Opinion ID: 505930
Heading Depth: 2
Heading Rank: 1

Heading: Expert Ballistics Assistance Claim

Text: 24 Stephens contends that he was deprived of his constitutional rights by the state's failure to provide funds for the appointment of a ballistics expert to assist in the preparation of an adequate defense. In Ake v. Oklahoma, 470 U.S. 68, 105 S.Ct. 1087, 84 L.Ed.2d 53 (1985), the Supreme Court held that the state must provide an indigent defendant with a competent psychiatrist to conduct an appropriate examination provided the defendant demonstrates to the trial judge that his sanity at the time of the offense is to be a significant factor at trial. The issue of whether Ake extends beyond an indigent defendant seeking to assert the defense of insanity was argued before this Court in Moore v. Kemp, 809 F.2d 702 (11th Cir.1987) (en banc). The opinion for the court in Moore found it unnecessary to reach this issue: 25 The Supreme Court's statement in Caldwell [v. Mississippi, 472 U.S. 320, 105 S.Ct. 2633, 86 L.Ed.2d 231 (1985) ] implies that the government's refusal to provide nonpsychiatric expert assistance could, in a given case, deny a defendant a fair trial. The implication is questionable, however, in light of the court's subsequent statement that it had no need to determine as a matter of federal constitutional law what if any showing would have entitled a defendant to assistance of the type [Caldwell ] sought. Id. (emphasis added). We nonetheless assume, for sake of argument, that the due process clause could require the government, both state and federal, to provide nonpsychiatric expert assistance to an indigent defendant upon a showing of need. 26 Id. at 711. Five judges concurred in the opinion to express their belief that Ake was limited to its facts. Id. (Hill, J., concurring in part and dissenting in part). In the present case, we again postpone the resolution of this issue. As in Moore, the petitioner in this case is not entitled to relief even if we assume that states may be required to provide nonpsychiatric expert assistance to indigent defendants. Stephens' claim fails for two reasons. First, the defendant is unable to overcome the threshold showing that [the issue on which expert assistance is sought was] likely to be a significant factor in his defense. Ake, 470 U.S. at 82-83, 105 S.Ct. at 1096. Second, the state's failure to provide funds to employ a ballistic expert in this case did not render Stephens' trial fundamentally unfair. 27 In Caldwell v. Mississippi, 472 U.S. 320, 323 n. 1, 105 S.Ct. 2633, 2637 n. 1, 86 L.Ed.2d 231 (1985), the Supreme Court tersely rejected a defendant's claim that the state had failed to appoint a criminal investigator, fingerprint expert and ballistics expert in violation of the constitution. The court disposed of this claim in a footnote, writing: Given that petitioner offered little more than undeveloped assertions that the requested assistance would be beneficial, we find no deprivation of due process in the trial judge's decision. Id. 28 In Moore v. Kemp, 809 F.2d 702, (11th Cir.1987) (en banc), this court considered a habeas corpus petitioner's claim that he had been denied an adequate defense due to the state's failure to appoint an expert to analyze physical evidence linking the defendant to the crime scene. We held that the defendant had not made a sufficient showing that the failure to appoint an expert had deprived him of a basic tool of an adequate defense. Id. at 709. In considering whether the defendant had made an appropriate request to the trial court for the provision of expert assistance, we restricted our review to a consideration of the facts presented to the state trial court at the time the motion was denied. 29 In Moore, the only sources of information before the state trial court at the time of the ruling consisted of: (1) the petitioner's preliminary hearing, (2) the co-defendant's preliminary hearing, (3) the petitioner's suppression hearing, and (4) the petitioner's motion for the appointment of a criminologist. This court concluded that the defendant had not sufficiently informed the court of the specific evidence which should have been scrutinized by an expert nor had the defendant shown how the expert could have assisted the defendant. The trial court had merely been informed that the defendant wanted an expert of some kind to review any tests the state crime lab may have performed and to conduct an unspecified number of tests that counsel declined to describe. Id. at 717. Thus, Moore requires defense counsel to familiarize himself with regard to the specific scientific area in which an expert is needed; although the attorney need not become an expert himself, he must conduct a minimal amount of background work so that he may intelligently phrase his request so as to inform the judge as to why an expert is needed and what this expert is capable of performing. The Moore decision alludes to several factors to be considered in determining whether the defendant has made a sufficient showing that the expert would be a significant benefit to the truth-seeking function of a trial. Id. at 712 n. 8. When a defendant seeks an expert to rebut evidence to be introduced by the state, counsel must first inform the court of the nature of the prosecutor's case. A federal court reviewing a habeas petition must consider: (1) whether the trial judge was informed of the specific evidence which incriminates the defendant, and (2) whether the information which would assist the defendant could be obtained through the state's experts. Secondly, counsel must provide a reasonably specific description of the expert services sought. A reviewing court must therefore examine: (1) whether counsel delineated the specific type of expert sought; (2) whether the trial court was informed as to the availability and costs of the expert who would perform the requested services and, if known, the name of the expert sought, and (3) whether counsel has shown how the expert would contribute to the defense. 30 In the present case, the state trial judge was presented with significantly less information concerning the nature of the evidence against the defendant than was presented to the trial judge in Moore. On January 30, 1979, Stephens was indicted for murder and three counts of aggravated assault. The indictment is drafted in general terms, merely informing the reader that Stephens is charged with murdering Officer Stevens by shooting him with a rifle. Eight days following Stephens' indictment, a motion hearing was held before Superior Court Judge Edwin Fulcher. In presenting a motion to disclose exculpatory evidence under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), defense counsel outlined some of the physical evidence to be presented by the prosecutor: 31 I don't have the resources that the district attorney has. I have to rely upon my own ingenuity and my own investigatory powers and my own interviews, and there's a lot of information I would like because I think it is important. For instance, that's why I subpoenaed all the people from the GBI who were on call and Mr. Ronnie Strength, I would like to know if this information does exist; for instance, whether the deceased fired his weapon? I think that would be material. Or whether or not there was any analysis made of any bullet or projectiles discharged from any gun? Whether or not they conducted any tests upon the deceased's weapon. It may be that the defense may want to use a defense of self-defense; and if we do not have access to information showing that the gun was fired and they'd tested the gun and it showed that it was fired, then we will be denied that defense.... I think [the District Attorney] should be compelled to turn over all these reports, scientific reports. 32 Defense counsel also sought photographs of the police car in which Officer Stevens was killed: 33 I would like to see photographs taken of the scene to determine whether the glass--the impact of the glass was inside the car or outside the car; that would have some bearing of whether or not a shot was fired. 34 The prosecutor proceeded to give defense counsel the opportunity to examine evidence being held at the Augusta Crime Laboratory. 35 On January 8, 1980, Judge Franklin Pierce presided over a second round of motions in this trial. This was Judge Pierce's first introduction to this case. At this hearing, defense counsel presented a written motion for appointment of an expert 1 and made the following oral argument:THE COURT: Now you've got a motion for ... 36 MR. PURCELL: To appoint an expert witness to examine evidence of the State, Your Honor. 37 .... 38 MR. PURCELL: What he seeks to do here, Your Honor, is to have one of his experts to go over everything and run all the tests and do that sort of thing. I believe he has-- 39 THE COURT: That's already been done? 40 MR. PURCELL: Yes, sir. It's already been done, which will be introduced at trial and I know the Court is familiar with recent Georgia cases in which defense counsel of various defendants have sought to have so-called criminologists appointed and Martin against the State is the most recent one-- 41 THE COURT: The Courts haven't gone that far yet, have they? 42 MR. PURCELL: No, sir. 43 MR. WILKINSON: If I could respond to Mr. Purcell's argument, I believe my motion sets out the reasons for the need to have an independent expert appointed to examine the evidence by the State, because the whole theory of the defendant's case rests upon the examination and introduction into testimony, evidence derived from the examination and to leave the entire defense to the prosecution, and admittedly, the Georgia Bureau of Investigation Crime Bureau is an arm of the State, to leave the entire defense theory, the entire examination of the evidence to the State, would deny to the defendant due process of law. I don't want to tell the State what our theory of the case is, but our theory of the case depends a great deal upon the examination of this evidence, and I'm not an expert--I can go in there and I can look at something and I can't determine whether or not the trajectory of fire which the State says may have occurred is in fact what occurred. I ask the Court to appoint a qualified expert who has had a lot of experience in this area to examine the evidence and to see if that corresponds with what the State says, or it corresponds with my theory of the defense and even though the evidence has been examined-- 44 THE COURT: Excuse me. Even though I might consider doing that, where in the world would I find such a man other than the [sic] would have? 45 MR. WILKINSON: Your Honor, that's why I suggested the Court appoint Otis Hensley. Of course, I attached his resume that he's a qualified firearms examiner, expert witness and has-- 46 THE COURT: Where's Mr. Hensley located. 47 MR. WILKINSON: He lives in Columbia County, Judge. 48 .... 49 MR. WILKINSON: Your Honor, ... I think due process of law under the Fifth and Fourteenth Amendments to the Constitution of the United States require that the sole--well, the State not have control over the entire case to the exclusion of any witnesses that the defendant might introduce, and of course the defendant is indigent, and of course has no funds other than say, through the grace of the Court, by which to employ an expert to examine the evidence. 50 THE COURT: I'm sure you know, Mr. Wilkinson, the Court's at a real disadvantage here now, because I've had no opportunity even to see this before. You've had opportunity to look into all of this and you've been there and been to the Crime Lab and you went there and got all the information you could and I haven't seen the file. I'm going to make an in camera inspection and if I find or see anything that indicates there might be something exculpatory, I'm going to have the district attorney review it with you. Then, if there is anything that develops that I think requires necessity of an expert other than what we already have, I'll consider that further, but I think we'll have to wait until that time and adjust my thoughts. 51 Additional comments by the trial judge indicate that he had made an in camera inspection of the prosecutor's file prior to ruling upon the motion for appointment of an expert. The prosecutor's file has not been made part of the record in this habeas corpus proceeding. On January 11, 1980, Judge Pierce denied the defendant's motion for appointment of an expert. This motion was never reasserted during the course of Stephens' trial. 52 The record therefore shows that the trial judge had the following information before him at the time he ruled upon defendant's motion: (1) petitioner's indictment, (2) petitioner's written motion before the court, (3) defense counsel's oral argument at the motions hearing of January 8, 1980, and (4) the prosecutor's file in this case. The record also shows that defense counsel was given the opportunity to review the physical evidence in the prosecutor's possession. 53 In light of this Court's en banc decision in Moore v. Kemp, we conclude that the state trial court was presented with little more than undeveloped assertions that the requested assistance would be beneficial. Caldwell, 472 U.S. at 323 n. 1, 105 S.Ct. at 2637 n. 1. In considering the evidence before Judge Pierce, we must be mindful of the fact that the determination of whether an expert is necessary to help the jury in a particular case is more difficult before or during trial than is the hindsight appellate determination. Note, Criminal Procedure: The Constitutional Extent of the Adequate Tools of a Defense, 39 Okla.L.Rev. 273, 285 (1985). 54 In this case, the trial court was informed: (1) that the defendant desired funds to retain a ballistics expert to determine whether Officer Stevens had fired his gun and the path those shots would have taken, (2) the defendant contended that the Georgia Crime Lab constitutes an admitted arm of the District Attorney and therefore could not be trusted to perform the tests, and (3) that Otis Hensley would accept appointment as the defendant's ballistics expert if funds were made available. Stephens never informed the court of the type of testing which could be performed. Although Stephens was arrested, charged, and afforded court-appointed counsel within one week of the murder, the request for appointment of an expert did not occur until one year later. At a minimum, counsel should have informed the court whether physical testing of the evidence could have been conducted one year after the fact. 2 Furthermore, Judge Pierce was never informed as to what an expert could be expected to contribute to the defense. The information before Judge Pierce indicates that Stephens desired an expert merely to attack the credibility of the state's witnesses. The defendant's written motion and oral argument emphasize the defense contention that the state's experts cannot be trusted rather than emphasizing what type of testing would be necessary to facilitate the truth-seeking function of the court. Here, the prosecution had no witness who had participated in the fatal transaction and necessarily relied upon the opinion testimony of experts. Under these circumstances, the state is not required to appoint identical experts on behalf of the defendant to even the score. If Ake does indeed stand for the proposition that a defendant is entitled to state provided experts in cases involving other than the arcane issue of sanity vel non, it cannot be interpreted as requiring the appointment of a ballistic expert in every case in which a gun has been discharged. At most, Ake could only be viewed as requiring the appointment of an expert upon a showing that the issue upon which the expert will testify inherently requires expertise for its resolution and is a significant factor at trial. No such showing has been made in this case. The district court therefore properly concluded that Stephens was not entitled to relief on this issue. 55 Furthermore, the district court properly concluded that Stephens' trial was not rendered fundamentally unfair by the state's failure to appoint a ballistics expert. The district court aptly noted: 56 Petitioner acted well beyond the bounds of self-defense. He shot at the victim three times at close range with a high-powered rifle. The third and fatal shot, observed by the eyewitness, was deliberate and inflicted only after the officer was lying helplessly in his automobile, seriously wounded. Stevens [sic] v. State, 247 Ga. at 709, 278 S.E.2d at 408. 57 In light of the overwhelming evidence that Stephens did not act in self-defense, the expert testimony sought by the defendant would not have affected the outcome of the trial. Even if the defense counsel were capable of establishing that the victim fired the first shot, expert testimony could not have refuted the testimony of the eyewitnesses who observed Stephens slowly walk to the rear of the victim's squad car, raise the rifle to shoulder height, and calmly fire the final shot as the victim lay sprawled across the front seat of his patrol car. Accordingly, the district court properly rejected Stephens' claim for relief. 58