a t t h e t e s t i m o n y o f D o c t o r s
G r i g s o n and H o l b r o o k a t p e t i t i o n e r ' s t r i a l
w a s s o i n h e r e n t l y u n r e l i a b l e a s t o b e
i n a d m i s s i b l e i n a c a p i t a l c a s e u n d e r t h e
E i g h t h and F o u r t e e n t h Amen d men t s .
CONCLUSION
T h i s C o u r t s h o u l d r e v e r s e t h e j u d g m e n t
o f t h e F i f t h C i r c u i t and o r d e r t h e g r a n t i n g
o f h a b e a s c o r p u s r e l i e f t o t h e e x t e n t o f
v a c a t i n g p e t i t i o n e r ' s d e a t h s e n t e n c e . I n
62
t h e a l t e r n a t i v e , s h o u l d t h e C o u r t d e c l i n e
t o r e s o l v e t h e m e r i t s o f p e t i t i o n e r ' s
c o n s t i t u t i o n a l c l a i m s , t h e C o u r t s h o u l d
r e ma nd t h e c a s e t o t h e F i f t h C i r c u i t w i t h
i n s t r u c t i o n s t o e n t e r a s t a y o f e x e c u t i o n
and t o h e a r p e t i t i o n e r ' s a p p e a l .
R e s p e c t f u l l y s u b m i t t e d ,
JACK GREENBERG
JAMES M. NABRIT, I I I
JOEL BERGER*
JOHN CHARLES BOGER
DEBORAH FINS
JAMES S . LIEBMAN
S u i t e 2030
10 C ol umbus C i r c l e
New Y o r k , New Yor k 10019
[212] 5 8 6 - 8 3 9 7
ANTHONY G. AMSTERDAM
New Yor k U n i v e r s i t y S c h o o l
o f Law
40 W a s h i n g t o n S q u a r e S o u t h
New Y o r k , New Yor k 10012
[212] 5 9 8 - 2 6 3 8
A t t o r n e y s f o r t h e NAACP L e g a l D e f e n s e
and E d u c a t i o n a l F u n d , I n c .
* C o u n s e l o f R ec o rd
D a t e d : March 4 , 1983
63
APPENDICES
APPENDIX A
TESTIMONY OF DOCTORS HOLBROOK AND GRIGSON
AT THE PENALTY PHASE OF PETITIONER'S TRIAL
N e i t h e r D o c t o r H o l b r o o k n o r D o c t o r
G r i g s o n had e x a m i n e d p e t i t i o n e r . SF 2 0 1 4 ,
2 0 6 3 , 2 0 7 3 , 2 1 0 1 , 2 1 1 0 , 2 1 3 2 . N e v e r t h e
l e s s , b o t h w e r e a l l o w e d t o o f f e r e x p e r t
t e s t i m o n y , o v e r p e t i t i o n e r ' s r e p e a t e d o b
j e c t i o n (SF 2 0 4 2 - 4 4 , 2 0 6 5 - 6 6 , 2 0 9 1 , 2 1 2 6 ,
2 1 3 0 - 3 1 ) , i n w h i c h t h e y d i a g n o s e d p e t i
t i o n e r and p r e d i c t e d h i s f u t u r e c o m m i s s i o n
o f v i o l e n t c r i m i n a l a c t s s o l e l y upon t h e
b a s i s o f a l e n g t h y " h y p o t h e t i c a l " q u e s t i o n
w h i c h e n c o m p a s se d v i r t u a l l y e v e r y s h r e d o f
t e s t i m o n y a d d u c e d by t h e p r o s e c u t i o n a t t h e
g u i l t a n d p e n a l t y t r i a l s ( S F 2 0 1 6 - 3 1 ,
2 0 7 3 - 9 1 , 2 1 1 1 - 2 6 ) .
I n t h i s m a n n e r , D o c t o r H o l b r o o k
d i a g n o s e d T h o m a s B a r e f o o t , " w i t h i n a
r e a s o n a b l e p s y c h i a t r y [s i c ] c e r t a i n t y , " a s
a " c r i m i n a l s o c i o p a t h . " SF 2 0 9 7 . He
t e s t i f i e d t h a t he knew o f no t r e a t m e n t t h a t
c o u l d c h a n g e t h i s c o n d i t i o n , and t h a t t h e
c o n d i t i o n wou l d n o t c h a n g e f o r t h e b e t t e r
b u t "may becom e a c c e l e r a t e d " i n t h e n e x t
f ew y e a r s . SF 2 1 0 0 . F i n a l l y , D r . H o l b r o o k
t e s t i f i e d a s f o l l o w s :
Q. [By t h e P r o s e c u t o r ] I f y o u w ou l d
a s s u m e t h e f a c t s t h a t I h a v e
g i v e n yo u i n t h e h y p o t h e t i c a l a s
t r u e , c a n you t e l l u s w h e t h e r o r
n o t y o u h a v e a n o p i n i o n w i t h i n
r e a s o n a b l e p s y c h i a t r i c c e r t a i n t y
a s t o w h e t h e r o r n o t t h e r e i s a
p r o b a b i l i t y t h a t t h e T h o m a s A.
B a r e f o o t i n t h a t h y p o t h e t i c a l
w i l l c o m m i t c r i m i n a l a c t s o f
v i o l e n c e i n t h e f u t u r e t h a t w ou l d
c o n s t i t u t e a c o n t i n u i n g t h r e a t t o
s o c i e t y ?
* * *
A. I n my o p i n i o n h e w i l l .
Q. W ould t h a t o p i n i o n c h a n g e i f we
w e r e t a l k i n g a b o u t t h e s o c i e t y
w i t h i n t h e T e x a s D e p a r t m e n t o f
C o r r e c t i o n s a s o p p o s e d t o t h e
s o c i e t y o f B e l l C o u n t y , T e x a s ?
A. I t w ou l d n o t .
SF 2 1 0 0 -0 1 .
D r . G r i g s o n t e s t i f i e d , b a s e d s o l e l y
upon t h e p r o s e c u t o r ' s h y p o t h e t i c a l q u e s
t i o n , t h a t h e c o u l d d i a g n o s e T h o m a s
B a r e f o o t " w i t h i n r e a s o n a b l e p s y c h i a t r i c
2 a
c e r t a i n t y " a s a n i n d i v i d u a l w i t h " a f a i r l y
c l a s s i c a l , t y p i c a l , s o c i o p a t h i c p e r s o n a l i t y
d i s o r d e r . " SF 2 1 2 7 - 2 8 . He p l a c e d p e t i
t i o n e r i n t h e " m o s t s e v e r e c a t e g o r y " o f
s o c i o p a t h s , and s t a t e d t h a t t h e r e was no
known c u r e f o r t h i s c o n d i t i o n . SF 2 1 2 9 .
F i n a l l y , D r . G r i g s o n t e s t i f i e d t o t h e
f o l l o w i n g :
Q. [By t h e P r o s e c u t o r ] A s s u m i n g a s
t r u e t h e f a c t s o f t h e h y p o t h e t i
c a l q u e s t i o n w h i c h I h a v e j u s t
r e c i t e d t o y o u , d o y o u h a v e a n
o p i n i o n w i t h i n r e a s o n a b l e
p s y c h i a t r i c c e r t a i n t y w h e t h e r o r
n o t t h e r e i s a p r o b a b i l i t y t h a t
t h e d e f e n d a n t , T h o m a s A n d r e w
B a r e f o o t , w i l l c o m m i t c r i m i n a l
a c t s o f v i o l e n c e t h a t w o u l d
c o n s t i t u t e a c o n t i n u i n g t h r e a t t o
s o c i e t y ?
A. Y e s , s i r , I h a v e a n o p i n i o n t o
t h a t .
Q. W h a t w o u l d t h a t o p i n i o n b e ?
A. Y e s , h e m o s t c e r t a i n l y w o u l d .
Q. W o u l d y o u s t a t e w h e t h e r o r n o t
t h a t w o u l d b e t r u e r e g a r d l e s s
w h e r e he i s ?
A. I t w o u l d n ' t m a t t e r w h e t h e r h e was
i n t h e p e n i t e n t i a r y o r w h e t h e r he
3a
w as f r e e . W h e r e v e r h e i s h e ' s
g o i n g t o c o n t i n u e w h a t h e ' s
a l r e a d y b e e n d o i n g .
Q. Would yo u s t a t e w h e t h e r o r n o t ,
D o c t o r G r i g s o n , y o u h a v e a n
o p i n i o n w i t h i n r e a s o n a b l e p s y c h
i a t r i c c e r t a i n t y a s t o t h e d e g r e e
o f t h a t p r o b a b i l i t y t h a t yo u h a v e
j u s t e x p r e s s e d t o t h i s j u r y ?
A. W e l l , y e s , s i r , I w ou l d p u t i t a t
o n e h u n d r e d p e r c e n t and a b s o l u t e .
SF 2 1 3 1 .
On c r o s s e x a m i n a t i o n , D r . G r i g s o n
c o n c e d e d t h a t h e was n o t f a m i l i a r w i t h t h e
A m e r i c a n P s y c h i a t r i c A s s o c i a t i o n T a s k F o r c e
R e p o r t on C l i n i c a l A s p e c t s o f t h e V i o l e n t
I n d i v i d u a l and s e v e r a l o t h e r s t u d i e s c o n
c e r n i n g t h e a b i l i t y o f p s y c h i a t r i s t s t o
p r e d i c t d a n g e r o u s n e s s . SF 2 1 3 3 - 3 4 . He
t h e n t e s t i f i e d a s f o l l o w s :
Q. A r e yo u a w a r e , d o c t o r , t h a t i t i s
t h e p o s i t i o n o f t h e A m e r i c a n
P s y c h i a t r i c A s s o c i a t i o n t h a t
p s y c h i a t r i s t s c a n n o t r e l i a b l y
p r e d i c t w h e t h e r o r n o t som eone —
c r i m i n a l s i n t h e f u t u r e a r e
g o i n g t o commi t a c t s o f v i o l e n c e ?
A. No , t h a t ' s n o t t r u e . T h i s i s
t h a t sam e g r o u p t h a t f o u n d hom o-
4a
s e x u a l i t y was n o t an i l l n e s s and
t h i s i s a s m a l l m i n o r i t y g r o u p .
Q. I h a v e n ' t i d e n t i f i e d t h e g r o u p ,
s i r .
A. T h i s i s o n l y a v e r y s m a l l m i n o r
i t y g r o u p . I t ' s n o t t h e A m e r i c a n
P s y c h i a t r i c A s s o c i a t i o n t h a t
b e l i e v e s t h a t .
SF 2 1 3 4 .
5a
APPENDIX B
PRIOR APPEARANCES OF DOCTORS JAMES P . GRIGSON
AND JOHN T. HOLBROOK AS WITNESSES FOR THE
______ PROSECUTION IN TEXAS CAPITAL CASES________
Amicus i s a w a re o f a t l e a s t 23 c a p i t a l
c a s e s i n w h i c h D r . G r i g s o n h a s t e s t i f i e d
f o r t h e p r o s e c u t i o n . H i s t e s t i m o n y i s
r e p o r t e d i n S m i t h v . S t a t e , 540 S . W. 2 d 693
( T e x . C r i m . App. 1 9 7 6 ) ; G h o l s o n v . S t a t e ,
54 2 S . W . 2 d 3 9 5 ( T e x . C r i m . A p p . 1 9 7 6 ) ;
L i v i n g s t o n v . S t a t e , 542 S . W. 2d 655 ( T e x .
C r i m . A p p . 1 9 7 6 ) ; M o o r e v . £5 t_a _t e_, 5 4 2
S . W .2 d 644 ( T e x . C r i m . A pp. 1 9 7 6 ) ; C o l l i n s
v . S t a t e , 5 4 8 S . W . 2 d 3 6 8 ( T e x . C r i m .
A pp. 1 9 7 6 ) ; Hughes v . S t a t e , 563 S . W . 2 d 581
( T e x . C r i m . App. 1 9 7 8 ) ; C h am b e r s v . S t a t e ,
5 68 S . W , 2d 31 3 ( T e x . C r i m . A p p . 1 9 7 8 ) ;
Adams v . S t a t e , 577 S . W. 2d 717 ( T e x . C r i m .
App. 1 9 7 8 ) ; Sim m ons v . S t a t e , 594 S . W. 2 d
760 ( T e x . C r i m . App. 1 9 8 0 ) ; R o d r i q u e z v .
S t a t e , 59 7 S . W . 2 d 9 1 7 ( T e x . C r i m . A p p .
1 9 8 0 ) ; B r a n d o n v . S t a t e , 5 99 S . W . 2 d 5 6 7
( T e x . C r i m . A pp. 1 9 8 0 ) ; H o l l o w a y v . S t a t e ,
6 1 3 S . W . 2 d 4 9 7 ( T e x . C r i m . A p p . 1 9 8 1 ) ;
1b
H a w k i n s v . S t a t e , 61 3 S . W . 2 d 72 0 ( T e x .
C r i m . App. 1 9 8 1 ) ; Thom pson v . S t a t e , 621
S . W. 2 d 6 2 4 ( T e x . C r i m . A p p . 1 9 8 1 ) ; a n d
t h e i n s t a n t B a r e f o o t c a s e . Our s c r u t i n y
o f s t a t e t r i a l r e c o r d s and p o s t c o n v i c t i o n
p l e a d i n g s r e v e a l s t h a t he a l s o t e s t i f i e d
f o r t h e p r o s e c u t i o n i n B o u l w a r e v . S t a t e ,
542 S . W. 2 d 6 7 7 ( T e x . C r i m . A p p . 1 9 7 6 ) ;
W h i t e v . S t a t e , 543 S . W. 2d 105 ( T e x . C r i m .
App. 1 9 7 6 ) ; H o v i l a v . S t a t e , 562 S . W. 2d 243
( T e x . C r i m . App. 1 9 7 7 ) ; J o n e s v . S t a t e , 568
S . W.2d 847 ( T e x . C r i m . App. 1 9 7 8 ) ; F e r g u s o n
v . S t a t e , 573 S . W. 2d 516 ( T e x . C r i m . App.
1 9 7 8 ) ; A r m o u r v . S t a t e , 583 S . W . 2 d 349
( T e x . C r i m . A pp. 1 9 7 9 ) ; W i l d e r v . S t a t e ,
583 S . W. 2d 349 ( T e x . C r i m . A pp. 1 9 7 9 ) ; and
B u r k s v . S t a t e , 583 S . W. 2d 389 ( T e x . C r i m .
App. 1 9 7 9 ) .
1 n C h a m b e r s v . S t a t e , s u g r a , D r .
G r i g s o n t e s t i f i e d t h a t ; n [m]y p r o f e s s i o n
d o e s n ' t s t a t e t h a t I ' v e g o t t o w a i t u n t i l
2b
he k i l l s t w e n t y p e o p le b e f o r e I c a n c a l l
h im a s o c i o p a t h . " 568 S . W . 2 d a t 3 2 6 . When
a s k e d by d e f e n s e c o u n s e l why a n o t h e r exam
i n a t i o n o f t h e d e f e n d a n t was u n n e c e s s a r y ,
t h e d o c t o r r e s p o n d e d : " I d o n ’ t n e e d t o s e e
h i m a g a i n a n d p u t my l i f e i n j e o p a r d y . "
I b i d . And t h e d o c t o r d e s c r i b e d t h e d e f e n d
a n t a s a " ' c a n c e r o u s t y p e p e r s o n ' wh o
s h o u l d be rem o v ed f r o m s o c i e t y . " i b i d . I n
R o d r i q u e z v . S t a t e , s u p r a , D r . G r i g s o n
t e s t i f i e d t o a l l e g e d e x t r a n e o u s u n a d j u d i
c a t e d o f f e n s e s o f t h e d e f e n d a n t b a s e d
s o l e l y upon t h e p r o s e c u t o r ' s s t a t e m e n t s t o
h i m , when i n f a c t t h e o f f e n s e r e p o r t s f o r
t h o s e o f f e n s e s ( w h i c h t h e d o c t o r had n o t
b o t h e r e d t o r e a d p r i o r t o h i s t e s t i m o n y )
d e c l a r e d t h e c h a r g e s t o b e " u n f o u n d e d . "
597 S . W .2 d a t 925 ( P h i l l i p s , J . d i s s e n t i n g ) .
I n H o i l o w a y v . S t a t e , s u p r a , D r .
G r i g s o n d i d n o t e x a m i n e t h e d e f e n d a n t b u t
r a t h e r t e s t i f i e d s o l e l y on t h e b a s i s o f h i s
c o n v e r s a t i o n s w i t h p o l i c e o f f i c e r s , j a i l
3b
o f f i c i a l s and o t h e r p e r s o n s who knew t h e
d e f e n d a n t , p l u s h i s r e v i e w o f t h e o f f e n s e
r e p o r t a n d a m e d i c a l i n f o r m a t i o n f o r m
f i l l e d o u t b y t h e d e f e n d a n t u p o n a d m i s
s i o n t o t h e c o u n t y j a i l . The T e x a s C o u r t o f
C r i m i n a l A p p e a l s h e l d t h i s t e s t i m o n y i n a d
m i s s i b l e on s t a t e l a w g r o u n d s . 613 S . W. 2d
a t 5 0 0 - 0 3 .
P r i o r t o h i s s u i c i d e i n 1 9 8 0 , D r .
H o lb ro o k t e s t i f i e d f o r t h e p r o s e c u t i o n i n
13 c a p i t a l c a s e s o f w h i c h we a r e a w a r e . He
a p p e a r e d w i t h D r . G r i g s o n i n Gh o l s o n ,
L i v i n g s t o n , M o o r e , H u g h e s , A da ms , B r a n d o n ,
B o u l w a r e , W h i t e , F e r g u s o n , and t h e i n s t a n t
B a r e f o o t c a s e . He a l s o t e s t i f i e d on h i s
own i n R o ss v . S t a t e , 542 S.W. 2d 395 ( T e x .
C r i m . A pp. 1 9 7 6 ) ; G r a n v i e l v . S t a t e , 552
S . W . 2d 107 ( T e x . C r i m . A p p . 1 976 ) ; a n d
Muniz v . S t a t e , 573 S . W. 2d 792 ( T e x . C r i m .
App. 1 9 7 8 ) .
We a r e a w a r e o f a t o t a l o f 39 T e x a s
4b
c a p i t a l c a s e s i n w h i c h p s y c h i a t r i s t s h a v e
t e s t i f i e d f o r t h e S t a t e . D r . G r i g s o n ' s 23
r e p r e s e n t s 59% o f t h i s t o t a l ; D r . H o l
b r o o k ' s 13 r e p r e s e n t s o n e - t h i r d o f t h e
t o t a l . As o f 1 9 7 9 , D r . G r i g s o n c l a i m e d t o
h a v e t e s t i f i e d f o r t h e S t a t e i n m o re t h a n
50 T e x a s c a p i t a l c a s e s . See D a l l a s T i mes
H e r a l d , S e p t . 3 0 , 1 9 7 9 , p . 1. S e e a l s o
B l o o m , K i l l e r s a n d S h r i n k s , T h e T e x a s
M o n t h l y , J u l y 1 9 78 .
5b -
APPENDIX C
TESTIMONY OF THE EXPERT WITNESSES AT THE
________HEARING IN THE DISTRICT COURT______
P e t i t i o n e r c a l l e d two e x p e r t w i t n e s s e s ,
p s y c h i a t r i s t F re d L. F a s o n and p s y c h o l o g i s t
W e n d e l l L e e D i c k e r s o n . T . 7 - 8 , 9 3 . — ^
B o th w e r e e x t r e m e l y c r i t i c a l o f t h e t e s t i
mony o f D o c t o r s G r i g s o n a n d H o l b r o o k a t
p e t i t i o n e r ' s t r i a l .
D r . F a s o n , who p e r s o n a l l y b e l i e v e s i n
c a p i t a l p u n i s h m e n t (T . 4 7 ) , t e s t i f i e d t h a t
n o r e s p o n s i b l e p h y s i c i a n w o u l d r e n d e r a
d i a g n o s i s t o a r e a s o n a b l e m e d i c a l c e r t a i n t y
w i t h o u t t a k i n g a c o m p le te h i s t o r y , p e r f o r m
i n g t e s t s , a n d c o n d u c t i n g a t h o r o u g h
e x a m i n a t i o n . T. 2 4 , 2 9 - 3 0 , 3 4 , 3 6 , 4 4 , 4 6 ,
4 8 , 5 4 , 7 3 . He s t a t e d f l a t l y t h a t " f r o m a
h y p o t h e t i c a l s i t u a t i o n a l l you c a n a r r i v e
a t i s an i m p r e s s i o n b u t n o t a d i a g n o s i s t o
a r e a s o n a b l e d e g r e e o f m e d i c a l c e r t a i n
t y . " T. 4 4 . He a d d e d t h a t
V Numbers preceded by "T." r e f e r to pages o f th e
t r a n s c r ip t o f th e hearin g conducted in th e fe d e ra l
d i s t r i c t c o u r t .
- 1c -
T h e r e i s n ' t a l e a d i n g h o s p i t a l i n
t h i s c o u n t r y t h a t w o u ld a l l o w yo u
t o c o n t i n u e t o p r a c t i c e o n t h e
s t a f f i f yo u made l i f e and d e a t h
d e c i s i o n s on t h a t s o r t o f
i n a d e q u a t e d a t a . . . o t h e r t h a n
[ i n ] an e m e r g e n c y .
T. 3 6 . Dr . F a so n c r i t i c i z e d t h e r e n d e r i n g
o f a d i a g n o s i s t o a r e a s o n a b l e m e d i c a l c e r
t a i n t y i n t h i s c a s e a s " a b s u r d , " T . 3 6 ,
s t a t i n g t h a t i n a ny h o s p i t a l w h e r e he was
on t h e s t a f f , i f a d o c t o r s a i d t h a t h e was
1 0 0 % s u r e o f s o m e t h i n g w i t h o u t e x a m i n i n g
t h e p a t i e n t "we w o u l d k i c k h i m o f f t h e
s t a f f o f t h e h o s p i t a l f o r h i s a r r o g a n c e . "
T. 4 8 .
Dr . F a so n t e s t i f i e d t h a t i f a s k e d by a
m e d i c a l s t u d e n t f o r an o p i n i o n b a s e d upon
t h e h y p o t h e t i c a l q u e s t i o n i n t h i s c a s e , he
w ou l d g u e s s a 90% i m p r e s s i o n o f s o c i o p a t h y .
T. 2 2 . B u t he s t r e s s e d t h a t t h i s 90% f i g u r e
r e f e r r e d s o l e l y t o an " i n i t i a l i m p r e s s i o n , '
T. 2 2 , 5 6 , 7 2 , n o t a d i a g n o s i s t o a r e a s o n
a b l e d e g r e e o f m e d i c a l c e r t a i n t y . T . 4 4 .
He m a i n t a i n e d f i r m l y t h a t t h e h y p o t h e t i c a l
2c
q u e s t i o n p r o v i d e d i n s u f f i c i e n t d a t a f o r a ny
r e s p o n s i b l e d o c t o r " t o h a v e a r r i v e d a t a
d i a g n o s i s w i t h a r e a s o n a b l e d e g r e e o f
m e d i c a l c e r t a i n t y . " T. 54 .
D r . F a s o n ' s t e s t i m o n y d e a l t a l m o s t
e n t i r e l y w i t h t h e r e n d e r i n g o f a d i a g n o s i s
b a s e d upon a h y p o t h e t i c a l q u e s t i o n , and d i d
n o t d w e l l u p o n t h e g e n e r a l a b i l i t y o f
p s y c h i a t r i s t s t o p r e d i c t p r o b a b l e f u t u r e
d a n g e r o u s n e s s . He d i d , h o w e v e r , s t a t e t h a t
a s a p s y c h i a t r i s t he c o u l d n o t t e s t i f y t h a t
t h e r e i s no c u r e f o r a s o c i o p a t h i c c o n d i
t i o n and c o u l d n o t t e s t i f y t h a t a d e f e n d a n t
s e n t e n c e d t o l i f e i m p r i s o n m e n t w o u l d
p r e s e n t a d a n g e r t o o t h e r i n m a t e s i n t h e
p r i s i o n s y s t e m . T. 4 6 - 4 7 .
Dr . D i c k e r s o n f l a t l y r e f u s e d t o r e n d e r
any d i a g n o s i s o f p e t i t i o n e r b a s e d upon t h e
h y p o t h e t i c a l q u e s t i o n : " I wo u l d d e c l i n e t o
m a k e a n y d i a g n o s t i c i m p r e s s i o n o f M r .
B a r e f o o t . " T. 1 1 6 . He a g r e e d t h a t i f he
w e re a s k e d t o r e s p o n d t o t h e h y p o t h e t i c a l
3c
o n a m e d i c a l b o a r d e x a m i n a t i o n h e w o u l d
s u s p e c t s o c i o p a t h y , a l t h o u g h he w o u l d n ' t
r a t e t h e d e g r e e o f s u s p i c i o n a s h i g h a s
90%. T. 1 1 6 - 1 1 7 . He l i k e n e d b e t t i n g on
t h e o u tc o m e o f a " r e a l d i a g n o s t i c s t u d y "
t o " a s k i n g me t o b e t o n a h o r s e r a c e . " T.
1 1 6 .
D r . D i c k e r s o n f u r t h e r t e s t i f i e d t h a t ,
r e g a r d l e s s o f t h e d i a g n o s i s , p s y c h i a t r i s t s
and p s y c h o l o g i s t s a r e i n c a p a b l e o f p r e d i c t
i n g l o n g - t e r m f u t u r e d a n g e r o u s n e s s . T .
9 5 - 9 8 , 1 0 0 , 1 0 8 - 1 0 9 . He c i t e d t o s e v e r a l
r e s p e c t e d s t u d i e s , i n c l u d i n g o n e o f v i o l e n t
o f f e n d e r s , c o n f i r m i n g t h i s p o i n t . T. 9 4 - 9 8 .
He s u m m a r i z e d t h e l i t e r a t u r e a s f o l l o w s :
w i t h o u r a b i l i t y t o p r e d i c t a t
t h i s p o i n t , we h a v e g o t t o
r e c o g n i z e t h a t we a r e w r o n g i n
a b o u t 2 o u t o f e v e r y 3 o f t h e
p e o p l e t h a t we h a v e p r e d i c t e d
w o u l d c o m m i t a f u t u r e a c t o f
v i o l e n c e .
T. 1 0 8 .
D r . D i c k e r s o n s t r e s s e d t h a t h e was
4c -
f i r m i n t h i s c o n c l u s i o n r e g a r d l e s s o f t h e
d i a g n o s i s i n a g i v e n c a s e . I n h i s e x p e r i
e n c e , a f t e r s e r v i n g f o r f o u r y e a r s a s C h i e f
o f P s y c h o l o g i c a l and M e n t a l H e a l t h S e r v i c e s
f o r t h e T e x a s D e p a r t m e n t o f C o r r e c t i o n s (T.
9 4 ) , " p r o b a b l y 70 p e r c e n t o f t h e f o l k s i n
t h e r e c o u l d be d i a g n o s e d a s a s o c i o p a t h ,
w h a t e v e r t h a t w a s t e b a s k e t d i a g n o s i s m e a n s . "
T. 1 0 2 . Dr . D i c k e r s o n t e s t i f i e d t h a t e v e n
i f o n e i s 90% s u r e t h a t an i n d i v i d u a l i s a
s o c i o p a t h , o n e c a n n o t b e 90% s u r e i n
p r e d i c t i n g t h a t h e w i l l com m it f u t u r e a c t s
o f v i o l e n c e . T . 1 1 8 . To t h e c o n t r a r y ,
" w h a t e v e r t h e [ d i a g n o s t i c ] e s t i m a t e was we
h a v e t o r e c o g n i z e t h a t t h e p o s s i b i l i t y o f
b e i n g w rong i n t h a t p r e d i c t i o n i s a b o u t 2
o u t o f 3 . " T. 1 1 8 .
D r . D i c k e r s o n t e s t i f i e d t h a t D r .
G r i g s o n 1s c l a i m t h a t h e c o u l d p r e d i c t
f u t u r e v i o l e n c e on Mr. B a r e f o o t ' s p a r t
t o a 100% d e g r e e o f c e r t a i n t y " i s n o t
5c
s u p p o r t e d b y a n y . . . o f t h e o b j e c t i v e
r e s e a r c h o n t h e i s s u e . " T . 1 0 0 . " I
f i n d a b s o l u t e l y no e v i d e n c e i n t h e p r o f e s
s i o n a l l i t e r a t u r e , o r e v e n t h e f o l k l o r e o f
t h e p r o f e s s i o n t o s u b s t a n t i a t e s u c h a
c l a i m . " T. 1 0 9 .
The S t a t e c a l l e d two e x p e r t w i t n e s s e s ,
p s y c h o l o g i s t G e o rg e P a r k e r and p s y c h i a t r i s t
R i c h a r d K o o n s . T . 1 8 4 , 2 0 7 , 2 2 4 . B o th
a g r e e d t h a t n o t a l l s o c i o p a t h s w i l l com m it
f u t u r e a c t s o f v i o l e n c e t h a t a r e d a n g e r o u s
t o s o c i e t y , T . 1 8 9 , 2 4 4 , a n d b o t h w e r e
u n w i l l i n g t o e n d o r s e D r . G r i g s o n ' s a b s o l u t e
c e r t a i n t y t h a t p e t i t i o n e r w o u l d c o m m i t
f u t u r e v i o l e n t a c t s . T . 1 9 0 , 2 3 2 , 2 4 5 . Dr .
P a r k e r a d d e d t h a t t h e c l a i m t h a t p e t i t i o n e r
w a s i n c a p a b l e o f b e i n g c u r e d a n d w o u l d
p r e s e n t a d a n g e r t o o t h e r p r i s o n e r s c o u l d
b e " m i s l e a d i n g . " T. 2 2 0 , 2 2 1 .
Dr . P a r k e r b e l i e v e d t h a t p r e d i c t i o n s
o f f u t u r e d a n g e r o u s n e s s becom e m ore a c c u r a t e
6c
i n t h e c a s e o f c o n v i c t e d f e l o n s who h a v e
co m m ited v i o l e n t c r i m e s , T. 1 9 9 , 2 0 3 , b u t
was r e l u c t a n t t o f i x a p r e c i s e p e r c e n t a g e
a s t o t h e d e g r e e o f a c c u r a c y o f t h e
p r e d i c t i o n i n t h i s c a s e , T . 1 9 0 . He
s a i d t h a t i f he "w e re p r e s s e d and p r e s s e d
and a s k e d t o a n sw e r t h a t k i n d o f q u e s t i o n , "
h e ' d p u t t h e l i k e l i h o o d o f f u t u r e d a n g e r
o u s n e s s "so m ew h ere a r o u n d 90 p e r c e n t . I
w o u ld s a y t h a t t h e l i k e l i h o o d t h a t he w i l l
do s o m e t h i n g i n t h e f u t u r e i s much g r e a t e r
t h a n i t i s t h a t he w ou l d n o t do s o m e t h i n g
d a n g e r o u s i n t h e f u t u r e . Now, w h e t h e r i t
i s 70 p e r c e n t o r 98 p e r c e n t o r w h a t e v e r , I
d o n ' t know how you a n sw e r a q u e s t i o n l i k e
t h a t . " T . 1 9 0 - 9 1 .
D r . K o o n s d i d n o t t e s t i f y t o a n y
p e r c e n t a g e , b u t o n l y te rm e d t h e l i k e l i h o o d
i n p e t i t i o n e r ' s c a s e " q u i t e h i g h " and " v e r y
h i g h . " T . 2 3 1 , 2 3 2 . He f u r t h e r t e s t i f i e d
on c r o s s e x a m i n a t i o n t h a t he p e r s o n a l y had
- 7c
n e v e r d i a g n o s e d a d e f e n d a n t i n a c a p i t a l
c a s e a s a s o c i o p a t h b a s e d s o l e l y u p o n
a h y p o t h e t i c a l q u e s t i o n , and t h a t he d i d
n o t know o f a n y p s y c h i a t r i s t s who h a d d o n e
s o o t h e r t h a n J a m e s G r i g s o n a n d J o h n
H o l b r o o k . T. 2 3 7 - 3 8 .
8c
APPENDIX D
CAPITAL CASES KNOWN TO AMICUS IN WHICH
UNITED STATES COURTS OF APPEALS AND UNITED
STATES DISTRICT COURTS HAVE GRANTED STAYS
OF EXECUTION
I . P o s t - 1 9 7 6 C a s e s I n T he F i f t h C i r c u i t
P r i o r t o i t s J a n u a r y 2 0 , 1983 d e c i s i o n
i n t h e i n s t a n t c a s e , t h e F i f t h C i r c u i t
h a d g r a n t e d s t a y s o f e x e c u t i o n i n a t l e a s t
e l e v e n c a s e s o f w h i c h a m i c u s i s a w a r e .
S p i n k e l l i n k v . W a i n w r i g h t , N o . 7 7 - 2 9 4 0
( S e p t . 6 , 1 9 7 7 ) ; J u r e k v . E s t e l l e , N o .
7 8 - 1 3 7 4 ( F e b . 2 8 , 1 9 7 8 ) ; B u r n s v . E s t e l l e ,
N o . 7 8 - 3 1 0 9 ( S e p t . 2 7 , 1 9 7 8 ) ; P o t t s V
Z a n t , N o s . 8 0 - 7 4 7 6 & 8 0 - 7 4 7 7 ( J u n e 28
1980) , m o t io n t o v a c a t e d e n i e d , 448 U.S
9 04 ( 1 9 8 0 ) ; G r a y v . L u c a s , N o . 8 1 - 4 0 1 8
( J a n . 1 6 , 1 9 8 1 ) ; W i l l i a m s v . B l a c k b u r n , No.
8 1 - 3 1 5 9 ( M a r c h 2 8 , 1 9 8 1 ) ; B a l d w i n v .
B l a c k b u r n , N o . 8 1 - 3 2 4 9 ( M a y 8 , 1 9 8 1 ) ;
B e v a n s v . M agg io an d C l a r k v . M a g g i o , N o s .
8 1 - 3 6 6 8 & 8 1 - 3 6 6 9 ( Nov . 2 , 1 9 8 1 ) ; B a l d w i n
1d
v . Ma g g i o , No. 8 2 -3 3 1 8 (May 2 4 , 1 9 8 2 ) ; Bass
v . E s t e l l e , No. 82-2341 (Aug. 1 7 , 1 9 8 2 ) ,
m o t i o n t o v a c a t e d e n i e d , 51 0 . S . L . W.
3252 (O ct . 4 , 1 9 8 2 ) ; O'Bryan v . E s t e l l e ,
691 F . 2d 706 ( 5 t h C i r . 1 9 8 2 ) , m ot ion t o
v a c a t e d e n i e d , ___ O .S . __ , No. A-396 (O ct .
2 9 , 1 9 8 2 ) . Subsequent t o t h e d e n i a l o f a
s t a y in t h i s c a s e , t h e F i f t h C i r c u i t has
g r a n t e d s t a y s i n P o r t e r v . E s t e l l e ,
No. 8 2 -2 4 9 9 (Feb. 1 , 1 9 8 3 ) , and Autry v .
E s t e l l e , No . 8 3 - 2 0 5 3 ( F e b . 1 7 , 1 9 8 3 ) .
I I . P o s t - 1 9 7 6 Cases In A l l Other C i r c u i t s
The o t h e r C i r c u i t s have g r a n t e d s t a y s
o f e x e c u t i o n in e v e r y c a p i t a l c a s e t o come
b e f o r e them s i n c e 1976 . Not a s i n g l e s t a y
a p p l i c a t i o n has been d e n i e d . The E l e v e n t h
C i r c u i t has g r a n te d s t a y s in a t l e a s t t e n
c a s e s o f w h i c h we a r e a w a r e : F o r d v .
S t r i c k l a n d , No. 8 1 - 6 2 0 0 ( D e c . 7 , 1 9 8 1 ) ;
F i n n e y v . Z a n t , No . 8 1 - 8 0 0 6 ( D e c . 2 6 ,
1 981) ; M u l l ig a n v . Z a n t , No. 8 2 -8 0 2 7 (J a n .
- 2d -
2 0 , 1 9 8 2 ) ; A n t o n e v . S t r i c k l a n d , N o .
8 2 - 5 1 2 0 ( F e b . 1 , 1 9 8 2 ) ; D o b b e r t v . S t r i c k
l a n d , 670 F . 2 d 938 ( 1 1 t h C i r . 1 9 8 2 ) ; G oode
v . W a i n w r i g h t , 6 7 0 F . 2 d 941 ( 1 1 t h C i r .
1 9 8 2 ) ; B o o k e r v . W a i n w r i q h t , 675 F . 2 d 1150
( 1 1 t h C i r . 1 9 8 2 ) ; S h r i n e r v . W a i n w r i g h t ,
N o . 8 2 - 5 4 6 9 ( A p r i l 2 0 , 1 9 8 2 ) ; H a n c e
v . Z a n t , No. 8 2 - 8 3 4 2 ( J u n e 9 , 1 9 8 2 ) ; B ro o k s
v . Z a n t , No. 8 3 - 8 0 2 8 ( J a n . 1 2 , 1 9 8 3 ) ; S e e
a l s o W e s tb ro o k v . Z a n t , No. 8 1 - 7 8 3 6 ( O c t .
16 , 1 9 8 1 ) , g r a n t i n g c e r t i f i c a t e o f p r o b a b l e
c a u s e d e n i e d b y t h e d i s t r i c t c o u r t , 518
F . S u p p . 1262 (M.D. Ga . 1 9 8 1 ) . T h e F o u r t h
C i r c u i t h a s g r a n t e d s t a y s i n t w o s u c h
c a s e s : S h a w v . M a r t i n , 6 1 3 F . 2d 4 8 7
( 4 t h C i r . 1 9 8 0 ) , r e e n f o r c e d s u b . nom. I n r e
S h a w , No. 8 1 - 1 3 9 6 (May 15 , 1 9 8 1 ) ; B r i l e y v .
H u t t o , No. 8 1 - 6 2 6 1 ( A p r i l 2 3 , 1 9 8 1 ) . And
t h e N i n t h C i r c u i t h a s g r a n t e d t h e o n e s t a y
a p p l i c a t i o n t o come b e f o r e i t : H a r r i s v .
P u l l e y , N o . 8 2 - 5 4 2 7 ( M a r c h 1 2 , 1 9 8 2 ) .
- 3d -
I I I . P o s t - 1 9 7 6 C a ses In The D i s t r i c t C ourts
M o s t d i s t r i c t c o u r t s h a v e r o u t i n e l y
g r a n t e d s t a y s o f e x e c u t i o n w i t h o u t o p i n i o n
upon t h e f i l i n g o f a f e d e r a l h a b ea s c o rp u s
p e t i t i o n by a d e a t h - s e n t e n c e d i n d i v i d u a l .
Pour c a s e s known t o am icus i n which o p i n
i o n s have been w r i t t e n upon t h e g r a n t i n g o f
su ch s t a y s a r e S t r a i g h t v . W a i n w r i c h t , No.
8 2 -6 0 7 - C iv . - J - J H M (M.D. F l a . June 1 5 , 1982)
("A b sent a w i l l i n g n e s s t o v i o l a t e my o a th
o f o f f i c e , t h e u n d e r s ig n e d i s l e f t w i t h two
c h o i c e s ; e i t h e r g r a n t t h e s t a y i n a c c o r d
a n c e w i t h t h e d i c t a t e s o f t h e l a w , o r
r e s i g n from t h e f e d e r a l b e n c h " ) ; T y l e r v .
J am es , C i v i l A c t i o n No. C82-36A (N.D. Ga.
J a n . 1 9 , 1 9 8 2 ) ( " R e q u i r i n g a p e r s o n t o
d e m o n s t r a t e a s u b s t a n t i a l l i k e l i h o o d o f
p r e v a i l i n g on t h e m e r i t s i n a d e a t h c a s e i s
i n a p p r o p r i a t e when t h e a p p l i c a n t ' s l i f e i s
h a n g in g i n t h e b a l a n c e . I t i s n o t r e a l i s
t i c t o a p p ly t h a t s ta n d a r d i f t h e l o s s o f
- 4d -
human l i f e i s i m m i n e n t . . . . A more appro
p r i a t e s tandard . . . i s whether the p e t i
t i o n e r has dem onstrated to th e co u r t any
l i k e l i h o o d o f p r e v a i l i n g on the m e r i t s " )
(em p has is , in o r i g i n a l ) ; F o s t e r v . S t r i c k
land 515 F.Supp. 22, 24 (N.D. F la . 1981)
("Mr. F o s t e r ' s s t a t u t o r y and c o n s t i t u t i o n a l
r i g h t s to p e t i t i o n t h i s co u r t fo r habeas
corpus r e l i e f would be m e a n in g le s s i f he
were e x ec u ted w h i l e h i s p e t i t i o n i s pend
in g " ) ; and M i l l e r v . L o ck h a r t , 515 F.Supp.
3 , 5 ( E .D . Ark. 1 9 8 1 ) ( " t h e C ourt c a n n o t
c o n c l u s i v e l y s t a t e t h a t t h e s e grounds are
f r i v o l o u s , w i thou t m e r i t , and b e in g r a i s e d
s o l e l y f o r the purpose o f d e l a y " ) .
IV. P re-1976 Cases
In e a r l i e r t i m e s many c o u r t s o f
a p p ea ls — e s p e c i a l l y the F i f t h C i r c u i t —
as w e l l as many d i s t r i c t c o u r t s r o u t i n e l y
g r a n ted s t a y s o f e x e c u t i o n s . S e e , e . g . ,
B r e n t v . W h i t e , 398 F .2 d 503 ( 5 th C i r .
5d
1 9 6 8 ); Mobley v . D u t t o n , 380 F .2d 14 (5 th
C i r . 1 9 6 7 ) ; C larke v . G r im es , 374 F .2d 550
( 5 t h C i r . 1 9 6 7 ) ; K err igan v . S c a f a t i , 348
F . 2 d 1 8 7 ( 1 s t C i r . 1 9 6 5 ) ; W h i t n e y v .
W a in w r ig h t , 339 F .2d 275 ( 5th C i r . 1 9 6 4 ) ;
U n ited S t a t e s ex r e l . Goins v . S i g l e r , 250
F.2d 128 ( 5 t h C i r . 1 9 5 7 ) ; E l l i s v . E l l i s o r ,
239 F . 2d 175 ( 5 t h C i r . 1 9 5 6 ) ; U n ited S t a t e s
ex r e l . De V i t a v . McCorkle , 214 F .2d 823
(3rd C i r . 1 9 5 4 ) ; F o u g u e t t e v . B e rn a rd , 198
F . 2 d 96 ( 9 t h C i r . 1 9 5 2 ) ( Denman, C . J . ) ;
Thomas v . D u f f y , 191 F . 2 d 360 ( 9 t h C i r .
1 9 5 1 ) (Denman, C . J . ) ; M o d e s to v . N e l s o n ,
296 F .Supp . 1375 ( N.D. C a l . 1 9 6 9 ) ; Brown v .
B r o u g h , 248 F . S u p p . 342 (D. Md. 1 9 6 5 ) ;
Moorer v . S t a t e o f S o u t h C a r o l i n a , 2 4 0
F.Supp. 529 ( E .D .S .C . 1 964) ; Crawford v .
B a i l e y , 234 F .Supp. 706 (E .D .N .C . 1 9 6 4 ) .
6d
APPENDIX E
CAPITAL CASE DECISIONS BY THE UNITED STATES
COURTS OF APPEALS: 1976"- Feb. 198 3
* Decided in Favor o f D eath -S en ten ced
I n d i v i d u a l
(S) S t a t e ' s Appeals
FIFTH CIRCUIT
1. S p i n k e l l i n k v . Wainwright , 578
F. 2d 582 (5 th C ir . 1 9 7 8 ) , c e r t .
d e n i e d , 440 U .S . 976 (1979)
* 2 . Chenault v . Stynchcombe, 581 F.2d
444 (5 th C ir . (1978)
* 3. Jurek v . E s t e l l e , 593 F.2d 672
(5th C ir . 1 9 7 9 ) , m o d i f ie d en
ba n c , 623 F.2d 929 (5 th C ir .
1 9 8 0 ) (en b a n c ) , c e r t , d e n ie d ,
450 U.S . 1014 (1981 )
* 4 . Burns v . E s t e l l e , 592 F.2d 1297
(5th C ir . 1 9 7 9 ) , adhered t o en
ba n c , 626 F.2d 396 (5 th C ir .
1 9 8 0 ) (en banc)
* ( S )5 . Smith v . E s t e l l e , 602 F.2d 694
(5th C ir . 1 9 7 9 ) , a f f i r m e d , 451
U.S. 454 (1981)
* 6. Evans v . B e n n e t t , 628 F.2d 400
(5th C ir . 1 9 8 0 ) , r eh ea r in g
denied with opiniorTT 639 F . 2d
221 (5 th C ir . 1 9 8 1 ) , r e v e r s e d
sub. nom. Hopper v . Evans,
U.S. , 72 L.Ed. 2d 367
(1982)
1 e
7. S te p h en s v . Z a n t , 631 F .2d 397
(o tn c i r . T9au), amended on
r e h e a r i n g , 648 F .2d 446 (5 th
C i r . 1 9 8 1 ) , q u e s t i o n c e r t i f i e d
t o Supreme Court o f G e o r g ia .
OeS. , 72 L.Ed. 2d 222 ~
( 1982j“
3 * P o t t s v . Z a n t , 638 F .2d 727 (5 th
C ir . 1 9 8 1 ) , c e r t , d e n i e d , 454
D .S . 877 (19871 ™ '
9 . W i l l ia m s v . B la c k b u r n , 649 F.2d
1019 (5 th C i r . 1 9 8 1 ) , adhered t o
en b a n c , 679 F .2d 381 7 5th C ir .
1982) (en banc)
10* Baldwin v . B la c k b u r n , 653 F .2d
942 (5 th C i r . 1 9 8 1 ) , c e r t .
d e n i e d , _ _ _ U .S . , 72 L.Ed.
2d 475 (1982) ~
11. G r a n v ie l v . E s t e l l e , 655 F .2d 673
(5 th C i r . 1 9 8 1 ) , c e r t , d e n i e d ,
455 U .S . 1007 ( 198T)-------— -----
12* B a t t i e v . E s t e l l e , 655 F .2d 692
(5 th C i r . 1981)
13. Washington v . W a t k in s , 655 F.2d
1346, r e h e a r in g d e n ie d w i t h
• o p i n i o n , 662 F.2d“ i H T T S t E
C i r . 1 9 8 1 ) , c e r t , d e n i e d ,
U .S . , 72 L.Ed. 2d 474 ~~
(1982)
14. Smith v . Balkcom, 660 F .2d 573
(5 th C i r . 1 9 8 1 ) , amended on
r e h e a r i n g , 671 F. 2d~858"' ( 5th
C i r . 1 9 8 2 ) , c e r t , d e n i e d ,
U . s . , 74~L.Ed.~2d 148
(19821
- 2e -
* ( S ) 1 5 .
* 16.
* ( S ) 1 7 .
* 18 .
* ( S ) 1 9.
* 2 0 .
* ( S ) 2 1 .
* ( S ) 22 .
2 3 .
Henry v . Wainwriqht, 661 F.2d 56
( 5tn Cir~ 1 981) / v a c a te d and
remanded f o r r e c o n s i d e r a t i o n ,
___ U.S . ___ , 73 L.Ed. 2d 1326
( 1 9 8 2 ) , adhered t o on remand,
686 F .2d 311 (5 th C ir . 1982)
S p iv ey v . Z a n t , 661 F.2d 464 (5 th
C ir . 1 9 8 1 ) , c e r t , d e n i e d , ___
U.S . ___ , 73 L.Ed. 2d 1374
(1 9 8 2 ) ; remanded w ith i n s t r u c -
t i o n s , 683 F.2d 881 (5 th C ir .
1982)
Alderman v , A u s t i n , 663 F.2d 558
(5 th C ir . 1 9 8 1 ) , adhered t o en
b a n c , 695 F.2d 124 (5 th C ir .
1 9 8 3 ) (en banc)
Mason v . Balkcom, 669 F.2d 222
(5th C ir . 1982)
Moore v . E s t e l l e , 670 F.2d 56
(5th C ir . 1 9 8 2 ) , c e r t , d e n i e d ,
___ U .S . ___ , 73 L.Ed. 2d
1375 (1982)
W ashington, S t r i c k l a n d , 673 F.2d
879 (5th C ir . 1 9 8 2 ) , m o d i f ie d en
b a n c , 693 F.2d 1243 (5 th C ir .
1982) (en banc)
Gholson v . E s t e l l e , 675 F.2d 734
(5 th C ir . 1982)
Ross v . E s t e l l e , 675 F.2d 734
(5th C ir . 1982)
Gray v . Lucas, 677 F.2d 1086,
r e h e a r in g d e n ied with o p i n i o n ,
685 F .2d 139 (5 th C ir . 1982)
3e
2 4 . Jordan v . Wat k i n s , 681 P .2d 1067,
rehearing~cT<,.‘n i e d w i th o p i n i o n ,
688 F .2d 395 (5 th C i r . 1982)
2 5 . B e l l v . W a t k in s , 692 F .2d 999
(5 th C i r . 1982}
2 6 . Clark v . L o u is ia n a S t a t e P e n i
t e n t i a r y , 694 F .2d 75 (5 th
C i r . 1982) r e h e a r i n g d e n ie d
v i t h o p i n i o n . ___ F .2d ,
No. 8 1 -3 7 9 2 ( 5 t h C i r . FefaT 1 0 ,
1983)
2 7 . Bass v . E s t e l l e , 696 F .2d 1154
(5 th C i r . 1983)
EIGHTH CIRCUIT
2 8 . H o lta n v . P a r r a t t , 683 F .2d 1163
(8 th C i r . 1982)
NINTH CIRCUIT
2 9 . Knapp v . C a r d w e l l , 667 F .2d 1253
(9 th C i r . 1 9 8 2 ) , c e r t , d e n i e d ,
___ D .S . ___ , 51 U.S.L.W. 3420
(Nov. 2 9 , 1982)
3 0 * B a r r i s v . P u l l e y , 692 F .2d 1189
(9 th C i r . 1982)
TENTH CIRCUIT
31e Bays v . Murphy, 663 F .2d 1004
(1 0 th C i r . 1981)
- 4e -
ELEVENTH CIRCUIT
32 . F o r d v . S t r i c k l a n d , 676 F . 2 d 434
( 1 1 t h C i r . 1 9 8 2 ) , a d h e r e d t o en
b a n c , 696 F . 2 d 804 ( 1 1 t h C i r .
1 9 8 3 ) ( e n b a n c )
* ( S ) 3 3 . Younq v . Z a n t , 677 F . 2 d 792 ( 1 1 t h
C i r . 1982)
* 34 . M a c h e t t i v . L i n a h a n , 679 F . 2 d 236
( 1 1 t h C i r . 1982)
* 35 . Goodwin v . B a l k c o m , 684 F . 2 d 794
( 1 1 t h C i r . 1 9 8 2 ) , m o d i f i e d ,
F . 2 d , No. 8 1 - 7 1 3 2 ( 1 1 t h
C i r . Nov. 1, 1982)
* 36 . P r o f f i t t v . W a i n w r i g h t , 685 F . 2 d
1227 ( 1 1 t h C i r . 1982)
* 37 . Hance v . Z a n t , 696 F . 2 d 940 ( 1 1 t h
C i r . 1983)
38 . S u l l i v a n v . W a i n w r i g h t , F . 2 d
, No. 8 1 - 5 8 4 3 ( 1 1 t h C i r . J a n .
17, 1983)
39 . S t a n l e y v . Z a n t , F . 2 d ,
No. 8 1 - 7 6 1 5 ( 1 1 t h C i r . F e b . 10,
1983)
* 40 . Thomas v . Z a n t , F . 2 d , No.
8 1 - 7 6 7 5 ( 1 1 t h C i r . F e b . 10 , 1983)
41 . D a r d e n v . W a i n w r i q h t , F . 2 d
, No. 8 1 - 5 5 9 0 ( 1 1 t h C i r . F e b .
14, 1 9 8 3 ) 1 /
V In a d d itio n to th e 41 ab o v e-c ited c a s e s , the
c o u r ts o f app ea ls have issu ed fo u r o p in io n s which
w ere p r o c e d u r a l ly r e l e v a n t to d e a th - s e n te n c e d
[Footnote co n tin u es on nex t page]
- 5e -
TOTALS
F i f t h C i r c u i t
I n c l u d i n g S t a t e ' s A p p e a l s
T o t a l Number o f A p p e a l s ................ 27
T o t a l * .........................................................21 (77 . 7%)
E x c l u d i n g S t a t e ’ s A p p e a l s
T o t a l Number o f A p p e a l s ................ 21
T o t a l * ......................................................... 15 (71 . 4%)
A l l C i r c u i t s
I n c l u d i n g S t a t e ' s A p p e a l s
T o t a l Number o f A p p e a l s ................ 41
T o t a l * .........................................................30 (73 . 2%)
E x c l u d i n g S t a t e ' s A p p e a l s
T o t a l Number o f A p p e a l s ................ 34
T o t a l * .........................................................23 ( 67 . 6%)
V continued
in d iv id u a ls b u t d id n o t a c tu a l ly d ec id e t h e i r c a se s .
See G ibson v . J a c k s o n , 578 F .2d 1045 ( 5 t h C i r .
1978), c e r t , d e n ied , 439 U.S. 1119 (1979); H a rris v .
O liv e r , 645 F.2d 327 (5 th C ir . 1981), c e r t , d en ied ,
454 U.S. 1109 (1981); In r e W ainw right, 678 F.2d 951
(11th C ir . 1982); and F e ld e r v . E s t e l l e , 693 F.2d
549 (5 th C ir . 1982). Only th e l a s t o f th e se was
u n favo rab le to th e d ea th -sen ten ced p r is o n e r .
- 6e -
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