United States of America Ex Rel. John Francis Butler v. James F. Maroney, Superintendent, State Correctional Institution, Pittsburgh, Pennsylvania, 319 F.2d 622, 3rd Cir. (1963)
United States of America Ex Rel. John Francis Butler v. James F. Maroney, Superintendent, State Correctional Institution, Pittsburgh, Pennsylvania, 319 F.2d 622, 3rd Cir. (1963)
2d 622
This case comes before this Court from the denial of the petition for writ of
habeas corpus in the District Court for the Western District of Pennsylvania.
The appellant, John Francis Butler, was sentenced on May 5, 1958, by the
Court of Oyer and Terminer of Northumberland County, to a term of from four
to ten years for armed robbery which was to be served in the Eastern
Penitentiary. While there interned, he made application for a writ of habeas
corpus and a hearing was set for May 26, 1959, before Judge Troutman of
Northumberland County. In the meantime, he had been transferred to the
Western Penitentiary and was brought to Sunbury for the hearing. At the time
of hearing, the appellant withdrew his application for the writ, signed it, as did
his counsel, and was to be returned the following day to the Western
Penitentiary at Pittsburgh. On May 27, 1959, between 10:30 and 11:00 in the
morning, the appellant was brought from the county jail with a belt around him
through which handcuffs were attached, the belt being loose enough so that
appellant had freedom of movement of his hands. The sheriff in charge of the
prisoner was one James Lauer who had been sheriff of Northumberland County
for eleven years. He was 5 feet 5 inches tall and weighed about 245 pounds.
He had asked a friend of his of some years standing, one Merlin Diehl, to go
with him and drive his own Chrysler Windsor model car. Enroute to the
Western Penitentiary, the appellant was seated in the rear seat alone. Merlin
Diehl was driving the car and the sheriff was seated in the front seat alongside
the driver and between them was a .38 caliber revolver lying on the seat with a
newspaper covering it. They stopped at two gasoline stations along the way and
a Howard Johnson restaurant where the appellant was permitted to leave the
car, have something to eat, as well as go to the men's room, and they all
returned to the car without incident. The handcuffs and belt were placed upon
the appellant in the same manner as when they left the jail and the arrangement
of the handcuffs with the belt permitted the appellant enough freedom of
movement so that he might smoke cigarettes. When they reached the Perry
interchange, on the Pennsylvania Turnpike, Merlin Diehl, the driver of the car,
took the wrong route, going north instead of south, and, finally, after having
determined he was on the wrong route, returned to Route 19 and proceeded in a
southerly direction toward the Western Penitentiary. After they had proceeded
a short distance in the right direction, it began raining very hard and, finally, it
became so severe that they had to slow down to 10-15 miles per hour and,
while proceeding slowly downgrade, at about 5:30 p. m., the appellant lurched
over the front seat, grabbed the pistol, which was lying on it, and, according to
the only eyewitness, the driver of the car, Merlin Diehl, the sheriff grabbed at
his arm and said, "John, don't do it.", to which the appellant replied, "Let me
go, Jim, or I'll kill you." Aware of what was happening, Diehl drove the car to
the side of the road, almost touching a side embankment, opened the door and
came to the back of the car for the purpose of aiding the sheriff. As he opened
the door, he saw the flash of a gun and heard a shot. The sheriff, at that time,
was on the floor of the car, between the back portion of the front seat and the
front portion of the rear seat, lying with his head facing Diehl and his face
turned toward the front portion of the rear seat, partially on his right arm. He
was specific as to the position of the sheriffs' body, saying definitely he was not
in a half sitting position. As he opened the door, the sheriff's head came out, it
apparently having been against the door.
3
Diehl testified that the appellant was on the opposite side of the car, in a
crouched position, partially on the seat, and told him, "I'll get you." Diehl
immediately ran a short distance from the scene, down over an embankment
and sought safety in a nearby garage with the appellant, Butler, in pursuit part
of the way, when he veered off and ran into a wooded swampy section of the
countryside. He hid out until the next morning at 6:00 a. m., giving himself up
to State Police who were surrounding the area.
4
John McCallen, a witness who was a short distance behind the car driven by
Diehl, passed the automobile and he could observe a portion of the decedent's
head out of the car and saw the appellant running away from the scene. He
heard no shot and immediately came back and with the help of some others
who had gathered at the scene, helped to extricate the body of the decedent,
Sheriff Lauer. The body of the decedent was so wedged in between the back
portion of the front seat and the front portion of the back seat that it was
necessary to take out the back seat in order to remove the decedent.
The appellant was tried for murder and found guilty in the first degree. Under
the Split Verdict Law of Pennsylvania, the jury was presented with evidence to
determine the degree of punishment and they returned a verdict of death by
electrocution. An appeal was taken to the Supreme Court of Pennsylvania, the
conviction was sustained and a petition for certiorari to the Supreme Court of
the United States was denied. The appellant then filed a petition for writ of
habeas corpus in the United States District Court for the Western District of
Pennsylvania, from the denial of which this appeal is taken.
The first contention of the appellant, that he was deprived of due process of
law, concerns itself with the following. The Courts of Allegheny County had
adopted a Rule Number 38, entitled "Records of Behavior Clinic", Sections 1
and 2 of which read as follows:
"Section 1. The record and reports of the Behavior Clinic, the pre-sentence and
pre-parole reports of the Probation Office, and the pre-parole reports from the
Workhouse, are confidential records of the court, to be used only by the court
or the proper officers thereof under its direction. They are not to be exhibited to
or examined by any other person except upon Order of Court after application
in writing. Nothing in this rule shall be construed to interfere with the practice
of the Behavior Clinic in furnishing the results of examinations to the District
Attorney.
By Order of Court, dated April 25, 1960, upon the application of the District
Attorney of Allegheny County, and after hearing held without notice to counsel
for defendant, it was decreed "that either the prosecution or the defense is
permitted to call as witnesses, any medical doctor or psychologist from the
Behavior Clinic who has participated in an examination of the defendant, John
Francis Butler. It is further ordered that the reports of said Behavior Clinic shall
not be disclosed to either party prior to their appearance in court of the said
witnesses. Rule 38 of the Court is hereby waived so that the jury and/or the
Court may have available for its consideration such testimony."
10
The report was handed to counsel for the defendant during the first day of trial,
May 16, 1957. It is appellant's contention that, in a murder trial, since counsel
must be present in every stage of the proceeding, that counsel, not having been
apprised of the District Attorney's application for waiver, a fundamental right
was denied him, in that Dr. Davis of the Behavior Clinic was called and
testified that at the time of the shooting the appellant was sane and knew the
difference between right and wrong. It is the contention of the appellant that he
was denied the opportunity to contest the waiver and, had he been given such
opportunity, he might have been able to prevent Dr. Davis from testifying.
However, since counsel for the appellant objected to the testimony of Dr. Davis
when he was called as a witness, and made explicit her objection, and the court
ruled against her, we see no merit in appellant's contention, and though counsel
was not present at the time of waiver, no prejudice followed the court's action
since counsel's objection at the trial had the same effect as though she had
notice and made objection to the waiver at the time of the ruling on the
application therefor.
11
The next contention of the appellant was that the trial judge, both during the
course of the trial and in his charge to the jury, made repeated references to the
fact that the Behavior Clinic was created by the court, thus, it is alleged, giving
added weight to Dr. Davis' testimony. We see no merit in this contention either,
since all the trial court did was to make reference to the fact that the Behavior
Clinic, who employed Dr. Davis, was the creature of the court and the
references to it lent no undue sanction to his testimony.
12
The next contention of the appellant wherein he alleges he was denied due
process of law is in the court's refusal to grant his motion for the issuance of a
subpoena for Judge Troutman, before whom the application for the writ of
habeas corpus was to be held. The purpose of Judge Troutman's presence was
to have him testify to a collateral matter concerning the appellant's withdrawal
of his petition for the writ and, in no wise, had any bearing on the issues of the
trial and, accordingly, we dismiss it.
13
The main contention of the appellant concerns itself with the refusal by the trial
judge to permit counsel for the appellant, during the trial, to examine the
statement given to the police by the appellant in which was related an
admission by Diehl that immediately after the appellant had grabbed the gun on
the front seat, and the decedent had grabbed for his arm, a struggle ensued
between the decedent and the appellant in the back seat during the interval it
took for him to pull the car to the side of the road, after he became aware of
what was going on. The statement was shown to the witness, Diehl, and marked
for identification, but never offered in evidence, and upon demand by counsel
for the appellant, the District Attorney refused to let appellant's counsel look at
it, which refusal was sustained by the trial judge. After the verdict of guilty of
murder in the first degree, in the jury's determination of punishment under the
Pennsylvania Split Verdict Act,1 the appellant, under cross-examination by the
Commonwealth, was shown his statement and the related statement of Diehl
that there was a struggle in the back seat.
14
A careful review of Diehl's testimony shows that Diehl not only never admitted
to a struggle in the back seat while he was stopping the car, but carefully
refrained from testifying to any occurrence in the back seat. On crossexamination, at one place, he stated he did not know how the decedent got over
the front seat, that he heard no particular noises and that he "didn't hear a
thing", although he did testify there would have to be some noise with the
sheriff going over the back seat which he later corrected to front seat and
that he heard no outcry or noise indicating pain. All of Diehl's testimony
concerned itself with matters preceding the decedent's getting into the back seat
and, accordingly, the jury had nothing before it indicating a struggle which was
an area of vital importance to the defendant's case. Additionally, there was
nothing in the record to substantiate the trial judge's charge that decedent "fell"
over the front into the back seat. However, all indications surely point to a
struggle in the back seat of the car in corroboration of Diehl's statement the
morning after the crime and withheld from the jury by the prosecutor. It could
not have been by accident or from a fall over the front seat that the body of this
powerfully-built man of 5 feet, 5 inches, weighing 245 pounds, became
wedged on the floor between the rear seat and the back of the front seat, a
space of 12 inches, with the rear seat some 14 inches above the floor, with his
head against the door so that when Diehl opened the car, it extended out
beyond the door. The overall length of decedent's body was 5 feet, 5 inches,
or 65 inches, and the width of the car measured, between the rear doors, 5
feet, 7 inches, and in order to extricate the decedent's body, it was necessary to
remove the rear seat of the car. Nor does the position of the appellant at the
time Diehl opened the door detract, in any wise, from the shooting being the
result of a struggle for Diehl repeatedly testified that as he was opening the
door, he heard the shot and then saw the flash of fire and saw appellant
partially sitting on the corner of the rear seat. There was only one shot fired and
it entered the decedent's body at the upper left quadrant of the abdomen and
was located at a level 41 inches above that of the undersurface of the heel
and 13 inches below that of the suprasternal notch, breastbone, and 6 inches
to the left of the mid-line. It emerged from the right side of his body and struck
the pillar separating the front door from the rear door on the left-hand side of
the car, 10 inches above the floor. The physical facts belie Diehl's testimony at
the trial, for it showed that the decedent was shot by the appellant while he was
partially seated in the opposite corner of the car while the decedent was on the
floor wedged between the rear of the front seat and the back seat. It is
submitted that it would be physically impossible for the defendant to have fired
the shot while partially seated in the rear corner of the car for the gun, in his
hand, must have been at least 1 foot above the seat and to fire down at the
decedent on the floor from this position would mean that the bullet never
would have penetrated the decedent and come out 4 inches below the seat and
dented the pillar described above, since the rear seat was 14 inches above the
floor of the car. It is thus to be seen how extremely important the fact that there
was a struggle in the back seat of the car becomes in the light of the appellant's
testimony at the Split Verdict hearing that the shot was fired while he was
struggling in the back seat of the car for the gun.
15
16
The defendant did not take the stand on advice of counsel because of a number
of previous arrests and, accordingly, not until after the verdict and during the
taking of testimony under the Split Verdict Rule did evidence of a struggle in
the back seat come out.
17
18
While there must be a reversal here on the grounds above adverted to, there is
an additional substantial ground for reversal. The trial judge permitted the
reading to the jurors at the hearing under the Split Verdict Statute for
determining the penalty to be imposed by them, inflammatory and extremely
prejudicial statements made by a district attorney and a judge in a New York
State case, which will be adverted to later.
19
20
21
22
However, the court permitted the following testimony to go before the jury in
determining the degree of the defendant's guilt. Under an indictment in the
State of New York, People v. John McCann who is John Francis Butler, the
defendant herein on a charge of assault in the third degree, defendant being
arraigned for sentence before the Honorable Owen W. Bohan on the 27th day
of August, 1936, the following colloquy took place which was read to the jury:
23
"The Clerk: John McCann, what have you now to say why judgment of the
Court should not be pronounced against you according to law?
24
25
"Mr. Feldman [of counsel for the defendant]: I understand the family on both
sides are willing the boy should get married to the girl. He claims she told him
she was nineteen. I did not see the girl. I do not know what she looks like, but
that is the claim.
26
"The Court: He is no good. He only came out of State's prison and lived with
this girl; had relations with her and diseased her."
27
28
"As a second offender, if he had been convicted of robbery in the 1st degree, he
would have been sentenced to from 30 to 60 years with an additional 5 to 10 for
the gun, which would have made it from 35 to 70 years. Taking a plea to
robbery in the 3rd degree, with an additional 5 to 10 for the gun, he can be sent
away for from 15 to 30 years.
29
"The defendant's actions since this plea was taken and my investigation of the
kind of a man he is and has been, convince me that he is as dangerous a man to
society as one could find in this city. I made no agreement with him whatsoever
at any time concerning the additional 5 to 10 years for possession of the loaded
weapon.
30
"In view of his past record and what I have learned about him since his plea,
and in view of the fact that I have been advised by the Warden of the jail at
53rd Street that he was implicated in an attempt to break jail and that break
would have involved the killing of a great many keepers up there, and that was
part of the deliberate plan I believe, your Honor, that a very severe sentence
should be imposed upon this man from the point of view of the District
Attorney's office. I would like to make a recommendation on the record that the
Parole Board be advised "
31
32
******
33
34
35
While it is nonetheless true that these statements of the prosecutor and the court
were read to the jury in matters which occurred more than 20 years previously,
they were not within the orbit of the rule laid down in Commonwealth v.
McCoy, supra, but were hearsay of the worst order and served no other purpose
but to inflame the minds of the jury to insist upon the death penalty rather than
life imprisonment. In Commonwealth v. Butler, 405 Pa. 36, 54, 173 A.2d 468,
the Supreme Court of Pennsylvania, in sustaining the appellant's conviction,
referred to the comments offered and expressly said that they "should have
been deleted for the purposes of this case", citing Commonwealth v. McCoy,
supra. However, it said, further, that since appellant's counsel made no
objection to the testimony nor made any motion to strike it out, it was not a
matter of which the appellant could complain.
36
We think the reception by the trial judge of these comments and statements by
the district attorney and judge, of another state, in different cases, disruptive of
appellant's character, long years past, and purely their personal judgments, not
being made part of the record of conviction, was a gross abuse of ordered
concepts of justice, and violative of principles so elemental to reasoned norms
of fairness, that counsel could not waive them by lack of objection.
37
Accordingly, for this reason we would, likewise, reverse the judgment of the
district court and remand the case for the issuance of a writ of habeas corpus.
However, nothing that is said here precludes a new trial or the taking of proper
steps to hold the defendant in custody pending such new trial. United States ex
rel. Thompson v. Dye, 3 Cir., 221 F.2d 763.
Notes:
1
The Act as amended provides: "After such verdict is recorded and before the
jury is permitted to separate, the court shall proceed to receive such additional
evidence not previously received in the trial as may be relevant and admissible
upon the question of the penalty to be imposed upon the defendant, and shall
permit such argument by counsel, and deliver such charge thereupon as may be
just and proper in the circumstances. The jury shall then retire and consider the
penalty to be imposed and render such verdict respecting it as they shall agree
upon." 18 Purdon's Pa.Stat.Ann. 4701
2
38
39
I would affirm the District Court's denial of the petition for a writ of habeas
corpus for the reason that I do not find in the trial record the abuse of due
process which the majority discerns. It is becoming increasingly apparent in
these habeas corpus cases that the judicial concept of due process, like beauty,
"is in the eye of the beholder."
40
In the instant case the majority takes the view, for example, that the
withholding of the appellant's written statement to the police in which was
recited Diehl's oral declaration to the same police in his presence "that there
was a struggle in the back seat" was a violation of due process because "All of
Diehl's testimony concerned itself with matters preceding the decedent's getting
into the back seat and, accordingly, the jury had nothing before it indicating a
struggle which was an area of vital importance to the defendant's case." I don't
see how the majority can justify its determination in this respect since in its
own statement of Diehl's testimony it recites that Diehl testified on direct
examination that after the appellant had "grabbed the pistol * * * the sheriff
grabbed at his arm and said, `John, don't do it.', to which the appellant replied,
`Let me go, Jim, or I'll kill you.'" If this statement does not disclose a "struggle"
for the murder weapon I don't know just how one can describe a "struggle".
41
Moreover, the majority's statement that "the jury had nothing before it
indicating a struggle which was an area of vital importance to the defendant's
case" fails to take into account that (1) the defendant's sole defense was that of
temporary insanity at the time of the shooting and not an accidental shooting in
the course of a struggle; (2) that Dr. Walter Lindsay Jacob, appellant's
psychiatric expert in both his direct and cross-examination related a story of a
"struggle" at the time of the shooting which had been told to him by the
appellant when he examined him in the course of his psychiatric study; and (3)
the trial judge in discussing in his charge the testimony relating to the shooting
stated "The written statement of the defendant only discloses that they were
struggling closely together for the gun." 1
42
On direct examination Dr. Jacob testified in relevant part in detailing the "case
history" given to him by the appellant:
43
"All of a sudden I got the crazy idea to grab the gun. The thought entered my
mind that I wanted to escape and if I didn't grab the gun in doing it, they would
shoot me * * *
44
45
46
"By Mrs. Matson [appellant's counsel]: Doctor Jacob, before we quit for our
dinner recess you were just at the point of describing the struggle which took
place in the back seat of Sheriff Lauer's car, as related to you by the defendant?
47
"A. That's right. One other point that I'd like to make clear, I am not a
stenographer and this is not our conversation verbatim, but merely what I was
able to write down as we were talking.
48
"Then Mr. Butler continued, stating that he reached over the seat, grabbed the
gun and the holster. And just as I did, the Sheriff came over the front seat after
me. He punched me twice, grabbed the hand my hand with the gun. I and
the Sheriff both had our hands on the gun. The Sheriff said to me, `Give me the
gun.' I said, `Let me go. I'm only trying to run away.' We continued to struggle.
He weighed about 250 pounds. Finally he fell on the floor on the back, with me
on top of him. He had my hand. We were still struggling when the gun went
off. I cannot recall consciously pulling the trigger. I'm not sure about his hands
or my hands as to their exact positions." (emphasis supplied)
49
The foregoing is dispositive of the majority's holding that the appellant was
deprived of due process because of its view that the failure to permit his
counsel to examine his statement to the police resulted in the withholding from
the jury of "evidence of a struggle in the back seat of the car."
50
Dr. Jacob's testimony placed before the jury in graphic manner the appellant's
own version of the "struggle" between the murdered sheriff and the appellant
which started on the front seat and ended in the back of the car. Diehl's version
on the witness stand was in substantial accord. He stated on cross-examination
that the sheriff had gone "over the back seat" and he described how the sheriff
was shot while in the back of the car. It is difficult to understand the majority's
view that Diehl had lied in his testimony. It is equally difficult to understand
the apparent view of the majority that it was a matter of life-or-death
importance whether the struggle was on the front or back seat or the front or
rear of the car.
51
52
The fact that Diehl did not use the word "struggle" in describing how the
sheriff "grabbed" the appellant's arm after he had seized the gun and went "over
the back seat" in an effort to wrest it loose from the appellant's hold, although
he had done so in his oral statement is absolutely irrelevant.
53
54
"* * * the defense to the crime was not accidental killing. It was excusable
homicide as a result of insanity. Needless to say, such are miles apart. More
importantly, a reading of the record discloses no significant variance as alleged.
In Diehl's statement given immediately after the occurrence, as quoted in the
cross-examination of the defendant, he said, `The sheriff got into the back seat
and there was a struggle while I was trying to get the car stopped on the side of
the road.' During his testimony on the stand, Diehl did not use the word
`struggle' but he did say that almost immediately as the defendant gained
possession of the gun, the sheriff `grabbed him' and went over the seat before
the car was brought to a stop. Certainly, this clearly indicates a struggle took
place. But when the fatal shot was fired after the car had been stopped, Diehl
testified that Lauer [the sheriff] was then lying on the floor and the defendant
was sitting on the seat on the opposite side of the car. There is nothing in
Diehl's first statement, as disclosed in the record, that is at variance in the
slightest degree with this testimony."
55
ground for reversal" it need only be said that they were offered in evidence
without any objection by appellant's counsel, described by the Pennsylvania
Supreme Court as "a thorough, discerning lawyer of extensive experience";
there was no motion to strike after the statements were read; and appellant's
counsel had in fact stated she had "no objections to Mr. Strauss reading the
Judge's remarks providing he [the prosecuting attorney] reads the entire
statement including the remarks of the District Attorney." As the Supreme
Court of Pennsylvania noted, 405 Pa. 54, 173 A.2d 477, the New York record
contained data relating to the appellant's "early home life and difficult
environment" which his counsel might well have considered helpful to the
appellant.
Notes:
1
While the trial judge erred in referring to the "written statement" inasmuch as it
had not been introduced in evidence it certainly did not prejudice the appellant