Darden v. Wainwright Brief of the Petitioner
Public Court Documents
January 1, 1985
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No. 85-5319
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WILLIE JASPER DARDEN,
Petitioner,
vs.
LOUIE L. WAINWRIGHT, Secretary,
Florida Department of Corrections.
On Writ Of Certiorari To The
United States Court of Appeals
For The Eleventh Circuit
BRIEF OF THE PETITIONER
WILLIE JASPER DARDEN
ROBERT AUGUSTUS HARPER, JR.317 East Park Avenue
Post Office Box 10132
Tallahassee, Florida 32302
(904) 224-5900
ATTORNEY FOR THE PETITIONER
and Counsel of Record
QUESTIONS PRESENTED
1 . Did the prosecution's calculated, unprofessional and inflam
matory closing argument rob the determination of petitioner s guilt
of the fundamental fairness required by due process and deprive the
determination of his sentence of the reliability required by the
eighth amendment?
2. Whether the exclusion for cause of a potential juror solely on
the basis of his scruples against capital punishment can be reconciled
with the decision of the Court in Wainwright v. Witt, 469 U.S. ---,
83 L.Ed.2d 841 (1985)?
3. Whether petitioner was denied the effective assistance of counsel
at the sentencing phase of his trial, depriving him of a full, fair,
and individualized determination of whether he should live or die?
TABLE OF CONTENTS
QUESTIONS PRESENTED
TABLE OF AUTHORITIES
CITATIONS TO OPINIONS BELOW
JURISDICTION
CONSTITUTIONAL PROVISIONS INVOLVED
STATEMENT OF THE CASE
I. STATEMENT OF THE FACTS
A. The Crime and the Evidence at Trial
B. Exclusion of Death-Scrupled Jurors
C. The Interjection of Race at the Voir Dire
D. The Closing Arguments
E. The Performance of Defense
Counsel at Sentencing
II. COURSE OF PROCEEDINGS
SUMMARY OF ARGUMENT
ARGUMENT
I. [■HE PROSECUTION'S CALCULATED, UNPROFESSIONAL AND CNFLAMMATORY CLOSING ARGUMENT ROBBED THE DETERMINATION
3F PETITIONER'S GUILT OF THE FUNDAMENTAL FAIRNESS
REQUIRED BY DUE PROCESS AND DEPRIVED THE DETERMINATION
DF SENTENCE OF THE RELIABILITY REQUIRED BY THE EIGHTH
AMENDMENT
Mr. Darden Was Denied Fundamental Fairness in tn
Determinations of his Guilt or Innocence
Mr. Darden Was Denied Reliability in the Deter
mination of his Sentence
Althouoh Mr. Darden Is Entitled to Relief under
the Harmless Error Doctrine, He Suffered Actual
and Substantial Prejudice
CONCLUSION
TABLE OF AUTHORITIES
PaaeCases t "
Adams v. Texas, 448 U.S. 38 (1980)
Adamson v. California, 332 U.S. 46 (1947)
Baldwin v. New York, 399 U.S. 66 (1970)
Barclay v. State, 343 So.2d 1266 (Fla. 1977)
Beck- v. Alabama, 447 U.S. 625 ( 1980)
Berger v. United States, 295 U.S. 78 (1935)
Boulden v. Holman, 394 U.S. 478 (1969)
Brooks v. Kemp, 762 F,2d 1383 (11th Cir. 1985)
Caldwell v. Mississippi, 472 U.S. ---, 86 L.Ed.2d
231 (1985)
California v. Ramos, 463 U.S. 992 (1983)
Chapman v. California, 386 U.S. 18 (1976)
Coleman v. State, 215 So.2d 96 (Fla. 4th DCA 1968)
Cooper v.
cert.
State, 336 So.2d 1133 (Fla. 1976),
denied, 431 U.S. 925 (1977)
Darden v. State, 218 So.2d 485 (Fla. 2d DCA 1969)
Darden v. State, 329 So.2d 287 (Fla. 1976)
Darden v. Wainwright, 513 F. Supp. 947 (M.D. Fla. 1981)
Darden v. Wainwright, 699 F.2d 1031 (11th Cir. 1983)
Darden v. Wainwright, 725 F.2d 1516 (11th Cir. 1984)
Darden v. Wainwright, 767 F.2d 752 (11th Cir. 1985)
Darden v. Wainwright, No. 79-566 Civ. T-H (M.D. Fla.
April 15, 1981)
Davis v. Georgia, 429 U.S. 122 (1976)
Donnelly v. De Christoforo, 416 U.S. 637 (1974)
Drake v. Kemp, 762 F.2d 1449 (11th Cir. 1985)
Duncan v. Louisiana, 391 D.S. 145 (1968)
Eddings v. Oklahoma, 455 U.S. 104 (1982)
Estelle v. Williams, 425 U.S. 501 (1976)
Estes v. Texas, 381 U.S. 532 (1965)
Gardner v. Florida, 430 U.S. 349 (1978)
Gibson v. State, 351 So.2d 948 (Fla. 1977)
Green v. Georgia, 442 U.S. 95 (1979)
Harris v. State, 414 So.2d 557 (Fla. 3d DCA 1982)
Johnson v. Louisiana, 406 U.S. 356 (1972)
Kampshoff v. Smith, 698 F.2d 581 (2d Cir. 1983)
Kyle v. United States, 297 F.2d 507 (2d Cir. 1961)
Lisenba v. California, 314 U.S. 219 (1941)
Lockett v . Ohio, 438 U.S. 586 (1978)
People v. Savvides, 1 N.Y. 2d 554, 154 N.Y.S.2d
885, 136 N.E.2d 853 (1956)
Proffitt v. Florida, 428 U.S. 242 (1976)
Roundtree v. State, 229 So.2d 281 (1st DCA 1969),
app. dismissed, 242 So.2d 136 (Fla. 1970)
Smith v. Wainwright, 741 F.2d 1248 (11th Cir. 1984)
Songer v. State, 322 So.2d 481 (Fla. 1975)
Stanley v. Zant, 697 F.2d 955 (11th Cir. 1983)
Stone v. Powell, 428U.S. 465 (1976)
Strickland v. Washington, ___ U.S. 80 L.Ed.2d 674 (1984)
Taylor v. Kentucky, 436 U.S. 478 (1978)
Tucker v. Kemp, 762 F.2d 1480 (11th Cir. 1985)
United States v. Ash, 413 U.S. 300 (1973)
United States v. Cronic, ____ U.S. ____, 80 L.
657 (1984)
United States v. Young, 470 U.S. ____, 84 L.Ed.2d
1 (1985)
United States ex rel. Williams v. Twomey, 510 F.2d
634 (7th Cir. 1974)
Wainwright v. Witt, 469 U.S. ___, 83 L.Ed.2d 841
(1985)
Witherspoon v. Illinois, 391 U.S.
Woodson v. North Carolina, 428 U.S
Zant v. Stephens, ____ U.S. ____,
510 (1968)
. 280 (1976)
77 L.Ed.2d 235 (1983)
Statutes:
Fla. Stat. § 921.141(2)(a)(b)(c)
S 921.141(3)
1979 Fla. Laws ch. 79-353
28 U.S.C. 5 1 254( 1 )
§ 2241
Other Authorities
ABA Code of Professional Responsibility
Preamble and Preliminary Statement
EC 7-24
EC 7-25 DR 7-106(0
ABA Model Rules of Professional Conduct (1983)
Rule 3.4(e)
A3A Standards for Criminal Justice (2d ed. 1980)
§ 3-5.8(c)
S 4-7.8
Annotation, 88 A.L.R.3d 449 (1978)
Barkowitz and Brigham, Recognition of Faces;— OwnRace Bias, Incentive, and Time Delay, 12 Journal
of. Applied Social Psychology, 4:255 ( 1982)
Brigham and Maass, Accuracy of Eyewitness'identifications in a Field Setting, 42 Journal
of Personality and Social Psychology 673 (1982)
Consideration of Mitigating circumstances, 69 Cal. L.
Rev. 317 (iyaiF
Y. Kamisar, W. LaFave & J. Israel, MODERN CRIMINAL
PROCEDURE (5th ed. 1980)
Note, Did Your Eves Deceive You? Expert Psychological
^ J S s S S n S y - j the Unreliability 5t B Y ~ i*b5 PIdentification, 29 Stan. L. Rev. 969 (1977)
Vance, The Death Penalty After Furman, 48 Notre Dame
Lawyer 850 (1973)
Vess, Walking a Tiahtropet A Survey o£ £the Prosecutor's Closing Argument, 64 J. Cnm. L. &
C. 22 (19?3l
PSYCHOLOGY OF EYEWITNESS TESTIMONY (1970).Yarmey, THE
No. 85-5319
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WILLIE JASPER DARDEN,
Petitioner,
vs.
LOUIE L. WAINWRIGHT, Secretary, Florida Department of Corrections.
On Writ Of Certiorari To The
United States Court of Appeals
For The Eleventh Circuit
BRIEF OF THE PETITIONER
WILLIE JASPER DARDEN
CITATIONS TO OPINIONS BELOW
The opinion of the Supreme Court of Florida on direct appeal
is reported as Darden v. State, 329 So.2d 287 (Fla. 1976). The
opinion of the federal district court denying habeas corpus
relief is reported as Darden v. Wainwright, 513 F.Supp. 947
(M.D.Fla. 1981). The decisions of the court of appeals are
reported as Darden v. Wainwright, 699 F. 2d 1031 (11th Cir. 1 983)
(panel opinion), on rehearing, 708 F. 2d 646 ( 1 1th Cir. 1983) (en
banc court affirming by egually divided vote), on rehearing, 725
F. 2d 1 526 ( 1 1 th Cir. 1984) (en banc court reversing and granting
the writ). The opinion of the court of appeals on remand from
this court is reported as Darden v. Wainwright, 767 F. 2d 752
(flW W srvi K*r5»> '>rrv»r
(11th Cir. 1 985) (en banc court affirming denial of writ by the
district court).
JURISDICTION
The jurisdiction of this Court is invoked under 28 U.S.C.
§§ 1254(1) and 2241.
CONSTITUTIONAL PROVISIONS INVOLVED
This case involves the sixth amendment to the Constitution
of the United States, which provides in relevant part: "In all
criminal proceedings, the accused shall enjoy the right ... to
have the assistance of counsel for his defense"; the eighth
amendment, which provides: "Excessive bail shall not be required,
nor excessive fines imposed, nor cruel and unusual punishments
inflicted"; and the fourteenth amendment, which provides in
relevant part: "(N]or shall any State deprive any person of life,
liberty, or property, without due process of law...."
STATEMENT OF THE CASE
I. STATEMENT OF THE FACTS
A. The Crime and the Evidence at Trial
Carl's Furniture Store in Lakeland, Florida, was held up
early in the evening of September 3, 1973. One of its owners,
Carl Turman, was shot and killed as he entered through a back
door. Phillip Arnold, a sixteen-year-old who lived nearby, was
shot and wounded as he sought to give aid to Mr. Turman. The
gunman also attempted a sexual assault on Mrs. Turman.
Just a few moments after these events, Willie Jasper Darden,
a black man, lost control of his car and struck a telephone pole
2
■w w n w r
a little over three miles from the furniture store. At the time*
he was on weekend furlough from a Florida prison and was return
ing to his girlfriend's house in Tampa. A few hours later, Mr.
Darden was arrested at the home of his girlfriend for leaving the
scene of an accident. Later the same night, he was charged with
the murder of Mr. Turman, the attempted murder of Mr. Arnold, and
the robbery that accompanied these shootings. R. 586.
The state's case rested primarily on identifications of
their black assailant by the white victims, Mrs. Turman and Mr.
Arnold, and limited forensic evidence. The latter consisted of
testimony by a deputy sheriff that, a day and one-half after the
crime, he found a .38 caliber pistol in^a ditch under four inches
of water thirty-nine feet from the highway and about an equal
distance from the place of petitioner's automobile accident. R.
503-04, 511. It was shown at trial that the pistol was the same
caliber as the murder weapon and that four bullets had been fired
from it in a sequence that matched the shooting during the crime.
The prosecution was unable to connect the pistol to the crime by
ballistic or other forensic evidence. R. 357-58, 514, 517-22.
Mr. Darden testified at length. R. 571-659. He told how
his automobile had skidded from the highway in wet weather as he
hastened back to Tampa from Lakeland to meet his girlfriend and
Citations to the transcript of the trial record are designated as
r . . Citations to the record on appeal to the Florida
Supreme Court are designated as A.R. ____. Citations to the
hearing before the federal magistrate on habeas corpus are
designated as H.C. ____.
3
attend a wedding later on that evening. R. 574-76. He explained
that, with the aid of a passing motorist, he had sought unsucces
sfully to locate a wrecker to take the disabled auto in tow.
Failing in this effort, he had obtained a ride to Tampa.* This
was corroborated by the state's witnesses, who also noted Mr.
Darden's calm and poise during this episode. R. 577-579, 330-31,
334-35, 340-41 . Mr. Darden denied that he had been at the
furniture store or had had anything to do with the crimes with
which he was charged. R. 592-93, 598-99.
Mr. Darden's testimony concerning the events of the evening
of September 8, 1973, was both plausible and partially corrobora
ted by the state's evidence. Apart from the identification
testimony of Mrs. Turman and Mr. Arnold, it was not in direct
conflict with the state's evidence. Thus, to a large degree, the
state's case rested on the "jury's determination of the credibi
lity of Darden's alibi testimony as against the eye-witness
testimony of the victims." Darden v. Wainwright, No. 79-566 Civ.
f Slip op. at 22 (M.D. Fla. April 15, 1981) (Magistrate s
Recommendation and Report).
This eyewitness testimony was not without substantial
problems. Immediately after the offense, Mrs. Turman told
officers that she could not remember what the subject looked like
or what he was wearing. This was, she explained, because she was
scared to look while the crime was in progress, and at one point,
covered her face with her hands so she would not have to see. R.
4
240, 280. See also R. 232, 236. She later described the man as
the same height as herself, 5'6", R. 238 , heavy-set, very
clean-shaven, black, approximately 200 pounds, with a fat face.
R. 237, 239 . At trial, she was sure the shirt was a pullover,
with a stripe around the neck and waist. R. 226-27. Mr. Arnold
confirmed part of her identification, remembering a heavy set man
wearing a knit shirt of dull, light color with a ring around the
neck, R. 443, and that the assailant was clean shaven. R. 476,
2498 . But he testified that the gunman was almost his height,
about 6 feet two inches tall. R. 496-97.-
In contrast to these descriptions, petitioner was five feet,
ten or eleven inches tall and weighed approximately 170 to 175
pounds. R. 596. Moreover, one of the state’s witnesses a
.motorist who had stopped at the scene of the auto accident that,
according to the prosecution's theory, occurred when petitioner
was fleeing the scene of the crime —— testified that petitioner
was wearing a white shirt that buttoned down the front and that
he had a gray moustache. R. 311, 313, 318-20.
The substantial discrepancies between Mr. Darden's actual
apoearance and Mrs. Turman's and Mr. Arnold's descriptions of
their assailant are not surprising in light of the conditions
that surrounded their initial identifications of Mr. Darden.
Three days after the incident, two sheriff's deputies visited Mr.
^ In fact,in excluding one of the photographs in the photo
show-up, described below, Mr. Arnold eliminated one photo because
the person had a moustache. R. 464.
5
Arnold in the hospital, where he was recovering from his ballet
wounds. R. 446 , 460-61 . According to Mr. Arnold's testimony,
elicited out of the presence of the jury, he had by this time
already read newspaper stories about the crime, R. 457-58, and he
probably knew of the arrest of a suspect. R. 462.
The deputies, Mr. Arnold recalled, had shown him six
photographs and asked whether he could identify his assailant
from among them. R. 446, 459-60. He immediately rejected four
out of hand; "they didn’t look anything-at all like him." R. 449,
461-64. He then wrote on a piece of paper the following informa
tion:
"Both of these two look a little like him!
DID HE HAVE A MUSTACHE?
"I don't think so!"WHAT TYPE SHIRT WAS HE WEARING?"It was short sleeve. It was something like
a red or orange and I think it was a a knit
material, pale."
R. 455, 475. Mr. Arnold then picked out of the two remaining
photographs the one that looked "a little like him." This
picture bore the name "Darden" and the date of arrest, "9-9-73."
The circumstances surrounding Mrs. Turman's identification
were as follows. The day following her husband's funeral, she
was asked by the prosecutor to attend Mr. Darden's preliminary
hearing. She was taken to a tiny courtroom with one black male
sitting at defense table and no other blacks in the room. R.
221—22. The prosecutor walked over to Mr. Darden, pointed at
him, and asked: "Is this the man that did it?" A.R. 50. She
6
said yes. Id. Asked by the court whether she was sure that the
man at the defense table was the assailant, she replied that
"even with his back to me while I sat [at the rear of the
courtroom] I reached over and touched my sister's hand and said,
'That's him.'" A.R. 53.
The only physical characteristic which every witness who saw
both men could agree on was race: they were both . "colored." The
testimony of Officer Neill, who arrested Mr. Darden in Tampa, is
particularly telling. Neill was asked if the man he arrested,
Mr. Darden, fit the physical description given by Mrs. Turman.
Neill replied: "Yes. The dark-colored automobile, the time
element, the car crash ... just lead me to believe this possibly
—was him." Pretrial hearing of 1/9/73 at 82. This "physical
desription" would have fit almost any black man near the scene of
the crime that day. Indeed, the reliance on race as substantiat
ing the identifications was something the prosecutor would return
to in his summation.
B. Exclusion of Death-Scrupled Jurors
At voir dire, several jurors with scruples against the death
penalty were excluded for cause upon the motion of the prosecu
tor. One of those excluded was potential juror Murphy. He was
excluded solely upon the following question and answer:
THE COURT: Do you have any moral or reli
gious, conscientious moral or religious
principles in opposition to the death penalty
so strong that you would be unable without
violating your own principles to vote to
recommend a death penalty regardless of the
facts?
7
MR. MURPHY: Yes, I have.
R. 165. This was the only question asked Mr. Murphy.
C. The Interjection of Race at the Voir Dire
During the voir dire, the prosecutor addressed the potential
jurors as follows:
The testimony is going to show I think very
shortly when the trial starts the victims in
this case were white and, of course, Mr.
Darden, the defendant, is black. Can each of
you tell me that you can try Mr. Darden as if
he was white? Can you look at this defendant
and assure me that you can try him as if he is
white? Because the victims will be white.
Can you look at the defendant and even though
he is black, can you try him as. if he was
white?
R. 57, 115 (emphasis added).
Apart from the effect of reenforcing for the jury the
different racial status of the defendant and the victims, the
question presupposes disparate treatment for blacks and suggests
that it requires a particular effort to treat a black defendant
within the same standards of due process and impartiality due a
white person. Even this would not be so disturbing had the
prosecutor stopped there. But, as we shall see, his closing
argument served forcefully to underline the negative implications
of this voir dire questioning.
D. The Closing Arguments
Petitioner's counsel opened and closed the arguments prior
to deliberation on guilt or innocence. Mr. Maloney, the less
8
experienced of the two, began. He conceded that the perpetrator
of the murder and assaults was "a vicious animal." R. 717. He
also expressed his personal opinion regarding the strength of the
circumstantial evidence regarding the pistol: "It's not good
enough for me. I wouldn't do what you're being asked to do on
that, really I wouldn't___" R. 734. Finally, he expressed his
personal opinion regarding the state's failure to prove guilt
beyond a reasonable doubt, R. 736, and concluded: "The question
is, do they have enough evidence to kill that man, enough
evidence? And X honestly do not think think they do. R.
737-38.
Apart from these isolated errors committed by a fledgling
lawyer, the defense summation was unexceptionable. Mr. Maloney
recounted the state's evidence, stressed the virtual absence of
£rjy forensic evidence tying to the crime either Mr. Darden, his
car, or even the weapon found a day and one—half later near the
site of the wreck. He stressed the lack of any evidence tying
4
the gun, despite its unique marking and non-standard characte-
5 .ristics to Mr. Darden. Finally, he noted the discrepancies
between the descriptions of the assailant given by Mrs. Turman
and Mr. Arnold, on one hand, and that given by the passer-by who
3
3 At the time, Mr. Maloney had been licensed as an attorney for
only four months.
4 The gun was marked "United States Property, Massachusetts,
December 29, .38 special BRD." R. 809.
3 The gun had been rebored. See R. 778.
9
assisted Mr. Darden after the wreck: The victims agreed that
their assailant was clean-shaven and wore a dark or dull—colored
pullover with a band or ring at the neck; the passer-by described
Mr. Darden as having a moustache and wearing a white shirt with
buttons down the front.
The prosecution's argument was split between Mr. White and
Mr. McDaniel. Mr. White argued first, marshalling the state's
evidence, enumerating the elements of the offenses, and discuss
ing the reliability of the identifications. R. 738-747. He
concluded:
I am convinced, as convinced as I know I
am standing before you today, that Willie
Jasper Darden is a murderer, that he murdered
Mr. Turman, that he robbed Mrs. Turman and
that he shot to kill Phillip Arnold. I will
be convinced of that the rest of my life.
R. 748.
At that point, the senior prosecutor, Mr. McDaniel, rose to
complete the summation. It is only possible to understand the
nature and effect of that argument by viewing it as a whole,
rather than a disaggregated series of individually improper
comments. Following on the heels of trial and arguments focusing
on the reliability of the eyewitness identifications in the light
of the weakness of the balance of the prosecution's case,
McDaniel's argument was carefully crafted to make up for any
deficiencies in the state's proof by distracting the jury from
10
the evidence. From start to finish, McDaniel interjected and
emphasized the emotional, the irrelevant, and the impermissible.
First, he disclaimed emotional involvement in the case. R.
749.- Then he took credit for the tactical choice of defense
counsel in focusing on the failures of the Polk County Sheriff in
investigating the case: "he has notes I gave him many years ago."
Id. Having thus established his authority and credibility, he
launched on his first theme:
But let me tell you something. As far as
I am concerned, there should be another
defendant in this courtroom, one more, and
that is the division of corrections, the
prisons. As far as I am concerned... this
animal was on the public for one reason.
Because the division of corrections turned him
loose, lets him out, lets him out on the
public. Can we expect him to stay in a prison
when they go there? Can't we expect them to
stay locked up once they go there? Do we know
that they're going to be out on the public
with guns, drinking?
* * *
He shouldn't be out of his cell unless he has
a leash on him and a prison guard at the other
end of that leash....
No, I wish that person or persons responsible
for him being on the public was in the doorway
instead of Mr. Turner. I pray that the person
responsible for it would have been in that
doorway and any other person responsible for
it, I wish that he had been the one shot in
the mouth. I wish that he had been the one
shot in the neck, instead of the boy [Phillip
Arnold].
Yes, there is another Defendant, but I
regret that I know of no charges to place upon
him, except the public condemnation of them,
condemn them. Turn them loose to visit his
family ... that turns out his family is a girl
friend in Tampa, ... his sponsor.
R. 749-51.
Having sounded his theme — "Mr. Turman is dead because that
unknown defendant we don't have in the courtroom allowed it. He
is criminally negligent for allowing it." R. 752 McDaniel
turned to his main point.
The Court will tell you at the . end of the
argument in the -jury instructions at this
point, you are merely to determine his
innocence or guilt, nothing else whether he is
guilty or innocent. And after you return that verdict of guilty of first degree murder ...
then you will be asked at that time to go back
and retire and advise the Court whether or not
he gets the death sentence or whether he
should get life.
That is an advisory opinion on your part,
and it has nothing to do with this trial, and
Mr. Maloney knows that. But ... I will
guarantee you I will ask for the death. There
is no question about it.
The second part of the trial I will
request that you impose the death penalty. I
will ask you to advise the Court to give him
death. That’s the only way that I know that
he is not going to get out on the public. It's
the only way I know. It's the only way I can be sure of it. It's the only way that anybody
can be sure of it now, because the people that
turned him loose — this man served his time
and if this man served his time as the Court
has sentenced him, that's fine. If he's
rehabilitated, fine. But let him go home on
furloughs, weekend passes — not home, strike
that, excuse me -- go over with his girl
friend for the weekend, go shoot pool for the
weekend, go sell his guns, or gun, for the
weekend, go consume drink in the bars over the
weekend.
12
R. 7 5 2 - 5 4 .
McDaniel then sounded his second theme:
Mr. Maloney said, well, sure he had an
accident, ... but do you think he would admit
that accident if he- wouldn't have had that
fancy fingerprint [ ] to prove it? No, he
wouldn't have admitted nothing.
I don't know, he [Darden] said on final
argument I wouldn't lie, as God is my witness,
as God is my witness, I wouldn't lie. Well
let me tell you something: If I am ever over
in that chair over there, facing life or
death, life imprisonment or death, I guarantee
you I will lie until my teeth fall out.
R. 754.
McDaniel turned briefly
witness testimony. R. 756-57.
the crime, R. 757, which he
observations:
to the reliability of the eye-
He then focused on the events of
punctuated with the following
I wish [Mr. Turman] had had a shotgun in his
hand when he walked in the back door and blown
his face off. I wish that I could see him
[Darden] sitting here with no face, blown away
by a shotgun, but he didn't.... I wish
someone had walked in the back door and blown
his head off at that point. But he is lucky,
the public unlucky, people are unlucky, it
didn't happen.
R. 758-59.
But he [Darden] heard every word everybody
said, and I assure you, if we hadn't been able
to prove the accident, they would never have
admitted it.
® There was no fingerprint evidence introduced in this case,
whatsoever.
13
R. 7 6 4 .
There is one person on trial, not the
Polk County Sheriff’s Office, not the Hills
borough Sheriff's Office, but he and his
fcegpers, the Division of Corrections.
R. 764-65.
But sometimes, it emotionally gets to me. For
four days I saw that man sitting there ——
calm, cool, calculating, smiling at the right
time, until it came up time for his parole was
in question, and then he goes to the stand
with his handkerchief in his hand....
I don't cry for him ...
R. 765.
He's even got a driver's license. Why in
the world does — what in the world is a State
prisoner doing with driver's license? I
wonder if the public is paying for it.
R. 766.
Lie detector test. That's the red herring
they would like to throw in. I don't believe
anything he says....
R. 769-70.
McDaniel returned to the evidence, discussing the accident
and eyewitness testimony again. R. 770—75. He then discussed
the gun and the shooting, noting that four shots were fired. R.
7 7 3 -7 5 . "And Mr. Darden saved one. Again, I wish he had used it
on himself." R. 775. Of the accident: "I wish he had been killed
in the accident, but he wasn't. Again, we are unlucky that time.
Id.
McDaniel's peroration did not let up.
14
He stopped at one service station, he says, to
get a wrecker in Plant City. That’s what he
says, I don’t know that he stopped at any.
What was he going to do with the wrecker when
he got it? I guarantee you he was not going
back to the scene of the accident until he had
gotten home.
R. 777-78.
[D] on't forget what he has done according to
those witnesses, to make every attempt to
change his appearance from September the 8th,
1973. The hair, the goatee, even the mous
tache and the weight. The only thing he
hasn't done that I know of is cut his throat.
R. 779.
And then he closed:
I'm going to ask you, in closing, that
you consider the direct evidence, and as Mr.
Maloney said, its good evidence, the best
evidence, the direct evidence, the eyewitness
considered as circumstantial evidence,
surrounding that wreck, the time, the place,
his color, clothes, the gun, where he went,
leaving the scene of an accident and don't
turn this man loose. I cannot help but wish
that the Division of Corrections was sitting
in the chair with him. Thank you.
R. 780-81.
There were two objections during the course of McDaniel's
summation. The first occurred immediately after McDaniel
referred to the defendant as "a criminal" and alleged that he
had carried a gun when he returned home on furlough. R. 751.
This was objected to as not based on the evidence. The judge
merely deflected the issue, reminding the jury that they "are the
judges of the evidence." Id.
15
«■>*
The second occurred later in the argument, "that's about the
fifth time that he has commented he wished someone would shoot
this man or that he would kill himself." R. 779. This degener
ated into an exchange between Mr. Maloney and Mr. McDaniel about
which side had less evidence. R. 779-80. The court's response
was to overrule the objection and order counsel to proceed. R.
780.
The judge's instructions to the jury prior to the summations
tended to make matters worse. He told the jurors that:
I am sure that none of the attorneys would
intentionally misquote any evidence or mislead
you in any way. They are all respected
attorneys back in Polk County; they are all
oersonal friends, I think, of mine; and I know
each of them well. . ..[T]hey are permitted to
argue the law to you. They are certainly permitted to argue the facts to you; so both
will be involved. But they are not binding
upon you.
Now, let me tell you what they are. They
are a big help to you, or can be, These ^te
men who are trained in the law or trained in
trials, and their analysis of the testimony,
their analysis of the issues, their comments
upon the pertinence and the weight of the
particular items of testimony can be extremely
helpful to you....
Faced with this, Mr. Darden’s senior counsel, Mr. Goodwill,
did the best he could to respond. Referring to White's and
McDaniel's improper arguments, he noted particularly and "more
importantly, the way they were said, the manner in which they
were expressed...," R. 782, "the yelling and screaming and
16
r rrtEr r ar*
righteous indignation and get up and blow your face off," R. 801;
"the yelling and screaming and the pushing and the shoving and
the hitting with the stick, and the whole works." R. 802. And
he admonished the jury: "He tries to win you or embarass you into
a decision based on his argument, but not based on what came from
that stand...." Id. See also R. 786, 787, 791, 794, and 804.
Instead, he discussed the evidence and testimony at great length,
R. 782-820, concluding: "You can’t prove him guilty on what Mr.
McDaniel says, and by the same token, you can't find him innocent
on what I say." R. 818.
2 . The Performance of Defense Counsel at Sentencing
The senior of the two assistant public defenders to repre
sent petitioner, Raymond A. Goodwill, Esq., served as a public
defender only part-time, two days per week. H.C. 273. Although he
had tried three or four capital cases, H.C. 278-79, he had no
experience in preparing a case for the separate, post-verdict
sentencing trial provided by Florida's 1972 death sentencing
statute. Co-counsel, Maloney, was just recently licensed to
practice. See H.C. 132, 143. Ironically, the responsibilities of
lead counsel fell largely upon him.
Counsel's preparation for the sentencing hearing consisted
solely of "twenty or twenty-five minutes" of talking with the
victim's widow during a "thirty or forty minute recess" between
the announcement of the guilt verdict and the commencement of the
sentencing proceeding. H.C. 373. Counsel waived opening argument
to the jury, R. 893, offered no evidence, R. 892, and made only a
17
-rrr*«&v r s rw
brief, three or four-minute summation. R. 895-97. Maloney, the
less experienced counsel did the summation; he began by telling
the jury that he was "sure that you will find that Mr. Darden
falls into just about every one of the aggravating circum
stances___ " R. 895 (emphasis added).
Once counsel had completed this "presentation," the court,
in the presence of the jury, invited Mr. Darden to speak.
Speaking from counsel table, Mr. Darden said:
Ladies and gentlemen of the Jury, I was
on the stand yesterday for some period of time
giving my testimony[,] the best of my know
ledge of what happened on that Saturday. I
stand firm before you again today after being
convicted, that what I told you on that stand
was the truth. You have found an innocent man
guilty of murder, something I has no knowledge
about. You not only damaged me, you damaged
my family, seven kids and a wife. That's all,
Your Honor.
^ 3 9 7_9 8> The jury returned a recommendation of death, but only
by a divided vote. See Darden v. Wainwright, 699 F.2d 1031, 1041
(11th Cir. 1983) (Clark, C.J., dissenting). The trial court
imposed the death sentence, finding only two mitigating circum
stances: that petitioner "is the father of seven children" and
that he "repeatedly professed his complete innocence of the
charge." A. R. 208.
Defense counsel knew at trial of information relevant to Mr.
Darden's character and background. H.C. 885. For example,
counsel received psychiatric and psychological evaluations
18
r.7*?jc r ^ r «* w w »w w w ►rjHrfST' ww<
containing mitigating material. The psychiatric report stated
that petitioner
could be called a [Schizoid-] personality, a
man who has been socio- and economically
deprived throughout his life. He had never
known as a child, any mothering, as his Mother
died at an early age and he was cared for by
whatever relatives were available.
A .r . 27. A second psychiatric report contained a fuller treat
ment of the circumstances of Mr. Darden's life from childhood.
It indicated that he ran several businesses successfully, was
well liked in the community, and was considered non-violent by
his acquaintances. His intellectual functioning was evaluated as
dull normal, with an I.Q. of 88. Report to Judge Dewell from H.
Goldsmith, Ph.D. (January 14, 1974); see A.R. 151. In addition,
petitioner's girlfriend would have testified that he was good,
kind, and non-violent to her and others. ^
Preparation by counsel would have yielded more. Mr. Darden
was born in Greene County, North Carolina in 1933. His mother,
the daughter of tenant farmers, was fifteen-years-old. His father
was an auto mechanic with a third grade education. His mother
died in childbirth, two years later, along with his infant
brother. Both of his parents, like most black residents of that
jjoj were but two generations removed from slavery.
The i nf ormat ion that follows is contained in the record of
oetitioner's second habeas corpus proceeding, which is or will be
before the Court on a petition for a writ of certiorari and a
motion to consolidate.
19
Greene County is in an impoverished rural area of Eastern
North Carolina with a 50% black population. It is primarily an
agricultural community; tobacco is the basis of the local
economy. When Mr. Darden was born, the local tobacco farmers
still depended exclusively on the labor of their black tenants.
These blacks were free only of the legal status of slavery; their
lives were entirely dependent on the marginal existence available
through seasonal labor in the tobacco fields. More than 70% of
the farms in the county were worked by black tenants (affidavit
' of William C. Harris) yet by the 1930's, blacks owned only 4% of
the taxable wealth in the state. The average black family earned
less than $1,000 annually^ The schools available to blacks held
classes only during those brief respites from the seasonal
tobacco industry. The high-school graduation rate for blacks
during that period was four times less than that for whites. The
average formal education for black adults in rural areas like
Greene County was 2 1/2 years. The infant mortality rate in
Wilson, North Carolina, the closest city to the rural area in
which Mr. Darden was raised, was 136 per 1,000, fourth highest of
any city in the United States. The rate among the black popula
tion was twice that of the white population.
As recounted by historian William C. Harris, the black
residents of Greene County were "commonly referred too as
'niggers'. When they were brought to court, they usually found
themselves at the mercy of a hostile or indifferent white judge
and jury ... black offenders were more severely penalized than
20
the crimes warranted___ Most of their crimes were minor theft,
frequently committed in order to survive." Mr. Darden's earlier
experience with the criminal justice system consisted of a series
of economic crimes committed in an attempt to Support himself and
his family in an environment totally lacking in economic opportu
nity for the average black. One early episode resulted in a four
year prison sentence for forging a check for forty—eight dollars
in order to buy food for his pregnant wife and himself.
Life in Greene County was an ordeal for blacks from which
few escaped unscathed. "Willie, along with his contemporaries
born in the 1 930's, faced a life of marginal existence in which
there was little w.ork for much of the year, no hope that he could
improve his social standing, and almost non-existent opportunity
to acquire a high school education and advance into a career.
(Harris affidavit).
Mr. Darden's early life was spent in several different
homes. After his mother died when he was two, he was sent to
live with his maternal grandparents. He returned home when his
father remarried in 1 938 , but he was sent to a foster home when
his stepmother abandoned the family. These tenant farmers
orevented him from attending school, made him perform excessive
farm chores, and failed to provide him clothing. He eventually
stole in order to dress properly.
After several months with the foster family, Willie Darden
was involved in several episodes of petty theivery. He was
eventually caught attempting to pilfer a mailbox, for which he
21
was sent to the National School for Boys at the age of sixteen.
Once there, he adamantly refused to return to this foster family.
The authorities at the School for BOys described him at the
time as a simple, well-intentioned and cooperative youth who
seemed inordinately obsessed with his father and extremely
concerned that he had not heard from him since he was abandoned
to the foster home. An evaluation conducted at the time states
that Willie was very "anxious to reestablish the relationship ...
between himself and his father," and that he constantly "des
cribes his father in glowing terms and actually embroidered on
fact when giving his history in order to present the father in
the most favorable light." It is clear that the unexplained
abandonment by his father crushed Willie emotionally and was a
radical turning point in his transition from adolescence to
adulthood.
Those who knew Willie Darden describe him as a kind, wise,
and non—violent man, and express a unanimous disbelief that he
could be capable of committing the crime with which he was
charged. His former wife recalls him as a good man who never
argued or fought with anyone. His son remembers their loving
relationship and describes him as "the most amazing and inspira
tional man I have ever met."
Counsel were aware of none of this. The reason is clear:
They believed they "were fairly limited statutorily by what
things were in the statutes as far as mitigation." H.C. 372. As
Maloney testified:
22
... after a perusal of the mitigating
circumstances in the Florida Statute
9 21.141 [/] ... we reached the conclusionthat Mr. Darden did not qualify for any
of the mitigating circumstances.
We were operating on the premise at
that time that we were limited to those mitigating circumstances. At least I was
completely unaware that any mitigating circumstance/ if relevant/ is admissible.
Something should have been offered
in mitigation. In any capital case such
as this, something can be offered m
mitigation...
q . Would it be fair to say that you and
co—counsel were using 921.141 —— I
believe it's subsection B, Mitigating
Circumstances — as being a closed shop?
That that.was all you could consider in
the way of mitigating circumstances and
nothing outside the four corners of the
statute?
A. Until the Supreme Court ruled in Gardner
v. Florida, that was my opinion. _ And Gardner v.'"Florida considerably postdated
this trial.
Q. Okay. But that was what you were all
thinking on the day —
A. Yes, sir.
Q. — on January 19th, 1974.
A. Yes. sir.
* * * *
A. We certainly went through the mitigating circumstances in 921.141, and I believe
we came to the conclusion that there were
no mitigating circumstances and no
evidence was presented.
23
w ' r r ^ w w w w w i ' w?x *w *tv • B W 'w w w b *1
H.C. 154-55; see also H.C. 245-46. Maloney later learned he was
wrong: "Lockett is the first time that I found out from the
United States Supreme Court that mitigating circumstances were
not limited to the enumerated mitigating circumstances." H.C.
278.
II. COURSE OF PROCEEDINGS
The history of this case is tortuous. On direct appeal, the
Florida Supreme Court treated the prosecutorial argument issue on
the merits. It conceded the argument was improper but neverth
eless affirmed because "[t]he law requires a new trial only in
those cases in which it is reasonably evident that the remarks
might have influenced the jury to reach a more severe verdict of
g u i l t__or in which the comment is unfair." Darden v. State,
329 So.2d 287, 289 (Fla. 1976). It found no unfairness here for
three reasons: (1) in light of the defense argument, the
statements of prosecuting counsel ...do not seem unduly inflamma
tory...," 329 So.2d at 290; (2) in light of the "heinous set of
crimes..." the arguments were "fair comment ... reasonably
describing what happened and what should be done to the guilty
party...," id. at 290-91 ; and (3) in light of "overwhelming
eyewitness and circumstantial evidence" and "absolutely no
mitigating circumstances," the remarks, "were not sufficient to
^ The court of appeals concluded that the "suggestion the Florida
Supreme Court did not dispose of the issue on the merits is
untenable." Darden, 699 F.2d at 1 034, a f f1 g, 513 F. Supp. at
951-52.
24
deprive Appellant of a fair trial...." Id_. at 291. Two justices
dissented.
In his brief before the Florida Supreme Court (pp. 28-35),
Mr. Darden challenged the exclusion for cause of venireman
Murphy. The argument was rejected by that court without discus
sion. Id. at 289.
This Court granted certiorari, heard argument, and dismissed
the writ as improvidently granted. Darden v. Florida, cert.
granted, 429 U.S. 917 (1976), cert, dismissed, 430 O.S. 704
(1977). On federal habeas corpus, the Magistrate recommended
that the writ be granted on the grounds of prosecutorial miscon
duct. The Magistrate also recommended that relief be granted due
to the unconstitutional exclusion for cause of venireman Murphy.
The district court disagreed on both issues and denied relief.
Darden v. Wainwright, 513 F.Supp. 947 (M.D. Fla. 1981). A panel
of the Eleventh Circuit affirmed, one judge dissenting. Darden,
699 F.2d 1031 (11th Cir. 1983). Rehearing en banc was granted,
and the district court was affirmed by an equally divided court.
Darden, 708 F.2d 646 ( 11th Cir. 1983). On second rehearing, the
en banc court reversed, granting relief on the Witherspoon claim.
725 F.2d 1526 (11th Cir. 1985).
9 <rhe Court initially granted certiorari upon a petition that
included the Witherspoon claim, see Darden v. Florida, 45
U.S.L.W. 3356 (Nov. 9, 1976) , but subsequently limited the grant
of certiorari to the issue of prejudicial prosecutorial summa
tion. 429 U.S. 1036 ( 1977) .
25
This Court vacated and remanded for reconsideration in light
of Wainwright v. Witt* _____ O.S. / 83 L.Ed.2d 841 (1985) . On
remand, the en banc court denied relief, two judges dissenting.
Darden, 767 F.2d 752 (11th Cir. 1985).
SUMMARY OF ARGUMENT
The closing arguments made by the prosecutors in this case
have been condemned by virtually every judge who has looked at
them. They have never been defended by the state as proper. These
arguments flouted every rule of professional conduct recognized
by the organized Bar. They were calculated to divert the jury's
attention from the central factual issues in the case, especially
the issue whether the prosecution's problematic identification
evidence was sufficiently persausive to convict Mr. Darden.
Crafted to evoke passion and inflame prejudice, these arguments
violated Mr. Darden's most basic rights: to a fundamentally fair
and reliable determination of his guilt or innocence and of the
appropriate sentence.
"The actual impact of a particular practice on the judgment
of jurors cannot always be fully determined. But this Court has
left no doubt that the probability of deleterious effects on
fundamental rights calls for close scrutiny." Estelle v.
Williams, 425 U.S. 501, 504 (1976). Because the prosecution's
improper arguments were designed and likely to affect the
reliability of the factfinding process, they introduced more than
a probability of actual prejudice. In such a case, the state
26
should be required to demonstrate beyond a reasonable doubt that
the arguments were harmless, Chapman v. California, 386 U.S. 18
(1967), — if if asserts that they were. Here, the state has
shown nothing of the sort. To the contrary, it appears only too
likely that the prosecutor's arguments achieved the result they
plainly sought: to tip the scales in favor of a verdict of
guilt. Nor, on this record, can the arguments that strove
improperly to emotionalize the determination to impose the death
sentence be said to have had no effect. Caldwell v. Mississippi^
4 7 2 o.S. ___, 8'6 L:Ed. 2d 231 , 247 ( 1985). Accordingly, both the
conviction and the sentence must be reversed.
Reversal of the death sentence is required on two .other
grounds: First, prospective juror Murphy was excluded solely on
the basis of a single question and answer that disclosed strong
scruples against the death penalty. This question, however,
faj_]_ecj to inquire — and the answer, therefore, failed to
establish — whether those scruples were so strong that they
would substantially impair Mr. Murphy's performance as a fair and
impartial juror or whether Mr. Murphy would be able to subordi
nate those scruples to the law. Wainwright v. Witt, 469 U.S.
, 83 L.Ed.2d 841 (1985). Because his exclusion for cause was
the result of a purely legal error, reversal is required on the
face of the record.
Second, Mr. Darden was deprived of the effective assistance
of counsel at the sentencing stage. In effect, he was left to
face the jury alone: He made a short statement in mitigation at
27
the urging of the trial judge, but no other mitigating evidence
was presented. This was because counsel failed entirely to
investigate or prepare for the sentencing hearing until twenty
minutes before it began. Had they done so, they could have
presented relevant, available information concerning Mr. Darden's
background and character. This mitigating information would have
counteracted much of the prosecutor's improper and unsupported
assertions and arguments. Because of counsel's failure, Mr.
Darden's sentencing hearing was less an adversary proceeding than
the sacrifice of an unaided and unshielded prisoner to the
prosecutorial gladiator.
ARGUMENT
I THE PROSECUTION'S CALCULATED, UNPROFESSIONAL AND INFLAMMA
TORY CLOSING ARGUMENT ROBBED THE DETERMINATION OF PETITION
ER'S GUILT OF THE FUNDAMENTAL FAIRNESS REQUIRED BY DUE
PROCESS AND DEPRIVED THE DETERMINATION OF SENTENCE OF THE
RELIABILITY REQUIRED BY THE EIGHTH AMENDMENT________________
There is no dispute about the nature of the prosecution's
conduct; it has received universal condemnation. The federal
district court observed that: "Anyone attempting a text-book
illustration of a violation of the Code of Professional Respon
sibility, Canon 7, EC 7-24, and DR 7—106(c)(4) could not possibly
improve upon th[is] example." 513 F.Supp. at 955. The Florida
Supreme Court acknowledged that "under ordinary circumstances
[it] would constitute a violation of the Code of Professional
Responsibility." 329 So.2d at 290. The majority of the court of
appeals acknowledged that the argument "can only be described as
28
tasteless and unprofessional.../" 669 F.2d at 1036/ noting that
it "contained personal opinions" in violation of the Code and
that "the prosecutor's comments would have been reversible error
in an appeal from a federal case." Id. at 1035-36. The district
court described the argument as "a series of utterly tasteless
and repulsive remarks...," "pointless," 513 F.Supp. at 955, and a
"tirade." Id_. at 953. The dissenting justices in the Florida
Supreme Court noted that the "remarks of the prosecutor in the
case at bar can only be characterized as vituperative personal
attacks upon the appellant and as appeals to passion and preju
dice." 329 So.2d at 293. The federal magistrate referred to the
"numerous instances of prejudicial prosecutorial argument as
"improper, repeated, prejudicial." Magistrate-^ Report at 22.,
Even the state concedes: "No one has ever even weakly suggested
that McDaniel's closing remarks were anything but improper...."
513 F.Supp. at 952.
We show below that this extreme misconduct deprived peti
tioner of fundamental fairness in the determination of his guilt
or innocence and of reliability in the determination of his
sentence. That being so, the ensuing prejudice is palpable. If
a defendant is convicted and sentenced to death as a result of
oroceed i ngs that are fundamentally unfair and unreliable,
prejudice is presumed; the burden is properly cast on the state
to show that there was none. But even if petitioner bore the
burden, the circumstances and extent of this misconduct in the
context of this case demonstrate prejudice.
29
In the sections that follow, we first discuss the standards
that control analysis under the due process clause. We then
consider the claim as to sentence in light of the eighth amen
dment standards repeatedly reaffirmed by this Court. Finally, we
assess the prejudice to Mr. Darden on the unique facts of this
case.
A. Mr. Darden Was Denied Fundamental Fairness in the
Determination of his Guilt or Innocence
" [N]ot every trial error or infirmity which might call for
application of supervisory powers correspondingly constitutes a
•failure to observe the fundamental fairness essential to the
very concept of justice.’" Donnelly v. De Christoforo,•416 U.S.
637, 642 (1974) (quoting Lisenba v. California, 314 U.S. 219, 236
(1941)). But some do.
The relevant question ... inescapably imposes
upon this Court an exercise of judgment upon
the whole course of the proceedings in order
to ascertain whether they offend those canons
of decency and fairness which express the
notions of justice of English-speaking peoples
even toward those charged with the most
heinous offenses.
Adamson v. California, 332 U.S. 46, 67-68 (1947) (Frankfurter,
J., concurring).
The Court is not left at large in this inquiry.
[S]tate criminal processes are not imaginary
and theoretical schemes but actual systems
bearing virtually every characteristic of the
common—law system that has been developing
contemporaneously in England and this country.
30
The question thus is whether given this kind
of system a particular [rule] is fundamental
— whether, that is, [it] is necessary to an
Anglo-American regime of ordered liberty."
Duncan v. Louisiana, 391 U.S. 145, 149-50 (1968); accord Johnson
v. Louisiana, 406 O.S. 356, 372 n. 9 (1972) (Powell, J., concur
ring) ("the focus is, as it should be, on the fundamentality of
that element viewed in the context of the basic Anglo-American
jurisprudential system common to the States."). The "better guide
... is disclosed by 'the existing laws and practices in the
Nation.'" Baldwin v. New York, 399 U.S. 66, 70 (1970) (quoting
Duncan, 391 U.S. at 161).
On this score, there is no doubt. The calculated, inflam
matory argument of the prosecution in this case did more than
draw the universal condemnation of the courts below. It violated
the specific prohibitions embodied in the law of every state and
the District of Columbia, for each state has adopted either the
Code of Professional Responsibility or the new ABA Model Rules of
Professional Conduct (1983). The Code provides that:
In appearing in his professional capacity
before a tribunal, a lawyer shall not:
(1) State or allude to any matter that he
has no reasonable basis to believe is
relevant to the case....
(2) Assert his personal knowledge of the
facts in issue, except when testifying
as a witness.
(3) Assert his personal opinion as to the
justness of a cause, as to the credibi
lity of a witness, ... or as to the
guilt or innocence of an accused....
31
DR 7-106(C). These prohibitions have been carried forward
without change in the Model Rules, Rule 3.4(e). The ABA Stan
dards for Criminal Justice (2d ed. 1980) provide:
(a) The prosecutor may argue all
reasonable inferences from evidence in the
record. It is unprofessional conduct for the
prosecutor intentionally to misstate the
evidence or mislead the jury as to the
inferences it might draw.
(b) It is unprofessional conduct for the
prosecutor to express his or her personal
belief or opinion as to the truth or falsity
of any testimony or evidence or the guilt of
the defendant.
v (c) The prosecutor should not use
arguments calculated to inflame the passions
or prejudices of the jury.
(d) The prosecutor should refrain from
argument which would divert the jury from its
duty to decide the case on the evidence, by
injecting issues broader than the guilt or
innocence of the accused under the controlling
law, or by making predictions of the conse
quences of the jury's verdict.
(e) It is the responsibility of the
court to ensure that final argument to the
jury is kept within proper, accepted bounds.
10
Id. § 3-5.8.
The prosecutor in this case flouted each and every one of
these proscriptions: He interjected irrelevant issues such as the
culpability of the prison system; he asserted personal opinions
^ Identical restrictions apply on the conduct of the defense. Id_. ,
§ 4-7.8.
32
and beliefs regarding the veracity of facts stated by Mr. Darden
in his sworn testimony and not rebutted by any evidence in the
case; he expressed a personal opinion of Mr. Darden's guilt and
repeatedly asserted his personal opinion that Mr.-Darden was
lying. Moreover, his entire argument was calculated to inject
into the trial issues broader than guilt or innocence: the
appropriateness of the death penalty (which he argued extensively
at the guilt/innocence stage after expressly acknowledgeing that
it was not an issue at that stage) ; the public misfortune that
Mr. Darden had not yet been killed by a shotgun, automobile
accident, or suicide; the culpability of the prison system; Mr.
Darden's culpability for having a driver's license and a girl
friend; and the need to execute Mr. Darden to insure that he did
not get out and commit other crimes. McDaniel repeatedly and
shrewdly appealed to the passions and prejudices of the jury.
All of this served only to divert the jury from what it should
have focused on at the guilt/innocence stage: the evidence, and
whether Mr. Darden was in fact the guilty man.
The Code, the Model Rules, and the A3A Standards are not,
even by dint of the universality of the consensus they express,
ipso facto incorporated into the due process clause. But, as has
been expressed elsewhere at greater length, neither are they the
expression of a mere ethical nicety. Rather, as explained in the
11 Brief of a Group of American Law School Teachers of Professional Responsibility Amici Curiae in Support of the Petition for
Certiorari in Tucker v^ Kemp, No. 85-5496, filed October 28,
1984.
33
12
ethical considerations accompanying the rule, they serve as a
necessary concomraitant to the principle that: "In order to bring
about just and informed decisions, evidentiary and procedural
• rules have been established by tribunals to permit the inclusion
of relevant evidence and argument and the exclusion of all other
considerations." EC 7-24. "Rules of evidence and procedure are
designed to lead to just decisions and are part of the framework
of the law...; and a lawyer should not by subterfuge put before
a jury matters which it cannot properly consider." EC 7-25.
These concerns mirror directly the concerns of the due
process clause. "Court proceedings are held for the solemn
purposes o.f endeavoring to ascertain the truth which is the sine
qua non of a fair trial." Estes v. Texas, 381 U.S. 532, 540
( 1965) . "This Court has declared that one accused of crime is
entitled to have his guilt or innocence determined solely on the
basis of the evidence introduced at trial, and not on grounds of
... other circumstances not addressed as proof at trail." Taylor
v. Kentucky, 436 U.S. 478 , 487 ( 1 978); accord Estelle v.
Williams, 425 U.S. 501, 503 (1976).
The constitutional vice of the arguments exhibited here is
orecisely the same as the ethical one: "the focus of the trial,
and the attention for the participants therein, are diverted from
the ultimate question of guilt or innocence that should be the
12 Although"[t]he ethical considerations are aspirational in
character...," Code of Professional Responsibility, Preamble and
Preliminary Statement at 1, they also express "the reasons
underlying these standards." Id. at n. 7.
34
central concern of a criminal proceeding." Stone v. PoweU, 428
U.S. 465, 489-90 (1976). • Arguments that inject passion and
prejudice, inflame the jury, invoke prosecutorial position and
expertise to preempt determination of the credibility of wit
nesses and the truthfulness of evidence "deflect [] the truthfind
ing process...." Id̂ _ at 490. Similarly, arguments about the
mistakes of the prison system or the parole board, the appropri
ateness of the death penalty, and the defendant’s purported
future dangerousness have no place at the guilt/innocence stage;
"it interjects irrelevant considerations into the factfinding
process, diverting the jury’s attention from the central issue of
whether the State has satisfied its burden of proving beyond a
reasonable doubt that the defendant is guilty--- " Beck v^
Alabama, 447 U.S. 625, 642 (1980).
The universal consensus of the organized Bar, adopted as the
law of each of the fifty states and the District of Columbia,
shows that prosecutorial misconduct of these kinds threatens the
"just and informed decisions" necessary to our system of truth-
13 In Karris v. State, 414 So. 2d 557 (Fla. 3d DCA 1982), a case much like tms o n e T an eyewitness identified tbe^fendantas
twice having robbed a laundromat. The defendant testified that
he had not been in the laundromat on either date. The prosecutor
made referrences to the rampage of crime m the community and
expressed his personal belief in the defendant s guilt. The
District Court of Appeals reversed the conviction. It is the
responsibility of the prosecutor to seek justice, not merely to
convict. That responsibility will be more nearly met when the
iurv is permitted to reach a verdict on the merits without
counsel indulging in appeals to sympathy, bias, passion, or
prejudice." Id_. at 558.
35
That consensus is persuasive evidence offinding. See EC 7-24.
the meaning of due process in our system.
This conclusion is buttressed by the decisions of this
Court. In Donnelly v. De Christoforo, the Court phrased the
inquiry as whether "a prosecutor's remark ... so infected the
trial with unfairness as to make the resulting conviction a
denial of due process." 416 O.S. at 643. On the basis of "an
examination of the entire proceedings...," id., the Court conclu
ded that it did not. It premised, that conclusion on three
factors.14 First, the remark in Donnelly was "an ambiguous
one___ - id. at 645. Second, it "was but one moment in an
. extended trial--- " Id. Third, it "was followed by specific
disapproving instructions." Id.
"Here, in contrast, the prosecutor's remarks were quite
focused, unambiguous, and strong." Caldwell v. Mississippi, 472
U.S. , 86 L.Ed.2d 231, 246 (1985). They were woven throughout
the whole fabric of the prosecutor's summation. Unlike Donnelly,
there was no curative instruction. Although the trial judge in
Mr. Darden's case did not go quite as far in endorsing the
1 4 "which the
... as toThe Donnelly Court first distinguished the^case in
prosecutor' s remarks so prejudiced a specific right amount to a denial of that right...,'" 416 U.S. at 643 , m
determining to apply the more general standard of due process.
Id .
>jhere were instructions to the jury that it should consider only
the evidence. See R. 824, 862, & 864. And there had been a warninq before the“summation that arguments are not evidence. But
there was no curative instruction. There were no instructions
after the summations either that the prosecutors had erred or
that arguments are not evidence.
36
improper comment as did the judge in Caldwell, 86 L.Ed.2d at
243/ he came close. He both endorsed the lawyers' summations
16generally beforehand and brushed aside or overruled the objecti
ons to the prosecutor's argument, thus effectively indicating
"to the jury that the remarks were proper---" See Caldwell, 86
L.Ed.2d at 243.
In Donnelly, the Court also noted that "closing arguments
... are seldom carefully constructed in toto before the event;
improvisation frequently results in syntax left imperfect and
meaning less than crystal clear." 416 U.S. at 646-47. Here, m
contrast, the meaning was crystal clear. The offending comments
were not limited to a single, isolated remark but rang out
recurrrent themes central to the summation.
Indeed, the very nature of these improper comments invok
ing irrelevant issues designed to inflame the jury and motivate
it to convict the defendant — point unerringly to the conclusion
that the prosecutor employed "improper methods calculated to
produce a wrongful conviction...." Berger v. United States, 295
U.S. 78 , 88 ( 1935). There is no other explanation for the fact
16 The trial judge had admonished the jury before closing argument
that it could rely on the expertise and experience of counsel and
that, therefore, their views on the evidence would be very
helpful. R. 713-14. The prosecutors took advantage of this and
asked the jury to accept their personal beliefs of Mr. Darden's
untruthful ness and guilt.
17 The Donnelly Court acknowledged that "these general observations
in no way justify prosecutorial misconduct," id. at 647 , but
instead merely served to show that it was not necessarily true
that the jury had drawn the impermissible inference from the
prosecutor's ambiguous remark. Id.
that McDaniel focused on the need for the death sentence in his
arguments at the guilt/innocence stage of the trial. As the
district court found: "It is apparent in reading the arguments in
their entirety ... that the prosecutor had a dual purpose in mind
when he attacked the Division of Corrections..., he was also
making, in effect, his principal argument in support of the death
penalty." Darden, 513 F. Supp. at 953. "This conclusion is
buttressed by the fact that, at the conclusion of the penalty
phase of the trial, the prosecutor's argument to the jury is
contained on a single page of transcript." ld_. at 953 n. 10.
Yet, at the guilt/innocence stage, "the central issue" was
whether Mr. Darden was the guilty man, "whether the State ha[d]
satisfied its burden of proving beyond a reasonable doubt that
the defendant [wa]s guilty of a capital crime." Beck, 447 U.S.
at 642 (emphasis added) .
Given that, the prosecutorial arguments prohibited by the
Code, the Model Rules, and the ABA Standards — and exhibited in
case — — serve only to pervert and distort the truthfinding
process, it is wholly inappropriate to require the defendant to
prove that he was prejudiced by them. "Prejudice in these
circumstances is so likely that case by case inquiry into
orejudice is not worth the cost. ... Moreover, such circum
stances involve impairments ... that are easy to identify and,
for that reason and because the prosecution is directly respon
sible, easy for the government to prevent." Strickland v.
Washington, ___ U.S. ___, 80 L.Ed.2d 674, 696 (1984). "When the
38
prosecutor's conduct is considered to have transgressed the basic
principles of fair play embodied in the due process clause... the
standard is strict indeed." Kyle v. United States, 297 F.2d 507,
18
513 (2d Cir. 1961) (per Friendly, C.J.). Such "constitutional
error, in illegally admitting highly prejudicial evidence or
comments, casts on someone other than the person prejudiced by it
the burden to show that it was harmless." Chapman v. California^
386 U.S. 18, 24 (1967).
This conclusion is corroborated by the Court's recent
decision in Caldwell. The Court found that the specific comments
at issue in that case "so affect[ed] the fundamental fairness of
ti\e sentencing proceeding as to violate the Eighth Amendment." 86
L . Ed. 2d at 246 . In reaching that conclusion, it observed:
"Because we cannot say that this effort had no effect on the
sentencing decision, that decision does not meet the standard of
reliability that the Eighth Amendment requires." Id_. at 247
18 Judge Friendly noted that:
The conclusion we draw... is that the standard of
how serious the probable effect of an act or
omission at a criminal trial must be in order to
obtain the reversal... is in some degree a
function of the gravity of the act or omisssion;
the strictness of the application of the harmless
error standard seems somewhat to vary, and its
reciprocal, the required showing of prejudice, to
vary inversely, with the degree to which the
conduct of the trial has violated basic concepts
of fair play.
297 F.2d at 514. On this basis, Judge Friendly concluded that for deliberate prosecutorial misconduct, as is true in Mr.
Darden's case, the showing of prejudice required should be at its
nadir and the harmless error rule should apply. Id_. at 514-15
39
convictions obtained by(emphasis added). By the same token,
such fundamentally unfair proceedings must be reversed: "To
insure that the death penalty is indeed imposed on the basis of
•reason rather than caprice or emotion,' we have invalidated
procedural rules that tended to diminish the reliability of the
sentencing determination. The same reasoning must apply to rules
that diminish the reliability of the guilt determination." Beck,
447 U.S. at 638 (quoting Gardner v. Florida, 430 U.S. 349, 358
(1978)) (footnote omitted).
3 . Mr. Darden Was Denied Reliability in the Determination
his oi Sentence
The effect of McDaniel's impermissible arguments on sentenc
ing must also be considered. For as the district court found,
this was his argument on sentencing; the prosecutor made no other
argument to speak of. 513 F.Supp. at 953 and n. 10.
The effect of his argument was to inflame the jury, to evoke
its passions and invoke its prejudices, and to lead it to impose
the death penalty for impermissible reasons. McDaniel repeated
ly wished that Mr. Daraden had killed himself, slit his own
throat, shot himself, or wrapped himself around the pole in the
automobile accident. He referred to him as an animal and as
needing "a leash on him and a guard at the other end of that
leash." R. 750. He asked the jury to strike a blow at the
correctional system responsible for Mr. Darden's furlough and
urged his personal opinion that its irresponsibility required the
40
death sentence: "That’s the only way that I know that he is not
going to get out on the public. It’s the only way I know. It's
the only way I can be sure of it." R. 753. He did not fail to
invoke race, noting the description of the assailant as "the
colored male..., R. 762, and closing with the "circumstantial
evidence, surrounding that wreck, the time, the place, his
— color...." R. 780.
In making these arguments, McDaniel violated each relevant
provision of the Code and the ABA Standards. He argued matters
that he had "no reasonable basis to believe ... relevant and
that were "not... supported by admissible evidence." DR 7-106(C)
(1). He asserted his personal knowledge of these "facts", which
he had thus improperly put in issue. Id_., subsection (3). He
asserted his personal opinion oji the justness of the death
sentence in this case. Id., subsection (4). He used argument
"calculated to inflame the passions or prejudices of the jury."
ABA Standards S 3-5.8(c). And he "ma[de] predictions of the
consequences of the jury's verdict" when that question was not
open to consideration under the applicable sentencing law. See
id., subsection (d).
In violating these ethical proscriptions and in making these
impermissible arguments, McDaniel deprived Mr. Darden of a trial
that satisfied the "heightened 'need for reliability in the
determination that death is the appropriate punishment in a
specific case...,'" Caldwell, 86 L.Ed.2d at 246 (quoting Woodson
v. North Carolina, 428 U.S. 280, 305 (1976) (plurality opinion)),
41
See , e .g. ,which has been a repeated concern of this Court
ral ifornia v » Ramos, 463 U.S. 992, 998-99 (1983). A sentence of
death obtained in this manner cannot be countenanced without
disregarding the "vital importance to the defendant and the
community that any decision to impose the death sentence be, and
appear to be, based on reason rather than caprice or emotion."
Gardner, 430 U.S. at 358. The arguments used in this case were
(to invert Justice O ’Connor's observation) "extraordinary
measures to ensure that the prisoner to be executed is afforded
process that will guarantee, as much as is humanly possible, that
the sentence was ... imposed out of whim, passion, prejudice, or
mistake." Eddings v. Oklahoma, 455 U.S. 104, 118 (1982)(O’Connor,
j., concurring).
Under these decisions, an exacting scrutiny is demanded of
the process by which death is imposed. As Judge Friendly noted in
K^le:
[T]he pans contain weights and counterweights
other than the interest in a perfect trial.
Sometimes only a small showing of preducice,
or none, is demanded because that interest is
reinforced by the necessity that "The adminis
tration of justice must not only be above
reproach, it must also be beyond the suspicion
of reproach," ... and by the teaching of experience that mere admonitions are insuffi
cient to prevent repetition of abuse.
297 F.2d at 514 (quoting People v. Savvides, 1 N.Y. 2d 554, 154
N.Y.S. 2d 885, 136 N.E. 2d 853 (1956) (per Fuld, J.)). The Court
recognized this point in its decision in Caldwell just last
42
Term, and demanded that we be able to say that the improper
argument "had no effect on the sentencing decision--- " 86 L.Ed.
2d at 247. Especially in light of the persistence of unchecked
prosecutorial misconduct of this sort, see Brief of a Group of
American Law Teachers of Professional Responsibility as Amici
Curiae in Tucker v. Kemp, No. 85-5496, at 10-12, it is clear that
Caldwell struck the correct balance. Accordingly, this death
sentence must be reversed.
C. * Although Mr. Darden Is Entitled to Relief under the-
Harmless Error Doctrine, He Suffered Actual__a n?_
Substantial prejudice
The magistrate's asessment of the effect of McDaniel s
argument is difficult to fault.
The case against Darden was not a weak case,
but it did depend on the jury's determination
of the credibility of Darden's alibi testimony
as against. Qthe eye-witness testimony of the
victims.[iy] All attacks upon Darden which
would affect his credibility in the minds of
the jurors or prejudice them against him would
tend to discredit him and his testimony.
Defense counsel's objection to the prosecu
tor's argument was late and tentative. The
trial judge overruled the objection thereby
making it appear that the argument could be
properly considered by the jury.
The question which then must be asked is:
In the context of the entire trial did the
̂ state trial judge also recognized that the prosecution's case
on the issue of the identification of Mr. Darden as the killer
was open to doubt. No other meaning can be ascribed to his
finding Mr. Darden's repeated protestations of "complete inno
cence" as a mitigating factor. If guilt were clear, a defendant's
protestations of innocence would hardly be deemed mitigating;
they would more likely be interpreted as defiance.
43
prosecutor's improper arguments either have a
substantial influence on the jury's determina
tion of guilt, or is there grave doubt what
influence the argument did have on the jury?
Magistrate's Report at 22.
Having articulated the proper standard under Donnelly and
closely presaged this Court's later formulation in Caldwell, the
magistrate then considered the trial as a whole.
Petitioner's trial counsel put in issue the
credibility of the victim's identification by
cross-examination and proper jury argument.
Darden's testimony at trial included a denial
of the offenses, and of [sic] an alibi,
testimony which "appeared on its face to be
sincerity." (Trial Judge's Findings of Fact
for Sentence).
In the context of the emotionally charged
trial of Darden, a black man, accused of
robbery, the brutal murder of a white man, the repeated shooting of a defenseless white
teenager and vile sexual advances on a white
woman, I have more than grave doubts that the
improper^ repeated, prejudicial argument of
the prosecution did not affect the jury in its
deliberation. I am convinced that the jury deliberation was substantially influenced by
the improper argument a nd that the jury was
prejudiced against Darden by the argument.
Magistrate's Report on 22-23 (emphasis added).
The magistrate was correct. The ordinary problems of eyewit-
20ness identification aside, cross—racial identification, as in
There can be no reasonable doubt that inaccurate
eyewitness testimony may be one of the most
prejudicial features of a criminal trial. Juries
naturally desirous to punish a vicious crime, may
well be unschooled in the effects that the subtle
compoud of suggestion, anxiety, and forgetfulness
44
this case, is the least reliable. Barkowitz and Brigham, Reco^nJ^
tion of Faces: Own Race Bias, Incentive, and Time Delag, 12
journal of Applied Social Psychology, 4:255 (1982); Brigham and
Maass, Accuracy of Eyewitness Identifications in a Field Setting.,
42 Journal of Personality and Social Psychology 673 (1982);
Yarmey, THE PSYCHOLOGY OF EYEWITNESS TESTIMONY 130-35 (1970);
Note, Did Your Eyes Deceive You? Expert Psychological Testimony
on the Unreliability of Eyewitness Identification, 29 Stan.L.Rev.
969, 982 (1977). When that cross-racial identification is
subject to legitimate challenge as influenced by suggestive
procedures, the prosecutor's impermissible attempts in argument
either to bolster the identification or to obscure the issue
cannot be discounted as unimportant or insubstantial.
McDaniel certainly did not think so. No prosecutor would
risk reversal by engaging in such a calculated and extended
calvalcade of unprofessional comments unless he felt unsure of
his evidence and uncertain of a verdict. Again, this is not a
in the face of the need to recall often has on witnesses. Accordingly, doubts over the strength
of the evidence of a defendant's guilt may be
resolved on the basis of the eyewitness' seeming
certainty when he points to the defendant and
exclaims with conviction that veils all doubt,
"[T]hat's the man!"
Kampshoff v. Smith, 698 F. 2d 581, 585 (2d Cir. 1983).
21 In Kampshoff, supra n.20, the eye witness^ identification was
impermissibly tainted by the fact that the witness saw a televi
sion broadcast of petitioner's picture. Here Mr. Arnold had seen
newspaper accounts of Mr. Darden's arrest and Mrs. Turman first
saw and identified Mr. Darden in a courtroom in which he was the
only black.
45
case of an isolated or impromptu remark that might have harmed
the defendant; this was a deliberate, internally coherent
diatribe that repeated and intertwined three basic, impermissible
themes. It ended in a care'fully orchestrated crescendo affirming
the— reliability of the eyewitness identification on the basis of
race and the need to convict both the defendant and the Depart
ment of Corrections. "Courts must do the best they can to
evaluate the likely effects of a particular procedure, based on
reason, principle, and common human experience." Estelle
Williams, 425 U.S. at 504. Common sense indicates that there is
no reason a senior, experienced prosecutor (see R. 749) would
employ such impermissible techniques except to prejudice the jury
and bolster a sagging case.
The courts below relied instead on various technical,
"contextual" considerations in concluding that there was never
theless no harm . to the defendant. Their reasoning does not
withstand scrutiny. For example, both the Florida Supreme Court
and the district court relied heavily on the concept of invited
error. The Florida court felt that the prosecutor’s use of the
term "animal" and the repeated expressions of his wish that the
defendant had been shot or had killed himself were "invited" by
defense counsel's concession that the assailant was an animal.
While it is entirely unclear how this statement by the defense
"invited" either the death wish statements or the other impermis
sible prosecutorial arguments, it is at least "[c]lear [that] two
improper arguments — two apparent wrongs do not make for a
46
United States v. Young, 470 U.S. ___, 84 L.Ed.2dright result."
1 , 9 (1985).
Similarly, the district court asserted that the extensive
and repeated expressions by both prosecutors of their personal
beliefs that Mr. Darden was a liar, that he was guilty, and that
his death was the necessary response to the irresponsibility of
the Department of Corrections were somehow invited by the two
relatively minor expressions of personal opinion by Mr. Maloney.
513 F.Supp. at 955. "Reviewing courts ought not to be put in the
position of weighing which of two inappropriate arguments was the
lesser." Young, 84 L.Ed.2d at 11. Nevertheless, it cannot fairly
be said that two inappropriate remarks by a young defense counsel
made in the throes of argument that expressed a personal opinion
about the sufficiency and weight of the evidence are the equiva
lent of — and will carry the same weight with the jury as
numerous, repeated, deliberate comments of a senior prosecutor
expressing personal opinions about guilt and credibility. Indeed,
is apparently the rule both in Florida and many other
23 . .jurisdictions that the expression of personal opinion regarding
22 See, e.g., Roundtree v. State, 229 So.2d 281 (1st DCA 1969), app.
"dismissed, 242 So.'2d 136’('Fli. 1970); Coleman v. State, 215 So. 2d
98 (Fla".""4th DCA 1968).
23 "Though prohibiting the expression of a personal conviction as to
defendant's guilt, courts have accepted statements offerred as a
personal conclusion as to the strength of the evidence." Y.
Kamisar, W. LaFave, & J. Israel, MODERN CRIMINAL PROCEDURE 1450
(5th ed. 1980); see also Vess, Walking a Tightrope; A Survey of
Limitations on the Prosecutor 1s"Closing Argument, 64 J.Crim.L. &
Cl TT, 45-46 ( 19 7 3) ; Annotation, 88 A.L.R.3d 449 ( 1978).
47
the weight of the evidence, as distinct from guilt or innocence,
is permissible»
According to the analysis of the district court, the
argument by Maloney that the evidence was not enough "to kill
that man [Darden,]" made at the end of his summation, R. 737,
opened the door to the prosecutor’s arguments for the death
penalty. 513 F.Supp. at 953-54, The problem with that analysis is
threefold. First, at most, it invited the prosecutor to respond
_as he did in part — that the question of sentence would be
dealt with later and that only guilt or innocence was at issue at
that stage. Second, even if one assumes that it also invited the
prosecutor to remark that he would seek the death penalty at the
appropriate time, it certainly did not invite him to make his
entire sentencing argument at the guilt/i nnocence stage as the
district court found he did. 513 F.Supp. at 953 & n. 10. Third,
the judge had already ruled at the start of Maloney's summation
that the identical comment was proper. R. 730. As Young makes
c]_ear, the primary responsibility for controlling improper
argument lies with the trial judge. 84 L.Ed.2d at 11. Here it was
the trial judge who allowed the escalating juggernaut of improper
argument to get started. Mr. Darden should not pay for that with
his life.
The Florida Supreme Court relied on two other considerations
in finding no error: "the totality of the record ... in these
uniquely vicious crimes..." and the "overwhelming eyewitness and
circumstantial evidence." 329 So.2d at 290 , 291 . At best,
48
however, the heinous nature of the crime excused only the
-animal" comments. The strength of the eyewitness testimony was
the very thing the prosecutor was seeking to bolster by impermis
sible argument. Neither of these considerations can establish
-harmless error ... in this particular case." 329 So.2d at 290.
Finally, the lower federal courts relied on one more
technical argument: "the Court instructed the jury on two
occasions that the argument of counsel was not evidence---" 699
F.2d at 1036 (quoting 513 F.Supp. at 958). In fact, there was one
such instruction, but it came before the prejudicial summation.
See nn. 15-16 supra. Afterward, the court gave no instructions
touching the question of arguments; it did tell the jury during
the course of a lengthy charge that it should consider only the
evidence. But that was too little, much too late. Compare
Caldwell, 86 L.Ed.2d at 249, 252 (Rehnquist, J., dissenting).
Recent decisions of the Eleventh Circuit would require that
a defendant show "a reasonable probability that, but for [the
improper prosecutorial] arguments, the death penalty would not
have been given." Brooks v. Kemp, 762 F. 2d 1 383, 1413 ( 1 1th Cir.
2 41 985) (en banc). They would apply this standard even when the
court "cannot conclude that these few improper remarks had no
prejudicial effect on the jury...," if the court is "satisfied
24 Accord Drake v. Kemp, 762 F.2d 1449 (11th Cir. 1985) (en banc);
Tucker v. Kemo, 762~F.2d 1480 (11th Cir. 1985)(en banc); Tucker
v. Kemo, .2d 1496 (11th Cir. 1985) (en banc).
49
th.t the prejudice was nor severe.- M . at 1415. Putting aside
the question whether these decisions survive Caldwell, their
standard would not control Mr. Darden's case; here, the improper
remarks were not -few” nor was the prejudice less than -severe.-
Here, the remarks were calculated to obscure the central issues
and did so, to Mr. Darden's actual and substantial prejudice. It
is difficult to imagine a more egregious and deliberate closing
argument than that in this case. The prosecutor's incendiary
argument was tossed into the powder keg of a black/white killing,
with sexual advances on the victim's widow, where the primary
factual question was whether the police had arrested the right
-colored male.- Because the extensive improper remarks were of a
sort calculated to interfere with the reliability of the gury's
determination, -we cannot say that this effort had no effect...,"
Caldwell, 86 L.Ed.2d at 247. Petitioner's conviction and sentence
of death must be reversed.
II.
• u *. tjj ,.1. dfiQ U S i 83 L. Ed. 2d 841 ( 1985)/In Wainwright v. Witt, 469 u.s. --
this Court modified the test of Witherspoon v. Illinois. 391
D.S. 510 (1968), which governs the exclusion of prospective
jurors in capital cases on the basis of their views about
capital punishment. The Court was careful to state, however,
that it -adhere[d] to the essential balance struck by the wither^
50
spoon decision." 83 L.Ed.2d at 852 n.5. That 'essential
balance" prohibits the exclusion (or cause of 'jurors who, though
opposed to capital punishment, will nevertheless conscientiously
apply the law to the facts adduced at trial.' Id. at 850. In
other words, opposition to capital punishment alone is not a
sufficient basis for disqualification. Something more must be
shown.
To be sure, Witt did modify the Witherspoon test as
to precisely what more must be shown. Applying the standard of
Adams v. Texas, 448 U.S. 38 (1980), the Court held as follows:
[Al juror may not be challenged for cause
based on his views about capital punishment
unless those views would prevent or substan-
1-4 ally impair the performance o t m s auties aŝ
a juror in accordance with his instruction^
and his oath. .-
83 L.Ed.2d at 849 (emphasis in original) (quoting Adams, 443 U.S.
at 45); 83 L.Ed.2d at 851-52. But in the absence of the showing
required by Witt, a venire member may not be excluded simply
because he holds strong views against capital punishment.
Measured by these principles, the exclusion for cause of
venireman Murphy at petitioner's trial cannot be upheld. For
Murphy was excused solely on the basis of the following question
and answer:
25 witt also reiterates that, "(a]s with any other trial situationWitt also reiterates that, "[a]s with any otner criai sirud
^E£7e an adversary wishes to exclude a juror because of oias,
it is the adversary seeking exclusion who must demonstr.
through questioning, that the potential juror lacks impart
ity." 83 L.Ed.2d at 851
ate ,
impartial-
51
THE COURT: Do you have any moral or religious,
conscientious moral or religious principles in
opposition to the death penalty so strong
that you would be unable without violating
your own principles to vote to recommend a
death penalty regardless of the facts?
MR. MURPHY: Yes, I have.
R . .165 (emphasis added). The trial judge never determined
whether or not Murphy*s "own principles" relating to capital
punishment "would prevent or substantially impair the performance
of his duties as a juror in accordance with his instructions
and his oath." Murphy was never once questioned as to whether
he could set aside his personal beliefs or private principles and
perform "his duties as a juror in accordance with his instruc
tions and his oath." Instead, he was summarily excluded solely
because of his affirmative answer to a single question demon
strating only that he held strong principles in opposition to
capital punishment — principles which he would have to subor
dinate if he were to serve as a juror. Whether or not he could
in fact subordinate those principles and serve was never deter
mined .
The only way to uphold Murphy's exclusion would be to assume
that any individual who has strong principles against capital
punishment would automatically be unable to restrain those prin
ciples and would therefore be "substantially impaired" in the
performance of his duties as a juror. But that is not the law.
52
The very essence of the Witherspoon balance, adhered to in Witt,
cries out to the contrary:
It is entirely possible, of course, that
even a juror who believes that capital punish
ment should never be inflicted and who is
irrevocably committed to its abolition could
nonetheless subordinate his personal views to
what he perceived to be his duty to abide by
his oath as a juror and to obey the law of the
State.
Witherspoon v. Illinois, 391 U.S. at 514-15 n.7. Adams v. Tex_as,
the decision upon which Witt is based,- makes the same controlling
point:
[I]t is entirely possible that a person who
has a "fixed opinion against" or who does
not "believe in" capital punishment might
nevertheless be perfectly able as a juror to
abide by existing law —— to follow conscien
tiously the instructions of a trial judge and
to consider fairly the imposition of the death
sentence in a particular case.
448 U.S. at 44-45 (quoting Boulden v. Holman, 394 U.S. 478, 483-
-84 (1969)). Thus, to say that Murphy's exclusion may be upheld
because he could not vote for capital punishment without violat
ing his own strong principles is a complete non seguitur. At no
time was it shown that Murphy would have any difficulty curbing
those principles, following the law, and doing his civic duty as
a responsible juror in accordance with his instructions and his
oath.
In Witt, this Court upheld the exclusion of a venire member
who admitted that her personal views about capital punishment
53
would interfere with the performance of her duties as a juror. 83
L.Ed.2d at 846. Unlike venire member Colby in Witt, Murphy here
said no such thing. The difference between the two prospective
jurors was succinctly stated by Judge Johnson of the Eleventh
Circuit, dissenting from that Court's affirmance of the denial of
habeas corpus relief upon remand from this Court:
Colby stated that a conflict between belief
and duty would interfere with performance of
duty, while Murphy said only that a conflict
would exist. The fact that a conflict exists
between belief and duty tells a judge abso
lutely nothing about how the juror will react
when faced with that conflict.
Darden v. Wainwright, 767 F.2d at 759 n.3.
Because the trial judge did not employ the correct standard
in questioning Murphy, this Court should not defer under Witt
to the judge's finding that the venireman deserved to be ex
cluded. Recognizing that the judge's understanding and applica
tion of the correct standard is central to a determination that
the exclusion was presumptively correct, this Court in Witt
looked closely at the standard employed by the trial judge:
[T]here is every indication that the judge
indeed applied the correct standard. Although
the judge did not participate in questioning
venireman Colby, the record shows that on
several subsequent occasions during voir dire
he did participate in questioning. On each of
those occasions the judge asked questions en
tirely consistent with the Adams standard.
83 L.Ed.2d at 856.
54
in the present case it was the trial judge himself who
personally questioned the venireman at issue. His questioning of
Murphy was hardly "consistent with the Adams standard." Further
more, as noted in Judge Johnson's dissent below, the trial judge
announced this incorrect standard at the very opening of the
voir dire and again at a later point after Murphy's exclusion.
767 F.2d at 755-57. And the exclusion for cause resulted solely
from his failure to employ the correct standard — not
from any ambiguity or indecisiveness in the venireman's answer.
Murphy gave a direct and straightforward answer — "Yes, I have"
__but to the wrong question. That was the only question
directed at him concerning his views about capital punishment.
In contrast to Witt, where Mrs. Colby answered six questions on
the subject, there was no colloquy here which could give rise
to any presumption of a finding as to demeanor or credibility.
This is simply a case in which the trial judge employed a
constitutionally incorrect standard in his questioning of a
26 Murphy had just been seated in the jury box a moment
earlier, and had not been the subject of any previous group or
individual questioning about capital punishment. R. 165.
27 The Court below erroneously stated that defense counsel did not
object to Murphy's exclusion. 767 F. 2d at 754. At the outset_ of
the voir dire, during the same discussion in which the trial
iudqe announced that he would exclude any venire member who if
he did follow it [the law], would be going against his
principles," the judge granted defense counsel a continuing
objection to such exclusions. R. 18-19. Following Murphy's
exclusion the judge explicitly directed the court reporter to
note defense counsel's objection pursuant to that ruling. l£. at
165.
55
prospective juror and, therefore, obtained a constitutionally
inadequate answer. Habeas corpus relief should be granted.
Ill PETITIONER'S DEATH SENTENCE SHOULD BE VACATED BECAUSE HE WAS
BEREFT OF THE EFFECTIVE ASSISTANCE OF COUNSEL WHICH DEPRIVED
ll^OF A FULL, FAIR, AND INDIVIDUALIZED DETERMINATION OF
WHETHER HE SHOULD LIVE OR DIE - ■ ■ —----
A capital sentencing proceeding in which the sentencer
cannot give
independent mitigating weight, to aspects of
the defendant’s character and record and to
the circumstances of the offense proffered in
mitigation creates the risk that the death
penalty will be imposed in spite of factors
which may call for a less severe penalty.
Lockett v. Ohio, 438 U.S. 586, 605 (1978). Without consideration
of "compassionate and mitigating factors stemming from the
diverse frailties of humankind," a capital defendant would be but
one of a "faceless, undifferentiated mass to be subjected to the
blind infliction of the penalty of death." Woodson v. North
Carolina, 428 U.S. 280, 304 (1976). Accord Zant v. Stephens, ---
23 Although the jury's role in sentencing in Florida capital cases
is advisory, the trial judge may not overrule a jury
recommendation of mercy unless "'the facts suggesting a sentence
of death ... [are] so clear and convincing that virtually no
reasonable person could differ.;", Proffitt v. Florida 428 U.S.
242 249 (1976) (plurality opinion). Witherspoon, of course,
applies to the selection of any "jury that imposed or recom
mended" a death
522
sentence.
Timphasis added); see
Witherspoon v. Illinois, 391 U.S. at
id. at “518 n. 12~ And this Court hasempnasis duueu; , acc - **, — - , . -expressly held that even one unconstitutional exclusion for cause
requires reversal of the sentence of death. Davis v. Georgia,
429 U.S. 122 (1976).
56
29
0>s. ___, 7 7 L. Ed. 2d 235, 251 ( 1983). Accordingly, the Court
has vacated death sentences imposed where.nonstatutory mitigating
evidence was precluded either by statute, Lockett v. Ohio; by
state coilrt practice, Eddings v. Oklahoma,, 455 O.S. 104, 113-14
(1982); or by state rules of evidence, Green v. Georgia, 442 U.S.
95, 97 (1979). This case asks whether the same relief is due
when that deprivation is caused by counsel's mistakes.
At the habeas hearing before the magistrate, trial counsel
Maloney explained the failure to develop and present nonstatu
tory mitigating evidence as premised on an understanding that the
Florida statute precluded such evidence. " [A]fter a perusal of
the mitigating circumstances in the Florida Statute 921.141 [,]
... we reached the conclusion that Mr. Darden did not qualify
for any of the statutory factors. H.C. 154. In apparent candor,
Maloney conceded: "I was completely unaware that any mitigating
circumstance, if relevant, is admissible. Id_.
Counsel's interpretation of the statute had some support,
^ Such evidence "may make a critical difference,
capital case." Stanley v. Zant, 697 F.2d 955
1983) .
especially in a
969 (11th Cir.
30 Florida's 1972 capital sentencing statute confined the jury s
sentencing deliberations to three issues.
(a) Whether sufficient aggravating circumstances exist as enumerated in subsection
(6), and
(b) Whether sufficient mitigating circumstances exist as enumerated in subsection
(7), which outweigh aggravating circum
stances found to exist, and
(c) Based on these considerations whether the
57
31 but it made noand was even adopted in some later Florida cases,
sense in the context of Mr. Darden's case. For the trial court
repeatedly and emphatically assured the defense that it could "go
into any other facts [beyond the statute] that might really be
pertinent to full consideration of [petitioner’s] case and the
analysis of [petitioner] and [his] family situation, [his] causes
or anything else that might be pertinent to what is the appropn-
defendant should be sentenced to life or
death.
Fla Stat S 921.141(2)(a) , (b), (c)(emphasis added). The judge's
a lt i in a tV d e c is io n operated within the same statutory confines
Fla Stat. § 921.141(3). See, e.g., Vance, The Death Penalty
After Furman, 48 Notre Dame Lawyer‘$50, 3 55 ( 1973)(Under the new Florida sT a-tute, "capital felonies and their attendant aggrava
ting or mitigating circumstances are carefully spelled out. ).
Not only did the statute appear restrictive on its face; the
Florida legislature intended it to be. See Hertz & Weisberg, I
Mitigation of the Penalty of Death: Lockett v. Ohio and_tHe
C aoT&r Defend ant's Right to Consideration ot Mitigating circugE
stances',' 69 Cal. L. Rev. 3li, T5B n. 199 (1 9 8 1 ). boon arcer Lockett announced the constitutional requirement that mitigating
evidence be unrestricted, the Florida legislature amended the
statute. It deleted the words of restriction, as enumerated m
subsection (7)," from subsection (2)(b)'s reference to mitiga
ting circumstances, and specifically added a clause to permit the
introduction of evidence of "the nature of the crime and the
character of the defendant." 1979 Fla. Laws ch. 79-353. These
provisions would not have been necessary unless the prior statute
was indeed restrictive.
Six months before petitioner's trial, the Florida Supreme
Court had interpreted the statute as restricting the scope of
mitigating evidence. State v. Dixon, 283 So.2d 1 (Fla. 1973).
31 Cooper v. State, 336 So.2d 1 133, 1 1 39 n.7 (Fla. 1976)_, cert,
denied, 43l"u7~925 ( 1977). See also Gibson v. State, 351 So. 2d
51*7-35! . n.6 (Fla. 1977); Bar^Sy '* > . £ J«.
1270-71
1975).
(Fla. 1977); Songer v. State,
58
ate sentence." R. 887; accord R. 883-84, 888, 904. Counsel failed
to understand the critical value of presenting factors broader
and more personal than those embodied in the narrow statutory
list.
_ Instead, counsel's principal pre-sentencing preparation
consisted of one twenty minute interview in the course of a forty
minute court recess. H.C. 373. Though the court offered to
recess the trial for several days so that counsel could properly
prepare for sentencing, R. 874, defense counsel preferred to
"proceed[] rather quickly before the Jury," asking only for "10
or 15 minutes with the Defendant prior to starting this." R. 875.
Counsel made no effort to inform themselves of Mr. Darden’s
previous reputation for friendliness, good character, and
32non-violence. Misfortunes in Mr. Darden's past such as a
life of extreme poverty and social deprivation, the premature
death of his mother and its lasting effects on him, the desertion
of his father and stepmother, the harsh treatment of North
Carolina reform authorities who committed him to a juvenile
institution for four years for pilfering a mailbox never
entered the decision on death. Because of counsel's misperception
of the scope of a capital sentencing proceeding, neither judge
nor jury was informed of even the nonstatutory information of
value already available to defense counsel in two psychiatric
reports. R. 885-86. One of these reports made note of peti-
32 Mr. Darden had a previous conviction for assault with intent to
commit rape. Darden v. State, 218 So.2d 485 (Fla. 2d DCA 1969)
59
and indicated that hetioner's circumstances from childhood on
ran several businesses successfully, was well liked in the
community, was considered non-violent by his acquaintances, and
functioned — no doubt in large measure because of his early
deprivations — at the dull normal I.Q. of 88.
Trial counsel's poor performance had important eighth
amendment consequences. It cost him the opportunity to present
evidence of a difficult, stunting upbringing and a prior reputa
tion for a solid, nonviolent character. Instead, it resulted m
‘a sentencing presentation that lasted only a few minutes,
occuping seven pages of transcript. It cost him a closing
argument, a last opportunity for a professional advocate to weave
the widely varying threads of petitioner's circumstances and
times into a life, and give meaning and depth and significance to
it in the jury's sentencing decision.
This Court has recently articulated a two-pronged standard
for adjudicating claims of "actual ineffectiveness" of counsel.
The performance component requires the defendant to "show that
33 some nonstatutory mitigating evidence did find its “ayintothe
record nevertheless. At the court's urging, Mr. Darden .ose
aaain to profess his innocence ("emotionally and with what
appeared 0̂ 1 its face to be sincerity") and to advise the jury
that he was the father of a family of seven children. The trial court, demonstrating foresight unusual for the times, madenote
of these factors in his sentencing report. But see.. Daraen v_
State 329 So.2d 287, 291 (Fla. 1976) (where fETFT3?ida Supreme
Court'observed that there were "no mitigating circumstances to
reduce the penalty from death"). Here again, however, counse s
judgment and training in persuasion were never brought to bear on
this information and its presentation. Counsel s function
shrivelled from advocate to mere presence m the courtroom.
60
counsel's representation fell below an objective standard of
reasonableness." - Washington ---- U -S‘ ----' 8°
I.. Ed. 2d 674, 693 ,1984). See also frith-,. Wainwri^bt, 741 E.2d
1248, 1254 (11th Cir. 1984). The second prong demands a showing
"that there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceedings would have
been different," Strickland. 80 L.Ed.2d at 698. See Smith, 741
P 2d at 1254. The Court defined reasonable probability as "a
probability sufficient to undermine confidence in the outcome."
Strickland, 80 L.Ed.2d at 698.
in Strickland, defense counsel offerred no futher evidence
,t sentencing because of a "sense of hopeless ness.about the
evidentiary effect of (the defendant's] confession" and because
offering no evidence permitted him to argue facts about the
defendant's background presented at an earlier plea colloquy
. . __ his client to cross-examination. 80 L.Ed.2d atwithout subjecting his client
684 . Counsel also knew that the judge favored "a convicted
defendant who owns up to his crime." Id. at 685. On this basis,
counsel in Strickland made an extensive closing argument, id. at
684, which the trial Judge found "admirable." Id. at 686. In
Strickland, the Court concluded that "counsel has a duty to make
reasonable investigations or to make a reaonable decision that
makes particular investigations unnecessary." Id. at 695. It
concluded that, in the circumstances of that case, counsel's
performance was reasonable.
61
Here, defense counsel's preparation for and presentation of
a case at the sentencing phase were not reasonable. The decision
not to investigate was not an informed, tactical judgment.
Rather, it was reached because counsel neither knew the law nor
attempted to investigate and find out the law governing senten
cing. Indeed, even after the trial court made it clear that
nonstatutory mitigating factors would be considered and that a
continuance would be allowed so that counsel could prepare
properly, counsel nevertheless rushed the case to judgment; they
failed even to present the nonstatutory mitigating evidence
already available to them. Counsel’s argument on sentencing was
hardly professional, much less "admirable," consisting of only a
short statement that served to highlight the aggravating rather
than the mitigating circumstances.
Unlike Strickland, where the Court concluded that the
"overwhelming" evidence in favor of death made it improbable
"that the omitted evidence would have changed the conclusion," 80
L.Ed.2d at 701, the substandard performance of counsel in this
case mattered very much. For the prosecutor argued extensivly
that Mr. Darden was no better than an animal, that he should be
out to death because otherwise the prison system would release
him again, and that society was already unlucky that Mr. Darden
had not managed to kill himself. All of this was both beyond the
record and beyond the pale. The sentencing hearing began only an
hour later, in the wake of that argument. Had counsel offered
the nonstatutory evidence discussed above, it might at least have
62
counteracted these impermissible arguments. It would have offered
the jury - which, without such evidence, nevertheless split
over the question of punishment — information upon which it
could have relied in considering life as an appropriate sentence
for someone who was a human being with "the diverse frailties of
humankind." Woodson, 428 D.S. at 304. Instead, it was urged to
consider whether to extinguish an "animal" and thus strike a blow
against an errant prison system.
Lockett and Eddings emphasize that: "in capital cases the
fundamental respect for humanity underlying the Eighth Amendment
requires consideration of the character and record of the
individual offender and the circumstances of the particular
offense as a constitutionally indispensable part of the process
of inflicting the penalty of death." Woodson v. North Carolina,
428 U.S. at 304. "A capital sentencing proceeding ... is
sufficiently like a trial in its adversarial format ... that
counsel’s role in the proceeding is comparable to counsel's role
at -trial — to insure that the adversarial process works to
produce a just result---" Strickland, 80 L.Ed.2d at 693.
Here, counsel failed altogether to submit the question of
life or death to adversarial testing, even after the trial judge
invited them to do so and suggested a continuance. The prosecu
tor, on the other hand, had missed no opportunity to press home
his point that "the animal" deserved death by execution if not by
his own hand. Here, "the core purpose of the counsel guarantee"
was thwarted; "confronted with both the intricacies of the law
63
*
and the the advocacy of the prosecutor...," Onited States v. Ash,
413 o.S. 300, 309 (1973), Mr. Darden was left with no assistance
on either score. Rather, he literally stood up for himself,
alone. Because this sentencing -process los[t] its character as a
confrontation between adversaries," and became instead the
-sacrifice of unarmed prisoners to gladiators...," United States
v. cronic, ___ U.S. ___, 80 L.Ed.2d 657, 666-67 (1984) (quoting
United States ex rel. Williams v. Twomey> 510 F.2d 634, 640 (7th
Cir. 1974)), the resulting sentence of death should be reversed.
CONCLUSION
For the foregoing reasons, the judgment of the court of
appeals should be reversed. *
Oocno^ffnl1v submitted,
ROBERT AUGUSTUS "'HARPER, J r .
317 East Park Avenue
Post Office Box 10132 Tallahassee, Florida 32302
(904) 224-5900
COUNSEL FOR PETITIONER
64