Samuel Fields v. Scott Jordan
Citation86 F.4th 218
Date Filed2023-11-03
Docket17-5065
Cited26 times
StatusPublished
Full Opinion (html_with_citations)
RECOMMENDED FOR PUBLICATION
Pursuant to Sixth Circuit I.O.P. 32.1(b)
File Name: 23a0241p.06
UNITED STATES COURT OF APPEALS
FOR THE SIXTH CIRCUIT
â
SAMUEL FIELDS,
â
Petitioner-Appellant, â
> No. 17-5065
â
v. â
â
SCOTT JORDAN, Warden, â
Respondent-Appellee. â
â
On Petition for Rehearing En Banc
United States District Court for the Eastern District of Kentucky at Pikeville.
No. 7:15-cv-00038âKaren K. Caldwell, District Judge.
Argued En Banc: June 14, 2023
Decided and Filed: November 3, 2023
Before: SUTTON, Chief Judge; BATCHELDER, MOORE, CLAY, GIBBONS,
GRIFFIN, KETHLEDGE, STRANCH, BUSH, LARSEN, NALBANDIAN,
READLER, MURPHY, DAVIS, and MATHIS, Circuit Judges.*
_________________
COUNSEL
ARGUED EN BANC: Daniel E. Kirsch, OFFICE OF THE FEDERAL PUBLIC DEFENDER,
Kansas City, Missouri, for Appellant. Matthew F. Kuhn, OFFICE OF THE KENTUCKY
ATTORNEY GENERAL, for Appellee. ON SUPPLEMENTAL BRIEF: Daniel E. Kirsch,
OFFICE OF THE FEDERAL PUBLIC DEFENDER, Kansas City, Missouri, for Appellant.
Matthew F. Kuhn, Jenna M. Lorence, OFFICE OF THE KENTUCKY ATTORNEY GENERAL,
for Appellee. ON AMICUS BRIEF: J. Matthew Rice, OFFICE OF THE TENNESSEE
ATTORNEY GENERAL, Nashville, Tennessee, for Amicus Curiae.
MURPHY, J., delivered the opinion of the court, in which SUTTON, C.J., and
BATCHELDER, GIBBONS, GRIFFIN, KETHLEDGE, BUSH, LARSEN, NALBANDIAN, and
*
Judge Batchelder, who sat on the original panel, participated in this decision pursuant to 6 Cir. I.O.P.
35(c), Judge Thapar recused himself, and Judge Bloomekatz, who was confirmed on July 18, 2023, did not
participate.
No. 17-5065 Fields v. Jordan Page 2
READLER, JJ., joined. MOORE, J. (pp. 36â49), delivered a separate dissenting opinion, in
which CLAY, STRANCH, DAVIS, and MATHIS, JJ., joined.
_________________
OPINION
_________________
MURPHY, Circuit Judge. A state jury convicted Samuel Fields of breaking into an
elderly womanâs home, slashing her throat, and stabbing a knife through her head. The police
found Fields next to the womanâs body, and he confessed to killing her. At trial, the prosecution
argued that Fields got into the womanâs home by unscrewing a porch window with a certain
knife that was admitted into evidence; the defense countered that Fields could not have
conducted this feat because he was intoxicated at the time of the crime. During deliberations, the
jury used this knife to unscrew the screws on a jury-room cabinet. It found Fields guilty and
sentenced him to death. Fields later alleged that the juryâs âexperimentâ with the knife violated
the Constitution. The Kentucky Supreme Court disagreed, and a federal district court denied
Fields habeas relief.
Fields renews this jury-experiment claim, among others, on appeal. For well over a
century, lower courts have debated when jury experiments of this type violate state or federal
law. But one court has yet to enter this debate: the U.S. Supreme Court. That fact dooms
Fieldsâs claim in these proceedings. Under the Antiterrorism and Effective Death Penalty Act
(AEDPA), we may not grant habeas relief unless a state court has unreasonably applied âclearly
established Federal law, as determined by the Supreme Court[.]â 28 U.S.C. § 2254(d)(1).
Because the Court has not identified any principles to distinguish proper from improper jury
experiments, Fields cannot show that the experiment in his case violated âclearly establishedâ
law from the Supreme Court. His other claims also cannot overcome AEDPAâs standards. We
thus affirm the denial of habeas relief.
No. 17-5065 Fields v. Jordan Page 3
I
A
In the summer of 1993, Fields was 21 years old. He lived with his mother and brother at
an apartment in Grayson, a small town in eastern Kentucky. That August, Fields began dating
Minnie Burton. Burton lived a short distance from Fields in a duplex apartment.
Bess Horton, an 84-year-old widow, owned the duplex where Burton lived. Horton
allowed Burton to act as her âdriverâ and run errands for her in lieu of paying rent. Yet Burton
repeatedly took Hortonâs car without permissionâone reason why the two women had a falling
out. By mid-August, Horton had started the process of evicting Burton and asked Elmer
Pritchard, the neighbor in the duplexâs other apartment, to change the locks.
On August 18, Fields and Burton spent the day driving around eastern Kentucky with
friends, including Phyllis Berry. Most of the group, including Fields, drank beer throughout the
day. But Berry, who joined the group late, did not participate in the drinking because she took
over as the primary driver. With Berry behind the wheel in the evening, the group made two
more beer stops.
After the first stop, Berry drove the group to her brotherâs home. While there, witnesses
saw Fields take âhorse tranquilizers,â a slang term for the hallucinogen PCP.
Around 11:30 p.m. or so, Berry drove Fields and Burton back to Fieldsâs apartment.
Fields and Burton continued to drink beer with Fieldsâs brother. Berry described Fields as
âintoxicatedâ at this time; Fieldsâs brother said that Fields âhad a good buzz goingâ and seemed
ârowdyâ and âready to fight[.]â Berry Tr., R.30-17, PageID 6584; J. Fields Tr., R.30-19, PageID
6831, 6839. Berry soon left, and Fieldsâs brother went to bed shortly after.
While alone with Burton, Fields suddenly âfreaked out,â claiming to lack âcontrolâ of his
conduct. Burton Tr., R.30-18, PageID 6685. He started throwing things. Fields, for example,
threw a knife from his location in the kitchen close to where Burton stood in the living room.
His erratic behavior scared Burton, so she decided to leave for her duplex apartment. Burton
could not recall the specific time that she departed.
No. 17-5065 Fields v. Jordan Page 4
Fieldsâs brother made out the sounds of an argument between Fields and Burton while
trying to sleep in his upstairs bedroom. He thought Burton had left around midnight. After later
hearing shattering glass, Fieldsâs brother went downstairs to investigate. The apartment was in
disarray. A table had been flipped over, a storm-glass window had been broken, and the walls
had holes in them. Fields remained at the apartment. He held a large butcher knife and started
ârubbing it up and down [his brotherâs] arm.â J. Fields, R.30-19, PageID 6823â24.
Fields eventually walked off toward Burtonâs duplex. His brother gave contradictory answers
about when Fields left. At points, he suggested that Fields left 10 to 20 minutes after Burton; at
other points, he suggested that Fields did not leave until 1:30 a.m.
In the meantime, Burton had made it back to her apartment. Burton found herself locked
out. Though she had the keys to her apartment, she could not get in because the storm door was
locked. Rather than ask Pritchard in the other duplex apartment for help, she decided to pass the
time smoking on the front porch. She later began to check her windows to see if any were
unlocked. When doing so, she heard someone âhooting and holleringâ and banging on street
signs. Burton Tr., R.30-18, PageID 6691â92. Fields materialized out of the thick fog, handed
her a knife, and claimed (falsely) to have killed his brother. He took Burtonâs keys and vowed to
get inside her apartment. She dropped the knife and fled to a relativeâs home. Fields then
punched out a window of Burtonâs apartmentâcutting himself and leaving his blood on the
window.
Around 1:55 a.m., Pritchard heard this window shatter. He feared that somebody was
breaking into Burtonâs apartment. Looking outside, Pritchard saw Fields cussing and yelling
âMinnie, why did you run for?â Pritchard Tr., R.30-19, PageID 6880. Pritchard called the
police to report the break-in and watched Fields leave in the general direction of Bess Hortonâs
home.
Officer Larry Green with the Grayson Police Department quickly reached the scene.
Pritchard let Green into Burtonâs apartment, and they searched it together. The pair found
nobody inside but spotted the bloody, broken window. Green called for backup and met
Sergeant Ron Lindeman at 2:23 a.m. Pritchard told the officers that Burton was renting the
apartment from Horton and that Fields had walked off in the direction of Hortonâs home.
No. 17-5065 Fields v. Jordan Page 5
The officers started to search the area. Retracing Fieldsâs path, they eventually found
themselves near Hortonâs home. One of the garage doors to her standalone garage was up.
Nobody was in the garage, but the regular door out the back appeared to have been kicked open.
The officers walked through this door to the back of Hortonâs home. Lights were on. Growing
increasingly alarmed, Lindeman could not ârecall [Hortonâs] lights ever being on that late at
night.â Lindeman Tr., R.30-14, PageID 6039. The officers looked through the enclosed back
porch and saw an âL-shaped cutâ on the screen to Hortonâs bedroom window. Id., PageID 6040.
Instructing Green to stay put, Lindeman headed to the front of the house. While looking
into a lighted room in the back, Green spotted Fields rummaging through something. Now at the
front of the house, Lindeman saw a large âaluminum window laying up against the pillar of the
porchâ with its screws scattered nearby. Id., PageID 6044. He entered Hortonâs home through
the opening where this window had been.
Lindeman slowly moved to the back of the house. As he approached Hortonâs bedroom,
he saw her brutalized body on the bed. âHer throat was slashed, and she was stabbed in the head
with such force that the knife buried to the hilt in her right temple and the point of the blade
protruded from her left temple.â Fields v. Commonwealth, 12 S.W.3d 275, 277 (Ky. 2000).
Lindeman called for Green and more backup.
Lindeman then entered Hortonâs bedroom where Fields was âgoing throughâ a drawer.
Lindeman Tr., R.30-14, PageID 6046. He told Fields to put his hands up. Fields responded
nonchalantly: âHi Ron. How you doing?â Id.But Fields soon frantically confessed, exclaiming: âKill me, Ron, just kill me. . . . I stabbed her, and Iâm into it big time this time.âId.,
PageID 6048. Lindeman asked Fields how he could do such a thing. Fields stated: âI donât know. I just did it. Kill me. Iâm going to prison for the rest of my life.âId.
Green reached the
room in time to hear Fieldsâs confession. He recalled Fields telling Lindeman: âKill me. Shoot
me. Iâm into it deep. I killed her.â Green Tr., R.30-13, PageID 5950.
Although Fields first appeared calm, he âgot into a scuffleâ with the officers once they
tried to handcuff him. Lindeman Tr., R.30-14, PageID 6048. Lindeman âcould smell a strong
odor of alcoholâ and found Fields âpretty tough to handle.â Id. Fields had blood on him and
No. 17-5065 Fields v. Jordan Page 6
jewelry in his pockets. The officers also noticed that he possessed many knives and straight
razors. Critically for this appeal, one of these knives was a âbutter knifeâ with a âmissingâ tipâ
what the prosecutors would call the âtwisty knifeâ at Fieldsâs trial. Green Tr., R.30-13, PageID
5953; Opening Tr., R.30-13, PageID 5908.
The police took Fields to a hospital. An emergency medical technician treated Fields in
the emergency room. This technician asked Fields where the blood had come from. Fields
responded âin no uncertain termsâ that if the technician âhad killed some lady that [he] would
have blood on [him] as well.â Dobson Tr., R.30-15, PageID 6163. As it turns out, however,
DNA testing identified only Fieldsâs own blood (not Hortonâs) on his clothes.
B
Kentucky charged Fields with murder and first-degree burglary. A jury convicted Fields
and sentenced him to death. Fields, 12 S.W.3d at 277. But the Kentucky Supreme Court reversed on two grounds. First, the trial court had wrongly admitted a âdramatic videotaped reenactmentâ that Lindeman made to summarize his investigation.Id.
at 278â82. And second, the trial court had wrongly refused to give a lesser-included-offense instruction about second- degree manslaughter.Id.
at 282â83. The Kentucky Supreme Court remanded for a new trial.Id. at 285
.
At Fieldsâs second trial, the parties debated whether Fields or Burton committed Hortonâs
murder. The prosecution presented a simple case. The officers âcaughtâ Fields right next to
Hortonâs body while burglarizing her home. Opening Tr., R.30-13, PageID 5887. Fields also
confessed to the murder three times. The prosecution surmised that Fields got into Hortonâs
home by unscrewing 17 screws from the window on her front porch. It suggested that Fields
used the âtwisty knifeâ to unscrew the screws because both had white paint on them. Id., PageID
5908â09. The prosecution also offered testimony from Burtonâs relativesâwho corroborated
her story that she had visited them around 1:45 a.m. worried that Fields might have killed his
brother.
The defense responded with three main reasons why Fields did not commit the crime.
Reason One: The defense asserted that a âvery intoxicatedâ Fields could not have walked to
No. 17-5065 Fields v. Jordan Page 7
Hortonâs home, unscrewed many screws with the twisty knife, and murdered her in the 35 or so
minutes between when he left Burtonâs apartment (around 1:55 a.m.) and when the officers
found him (around 2:30 a.m.). Id.,PageID 5923. The defense added that the knife did not âfit into the Phillips headâ screws.Id.
Reason Two: The defense relied on the blood evidence. Although Fieldsâs blood and Hortonâs blood were both at the crime scene, Fieldsâs blood was not found on Horton and Hortonâs blood was not found on Fields. According to the defense, âit is more likely than not that the person who did this had some blood on them.âId.,
PageID 5917. Reason Three: The defense argued that Burton had a motive to kill Horton because Horton was evicting her. And while Burton denied the claims, some witnesses said that she had solicited them to rob Horton. The defense also noted that Burton was âunaccounted forâ between when she left Fieldsâs apartment and when she showed up at a relativeâs houseâa gap in time that could have lasted almost two hours.Id.,
PageID 5918, 5924.
Fieldsâs arguments failed to convince his second jury. It too convicted him of both
counts and sentenced him to death. Fields v. Commonwealth, 274 S.W.3d 375, 391(Ky. 2008). Fields again appealed. This time, the Kentucky Supreme Court affirmed.Id. at 420
.
Fields next pursued postconviction relief in state court. Fields v. Commonwealth, 2014
WL 7688714, at *1 (Ky. Dec. 18, 2014) (per curiam). After holding a hearing, the trial court rejected Fieldsâs arguments.Id. at *2
. The Kentucky Supreme Court again affirmed.Id. at *15
.
Having exhausted all state avenues for relief, Fields turned to federal court. He filed a
habeas petition asserting 30 claims for relief under 28 U.S.C. § 2254. Then-District Judge Amul Thapar denied relief in a comprehensive opinion. Fields v. White,2016 WL 3574396
, at *8â54
(E.D. Ky. June 23, 2016).
Our court and the district court granted Fields a certificate of appealability on five claims.
See Fields v. Jordan, 54 F.4th 871, 876(6th Cir. 2022). On appeal, Fields first argued that his jury had conducted an unconstitutional âexperimentâ during deliberations. He next argued that his trial lawyers had provided ineffective assistance in three ways: by failing to interview a witness who saw him in the hours before the murder; by failing to introduce expert testimony on his intoxicated state; and by failing to present mitigating evidence at the penalty phase. Lastly, No. 17-5065 Fields v. Jordan Page 8 Fields argued that the trial court should have allowed him to introduce evidence at the penalty phase showing the low likelihood that he would ever get released if sentenced to life imprisonment. Seeid.
A panel of our court granted Fields relief on the jury-experiment claim. Id.at 877â82. Judge Batchelder dissented.Id.
at 883â84. We voted to rehear this case en banc, Fields v. Jordan,60 F.4th 1023, 1024
(6th Cir. 2023) (en banc), and now consider these five claims in
turn.
II. Jury-Experiment Claim
Fields primarily argues that his jury violated the Constitution by experimenting with the
âtwisty knifeâ during deliberations in the jury room. Because the Kentucky Supreme Court
rejected this claim on the merits, Fields may obtain relief only if he meets AEDPAâs standards.
But he has failed to identify any âclearly establishedâ Supreme Court precedent in this jury-
experiment context that could permit relief under AEDPA. 28 U.S.C. § 2254(d)(1).
A. Background
The state trial court allowed the jurors to possess various pieces of evidence, including
the twisty knife, in the jury room during their deliberations. See Fields, 2014 WL 7688714, at *3. Fields had no objection to this approach. During opening statements, one of his lawyers told the jury: âYou will get to hold this knife, and feel this knife and look at this knife[.]â Opening Tr., R.30-13, PageID 5923. As part of his post-conviction motion, however, Fields provided the affidavits of two jurors who revealed that the jury had conducted an âexperimentâ with the knife. The jury tried âusing the knife to unscrew screws that were part of a wall of cabinets in the jury room.â Aff., R.33-1, PageID 8928. âThe knife easily unscrewed the screws.âId.
Fields called these two jurors to testify at his post-conviction hearing. The prosecution
objected that Fields could not introduce this evidence under Kentucky Rule of Criminal
Procedure 10.04. That rule provides: âA juror cannot be examined to establish a ground for a
new trial, except to establish that the verdict was made by lot.â Ky. R. Crim. P. 10.04. The trial
court âsustainedâ this objection. Tr., R.89-3, PageID 13510.
No. 17-5065 Fields v. Jordan Page 9
The court nevertheless allowed Fields to proffer the jurorsâ testimony. One of the jurors
testified that the jury experiment âwas probably [her] fault.â Id.,PageID 13521. During deliberations, she pondered whether Fields could have unscrewed the screws on Hortonâs window using the knife. Someone responded that it âwouldnât be that hard.âId.
Another juror then used the knife to take screws out of a jury-room cabinet door. It âdidnât take longâ to remove the screws.Id.,
PageID 13523. The testifying juror recalled that the experiment occurred at the penalty phase while the jury debated whether to sentence Fields to death. She did not view the experiment as about Fieldsâs guilt or innocence, but it did give her peace of mind because âa manâs life [hung] in the balance[.]âId.,
PageID 13522. Fieldsâs counsel attempted to impeach this juror with a statement from her affidavit (which someone in counselâs office had drafted) suggesting that the experiment had occurred at the guilt phase. But she stood firm, noting that she was âalmost sureâ it had happened at the penalty phase.Id.,
PageID 13526.
The other testifying juror agreed that one of the others had unscrewed a jury-room
cabinet with the twisty knife. She opined that the jury engaged in this activity âjust to see if you
could do it.â Id., PageID 13516. Unlike the other testifying juror, she recalled that the
experiment occurred during the guilt phase.
In his post-conviction motion, Fields argued that this experiment violated his rights to
confront witnesses, to due process, and to a fair trial. Rejecting this claim after the hearing, the
trial court reiterated that it had âsustainedâ the âobjection to juror testimony on this issueâ under
Kentucky law. Op., R.33-2, PageID 9503. Regardless, the court held that the experiment did not
show any âjuror misconductâ that violated the Constitution. Id.
The Kentucky Supreme Court affirmed. Fields, 2014 WL 7688714, at *2â4. Unlike the trial court, it chose to âassumeâ that Kentuckyâs procedural rules allowed the jurors to testify about the experiment.Id. at *3
. Even so, the court held that the experiment did not violate the Constitution. It interpreted various circuit decisions to hold that jurors may âuse their own senses, observations, and experiences to conduct an experiment or reenactment with already admitted evidence.âId. at *4
. Applying this rule, it saw no error in the experiment in Fieldsâs case.Id.
No. 17-5065 Fields v. Jordan Page 10
B. Merits
1. The Kentucky Supreme Courtâs decision triggers AEDPA. As relevant here, that law
bars a federal court from granting habeas relief to a state prisoner on a âclaim that was
adjudicated on the merits in State courtâ unless the state proceedings âresulted in a decision that
was contrary to, or involved an unreasonable application of, clearly established Federal law, as
determined by the Supreme Court of the United States[.]â 28 U.S.C. § 2254(d)(1). The Supreme Court has regularly âremindedâ courts that this text adopts a âdifficult to meetâ test. White v. Woodall,572 U.S. 415, 419
(2014) (quoting Metrish v. Lancaster,569 U.S. 351, 358
(2013)).
State prisoners must show two basic things. See Bergman v. Howard, 54 F.4th 950, 957(6th Cir. 2022). First, they must identify a âclearly establishedâ principle of âFederal lawâ that the âSupreme Courtâ has pronounced.28 U.S.C. § 2254
(d)(1). This language allows prisoners to seek relief based on just one source: âSupreme Courtâ decisions.Id.
Even more narrowly, prisoners must rely on the âholdingsâ of those decisions; the Courtâs âdictaâ does not clearly establish binding law. Woodall,572 U.S. at 419
(citation omitted). By requiring federal courts to identify a Supreme Court holding to grant relief, AEDPA bars us from grounding that relief in other sources, such as our own decisions. See Kernan v. Cuero,583 U.S. 1, 8
(2017) (per curiam). Prisoners thus may not make up for the lack of an on-point Supreme Court decision in a specific context by claiming that the circuit courts have all extended the Courtâs general principles to that context. See Marshall v. Rodgers,569 U.S. 58, 64
(2013) (per curiam). Conversely, disagreement in the lower courts on how the Courtâs general principles apply in the relevant area will show the absence of clearly established law. See Carey v. Musladin,549 U.S. 70
, 76â77 (2006).
Likewise, prisoners may not sidestep the lack of Supreme Court precedent on a legal
issue by raising the âlevel of generalityâ at which they describe the Courtâs holdings on other
issues. See Woods v. Donald, 575 U.S. 312, 318(2015) (per curiam); Lopez v. Smith,574 U.S. 1
, 6 (2014) (per curiam); Nevada v. Jackson,569 U.S. 505, 512
(2013) (per curiam). So, for example, a decision that the Confrontation Clause limits a courtâs ability to restrict a defendantâs cross-examination of a witness does not count as âclearly establishedâ law on the distinct question whether the court may restrict the defendantâs use of extrinsic evidence to impeach the No. 17-5065 Fields v. Jordan Page 11 witness. See Stewart v. Winn,967 F.3d 534, 537
(6th Cir. 2020). And prisoners cannot argue that clearly established law exists on the extrinsic-evidence issue merely by reframing the Courtâs narrow âcross-examination holdingâ as a broad ruling about the âright to present âevidence bearing on [a witnessâs] credibility.ââId.
(quoting Jackson,569 U.S. at 512
).
Second, once a prisoner has identified a clearly established Supreme Court holding with
specificity, the prisoner must show that a state courtâs denial of relief was âcontrary toâ or an
âunreasonable applicationâ of this holding. 28 U.S.C. § 2254(d)(1); Bergman,54 F.4th at 957
. A state decision cannot be âcontrary toâ a Supreme Court holding unless it adopts a conflicting legal rule or reaches the opposite result in a case with materially identical facts. See Lockyer v. Andrade,538 U.S. 63, 73
(2003). And a state decision cannot be an âunreasonable applicationâ of that holding unless it commits âan error well understood and comprehended in existing law beyond any possibility for fairminded disagreement.â Harrington v. Richter,562 U.S. 86, 103
(2011). A federal court thus may not grant relief simply because it believes that the state court reached a mistaken (or even clearly erroneous) result. See Shinn v. Kayer,141 S. Ct. 517
, 523â 24 (2020) (per curiam). Rather, it may grant relief only for those rare state-court decisions that count as âextreme malfunctions in the state criminal justice systems[.]â Donald,575 U.S. at 316
(quoting Richter,562 U.S. at 102
).
2. Fields has shown no extreme malfunction here. He argues that the jury violated the
Constitution by examining evidence that the prosecution admitted at trial (the twisty knife) using
jury-room items that it did not admit (the cabinet and its screws). But he has failed to get past
AEDPAâs first step by identifying âclearly establishedâ law on this topic. 28 U.S.C.
§ 2254(d)(1). Fields cites not a single Supreme Court case that has ever âaddressedâ the propriety of jurors experimenting with evidence during deliberationsâlet alone one that has found these experiments unconstitutional. Donald,575 U.S. at 317
. This lack of precedent
makes it difficult for Fields even to pinpoint the specific constitutional right that the experiment
implicates. His briefing interchangeably suggests that the experiment violated his Sixth
Amendment right to confrontation, his Sixth Amendment right to a jury trial, or his Fourteenth
Amendment right to due process. Because the Court has never considered jury experiments,
No. 17-5065 Fields v. Jordan Page 12
however, we are left to guess how it would distinguish lawful experiments from unlawful ones
under any of these constitutional guarantees.
First consider the Courtâs precedent on the Confrontation Clause. The clause gives
defendants the right âto be confronted with the witnesses againstâ them. U.S. Const. amend. VI.
For present purposes, the key word in this text is âwitnesses.â This word clarifies that courts
must permit a defendant to have a âface-to-face meetingâ with certain individuals. Coy v. Iowa,
487 U.S. 1012, 1016(1988). More specifically, it covers individuals who âbear testimonyââ that is, those who make a âsolemn declaration or affirmation . . . for the purpose of establishing or proving some fact.â Crawford v. Washington,541 U.S. 36, 51
(2004) (quoting 2 Noah Webster, An American Dictionary of the English Language (1828)). Fields, for example, supports his claim with a decision about a bailiffâs out-of-court statements. See Parker v. Gladden,385 U.S. 363
, 363â65 (1966) (per curiam). The bailiff in Parker privately told jurors that the âwickedâ defendant was guilty and that the Supreme Court would fix any errors in a guilty verdict.Id.
at 363â64. The Court held that these comments violated the Confrontation Clause.Id.
at 364â65. It treated the bailiff as a âwitnessâ who made testimonial statements that the defendant could not confront. Seeid.
But Fields does not tell us how these precedents interpreting the Confrontation Clause
would apply to the jury experiment in his caseâlet alone show that they âclearlyâ control. 28
U.S.C. § 2254(d)(1). Unlike in Parker, Fieldsâs counsel conceded that his claim does not involve out-of-court statements by âwitnesses.â Oral Arg. 12:09â:11. Instead, he complains that the jury used unadmitted tangible objects (a cabinet and screws) to test the twisty knife. But no Supreme Court decision has ever suggested that the Confrontation Clause applies to physical evidence. And many lower courts have held that the clause does not reach this type of nontestimonial evidence. See United States v. Miller,982 F.3d 412, 437
(6th Cir. 2020); see also State v. Williams,913 S.W.2d 462, 465
(Tenn. 1996). Indeed, âhow could one cross-examine [a cabinet]?â United States v. Moon,512 F.3d 359, 362
(7th Cir. 2008). At the least, Parkerâs âholdingâ that the bailiffâs statements violated the Confrontation Clauseââthe only aspect of the decision relevant hereââdoes not clearly apply to the physical items in this case. Woodall,572 U.S. at 424
.
No. 17-5065 Fields v. Jordan Page 13
Next consider the Courtâs precedent on the Sixth Amendment ârightâ to a âtrial, by an
impartial jury.â U.S. Const. amend. VI. The Constitution does not further specify the
protections that accompany this right. See Ramos v. Louisiana, 140 S. Ct. 1390, 1395(2020). To determine the rightâs âcontent,â then, the Court has long relied on what a jury trial historically looked like, examining such sources as âthe common law, state practices in the founding era, or opinions and treatises written soon afterward[.]âId.
As one example, the Court invoked these sources to hold that the jury-trial right requires jurors to reach unanimous verdicts. Seeid.
at 1395â97. As another example, the Court invoked these sources to hold that the jury-trial right requires a jury to find any fact that increases the defendantâs punishment above the statutory maximum that would otherwise apply without that fact. See Apprendi v. New Jersey,530 U.S. 466
, 476â83 (2000).
Fields supports his claim with two decisions holding that this general jury-trial right also
includes a specific guarantee against juror bias. See Irvin v. Dowd, 366 U.S. 717, 721â28 (1961); Turner v. Louisiana,379 U.S. 466
, 471â74 (1965). The defendant in Irvin was charged with committing six murders near a small town.366 U.S. at 719
. The local media extensively publicized his crimes.Id. at 720, 725
. This publicity made it impossible to find unbiased jurors, and eight of the twelve people who sat on the defendantâs jury had decided that he was guilty before hearing any evidence.Id.
at 727â28. The Court held that these biased jurors violated the defendantâs right to an âimpartialâ jury. Seeid.
at 721â28. It reasoned that the jury-trial right required âa panel of impartial, âindifferentâ jurorsâ who will base their verdict on the âevidence developed at the trialâ rather than a preconceived opinion about the defendantâs guilt.Id.
at 722 (citing Reynolds v. United States,98 U.S. 145, 155
(1879)). This aspect of the right has deep roots: âIn the language of Lord Coke, a juror must be as âindifferent as he stands unsworne.ââId.
(quoting 1 Edward Coke, Institutes of the Laws of England 155b (1628)).
The Court extended Irvin in Turner. There, the prosecution relied on the testimony of
two deputy sheriffs as its main evidence in the defendantâs murder trial. 379 U.S. at 467. The trial court had sequestered the jurors and placed them in the sheriffâs care.Id.
at 467â68. So the testifying deputies had a âclose and continual association with the jurors,â eating meals with them and mingling with them throughout the trial.Id. at 468
. The Court held that the juryâs No. 17-5065 Fields v. Jordan Page 14 association with key prosecution witnesses violated the jury-trial guarantee.Id.
at 471â74. Although the deputies had not talked with the jurors about the case, their credibility was critical.Id.
So their âintimate associationâ with the juryâin which they ârenew[ed] old friendships and [made] new acquaintancesââeffectively biased the jurors in favor of prosecution witnesses.Id.
at 473â74.
For a second time, however, Fields does not explain why these decisions about the Sixth
Amendment right against jury bias âclearlyâ apply to the jury experiment in his case. 28 U.S.C.
§ 2254(d)(1); see Jackson, 569 U.S. at 511â12. As a specific matter, Fields does not argue that his jurors were âbiasedâ against him. He, for instance, does not claim that his jurors had âformed an opinionâ about his guilt before trialâlike the jurors in Irvin.366 U.S. at 722
(quoting Reynolds,98 U.S. at 155
). Nor does he claim that they had an âintimate associationâ with prosecution witnessesâlike the jurors in Turner.379 U.S. at 473
. Indeed, we fail to see how
Fieldsâs jury-experiment claim even implicates the specific jury-trial requirement that Irvin and
Turner enforced: the requirement of an âimpartialâ jury. U.S. Const. amend. VI.
As a general matter, the Supreme Courtâs other jury-trial decisions would instruct us to
examine the âhistorical foundationâ for Fieldsâs claim that a jury may not test admitted evidence
using unadmitted jury-room objects. Apprendi, 530 U.S. at 477. If, say, the âcommon lawâ or âstate practices in the founding eraâ barred this type of jury-room experiment, perhaps the jury- trial right would incorporate that rule (as it has incorporated the jury-unanimity rule). Ramos,140 S. Ct. at 1395
. But Fields does not identify any common-law authorities, treatises, or other sources to help answer this question. That is for good reason. If Fields must build his claimâs legal foundations from the ground up in this fashion, he could not possibly show that the Supreme Court has already âclearly establishedâ that the jury experiment violated the jury-trial right.28 U.S.C. § 2254
(d)(1). Just as our own precedents cannot qualify as âclearly establishedâ law, neither can âstate-court decisions, treatises, or law review articles.â Cuero,583 U.S. at 8
.
Lastly, consider the Courtâs precedent on the Due Process Clause. That clause prohibits a
State from âdepriv[ing]â defendants of their âlifeâ or âlibertyâ âwithout due process of law[.]â
U.S. Const. amend. XIV, § 1. The Supreme Court has long held that this general text has
No. 17-5065 Fields v. Jordan Page 15
âlimited operationâ in criminal contexts because of the many other guarantees that the Bill of
Rights gives to criminal defendants. Medina v. California, 505 U.S. 437, 443(1992) (quoting Dowling v. United States,493 U.S. 342, 352
(1990)). If these express protections do not apply, due process bars only those practices that âoffend[] some principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental.âId.
at 445 (quoting Patterson v. New York,432 U.S. 197, 202
(1977)). And, as Justice Kagan has explained, the Court again looks to âhistorical practiceâ to identify these âfundamentalâ principles. Kahler v. Kansas,140 S. Ct. 1021, 1027
(2020) (citations omitted). When, for example, the Court held that due process required the prosecution to prove its case beyond a reasonable doubt, it noted that this specific standard âdate[d] at least from our early years as a Nation.â In re Winship,397 U.S. 358, 361
(1970); see also Perry v. New Hampshire,565 U.S. 228, 237
(2012); Deck v. Missouri,544 U.S. 622, 626
(2005).
For a third time, however, Fields fails to show that any of these due-process decisions
âclearlyâ apply to the jury experiment in his case. 28 U.S.C. § 2254(d)(1). He identifies no specific due-process precedent on jury experiments. And the Courtâs generic due-process test (which examines our countryâs âfundamentalâ âprinciplesâ) lacks the required specificity to âsupply a ground for reliefâ under AEDPA. Brown v. Davenport,596 U.S. 118, 136
(2022); see Stewart, 967 F.3d at 539â40. Again, perhaps there is a traditional âcommon lawâ principle that would bar jury experiments like the one in this case. See Deck,544 U.S. at 626
. But Fields
correctly makes no effort to identify that principle in these AEDPA proceedings.
In sum, we need not take a position on how these three constitutional rights should apply
to Fieldsâs jury-experiment claim in this case. To resolve that claim, we need only say that âno
Supreme Court precedent establishes that jury experiments violateâ any of the rights. Fields, 54
F.4th at 883 (Batchelder, J., dissenting). AEDPA thus forecloses relief on the claim.
3. In response, Fields argues that Irvin, Turner, Parker, and one earlier decision clearly
establish âa constitutional right to have the jury determine guilt or innocence based only on
evidence presented at trial.â Appellantâs Suppl. Br. 1; Parker, 385 U.S. at 364â65; Turner, 379
U.S. at 472; Irvin,366 U.S. at 722
; Patterson v. Colorado,205 U.S. 454, 462
(1907). And
because the prosecution did not offer the jury-room cabinet and screws into evidence, Fieldsâs
No. 17-5065 Fields v. Jordan Page 16
argument goes, the Kentucky Supreme Court unreasonably applied this bright-line rule by
allowing his jurors to use that âextrinsic evidenceâ during their deliberations. Appellantâs Suppl.
Br. 8â9.
This line of reasoning bears the hallmarks of circuit decisions the Supreme Court has
seen fit to summarily reverse under AEDPA: Fields articulates a broad rule based on narrow
holdings in order to âtransformâ an âimaginative extension of existing case law into âclearly
established Federal law, as determined by the Supreme Court.ââ Jackson, 569 U.S. at 512(quoting28 U.S.C. § 2254
(d)(1)). His line of reasoning makes two mistakes.
To begin with, Fields wrongly treats as clearly established law a âgeneral propositionâ
that originates with a few quotations from far-afield decisions. Lopez, 574 U.S. at 5â6. Irvin, for
example, noted that a âverdict must be based upon the evidence developed at the trial.â 366 U.S.
at 722. Similarly, Turner stated that â[t]he requirement that a juryâs verdict âmust be based upon the evidence developed at the trialâ goes to the fundamental integrity of all that is embraced in the constitutional concept of trial by jury.â379 U.S. at 472
; see Parker, 385 U.S. at 364â65. But this principle that a defendantâs guilt must rest on the evidence is just as âabstractâ as others that the Court has held cannot serve as clearly established lawâsuch as the principle that a defendant has the right to âadequate notice of the charges,â Lopez, 574 U.S. at 5â6, or âto present âevidence bearing on [a witnessâs] credibility,ââ Jackson,569 U.S. at 512
(citation omitted).
Next, by framing Parker, Turner, Irvin, and Patterson at a sky âhigh level of generality,â
Fields overlooks what matters: their holdings. Lopez, 574 U.S. at 6 (citation omitted); see
Woodall, 572 U.S. at 419. None of these cases âaddresses, even remotely, the specific question
presented by this case.â Lopez, 574 U.S. at 6. As we have explained, the holdings in Parker,
Irvin, and Turnerâthat the Confrontation Clause bars a bailiff from telling jurors that the
defendant is guilty, Parker, 385 U.S. at 364â65; that the jury-trial right bars individuals from
sitting on a jury if they have already decided that the defendant is guilty, Irvin, 366 U.S. at 721â
28, and that this right bars jurors from intimately associating with prosecution witnesses, Turner,
379 U.S. at 471â74âsay nothing about whether jurors may âtestâ an admitted exhibit using
objects in the jury room.
No. 17-5065 Fields v. Jordan Page 17
Patterson also had nothing to do with jury experimentsâor even the constitutional rights
that Fields invokes. Fields quotes this sentence from that decision: âThe theory of our system is
that the conclusions to be reached in a case will be induced only by evidence and argument in
open court, and not by any outside influence, whether of private talk or public print.â 205 U.S.
at 462. But the Court was addressing a free-speech challenge to a state courtâs decision to hold a publisher in contempt for articles that ridiculed the courtâs earlier rulings.Id.
at 458â59. The Supreme Court rejected this speech claim, opining that the First Amendment might protect only against prior restraints.Id.
at 462â63. We very much doubt that Patterson sets forth the free- speech rules that govern today. Cf. Garrison v. Louisiana,379 U.S. 64
(1964). Regardless, an opinion about a right to speak under the First Amendment contains only irrelevant âdictaâ on whether a jury experiment violates the Sixth or Fourteenth Amendment. Donald,575 U.S. at 316
(citation omitted).
To be sure, the notion that a juryâs verdict must rest on âthe evidence developed at the
trialâ may well go back centuries. Turner, 379 U.S. at 472. Blackstone, for example, suggested that it would âvitiate the verdictâ if jurors âspeak with either of the parties or their agents, after they are gone from the bar; or if they receive any fresh evidence in private[.]â 3 William Blackstone Commentaries on the Laws of England 376 (1768) (emphasis added); see also James B. Thayer, The Jury and Its Development,5 Harv. L. Rev. 295
, 311 (1892); 2 Matthew Hale & Charles Runnington, The History of the Common Law 147â48 (5th ed. 1794). But, as then- District Judge Thapar explained, this general idea does little to help answer the specific question that matters here: Do jurors âdecide guilt based on something other than âthe evidence presentedâ when they conduct an experiment using the evidence presentedâ? Fields,2016 WL 3574396
, at *9. Stated differently, when does a jury experiment change from a (valid) âexamination of proper evidenceâ into a (perhaps impermissible) âproduction of new evidenceâ? Caroll J. Miller, Annotation, Propriety of Jurorâs Tests or Experiments in Jury Room,31 A.L.R.4th 566
, § 2[a],
Westlaw (database updated 2023). The line between the two has been âdifficult to draw,â so
lower courts have developed âfew, if any, general rulesâ to guide the inquiry. Id.
Indeed, the wide divergence that has existed on this issue for over a century (whether as a
matter of state or federal law) confirms that the Supreme Court has not adopted a clear federal
No. 17-5065 Fields v. Jordan Page 18
rule to cover the field. Carey, 549 U.S. at 76â77. Compare Taylor v. Commonwealth, 17 S.E.
812, 815â16 (Va. 1893), with Forehand v. State,11 S.W. 766
, 766 (Ark. 1889) (per curiam). On the one hand, in addition to the Kentucky Supreme Courtâs decision here, many cases conflict with Fieldsâs proposed legal rule that jurors may not experiment with admitted exhibits using âextrinsic evidenceâ from the jury room. Take Fletcher v. McKee,355 F. Appâx 935
(6th Cir. 2009). There, the prosecution charged the defendant with murdering his pregnant wife, Leann.Id. at 936
. The defense claimed that Leann accidentally shot herself.Id.
The jurors experimented with the gun during deliberations.Id.
While holding the gun, a juror fell off a jury-room table in the way that the defense hypothesized Leann had fallen off her bed after she shot herself.Id.
Other jurors then examined where the gun landed.Id.
The jury convicted the defendant partly because the experimentâs results did not match the defenseâs theory.Id.
In this AEDPA context, we held that the experiment did not produce âextrinsic evidenceâ that might create a constitutional problem.Id. at 940
.
Fletcher is on all fours with Fieldsâs case. Both involved a mix of admitted evidence (the
gun or twisty knife) and unadmitted objects (the jury-room table or cabinet). And many of
Fieldsâs criticisms of the jury experiment here would apply just as well to the experiment there.
Fields notes that the jury-room conditions were far different from those at night outside Bess
Hortonâs home. The cabinet had universal screws, not Phillips screws. The jury room was light,
not dark. And the juror who conducted the experiment was sober, not intoxicated. Yet one
could have made similar critiques in Fletcher. Was the jury-room table the same height as the
bed? Was the juror the same size as Leann? Did the juror fall with the same force as Leann
would have fallen after being shot? The generic principle from Parker or Turner that jurors
should rely only on the trial evidence does not âclearly establishâ a specific legal rule that would
allow us to find the experiment in Fletcher proper but the experiment in this case improper.
Countless other cases have likewise found no federal or state error when jurors conducted
experiments using âextrinsic evidenceâ from the jury room. Courts, for example, have rejected
challenges to jury experiments with a âpersonal pocket knifeâ or âcardboard knifeâ to reenact a
fight. United States v. Abeyta, 27 F.3d 470, 477(10th Cir. 1994) (White, Senior Associate J.); Kurina v. Thieret,853 F.2d 1409, 1413
(7th Cir. 1988); People v. Kurena,410 N.E.2d 277
, 282 No. 17-5065 Fields v. Jordan Page 19 (Ill. Ct. App. 1980); cf. State v. Balisok,866 P.2d 631
, 632â34 (Wash. 1994). They have similarly rejected challenges to: an experiment in which a juror covered his head and wore sunglasses to see if other jurors could recognize him, United States v. Hephner,410 F.2d 930, 936
(7th Cir. 1969); an experiment in which jurors hit a jury-room âleather chairâ with an admitted âwooden rod,â Mitchell v. State,726 N.E.2d 1228, 1233, 1237
(Ind. 2000), abrogated on other grounds by Bealtie v. State,924 N.E.2d 643
(Ind. 2010); and an experiment in which jurors estimated a bulletâs trajectory using a string from a jurorâs jacket and a jury-room protractor, People v. Collins,232 P.3d 32
, 89â91 (Cal. 2010). Courts have also rejected challenges to experiments in which jurors pricked or inked their fingers (to see how long it takes for blood to clot or to confirm that their fingerprints differed from the fingerprints in evidence). See State v. Graham,422 So. 2d 123
, 132â33 (La. 1982); State v. Jackson,596 N.W.2d 262, 266
(Minn. Ct. App. 1999). None of these decisions comports with Fieldsâs purported âclearly
establishedâ legal rule that jurors categorically may not use jury-room objects to conduct
experiments.
On the other hand, Fields does identify some decisions that may support his rule (at least
as a matter of state law). He, for instance, highlights the Kentucky Supreme Courtâs decision in
Smith v. Commonwealth, 645 S.W.2d 707(Ky. 1983). There, the prosecution alleged that the defendantâs belt buckle had left a mark on a plasterboard wall.Id. at 709
. After the jury was given a piece of the wall that had not been admitted into evidence, jurors conducted experiments on it using the belt buckle.Id. at 710
. The court reversed based on the principle that the jury may consider only the trial evidence.Id.
Similarly, another state court reversed a conviction based on an experiment in which a juror put on the defendantâs pants (which had been admitted into evidence) and bound his hands with a rope (which had not been) to see if the defendant could remove drugs from his pocket while handcuffed. Ex Parte Thomas,666 So. 2d 855
, 857â 58 (Ala. 1995); see also, e.g., State v. Sanders,68 Mo. 202, 206
(1878). But these lower-court decisions do Fields no good in this AEDPA context. See Cuero,583 U.S. at 8
. At best, they
confirm the tension in the caselaw on this topicâtension that shows the absence of clearly
established law. See Carey, 549 U.S. at 76â77. That fact forecloses relief for Fields under
AEDPA.
No. 17-5065 Fields v. Jordan Page 20
Fields lastly argues that our court has already held that his rule qualifies as âclearly
establishedâ law under AEDPA. See Doan v. Brigano, 237 F.3d 722, 733 & n.7 (6th Cir. 2001). He is correct that, although circuit decisions cannot create clearly established law, circuit courts must follow their own decisions holding that the Supreme Court has clearly established a principle for AEDPA purposes. See Rodgers,569 U.S. at 64
. And he is correct that our court in Doan held that the Supreme Court in Parker and Turner had clearly established the general rule that a âdefendant be afforded the right to confront the evidence and the witnesses against him, and the right to a jury that considers only the evidence presented at trial.â Doan,237 F.3d at 733
n.7; see Moore v. Mitchell,708 F.3d 760
, 805â06 (6th Cir. 2013); Fletcher,355 F. Appâx at 937
. But we issued Doan only five years after AEDPA. At that time, the Supreme Court had yet to interpret the phrase âclearly establishedâ law to exclude âabstractâ principles, Lopez, 574 U.S. at 6, or rules âthat speak only at a high level of generality,â Davenport,596 U.S. at 136
. Doan conflicts with this recent guidance. So we now reject Doanâs holding for the reason Judge Batchelder suggested at the panel stage: âthat the Supreme Court has abrogated Doan and that we are no longer bound to follow it.â Fields,54 F.4th at 884
(Batchelder, J., dissenting).
Because the Supreme Court has issued no guidance on jury experiments like the one here, it
lacks âclearly establishedâ law on the topic.
One final point. All the evidence about the juryâs experiment in this case came from the
jurors themselves. And the state trial court seemingly denied Fieldsâs claim on the alternative
ground that a Kentucky procedural rule barred jurors from testifying about their deliberations.
Ky. R. Crim. P. 10.04. This type of âno-impeachment ruleâ has a long history. âAt common law
jurors were forbidden to impeach their verdict, either by affidavit or live testimony.â PeĂąa-
Rodriguez v. Colorado, 580 U.S. 206, 215(2017). The Court has adopted a constitutional exception to the no-impeachment rule when jurors exhibit racial animus. Seeid. at 225
. And many federal and state legislators or rule-makers have made other exceptions to the rule, including when jurors use âextraneousâ or âoutsideâ evidence.Id.
at 215â17. Did the
Constitution also require an exception to the no-impeachment rule in Fieldsâs case and thus
render the trial courtâs alternative ruling invalid? We merely flag this (unbriefed) question to
clarify that we have not impliedly resolved it by considering the jurorsâ testimony about the
No. 17-5065 Fields v. Jordan Page 21
experiment. We may save the issue for another day given our holding that Fields cannot meet
AEDPAâs standards even accepting that testimony.
III. Ineffective-Assistance Claims
In three ways, Fields next argues, his attorneys made such grave mistakes during his trial
that they deprived him of his Sixth Amendment right to counsel. Yet the Kentucky Supreme
Court resolved these three ineffective-assistance claims on their merits too, so AEDPAâs
standards again apply. And Fields has not shown that the state court engaged in an
âunreasonable applicationâ of the Supreme Courtâs test for evaluating his counselâs performance,
28 U.S.C. § 2254(d)(1), or made an âunreasonable determination of the factsâ about their conduct,id.
§ 2254(d)(2).
A. Ineffective Assistance in the AEDPA Context
AEDPA has âspecial importanceâ when defendants allege that their counsel performed
ineffectively. Kayer, 141 S. Ct. at 523. The combination of the Supreme Courtâs normally demanding test for ineffective-assistance claims with its even more demanding test for AEDPA relief creates a âdoubly deferentialâ review framework for federal courts. Roger v. Mays,69 F.4th 381, 389
(6th Cir. 2023) (en banc). We presume the reasonableness of both the strategic decisions of Fieldsâs attorneys and the Kentucky Supreme Courtâs holding that these attorneys performed adequately. See Dunn v. Reeves,141 S. Ct. 2405
, 2410â11 (2021) (per curiam).
Even outside the AEDPA context, a defendant like Fields faces a tall task to prove that
his lawyers performed so incompetently that they deprived him of his Sixth Amendment right âto
have the Assistance of Counsel for his defence.â U.S. Const. amend. VI; Richter, 562 U.S. at
105. Since Strickland v. Washington,466 U.S. 668
(1984), this claim has required a defendant to prove two elements.Id. at 687
. The defendantâs attorneys must have performed incompetently.Id.
And their deficient performance must have prejudiced the defendantâs chances at trial.Id.
Only the first element matters in Fieldsâs case. This element requires him to prove that
his lawyers made objectively unreasonable decisions when considered under all of the
circumstances. See id.at 687â88. Fields cannot meet this test simply by showing that the No. 17-5065 Fields v. Jordan Page 22 lawyersâ decisions âdeviatedâ from the âbestâ or âcommonâ course. Richter,562 U.S. at 105
. Rather, their decisions must have reached such a level of âincompetenceâ that we can say that Fields lacked the ââcounselâ guaranteed [him] by the Sixth Amendment.âId.
at 104â05 (quoting Strickland,466 U.S. at 687
). And when deciding whether Fieldsâs counsel performed incompetently, we start with a âstrong presumptionâ that their performance fell âwithin the wide rangeâ of adequate representation. Strickland,466 U.S. at 689
. We also undertake a âhighly deferentialâ review of their decisions, avoiding the unfair âhindsightâ bias that often infects after-the-fact assessments.Id.
This âhigh barâ reaches even higher levels when, as in Fieldsâs case, a state court triggers
AEDPA by rejecting a defendantâs claim that counsel provided ineffective assistance. Richter,
562 U.S. at 105(citation omitted). At this point, it is no longer enough for Fields to show that his attorneys made a decision that no reasonable lawyer would have made. He now must show that âevery âfairminded juris[t]â would agree that every reasonable lawyer would have made a different decision.â Reeves,141 S. Ct. at 2411
(quoting Richter,562 U.S. at 101
). And Stricklandâs âgeneralâ standard for evaluating counselâs performance increases the burdens on Fields further still. Davis v. Carpenter,798 F.3d 468, 473
(6th Cir. 2015). Under AEDPA, âthe more general the rule, the more leeway state courts haveâ when applying the rule to a defendantâs specific facts. Kayer,141 S. Ct. at 523
(quoting Sexton v. Beaudreaux,138 S. Ct. 2555
, 2560â61 (2018) (per curiam)). So the Kentucky Supreme Court has even more âlatitudeâ to reject Fieldsâs ineffective-assistance claims without our second guessing its decision as an âunreasonable applicationâ of Stricklandâs performance prong. Seeid.
(citation omitted);28 U.S.C. § 2254
(d)(1).
To the extent that Fields also challenges the state trial courtâs factual findings about his
counselâs conduct (apart from the Kentucky Supreme Courtâs legal conclusion about their
performance), AEDPA requires him to meet another demanding test. He must show that the trial
court made âan unreasonable determination of the facts in light of the evidence presented in the
State court proceeding.â 28 U.S.C. § 2254(d)(2). To meet this test, Fields must do more than convince us that we would have reached a different conclusion in the first instance. See Burt v. Titlow,571 U.S. 12, 18
(2013). He instead must show not just that the state courtâs No. 17-5065 Fields v. Jordan Page 23 determination was debatable or incorrect, but also that it was unreasonableââa substantially higher thresholdâ for obtaining relief. Shoop v. Twyford,142 S. Ct. 2037, 2043
(2022) (citation omitted); see Burt,571 U.S. at 18
; Wood v. Allen,558 U.S. 290
, 301â03 (2010).
Fields says he can meet these rigorous legal and factual standards for three different
reasons. He is wrong on all three fronts.
B. Testimony of James Berry
1. Fields first asserts that his trial attorneys performed incompetently by failing to
interview and introduce the testimony of a witness who saw him on the evening before the
murder. The trial evidence showed that, while driving around with their friends that evening,
Fields and Burton stopped at the home of Phyllis Berryâs brotherâa man named James Berry
(whom we will refer to as âBerryâ from this point). At Fieldsâs post-conviction hearing, Berry
testified that Fields was already drunk when the group reached his house. Fields was
âstaggeringâ and speaking incoherently. J. Berry Tr., R.89-4, PageID 13703. Berry also
watched Fields take âsome kind of pills.â Id.,PageID 13702. Berryâs sister allegedly told him later that Fields had ingested âhorse tranquilizersâ (the street name for PCP) and that this drug explained Fieldsâs hallucinations.Id.,
PageID 13710.
In his postconviction motion, Fields argued that his lawyers performed deficiently by
failing to interview Berry and offer his testimony at trial. Fields, 2014 WL 7688714, at *8. According to Fields, Berryâs testimony about his extreme intoxication would have helped prove two defenses: that he could not have removed 17 screws from Hortonâs window late at night or, at the least, that he could not have formed the mental state required for murder.Id.
The Kentucky Supreme Court affirmed the state trial courtâs rejection of this claim. Id.at *8â9. It initially held that the trial courtâs findings of historical fact âwere not clearly erroneous.âId. at *9
. The trial court had found that Fieldsâs lawyers âconducted an extensive pre-trial investigation.â Op., R.33-2, PageID 9498. They knew of Berryâs âexistenceâ and âevaluated whether he had any valuable testimony to present.âId.
But counsel decided that Berry should not testify.Id.
Fields vigorously asserted his innocence and did not want counsel to put on an âintoxication defense at trial.âId.
And his lawyers believed that Berry would have No. 17-5065 Fields v. Jordan Page 24 been a âproblematic witnessâ because he was âa convicted felon with a history of psychiatric issues and drug abuse.âId.,
PageID 9498, 9505. They also believed that Berryâs testimony would have merely duplicated what other individuals at his house party had to say.Id.,
PageID 9505. Based on these factual findings, the Kentucky Supreme Court held that counsel reasonably decided not to interview Berry both because his testimony would have been cumulative and because he would not have been a compelling witness. Fields,2014 WL 7688714
, at *8â9.
2. This decision did not unreasonably apply Stricklandâs performance prong.
Admittedly, there is no legal dispute that Fieldsâs counsel had a âduty to investigateâ Fieldsâs
case. Strickland, 466 U.S. at 690. There is also no factual dispute that Fieldsâs counsel did not interview Berry. So the Kentucky Supreme Court needed to ask whether counsel made âa reasonable decisionâ that this interview was âunnecessaryâ under âall the circumstancesââ giving âa heavy measure of deference to counselâsâ investigative choices.Id. at 691
.
Fieldsâs claim fails under AEDPA because a âfairminded juristâ could conclude that a
reasonable lawyer could have chosen not to interview Berry or put him on the stand. Kayer,
141 S. Ct. at 524. From a birdâs eye view, when reviewing âall the circumstancesâ of counselâs decision, Strickland,466 U.S. at 691
, we must consider the other steps that counsel took to prepare for trial. Fields does not challenge the trial courtâs finding that his lawyers extensively investigated his case before trial. And there are only so many hours in the day. So it is generally for lawyers, not courts, to decide how best to âbalanceâ their âlimited resourcesâ against the many potential investigative paths to follow. Richter,562 U.S. at 107
.
From a ground-level view, a âfairminded juristâ could hold that Fieldsâs counsel
reasonably chose not to interview Berry for the two reasons that the Kentucky Supreme Court
identified. Kayer, 141 S. Ct. at 524. For one thing, the state court could properly decide that lawyers can refrain from interviewing a witness who has information that could âreasonably be expected to be only cumulativeâ of other testimony. Bobby v. Van Hook,558 U.S. 4, 11
(2009) (per curiam); Fitchett v. Perry,644 F. Appâx 485
, 491â92 (6th Cir. 2016). And here, Berryâs
information was largely cumulative. Several others testified that Fields consumed alcohol for
most of the day and was drunk on the evening of the murder. Berryâs sister Phyllis described
No. 17-5065 Fields v. Jordan Page 25
Fieldsâs drinking and opined that he was âintoxicatedâ when she dropped him off at his
apartment. Berry Tr., R.30-17, PageID 6577â79, 6584, 6591â95. Another witness who drove
around with Fields referred to him as âintoxicatedâ when the two parted ways, adding that Fields
took âthe rest of the beer with him.â Trent Tr., R30-18, PageID 6646. Fieldsâs brother likewise
said that he was âdrunkâ back at their apartment. J. Fields Tr., R.30-19, PageID 6832. And
Burton presumed that Fields started acting strangely at this location because he was âhighâ or
âdrunk.â Burton Tr., R.30-18, PageID 6685.
For another thing, Fields identifies no Supreme Court precedent that would have barred
the Kentucky Supreme Court from concluding that counsel could reasonably prioritize other
witnesses over Berry in light of his credibility issues. Counsel knew that Berry was in âprison at
the timeâ of trial. Lytle Tr., R.89-3, PageID 13548. Counsel also had never called a witness
with the types of âpsychologicalâ issues that Berry suffered from. Id., PageID 13565â66.
At best, Berry would have provided a firmer foundation that Fields was on PCP and not
just drunk before the murder. Burton testified that Fields âpass[ed] a bowl of pills aroundâ and
referred to them as âhorse tranquilizersâ while at Berryâs home, but she equivocated over
whether she saw Fields take the pills. Burton Tr., 30-18, PageID 6753, 6755; Burton Tr., R.30-
19, PageID 6802. Even on this factual issue, however, Fields overlooks that his counsel sought
to elicit the PCP testimony for a narrow purpose. They sought to establish a âfactual predicateâ
for a penalty-phase argument that the jury should not impose a death sentence because Fields had
murdered Horton while under the influence of a hallucinogenic drug. Fields, 2014 WL 7688714, at *9. Burtonâs testimony accomplished that goal. And any greater emphasis on Fieldsâs use of PCP could have harmed rather than helped his defense. See Richter, 562 U.S. at 108â09. After all, this drug could have caused âa psychotic episodeâ that would explain why Fields would âstab an elderly woman in the headâ with such force that the knife came out the other side. Fields,2014 WL 7688714
, at *11. Laying the groundwork for the prosecutor to make this powerful point would have undercut Fieldsâs innocence defense. Seeid.
Fieldsâs responses do not change things. He argues that the Kentucky Supreme Court
could not presume that his counsel made a strategic decision where, as here, they did not
interview a âknownâ witness. Appellantâs Br. 46. Fields derives this categorical ruleâthat
No. 17-5065 Fields v. Jordan Page 26
counsel must interview all known witnessesâfrom two decisions. See Towns v. Smith, 395 F.3d
251, 258(6th Cir. 2005); Workman v. Tate,957 F.2d 1339
, 1345â46 (6th Cir. 1992). But AEDPA did not apply in these cases. See Towns,395 F.3d at 257
; Workman, 957 F.2d at 1344â 46. So we cannot use them to âsharpenâ Stricklandâs general standard into the âspecific legal ruleâ that he proposes. Rodgers,569 U.S. at 64
. Besides, neither decision adopts Fieldsâs rule. We faulted counsel in both cases because they disregarded people who counsel should have reasonably known were âthe only witnessesâ with crucial information. Workman,957 F.2d at 1345
; see Towns,395 F.3d at 253, 259
. That is not true hereâor at least the Kentucky Supreme
Court reasonably could have so found.
Fields next claims that one of his attorneys conceded that she performed ineffectively
when she noted that she âprobably should have trackedâ Berry down. Lytle Tr., R.89-3, PageID
13552. Not so. Stricklandâs prohibition on evaluating counselâs choices in âthe harsh light of
hindsightâ applies just as much to conscientious defense lawyers as to federal habeas courts.
Richter, 562 U.S. at 107(citation omitted). Even âexperiencedâ lawyers often second-guess themselves when a jury finds their client guilty.Id. at 109
. Stricklandâs test thus considers their investigative steps from an âobjectiveâ perspective, not their âsubjectiveâ perspective.Id. at 110
.
Fields lastly challenges the trial courtâs findings of fact. He argues that the trial court
invented âpost hoc rationalization[s]â for counselâs failure to investigate Berry and highlights
evidence suggesting that counsel simply overlooked this witness. Richter, 562 U.S. at 109(quoting Wiggins v. Smith,539 U.S. 510
, 526â27 (2003)). One of his attorneys testified, for
example, that she was âprayingâ that Burton would mention his PCP use, a statement that
conflicts with the claim that she reasonably decided that Berryâs testimony would duplicate
Burtonâs. Lytle Tr., R.89-3, PageID 13537. The evidence on which Fields relies may well
create a dispute of fact over whether counsel acted strategically or negligently in failing to
interview Berry.
But this argument ignores our standard of review. Fields must show that the state courtâs
finding that counsel acted strategically was not just wrong but also âunreasonable.â 28 U.S.C.
§ 2254(d)(2). And his evidence âdoes not sufficeâ to create such a one-sided record that every No. 17-5065 Fields v. Jordan Page 27 reasonable adjudicator would have to find that counsel acted negligently. Wood,558 U.S. at 301
. As for evidence cutting the other way, Fieldsâs counsel recalled Berry, knew that Berry was in prison, testified that she would have known of his mental-health problems at the time of trial, and remembered Berryâs general (tangential) involvement. Lytle Tr., R.89-3, PageID 13548, 13552â53. Although counsel could not recall a specific strategic reason why she did not interview Berry, that omission did not compel the state court to find that no such reason existed. The omission is equally consistent with a finding that counsel merely could not recall the reason given the seven-year gap between the trial and post-conviction hearing. Fields,2014 WL 7688714
, at *9. How many lawyers will remember minute details of a lengthy trial from seven years in the past? And this time gap justifies the Supreme Courtâs ââstrong presumptionâ that counselâs attention to certain issues to the exclusion of others reflects trial tactics rather than âsheer neglect.ââ Richter,562 U.S. at 109
(citation omitted). The state courts reasonably applied
that presumption here.
C. Testimony of Dr. Robert Adams
1. Fields next argues that his attorneys wrongly failed to call an expert psychiatristâ
Dr. Robert Adamsâat the guilt phase. The post-conviction hearing revealed that one of Fieldsâs
attorneys had consulted with Adams âabout the effects of PCP on an individualâ and asked
Adams to prepare a âPowerPoint presentationâ summarizing these effects. Baker Tr., R.89-3,
PageID 13588, 13590. According to counsel, Adams would have explained that PCP can cause
âgruesome crime scenesâ in which a âhallucinat[ing]â defendant acts violently while under a
âpsychotic breakâ from this drug. Id.,PageID 13590. But Fieldsâs counsel decided not to use Dr. Adams at the guilt phase because his testimony could have harmed Fieldsâs main defense that he did not murder Horton.Id.,
PageID 13591â92. As counsel reasoned, âDr. Adamsâ testimony would be consistentâ with Fieldsâs guilt by âexplaining why someone would shove a knife through an elderly womanâs head and cut her throatâânamely, because the person was âunder some form of . . . drug-induced psychotic break.âId.,
PageID 13622. And a âcompetent prosecutorâ would have developed this theory if the defense chose to use Adams at the guilt phase.Id.,
PageID 13654.
No. 17-5065 Fields v. Jordan Page 28
In his post-conviction motion, Fields nevertheless argued that his attorneys should have
presented Dr. Adams at that phase for the same reasons they should have presented Berry.
Testimony that Fields may have been in a PCP-induced hallucinogenic state could have
weakened the prosecutionâs argument that Fields unscrewed Hortonâs window or shown that
Fields lacked the mental capacity required for a murder conviction. See Fields, 2014 WL
7688714, at *11.
The Kentucky Supreme Court also rejected this ineffective-assistance claim. Id.The court reiterated that Fieldsâs main defense was that âhe was innocent,â so Fields objected to counsel presenting any evidence that âmade him appear guilty, including an intoxication defense.âId.
And the court held that counsel reasonably decided not to call Adams because his testimony could have undercut this innocence defense.Id. 2
. We can make short work of Fieldsâs claim that the Kentucky Supreme Courtâs logic unreasonably applied Strickland. Strickland described a lawyerâs âstrategic choicesâ as âvirtually unchallengeableâ if the lawyer made them after a âthorough investigation of law and facts relevant to plausible options[.]â466 U.S. at 690
. A âfairminded juristâ could decide that this principle controls here. Kayer,141 S. Ct. at 523
. Fieldsâs counsel ensured Dr. Adamsâs availability for âbothâ stages of trial, so the lawyers could have called him at the guilt phase if they âneededâ him. Baker Tr., R.89-3, PageID 13591. But counsel decided that Adamsâs testimony would have made the jury âmore likelyâ to âbelieve that [Fields] committed the offenseâ given its double-edged nature.Id.,
PageID 13655; see Carter v. Mitchell,443 F.3d 517, 532
(6th Cir. 2006). And as this type of informed âstrategic choice[]â is âvirtually unchallengeableâ even on de novo review, Strickland,466 U.S. at 690
, it is certainly
unchallengeable in proceedings subject to AEDPA.
Fields responds that his lawyers did not engage in a âthoroughâ enough âinvestigationâ to
trigger Stricklandâs deferential rule for âstrategicâ decisions. Id.One of the attorneys noted, for example, that they ânever seriously discussed interjecting the PCP into the guilt phase[.]â Baker Tr., R.89-3, PageID 13592. Yet this attorney spoke with Dr. Adams before trial. The attorney also learned the information that Adams might conveyâboth the good (that Fieldsâs PCP use may have made it less likely that he could unscrew Hortonâs window) and the bad (that Fieldsâs No. 17-5065 Fields v. Jordan Page 29 PCP use made it more likely that Fields committed the gruesome murder). Given how damaging Adamsâs testimony might have been, the Kentucky Supreme Court could reasonably hold that counsel objectively did enough to make further âinvestigation[]â into this issue âunnecessary.â Richter,562 U.S. at 106
(quoting Strickland,466 U.S. at 691
).
D. Penalty-Phase Mitigation Evidence
1. Fields switches to the penalty phase, arguing that his counsel wrongly failed to
introduce enough evidence in mitigation to avoid the death penalty. One of his attorneys
developed a large amount of mitigating evidence before trial. This lawyer thoroughly
investigated Fieldsâs childhood. He spoke with Fieldsâs mother, brothers, and neighbors and
tracked down Fieldsâs records from a child-welfare agency. Counsel uncovered that Fields had
suffered a âfairly significantâ amount of abuse from his father. Baker Tr., R.89-3, PageID
13581. His father, for example, threw him through a wall. Fieldsâs brothers likewise had abused
him by, among other things, locking him in a refrigerator and hanging him by a noose. His
mother also had a substance-abuse problem and abandoned Fields at times in his youth. And
Fields had developed his own substance-abuse problem by the age of 12.
Apart from the investigation into Fieldsâs background, counsel retained two experts: Drs.
Peter Schilling and Adams. Schilling, a psychologist, would have discussed how Fieldsâs
âtraumaticâ childhood could explain the murder of Horton. Id., PageID 13578â79. As noted,
Adams would have discussed the effects of Fieldsâs PCP use.
At trial, however, Fieldsâs counsel chose to present only a fraction of this evidence.
Fields insisted that his lawyers offer â[a]bsolutely nothingâ in terms of mitigation because he
believed it would make him âlook guilty.â Id.,PageID 13611â12. And although the trial court had ruled that counselânot Fieldsâhad the decision-making authority over whether to introduce mitigating evidence, counsel sought to respect their clientâs wishes as much as they could. In addition, the jury had deliberated for eight hours before finding Fields guilty. So counsel believed that Fields could put on a âlingering doubtâ defense.Id.,
PageID 13595, 13616. But much of the mitigating evidence sought to explain why Fields committed the murder and would have cut against this defense. As a âhybrid solution,â then, counsel decided to have only No. 17-5065 Fields v. Jordan Page 30 Fieldsâs mother and brother testify about his abusive childhood to humanize him before the jury without implying his guilt.Id.,
PageID 13617.
In his post-conviction motion, Fields argued that the lawyer in charge of his penalty
phase had provided ineffective assistance by failing to present all of the mitigating evidence that
he had gathered, including the testimony of Drs. Schilling and Adams and additional lay
witnesses. See Fields, 2014 WL 7688714, at *13â15. The Kentucky Supreme Court rejected this third ineffective-assistance claim. Seeid.
To do so, the court found it necessary to âexplain the situation [Fieldsâs counsel] was placed in.âId. at *13
. The attorney had developed a significant case in mitigation, but Fields adamantly opposed this evidence.Id.
âIn an attempt to compromise,â the attorney thus chose to limit the mitigating evidence âto that which was reasonably necessary.âId.
The court found counselâs compromise âreasonable under the circumstances.âId. at *14
.
2. The Kentucky Supreme Court did not unreasonably apply Strickland or its progeny by
holding that counsel reasonably presented minimal mitigating evidence. Most notably, the U.S.
Supreme Court has repeatedly faulted trial lawyers who failed to adequately investigate for the
penalty phase and thereby overlooked substantial mitigating evidence. See, e.g., Andrus v.
Texas, 140 S. Ct. 1875, 1881â83 (2020) (per curiam); Porter v. McCollum,558 U.S. 30
, 39â40 (2009) (per curiam); Wiggins, 539 U.S. at 521â34; Williams v. Taylor,529 U.S. 362
, 395â96 (2000); see also Goodwin v. Johnson,632 F.3d 301
, 323â26 (6th Cir. 2011). But this caselaw
has no application here. As the state trial court noted, Fieldsâs penalty-phase lawyer âprepared to
present an extensive mitigationâ case. Op., R.33-2, PageID 9499. Indeed, this attorney
developed the very evidence on which Fields now relies to argue his ineffectiveness.
Rather than implicate counselâs investigation, Fieldsâs claim implicates counselâs choice
not to introduce the known mitigating evidence. And a âfairminded juristâ could hold that
counsel decided not to introduce this evidence for a âstrategicâ reason that courts must treat as
âvirtually unchallengeableâ under Strickland. Kayer, 141 S. Ct. at 524; Strickland,466 U.S. at 690
. As an initial matter, Fields identifies no Supreme Court precedent holding that counsel performs deficiently by considering a clientâs informed wishes not to present a case in mitigation. If his counsel had put on a robust mitigation case conceding that Fields murdered No. 17-5065 Fields v. Jordan Page 31 Horton, Fields may well have argued that this lawyer violated his right to make this major decision. See McCoy v. Louisiana,138 S. Ct. 1500
, 1507â09 (2018). But as far as we can tell, the Supreme Court has yet to decide whether an attorney or a client decides whether to present a case in mitigation. Cf. Schriro v. Landrigan,550 U.S. 465
, 469â70, 476â77 (2007). But many lower courts have held that a defendant can voluntarily âwaive the presentation of mitigating evidence.â Soto v. Commonwealth,139 S.W.3d 827, 855
(Ky. 2004) (citing cases). So the Kentucky Supreme Court could reasonably conclude that counselâs efforts to broker a âcompromiseââin which counsel would present evidence from Fieldsâs mother and brother about his traumatic background without implying his guiltâwas a valid strategy. Fields,2014 WL 7688714
, at *13.
Next, Fields identifies no Supreme Court precedent holding that counsel acts
unreasonably by omitting known mitigating evidence that could have conflicted with the
decision to pursue a âlingering doubtâ defense at the penalty phase. Id. at *14; cf. Lockhart v. McCree,476 U.S. 162, 181
(1986). To the contrary, circuit decisions have credited this residual- doubt theory. See, e.g., Franks v. GDCP Warden,975 F.3d 1165, 1177
(11th Cir. 2020); Cox v. Ayers,613 F.3d 883, 898
(9th Cir. 2010). And much of the testimony from Drs. Schilling and Adams would have sought to âjustify[] the crimeâ rather than support the theory that Fields did not do it. Fields,2014 WL 7688714
, at *14. As counsel explained, this testimony could have
harmed a residual-doubt defense. The jurors might have looked unfavorably on the contradictory
penalty-phase claim that âIâm innocent, but oh, now, let me tell you why I did it.â Baker Tr.,
R.89-3, PageID 13595.
In response, Fields cites counselâs testimony that âresidual doubtâ was not his âmitigation
theory.â Appellantâs Br. 102. Fields takes counselâs testimony out of context. Yes, residual
doubt was not the original theory. That is why counsel developed substantial mitigating
evidence. But counsel changed to this residual-doubt theory based on a combination of Fieldsâs
insistence not to present mitigating evidence and the juryâs lengthy deliberations at the guilt
phase.
Fields next argues that the testimony from the two experts did not necessarily conflict
with a residual-doubt defense. As we have noted, Adamsâs testimony about Fieldsâs PCP use
No. 17-5065 Fields v. Jordan Page 32
might have made it less likely that Fields could unscrew Hortonâs window. And Dr. Schillingâs
testimony about Fieldsâs childhood might have had only a âsympathetic effectâ on the jury.
Baker Tr., R.89-3, PageID 13583. But the jury also could have viewed the testimony from both
experts as explaining why Fields violently murdered Horton. As counsel noted with respect to
Dr. Schilling: âHaving been through a traumatic background, much like post-traumatic stress,
that would be an explanation of why this event happened on this day[.]â Id.,PageID 13584. And a state court could reasonably hold that the decision not to present this âdouble-edgedâ evidence was a âvirtually unchallengeableâ strategic choice.Id.,
PageID 13620; Strickland,466 U.S. at 690
.
Fields also argues that the state trial court had decided that counsel (not Fields) had the
ultimate call on what mitigating evidence to present. And once counsel chose to introduce some
mitigating evidence, Fields says, counsel had a duty to present the âbest possible mitigation
caseâ with the expert testimony. Appellantâs Br. 105. Yet Fields cites no Supreme Court
precedent that would have required counsel to adopt this âin for a penny, in for a poundâ
approach to mitigating evidence. See Neder v. United States, 527 U.S. 1, 17 n.2 (1999). It is not at all clear that the state trial court correctly decided who controls this defense. And a fairminded jurist could have found counselâs âcompromiseâ solution eminently reasonable given the âsituationâ in which counsel found himself. Fields,2014 WL 7688714
, at *13. So we have
no basis to overturn the Kentucky Supreme Courtâs rejection of this claim under AEDPA.
IV. Parole-Statistics Claim
Fields lastly alleges that the state trial court violated his constitutional rights at the
penalty phase by prohibiting him from introducing statistics showing the low likelihood that he
would ever get paroled if sentenced to life imprisonment. Yet again, however, the Kentucky
Supreme Court rejected this claim. And yet again, Fields cannot satisfy AEDPAâs demanding
standards.
At the time of Fieldsâs trial, Kentucky law allowed his jury to choose from four possible
punishments: 20 years in prison; a life sentence with no statutory limits on his parole eligibility;
a life sentence without the possibility of parole for 25 years; and a death sentence. Before trial,
No. 17-5065 Fields v. Jordan Page 33
Fields moved the state trial court to allow him to present statistics at the penalty phase that would
have shown how often Kentuckyâs parole board had released other convicted murderers
sentenced to life imprisonment. In the experience of Fieldsâs counsel, jurors often wrongly
believe that a defendant will quickly get paroled if they impose a life sentence. But Kentuckyâs
parole board has historically granted parole to less than 25% of murderers sentenced to life.
Although the trial court agreed that jurors âare often confused about this parole issue,â it felt
bound by existing state law to deny the motion. Tr., R.29-10, PageID 3633â35. The Kentucky
Supreme Court affirmed. Fields, 274 S.W.3d at 419. It reasoned that Fieldsâs statistics had âlittle relevancyâ to his case.Id.
According to Fields, the Kentucky Supreme Courtâs decision unreasonably applied two
separate lines of Supreme Court cases. But neither line clearly applies here.
Start with the first line of cases on which Fields relies. The Supreme Court has often
considered cases in which the prosecution requests a death sentence based on a defendantâs
future dangerousness. See Simmons v. South Carolina, 512 U.S. 154, 157(1994) (plurality opinion). To minimize a juryâs future-dangerousness concerns, defense attorneys have often sought to respond that state law would bar the defendant from ever getting paroled if given a life sentence. Seeid.
at 158â59. At one time, a few States barred the jury from learning of this accurate information about state parole law. Seeid. at 167
. Beginning in Simmons, the Court has repeatedly held that due process requires a court to instruct a jury that state law makes the defendant parole ineligible once prosecutors put the defendantâs future dangerousness at issue. Seeid.
at 161â66;id.
at 176â78 (OâConnor, J., concurring in the judgment); see also Kelly v. South Carolina,534 U.S. 246
, 251â58 (2002); Shafer v. South Carolina,532 U.S. 36
, 48â51
(2001).
Here, however, the Kentucky Supreme Court did not unreasonably apply Simmons and its
progeny for a simple reason: Kentucky law did not make Fields ineligible for parole. If the jury
had imposed a life sentence, Fields would have become eligible in 25 years at the latest. So the
argument that Simmons accepted (that defendants have a right to tell the jury that they are legally
ineligible for parole) differs from Fieldsâs argument (that he had a right to tell the jury that he
was practically unlikely to receive parole). And AEDPA bars any theory that the Kentucky
No. 17-5065 Fields v. Jordan Page 34
Supreme Court wrongly refused to âextendâ Simmonsâs formalistic rule to cover Fieldsâs
pragmatic argument. Woodall, 572 U.S. at 425â26; see Atkins v. Crowell, 945 F.3d 476, 479
(6th Cir. 2019).
Indeed, the Supreme Court has already made this point. In the AEDPA context, it
refused to read Simmons as adopting a âfunctional approachâ that would require state courts to
predict âwhether it looks like the defendant will turn out to be parole ineligible.â Ramdass v.
Angelone, 530 U.S. 156, 169(2000) (plurality opinion); seeid.
at 180â81 (OâConnor, J., concurring in the judgment). The plurality instead read Simmons to create a clear âruleâ requiring courts to notify a jury of a defendantâs parole ineligibility âonly when, assuming the jury fixes the sentence at life, the defendant is ineligible for parole under state law.âId. at 166
(plurality opinion). The alternative approach would impractically force courts to consider anything that might affect a prisonerâs release, including the prisonerâs âage or health[.]âId. at 169
. After Ramdass, then, many courts have refused to accept âfunctionalâ claims that defendants have the right to convince juries that they are âeffectivelyâ ineligible for parole. Campbell v. Polk,447 F.3d 270
, 287â89 (4th Cir. 2006); see Bates v. Secây, Fla. Depât of Corrs.,768 F.3d 1278
, 1300â06 (11th Cir. 2014); People v. Bannister,902 N.E.2d 571
, 587â89 (Ill. 2008). Ramdass and these other decisions confirm that âfairminded juristsâ could reject Fieldsâs argument that Simmons applied to his case even though he could have been paroled if given a life sentence. Kayer,141 S. Ct. at 524
.
Turn to the second line of cases on which Fields relies. The Supreme Court has held that
the Eighth Amendment allows capital defendants to introduce âall relevant mitigating evidenceâ
at the penalty phase of their trials. Eddings v. Oklahoma, 455 U.S. 104, 117(1982); Lockett v. Ohio,438 U.S. 586, 608
(1978) (plurality opinion). Eddings thus found that a state court wrongly refused to consider the defendantâs âdifficult family historyâ and âemotional disturbanceâ when deciding whether to sentence him to death.455 U.S. at 115
. And a plurality in Lockett found a state statute unconstitutional because it did not permit sentencers to consider evidence about the âdefendantâs character or recordâ or the âcircumstances of the offenseâ when deciding whether to impose the death penalty.438 U.S. at 604
(plurality opinion).
No. 17-5065 Fields v. Jordan Page 35
But the Kentucky Supreme Court did not unreasonably apply this rule requiring courts to
admit all ârelevant mitigating evidenceâ at the penalty phase. Eddings, 455 U.S. at 117. Fields ignores a critical word in this command: ârelevant.â The Supreme Courtâs holding that a defendantâs âfamily historyâ and the âcircumstancesâ of the defendantâs âoffenseâ are relevant mitigating factors says nothing about whether a parole boardâs decision to deny parole to other defendants is also relevant. Eddings,455 U.S. at 115
; Lockett,438 U.S. at 604
(plurality opinion). And the Kentucky Supreme Court could reasonably conclude the contrary. A parole decision in any given case is âinherently individualized,â so general statistics about the âaverageâ resolution say little about a âparticularâ defendantâs chances. Young v. Commonwealth,129 S.W.3d 343, 345
(Ky. 2004). In addition, the legal rule from Eddings and Lockett stems from the need for an âindividualized decisionâ that accounts for the âuniquenessâ of the defendant. Lockett,438 U.S. at 605
(plurality opinion); Eddings,455 U.S. at 110
. But Fieldsâs general statistics could have turned his penalty phase into a trial about different murders. The statistics also could have led the jury to engage in speculative comparisons between Fields and other defendants and thus âdistractedâ it from the main issue of whether Fieldsâs unique crime and background warranted the ultimate punishment. Ramdass,530 U.S. at 169
(plurality opinion); see Bates,768 F.3d at 1306
. At the least, âfairminded juristsâ could reach these conclusions. Kayer,141 S. Ct. at 524
.
* * *
Fields brutally murdered Bess Horton 30 years ago. A jury convicted him of this murder
a second time 20 years ago. The Kentucky courts have given him substantial process in the
ensuing decades. Their conscientious consideration of Fieldsâs many claims does not remotely
reveal the type of âextreme malfunction[]â in Kentuckyâs criminal-justice system that could
permit us to grant relief under AEDPA. Donald, 575 U.S. at 316 (citation omitted).
We affirm.
No. 17-5065 Fields v. Jordan Page 36
_________________
DISSENT
_________________
KAREN NELSON MOORE, Circuit Judge, dissenting. A jury condemned Samuel
Fields to death for killing Bess Horton in a small eastern Kentucky town during the summer of
1993. Although police discovered Fields covered in blood in the home where Horton was killed,
the blood on Fields was his own, the product of an injury sustained earlier in the night, and none
of it was found on Horton, even though Fields had trailed it on the sidewalk, back steps, and
porch handle leading to Hortonâs house. Hortonâs blood was not found on Fields either, yet
Hortonâs medical examiner testified that because Horton died of stab wounds to her carotid
artery and jugular vein, the person who killed her should have had her blood on them. Fields did
confess to the crime when police confronted him at the scene, but he did so while apparently
undergoing hallucinations caused by PCP. The same night, he also confessed to killing his
brotherâa verifiably false claim because his brother was alive and well. Ever since, Fields has
strenuously maintained his innocence, doing so with such adamance that he even forbade his
legal team from pursuing an intoxication defense at trial, a strategy that could have mitigated his
culpability of first-degree murder or helped him avoid the death penalty for a crime he was
accused of committing while suffering a drug-induced psychotic break at the age of twenty-one.
Meanwhile, two witnesses testified that Fieldsâs girlfriend at the time also confessed to killing
Horton, and the evidence adduced at trial showed that she had both motive and opportunity to
commit the crime.
The questions raised by these gaps in the evidence against Fields weighed so heavily on
the jurorsâ minds that they decided to conduct an experiment in the jury room to test the
prosecutionâs theory of the case. The crux of Fieldsâs trial revolved around the prosecutionâs
theory that Fields broke into Hortonâs home in the middle of the night using a butter knife with a
twisted tipâknown as the âtwisty knifeââto unscrew seventeen paint-covered screws from a
storm window in the span of less than seventeen minutes while he was severely intoxicated.
Using the twisty knife, the jurors unscrewed the door from a cabinet in the jury room. After
No. 17-5065 Fields v. Jordan Page 37
confirming through this experiment that the prosecutionâs theory was plausible, the jury found
Fields guilty of murder and sentenced him to death.
The majority decides that such experiments, involving the consideration of extrinsic
evidence, are constitutionally permissible. Because it is clearly established that jurors cannot
rely on extrinsic evidence in reaching their verdict, I cannot agree. The result of the majorityâs
opinion is that juries may decide to convict defendants and sentence them to death based on
evidence that is not in the record, is untested by the adversarial process, and is unable to be
impeached or rebutted by the defense. Such a result is constitutionally intolerable. Because
Fields suffered prejudice from this grave error, I would reverse the district courtâs denial of
habeas relief as to Fieldsâs jury-experiment claim and remand to the district court with
instructions to conditionally grant Fieldsâs petition for writ of habeas corpus as to that claim.
I therefore respectfully dissent.
I. JURY-EXPERIMENT CLAIM
A. Standard of Review
Under the Antiterrorism and Effective Death Penalty Act of 1996 (âAEDPAâ), a federal
court may grant a writ of habeas corpus âwith respect to any claim that was adjudicated on the
merits in State court proceedingsâ if the state-court decision âwas contrary to, or involved an
unreasonable application of, clearly established Federal law, as determined by the Supreme
Court of the United Statesâ or âwas based on an unreasonable determination of the facts in light
of the evidence presented in the State court proceeding.â 28 U.S.C. § 2254(d). A state-court decision is contrary to clearly established federal law if âthe state court applies a rule that contradicts the governing law set forth in [the Supreme Courtâs] casesâ or âif the state court confronts a set of facts that are materially indistinguishable from a decision of [the Supreme Court] and nevertheless arrives at a result different from [Supreme Court] precedent.â Williams v. Taylor,529 U.S. 362
, 405â06 (2000). A state-court decision unreasonably applies clearly established federal law if it âcorrectly identifies the governing legal rule but applies it unreasonably to the facts of a particular prisonerâs case.âId.
at 407â08. ââ[C]learly established Federal lawâ . . . refers to the holdings, as opposed to the dicta, of [Supreme Court] decisions as No. 17-5065 Fields v. Jordan Page 38 of the time of the relevant state-court decision.âId.
at 412 (quoting28 U.S.C. § 2254
(d)). The Supreme Court has cautioned that âAEDPA does not ârequire state and federal courts to wait for some nearly identical factual pattern before a legal rule must be applied.ââ Panetti v. Quarterman,551 U.S. 930, 953
(2007) (quoting Carey v. Musladin,549 U.S. 70, 81
(2006) (Kennedy, J., concurring in the judgment)). Thus, the fact â[t]hat the standard is stated in general terms does not mean the application was reasonable.âId.
B. Violation of Fieldsâs Due Process, Confrontation, and Fair Trial Rights
1. AEDPA Deference
Fields argues that the Kentucky Supreme Court unreasonably applied clearly established
federal law in its review of his challenge to the juryâs use of extrinsic evidence in the experiment
conducted by jurors during deliberations. It is clearly established that jurors may not consider
extrinsic evidence in reaching their verdict. See Turner v. Louisiana, 379 U.S. 466, 472â73 (1965) (âIn the constitutional sense, trial by jury in a criminal case necessarily implies at the very least that the âevidence developedâ against a defendant shall come from the witness stand in a public courtroom where there is full judicial protection of the defendantâs right of confrontation, of cross-examination, and of counsel.â); Parker v. Gladden,385 U.S. 363
, 364â65 (1966) (per curiam). The Supreme Court has long held that a defendantâs Sixth and Fourteenth Amendment rights are violated when jurors consider extrinsic evidence, because the juryâs âverdict must be based upon the evidence developed at the trial.â Irvin v. Dowd,366 U.S. 717, 722
(1961); see also Turner, 379 U.S. at 472â73; Parker, 385 U.S. at 364â65. As the Court has explained, â[t]he theory of our system is that the conclusions to be reached in a case will be induced only by evidence and argument in open court, and not by any outside influence.â Patterson v. Colorado,205 U.S. 454, 462
(1907).
We have long recognized that it is clearly established Supreme Court law that a
defendantâs federal constitutional rights are violated by jurorsâ consideration of extrinsic
evidence. Doan v. Brigano, 237 F.3d 722, 733â34 n.7 (6th Cir. 2001). In Doan, a juror âconducted an experiment in her own home during the trial to see if [the defendant] was telling the truthâ about being unable to see bruises on his girlfriendâs daughterâs body on the night of No. 17-5065 Fields v. Jordan Page 39 her death.Id.
at 726â27. The juror âput lipstick on her arm to simulate a bruise, and attempted to view the âbruiseâ in a room lit similarly to the rooms that [the child] was in that evening.âId. at 727
. The juror then informed the rest of the jury that the bruise was visible in her experiment, thus contradicting the defendantâs testimony.Id.
Concluding that the experiment violated the rule of Parker and Turner, this court held that such âan out-of-court experiment, however, conflicts with [the defendantâs] constitutional right to a fair and impartial jury that considers only the evidence presented at trial.âId. at 733
. Thus, âas a matter of law, clearly established Supreme Court precedent requires that a criminal defendant be afforded the right to confront the evidence and the witnesses against him, and the right to a jury that considers only the evidence presented at trial.âId.
at 733â34 n.7.
As the Doan court explained, this rule is among the most âundeviatingâ and
âfundamental requirements of a constitutionally fair trial.â Id.at 731 (quoting Parker, 385 U.S. at 364â65). The Sixth Amendment right to âtrial by jury in a criminal case necessarily implies at the very least that the evidence developed against a defendant shall come from the witness stand in a public courtroom where there is full judicial protection of the defendantâs right of confrontation, of cross-examination, and of counsel.âId.
(quoting Turner, 379 U.S. at 472â73). These safeguards are essential because, in the words of Judge Friendly, to âthe greatest extent possible all factual material must pass through the judicial sieve, where the fundamental guarantees of procedural law protect the rights of those accused of crime.âId. at 734
(brackets omitted) (quoting United States ex rel. Owen v. McMann,435 F.2d 813, 818
(2d Cir. 1970)).
âSeveral circuitsâ have agreed, recognizing âthat a juryâs consideration of extraneous material
violates a defendantâs constitutional rights.â Id. at 735.
This court has repeatedly reaffirmed the central holdings of Doan. See Fletcher v.
McKee, 355 F. Appâx 935, 937(6th Cir. 2009); Mammone v. Jenkins,49 F.4th 1026
, 1045â46 (6th Cir. 2022). Citing Doan, Fletcher held that âunder clearly established federal law, jury exposure to extrinsic evidence or other extraneous influence violates a defendantâs Sixth Amendment rights, and a state court decision that conflicts with this rule may justify habeas relief under the standard set forth in the AEDPA.â355 F. Appâx at 937
(citation omitted). And recently, this court reiterated that â[a] juryâs verdict must be based on the evidence introduced at No. 17-5065 Fields v. Jordan Page 40 trial, not extraneous information.â Mammone, 49 F.4th at 1045â46 (citing Morgan v. Illinois,504 U.S. 719, 727
(1992); Smith v. Phillips,455 U.S. 209, 217
(1982); Thompson v. Parker,867 F.3d 641, 647
(6th Cir. 2017)). Mammone also approvingly cited Doan for the proposition that
âa jurorâs injection of extraneous evidence conflict[s] with Supreme Court precedent recognizing
a defendantâs constitutional right to confront the witnesses and evidence against him.â Id. at
1045. I would therefore continue to adhere to our long line of precedent holding that such
consideration of extrinsic evidence by jurors violates a defendantâs federal constitutional rights.
The warden criticizes Fields for relying on Doan and Fletcher, arguing that under
28 U.S.C. § 2254(d), only Supreme Court precedent constitutes clearly established federal law. Appellee Suppl. Br. at 11; Appellee Br. at 39. Although it is true that prior decisions by federal courts of appeals do not constitute clearly established federal law within the meaning of AEDPA, it is perfectly permissible under AEDPA to rely on âprior Sixth Circuit determinations that a rule has been clearly established [by the Supreme Court].â Tolliver v. Sheets,594 F.3d 900
, 916 n.6 (6th Cir. 2010). The Supreme Court has long confirmed that this practice comports with the requirements of AEDPA. See Marshall v. Rodgers,569 U.S. 58, 64
(2013) (per curiam). That is because âan appellate panel may, in accordance with its usual law-of-the-circuit procedures, look to circuit precedent to ascertain whether it has already held that the particular point in issue is clearly established by Supreme Court precedent.âId.
Unlike the warden, the majority recognizes Doanâs binding force, but it âreject[s] Doanâs
holdingâ for speaking at too high a ââlevel of generality.ââ Maj. Op. at 20 (quoting Brown v.
Davenport, 596 U.S. 118, 136(2022)). Although it agrees âthat a juryâs verdict must rest on âthe evidence developed at the trial,ââ it identifies a âwide divergenceâ in lower courtsâ application of this general rule against extrinsic evidence to the specific context of jury experiments.Id.
at 17 (quoting Turner,379 U.S. at 472
). It therefore concludes that the Supreme Court cannot have clearly established a rule prohibiting juries from experimenting with extrinsic evidence.Id.
at
17â18.
The Supreme Court has explained, however, that it may articulate clearly established law
in the form of âa general standard.â Marshall, 569 U.S. at 62(quoting Yarborough v. Alvarado,541 U.S. 652, 664
(2004)). Just as lower courts may not âtransformâ a ânarrow holding[]â into No. 17-5065 Fields v. Jordan Page 41 âa broadâ one, Maj. Op. at 16 (emphasis omitted) (quoting Jackson,569 U.S. at 512
), neither may they whittle general principles into overly specific rules, see Marshall,569 U.S. at 62
. Construing the right to a verdict based only upon the evidence developed at trial as a general one does not license lower courts to narrow it. Indeed, the Supreme Court has been âundeviatingâ in enforcing the right, Parker,385 U.S. at 364
(quoting Sheppard v. Maxwell,384 U.S. 333, 351
(1966)), and so must we, under our duty to apply âclearly established Federal law, as determined by the Supreme Court.â See28 U.S.C. § 2254
(d)(1). Accordingly, I would adhere to our prior
holding in Doan that the Supreme Court has clearly established a right to be convicted only upon
the evidence introduced at trialâa right that a conviction based upon jury experimentation with
extrinsic evidence violates.
The warden next suggests that because the Kentucky Supreme Court relied on this courtâs
decisions in Fletcher and United States v. Avery, 717 F.2d 1020(6th Cir. 1983), its conclusion cannot be an unreasonable application of clearly established federal law. Appellee Suppl. Br. at 13â15. But there is a critical distinction between the facts of those cases and what occurred during jury deliberations at Fieldsâs trial: the jurors in Fletcher and Avery were not exposed to extraneous evidence, while the jurors that convicted Fields and sentenced him to death were exposed to such evidence. In Avery, the defendant did ânot allege that the jurors were exposed to any extraneous materials during their deliberations,â but instead simply contended that it was prosecutorial misconduct for the prosecutor to suggest in closing argument that jurors attempt an experiment.717 F.2d at 1026
. And in Fletcher, the jury-room reenactment did ânot result in the creation of extrinsic evidence.â355 F. Appâx at 939
. The decisions in Avery and Fletcher are
therefore inapposite here, where the jury conducted an experiment using evidence that was not
admitted and thus was not subject to the procedural safeguards of trial.
Indeed, the Kentucky Supreme Courtâs decision is unreasonable precisely because it
ignored the dispositive issue: that jurors had relied on extrinsic evidence in deliberations. Citing
Fletcher, the state court held âthat jurors are free to use their own senses, observations, and
experiences to conduct an experiment or reenactment with already admitted evidence.â Fields v.
Commonwealth (âFields IIâ), 2013-SC-000231-TG, 2014 WL 7688714, at *4 (Ky. Dec. 18, 2014). The Kentucky Supreme Court thus concluded that â[t]his is exactly what the jury did in No. 17-5065 Fields v. Jordan Page 42 conducting its experiment.âId.
That conclusion constitutes an unreasonable application of
clearly established Supreme Court law because there is a clear difference between merely
examining evidence that is already in the record and using unadmitted objects in the jury room as
part of an experiment to prove the commonwealthâs theory of the case.
The jurors in Fieldsâs case did not simply âconduct an experiment . . . with already
admitted evidence.â Id. The cabinet on which the jurors conducted the experiment was not
admitted into evidence. The screws on the cabinet were unpainted, universal screws, whereas
the screws on the storm window were painted Phillips head screws. If Fields had removed the
screws from the storm window, he did it in the dark, at night, with a blood alcohol content
greater than .14, after an evening of smoking marijuana and, the evidence suggests, ingesting
PCP. Presumably none of those conditions were present during the juryâs experiment. And
there is no evidence to suggestâamong other considerationsâwhether the cabinet door was
hanging at a similar height to the storm window, whether screws in a cabinet door are installed
with the same tension as the screws in a storm window, or whether the screws were fastened to
the cabinet door in a different manner than the screws in the storm window.
â[S]tate courts must reasonably apply the rules âsquarely establishedâ by th[e] [Supreme]
Courtâs holdings to the facts of each case.â White v. Woodall, 572 U.S. 415, 427(2014) (quoting Knowles v. Mirzayance,556 U.S. 111, 122
(2009)). The Kentucky Supreme Court failed to do
so. Instead, I conclude that it unreasonably applied clearly established federal law by failing to
address the fact that the jury was unconstitutionally exposed to extraneous evidence that Fields
had no opportunity to refute.
2. Merits
Once a petitionerâs claim overcomes the relitigation bar imposed by 28 U.S.C. § 2254(d), federal courts apply de novo review, because no deference is owed to a state-court decision premised upon an unreasonable application of clearly established federal law. See Rice v. White,660 F.3d 242, 252
(6th Cir. 2011). Reviewing Fieldsâs claim de novo, it is plain that Fieldsâs
confrontation, due-process, and fair-trial rights were violated by the juryâs improper
consideration of extrinsic evidence during the jury-room experiment.
No. 17-5065 Fields v. Jordan Page 43
It is undisputed that the jury considered extrinsic evidence during the experiment. See
Appellee Br. at 12, 21; Appellee Suppl. Br. at 7. The parties agree that the jurors conducted the
experiment on the jury-room cabinet, which had not been admitted into evidence. It is also
undisputed that Fields did not have the opportunity to confront that evidence. And as explained
above, there were several material differences between the extrinsic evidence used in the jury
experiment and the facts alleged by the prosecution in its theory of the offense.
The warden suggests that the rule of Parker and Turner is too generalized to apply to the
facts of this case. Appellee Suppl. Br. at 6. But the Supreme Court has held that AEDPA
âpermits a federal court to grant habeas relief based on the application of a governing legal
principle to a set of facts different from those of the case in which the principle was announced.â
Lockyer v. Andrade, 538 U.S. 63, 76 (2003). This is a straightforward application of a general
principle to the facts of the case. The Supreme Court has clearly established that jurors may not
consider extrinsic evidence in reaching their verdict. See Turner, 379 U.S. at 472â73; Parker,
385 U.S. at 364â65. The jurors in Fieldsâs case considered extrinsic evidence when they
conducted the experiment in the jury room. Doing so violated Fieldsâs rights under the Sixth and
Fourteenth Amendments.
C. Prejudice
Fields is entitled to relief on his claim only if he can demonstrate prejudice, which in turn
requires that he meet two separate tests. First, as the Supreme Court recently explained in
Davenport, if the state court has adjudicated the harmless error question on the merits, AEDPA
deference applies and the petitioner âmust satisfy § 2254(d)(1) to secure federal habeas relief.â
596 U.S. at 127. Because the Kentucky Supreme Court addressed this issue on the merits, Fields
must demonstrate that âthat court applied Chapman [v. California, 386 U.S. 18(1967),] âin an âobjectively unreasonableâ manner.ââ Davis v. Ayala,576 U.S. 257, 269
(2015) (quoting Mitchell v. Esparza,540 U.S. 12, 18
(2003) (per curiam)). Second, Fields must satisfy the requirements of Brecht v. Abrahamson by showing that the error had a âsubstantial and injurious effect or influence in determining the juryâs verdict.â507 U.S. 619, 637
(1993) (quoting Kotteakos v. United States,328 U.S. 750, 776
(1946)). Under Brecht, a petitioner must establish that the error âresulted in âactual prejudice.ââId.
No. 17-5065 Fields v. Jordan Page 44
1. AEDPA Deference
The Kentucky Supreme Courtâs harmless-error determination was contrary to clearly
established federal law because it âapplie[d] a rule that contradicts the governing law set forth in
[the Supreme Courtâs] cases.â Williams, 529 U.S. at 405. Instead of applying the correct
standard under Chapman, the Kentucky Supreme Court reversed the standard, and imposed a test
that was substantially more burdensome to Fields.
Under Chapman, the burden falls on âthe beneficiary of a constitutional error to prove
beyond a reasonable doubt that the error complained of did not contribute to the verdict
obtained.â 386 U.S. at 24; see also Brecht,507 U.S. at 630
(confirming that under Chapman, â[t]he State bears the burden of proving that an error passes musterâ). In other words, because the commonwealth benefitted from the violation of Fieldsâs federal constitutional rights, the Kentucky Supreme Court ought to have placed the burden on the commonwealth to prove beyond a reasonable doubt that the jury experiment did not contribute to the verdict. It did not. Instead, the state court placed the burden on Fields, concluding that âwe cannot say beyond a reasonable doubt that the jury experiment contributed to the verdict.â Fields II,2014 WL 7688714
, at *4. The burden should not have been placed on Fields to prove beyond a reasonable
doubt that the error did contribute to the verdict obtained. By applying a test for harmless error
that contradicted Chapman, the Kentucky Supreme Courtâs analysis was contrary to clearly
established federal law.
2. Brecht Analysis
Applying the Brecht standard, I believe that Fields suffered actual prejudice resulting
from the juryâs consideration of extrinsic evidence during the jury-room experiment. At trial, the
commonwealthâs theory of the offense was that Fields unscrewed seventeen paint-covered
screws from the storm window with the twisty knife, broke into Hortonâs home, and then stabbed
Horton to death, all within a very short period of time. Fields II, 2014 WL 7688714, at *2. The defense theory was that âgiven his intoxicated state, Fields would not have been ableâduring the timeframe in questionâto break into the house, sneak up on Ms. Horton, and commit the murder,â and that he instead entered the home to rob it after Horton was already dead. Fields v. No. 17-5065 Fields v. Jordan Page 45 White (âFields IIIâ), No. 15-38-ART,2016 WL 3574396
, at *5 (E.D. Ky. June 23, 2016). The
issue of Fieldsâs ability to unscrew the screws on the storm window was therefore central to the
commonwealthâs case against him at trial.
The importance of this issue is demonstrated by the prosecutionâs repeated focus on the
timeline of events throughout Fieldsâs trial. During opening statements, the commonwealth
emphasized how long Fields would have had to unscrew the storm window:
Iâd like for all of us to just see how long a minute can be. And when the
secondhand gets to the 10, Iâm going to stop talking. Now. And thatâs been
about thirty seconds. Do you think thatâs enough time to take a screw, a little
Phillips head screw, a little short Phillips head screw, out of a piece of wood?
Forty seconds. Fifty seconds. Thatâs a minute. And I donât mean to be
melodramatic here or, you know, playacting or anything, but itâs important for us
to keep how long one minute can be.
R. 30-13 (Trial Tr. at 1845) (Page ID #5888). The commonwealth again raised this theme in
closing arguments:
This is the window through which the Defendant went. And you know we have
heard, and youâre going to hearâyou get to look at these screws, seventeen
screws. Thatâs a lot of screws. To do it with a knife, sure. ThatâYou know,
thatâs one of the things about this case. We donât get to make up the facts, but
these are the facts. It takes a person who really wants to get in to use this knife.
You know, remember my overdramatic, letâs wait a minute and see how long a
minute is, in the opening statement that I gave so manyâso long ago. Well, I
think you nowâyou understand what I was talking about in that. A minute is a
longâcan be a long period of time. And letâs sayâletâs give the Defendant
seventeen minutes from letâs say 2 oâclock. That gives him five minutes to get
from the frontâfrom the street there on Second Street across the parking lot to
Ms. Hortonâs and around the house and up to the front. So, letâs start that clock at
2 oâclock. And letâs give him a minute per screw. That gets him in the house at
2:17.
R. 30-23 (Trial Tr. at 3393) (Page ID #7478). At the heart of the commonwealthâs theory of
events was the idea that, given the short timeframe, âthere wasnât any opportunity for anyone
else to have done this [offense].â R. 30-13 (Trial Tr. at 1844) (Page ID #5887).
The record shows that this issue weighed heavily on jurorsâ minds throughout the trial.
During the trial, a juror asked the judge to pose the following question to a defense witness:
No. 17-5065 Fields v. Jordan Page 46
âHow long does it usually take to install a large storm window?â R. 57-10 (Juror Questions)
(Page ID #11862). A juror later testified at Fieldsâs postconviction hearing that the purpose of
the experiment was to test the commonwealthâs theory and âsee if it was possible to be done.â
R. 89-3 (Postconviction Hrâg Tr. at 14) (Page ID #13515). Another juror testified at the
postconviction hearing âthat [the experiment] wasnât what, you know, said that he was guilty or
not guilty, but it just satisfied my mind that it was possible that you could have done that.â Id. at
21(Page ID #13522). The juror further explained that âI knew a manâs life hanged in the balance, and I wanted to be sure of everything.âId.
The same juror stated in an affidavit that the
âexperiment helped prove that Mr. Fields could have committed the crime.â1 R. 33-1 (Hall Aff.
Âś 4) (Page ID #8928). Thus, the juryâs experiment was plainly intended to resolve the central
issue at trial, and the âresultsâ of the experiment undermined the defenseâs theory and credibility
while bolstering the commonwealthâs timeline of events and explanation for how Fields would
have committed the murder.
The warden argues that the jurorâs testimony âthat [the experiment] wasnât what . . . said
that he was guilty or not guilty,â R. 89-3 (Postconviction Hrâg Tr. at 21) (Page ID #13522),
undermines Fieldsâs prejudice arguments, Appellee Suppl. Br. at 19â20. But a jurorâs subjective
evaluation of the impact that the experiment had on jury deliberations bears minimal weight on
this courtâs prejudice analysis. That is because whenever a due-process error ââinvolves such a
probability that prejudice will result . . . ,â little stock need be placed in jurorsâ claims to the
contrary.â Holbrook v. Flynn, 475 U.S. 560, 570(1986) (quoting Estes v. Texas,381 U.S. 532
, 542â43 (1965)) (internal citation omitted). Thus, â[e]ven though a practice may be inherently prejudicial, jurors will not necessarily be fully conscious of the effect it will have on their attitude toward the accused.âId.
â[T]he question must be not whether jurors actually articulated a consciousness of some prejudicial effect, but rather whether âan unacceptable risk is presented of impermissible factors coming into play.ââId.
(quoting Estelle v. Williams,425 U.S. 501, 505
(1976)). Such an unacceptable risk was presented here, given the highly prejudicial nature of the
experiment.
1
The Kentucky Supreme Court considered both the jurorsâ affidavits and their testimony at the post-
conviction hearing. Fields II, 2014 WL 7688714, at *3.
No. 17-5065 Fields v. Jordan Page 47
The warden further argues that Fields was not prejudiced because âthe evidence of
Fieldsâs guilt was substantial.â Appellee Suppl. Br. at 20. But both the state trial court and the
Kentucky Supreme Court disagree with that assessment. On direct appeal following Fieldsâs
first trial, the Kentucky Supreme Court stated that âthe evidence of [Fieldsâs] guilt of murder was
not overwhelming.â Fields v. Commonwealth (âFields Iâ), 12 S.W.3d 275, 281 (Ky. 2000).
And after the culpability phase of Fieldsâs second trial, the trial court commented that â[i]t would
not have totally surprised me if the result had c[o]me out different.â R. 54-1 (Ex Parte Hrâg Tr.
at 5) (Page ID #11221).
Those courts are correct. Fieldsâs presence in Hortonâs home was the only physical
evidence that connected him to the murder. It is undisputed that Fields was bleeding that nightâ
he had shattered a glass window with his hand and the officers found his blood on the sidewalk,
the back porch steps, and the front porch handle of Hortonâs residence. Fields III, 2016 WL
3574396, at *4. And the medical examiner testified that, because one of Hortonâs wounds
transected her right carotid artery and jugular vein, it was probable that the person who inflicted
Hortonâs wounds would have her blood on them. R. 30-21 (Trial Tr. at 3019) (Page ID #7095).
Despite those facts, subsequent testing revealed that none of Fieldsâs blood was found on Horton
and none of Hortonâs blood was found on Fields. R. 30-16 (Trial Tr. at 2367â69, 2373â76)
(Page ID #6422â24, 6428â31); R. 30-17 (Trial Tr. at 2414â16, 2437â38) (Page ID #6474â76,
6497â98).
There was also no physical evidence supporting the commonwealthâs theory that Fields
used the twisty knife to break into Hortonâs home through the storm window. The
commonwealthâs own expert testified that the paint on the twisty knife did not match the paint on
the painted screws on Hortonâs storm window. R. 30-16 (Trial Tr. at 2332) (Page ID #6387).
And another of the commonwealthâs experts testified that Fieldsâs fingerprints were not found on
the storm window. R. 30-17 (Trial Tr. at 2479â80) (Page ID #6539â40).
The main remaining evidence against Fields is his confessions. The Supreme Court has
cautioned lower courts to be wary of convictions that rely solely on confessions. As the Court
explained, â[w]e have learned the lesson of history, ancient and modern, that a system of
criminal law enforcement which comes to depend on the âconfessionâ will, in the long run, be
No. 17-5065 Fields v. Jordan Page 48
less reliable and more subject to abuses than a system which depends on extrinsic evidence
independently secured through skillful investigation.â Escobedo v. Illinois, 378 U.S. 478, 488â
89 (1964) (footnotes omitted).
There is good reason to be suspicious of the reliability of Fieldsâs confessions. Fields
was extremely intoxicated at the time of his confessions, with a blood alcohol content of at least
.14.2 Fields had smoked marijuana earlier in the day, and there is some evidence that he
consumed PCP, also referred to as âhorse tranquilizers,â which can have hallucinogenic effects.
Fields II, 2014 WL 7688714, at *1. Less than an hour before law enforcement found him in Hortonâs home, Fields falsely confessed to Burton that he had killed his brother and needed to dispose of the alleged murder weapon. Fields III,2016 WL 3574396
, at *2. But Fields had not murdered his brother, and this supposed confession was false.Id.
Likewise, Fieldsâs confession
to the EMT contained provably false statements that are uncorroborated by the physical
evidence. The EMT testified that Fields stated âin no uncertain terms that if [the EMT] had
killed some lady that [the EMT] would have blood on [him] as well.â R. 30-15 (Trial Tr. at
2112) (Page ID #6163). But, again, none of Hortonâs blood was found on Fields. R. 30-16
(Trial Tr. at 2367â69, 2373â76) (Page ID #6422â24, 6428â31); R. 30-17 (Trial Tr. at 2414â16,
2437â38) (Page ID #6474â76, 6497â98). Fieldsâs confessions are therefore suspect given his
heavily impaired mental state. Once sober, Fields has continued to maintain his innocence.
Fieldsâs confessions are particularly dubious given that he was not the only person to
confess to Hortonâs murder. Two witnesses testified that Burton had confessed to killing Horton.
R. 30-22 (Trial Tr. at 3198, 3207) (Page ID #7279, 7288). In the words of one of the witnesses,
Burton âsaid, âI was tired of that Son of a Bitch a telling me who I can have in my apartment and
who I canât.â, said, âI killed her, and she canât tell me nothing.ââ Id. at 3198(Page ID #7279). And Burton had both the opportunity and the motive to murder Horton. Fields III,2016 WL 3574396
, at *5.
2
Because Fieldsâs blood alcohol content likely would have decreased during the time that he was in
custody, his blood alcohol content was likely even higher at the time of his confessions. See Missouri v. McNeely,
569 U.S. 141, 152 (2013).
No. 17-5065 Fields v. Jordan Page 49
Thus, because the jury experiment was highly prejudicial to Fields and concerned the
central issue at trial, and because the other evidence of Fieldsâs guilt was sparse, the juryâs
consideration of extrinsic evidence had a âsubstantial and injurious effect or influence in
determining the juryâs verdict.â Brecht, 507 U.S. at 637(quoting Kotteakos,328 U.S. at 776
).
I conclude that Fields has demonstrated that actual prejudice resulted from the jury experiment,
and I would therefore hold that Fields is entitled to relief on this claim.
II. CONCLUSION
The majorityâs opinion wrongfully approves of Fieldsâs conviction and death sentence,
even though Fieldsâs jury reached its verdict after considering evidence that was not in the record
and that Fields had no opportunity to challenge or rebut. Accordingly, I would reverse the
district courtâs judgment denying habeas relief as to Fieldsâs jury-experiment claim and remand
to the district court with instructions to conditionally grant Fieldsâs petition for a writ of habeas
corpus as to that claim. Because I believe that the Constitution cannot tolerate criminal verdicts
and death sentences imposed after the juryâs consideration of prejudicial extrinsic evidence,
I respectfully dissent.