Filed: Apr. 27, 2016
Latest Update: Mar. 02, 2020
Summary: PUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 15-6616 RICHARD A. NICOLAS, Petitioner - Appellee, v. THE ATTORNEY GENERAL OF THE STATE OF MARYLAND; RICHARD GRAHAM, Warden, Respondents - Appellants. Appeal from the United States District Court for the District of Maryland, at Baltimore. Richard D. Bennett, District Judge. (1:06-cv-02637-RDB) Argued: March 22, 2016 Decided: April 27, 2016 Before NIEMEYER and MOTZ, Circuit Judges, and Max O. COGBURN, Jr., United States District
Summary: PUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 15-6616 RICHARD A. NICOLAS, Petitioner - Appellee, v. THE ATTORNEY GENERAL OF THE STATE OF MARYLAND; RICHARD GRAHAM, Warden, Respondents - Appellants. Appeal from the United States District Court for the District of Maryland, at Baltimore. Richard D. Bennett, District Judge. (1:06-cv-02637-RDB) Argued: March 22, 2016 Decided: April 27, 2016 Before NIEMEYER and MOTZ, Circuit Judges, and Max O. COGBURN, Jr., United States District ..
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PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
No. 15-6616
RICHARD A. NICOLAS,
Petitioner - Appellee,
v.
THE ATTORNEY GENERAL OF THE STATE OF MARYLAND; RICHARD GRAHAM,
Warden,
Respondents - Appellants.
Appeal from the United States District Court for the District of
Maryland, at Baltimore. Richard D. Bennett, District Judge.
(1:06-cv-02637-RDB)
Argued: March 22, 2016 Decided: April 27, 2016
Before NIEMEYER and MOTZ, Circuit Judges, and Max O. COGBURN, Jr.,
United States District Judge for the Western District of North
Carolina, sitting by designation.
Reversed by published opinion. Judge Motz wrote the opinion, in
which Judge Niemeyer and Judge Cogburn joined.
ARGUED: Edward John Kelley, OFFICE OF THE ATTORNEY GENERAL OF
MARYLAND, Baltimore, Maryland, for Appellants. Geoffrey Robert
Garinther, VENABLE LLP, Baltimore, Maryland, for Appellee. ON
BRIEF: Brian E. Frosh, Attorney General of Maryland, OFFICE OF THE
ATTORNEY GENERAL OF MARYLAND, Baltimore, Maryland, for Appellants.
Matthew P. Reinhart, VENABLE LLP, Baltimore, Maryland, for
Appellee.
DIANA GRIBBON MOTZ, Circuit Judge:
In 1997, a Baltimore City jury convicted Richard Nicolas of
murdering his infant daughter. Years later, Nicolas sought habeas
relief, arguing that the State failed to disclose favorable,
material evidence in violation of its obligations under Brady v.
Maryland,
373 U.S. 83 (1963). The Maryland post-conviction courts
considered and rejected his Brady claim. Nicolas then petitioned
for a writ of habeas corpus in federal court, which the district
court granted. Given the deference that federal law requires to
state court judgments in such cases, we must reverse.
I.
A.
On July 26, 1996, two-year-old Aja Nicolas was shot and killed
while visiting with her father, Richard Nicolas. Aja lived with
her mother. Nicolas had picked her up that Friday evening with
plans to see a movie at a local mall. Nicolas bought a ticket for
the movie Pinocchio, and before the movie he and Aja took a photo
booth picture together. The movie ended around 9:45 P.M.
According to Nicolas, things went horribly wrong on the drive
back to Aja’s mother’s home. Nicolas told police that a car
started following closely behind him and “driving crazy.” When
Nicolas turned off onto Bowley’s Lane, the erratic car followed
and bumped his vehicle. Nicolas told police that he then stopped
2
and got out to confront the other driver. While Nicolas was
walking around his vehicle, he heard a gunshot and saw the other
car drive off.
Seeing Aja slumped over in her seat, Nicolas assumed she had
been shot and ran to a nearby convenience store to call for help.
In response, Officer Fred Hannah arrived at the convenience store
just minutes later, around 10:00 P.M. He and Nicolas then returned
to the car and found Aja dead. Officer Hannah and Nicolas removed
Aja from the car and laid her on her back. She had been shot in
the head on the left side of her face.
The State did not believe Nicolas’s story. Its theory of the
case was that, after obtaining the photo booth picture, Nicolas
himself shot Aja. According to the State, Nicolas then left Aja
laying on her side in the car and went to see the 8:00 P.M.
Pinocchio showing alone. The State argued that after the movie,
Nicolas drove to Bowley’s Lane, ran to the convenience store, and
fabricated the tale of the rogue aggressive driver.
The State presented its largely circumstantial case over a
fourteen-day trial. It argued that Nicolas never wanted to take
responsibility for Aja, the product of a one-night stand, and had
even asked Aja’s mother to obtain an abortion. Nicolas, because
he was behind in court-ordered child support, was having his wages
garnished and yet had recently obtained life insurance for Aja.
In response, Nicolas offered evidence that the Gerber life
3
insurance policy he purchased was marketed as a way to save for a
child’s future, and that he had become more involved in Aja’s life
as she grew older.
Additionally, the State emphasized that Nicolas was a gun
enthusiast who previously owned the type of weapon and ammunition
used to kill Aja. The State never found the murder weapon,
however, nor directly connected any of Nicolas’s guns or ammunition
to the murder.
Several witnesses testified for the State that Nicolas’s
demeanor was very calm on the night of the murder, unlike that one
would expect from a father whose toddler had just been murdered.
Nicolas’s explanation was that he has a debilitating stutter that
requires him to calm himself, or else he is completely unable to
speak. The State also highlighted inconsistencies in Nicolas’s
story, the gunshot residue (a small amount) found on Nicolas’s
left hand, and the improbability of the shooting occurring the way
Nicolas claimed.
The State’s strongest evidence was testimony from the medical
examiner on lividity, i.e., how the blood settled in Aja’s body.
Because lividity was fixed on her back and her left side, the
medical examiner, Dr. Dennis Chute, opined that Aja must have died
about two hours before Nicolas and Officer Hannah moved her onto
her back. Otherwise, the blood would not have had time to settle
on her side. Nicolas argued that, as the State’s forensic
4
investigator noted in her report, Aja was still warm and rigor
mortis had not yet set in when the police arrived. Still,
Nicolas’s main response to Dr. Chute’s expert opinion was simply
his own testimony: that Dr. Chute must be wrong because Nicolas
was there and knew the shooting occurred at around 9:45 P.M. In
closing, the State emphasized that Nicolas could not “get past the
issue of lividity.” The jury convicted Nicolas in less than three
hours.
B.
Nicolas appealed, and in 1998 the Court of Special Appeals of
Maryland affirmed his conviction. Nicolas then filed a state
petition for post-conviction relief. In 2005, the Circuit Court
for Baltimore City denied relief, and the Court of Special Appeals
summarily denied leave to appeal that ruling. 1
Nicolas then filed a petition for a writ of habeas corpus
pursuant to 28 U.S.C. § 2254 in the United States District Court
for the District of Maryland. Through a Maryland Public
Information Act request, his appointed counsel obtained police
notes detailing two potential witnesses who authorities had
interviewed during their investigation of Aja’s death. One of the
1Nicolas alleged prosecutorial misconduct related to the
gunshot residue evidence and three ineffective assistance of
counsel claims for failure to strike a juror, for failure to rebut
the state expert’s lividity testimony, and for requesting an
erroneous jury instruction.
5
witnesses had contacted police claiming to have “information about
[the] killing of [the] two year old.” The potential witnesses had
been staying at a Holiday Inn about one-eighth of a mile from
Bowley’s Lane, where Aja was found dead. They both told police
that they had heard a loud noise -- that sounded like a gunshot or
a car backfiring -- on the night of Aja’s death.
After speaking to the first potential witness, Jennifer
McKinsey, investigators wrote:
She advised that she was going to her vehicle and
observed a small vehicle at the bottom of the hill. As
she was entering her vehicle she hers [sic] a loud
popping sound like a gun shot. Mrs. McKinsey advises as
she was exiting the parking lot the car sped off.
Police also recorded an interview with the second potential
witness, Richard Benson, and summarized it as follows:
Mr. Benson advises at approximately 10:00 P.M. he left
out of the hotel to go to his vehicle which was parked
on the hotel parking lot. [T]he witness states when he
arrived at his vehicle he observed a light colored
vehicle parked in the 6500 block of Frankford Ave., the
vehicle appeared to have it’s [sic] engine running and
the dome light on inside. Mr. Benson states as he
entered his vehicle he heard a loud noise like the car
back fired [sic], at this time the vehicle sped off.
Benson described the noise as “a pretty loud bang.” Prior to
the Public Information Act request, the State had not disclosed to
Nicolas the existence of these potential witnesses. Because
Nicolas had not presented these documents to the state court, he
filed a motion to reopen state post-conviction proceedings. The
6
district court stayed Nicolas’s federal habeas proceedings while
he exhausted state remedies. 2
Back in state court, Mr. Nicolas argued that the State’s
failure to disclose the witness statements violated Nicolas’s
rights under Brady v. Maryland,
373 U.S. 83 (1963). In 2010 the
Circuit Court for Baltimore City denied the motion to reopen,
finding that the statements were not favorable to Nicolas. It
summarized the arguments on both sides and found:
[T]hese witnesses would have given testimony that, at
best, conflicted with the theory of the case advanced by
the Petitioner. Indeed, arguably the statements by the
witnesses were more consistent with the State’s theory
of the case than the defense.
The Court of Special Appeals summarily denied Nicolas leave
to appeal, and he returned to federal court for habeas review.
The district court conducted an in camera review of the State’s
file, which led to additional discovery. In particular, the file
contained two letters written by the trial prosecutors to Officer
Hannah and Dr. Chute. The prosecutors thanked Officer Hannah for
moving Aja, although it had been a violation of police protocol,
writing:
2 Appointed counsel also obtained information that related to
Nicolas’s original post-conviction claims. Counsel interviewed
Dr. Chute and obtained a letter from him explaining that lividity
by itself is unreliable for determining time of death.
Additionally, counsel argued that, based on new developments in
gunshot residue analysis, the evidence used to convict Nicolas was
no longer accepted by the scientific community.
7
Had you left her in the car, we would never have won
this case. It is only because you did move her that the
Medical Examiner saw the fixed lividity on her left side
and her back when the autopsy was done. This fact was
the whole case. Lividity made everything Nicolas said
a boldfaced lie.
In their letter to Dr. Chute, the prosecutors similarly
emphasized the importance of the lividity testimony, explaining:
The jury was only out for two hours, which is a very
short time considering that the trial lasted for
fourteen days. We are 100% certain that your testimony
was the reason that this jury had no difficulty reaching
this verdict.
Although these letters, written post-trial, could not be
Brady evidence, the district court stayed the proceedings before
it so that the state court could consider the witness statements
in light of these newly revealed letters. In 2013, the Circuit
Court for Baltimore City again denied Nicolas’s motion to reopen
post-conviction proceedings. It explicitly adopted the 2010
court’s favorability analysis rejecting Nicolas’s claim.
Additionally, it rejected the argument that the witness statements
were material to the outcome of the trial, even in light of the
prosecutors’ letters, holding:
The Court finds the evidence cited by the State to be
compelling. In contrast, the additional material
disclosed in the U.S. District Court proceeding merely
demonstrates a diligent investigation by the Baltimore
City Police Department. Furthermore, much of the other
non-disclosed interviews and statements contradict
Petitioner’s theory of defense or are otherwise damaging
to him, and would certainly not rise to the level where
they resulted in a verdict that is not worthy of
confidence.
8
The Court of Special Appeals once more denied leave to appeal,
this time including a three-page opinion addressing only the impact
the prosecutors’ letters had on its materiality analysis,
explaining:
All that these letters show is that the prosecuting
attorneys believed that the evidence of the time of death
was crucial to the State’s case. The letters do not, in
light of all the evidence introduced at trial, render
the undisclosed statements material. Therefore, we hold
that the non-disclosure did not amount to a discovery
violation or warrant post-conviction relief.
The Court of Appeals of Maryland denied Nicolas’s petition
for certiorari, and Nicolas returned once again to federal court
for an adjudication on the merits of his updated § 2254 petition.
Nicolas’s petition included four claims: ineffective assistance
of counsel relating to the lividity evidence; ineffective
assistance of counsel relating to a jury instruction; a challenge
to the use of gunshot residue evidence; and the Brady claim.
The district court rejected most of Nicolas’s claims, but
granted relief on the Brady claim. Regarding favorability, the
district court found that the state court had based its holding on
an unreasonable determination of the facts, explaining:
Evidence suggesting that the fatal shot was fired around
9:45 p.m. would have contradicted the State’s theory and
supported Petitioner’s version of events. As such,
there was absolutely no basis for the state courts to
conclude that the suppressed statements conflicted with
Petitioner’s theory of the case.
9
Similarly, the district court found that the state court
unreasonably applied Brady in holding that the statements were not
material, reasoning:
The improper consideration of only the prosecution’s
evidence led the state courts to the irrational
conclusion that the statements were not material. While
a review of the record makes abundantly clear that the
crux of the case against Petitioner was the lividity
testimony concerning the time of death, the import of
that evidence was all the more obvious in this case:
there is written acknowledgement by the trial
prosecutors in this case that Dr. Chute’s lividity
testimony was ‘the whole case.’ For the state courts to
have suggested otherwise is simply unreasonable and
inaccurate.
For these reasons, the district court vacated Nicolas’s
conviction and remanded for a new trial. The court stayed its
order to provide the State an opportunity to appeal. The State
timely noted this appeal; Nicolas did not cross-appeal the court’s
rejection of his other claims.
II.
The Antiterrorism and Effective Death Penalty Act of 1996
(AEDPA) requires a federal court reviewing a habeas petition that
has already been adjudicated on the merits in state court to give
considerable deference to the state court decision. A federal
court may not grant habeas relief unless the state court arrived
at “a decision that was contrary to, or involved an unreasonable
application of, clearly established Federal law, as determined by
10
the Supreme Court of the United States,” or “a decision that was
based on an unreasonable determination of the facts in light of
the evidence presented in the State court proceeding.” 28 U.S.C.
§ 2254(d) (2012).
We must presume that the state court’s factual findings are
correct unless the petitioner rebuts those facts by clear and
convincing evidence. § 2254(e)(1). Importantly, we cannot disturb
the state court’s ruling simply because it is incorrect; it must
also be unreasonable. Harrington v. Richter,
562 U.S. 86, 100-01
(2011). We “look through” the Court of Appeals of Maryland’s
summary denial of Nicolas’s petition for certiorari and evaluate
the last reasoned state court decisions rejecting the Brady claim.
See Brumfield v. Cain,
135 S. Ct. 2269, 2276 (2015).
In Brady, the Supreme Court held that “the suppression by the
prosecution of evidence favorable to an accused upon request
violates due process where the evidence is material either to guilt
or to punishment, irrespective of the good faith or bad faith of
the
prosecution.” 373 U.S. at 87. Therefore, a Brady violation
contains three elements: the evidence was (1) favorable to the
accused, (2) suppressed by the government, and (3) material to the
verdict at trial. Monroe v. Angelone,
323 F.3d 286, 299 (4th Cir.
2003). In determining what prosecutors must disclose, we make no
distinction between exculpatory and impeachment evidence. United
States v. Bagley,
473 U.S. 667, 676 (1985). Both information that
11
undermines the prosecution’s case and information that supports
the defendant’s case constitute Brady material that must be
disclosed.
We review the district court’s decision de novo, deciding
through AEDPA’s deferential lens whether Nicolas’s Brady claim
meets the requirements to warrant a new trial. Lewis v. Wheeler,
609 F.3d 291, 300 (4th Cir. 2010). The parties agree that the
State did not disclose Benson and McKinsey’s statements to Nicolas
until years after trial. As a result, only the favorability and
materiality of those statements are at issue.
III.
Assuming without deciding that the suppressed statements were
favorable to Nicolas, the State violated Brady only if the witness
statements were also material to the outcome of the trial. See
Wolfe v. Clarke,
691 F.3d 410, 424 (4th Cir. 2012). Materiality
“is not a sufficiency of the evidence test,” and a defendant “need
not demonstrate that after discounting the inculpatory evidence in
light of the undisclosed evidence, there would not have been enough
left to convict.” Kyles v. Whitley,
514 U.S. 419, 434-35 (1995).
Nevertheless, a defendant claiming a Brady violation must show
that “the favorable evidence could reasonably be taken to put the
whole case in such a different light as to undermine confidence in
the verdict.”
Id. at 435.
12
In this case, the Circuit Court for Baltimore City did not
catalogue all of the evidence offered by Nicolas at trial. But
the court did expressly explain that it had considered “the record
as a whole” and found that the “undisclosed” witness statements
were “not material.” The Court of Special Appeals of Maryland, in
briefly responding to the prosecutors’ post-trial letters -- which
emphasized the importance of the lividity evidence -- similarly
noted that the letters did not “render the undisclosed statements
material.” 3 A federal court can grant relief under § 2254 only if
“the state court’s ruling” was “so lacking in justification that
there was an error well understood and comprehended in existing
law beyond any possibility for fairminded disagreement.”
Richter,
562 U.S. at 103.
Nicolas argues that in rejecting his Brady claim the state
court ignored the exculpatory value of the statements -- in
corroborating his own testimony as to the time of death -- and
their impeachment value -- in contradicting Dr. Chute’s time of
death estimate. The State maintains that the statements are
3 Ordinarily we would focus on one state court decision. In
this case, however, the Court of Special Appeals discussed only
the prosecutors’ letters, without commenting on the Circuit
Court’s analysis of the undisclosed statements. Thus we assume
the Court of Special Appeals adopted the Circuit Court’s reasoning.
“[S]ilence implies consent, not the opposite -- and courts
generally behave accordingly, affirming without further discussion
when they agree, not when they disagree, with the reasons given
below.” Ylst v. Nunnemaker,
501 U.S. 797, 804 (1991).
13
immaterial because they “describe a set of events completely
unrelated to Nicolas’s account of Aja’s murder.” State Br. 28. 4
We recognize that had Benson and McKinsey testified, they
might have done so in a way that helped Nicolas. They could have
said that they heard a gunshot around 9:45 P.M. on the night of
the murder. They could have testified that the sound of the
gunshot came from Bowley’s Lane, where the police found Aja’s body.
Of course, the State could have cross-examined them with their
original statements, in which both witnesses associated the noise
with a car in a cul-de-sac that was not on Bowley’s Lane. Moreover,
the defense would have to deal with Benson’s original statement
that the noise was not a gunshot at all, but rather a car
backfiring. And critically, the defense would still be confronted
with Dr. Chute’s testimony that in his expert opinion Aja had been
dead for about two hours at the time Benson and McKinsey heard a
noise.
Thus, in this hypothetical trial, the jury would have to
decide whether Benson and McKinsey actually heard a gunshot or
4 In its Reply Brief, the State also suggests that the
statements cannot be considered impeachment evidence because they
would not be admissible as such under state evidence rules. We
reject this argument. Brady material does not have to be
admissible under state evidence rules as long as it could lead to
admissible evidence. See, e.g.,
Kyles, 514 U.S. at 428-32, 445-
51, 454 (holding that undisclosed information relating to a non-
testifying informant was Brady material). In this case, knowledge
of the statements could have led to admissible evidence.
14
whether they were mistaken and heard a car backfiring or some other
noise. Further, even if the jury believed Benson and McKinsey had
heard a gunshot, the jury would also have to decide whether the
sound came from Bowley’s Lane rather than from the cul-de-sac the
witnesses had originally believed to be the site of the noise.
And to reject the State’s theory as to the time of death, the jury
would have to believe that this new testimony, combined with the
limited other evidence Nicolas offered concerning time of death,
was enough to undermine the largely uncontradicted expert
testimony on lividity.
Considering these inconclusive suppressed statements with the
record as a whole, reasonable jurists could well conclude that the
statements did not “put the whole case in such a different light
as to undermine confidence in the verdict.”
Kyles, 514 U.S. at
435. Although Nicolas vigorously contested the State’s other
evidence and offered evidence in his defense -- including his own
testimony -- the jury had no apparent difficulty rendering its
verdict. The undisclosed witness statements undermine only the
State’s time of death theory -- and that only if we assume the
jury would have resolved each of the conflicting inferences noted
above in Nicolas’s favor. As the State maintains, the jury could
have found the witness statements altogether irrelevant. In any
event, it was not unreasonable for the state courts to conclude
15
that, when considered with all the other evidence offered at trial,
the statements would have made no difference to the verdict.
This is not to say that the district court’s disapproval of
the prosecution’s failure to produce the witness statements prior
to trial is not entirely understandable. It is always better
practice for the prosecution to disclose potentially favorable
information before trial. Only this practice ensures the fair
trial that our justice system aspires to provide all persons. Only
this practice avoids the need for courts to determine the value of
evidence in a hypothetical world. If prosecutors follow this
practice, no one has to worry after the fact whether the jury
convicted the wrong person.
But as explained above, it was not unreasonable for the state
courts to reject Nicolas’s Brady claim. Congress, in passing
AEDPA, does not permit a federal court to replace a state court’s
judgment with its own. Rather, as the Supreme Court has explained,
“[i]f this standard is difficult to meet, that is because it was
meant to be.”
Richter, 562 U.S. at 102.
IV.
For the reasons set forth above, the judgment of the district
court is
REVERSED.
16